### Section B. Notice of Disagreement (NOD)

#### Overview {#overview .unnumbered}

+------------+---------------------------------------------------------+
| ##         | > This section contains the following topics:           |
| ### In thi |                                                         |
| s Section  |                                                         |
| {#in-this- |                                                         |
| section .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

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

  3            NOD Definition                                 5-B-2

  4            Time Limits for Filing an NOD                  5-B-4

  5            Receipt of an NOD                              5-B-6

  6            Multiple NOD Issues                            5-B-10

  7            Reviewing an NOD for Further Development       5-B-12

  8            Exhibit 1: Appeal Process Request Letter       5-B-16

  9            Exhibit 2: Decision Review Officer (DRO)       5-B-18
               Process Explanation Letter                     
  ------------ ---------------------------------------------- ------------

#### 3. NOD Definition {#nod-definition .unnumbered}

+------------+---------------------------------------------------------+
| #####      | > This topic contains a definition of an NOD and        |
| Introducti | > information on                                        |
| on {#intro |                                                         |
| duction .u | -   requesting clarification from claimants, and        |
| nnumbered} |                                                         |
|            | -   a response to a notice of proposed adverse action.  |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > December 9, 2004                                      |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > A ***notice of disagreement (NOD)*** is a written     |
|  a. Defini | > communication from a claimant or his/her              |
| tion: Noti | > representative expressing                             |
| ce of Disa |                                                         |
| greement ( | -   dissatisfaction or disagreement with a decision,    |
| NOD) {#a.- |     and                                                 |
| definition |                                                         |
| -notice-of | -   a desire to contest the result.                     |
| -disagreem |                                                         |
| ent-nod .u |     Although no specific wording is required in the     |
| nnumbered} |     NOD, it must be in terms that can be reasonably     |
|            |     interpreted as a disagreement with a decision and a |
|            |     desire for appellate review.                        |
|            |                                                         |
|            | > ***Note***: A transcript of either a formal hearing   |
|            | > or informal conference containing an expression of    |
|            | > disagreement fulfills the requirement that the        |
|            | > statement be "in writing."                            |
|            | >                                                       |
|            | > ***Reference***: For more information on what         |
|            | > constitutes an NOD, see [38 CFR                       |
|            | > 20.201](http://www                                    |
|            | .warms.vba.va.gov/regs/38CFR/BOOKA/PART20/S20_200.DOC). |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > If you are uncertain as to whether or not a letter    |
| b. Request | > from the claimant is an NOD, follow the procedure in  |
| ing Clarif | > [M21-1MR, Part I,                                     |
| ication {# | > 5.B.6.b](../pt01_ch05_secB#I.5.B.6.b) to request      |
| b.-request | > clarification from the claimant.                      |
| ing-clarif |                                                         |
| ication .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

Continued on next page

3\. NOD Definition, Continued

+------------+---------------------------------------------------------+
| ##### c.   | > Do *not* accept an NOD in response to a notice of     |
|  Response  | > proposed adverse action as a valid NOD.               |
| to Notice  |                                                         |
| of Propose | > Advise the beneficiary that a proposed adverse action |
| d Adverse  | > is merely a preliminary action that is not appealable |
| Action {#c | > and that a notice of appellate rights will be         |
| .-response | > furnished when a final decision is made.              |
| -to-notice |                                                         |
| -of-propos | > Delete any Veterans Appeals Control and Locator       |
| ed-adverse | > System (VACOLS) record that was erroneously           |
| -action .u | > established.                                          |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

#### 4. Time Limits for Filing an NOD

+------------+---------------------------------------------------------+
| ##### In   | > An appellant must file an NOD within a specified time |
| troduction | > limit. This topic defines the NOD time limit and      |
|  {#introdu | > contains information on                               |
| ction-1 .u |                                                         |
| nnumbered} | -   computing the NOD time limit                        |
|            |                                                         |
|            | -   informing the appellant of an NOD that was not      |
|            |     timely filed, and                                   |
|            |                                                         |
|            | -   handling a time limit extension request.            |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > April 25, 2007                                        |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > The table below describes the time limit for an       |
| a. NOD Tim | > appellant to file an NOD.                             |
| e Limit {# |                                                         |
| a.-nod-tim |                                                         |
| e-limit .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

