**August 23, 2002 M21-1, Part III**

**Change 96**

**CHAPTER 11. CORRESPONDENCE**

**CONTENTS**

**PARAGRAPH PAGE**

**SUBCHAPTER I. GENERAL REQUIREMENTS**

11.01 General 11-I-1

11.02 Acknowledgments 11-I-1

11.03 Special Mail 11-I-1

11.04 Redundant and Highly Repetitious Letters 11-I-2

11.05 Use of Preaddressed Postage-Paid Envelopes 11-I-2

11.06 Initialing, Dating and Filing Correspondence 11-I-2

11.07 Copies of Correspondence for Service Organizations 11-I-2

11.08 Unnecessary Correspondence 11-I-3

11.09 Claimant Notification Requirements 11-I-3

11.10 Correspondence Released by the Veterans Service Center 11-I-4

**SUBCHAPTER II. CORRESPONDENCE WITH DEPARTMENT OF STATE**

**AND FOREIGN ADDRESSEES**

11.11 Correspondence to Foreign Addressees and Addressees Outside
Continental

United States 11-II-1

11.12 Correspondence Addressed to the Department of State 11-II-1

11.13 Requests for Evidence From Countries on the Treasury Department
List 11-II-2

11.14 Services by Department of State 11-II-2

11.15 **Rescinded per M21-1MR, Part III, Subpart iv, Chapter 3 dated
December 13, 2005** 11-II-3

11.16 Translation of Foreign Correspondence and Documents 11-II-3

**SUBCHAPTER III. USE OF TELEPHONE, E-MAIL, AND FAX FOR CLAIMS
DEVELOPMENT**

11.17 General 11-III-1

11.18 Telephone, and E-Mail and FAX Contact Procedures 11-III-1

11.19 Documents Suitable for Receipt by FAX or E-Mail 11-III-2

**11-i**

**March 19, 1996 M21-1, Part III**

**Change 53**

**CHAPTER 11. CORRESPONDENCE**

**SUBCHAPTER I. GENERAL REQUIREMENTS**

**11.01 GENERAL**

a\. Correspondence is a major factor in serving the public. It must
provide complete, accurate and understandable information. The reader\'s
point of view must be understood. The letter should be simple, sincere,
sympathetic and understanding.

b\. The creation of pattern letters or paragraphs is permissible if no
existing letter will serve the purpose. Central Office periodically
reviews pattern letters.

c\. Limit the use of VA form letters to the purpose for which the letter
was created. Do not alter a printed VA form letter to apply to other
situations. Use a locally generated letter.

d\. The BDN system provides some acknowledgment, development and award
letters. Acquire a thorough knowledge of the information provided in
these letters before attempting to generate a BDN letter.

e\. PC Generated Letters (PCGL) contain award, denial, pre- and
postdetermination letters and an acknowledgment letter. The letters are
written in the \"Reader Focused Writing\" style and have been
extensively tested. These letters were written by teams at various
regional offices. PCGL is available to all elements of the regional
office.

f\. If none of the above forms of correspondence are applicable to the
situation, use a locally prepared letter.

**11.02 ACKNOWLEDGMENTS**

a\. **Special Mail.** Acknowledge special correspondence, including
Congressional mail, mail from national headquarters of service
organizations, etc., that cannot be answered fully within five workdays
after receipt in VA. Send the acknowledgment within two workdays of
receipt. Use a locally generated letter and inform the inquirer that a
complete reply will be made as soon as possible.

b\. **Routine Mail.** Acknowledge routine correspondence which cannot be
answered within 10 workdays after receipt in VA. Make acknowledgment
before expiration of the 10 days. Advise the reason for the delay and
that an answer will be furnished shortly. Furnish the answer within five
additional workdays.

c\. **Claims.** In most cases, if the CEST command is used to establish
a pending issue, an acknowledgment letter is automatically generated. An
acknowledgment letter is not generated if end products 170, 290, 310,
320, 330, 680, 690, 400 series and 500 series are established. If an
acknowledgment letter is not generated by the BDN and some form of
communication will not be sent to the claimant within 10 workdays, send
a written acknowledgment to the claimant.

**11.03 SPECIAL MAIL**

a\. **Identifying Special Mail.** The Administrative activity identifies
mail received from the White House, Members of Congress, national
headquarters of service organizations, etc. This mail is immediately
hand carried to the controlling office.

b\. **Processing Special Mail.** All employees handling \"Special Mail\"
will expedite processing. Maintain appropriate controls to ensure prompt
reply or acknowledgment as provided by paragraph 11.02a.

