What this means
m21-5:6.B.4 explains accepting substantive appeals. In plain terms, the official guidance says follow the steps in the table below after determining a substantive appeal is timely and non-duplicative as described in M21-5, Chapter 6, Section B.3.c through d. It also addresses RO users can only reactivate a VACOLS record that was closed out in the pre- Form 9 stage.
How this may help with a claim
Use m21-5:6.B.4 to audit how VA handled accepting substantive appeals. Start with the decision date, the issue being reviewed, and the evidence VA was allowed to consider, then compare the record with this rule: Follow the steps in the table below after determining a substantive appeal is timely and non-duplicative as described in M21-5, Chapter 6, Section B.3.c through d. RO users can only reactivate a VACOLS record that was closed out in the pre- Form 9 stage. 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: reactivating a VACOLS record
- Confirm that the record or notice addresses this source point: Follow the steps in the table below after determining a substantive appeal is timely and non-duplicative as described in M21-5, Chapter 6, Section B.3.c through d.
- Document how this stated step or exception applies: Step — Action; 1 — Annotate the substantive appeal based on the table below.; 2 — Establish a VBMS appeal record as described in M21-5, Chapter 6, Section B.4.c.;
Important limits
m21-5:6.B.4 explains VA guidance for accepting substantive appeals; 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: Follow the steps in the table below after determining a substantive appeal is timely and non-duplicative as described in M21-5, Chapter 6, Section B.3.c through d. Follow the steps in the table below to establish control of a substantive appeal.
Search terms when useful
Phrases that may help when searching your claim file or this library.
- Accepting Substantive Appeals
- m21-5:6.B.4
- Controlling Substantive Appeals
- reactivating VACOLS record
- controlling substantive appeal VBMS
- updating VACOLS track substantive
- 6.B.4.a. Accepting Substantive Appeals
- Follow steps table below
Original VA guidance
The official VA text of this section
4. Controlling Substantive Appeals
Introduction
This topic contains information on controlling an appeal perfected by the receipt of a substantive appeal, including
- accepting substantive appeals
- reactivating a VACOLS record
- controlling a substantive appeal in VBMS, and
- updating VACOLS to track a substantive appeal.
Change Date
May 9, 2024
6.B.4.a. Accepting Substantive Appeals
Follow the steps in the table below after determining a substantive appeal is timely and non-duplicative as described in M21-5, Chapter 6, Section B.3.c through d.
Scroll sideways to see the full table.
| Step | Action |
|---|---|
| 1 | Annotate the substantive appeal based on the table below. |
| 2 | Establish a VBMS appeal record as described in M21-5, Chapter 6, Section B.4.c. |
| 3 | Update VACOLS as described in M21-5, Chapter 6, Section B.4.d. |
6.B.4. b. Reactivating a VACOLS Record
If a substantive appeal is not timely input, the VACOLS record will automatically close and show a status of history (HIS). To input a timely filed substantive appeal after the record has closed, reactivate the VACOLS record.
Note: RO users can only reactivate a VACOLS record that was closed out in the pre- Form 9 stage.
Follow the steps in the table below to reactivate an appeal record in HIS status in VACOLS.
Scroll sideways to see the full table.
| Step | Action |
|---|---|
| 1 | In VACOLS, enter the relevant APPELLANT ID to display the appellant’s VACOLS record(s). |
| 2 | Highlight the relevant appeal record, and click on the VIEW APPEAL button to access the record. |
| 3 | From the UTILITIES menu, select Reactivate Appeal. |
| 4 | Click YES to reactivate the appeal. Note: When the appeal is reactivated, a VACOLS diary titled Reactivated Appeal is automatically generated. |
References: For more information on
- reactivating VACOLS records, see the VACOLS User Guide, Part 2, and
- VACOLS status codes, see the VACOLS User Guide, Part 7.
6.B.4.c. Controlling a Substantive Appeal in VBMS
After receiving an SOC, the claimant may choose to submit a VA Form 9, or other acceptable form of a substantive appeal, to show continued disagreement with the decision.
