What this means
m21-1:II.iii.3.A explains claims establishment. In plain terms, the official guidance says the table below describes the steps of claims establishment and the references for guidance on these actions. It also addresses legacy appeals-related hearing information must also be input in VACOLS.
How this may help with a claim
Use m21-1:II.iii.3.A to audit how VA handled claims establishment. Start with the decision date, the issue being reviewed, and the evidence VA was allowed to consider, then compare the record with this rule: The table below describes the steps of claims establishment and the references for guidance on these actions. Legacy appeals-related hearing information must also be input in VACOLS. Cite the exact document and page when raising a factual or procedural error, and use the review rights in the actual notice for any deadline.
What to review in your file
- Check the file against this official condition: most claim types for which a VBMS record already exists.
- Confirm that the record or notice addresses this source point: Step — Action — Reference; 1 — Check for a previously established claims folder number. — M21-1, Part II, Subpart ii, 1.A.1.c.;
- Document how this stated step or exception applies: 2 — Determine the current claims folder location and request scanning of paper claims folders (if necessary). — M21-1, Part II, Subpart ii, 1.A.2.d, and M21-1, Part II, Subpart ii, 1.A.2.f.
Important limits
m21-1:II.iii.3.A explains VA guidance for claims establishment; it does not guarantee an award or replace the statutes, regulations, binding decisions, and review instructions that control an individual claim. Conditions and exceptions still matter, including this source point: The table below describes the steps of claims establishment and the references for guidance on these actions. Auto-Establish claims have three attribute categories that can be used to identify them. One attribute from each category will be present on an Auto-Establish claim.
Search terms when useful
Phrases that may help when searching your claim file or this library.
- Claims Establishment
- m21-1:II.iii.3.A
- Establishing Claims VBMS Share
- types claims excluded establishment
- preparing claims establishment
- determining product initial rating-related
- establishing claims
- VBMS
Original VA guidance
The official VA text of this section
Overview
In This Section
This section contains the following topics:
Scroll sideways to see the full table.
| Topic | Topic Name |
|---|---|
| 1 | Establishing Claims in the Veterans Benefits Management System (VBMS) and Share |
| 2 | Establishing a Request for a Hearing |
| 3 | Centralized Mail (CM) Automatic Claim Establishment |
1. Establishing Claims in VBMS and Share
Introduction
This topic contains information about establishing claims, including
- 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
August 22, 2025
II.iii.3.A.1.a. Types of Claims Excluded From Establishment in VBMS
The Veterans Benefits Management System (VBMS) is used to establish
- all initial claims for compensation
- pension and survivor claims
- claims where the claimant has a Department of Veterans Affairs (VA)-appointed fiduciary, and
- most claim types for which a VBMS record already exists.
Exceptions: The following claims should be established using Share:
- any claim where the claimant is an organization, unless the organization is a state cemetery, and
- discovered legacy appeals where the appellant is not a child, spouse, or parent of the Veteran.
Reference: For more information on end product (EP) codes for compensation, pension, and fiduciary operations, see M21-4, Appendix B, 2.
II.iii.3.A.1.b. Preparing for Claims Establishment
The table below describes the steps of claims establishment and the references for guidance on these actions.
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| Step | Action | Reference |
|---|---|---|
| 1 | Check for a previously established claims folder number. | M21-1, Part II, Subpart ii, 1.A.1.c. |
| 2 | Determine the current claims folder location and request scanning of paper claims folders (if necessary). | M21-1, Part II, Subpart ii, 1.A.2.d, and M21-1, Part II, Subpart ii, 1.A.2.f. |
| 3 | Review the VBMS exclusions to determine the system in which to place the claim under control. | M21-1, Part II, Subpart iii, 3.A.1.a. |
| 4 | Place EP under control using the appropriate system. | For VBMS, see M21-1, Part II, Subpart iii, 3.A.1.d, and Share, see M21-1, Part II, Subpart iii, 3.A.1.e. |
Important:
- 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.
References: For more information on
- 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
To administer proper EP control for rating-related claims, determine if the claimant
- previously filed for benefits, or
- is filing an original claim (first initial claim).
Follow the steps in the table below to determine the appropriate EP for rating-related claims.
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| 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: |
References: For more information on
- 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
Follow the steps in the table below to establish a claim in VBMS.
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| 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. |
| 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: |
References: For more information on
- 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
Follow the steps in the table below to establish a claim in Share.
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| 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. 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. |
| 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. |
| 12 | Route for scanning to appropriate location. |
Important:
- 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.