**11-I-1**

**M21-1, Part III March 19, 1996**

**Change 53**

c\. **Follow-up.** All special mail for which no record of a reply has
been received by the close of business five workdays from the date of
receipt in VA, exclusive of the day of receipt, will be followed up by
the employee maintaining the control. If it is found that action has not
been completed, the supervisor of the operating element maintaining the
control will have the mail acknowledged immediately.

d\. **Submissions for Rating Decisions.** Do not furnish a response,
other than possible acknowledgment, to special mail in a case requiring
rating action unless further development is necessary after submission
to the rating board. The person responsible for answering the special
mail will hand carry the folder to the rating board. The rating board
will take immediate action and hand carry the case back to the person
responding to the letter.

**11.04 REDUNDANT AND HIGHLY REPETITIOUS LETTERS**

If a claimant or other correspondent who has been informed repeatedly of
the status of a case persists in writing to VA and further response
would serve no useful purpose, annotate additional correspondence on the
same subject \"NAN\" and file it in the claims folder. All such
correspondence must be reviewed to ensure that new issues are not
raised. Authority to initial such correspondence \"NAN\" shall not be
delegated to a supervisor lower than the Assistant Adjudication Officer.

**NOTE:** If a request for information under the provisions of the
Privacy Act of 1974 or the Freedom of Information Act is received, such
request **MUST** be answered notwithstanding the above paragraph.

**11.05 USE OF PREADDRESSED POSTAGE-PAID ENVELOPES**

If it is necessary to request official information or documentary
evidence from disinterested persons or organizations, enclose a
preaddressed postage-paid envelope for use in forwarding the information
or evidence requested.

**11.06 INITIALING, DATING AND FILING CORRESPONDENCE**

If correspondence requiring reply is filed, the file copy of the reply
must bear the name or initials of the dictator and other persons, if
any, who reviewed the reply before release. In such cases, file notation
need not be made on the incoming correspondence. Date letters and all
copies before release. The person signing will either write or stamp his
or her name or initials on the file copy. Securely fasten all papers in
the folder before returning the folder to files.

**11.07 COPIES OF CORRESPONDENCE FOR SERVICE ORGANIZATIONS**

a\. Forward copies of correspondence to the claimant\'s power of
attorney as provided in paragraph 12.05b.

b\. If the American Veterans Committee, Inc., is named on the VA Form
21-22, send copies of the correspondence to the National Headquarters,
6309 Bannockburn Dr., Bethesda, MD 20817. If the claimant resides in New
York City, send copies of the correspondence to the American Veterans
Committee, Inc., representative in the New York City RO, not to the
Maryland address.

c\. If the Fleet Reserve Association is named on the VA Form 21-22, send
copies of the correspondence to the National Administrative
Headquarters, 125 North West St., Alexandria, VA 22314-2754.

d\. If the VA Form 21-22 shows the veteran has authorized the release of
information to a local representative of a service organization, send
copies of the correspondence to the accredited representative of that
organization.

**11-I-2**

**October 5, 2005 M21-1, Part III**

**Change 134**

e\. If notification as provided above is not satisfactory, local
arrangements may be effected.

**11.08 UNNECESSARY CORRESPONDENCE**

Every correspondent will be furnished, insofar as the limitations of the
law permit, with a fully informative reply to his or her letter. Once
the claimant has been advised of the disposition of the case, do not
initiate further correspondence in the absence of continuing interest on
the correspondent\'s part. Keep Members of Congress who have requested
that they be advised of subsequent developments in a case and duly
authorized representatives actively prosecuting claims fully informed at
all times of action taken.

**11.09 CLAIMANT NOTIFICATION REQUIREMENTS**

a\. We must provide claimants and their representatives with timely
notice of any decision made by VA affecting their benefit eligibility or
entitlement. Title 38 CFR 3.103 provides that decision notification
letters must include the following elements:

-   The decision(s) made

-   Any applicable effective dates

-   What evidence we considered (if a denial involved)

-   The reason(s) for the decision(s)

-   The right to a hearing

-   The right to representation

-   The right to appeal

\(1\) A notification letter need not summarize the evidence considered
or state the reason(s) for the decision(s) *when a rating decision is
attached*. etc.

\(2\) When a rating decision *isn't* attached, the decision notification
letter must include all of the above elements.

