What this means
m21-5:7.D.3 explains when to issue an SOC. In plain terms, the official guidance says issue an SOC when there is an active, valid NOD that cannot be fully granted. Before issuing the SOC It also addresses if the evidence is considered both new and material, then the legacy appeal is successfully reopened and must be adjudicated on its merits.
How this may help with a claim
Use m21-5:7.D.3 to audit how VA handled when to issue an SOC. Start with the decision date, the issue being reviewed, and the evidence VA was allowed to consider, then compare the record with this rule: Issue an SOC when there is an active, valid NOD that cannot be fully granted. Before issuing the SOC If the evidence is considered both new and material, then the legacy appeal is successfully reopened and must be adjudicated on its merits. 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: when to issue an SOC
- Confirm that the record or notice addresses this source point: submission of new and material evidence
- Document how this stated step or exception applies: evidence not new and material
Important limits
m21-5:7.D.3 explains VA guidance for when to issue an SOC; 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: Issue an SOC when there is an active, valid NOD that cannot be fully granted. Before issuing the SOC The date on the SOC transmittal letter must be the date the SOC is sent to the appellant.
Search terms when useful
Phrases that may help when searching your claim file or this library.
- When to Issue an SOC
- m21-5:7.D.3
- When Issue SOC
- Preparing Issuing
- when issue
- purpose
- format
- submission material evidence
Original VA guidance
The official VA text of this section
3. Preparing and Issuing an SOC
Introduction
This topic contains information on an SOC, including
- when to issue an SOC
- purpose of an SOC
- SOC format
- submission of new and material evidence
- evidence not new and material
- SOC printing and filing requirements
- issuing an SOC
- SOC transmittal letter requirements
- issuing an SOC to appellants in the Philippines, and
- updating VACOLS when issuing an SOC.
Change Date
April 14, 2026
7.D.3.a. When to Issue an SOC
Issue an SOC when there is an active, valid NOD that cannot be fully granted. Before issuing the SOC
- complete all necessary development, and
- conduct any requested hearing or informal conference.
Note: This policy on the preliminary steps to take before issuing an SOC applies to both traditional appellate and DRO reviews.
References: For more information on
- the definition of an SOC, see M21-5, Chapter 7, Section A.1.k
- fully granting the benefit sought, see
- M21-5, Chapter 7, Section A.1.h, and
- M21-5, Chapter 7, Section D.2.b
- hearings, see M21-1, Part X, Subpart v, 1.D.1.a, and
- informal conferences, see M21-5, Chapter 7, Section C.5.
7.D.3.b. Purpose of an SOC
The purpose of an SOC is to provide the appellant a decision and explanation of the continued denial on the issue(s) listed on an NOD. As stated in 38 CFR 19.29, the SOC must contain enough information to allow the appellant to present written and/or oral arguments before the Board.
The SOC must provide the appellant
- a summary of the relevant evidence
- a summary of the applicable laws and regulations
- a discussion of how such laws and regulations affect the determination
- the determination on each issue, and
- the reasons for each such determination.
7.D.3.c. SOC Format
The table below describes the sections of an SOC and the actions required when completing each section.
Scroll sideways to see the full table.
| Section | Description | Action |
|---|---|---|
| Transmittal Letter to Appellant | Indicates the appellant’s name, address, claim number, and representative. | Follow the guidance in the table below for listing the representative. |
| Issue | Identifies the issue(s) covered by the SOC. | If there are multiple issues, state and number each issue. |
| Evidence | Summarizes all evidence relative to the issues being considered. Example: Medical records, places and circumstances of service, service treatment records. | Use short sentences, when appropriate, for clarity and accuracy. Note: Appeal decisions must follow the rating decision guidelines for listing evidence as noted in M21-1, Part V, Subpart iv, 1.A.4.a. |
| Adjudicative Actions | Cites only those rating and authorization actions relevant to the issues raised. | List entries in chronological order. |
| Pertinent Laws and Regulations | Summarize the provisions in the statute(s) or regulation(s) that govern the decision(s) rendered. | Quote verbatim only those relevant portions of all regulations and U.S.C. sections that are pertinent to the issues. Reference: For more information on suggested laws and regulations to cite in an SOC/SSOC, see Applicable Laws and Regulations - Citations. |
| Decision | States the decision. | If there are multiple issues, number each to correspond to the number shown in the issue section of the SOC. |
| Reasons for Decision | Includes the reasons for the decision explains how the evidence supports the underlying decision analyzes the evidence of record under the applicable legal principles governing the decision, and indicates why most of the evidence is against the claim. | Discuss the laws and regulations cited and explain how they relate to the adverse decision address the appellant’s contentions attempt to clarify and reduce the reasoning to simple terms so the reader will understand the precise basis for the decision, and number the Reasons for Decision to correspond with the issues and decisions. |
| Signature and Review | The person who prepared the original SOC must sign it. Note: At the discretion of the VSCM, DROCM, or PMCM, a second person may review and approve the SOC. | Review and sign the SOC. This applies to any SOC, whether prepared by a Veterans Service Representative (VSR) Rating VSR, or DRO. Follow the procedures in the table below to properly sign the SOC. |
References: For more information on
- creating an SOC, see the SOC User’s Guide, and
- furnishing an SOC, see 38 CFR 19.30.
7.D.3.d. Submission of New and Material Evidence
If the evidence is considered both new and material, then the legacy appeal is successfully reopened and must be adjudicated on its merits.
However, if the evidence on the reopened claim does not change the prior decision based on that evidence, the issue in any SOC resulting from that decision is the continued denial of the benefit claimed. The evidence, pertinent laws, and regulations cited in the SOC must support the decision.
