In This Section

Introduction

• types of claims excluded from establishment in VBMS
• preparing for claims establishment
• determining the end product (EP) for initial rating-related claims, and
• establishing claims in
  • VBMS, and
  • Share.

Change Date

II.iii.3.A.1.a.  Types of Claims Excluded From Establishment in VBMS

II.iii.3.A.1.b.  Preparing for Claims Establishment

• Establish EP control only upon receipt of a substantially completed form.
• Most pension and survivor claims should now be established in VBMS, as indicated in M21-1, Part II, Subpart iii, 3.A.1.a.
• Military service information, such as branch of service and date of release from active duty for a service member’s current period of service must be updated in VBMS before establishment of any pre-discharge claim.

• the types of claims excluded from establishment in VBMS, see the exceptions listed in M21-1, Part II, Subpart iii, 3.A.1.a
• handling an incomplete claim, see M21-1, Part II, Subpart iii, 1.C
• processing an intent to file (ITF) and incomplete ITFs, see M21-1, Part II, Subpart iii, 2.A
• general description of a pre-discharge claim, see M21-1, Part X, Subpart i, 6.A.1.a, and
• updating military service information, see M21-1, Part II, Subpart iii, 3.B.3.

II.iii.3.A.1.c.  Determining the EP for Initial Rating-Related Claims

• previously filed for benefits, or
• is filing an original claim (first initial claim).

Step	Action
1	Open Share and select the CORPORATE INQUIRY command..
2	Enter the claimant’s Social Security number (SSN) or claims folder number into the FILE NUMBER OR SSN field and click the SUBMIT button.
3	Click on the AWARD/RATING box in the menu bar and navigate to the RATING INFORMATION tab.  Has the claimant previously received a rating determination? If yes, go to the next step. If no, go to Step 5.
4	Determine if any of the claimed issues have been previously denied.  For each issue that has been previously denied, follow request for application procedures located in M21-1, Part II, Subpart iii, 2.G.1 before going to the next step.   Important: If the claim for a previously denied issue is received on VA Form 20-0995, Decision Review Request – Supplemental Claim, route it to the decision review operations center mail queue, where it will be processed as provided in M21-5, Chapter 4, 2. If all the claimed issues have previously been denied, no further action in this table is required.
5	Click the READY button to return to the main Share screen. Select the Beneficiary Identification & Records Locator Subsystem (BIRLS) INQUIRY command and click the SUBMIT button.
6	Select the INACTIVE COMP & PEN tab.   Determine if there any entries in the DIAGNOSTIC table ENTITLEMENT CODE field, or Reason for Termination or Disallowance field. Example:   If entries … Then use … exist a rating EP from the 020 series. do not exist an original rating EP from the 110 series, if there are seven or fewer claimed contentions, or 010 series, if there are eight or more claimed contentions.

• establishing and maintaining EP control, see M21-4, Appendix B, 1.b, and
• available EP codes for compensation, pension, and fiduciary operations, see M21-4, Appendix B, 2.

II.iii.3.A.1.d.  Establishing Claims in VBMS

Step	Action
1	Navigate to the Veteran’s profile and select New Claim from the ACTIONS drop-down menu.
2	On the NEW CLAIM screen verify the following: the claimant’s first and last names are correct the CONTACT INFORMATION field is current, including the address telephone number, and e-mail, and check for open claims in the EXISTING CLAIMS field. Notes: If a rating claim is already pending update the contentions, and manage evidence. Contact information updates must be made using the EDIT VETERAN function, as indicated in M21-1, Part II, Subpart iii, 3.B.1.b.
3	Complete the required CLAIM INFORMATION fields (indicated by red asterisk), all applicable optional fields, and click SUBMIT.
4	For certain EPs, VBMS will ask if the claim was submitted on a VA Form 21-526EZ, Application for Disability Compensation and Related Compensation Benefits, dated August 2011 or later. If no is selected, a Section 5103 notice will generate and must be sent to the claimant. If yes is selected, VBMS will transition to the CONTENTIONS screen.
5	Enter the claimant’s contentions, completing the required fields as described in M21-1, Part III, Subpart i, 2.F.2.
6	Use the table below to document the claims establishment process.   If processing the mail in a(n) … Then … paper format annotate the claim document with the EP establishment date, and initials of the individual establishing the EP. electronic format an annotation is not required, but the creation of a VBMS note documenting the EP established is recommended.
7	Return to the VETERAN PROFILE screen and select Manage Evidence in the ACTIONS drop-down menu.   Example:
8	Add each piece of mail or mail packet by selecting the ADD unsolicited tab entering the required information and clicking the ADD EVIDENCE button, repeating until all evidence has been entered, and selecting COMPLETE. Example:

