Overview
In This Section |
This section contains the following topics:
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1. Recording the Date of Receipt of Incoming Documents
Introduction |
This topic contains policies and procedures for recording the date of receipt on documents the Department of Veterans Affairs (VA) receives, including
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Change Date |
February 19, 2019
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III.ii.1.C.1.a. Requirement to Stamp the Date of Receipt on All Incoming Documents |
Each document submitted to the Department of Veterans Affairs (VA) must receive a stamp with the date of receipt.
The table below outlines requirements regarding the type of date stamps used by facilities and locations where VA has a presence.
Exception: When special controlled correspondence is received through an RO congressional e-mail box, utilize the sent/received date on the e-mail as the date of receipt. Directly upload the mail to the claims folder and do not forward for CM processing or scanning.
Note: The Digits-to-Digits (D2D) electronic claims service is a data delivery service built to enable a Veteran’s representative to electronically submit claims and evidence. The implementation agreement with the Veterans service organizations (VSOs) provides that if an electronic claim that met VA-specified D2D standards was not successfully submitted or did not result in a confirmation ID it will not be considered received by VA for the purpose of determining the effective date of the claim. A new claim must be successfully re-submitted through D2D. The date of claim will be the date of receipt of the successfully re-submitted claim.
References: For more information on
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III.ii.1.C.1.b. Handling Documents Processed Without a Date Stamp |
Use the guidance in the table below when attempting to determine the date the VA received a document processed without a date stamp.
Important:
Note: If the RO experiences unusual delays in the delivery of incoming documents (from the mailroom, intake site, other ROs, etc.), the Veterans Service Center Manger or Pension Management Center Manager may instruct employees to annotate the date the RO received the documents.
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III.ii.1.C.1.d. Date of Receipt for Mail Processed in the CM Portal |
Date of receipt for mail routed through the CM portal is determined by the earliestofficial date
Notes:
Reference: For more information on editing document properties in VBMS, see the VBMS Job Aid – Editing Document Properties.
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III.ii.1.C.1.f. Handling Original Documents |
Claimants occasionally submit original versions of the following documents in support of their claims:
VBA no longer requires return of these documents to the claimant.
Note: Original copies of legal documents are not routinely required during claims processing. There is no mechanism in place to retrieve original documents once shipped to the scanning vendor.
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2. Signatures
Introduction |
This topic contains guidance regarding acceptable types of signatures, including
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Change Date |
February 19, 2019
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III.ii.1.C.2.a. Signature by X Mark or Thumbprint |
Accept signatures by X mark or thumbprint only if any one of the following individuals (or group of individuals) witness the mark or thumbprint:
References: For more information on
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III.ii.1.C.2.b. Signature by Pencil |
Accept signatures (or an X mark as a signature) that a claimant makes by pencil.
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III.ii.1.C.2.c. Low Quality Scanned Signatures |
In the event a low quality scanned document is received, claims processors will interpret poor quality signatures as belonging to the proper claimant.
Note: Development for a duplicate signature is not appropriate when based solely upon the scanning quality of the signature received on a document.
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III.ii.1.C.2.d. Faxed and Photocopied Signatures |
Faxed or photocopied versions of original wet signatures are acceptable for VA purposes.
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III.ii.1.C.2.e. Signatures by VA Employees |
When authority exists for a VA employee to complete forms on behalf of a claimant, or when the claims process otherwise requires a signature by a VA employee acting in his or her official capacity, the employee may substitute a typed name, station number, and position title for a wet or digital signature.
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III.ii.1.C.2.f. Definition: Digital or Electronic Signature |
A digital signature is an encrypted digital code appended to an electronic document to verify that the document was created by a known source and has not been altered.
An electronic signature is a signature, or its equivalent, that is affixed to an electronic document.
Notes: For VA purposes
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III.ii.1.C.2.g. Acceptable Electronic or Digital Signatures |
Accept any electronic or digital signature or other image of a signature on a claim, decision review request, or legacy appeal for benefits, or associated form, unless there are clear indications of fraud.
