What this means
m21-5:7.E.1 explains purpose of a substantive appeal. In plain terms, the official guidance says an appellant and/or representative must file a substantive appeal within the applicable time period in order to perfect or complete the appeal. It also addresses request clarification of a substantive appeal when a statement of the case (SOC) or supplemental statement of the case (SSOC) addresses multiple issues and the substantive appeal does not
How this may help with a claim
Use m21-5:7.E.1 to audit how VA handled purpose of a substantive appeal. Start with the decision date, the issue being reviewed, and the evidence VA was allowed to consider, then compare the record with this rule: An appellant and/or representative must file a substantive appeal within the applicable time period in order to perfect or complete the appeal. Request clarification of a substantive appeal when a statement of the case (SOC) or supplemental statement of the case (SSOC) addresses multiple issues and the substantive appeal does not 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 clarify substantive appeal issues
- Confirm that the record or notice addresses this source point: An appellant and/or representative must file a substantive appeal within the applicable time period in order to perfect or complete the appeal.
- Document how this stated step or exception applies: Upon receipt of a substantive appeal, regional offices (ROs) will establish an end product (EP) and update the Veterans Appeals Control and Locator System (VACOLS) record.
Important limits
m21-5:7.E.1 explains VA guidance for purpose of a substantive appeal; 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: An appellant and/or representative must file a substantive appeal within the applicable time period in order to perfect or complete the appeal. An appellant may request an extension of the time limit for filing a substantive appeal. In this situation, the time limit may be extended if an appellant shows good cause.
Search terms when useful
Phrases that may help when searching your claim file or this library.
- Purpose of a Substantive Appeal
- m21-5:7.E.1
- Purpose Substantive Appeal
- Substantive Appeal
- substantive appeal process
- when clarify substantive appeal
- clarifying substantive appeal involving
- processing time limit extension
Original VA guidance
The official VA text of this section
1. Substantive Appeal
Introduction
This topic contains information on substantive appeals, including
- purpose of a substantive appeal
- overview of the substantive appeal process
- when to clarify substantive appeal issues
- procedures for clarifying a substantive appeal involving multiple issues, and
- processing a time limit extension request.
Change Date
May 27, 2022
7.E.1.a. Purpose of a Substantive Appeal
An appellant and/or representative must file a substantive appeal within the applicable time period in order to perfect or complete the appeal.
Notes:
- Upon receipt of a substantive appeal, regional offices (ROs) will establish an end product (EP) and update the Veterans Appeals Control and Locator System (VACOLS) record.
- When the Board of Veterans Appeals (Board) assumes jurisdiction of the appeal, VACOLS will assign a docket number to the case.
- The Veterans Appeals Improvement and Modernization Act of 2017, Public Law 115-55, 131 Stat. 1105 (AMA) transferred the jurisdiction of all new notices of disagreements to the Board, effective February 19, 2019. The Board and VBA no longer share jurisdiction. This section pertains to legacy appeals only, unless otherwise specified.
References: For more information on
- adding appeals to the Board’s docket, see M21-5, Chapter 7, Section F.1.a
- reviewing and controlling substantive appeals, see M21-5, Chapter 6, Section B.3 and 4, and
- substantive appeal time limits, see
- 38 CFR 20.202(b)
- 38 CFR 20.502(b), and
- M21-5, Chapter 6, Sections B.3.c and d.
7.E.1.b. Overview of the Substantive Appeal Process
Initial review of incoming substantive appeals and initial handling procedures are detailed in M21-5, Chapter 6, Section B.3.
Based upon locally established workload management procedures, appeals team members are responsible for the following steps in the substantive appeals process.
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| Step | Action |
|---|---|
| 1 | Ensure VACOLS reflects the appropriate issues by following the table below. |
| 2 | Take any required action, including development for additional evidence scheduling and conducting a local hearing issuing a decision, and completing the certification process. Reference: For more information on processing additional evidence submitted with a substantive appeal, see M21-5, Chapter 7, Section E.2.a issuing appeal decisions, see M21-5, Chapter 7, Section D, and when to certify an appeal, see M21-5, Chapter 7, Section F.3.c. |
7.E.1. c. When to Clarify Substantive Appeal Issues
Request clarification of a substantive appeal when a statement of the case (SOC) or supplemental statement of the case (SSOC) addresses multiple issues and the substantive appeal does not
- indicate that the appeal is being perfected as to all of the issues, or
- specifically identify the issues being appealed.
Follow the table below when a substantive appeal is timely received in response to an SOC or SSOC that addressed multiple issues.
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| If the appellant... | Then... |
|---|---|
| does not indicate which issues are being appealed | request clarification as instructed in M21-5, Chapter 7, Section E.1.d. |
| checks Box 8b on VA Form 9, Appeal to Board of Veterans’ Appeals, or otherwise states a desire to appeal the issues on the SOC or SSOC | consider the substantive appeal to be for all issues covered in the SOC or SSOC, and do not request clarification. |
| checks Box 8a on VA Form 9, and lists specific issues | consider the substantive appeal to be for only the issues listed, and do not request clarification. |
References: For more information on
- substantive appeals, see 38 CFR 20.202, and
- substantive appeal time limits, see
- 38 CFR 20.202(b)
- 38 CFR 20.502(b), and
- M21-5, Chapter 6, Section B.3.c and d.
7.E.1.d. Procedures for Clarifying a Substantive Appeal Involving Multiple Issues
The table below describes how to process VA Form 9 and/or a substantive appeal when the
- SOC/SSOC contains multiple issues, and
- appellant does not indicate which issues are being appealed.
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| Step | Action |
|---|---|
| 1 | To clarify which issues are being appealed, the development or appeals development activity contacts the appellant and/or representative by telephone to obtain clarification documents any telephone contact with the appellant and/or representative on VA Form 27-0820, Report of General Information, for association with the claims folder, or if telephone contact is unsuccessful, sends the appellant a letter requesting to clarify the issues under appeal within 30 days from the date of the letter. Note: Extend the time limit to file the substantive appeal through the end of the 30-day response period if the time limit to file the substantive appeal has already expired, or will expire during that 30-day period. Reference: For more information on notification requirements for representatives following documentation of telephone contact on VA Form 27-0820, see M27-1, Part I, 3.1.e. |
| 2 | If clarification is not received within 30 days, the development or appeals activity sends the appellant a notification letter that explains VA is dismissing the appeal under 38 CFR 20.202 for failure to file a properly completed substantive appeal, and includes a VA Form 20-0998, Your Right to Seek Review of Our Decision. |
7.E.1.e. Processing a Time Limit Extension Request
An appellant may request an extension of the time limit for filing a substantive appeal. In this situation, the time limit may be extended if an appellant shows good cause.
38 CFR 19.53 provides that a request to extend the 60-day time limit to file a substantive appeal, or to respond to an SOC/SSOC when such a request is required, must be made in writing before the time limit has elapsed.
38 CFR 3.109(b) provides that a request to extend the one-year time limit to file a substantive appeal may be submitted after the time limit has elapsed, but only if the appellant has completed, or is in the process of completing, the action for which the extension is requested.
When an extension is requested, provide the claimant with a decision on the request. Associate a copy of the decision notice with the claims folder. If denying the request, include appeal rights with the decision notice.
Notes:
- 38 CFR 20.203 and 38 CFR 3.109(b) do not define “good cause.”
- When determining whether or not to extend the time limit for filing a substantive appeal in the case of a contested claim, take the interests of the other parties involved into consideration.
Reference: For more information on requesting an extension of the time limit to file a substantive appeal, see Morgan v. Principi, 16 Vet.App. 20 (2002).