Follow the steps in the table below to establish control of a substantive appeal.
Scroll sideways to see the full table.
| Step | Action |
|---|---|
| 1 | Open the appellant’s VBMS profile and select NEW CLAIM. |
| 2 | Review the following information and update fields as necessary: ADDRESS TELEPHONE NUMBER, and POWER OF ATTORNEY (POA). |
| 3 | Enter 170FRM9 – FORM 9 in the EP & CLAIM LEVEL field. |
| 4 | Enter the date the VA received the VA Form 9 in the DATE OF CLAIM field. |
| 5 | Assign the 170FRM9 to Appeals (National) as the SEGMENTED LANE. Example: |
| 6 | Select SUBMIT to save the information. |
| 7 | Use the table below to complete the contentions screen in VBMS. Important: If there is any ambiguity as to what the claimant is appealing or if the claimant adds a new contention, the IPC enters “miscellaneous” as the contention forwards the EP to an appeals Veterans Service Representative (VSR) VBMS work queue, and leaves a system note regarding the ambiguity. Notes: The issue(s) indicated on the VA Form 9 must be listed on the ISSUES tab in VACOLS. Ensure issues reviewed in VACOLS are from the correct appeals record, as there may be multiple appeals records. If the VA Form 9 is received after March 24, 2015, treat any new contentions received on the form as a request for application, in accordance with M21-1, Part II, Subpart iii, 1.C.2.b. |
| 8 | Return to the claimant’s PROFILE screen and select MANAGE EVIDENCE from the ACTIONS drop down menu. Select ADD UNSOLICITED and populate the following fields. RECEIPT DATE DOCUMENT TYPE, and EVIDENCE NAME. Example: Select COMPLETE on the right panel of the screen to update and save the information. |
| 9 | If the appellant or authorized representative requests a formal hearing or informal conference, establish control of the request as detailed in M21-1, Part II, Subpart iii, 3.A. References: For more information on hearings, see M21-1, Part X, Subpart v, 1.D, and informal conferences, see M21-5, Chapter 7, Section A.1.j, and M21-5, Chapter 7, Section C.5. |
Exception: Establish non-Veteran appeals in Share.
References: For more information on
- establishing claims in VBMS, see M21-1, Part II, Subpart iii, 3.A.1.a.
- establishing claims in Share, see M21-1, Part II, Subpart iii, 3.A.1.e, and
- managing evidence in VBMS, see the VBMS Job Instruction Sheet Manage Evidence.
6.B.4.d. Updating VACOLS Track a Substantive Appeal
In addition to establishing an EP 170 in VBMS for a substantive appeal, VACOLS must also be updated for tracking purposes.
Follow the steps in the table below to update VACOLS for substantive appeals.
Scroll sideways to see the full table.
| Step | Action |
|---|---|
| 1 | On the VACOLS main screen, enter the APPELLANT ID. Locate the relevant VACOLS record by reviewing the issues listed in the substantive appeal with the issues listed in VACOLS on the ISSUES tab. Note: If more than one appeal record exists, review the issues on the substantive appeal and the issues in the VACOLS records per the instructions in M21-5, Chapter 6, Section B.3.d. |
| 2 | Use the table below to determine the next step. Note: If there is no VACOLS record for the claimant listed on the substantive appeal, send the appropriate Request for Application letter from Letter Creator, or PCGL equivalent. |
| 3 | Highlight the relevant appeal record, and click on the UPDATE APPEAL button. |
| 4 | Enter the date the substantive appeal was received in the FORM 9 field, and select UPDATE to save the information. |
| 5 | Navigate to the DIARY tab click ADD enter the following information on the DIARY DETAIL screen: ASSIGNED TO (in compliance with local guidance) DIARY CODE (VA Form 9 RECEIVED) DAYS (in compliance with local guidance), and select UPDATE to save the information. Note: Refer to local RO guidance regarding assignment of a substantive appeal. In many cases, a DRO, the appeals rating activity, or other designee will be assigned the perfected appeal to expeditiously certify it to the Board. |