Example: A claim is signed on February 1, 2017, with the claimant’s electronic signature. Subsequent correspondence indicates that the claimant passed away December 22, 2016. As the claimant was deceased at the time the claim was signed, there is clear indication of fraud. The signature must not be accepted.
References: For more information on
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III.ii.1.C.2.h. Procedures for Acceptance of Signatures |
The policy and associated procedures for acceptance of digital and electronic signatures, as expressed in M21-1, Part III, Subpart ii, 1.C.2.g, are effective June 20, 2017, and apply to
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III.ii.1.C.2.i. Procedures for Review of Previously Rejected Signatures |
Follow the procedures below when a signature on a claim or legacy appeal wasproperly rejected based on policies and procedures in place at the time of rejection and a request for review of the prior claim is received.
Under prior policies and procedures, non-claim forms, such as certification statements that require claimant signatures, may also have been rejected due to improper electronic signatures. Subsequent development may have occurred to request a properly signed form. When a signature on claims-related material wasproperly rejected and the associated claim remains pending or a subsequent legacy appeal is received, consider the claims-related material to have an acceptable signature and proceed with consideration of the claims-related material in connection with the pending claim or legacy appeal. |
III.ii.1.C.2.j. Example of Handling a Previously Rejected Signature on a Claim |
Situation: A Veteran submits a claim on February 21, 2017, that includes an electronic signature. On March 12, 2017, the claim was properly rejected based on an unacceptable electronic signature under the guidance previously in place. The claimant was properly notified of the incomplete application and advised to submit a properly signed claim within one year to preserve the effective date of the claim. On June 21, 2017, the Veteran’s representative submitted a statement asking for review of the rejected claim based on the revised policy. A newly-signed claim form has not been submitted.
Result: The claim received on February 21, 2017, was properly rejected based on policies and procedures at the time of the rejection. However, as the request for review of the prior claim was received within one year of the date of receipt of the prior application (considered incomplete at the time) and is sufficient evidence to now complete the claim, the claim may be established with a date of claim of June 21, 2017, the date of receipt of the request for review. Any assignment of effective date for subsequently granted benefits must be established based on the date of receipt of the February 21, 2017, claim.
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III.ii.1.C.2.k. Example of Handling a Previously Rejected Signature on Claim-related Material |
Situation: A Veteran submits VA Form 21-526EZ, Application for Disability Compensation and Related Compensation Benefits, on January 15, 2017, and the claim is accepted. It includes a claim for entitlement to individual unemployability (IU). VA Form 21-8940, Veteran’s Application for Increase Compensation Based on Unemployability, is subsequently submitted on February 22, 2017, but includes an electronic signature. Subsequent development was completed on March 5, 2017, advising the Veteran that the VA Form 21-8940could not be accepted because it included an improper electronic signature. The claim received on January 15, 2017, remains pending. No VA Form 21-8940 has yet been received with a revised signature from the Veteran.
Result: As the claim of January 15, 2017, remains pending, accept the VA Form 21-8940 with the electronic signature and give full consideration to it as the claim for IU is developed and decided.
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3. Procedures for Alternate Signers
Introduction |
This topic contains guidance on individuals who are authorized to sign claim documents, including
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Change Date |
June 15, 2018 |
III.ii.1.C.3.a. Individuals Authorized to Sign on Behalf of a Claimant |
Public Law (PL) 112-154, Section 502, amended 38 U.S.C. 5101 to authorize VA to accept an alternate signature on behalf of claimants or beneficiaries who
References: For more information on
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III.ii.1.C.3.b. Requirements for an Alternate Signer |
38 U.S.C. 5101 requires an alternate signer be at least one of the following:
Note: When the evidence of record includes documentation reflecting that a court or VA finding has been made concerning the claimant’s competency status, accept a signature of any of the following on behalf of a claimant without following the procedures for alternate signers:
Reference: For more information reviewing documents pertaining to a claimant’s competency status, see
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III.ii.1.C.3.c. Handling a Form or Application With an Alternate Signature |
When an alternate signer certifies or represents that he or she is an appropriate signer under the criteria set forth in 38 U.S.C. 5101, VA will generally accept the alternate signature in the absence of discrepant information.