+-----------------+----------------------------------------------------+
| An NOD for ...  | Must be filed ...                                  |
+-----------------+----------------------------------------------------+
| a contested     | 60 days from the date the Department of Veterans   |
| claim,          | Affairs (VA) mailed the notification of the        |
| including an    | decision to the unsuccessful claimant.             |
| apportionment   |                                                    |
| claim           | ***References***: For more information on          |
|                 |                                                    |
|                 | -   contested claims, see M21-1MR, Part III,       |
|                 |     Subpart vi, 6 (TBD) or [M21-1, Part IV,        |
|                 |     Chapter                                        |
|                 |     5](http://w                                    |
|                 | ww.warms.vba.va.gov/admin21/m21_1/part4/ch05.doc), |
|                 |     and                                            |
|                 |                                                    |
|                 | -   apportionment claims, see M21-1MR, Part III,   |
|                 |     Subpart v, 3.                                  |
+-----------------+----------------------------------------------------+
| all other       | one year from the date VA mailed the notification  |
| claims          | of the decision to the claimant.                   |
+-----------------+----------------------------------------------------+

Continued on next page

4\. Time Limits for Filing an NOD, Continued

+------------+---------------------------------------------------------+
| ####       | > When computing the NOD time limit                     |
| # b. Compu |                                                         |
| ting the N | -   exclude the first day of the specified period       |
| OD Time Li |                                                         |
| mit {#b.-c | -   include the last day of the specified period, and   |
| omputing-t |                                                         |
| he-nod-tim | -   if the time limit expires on a Saturday, Sunday, or |
| e-limit .u |     legal holiday, include the next workday in the      |
| nnumbered} |     computation.                                        |
|            |                                                         |
|            |     > If the postmark date is                           |
|            |                                                         |
|            | -   prior to the expiration of the NOD period           |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   consider the NOD timely filed, 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 NOD,    |
|            |     excluding Saturday, Sundays, and legal holidays.    |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ####       | > If an appellant files an NOD past the time limit      |
| # c. Infor |                                                         |
| ming Appel | -   inform the appellant via letter, and                |
| lant When  |                                                         |
| NOD Is Not | -   send *VA Form 4107, Notice of Procedural and        |
|  Timely Fi |     Appellate Rights,* with the letter.                 |
| led {#c.-i |                                                         |
| nforming-a |     > The issue that an NOD was not timely filed is,    |
| ppellant-w |     > itself, appealable to the Board of Veterans'      |
| hen-nod-is |     > Appeals (BVA). See M21-1MR, Part I, 5.B.5.d.      |
| -not-timel |                                                         |
| y-filed .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > An appellant may request an extension of the time     |
| d. Handlin | > limit for filing an NOD.                              |
| g a Time L | >                                                       |
| imit Exten | > In this situation, the time limit may be extended if  |
| sion Reque | > the appellant shows good cause. [38 CFR               |
| st {#d.-ha | > 3.109](http://                                        |
| ndling-a-t | www.warms.vba.va.gov/regs/38CFR/BOOKB/PART3/S3_108.DOC) |
| ime-limit- | > provides that a request to extend the time limit may  |
| extension- | > be made either before or after the expiration of the  |
| request .u | > NOD period, although this regulation does *not*       |
| nnumbered} | > define good cause.                                    |
|            | >                                                       |
|            | > An appellant may appeal a denial of a request for a   |
|            | > time limit extension to BVA.                          |
+------------+---------------------------------------------------------+

#### 5. Receipt of an NOD

+------------+---------------------------------------------------------+
| ##### In   | > When an NOD is received, VA must review it to clarify |
| troduction | > any issues. This topic contains information on        |
|  {#introdu |                                                         |
| ction-2 .u | -   accepting an NOD                                    |
| nnumbered} |                                                         |
|            | -   receiving a request for the DRO review process, and |
|            |                                                         |
|            | -   receiving an NOD with a request for a hearing       |
|            |                                                         |
|            | -   handling an NOD not timely filed                    |
|            |                                                         |
|            | -   handling disagreements regarding inadequate or not  |
|            |     timely filed NODs, and                              |
|            |                                                         |
|            | -   new issues raised on an NOD.                        |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > April 25, 2007                                        |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### a. A | > Follow the steps in the table below to accept an NOD  |
| ccepting a | > when it is received.                                  |
| n NOD {#a. |                                                         |
| -accepting |                                                         |
| -an-nod .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 1     | Review the NOD.                                              |
|       |                                                              |
|       | > ***Note***: The correspondence accepted as the notice of   |
|       | > disagreement will be stamped in the lower right corner on  |
|       | > the top page as follows:                                   |
|       |                                                              |
|       | **NOTICE OF DISAGREEMENT**                                   |
|       |                                                              |
|       | **RECORDED\_\_\_\_\_\_\_\_\_\_\_\_\_                         |
|       | \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_** |
|       |                                                              |
|       | **\[DATE\]**                                                 |
+-------+--------------------------------------------------------------+

Continued on next page

5\. Receipt of an NOD, Continued

  -----------------------------------------------------------------------
  a\. Accepting an NOD (continued)

