### Section A. Description and General Information

#### Overview {#overview .unnumbered}

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

  1           Description of the Veterans Claims Assistance   1-A-2
              Act of 2000, PL 106-475                         

  2           Description of the Duty to Assist Criteria      1-A-3
  ----------- ----------------------------------------------- -----------

#### 1. Description of the Veterans Claims Assistance Act of 2000, PL 106-475

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| #####      | > This section describes the Veterans Claims Assistance |
| Introducti | > Act of 2000 (VCAA), *PL 106-475*, and contains        |
| on {#intro | > information about the                                 |
| duction .u |                                                         |
| nnumbered} | -   responsibilities of the Department of Veterans      |
|            |     Affairs (VA)                                        |
|            |                                                         |
|            | -   background of *PL 106-475*, and                     |
|            |                                                         |
|            | -   description of *PL 106-475*.                        |
+------------+---------------------------------------------------------+

+------------+---------------------------------------------------------+
| ##### C    | > August 1, 2002; Initial Release                       |
| hange Date |                                                         |
+------------+---------------------------------------------------------+

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| #          | > Decisions on Department of Veterans Affairs (VA)      |
| #### a. Re | > benefit eligibility and entitlement are based on the  |
| sponsibili | > evidence of record. Evidence consists of documents,   |
| ties of VA | > records, testimonials and information in other forms  |
|            | > provided by, or obtained for, a claimant.             |
|            | >                                                       |
|            | > VA has a duty to assist a claimant who files a        |
|            | > substantially complete application in obtaining       |
|            | > evidence to substantiate his or her claim before      |
|            | > making a decision on the claim. We are charged with   |
|            | > granting every benefit supported by the law.          |
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+------------+---------------------------------------------------------+
| ##### b    | > On November 9, 2000, *PL 106-475* was enacted,        |
| . Backgrou | > superceding the decision of the Court of Appeals for  |
| nd of PL 1 | > Veterans Claims (CAVC) in *Morton vs. West,* which    |
| 06-475  {# | > held that VA cannot assist in the development of a    |
| b.-backgro | > claim that is not well grounded.                      |
| und-of-pl- |                                                         |
| 106-475 .u |                                                         |
| nnumbered} |                                                         |
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+------------+---------------------------------------------------------+
| ##### c.   | > The new law, *PL 106-475*                             |
|  Descripti |                                                         |
| on of PL 1 | -   eliminates the concept of a well grounded claim     |
| 06-475 {#c |                                                         |
| .-descript | -   redefines VA's duty to assist, and                  |
| ion-of-pl- |                                                         |
| 106-475 .u | -   mandates specific notice requirements.              |
| nnumbered} |                                                         |
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#### 2. Description of the Duty to Assist Criteria {#description-of-the-duty-to-assist-criteria .unnumbered}

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| ##### In   | > This section contains information about duty to       |
| troduction | > assist, including issues pertaining to                |
|  {#introdu |                                                         |
| ction-1 .u | -   claimants                                           |
| nnumbered} |                                                         |
|            | -   relevant                                            |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   Federal records, and                                |
|            |                                                         |
|            | -   non-Federal records                                 |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   requests for VA examinations or medical opinions,   |
|            |                                                         |
|            | -   circumstances where VA will refrain from or         |
|            |     discontinue providing                               |
|            |                                                         |
|            | -   assistance, and                                     |
|            |                                                         |
|            | -   contact information for questions.                  |
+------------+---------------------------------------------------------+