\(3\) We should also inform the claimant of any additional benefits or
entitlements to which he or she may be due (e.g., Vocational
Rehabilitation and Employment benefits and hospital treatment).

b\. Pretermination/reduction notice or contemporaneous notice is
required whenever it is necessary to terminate, reduce, or otherwise
adversely affect an active award/payment of compensation, pension, or
DIC.

c\. When corresponding with or processing the claim of a veteran with
visual impairment evaluated as 70 percent or more disabling, ensure that
VA Form 21-0178, Visually Impaired Veteran, is back-filed in the center
flap of the claims folder. The BDN will print the message **\"VISUALLY
IMPAIRED --VSR NOTIFICATION REQ.\"** in the remarks section of the award
print. The Public Contact Team will call the veteran to relate the
letter\'s content. Also, make the following changes, primarily to the
body of the standard Personal Computer Generated Letter (PCGL) letter:

\(1\) The font should be either Arial or Verdana (that is, without
serifs but with fixed widths).

\(2\) The font size should be largely 18 point. The width of a column
within a table, chart, or box may be adjusted to fit the larger font.
After adjusting, if the table still cannot accommodate the larger font,
then utilize the largest font for those characters within it that fit
neatly.

> \(3\) Lines should be 1.5 (one and one-half) spaces apart to the
> extent possible.

**11-I-3**

**M21-1, Part III October 5, 2005**

**Change 134**

\(4\) The header and footer may generally be left as generated unless
easily altered as above. The letter's default one-inch margin,
block-paragraph style, and left justification (with the lack of
justification on the right) should not usually be altered.

\(5\) Most of the recommended alterations can be performed using basic
work processing tools. However, depending on the proficiency of the
individual members of the responsible team, these modifications may have
to be performed by specially designated people.

\(6\) Outgoing envelopes may need to be addressed manually, as the
windows in standard envelopes might not be able to accommodate the
increased size of the address section.

Note: The above recommended print parameters were based on *Large Print:
Guidelines for Optimal Readability*, published by the American Printing
House for the Blind (http://www.aph.org/edresearch/lpguide.htm).

d\. If a formal rating decision contains a deferred issue, the
Pre-Determination Team will quickly complete the requested development.
It will then immediately forward the decision to the Post-Determination
Team. The latter will prepare the award and notification letter. The
notification will identify the deferred issue and include an explanation
of the development requested from any third party as well as that needed
from the claimant.

e\. **VONAPP Claims.** A VONAPP claim may not be finalized unless the
claimant has signed the application. If a decision on the claim has been
made but no signature provided, change the pending end product to EP
400, then clear it. Notify the claimant that a decision has been made,
but do not discuss the outcome. In the absence of a signed application,
there is no valid claim. Therefore, neither notification of a decision
nor procedural rights are furnished to the claimant.

**11.10 CORRESPONDENCE RELEASED BY THE VETERANS SERVICE CENTER**

a\. Correspondence prepared by the Veterans Service Center will be
released under the authority granted to the Veterans Service Center
Manager (VSCM) or, in the absence of the VSCM, the person designated as
Acting VSCM. Correspondence prepared and released by the Veterans
Service Center will be for the signature of the VSCM.

\(1\) The VSCM will delegate authority to Veterans Service Center
personnel to sign correspondence for release as deemed appropriate.

\(2\) Veterans Service Center correspondence, whether generated by the
BDN, form letter, or dictated letter, will be signed with the
designations of the VSCM\'s name and title.

*Note:* If there are compelling reasons, such as personal threats
against the security of the VSCM or members of his or her family, the
regional office Director may authorize Veterans Service Center
correspondence to be signed with the words \"DEPARTMENT OF VETERANS
AFFAIRS\" (in all capital letters) instead of the VSCM\'s name.

b\. Any notification by form or other locally-generated letter of the
grant or denial of benefits must be reviewed and a copy filed in the
claims folder before the folder is returned to files. See paragraph
11.06.

**11-I-4**

**February 5, 2004 M21-1, Part III**

**Change 113**

**SUBCHAPTER II. CORRESPONDENCE WITH DEPARTMENT OF STATE**

**AND FOREIGN ADDRESSEES**

11.11 CORRESPONDENCE TO FOREIGN ADDRESSEES AND ADDRESSEES OUTSIDE
CONTINENTAL UNITED STATES

a\. Correspondence Addressed to Persons Residing in Territories,
Possessions, Etc., of the United States. Forward correspondence to
addressees residing outside the continental United States, including
residents of Puerto Rico and Hawaii, to the mail activity for direct
airmailing.

b\. Correspondence Addressed to Residents of Foreign Countries. Mailing
codes similar to US Zip codes are used by some foreign countries. When
sending a letter to an addressee in such a country, include the mailing
code in the address. Since foreign mail requires additional postage,
separate it from other mail and mark it as foreign mail. If mail is sent
registered or certified with return receipt requested or the services of
the Department of State are desired, follow the procedures in paragraph
11.13.

c\. Correspondence Bearing Army - Air Force Post Office (APO) or Fleet
Post Office (FPO) Address. Forward correspondence bearing APO or FPO
addresses directly to the addressee unless the services or attention of
the Department of State is required. If such services are required,
include the city and country in the address and follow the procedures in
paragraph 11.14.