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

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 2     | Establish a VACOLS record and diary within 7 days.           |
|       |                                                              |
|       | ***Notes***:                                                 |
|       |                                                              |
|       | -   If it is unclear as to whether or not a letter from the  |
|       |     claimant is an NOD, follow the procedures for            |
|       |     clarification of issues in [M21-1MR, Part I,             |
|       |     5.B.6.b](../pt01_ch05_secB#I.5.B.6.b).                   |
|       |                                                              |
|       | -   The NOD need not be associated with the claimant's       |
|       |     records prior to establishing the appeal record in       |
|       |     VACOLS, or referral to the proper operating element.     |
|       |                                                              |
|       | ***Reference***: For more information on VACOLS, see         |
|       |                                                              |
|       | -   M21-1MR, Part I, 5.K, and                                |
|       |                                                              |
|       | -   the VACOLS User's Guide.                                 |
+-------+--------------------------------------------------------------+
| 3     | Did the appellant request the DRO review process on his/her  |
|       | NOD?                                                         |
|       |                                                              |
|       | -   If yes, send the appellant the *DRO Process Explanation  |
|       |     Letter*.                                                 |
|       |                                                              |
|       | -   If no                                                    |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   send the appellant the *Appeal Process Request Letter*   |
|       |                                                              |
|       | -   give the appellant 60 days from the date the letter is   |
|       |     sent to elect the DRO review process. This time limit    |
|       |     cannot be extended. (***Note***: Failure to reply to the |
|       |     letter is considered an election of the traditional      |
|       |     appellate processing method and an indication that a DRO |
|       |     review process is not desired.)                          |
|       |                                                              |
|       | ***References***: For a sample of the                        |
|       |                                                              |
|       | -   *DRO Process Explanation Letter*, see M21-1MR, Part I,   |
|       |     5.B.8, and                                               |
|       |                                                              |
|       | -   *Appeal Process Request Letter*, see [M21-1MR, Part I,   |
|       |     5.B.9](http://vbaw                                       |
|       | .vba.va.gov/bl/21/M21-1MR/pt01/ch05/pt01_ch05_secB#I.5.B.9). |
+-------+--------------------------------------------------------------+

Continued on next page

5\. Receipt of an NOD, Continued

+------------+---------------------------------------------------------+
| ####       | > If a hearing request is received with an NOD          |
| # b. Recei |                                                         |
| ving an NO | -   schedule and hold the hearing, and then             |
| D with Req |                                                         |
| uest for a | -   send the statement of the case (SOC).               |
|  Hearing { |                                                         |
| #b.-receiv | > ***Note***: This policy applies to both the DRO and   |
| ing-an-nod | > the traditional appellate review process.             |
| -with-requ |                                                         |
| est-for-a- | > ***References***: For more information on             |
| hearing .u |                                                         |
| nnumbered} | -   the filing of NODs and appeals, see [38 U.S.C.      |
|            |                                                         |
|            |  7105](http://www4.law.cornell.edu/uscode/38/7105.html) |
|            |                                                         |
|            | -   the DRO review process, see M21-1MR, Part I, 5.C    |
|            |                                                         |
|            | -   hearings, see M21-1MR, Part I, 4, and               |
|            |                                                         |
|            | -   sending an SOC, see M21-1MR, Part I, 5.D.           |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##         | > If an NOD is received that is not timely filed,       |
| ### c. Han | > inform the appellant, in writing, that the            |
| dling an N |                                                         |
| OD Not Tim | -   decision became final at the expiration of the      |
| ely Filed  |     applicable time limit, and                          |
| {#c.-handl |                                                         |
| ing-an-nod | -   decision as to whether an appeal is timely filed is |
| -not-timel |     appealable.                                         |
| y-filed .u |                                                         |
| nnumbered} | > ***Note***: Send *VA Form 4107* with the letter.      |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ###        | > If the appellant disagrees with a determination that  |
| ## d. Hand | > an NOD was not adequate or timely filed, send him/her |
| ling Disag | > an SOC because that determination may be appealed.    |
| reements A | >                                                       |
| bout Inade | > ***References***: For more information on             |
| quate or N |                                                         |
| ot Timely  | -   disputes of NODs, see                               |
| Filed NODs |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   [38 CFR                                             |
|            |     19.28](http://ww                                    |
|            | w.warms.vba.va.gov/regs/38CFR/BOOKA/PART19/S19_25.DOC), |
|            |     and                                                 |
|            |                                                         |
|            | -   [38 CFR                                             |
|            |     19.34](http://ww                                    |
|            | w.warms.vba.va.gov/regs/38CFR/BOOKA/PART19/S19_34.DOC), |
|            |     and                                                 |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   sending an SOC, see M21-1MR, Part I, 5.D.           |
+------------+---------------------------------------------------------+