Note: A BIRLS record exists for each Veteran or other beneficiary for whom one of the following types of files has been established:
- CLAIMS
- NOD
- CH 35
- VR&E, and
- CH 30.
References: For more information on
- 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.
2. Establishing a Request for a Hearing
Change Date
November 30, 2020
II.iii.3.A.2.a. Establishing Requests for a Hearing
Upon request, a claimant is entitled to a hearing on any issue involved in a claim.
Follow the steps below to control a request for a hearing by adding a special issue indicator and tracked items in VBMS.
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| 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. |
| 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: |
Note: Legacy appeals-related hearing information must also be input in VACOLS.
References: For more information on
- 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.
3. CM Automatic Claim Establishment
Introduction
This topic contains information about CM automatic claim establishment, including
- Auto-Establish process
- Auto-Establish functionality
- exclusions to the Auto-Establish process
- identifying Auto-Establish claims, and
- reporting consistent errors with Auto-Establish claims.
Change Date
January 12, 2026
II.iii.3.A.3.a. Auto-Establish Process
Auto-Establish is an automatic process taking traditional paper compensation claims filed on VA Form 21-526EZ that have been received and scanned into the CM portal and
- extracting data from the form, and
- automatically establishing the claim in VBMS.
Note: A claim submitted on VA Form 21-526EZ to the CM portal using QuickSubmit will also go through the Auto-Establish process.
II.iii.3.A.3.b. Auto-Establish Functionality
A VA Form 21-526EZ that arrives at the CM vendor is scanned and the data fields are extracted. The data is used to
- establish an appropriate EP
- list contentions
- add special issue indicators and corporate flashes, and
- manage the evidence list that is displayed in VBMS.
The VA Form 21-526EZ and all mail received with the form are uploaded to the claimant’s electronic claims folder (eFolder).
Note: Auto-Establish will assign the claim to a segmented lane by adding the associated lane’s special issue indicator to the first contention on the EP.
II.iii.3.A.3.c. Exclusions to the Auto-Establish Process
Auto-Establish will establish the majority of compensation claims submitted on VA Form 21-526EZ. When a claim submitted on VA Form 21-526EZ cannot be automatically established, it will remain in the CM portal for manual processing.
Some factors that will require a claim to be manually established include:
- 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.
References: For more information on
- 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
Auto-Establish claims have three attribute categories that can be used to identify them. One attribute from each category will be present on an Auto-Establish claim.
Exception: The name of the scanning vendor, SMS, will always appear as both the SYSTEM SOURCE and UPLOADING USER ROLE.
Utilize the table below to identify the possible attributes in each category.
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| Category | Examples |
|---|---|
| Date stamp | Claim forms can be submitted by sending paper documents to the intake facility or by submitting electronic documents using VA-approved document submission services such as QuickSubmit (previously the Direct Upload tool). Auto-Establish claim forms will bear one of two distinct date stamps depending on the method of submission. Example: Below is an example of a date stamp placed on a paper form that has been digitally scanned. Example: Below is an example of a date stamp placed on a document submitted using the Direct Upload tool. Note: Documents submitted via QuickSubmit will have a correspondingly named date stamp. |
| Claim label | An Auto-Establish claim will use one of the following claim labels: 110 - D2D-Initial Live Comp <8 Issues (110) 010 - D2D-Initiatial Live Comp >8 Issues (110) 020 - D2D-Supplemental, or 400 - D2D-Supplemental. |
| System source / Uploading user role | Example: Below is an example of an Auto-Establish claims form in the eFolder. Example: Below is an example of the document properties screen of an Auto-Establish claims form. |
II.iii.3.A.3.e. Reporting Consistent Errors With Auto-Establish Claims
Notify RO leadership and the District Director when consistent new errors with Auto-Establish claims (such as an incorrect corporate flash being applied to a homeless claim) are identified.
The RO Director will forward the e-mail to the Office of Field Operations mailbox with a request to expedite the resolution of the issue.
All reports must
- include
- example file numbers
- a description of the issue, and
- the information technology ticket number, and
- be sent via encrypted e-mail.
Important: When reporting an issue, the Enterprise Service Desk ticket must include the following information in the body of the ticket:
- the phrase #automail – Issue with Mail Automation Services, and
- necessary information to troubleshoot the error, including
- Veteran record information
- VBMS claim identification (ID) number
- CM packet ID, and
- any other information that will help correctly identify the error under review.