## Section E. Filing a Substantive Appeal

#### Overview

+------------+---------------------------------------------------------+
| #          | > This section contains the following topics:           |
| #### In th |                                                         |
| is Section |                                                         |
+------------+---------------------------------------------------------+

  ------------ ---------------------------------------------- ------------
  Topic        Topic Name                                     See Page

  22           Substantive Appeal                             5-E-2

  23           Processing a Substantive Appeal                5-E-6

  24           Handling New Issues Raised on a Substantive    5-E-9
               Appeal                                         
  ------------ ---------------------------------------------- ------------

#### 22. Substantive Appeal

+------------+---------------------------------------------------------+
| ##### In   | > An appellant files a substantive appeal to perfect    |
| troduction | > the appeal before it is sent to the Board of          |
|            | > Veterans' Appeals (BVA). This topic contains a        |
|            | > information on                                        |
|            |                                                         |
|            | -   the purpose of a substantive appeal                 |
|            |                                                         |
|            | -   what constitutes a substantive appeal               |
|            |                                                         |
|            | -   the substantive appeal time limit                   |
|            |                                                         |
|            | -   computing the substantive appeal time limit, and    |
|            |                                                         |
|            | -   handling a time limit extension request.            |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > June 19, 2006                                         |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### a. P | > An appellant and/or his/her representative must file  |
| urpose of  | > a substantive appeal in response to a statement of    |
| a Substant | > the case (SOC) in order to perfect or complete the    |
| ive Appeal | > appeal.                                               |
|            |                                                         |
|            | > Once an appellant and/or his/her representative files |
|            | > a substantive appeal, the appeal is certified and     |
|            | > sent to the Board of Veterans' Appeals (BVA) if no    |
|            | > other development is necessary.                       |
+------------+---------------------------------------------------------+

Continued on next page

22\. Substantive Appeal, Continued

+------------+---------------------------------------------------------+
| #####      | > A substantive appeal is one of the following          |
| b. What Co | > documents containing the necessary information as     |
| nstitutes  | > provided in [38 CFR                                   |
| a Substant | > 20.202:](http://ww                                    |
| ive Appeal | w.warms.vba.va.gov/regs/38CFR/BOOKA/PART20/S20_202.DOC) |
|            |                                                         |
|            | -   *VA Form 9, Appeal to Board of Veterans' Appeals*   |
|            |                                                         |
|            | -   written correspondence containing the elements      |
|            |     listed below, or                                    |
|            |                                                         |
|            | -   a statement at a formal hearing or informal         |
|            |     conference reduced to writing.                      |
|            |                                                         |
|            |     > ***Necessary Information***: The information      |
|            |     > below *must* be included in a substantive appeal. |
|            |                                                         |
|            | -   If the SOC and any subsequent supplemental          |
|            |     statements of the case (SSOCs) addressed several    |
|            |     issues, the substantive appeal must either          |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   indicate that the appeal is being perfected as to   |
|            |     all of those issues, or                             |
|            |                                                         |
|            | -   must specifically identify the issues appealed.     |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   The substantive appeal should set out specific      |
|            |     arguments relating to errors of fact or law made by |
|            |     the agency of original jurisdiction in reaching the |
|            |     decision(s) being appealed. To the extent feasible, |
|            |     the argument should relate to specific items in the |
|            |     SOC and any subsequent SSOCs.                       |
|            |                                                         |
|            |     > ***Note***: BVA will                              |
|            |                                                         |
|            | -   construe such arguments in a liberal manner for the |
|            |     purpose of determining whether they raise issues on |
|            |     appeal                                              |
|            |                                                         |
|            | -   *not* presume that an appellant agrees with any     |
|            |     statement of fact contained in an SOC or SSOC which |
|            |     is not specifically contested, and                  |
|            |                                                         |
|            | -   determine the adequacy of a substantive appeal.     |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### c.   | > The table below describes the time limits for an      |
| Substantiv | > appellant to file a substantive appeal.               |
| e Appeal T |                                                         |
| ime Limit  |                                                         |
+------------+---------------------------------------------------------+