Continued on next page

5\. Receipt of an NOD, Continued

+------------+---------------------------------------------------------+
| ##         | > If the appellant raises issues on the NOD that have   |
| ### e. New | > not yet been adjudicated                              |
|  Issues Ra |                                                         |
| ised on an | -   do *not* delay sending an SOC covering those issues |
|  NOD {#e.- |     that were previously decided provided there is no   |
| new-issues |     outstanding evidence identified by the appellant or |
| -raised-on |     the VSR, RVSR, or DRO, and                          |
| -an-nod .u |                                                         |
| nnumbered} | -   treat the new issues as a new claim, establish the  |
|            |     appropriate end product (EP) control, and undertake |
|            |     the development needed to decide the new issue.     |
|            |                                                         |
|            |     > ***References***: For more information on         |
|            |                                                         |
|            | -   handling new issues, see M21-1MR, Part I, 5.E.24.   |
|            |                                                         |
|            | -   including appeal rights with the decision of the    |
|            |     new issue, see M21-1MR, Part III, Subpart v, 2.B.   |
+------------+---------------------------------------------------------+

#### 6. Multiple NOD Issues

+------------+---------------------------------------------------------+
| ##### In   | > An NOD may be received that pertains to a decision    |
| troduction | > with multiple issues. This topic contains information |
|  {#introdu | > on                                                    |
| ction-3 .u |                                                         |
| nnumbered} | -   multiple issue NODs, and                            |
|            |                                                         |
|            | -   clarifying multiple issue NODs.                     |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > April 25, 2007                                        |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| #####      | > An NOD may express disagreement with a decision that  |
| a. Multipl | > contains multiple issues, but may not be clear as to  |
| e Issue NO | > which issue is being appealed.                        |
| Ds {#a.-mu |                                                         |
| ltiple-iss | > ***Note***: A single-issue NOD does not require       |
| ue-nods .u | > clarification.                                        |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### b.   | > Follow the steps in the table below when an NOD       |
|  Clarifyin | > contains multiple issues, and at least one of the     |
| g Multiple | > issues requires clarification.                        |
|  Issue NOD |                                                         |
| s {#b.-cla |                                                         |
| rifying-mu |                                                         |
| ltiple-iss |                                                         |
| ue-nods .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 1     | Can you identify one or more issues that are being appealed? |
|       |                                                              |
|       | -   If yes (but other issues require clarification)          |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   inform the appellant of the appealed issues              |
|       |                                                              |
|       | -   track the issue(s) identified as being appealed as an    |
|       |     NOD in VACOLS                                            |
|       |                                                              |
|       | -   go to [M21-1MR, Part I,                                  |
|       |     5.B.7](../pt01/ch05/pt01_ch05_secB#I.5.B.7), for action  |
|       |     on the issues identified as being appealed, and          |
|       |                                                              |
|       | -   go to Step 2 for action on the issue(s) requiring        |
|       |     clarification.                                           |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   If no, go to Step 2.                                     |
|       |                                                              |
|       | ***Note***: If the NOD contained issues that do not require  |
|       | clarification, explain in the letter that these issues are   |
|       | considered to be under appeal.                               |
+-------+--------------------------------------------------------------+

Continued on next page

6\. Multiple NOD Issues, Continued

  -----------------------------------------------------------------------
  b\. Clarifying Multiple Issue NODs (continued)

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

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 2     | -   Contact the appellant by telephone or in writing to      |
|       |     request clarification of which issue(s) is being         |
|       |     appealed, and                                            |
|       |                                                              |
|       | -   notify the appellant that if he/she fails to respond     |
|       |     within the remainder of the appeal period, the earlier,  |
|       |     unclear communication will not be considered an NOD.     |
|       |                                                              |
|       | ***Note***:                                                  |
|       |                                                              |
|       | -   If the appeal period is over, or has less than 60 days   |
|       |     remaining, give the appellant 60 days to respond to the  |
|       |     request for clarification in order to keep the appeal    |
|       |     viable. Explain this 60-day time limit in your oral or   |
|       |     written contact with the appellant.                      |
|       |                                                              |
|       | -   Document any telephone conversation with the appellant   |
|       |     on *VA Form 119, Report of Contact*.                     |
+-------+--------------------------------------------------------------+
| 3     | Did the appellant send clarification within the given time   |
|       | limit?                                                       |
|       |                                                              |
|       | -   If yes                                                   |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   inform the appellant of the appealed issues              |
|       |                                                              |
|       | -   track the issue(s) as an NOD in VACOLS, and              |
|       |                                                              |
|       | -   go to [M21-1MR, Part I,                                  |
|       |     5.B.7](http://vbaw                                       |
|       | .vba.va.gov/bl/21/M21-1MR/pt01/ch05/pt01_ch05_secB#I.5.B.7). |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   If no, delete any VACOLS record that was erroneously     |
|       |     established.                                             |
|       |                                                              |
|       | ***Notes***:                                                 |
|       |                                                              |
|       | -   If the issue(s) requiring clarification is determined to |
|       |     be an NOD, the date of the NOD is the date of receipt of |
|       |     the written communication, not the date of               |
|       |     clarification.                                           |
|       |                                                              |
|       | -   If the appellant files a response past the time limit,   |
|       |     follow the procedures in M21-1MR, Part I, 5.B.5.e.       |
+-------+--------------------------------------------------------------+