**11.12 CORRESPONDENCE ADDRESSED TO THE DEPARTMENT OF STATE**

a\. General. All correspondence requesting services to be performed in
foreign countries by embassies or consulates or in Canada by the
Canadian Department of Veterans Affairs (CDVA) will be over the
signature of the Veterans Service Center Manager and e-mailed to the
Veterans Services Staff, VACO, VAVBAWAS/CO/OUTREACH.

b\. Exceptions. The Houston regional office (RO) will forward such
requests directly to the involved embassy or consulate or to the CDVA.
Medical examination requests will be processed as directed in paragraph
11.15. Field examination requests will be processed as directed in
M21-1MR, Part XI, Chapter 2.

c\. Replies to Communications from Department of State

\(1\) If replying to a communication from the Department of State in
which there was an operations memorandum enclosed, include reference to
the name of the post and the date of the operations memorandum in the
letter. If the incoming communication enclosed a diplomatic note or
memorandum from a foreign embassy or legation located in Washington, DC,
make specific reference to the note or memorandum in the letter. Include
the date of the note or memorandum and the name of the embassy or
legation involved.

\(2\) Individual case inquiries from the Department of State, American
embassies or consulates and the CDVA require a response. An award letter
or locally generated letter to the beneficiary does not preclude the
requirement for a response to the requesting office. In many instances,
an information copy of the response to the beneficiary can be considered
as an acceptable response to the requesting office. Case inquiries are
controlled by the requesting offices and are considered outstanding
until a response is received from VA.

> **11-II-1**

**M21-1, Part III February 5, 2004**

**Change 113**

**11.13 REQUESTS FOR EVIDENCE FROM COUNTRIES ON THE TREASURY DEPARTMENT
LIST**

a\. **General.** The Treasury Department maintains a list of countries
to which Treasury checks may not be sent since there is no reasonable
assurance the payee will actually receive and be able to negotiate a
check for full value. The countries to which the prohibition against
delivery of checks currently applies are listed below. While checks may
not be sent to these countries, correspondence may be sent to persons
living there although there is reasonable doubt that the individual will
get the mail. In correspondence outside VA, the term \"blocked\" country
will not be used. Instead, use the term \"listed.\"

Democratic People\'s Republic of Korea (North Korea)

Republic of Cuba (Cuba)

b\. **Policy.** The prohibition against delivery of checks in \"listed\"
countries will not preclude the development and adjudication of claims
filed by residents of such countries, other than citizens of the United
States, provided the requirements of subparagraph c below are met.
Currently, the Department of State does not maintain offices in the
countries listed in subparagraph a above. Limit claims development for
those countries without a State Department Office only to direct
correspondence with the claimant.

c\. **Claims Development.** If a claimant residing in one of the
countries listed in subparagraph a above, on his or her own initiative,
requests that benefit checks show a Foreign Service post address in an
unlisted country, develop and adjudicate an original or reopened claim.
The request must specify the Foreign Service post to which checks are to
be forwarded and that the claimant will take delivery there in person.
In the absence of such a request, disallow the claim as provided in 38
CFR 3.653(c). If full development of the case would require the services
of the Department of State and the claimant resides in one of the
countries listed in subparagraph a above, disallow the claim without
further development.

**11.14 SERVICES BY DEPARTMENT OF STATE**

a\. Services by the Department of State through Consular Officers at
American Embassies and consulates, including investigations in foreign
countries, generally will be without cost to VA. If it is necessary to
incur expense, that agency will so inform VA. Expense authorization
procedures are outlined in [M21-1MR, Part XI, 2.B.5.]{.underline}

b\. The following actions may be taken by the Consular Officers:

\(1\) Furnish general information and assistance, including assistance
to claimants, beneficiaries and apportionees in the preparation of
applications for benefits.

\(2\) Inspect and approve institutions for pursuit of courses of
instruction by children between the ages of 18 and 23.

\(3\) If requested by VA, investigate and develop claims and perform
other services in connection with a claim.

\(4\) Administer oaths for VA purposes.

\(5\) Take action as requested by the Under Secretary for Benefits or
designee on matters involving guardianship.

**11-II-2**

**February 5, 2004 M21-1, Part III**

**Change 113**

\(6\) Make arrangements for physical examinations as requested by the
appropriate VARO or VAM&ROC.