+-----------------+----------------------------------------------------+
| A substantive   | Must be filed ...                                  |
| appeal of a ... |                                                    |
+-----------------+----------------------------------------------------+
| contested claim | 30 days from the date the Department of Veterans   |
|                 | Affairs (VA) mailed the SOC or SSOC.               |
|                 |                                                    |
|                 | ***Reference***: For more information on contested |
|                 | claims, see M21-1MR, Part III, Subpart vi, 6.A     |
|                 | (TBD) or [M21-1, Part IV, Chapter                  |
|                 | 5](http://w                                        |
|                 | ww.warms.vba.va.gov/admin21/m21_1/part4/ch05.doc). |
+-----------------+----------------------------------------------------+

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22\. Substantive Appeal, Continued

  -----------------------------------------------------------------------
  c\. Substantive Appeal Time Limit (continued)

  -----------------------------------------------------------------------

+-----------------+----------------------------------------------------+
| A substantive   | Must be filed ...                                  |
| appeal of ...   |                                                    |
+-----------------+----------------------------------------------------+
| all other       | before the later of the following dates:           |
| claims          |                                                    |
|                 | -   60 days from the date the VA mailed the SOC or |
|                 |     SSOC, or                                       |
|                 |                                                    |
|                 | -   the last day of the one-year period from the   |
|                 |     date VA mailed the notification of the         |
|                 |     decision being appealed.                       |
|                 |                                                    |
|                 | ***Note:*** After issuing an SSOC, VA must provide |
|                 | a claimant a 60-day period in which to file a      |
|                 | substantive appeal, even if the one-year appeal    |
|                 | period will expire before the 60-day period ends.  |
|                 | Therefore, when a claimant submits additional      |
|                 | evidence within the one-year appeal period, and    |
|                 | that evidence requires preparation of an SSOC, the |
|                 | time limit to file a substantive appeal shall end  |
|                 | no sooner than 60 days after the SSOC is mailed.   |
+-----------------+----------------------------------------------------+

+------------+---------------------------------------------------------+
| ##         | > When computing the substantive appeal time limit      |
| ### d. Com |                                                         |
| puting the | -   exclude the first day of the specified period       |
|  Substanti |                                                         |
| ve Appeal  | -   include the last day of the specified period, and   |
| Time Limit |                                                         |
|            | -   if the time limit expires on a Saturday, Sunday, or |
|            |     legal holiday, include the next workday in the      |
|            |     computation.                                        |
|            |                                                         |
|            |     > If the postmark date is                           |
|            |                                                         |
|            | -   prior to the expiration of the substantive appeal   |
|            |     period                                              |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   consider the substantive appeal timely, and         |
|            |                                                         |
|            | -   retain the postmarked envelope, or                  |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   *not* of record, presume the postmark date to be    |
|            |     five days prior to the date VA received the         |
|            |     substantive appeal, excluding Saturday, Sundays,    |
|            |     and legal holidays.                                 |
+------------+---------------------------------------------------------+

Continued on next page

22\. Substantive Appeal, Continued

+------------+---------------------------------------------------------+
| ##### e.   | > An appellant may request an extension of the time     |
|  Handling  | > limit for filing a substantive appeal. In this        |
| a Time Lim | > situation, the time limit may be extended if an       |
| it Extensi | > appellant shows good cause.                           |
| on Request |                                                         |
|            | > [38 CFR                                               |
|            | > 20.303](http://ww                                     |
|            | w.warms.vba.va.gov/regs/38CFR/BOOKA/PART20/S20_303.DOC) |
|            | > provides that a request to extend the 60-day time     |
|            | > limit 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)](http://                                     |
|            | www.warms.vba.va.gov/regs/38CFR/BOOKB/PART3/S3_108.DOC) |
|            | > 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.                                            |
|            |                                                         |
|            | > An appellant may appeal a denial of a request for a   |
|            | > time limit extension to BVA.                          |
|            |                                                         |
|            | > ***Notes***:                                          |
|            |                                                         |
|            | -   [38 CFR                                             |
|            |     20.303](http://ww                                   |
|            | w.warms.vba.va.gov/regs/38CFR/BOOKA/PART20/S20_303.DOC) |
|            |     and [38 CFR                                         |
|            |     3.109(b)](http://                                   |
|            | www.warms.vba.va.gov/regs/38CFR/BOOKB/PART3/S3_108.DOC) |
|            |     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).                                               |
+------------+---------------------------------------------------------+