+-----------------------------------------------------------------------+
| > ***Note***: If, after following the procedures in the above table,  |
| > it is still not clear whether the issue(s) can be considered an     |
| > NOD, follow the procedures for an administrative appeal in M21-1MR, |
| > Part I, 5.J.49.                                                     |
| >                                                                     |
| > ***Reference***: For more information on clarification of issues    |
| > under appeal, see [38 CFR                                           |
| > 1                                                                   |
| 9.26](http://www.warms.vba.va.gov/regs/38CFR/BOOKA/PART19/S19_26.DOC) |
| > and [38 CFR                                                         |
| > 19                                                                  |
| .27](http://www.warms.vba.va.gov/regs/38CFR/BOOKA/PART19/S19_27.DOC). |
+-----------------------------------------------------------------------+

#### 7. Reviewing an NOD for Further Development

+------------+---------------------------------------------------------+
| ##### In   | > Once an NOD has been received, further development of |
| troduction | > evidence may be required. This topic contains         |
|  {#introdu | > information on                                        |
| ction-4 .u |                                                         |
| nnumbered} | -   who reviews the claim                               |
|            |                                                         |
|            | -   VA's duty to assist the appellant in obtaining any  |
|            |     necessary evidence                                  |
|            |                                                         |
|            | -   reviewing an NOD, and                               |
|            |                                                         |
|            | -   developing an NOD.                                  |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > December 9, 2004                                      |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### a. W | > When an NOD is timely received, the VSR, RVSR, or     |
| ho Reviews | > DRO, as appropriate, reviews the claim to determine   |
|  the Claim | > if                                                    |
|  {#a.-who- |                                                         |
| reviews-th | -   the prior decision was correct, and                 |
| e-claim .u |                                                         |
| nnumbered} | -   any development or other action is needed.          |
+------------+---------------------------------------------------------+

Continued on next page

7\. Reviewing an NOD for Further Development, Continued

+------------+---------------------------------------------------------+
| ##### b. D | > VA has a duty to assist the appellant in obtaining    |
| uty to Ass | > the necessary evidence to substantiate his/her claim. |
| ist Appell | > This may include the following evidence:              |
| ant in Obt |                                                         |
| aining Nec | -   evidence from leads supplied by the appellant and   |
| essary Evi |     his/her representatives                             |
| dence {#b. |                                                         |
| -duty-to-a | -   service department and VA records, including        |
| ssist-appe |     records pertaining to injury or disease and         |
| llant-in-o |     treatment                                           |
| btaining-n |                                                         |
| ecessary-e | -   hospital reports                                    |
| vidence .u |                                                         |
| nnumbered} | -   reports of private medical examinations             |
|            |                                                         |
|            | -   complete medical, surgical, and hospital clinical   |
|            |     records                                             |
|            |                                                         |
|            | -   the Counseling, Evaluation and Rehabilitation (CER) |
|            |     folder and training subfolder, if based on injury   |
|            |     resulting from pursuit of a course of vocational    |
|            |     rehabilitation, or in service-connection claims     |
|            |                                                         |
|            | -   office records of physicians                        |
|            |                                                         |
|            | -   evidence relating to work history in a claim for    |
|            |     permanent and total disability or a total rating    |
|            |     based upon individual unemployability               |
|            |                                                         |
|            | -   dental treatment folders, including the application |
|            |     for and denial of treatment in cases in which a     |
|            |     dental condition is at issue                        |
|            |                                                         |
|            | -   medical reports from the Social Security            |
|            |     Administration (SSA), and                           |
|            |                                                         |
|            | -   records related to eligibility for regular aid and  |
|            |     attendance (A&A) or housebound status.              |
|            |                                                         |
|            |     > ***Reference***: For more information on          |
|            |     > requesting non-Federal or private records, see    |
|            |     > M21-1MR, Part I, 1.C.6.                           |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### c. R | > Follow the steps in the table below to review an NOD. |
| eviewing a |                                                         |
| n NOD {#c. |                                                         |
| -reviewing |                                                         |
| -an-nod .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 1     | Review the entire record, including the appellant's          |
|       | statement on the NOD, to determine if additional development |
|       | is needed.                                                   |
+-------+--------------------------------------------------------------+
| 2     | Is additional evidence required?                             |
|       |                                                              |
|       | -   If yes, go to M21-1MR, Part I, 5.B.7.d.                  |
|       |                                                              |
|       | -   If no, go to Step 3.                                     |
+-------+--------------------------------------------------------------+