Follow the steps in the table below upon
Notes:
References: For more information on
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III.ii.1.C.3.d. Handling VA Form 21-526EZ With an Alternate Signature |
VA Form 21-526EZ, includes an alternate signer certification and acknowledgment paragraph.
Send the Incomplete Application letter from the Letter Creator tool or equivalent letter from PCGL with a VA Form 21-0972 to the claimant and/or alternate signer for clarification, and include the sample language in M21-1, Part III, Subpart ii, 1.C.3.e, when
Reference: For more information on the Letter Creator tool, see the Letter Creator User Guide.
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III.ii.1.C.3.e. Sample Development Language for Alternate Signer |
When sending a letter to develop to the alternate signer, claimant, and/or beneficiary, use the sample language below if
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4. Routing Mail for Claims From Foreign Residents
Introduction |
This topic contains policies regarding routing mail for claims from foreign residents, including
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Change Date |
February 19, 2019 |
III.ii.1.C.4.a. Determining Jurisdiction Over Mail From Residents of a Foreign Country |
When mail is received for disability compensation claims and related legacy appeals for any foreign location, the mail will be processed in the centralized Intake Processing Center (IPC) queue.
See the table below when determining jurisdiction for mail related to pension or survivor claims received from residents of foreign countries.
Exception: For mail related to claims received from dependents residing in a foreign country, see M21-1, Part III, Subpart ii, 1.C.4.b.
Notes:
References: For more information on
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III.ii.1.C.4.b. Claims From Dependents Residing in a Foreign Country |
Jurisdiction over claims from dependents residing in a foreign country is based on the primary beneficiary’s place of residence and entitlement and not on the dependent’s place of residence.
Example: A Veteran living in Salt Lake City, Utah, files a claim for disability compensation. After the Salt Lake City RO awards entitlement based on a 50-percent disability evaluation, the Veteran’s dependent, who lives in Seoul, Korea, files a claim for an apportioned share of the Veteran’s benefits.
Result: Because the Veteran resides within the jurisdiction of the Salt Lake City RO, this RO – not the Pittsburgh RO – is responsible for processing the dependent’s claim.
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5. Handling Claims for Ancillary Benefits
Change Date |
July 10, 2015 |
III.ii.1.C.5.a. Handling Claims for Ancillary Benefits |
Upon receipt of an application form for the ancillary benefits listed below, follow normal procedures in M21-1, Part III, Subpart ii, 1.A for reviewing mail.
Ancillary benefit application forms include
Note: An EP 290 is normally established for ancillary benefits unless received as part of an original claim for other benefits, in which case an EP 110 or 010 series would be used.
References: For more information on
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6. Screening and Handling Restricted-Access Mail From Employees and Their Relatives
Introduction |
This topic contains information on screening and handling restricted-access mail from employees and their relatives, including
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Change Date |
February 19, 2019 |
III.ii.1.C.6.a. Identifying Restricted- Access Mail |
Mail from the following claimants requires restricted-access handling:
Reference: For more information about identifying individuals whose claims require restricted-access handling, see M21-1, Part III, Subpart ii, 4.A.3 and 4.
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III.ii.1.C.6.b. Who Has Jurisdiction Over Restricted-Access Mail |
With few exceptions, mail related to claims filed by employees and their relatives require restricted-access handling by the St. Paul Restricted Access Claims Center (RACC) for compensation claims, and by the St. Paul PMC RACC for pension and survivor claims.
Reference: For additional information on claims handled by RACCs, see M21-1, Part III, Subpart ii, 4.A.4.
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III.ii.1.C.6.c. NWQ Routing of Claims to RACCs |
Follow the instructions in the NWQ Playbook, under the heading Restricted Access Claims Center (RACC) Claims Routing, upon receipt of a claim or legacy appeal that
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III.ii.1.C.6.d. Use of the RACC Cover Sheet for Proper Mail Routing |
Mail routing within the CM portals is normally based upon the zip code from which correspondence originated.