#### 23. Processing a Substantive Appeal

+------------+---------------------------------------------------------+
| ##### In   | > This topic contains information on                    |
| troduction |                                                         |
|            | -   handling a timely filed substantive appeal          |
|            |                                                         |
|            | -   handling a substantive appeal not timely filed      |
|            |                                                         |
|            | -   an appellant's right to a hearing, and              |
|            |                                                         |
|            | -   the request for                                     |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   regional office (RO) hearings, and                  |
|            |                                                         |
|            | -   medical examinations.                               |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > August 19, 2005                                       |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #          | > Follow the steps in the table below when a            |
| #### a. Ha | > substantive appeal is timely filed.                   |
| ndling a T |                                                         |
| imely File |                                                         |
| d Substant |                                                         |
| ive Appeal |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 1     | Update Veterans Appeals Control and Locator System (VACOLS). |
|       |                                                              |
|       | ***Result***: VACOLS assigns a BVA docket number to the      |
|       | substantive appeal.                                          |
|       |                                                              |
|       | ***Notes***:                                                 |
|       |                                                              |
|       | -   Do not update VACOLS upon receipt of a duplicate         |
|       |     substantive appeal unless a separate or new issue is     |
|       |     raised.                                                  |
|       |                                                              |
|       | -   As provided in [38 CFR                                   |
|       |     20.202,](http                                            |
|       | ://www.warms.vba.va.gov/regs/38CFR/BOOKA/PART20/S20_202.DOC) |
|       |     BVA addresses any inadequacies in the substantive        |
|       |     appeal.                                                  |
+-------+--------------------------------------------------------------+

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23\. Processing a Substantive Appeal, Continued

  -----------------------------------------------------------------------
  a\. Handling a Timely Filed Substantive Appeal (continued)

  -----------------------------------------------------------------------

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 2     | Can the benefit sought be awarded?                           |
|       |                                                              |
|       | -   If yes                                                   |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   award the benefit, if new evidence is of record or DRO   |
|       |     review is elected, and                                   |
|       |                                                              |
|       | -   close out the VACOLS record.                             |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   If no                                                    |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   confirm that all development is complete                 |
|       |                                                              |
|       | -   certify the appeal, and                                  |
|       |                                                              |
|       | -   send the appeal to BVA.                                  |
|       |                                                              |
|       | ***Reference***: For more information about certifying       |
|       | appeals, see M21-1MR, Part I, 5.F.26.                        |
+-------+--------------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > When a substantive appeal is not timely filed         |
|  b. Handli |                                                         |
| ng a Subst | -   close out the VACOLS record, if erroneously         |
| antive App |     established                                         |
| eal Not Ti |                                                         |
| mely Filed | -   inform the appellant and his/her representative in  |
|            |     writing that the                                    |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   time limit has expired, and                         |
|            |                                                         |
|            | -   decision is final                                   |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   enclose *VA Form 4107, Notice of Procedural         |
|            |     Appellate Rights*, and                              |
|            |                                                         |
|            | -   take no further action on the appeal.               |
|            |                                                         |
|            |     > ***Reference***: For more information on handling |
|            |     > a substantive appeal that is not timely filed,    |
|            |     > see                                               |
|            |                                                         |
|            | -   [38 CFR                                             |
|            |     19.33,](http://w                                    |
|            | ww.warms.vba.va.gov/regs/38CFR/BOOKA/PART19/S19_32.DOC) |
|            |     and                                                 |
|            |                                                         |
|            | -   [38 CFR                                             |
|            |     19.34.](http://w                                    |
|            | ww.warms.vba.va.gov/regs/38CFR/BOOKA/PART19/S19_34.DOC) |
+------------+---------------------------------------------------------+