Continued on next page

7\. Reviewing an NOD for Further Development, Continued

  -----------------------------------------------------------------------
  c\. Reviewing an NOD (continued)

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

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 3     | Was the decision a clear and unmistakable error (CUE)?       |
|       |                                                              |
|       | -   If yes, take corrective action                           |
|       |                                                              |
|       | -   If no, go to Step 4.                                     |
|       |                                                              |
|       |     ***Reference***: For more information on the duty to     |
|       |     assist the appellant in obtaining necessary evidence,    |
|       |     see M21-1MR, Part I, 5.B.7.b.                            |
+-------+--------------------------------------------------------------+
| 4     | Correct any previous oversights that are discovered.         |
|       |                                                              |
|       | -   Do not forward the case to BVA until all reasonable      |
|       |     assistance has been given to the appellant and all       |
|       |     necessary evidence that can be obtained by VA is on      |
|       |     file, and                                                |
|       |                                                              |
|       | Complete all development as quickly as possible to avoid     |
|       | undue delay.                                                 |
|       |                                                              |
|       | ***Reference***: For more information on the duty to assist  |
|       | the appellant in obtaining necessary evidence, see M21-1MR,  |
|       | Part I, 5.B.7.b.                                             |
+-------+--------------------------------------------------------------+
| 5     | Determine whether some other action is needed, such as a     |
|       |                                                              |
|       | -   submission to the Veterans Service Center Manager (VSCM) |
|       |     or DRO with a request for the DRO appellate review       |
|       |     process, or                                              |
|       |                                                              |
|       | -   request for an advisory opinion.                         |
|       |                                                              |
|       | ***Important***: Ensure that the decision notice sent to the |
|       | appellant clearly indicates that after such action, the      |
|       |                                                              |
|       | -   decision was not made by BVA, and                        |
|       |                                                              |
|       | -   appellant still has the right to appeal.                 |
+-------+--------------------------------------------------------------+

Continued on next page

7\. Reviewing an NOD for Further Development, Continued

+------------+---------------------------------------------------------+
| ##         | > Follow the steps in the table below to develop an NOD |
| ### d. Dev | > for further evidence.                                 |
| eloping an |                                                         |
|  NOD {#d.- |                                                         |
| developing |                                                         |
| -an-nod .u |                                                         |
| nnumbered} |                                                         |
+------------+---------------------------------------------------------+

+-------+--------------------------------------------------------------+
| Step  | Action                                                       |
+-------+--------------------------------------------------------------+
| 1     | Request evidence.                                            |
+-------+--------------------------------------------------------------+
| 2     | Was the evidence received within the given time limit?       |
|       |                                                              |
|       | -   If yes, go to Step 3.                                    |
|       |                                                              |
|       | -   If no                                                    |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   take no further development action, and                  |
|       |                                                              |
|       | -   send an SOC to the appellant and his/her representative  |
|       |     on the basis of the evidence of record, explaining which |
|       |     requested evidence was not received.                     |
|       |                                                              |
|       | -   take end product (EP) 172 or 174                         |
|       |                                                              |
|       | -   allow the claimant to perfect the appeal.                |
|       |                                                              |
|       | ***Reference***: For more information on sending an SOC, see |
|       | M21-1MR, Part I, 5.D.                                        |
+-------+--------------------------------------------------------------+
| 3     | Did the evidence result in a complete grant of the benefits  |
|       | sought or did the appellant or his/her representative        |
|       | withdraw the NOD?                                            |
|       |                                                              |
|       | -   If yes, close out any VACOLS controls.                   |
|       |                                                              |
|       | -   If no                                                    |
|       |                                                              |
|       | ```{=html}                                                   |
|       | <!-- -->                                                     |
|       | ```                                                          |
|       | -   issue an SOC                                             |
|       |                                                              |
|       | -   update VACOLS, and                                       |
|       |                                                              |
|       | -   take end product (EP) 172 or 174.                        |
|       |                                                              |
|       | ***Note***: Do not prepare an SOC until development is       |
|       | completed or the time limit for submission of evidence has   |
|       | expired.                                                     |
|       |                                                              |
|       | ***Reference***: For more information on                     |
|       |                                                              |
|       | -   sending an SOC, see M21-1MR, Part I, 5.D, and            |
|       |                                                              |
|       | -   what EP credit to take, see [M21-4, Appendix             |
|       |     C](http://www.warms.vba.va.gov/admin21/m21_4/appC.doc).  |
+-------+--------------------------------------------------------------+