• establishing claims in VBMS, see the VBMS Core User Guide
• pre-discharge claims establishment, see M21-1, Part X, Subpart i, 6.B.2
• how claims folders and numbers are established, see M21-1, Part II, Subpart ii, 1.A.1.b
• processing power of attorney (POA) appointments, see M21-1, Part I, Subpart i, 2.C.1
• date of claim regarding
  • ITF, see M21-1, Part II, Subpart iii, 2.A
  • informal claims, see M21-1, Part II, Subpart iii, 2.H
  • original claims, see M21-1, Part II, Subpart iii, 1.A.4.c
  • correct date of claim, see M21-4, Appendix B, 1.c
  • definition of date of receipt, see 38 CFR 3.1(r)
  • identifying date of receipt, to include documents received in the Centralized Mail (CM) portal, see M21-1, Part II, Subpart i, 2.B.1, and
  • pre-discharge claim date of claim, see M21-1, Part X, Subpart i, 6.B.2
• adding unsolicited mail, see the VBMS Core User Guide
• processing name change requests, see M21-1, Part II, Subpart iii, 3.B.2, and
• receiving notice of a change of contact information or direct deposit, see
  • M21-1, Part II, Subpart iii, 3.B.1.a and b, and
  • M27-1, Part I, 3.10.

II.iii.3.A.1.e.  Establishing Claims in Share

Step	Action
1	Does a BIRLS record exist? If yes, go to the next step. If no, follow guidance in M21-1, Part II, Subpart ii, 1.A.1.c to ensure a duplicate record would not be created create a record using the BIRLS ADD command, and go to the next step.
2	Select the CLAIMS ESTABLISHMENT C+P command on the Share READY screen and using the table below, submit the information needed to start the claims establishment process in Share.   Required Fields Optional FILE NUMBER MIDDLE NAME AND SUFFIX BENEFIT TYPE DATE OF BIRTH PAYEE NUMBER SERVICE NUMBER CLAIM TYPE BRANCH OF SERVICE FIRST NAME EOD AND RAD LAST NAME REGIONAL OFFICE   Example:   Note:  The command establishes an EP for a pending claim or appeal.
3	Complete the following actions while on the VETERAN’S IDENTIFICATION DATA screen: review the data for accuracy and completeness correct any erroneous data and enter any missing data, and select CONTINUE ESTABLISHMENT. Example:
4	Using the table below to complete the PENDING ISSUE/CORPORATE CONTROL ESTABLISHMENT screen.   Field Name Description INCREMENTAL Select a third digit incremental/modifier other than zero, if the claim meets the criteria outlined in M21-4, Appendix B, 1.f.   Note:  The default third digit incremental (also called a modifier) is zero. ADDRESS TELEPHONE, and EMAIL Update based on current correspondence (as necessary). DATE OF CLAIM For claims establishment purposes, the date of claim is the earliest date of receipt in any VA facility, to include scanning vendor sites and through VA claims submission service websites.  Identify this date from the earliest VA date stamp or equivalent. SUSPENSE DATE Set suspense date to 15 days from the current date. SECTION/UNIT Enter 21 for compensation and pension claims. POWER OF ATTORNEY SEARCH AUTHORIZED POA ACCESS, and CADD AUTH’D Update POA information (if applicable).   SUPPRESS ACKNOWLEDGEMENT LETTER Ensure the SUPRESS ACKNOWLEDGEMENT LETTER field is deselected.
5	Select CREATE ESTABLISHMENT.
6	Update any appropriate corporate flashes, as required by M21-4, Appendix E.
7	Open the Veteran’s record in VBMS and from the CLAIMS drop-down menu select Claim Established in Share.
8	Enter the Veteran’s claimed contentions, completing the required fields as described in M21-1, Part III, Subpart i, 2.F.2.
9	Return to the VETERAN PROFILE screen. Select Manage Evidence in the ACTIONS drop-down menu. Example:
10	Add each piece of mail or mail packet by selecting the ADD unsolicited tab entering the required information and clicking the ADD EVIDENCE button, repeating until all evidence has been entered, and selecting COMPLETE. Example:
11	Use the table below to document the claims establishment process.   If processing the mail in a(n) … Then … paper format annotate the claim document with the EP establishment date, and initials of the individual establishing the EP. electronic format an annotation is not required, but the creation of a VBMS note documenting the EP established is recommended.
12	Route for scanning to appropriate location.

• Establish EP control only upon receipt of a fully completed claim.
• The Veterans Appeal Control and Locator System (VACOLS) must be checked to determine if the contentions claimed, if applicable, are controlled under an active appeal.
• Most pension and survivor claims should now be established in VBMS, as indicated in M21-1, Part II, Subpart iii, 3.A.1.a.

• CLAIMS
• NOD
• CH 35
• VR&E, and
• CH 30.