In this situation, the SOC includes the
- date of the original denial
- date of notification of that denial
- date that denial became final
- regulations covering new and material evidence and finality of decisions
- summary of the evidence pertinent to the merits and adjudication
- decision on the merits, and
- reasons for the decision.
References: For more information on
- understanding and using new and material evidence, see M21-5, Chapter 7, Section J.4 and 5
- revising binding decisions, see M21-1, Part X, Subpart ii, 1.A.1.f
- new evidence, see 38 CFR 3.156, and
- the binding nature of decisions, see 38 CFR 3.104.
7.D.3.e. Evidence Not New and Material
If an appellant disagrees with the decision that the evidence submitted to reopen a legacy appeal is not new and material, the SOC should explain why the evidence considered does not meet the new and material standard as defined in 38 CFR 3.156(a).
In this situation
- limit the SOC, based on that decision, to the issue of whether new and material evidence was submitted
- cite in the Adjudicative Actions section the
- date of the original denial
- date of notification of that denial
- identification and date of receipt of the evidence submitted to reopen the claim
- date of the finding that the evidence was not considered to be new and material, and
- date of notification of that decision, and
- cite the regulations
- covering new and material evidence, and
- pertaining to finality of decisions.
References: For more information on
- new and material evidence, see 38 CFR 3.156, and
- finality of decisions, see 38 CFR 3.104
7.D.3.f. SOC Printing and Filing Requirements
When preparing an SOC
- use plain bond paper to
- print an original for the claimant, and
- a copy for any authorized representative, if any, and
- maintain a file copy in the claims folder.
Notes:
- The SOC may be printed on both sides of the paper, provided that the reverse side is printed head to foot.
- When uploading the SOC to the Veterans Benefits Management System (VBMS) electronic claims folder (eFolder), edit the document properties by selecting Statement of Case (SOC) as the document type under the APPEALS dropdown menu in the CATEGORY-TYPE: ALTERNATE field.
Reference: For more information on editing document properties in VBMS, see the VBMS User Guide.
7.D.3.g. Issuing an SOC
Use the table below to issue an SOC to the appellant, representative, or fiduciary at the last address of record.
Scroll sideways to see the full table.
| If you are issuing an SOC to the… | Then… |
|---|---|
| appellant or fiduciary | issue the appropriate transmittal letter an unsigned copy of the SOC, and VA Form 9, Appeal to the Board of Veterans' Appeals clear the appropriate end product (EP), and update VACOLS. |
| appellant’s representative Example: An agent, attorney, or accredited representative. | issue a copy of the SOC, which may or may not be identical to the one sent to the appellant clear the appropriate EP, and update VACOLS. |
References: For more information on
- disclosing appeal information to the appellant’s representative, see M21-5, Chapter 7, Section D.2.f
- use of EPs for SOCs, see M21-4, Appendix B
- preparing the SOC transmittal letter, see M21-5, Chapter 7, Section D.3.h
- furnishing the SOC, see 38 CFR 19.30, and
- VACOLS, see the VACOLS User Guide.
7.D.3.h. SOC Transmittal Letter Requirements
The transmittal letter on an SOC must contain
- the appellant's most recent address of record
- in the courtesy copy (cc) line
- the current representative, and
- if the representative is a private attorney or claims agent, the representative's address
- a notice of the right to file a substantive appeal
- a notice of the ability to file for a modernized decision review (for all SOCs issued on or after February 19, 2019, the effective date of the Appeals Modernization Act (AMA))
- the time within which the appeal must be filed
- information regarding the right to a hearing and the right to representation, and
- a statement that, if the appellant still desires appellate review by the Board after reading the SOC, the appellant should state on VA Form 9 which specific fact or law cited is believed to be in error and for what issue.
Important: The date on the SOC transmittal letter must be the date the SOC is sent to the appellant.
References: For more information on
- the notice that informs the appellant of the option for a modernized decision review, see M21-5, Chapter 4, Topic 3.c and
- listing a representative's address in the cc line of correspondence, see M21-1, Part I, Subpart i, 2.B.1.e.
7.D.3.i. Issuing an SOC to Appellants in the Philippines
When issuing an SOC to an appellant residing in the Philippines, attach the following statement to the letter of transmittal:
HEARING ON APPEAL
A hearing on appeal should not be requested unless the appellant actually intends to make a personal appearance before a hearing agency at Manila. Any expense involved in connection with a hearing, including expenditures for transportation to and from Manila, lodging, food, etc., may not be borne by the Government. Hearings are not required. All the evidence of record, including any statements or affidavits submitted by the appellant, or on behalf of the appellant, receives the same thorough consideration whether or not a hearing is held.
7.D.3.j. Updating VACOLS When Issuing an SOC
When an SOC is issued, VACOLS must be updated to reflect the date the SOC was sent to the appellant.
Follow the steps in the table below to update VACOLS to reflect the date an SOC is issued.
Scroll sideways to see the full table.
| Step | Action |
|---|---|
| 1 | In VACOLS, enter the appellant’s file number in the APPELLANT ID field and click on the FIND ID button to display the appellant’s VACOLS record(s). |
| 2 | Highlight the relevant appeal record, and click on the UPDATE APPEAL button to access the record. |
| 3 | Enter the date the SOC is sent to the appellant in the SOC field. |
| 4 | Select PARTIAL GRANT or DENIAL to reflect the decision made. |
| 5 | Update individual issues that are fully granted as discussed in M21-5, Chapter 7, Section D.2.b. |