#### 8. Exhibit 1: Appeal Process Request Letter

+------------+---------------------------------------------------------+
| ##### C    | > December 9, 2004                                      |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### a.   | > Page 1 of an example of the *Appeal Process Request   |
|  Appeal Pr | > Letter* is below.                                     |
| ocess Requ |                                                         |
| est Letter |                                                         |
|  -- Page 1 |                                                         |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > **Appeal Process Request Letter**                                   |
| >                                                                     |
| > DEPARTMENT OF VETERANS AFFAIRS                                      |
| >                                                                     |
| > Regional Office                                                     |
| >                                                                     |
| > **\[date\]**                                                        |
| >                                                                     |
| > **\[appellant's name\]**                                            |
| >                                                                     |
| > **\[appellant's address\]** In Reply Refer To:                      |
|                                                                       |
| **\[salutation\]**                                                    |
|                                                                       |
| > We received your written disagreement with the Department of        |
| > Veterans Affairs (VA) decision of **\[date\]**. This letter         |
| > describes what happens next.                                        |
| >                                                                     |
| > **Will VA try to resolve my disagreement?**                         |
| >                                                                     |
| > This local VA office will try to resolve your disagreement through  |
| > the Post-Decision Review Process. As part of this process, you must |
| > decide how you would like us to handle your appeal. You may choose  |
| > to have a Decision Review Officer assigned to your case or to       |
| > follow the traditional appeal process.                              |
| >                                                                     |
| > **How does the Decision Review Officer Process work?**              |
| >                                                                     |
| > **Complete review**: The Decision Review Officer will review the    |
| > materials in your VA claims folder, including evidence and          |
| > arguments, and statements from your representative. This may lead   |
| > the Decision Review Officer to request additional evidence from     |
| > you, your doctor or some other source. You may be asked to          |
| > participate in an informal conference with the Decision Review      |
| > Officer to discuss your case.                                       |
| >                                                                     |
| > **New decision:** The DRO will then make a new decision. The DRO    |
| > has the authority to grant benefits based on clear and unmistakable |
| > error, *de novo* review, or the receipt of new and material         |
| > evidence. You will be notified of the decision and your appeal      |
| > rights. If you are not satisfied with the DRO decision, you may     |
| > then appeal, using the traditional appeal process.                  |
| >                                                                     |
| > **How does the Traditional Appeal Process work?**                   |
|                                                                       |
| **Complete review:** A VA staff member will check your file for       |
| completeness. Then a review will be made of your evidence and         |
| arguments, statements from your representative and any other          |
| information available in your claims folder. This may lead to a       |
| request for additional evidence from you, your doctor or other        |
| sources. You may be asked to clarify questions about your             |
| disagreement.                                                         |
+-----------------------------------------------------------------------+

Continued on next page

8\. Exhibit 1: Appeal Process Request Letter, Continued

+------------+---------------------------------------------------------+
| ##### b.   | > Page 2 of an example of the *Appeal Process Request   |
|  Appeal Pr | > Letter* is below.                                     |
| ocess Requ |                                                         |
| est Letter |                                                         |
|  -- Page 2 |                                                         |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > **Statement of the Case**: If we cannot grant your appeal based on  |
| > the review and an examination of any additional evidence, we will   |
| > then prepare a Statement of Case (SOC) and send you a copy. The SOC |
| > will include a summary of the evidence, a citation to pertinent     |
| > laws, a discussion of how those laws affect the decision, and a     |
| > summary of the reasons for the decision. If you still do not agree  |
| > with that decision and wish to continue your appeal, you need to    |
| > submit a substantive appeal so that your case can be sent to the    |
| > Board of Veterans' Appeals. Instructions on how to file a           |
| > substantive appeal will be provided in our letter notifying you of  |
| > the decision.                                                       |
| >                                                                     |
| > **May I be represented?**                                           |
| >                                                                     |
| > **\[Use this paragraph if appellant has a representative.\]**       |
| >                                                                     |
| > You designated **\[name\]** from **\[organization**\] to represent  |
| > you in presenting your claim to VA. The Decision Review Officer     |
| > will work with this representative while trying to resolve your     |
| > disagreement. If you have not already done so, you should contact   |
| > your representative directly to discuss your case.                  |
| >                                                                     |
| > **\[Use this paragraph if appellant does not have a                 |
| > representative.\]**                                                 |
| >                                                                     |
| > If you desire, an accredited representative of a veterans           |
| > organization or other service organization recognized by the        |
| > Secretary of the Department of Veterans Affairs will represent you  |
| > without charge. Many state and county governments have trained      |
| > personnel in their veterans agencies who can represent you. An      |
| > agent or an attorney may also represent you. However, an agent or   |
| > attorney can charge you only for service performed on or after the  |
| > date of a final decision by the Board of Veterans' Appeals. Tell us |
| > if you want someone to represent you and we will send you the       |
| > necessary forms to appoint them as your representative.             |
| >                                                                     |
| > **How do I select the Decision Review Officer or traditional appeal |
| > process?**                                                          |
| >                                                                     |
| > You must notify us within 60 days from the date of this letter      |
| > whether you want to have your case reviewed by the Decision Review  |
| > Officer or by the traditional appeal process. If we do not hear     |
| > from you within 60 days, your case will be reviewed under the       |
| > traditional appeal process.                                         |
| >                                                                     |
| > We hope we will be able to resolve your disagreement to your        |
| > satisfaction. If you have questions about the information in this   |
| > letter please call us at 800-827-1000.                              |
+-----------------------------------------------------------------------+