• the types of claims excluded from establishment in VBMS, see the exceptions listed in M21-1, Part II, Subpart iii, 3.A.1.a
• processing an ITF and incomplete ITFs, see M21-1, Part II, Subpart iii, 2.A
• determining if a scanning request is necessary, see M21-1, Part II, Subpart ii, 1.A.2.f
• how claims folders and numbers are established, see M21-1, Part II, Subpart ii, 1.A.1.b
• confirming a BIRLS record exists and BIRLS ADD, see
  • M21-1, Part II, Subpart ii, 1.A.1.c and d, and
  • the Share User Guide
• controlling legacy appeals and determining if claimed contentions are controlled under an active legacy appeal, see M21-5, Chapter 6, Section B
• date of claim regarding
  • ITF, see M21-1, Part II, Subpart iii, 2.A
  • informal claims, see M21-1, Part II, Subpart iii, 2.H
  • correct date of claim, see
    • M21-1, Part II, Subpart iii, 1.A.4.c, and
    • M21-4, Appendix B, 1.c
  • definition of date of receipt, see 38 CFR 3.1(r)
  • identifying date of receipt, to include documents received in the CM portal, see M21-1, Part II, Subpart i, 2.B.1, and
  • pre-discharge claims, see M21-1, Part X, Subpart i, 6.B.2
• processing POA appointments, see M21-1, Part I, Subpart i, 2.C.1
• updating electronic systems for POA, see M21-1, Part I, Subpart i, 2.C.2
• POA codes, see M21-1, Part I, Subpart i, 2.C.3
• updating corporate flashes, see the Share User Guide, and
• processing unsolicited mail, see the VBMS Core User Guide.

Change Date

II.iii.3.A.2.a.  Establishing Requests for a Hearing

Step	Action
1	Open the claimant’s profile in VBMS, and select New Claim from the ACTIONS drop-down menu.
2	When necessary, update the claimant’s information, including address telephone number, and POA.
3	Determine if the hearing is for a legacy appeal or pending claim.   If the hearing is for … Then … a pending legacy appeal select the EP 170, and add the Local Hearing special issue indicator to each contention that requires a hearing. a legacy appeal that has not been established establish EP 170, and add the Local Hearing special issue indicator to each contention that requires a hearing. a pending claim select the EP controlling the issue that requires the hearing, and add the Local Hearing special issue indicator to each contention that requires the hearing. an issue that is no longer pending as part of a legacy appeal or claim follow request for application procedures located in M21-1, Part II, Subpart iii, 2.G.  No further action in this table is required.
4	Add a tracked item that corresponds to the type of hearing request with a one-day suspense period.
5	Add a note providing details of the hearing request using the following format:   [Type of hearing (informal, DRO, pre-decisional, etc.)] hearing request via [method of request (phone call, written correspondence, on VA Form 21-0958, etc.)] received on [date request was received].
6	From the PROFILE screen, select Manage Evidence in the ACTIONS drop-down menu.   Example:
7	Add each piece of mail or mail packet by selecting the ADD unsolicited tab entering the required information and clicking the ADD EVIDENCE button, repeating until all evidence has been entered, and selecting COMPLETE. Example:

• regional office (RO) hearings, see M21-1, Part X, Subpart v, 1.D
• informal conferences/hearings, see
  • M21-5, Chapter 5, 3
  • M21-5, Chapter 7, Section C.5, and
  • 38 CFR 3.2600
• VACOLS review and updates, see M21-5, Chapter 6, Section A.1.d
• adding special issue indicators to a contention, see the VBMS Core User Guide
• creating tracked items, see the VBMS Core User Guide
• the appropriate tracked item for hearing requests, see M21-4, Appendix D, 1.b, and
• managing unsolicited mail, see the VBMS Core User Guide.

Introduction

Change Date

II.iii.3.A.3.a.  Auto-Establish Process

• extracting data from the form, and
• automatically establishing the claim in VBMS.

II.iii.3.A.3.b.  Auto-Establish Functionality

• establish an appropriate EP
• list contentions
• add special issue indicators and corporate flashes, and
• manage the evidence list that is displayed in VBMS.

II.iii.3.A.3.c.  Exclusions to the Auto-Establish Process

• incomplete VA Form 21-526EZ
• duplicate records or claims folders for the Veteran
• system unavailability, and
• submitting a claim with VA Form 21-22, Appointment of Veterans Service Organization as Claimant’s Representative, or VA Form 21-22a, Appointment of Individual as Claimant’s Representative.

• duplicate records consolidation, see M21-1, Part XIV, 6.3, and
• identifying and handling incomplete applications, see
  • M21-1, Part II, Subpart iii, 1.A.4, and
  • M21-1, Part II, Subpart iii, 1.C.

II.iii.3.A.3.d.  Identifying Auto-Establish Claims