RACC employees attach cover sheets to all outgoing correspondence. Additionally, Public Contact teams at all ROs provide these cover sheets to employee/family member claimants upon request. The cover sheets override zip codes and automatically route the incoming mail to the appropriate RACC CM queue.
In cases where non-RACC ROs receive RACC mail, they will reassign the mail within their CM queues to the appropriate RACC CM queue per instructions found in M21-1, Part III, Subpart ii, 1.E.5.c, Step 2.
References: For additional information on
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III.ii.1.C.6.e. RACC Mail Handling Responsibilities |
When a RACC receives mail from an employee or an employee’s relative as listed in M21-1, Part III, Subpart ii, 4.A.4.a from another RO, it must
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7. Measuring Timeliness of a Reduction or Discontinuation of Benefits
Introduction |
This topic contains instructions for measuring timeliness of a reduction or discontinuation of benefits, including
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Change Date |
December 13, 2018 |
III.ii.1.C.7.a. Establishing Timeliness Controls on PotentialUnder/Overpayments |
When information is received that suggests a potential under/overpayment may exist, add the Potential Under/Overpayment special issue to allow for monitoring of timeliness in completing action on potential under/overpayments.
Exception: The use of the Potential Under/Overpayment special issue is not required while processing pension and survivor claims.
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III.ii.1.C.7.b. When to Establish Timeliness Controls on Potential Overpayments |
Add the Potential Under/Overpayment special issue when information is received from one of the following sources indicating potential overpayment:
Examples of mail that could result in a reduction or discontinuation of benefits include
References: For more information on
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III.ii.1.C.7.c. When to Establish Timeliness Controls on Potential Underpayments |
The source of the information prompting use of the Potential Under/Overpayment special issue must be
Example: An Audit Error Worksheet (AEW) for entitlement to Concurrent Retirement and Disability Pay or Combat Related Special Compensation.
References: For more information on
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8. Handling Outdated Forms
Introduction |
This topic contains information about outdated versions of forms, including
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Change Date |
December 13, 2018 |
III.ii.1.C.8.a. Accepting Outdated Versions of a VA Form |
In compliance with the Paperwork Reduction Act and associated policies and procedures of the Office of Management and Budget, outdated versions of forms can only be accepted in limited circumstances as these are no longer the official form prescribed by the Secretary of VA. For claims processing purposes, generally accept only the current version of a form, including a claim form.
Exceptions: Outdated versions of forms may only be accepted in the circumstances described below:
Notes:
References: For more information on
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III.ii.1.C.8.b. Determining the Date a Form Becomes Outdated |
In most cases, as described in M21-1, Part III, Subpart ii, 1.C.8.a, a prior version of a form becomes outdated one year after the date that the form is revised. Determine the date a version of a form was released or revised by referring to the
Note: The current version of the form normally provides the prior version of the form that has been superseded. This information is customarily located near the form number and revision date at the bottom of the form.
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III.ii.1.C.8.c. Example of Outdated Form Determination |
As noted in M21-1, Part III, Subpart ii, 1.C.8.b, information on the current version of the form can be used to determine whether a prior version is outdated.
Example: A Veteran submitted VA Form 21-526EZ on August 22, 2018, using the February 2016 version of the form. As of August 22, 2018, the current version of VA Form 21-526EZ is dated March 2018 as indicated by the revision date on the form and the REVISION DATE field on the forms websites. The current version of VA Form 21-526EZ also shows that the February 2016 version was the prior version.
![]() A prior version of a form may be accepted for one year after the form has been revised as directed at M21-1, Part III, Subpart ii, 1.C.8.a. Thus, the February 2016 version of VA Form 21-526EZ is acceptable until March 2019, one year after the current revision date. The claim is valid and development should begin.
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III.ii.1.C.8.d. Rejecting an Outdated Version of a VA Form |
When an outdated form must be rejected, return the form to the Veteran and POA, if necessary, using the procedures below.
Reference: For more information on using the Letter Creator tool, see the Letter Creator User Guide.
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