#### 9. Exhibit 2: Decision Review Officer (DRO) Process Explanation Letter

+------------+---------------------------------------------------------+
| ##### C    | > December 9, 2004                                      |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### a.   | > Page 1 of an example of the *DRO Process Explanation  |
| DRO Proces | > Letter* is below.                                     |
| s Explanat |                                                         |
| ion Letter |                                                         |
|  -- Page 1 |                                                         |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > **DRO Process Explanation Letter**                                  |
| >                                                                     |
| > DEPARTMENT OF VETERANS AFFAIRS                                      |
| >                                                                     |
| > Regional Office                                                     |
| >                                                                     |
| > \[date\]                                                            |
| >                                                                     |
| > \[appellant's name\]                                                |
| >                                                                     |
| > \[appellant's address\] In Reply Refer To:                          |
| >                                                                     |
| > \[salutation\]                                                      |
| >                                                                     |
| > We received your election of the Decision Review Officer (DRO)      |
| > process to handle your appeal. Our records show that you filed a    |
| > notice of disagreement with the Department of Veterans Affairs (VA) |
| > decision of **\[date\]**. This letter describes what happens next.  |
| >                                                                     |
| > **Will VA try to resolve my disagreement?**                         |
| >                                                                     |
| > This local office of VA will try to resolve your disagreement       |
| > through the Post-Decision Review process. As part of this process,  |
| > you have elected to have a DRO assigned to your case.               |
+-----------------------------------------------------------------------+

Continued on next page

9\. Exhibit 2: Decision Review Officer (DRO) Process Explanation Letter,
Continued

+------------+---------------------------------------------------------+
| ##### b.   | > Page 2 of an example of the *DRO Process Explanation  |
| DRO Proces | > Letter* is below.                                     |
| s Explanat |                                                         |
| ion Letter |                                                         |
|  -- Page 2 |                                                         |
+------------+---------------------------------------------------------+

+-----------------------------------------------------------------------+
| > **How does the Post-Decision Review Process Work?**                 |
| >                                                                     |
| > **Complete review:** The DRO will check your file for completeness. |
| > Then a review will be made of your evidence and arguments,          |
| > statements from your representative, and any other information      |
| > available in your claims folder. This may lead to a request for     |
| > additional evidence. You may be asked to participate in an informal |
| > conference by the DRO to clarify questions about your disagreement. |
| >                                                                     |
| > **New decision:** The DRO will then make a new decision. You will   |
| > be notified of the decision and your appeal rights                  |
| >                                                                     |
| > **Note:** You are still entitled to a formal hearing to present     |
| > evidence or testimony at any time during this process.              |
| >                                                                     |
| > **May I be represented?**                                           |
| >                                                                     |
| > **\[Use this paragraph if appellant has a representative.\]**       |
| >                                                                     |
| > You designated **\[name\]** from **\[organization\]** to represent  |
| > you in presenting your claim to VA. The DRO will work with this     |
| > representative while trying to resolve your disagreement. If you    |
| > have not already done so, you should contact your representative    |
| > directly to discuss your case.                                      |
| >                                                                     |
| > **\[Use this paragraph if appellant does not have a                 |
| > representative.\]**                                                 |
| >                                                                     |
| > An accredited representative of a veterans organization or other    |
| > service organization recognized by the Secretary of the Department  |
| > of Veterans Affairs will represent you without charge. Many state   |
| > and county governments have trained personnel in their veterans     |
| > departments who can help. An agent or an attorney may also          |
| > represent you. However, an agent or attorney can charge you only    |
| > for service performed on or after the date of a final decision by   |
| > the Board of Veterans' Appeals. Tell us if you want someone to      |
| > represent you and we will send you the necessary forms.             |
| >                                                                     |
| > We hope we will be able to resolve your disagreement to your        |
| > satisfaction. If you have questions about the information in this   |
| > letter please call us at 1-800-827-1000.                            |
+-----------------------------------------------------------------------+