Continued on next page

23\. Processing a Substantive Appeal, Continued

+------------+---------------------------------------------------------+
| ##### c.   | > An appellant may request that a hearing be held       |
| Appellant' |                                                         |
| s Right to | -   locally, before a Decision Review Officer (DRO) at  |
|  a Hearing |     the regional office (RO) of jurisdiction            |
|            |                                                         |
|            | -   before the traveling section of BVA                 |
|            |                                                         |
|            | -   at BVA in Washington, DC, or                        |
|            |                                                         |
|            | -   via a videoconference between the RO and BVA in     |
|            |     Washington, DC.                                     |
|            |                                                         |
|            |     > ***Note***: VA cannot reimburse an appellant for  |
|            |     > any expenses of such hearings.                    |
|            |                                                         |
|            |     > ***References***: For more information on         |
|            |                                                         |
|            | -   informal conferences, see M21-1MR, Part I, 5.C.14.  |
|            |                                                         |
|            | -   formal hearings, see M21-1MR, Part I, 4.            |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ###        | > If it appears *VA Form 9* has been altered in an      |
| ## d. Requ | > attempt to request a RO hearing, write or call the    |
| ests for R | > appellant to clarify whether the RO hearing is        |
| O Hearings | > requested                                             |
|            |                                                         |
|            | -   in addition to the BVA hearing, or                  |
|            |                                                         |
|            | -   in place of the BVA hearing.                        |
|            |                                                         |
|            | > ***Note***: Document the results of any telephone     |
|            | > conversation on a *VA Form 119, Report of Contact.*   |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##         | > Do *not*                                              |
| ### e. Req |                                                         |
| uests for  | -   request medical examinations solely because an      |
| Medical Ex |     appeal is pending, or                               |
| aminations |                                                         |
|            | -   defer action on an appeal pending the completion of |
|            |     any scheduled medical examination unless the        |
|            |     examination is                                      |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   related to the issue under appeal, or               |
|            |                                                         |
|            | -   necessary to properly decide the claim.             |
+------------+---------------------------------------------------------+

#### 24. Handling New Issues Raised on a Substantive Appeal

+------------+---------------------------------------------------------+
| ##### In   | > In some situations, an appellant may raise new issues |
| troduction | > during the substantive appeal process. This topic     |
|            | > contains information about handling new issues,       |
|            | > including                                             |
|            |                                                         |
|            | -   related new issues, and                             |
|            |                                                         |
|            | -   unrelated new issues.                               |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > August 19, 2005                                       |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### a.   | > An appellant may raise a new issue on a substantive   |
|  Handling  | > appeal that                                           |
| New Issues |                                                         |
|            | -   the appellant indicates is related or appears       |
|            |     related to the issue on appeal, or                  |
|            |                                                         |
|            | -   is not related to the appeal.                       |
|            |                                                         |
|            |     > In either situation, if all of the necessary      |
|            |     > evidence is                                       |
|            |                                                         |
|            | -   of record                                           |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   make a decision, and                                |
|            |                                                         |
|            | -   send the appellant the decision and *VA Form 4107*, |
|            |     or                                                  |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   not of record                                       |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   develop for evidence                                |
|            |                                                         |
|            | -   make a decision once all evidence is gathered, and  |
|            |                                                         |
|            | -   send the appellant the decision and *VA Form 4107*. |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > If the new issue is related to the appeal and the     |
| # b. Handl | > appellant files a notice of disagreement (NOD)        |
| ing Relate |                                                         |
| d New NODs | -   delay sending the file to BVA until work on the new |
|            |     issue is complete                                   |
|            |                                                         |
|            | -   send the appellant an SOC on the new issue, and     |
|            |                                                         |
|            | -   do *not* send the case to the BVA until             |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   the new issue is perfected or completed, or         |
|            |                                                         |
|            | -   the appellant fails to respond to the SOC/SSOC on   |
|            |     the new issue within 60 days.                       |
|            |                                                         |
|            |     > ***Note***: If the appellant does *not* perfect   |
|            |     > the appeal relating to the new issue, send the    |
|            |     > case to the BVA once the appellate time limits    |
|            |     > have elapsed.                                     |
+------------+---------------------------------------------------------+

Continued on next page

24\. Handling New Issues Raised on a Substantive Appeal, Continued

+------------+---------------------------------------------------------+
| #####      | > If the new issue is *not* related to the appeal,      |
| c. Handlin | > forward the case to BVA regardless of whether or not  |
| g Unrelate | > the appellant files a substantive appeal regarding    |
| d New NODs | > the new issue.                                        |
|            |                                                         |
|            | > If the appellant does file a substantive appeal       |
|            | > regarding the new issue, flash the temporary folder   |
|            | > to show that there is a new issue on appeal.          |
|            |                                                         |
|            | > ***Note***: The temporary folder should contain all   |
|            | > the evidence and documentation that is                |
|            |                                                         |
|            | -   related to the new issue, and/or                    |
|            |                                                         |
|            | -   needed to process the claim.                        |
+------------+---------------------------------------------------------+