**11.15 Rescinded per M21-1MR, Part III, Subpart iv, Chapter 3 dated
December 13, 2005**

**11.16 TRANSLATION OF FOREIGN CORRESPONDENCE AND DOCUMENTS**

See paragraph 1.13.

> **11-II-3**

**November 10, 2005 M21-1, Part III**

**Change 135**

**SUBCHAPTER III. USE OF TELEPHONE, E-MAIL AND FAX FOR CLAIMS
DEVELOPMENT**

**11.17 GENERAL**

a\. Regional offices should make full use of telephones, e-mail and fax
machines as an integral part of claims development procedures for
compensation, pension, and burial claims.

b\. Issues Suitable for Telephone, E-Mail and Fax Development:

> \(1\) Social Security numbers of dependents, including the Social
> Security Number Verification Match;

\(2\) Correct mailing address(es);

\(3\) Date(s) of birth;

\(4\) Reserve or National Guard unit information (e.g., address);

\(5\) Information concerning retired, severance or readjustment pay;

\(6\) Names and addresses of physicians or medical record numbers;

\(7\) Employment information (current or past);

\(8\) Change in dependency status, name and address of person having
custody of children, etc.;

\(9\) Income information (e.g., change in income or date of receipt of
first Social Security payment);

\(10\) Clarification of medical expenses;

\(11\) Verification of Medicaid-covered nursing home status;

\(12\) Burial claim clarification information (e.g., status of unpaid
bills);

\(13\) Whether the veteran has service medical or other records.

c\. Beneficiaries are not required to advise VA in writing of changes in
income, net worth, dependency or marital status. VA may increase or
decrease benefit payments based on information submitted orally, or by
e-mail, fax or other electronic means. If the change results in adverse
action, a predetermination notice is not required but contemporaneous
notice must be sent. However, do not take adverse action with
contemporaneous notice or favorable action based on oral information
unless you follow the specific telephone contact procedures shown in
paragraph 11.18a.

**11.18 TELEPHONE, E-MAIL AND FAX CONTACT PROCEDURES**

a\. Sound discretion must be exercised when requesting information by
telephone or e-mail to ensure that the source of the information is
reliable. Verification of the source is necessary. If the person is
unable to furnish the information requested or if the VA employee
remains uncertain of the person's identity, complete development by
letter. VA may not take action based on oral information or statements
unless the VA employee receiving the information meets the following
conditions:

**11-III-1**

**M21-1, Part III November 10, 2005**

**Change 135**

\(1\) during the conversation identify yourself as a VA employee who is
authorized to receive the information or statement (these are VA
employees authorized to take actions under 38 CFR 3.100); and

\(2\) during the conversation verify the identity of the provider as
either the beneficiary or his or her fiduciary by obtaining specific
information about the beneficiary that can be verified from the VA
records, such as Social Security number, date of birth, branch of
military service, dates of military service, or other information; and

\(3\) during or following the conversation document the following
information for the beneficiary's VA records:

[1]{.underline}. the specific information or statement provided; and

[2]{.underline}. the date such information or statement was provided;
and

> [3]{.underline}. the identity of the provider; and

4\. the steps taken to verify the identity of the provider as being
either the beneficiary or his or her fiduciary; and

[5]{.underline}. that you informed the provider that the information
would be used for the purpose of calculating benefit amounts. (38 CFR
3.217(b))

[6]{.underline}. before ending the conversation, inform the beneficiary
that even though the information was obtained telephonically, a
notification letter will be issued.

b\. All information received by telephone from the claimant must be
completely documented on VA Form 119, "Report of Contact", or
equivalent, regardless of whether the information will favorably or
adversely affect the beneficiary's award. If the veteran has a power of
attorney, send the representative a copy of the VA Form 119.

c\. All information received by e-mail from the claimant or beneficiary
must be printed out on paper and placed in the claims folder.

d\. When information received by telephone, e-mail or fax results in an
award or denial action, the notification letter must include a statement
of this information as well as the date of the telephone call, e-mail or
fax.

e\. If benefits are reduced, terminated or otherwise adversely affected
based on oral information or statements, they will be retroactively
restored if, within 30 days of the date that the notification of adverse
action is issued, the beneficiary or his or her fiduciary asserts that
the adverse action was based upon information or statements that were
inaccurate or upon information that was not provided by the beneficiary
or his or her fiduciary. (38 CFR 3.103(b)(4))

**11.19 DOCUMENTS SUITABLE FOR RECEIPT BY FAX OR E-MAIL**

All documentsexcept original applications and separation documents
intended for proof of service to establish entitlement to benefitsmay
be accepted via fax or e-mail. However, if there is any question about
the validity of any documents received by fax or e-mail, the original
should be requested.

**11-III-2**