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

+------------+---------------------------------------------------------+
| #####      | > The Veterans Claims Assistance Act of 2000, *PL       |
| a. Duty to | > 106-475*, defines the scope of Veterans Benefits      |
|  Assist Cl | > Administration's (VBA's) duty to assist claimants who |
| aimants {# | > file substantially complete applications for VA       |
| a.-duty-to | > benefits.                                             |
| -assist-cl |                                                         |
| aimants .u | > ***Reference***: For more information on what         |
| nnumbered} | > constitutes a substantially complete application, see |
|            | > M21-1MR, Part I, 1.B.3.a and [38 CFR                  |
|            | > 3.159](http://w                                       |
|            | ww.warms.vba.va.gov/regs/38CFR/BOOKB/PART3/S3_159.DOC). |
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+------------+---------------------------------------------------------+
| #####      | > VA's duty to assist includes developing for all       |
| b. Duty to | > relevant records in the custody of a Federal          |
|  Obtain Re | > department or agency, including                       |
| levant Fed |                                                         |
| eral Recor | -   VA medical records                                  |
| ds {#b.-du |                                                         |
| ty-to-obta | -   service medical records                             |
| in-relevan |                                                         |
| t-federal- | -   Social Security Administration records, or          |
| records .u |                                                         |
| nnumbered} | -   evidence from other Federal agencies.               |
|            |                                                         |
|            | > ***Note***: Relevancy is determined by what is being  |
|            | > claimed. For example, in claims for service           |
|            | > connection, relevant documents are those that may     |
|            | > substantiate one of the elements of service           |
|            | > connection (incurrence, current condition, or links). |
|            | > However, in most cases, it may be impossible to       |
|            | > determine relevancy before obtaining the records.     |
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Continued on next page

2\. Description of the Duty to Assist Criteria, Continued

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| ####       | > Our duty to assist also includes developing for       |
| # c. Duty  |                                                         |
| to Obtain  | -   private medical records, and                        |
| Relevant N |                                                         |
| on-Federal | -   lay or other non-Federal governmental evidence,     |
|  Records { |     such as                                             |
| #c.-duty-t |                                                         |
| o-obtain-r | ```{=html}                                              |
| elevant-no | <!-- -->                                                |
| n-federal- | ```                                                     |
| records .u | -   current or former employer records, or              |
| nnumbered} |                                                         |
|            | -   state and local government records.                 |
|            |                                                         |
|            | > ***Important***: VA should obtain the veteran's       |
|            | > authorization before including identifying data such  |
|            | > as the veteran's name and claim number in a           |
|            | > development letter for lay evidence from a            |
|            | > third-party. Authorization may be obtained on *VA     |
|            | > Form 3288, Request for and Consent to Release of      |
|            | > Information from Claimant's Records.* This should not |
|            | > be used to obtain authorization and consent for       |
|            | > release of medical evidence which is covered by *VA   |
|            | > Form 21-4142, Authorization and Consent to Release    |
|            | > Information to the Department of Veterans Affairs*,   |
|            | > or release of employer information, which is covered  |
|            | > by *VA Form 21-4192,* *Request for Employment         |
|            | > Information in Connection With Claim for Disability   |
|            | > Benefits.*                                            |
|            | >                                                       |
|            | > ***Reference***: For information on the limitation of |
|            | > use of business reply envelopes for third-party       |
|            | > development, see                                      |
|            |                                                         |
|            | -   M21-1 MR, Part II, 5.B.5.c (TBD) or [M21-1, Part    |
|            |     III,                                                |
|            |     11.05](htt                                          |
|            | p://www.warms.vba.va.gov/admin21/m21_1/part3/ch11.doc), |
|            |     and                                                 |
|            |                                                         |
|            | -   *VBA Letter 20-05-42.*                              |
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| ##### d.   | > If an examination or a medical opinion is necessary   |
|  Duty to O | > to make a decision on a claim for compensation, then  |
| btain Exam | > our duty to assist includes                           |
| ination or |                                                         |
|  Medical O | -   examining claimants, and/or                         |
| pinion {#d |                                                         |
| .-duty-to- | -   obtaining a medical opinion from the Veterans       |
| obtain-exa |     Health Administration (VHA) or designated           |
| mination-o |     contracted provider.                                |
| r-medical- |                                                         |
| opinion .u |                                                         |
| nnumbered} |                                                         |
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Continued on next page

2\. Description of the Duty to Assist Criteria, Continued

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| #####      | > VA will not provide assistance in obtaining evidence  |
|  e. Circum | > if a substantially complete application for benefits  |
| stances Wh | > indicates that there is no reasonable possibility     |
| ere VA Wil | > that any assistance VA would provide to the claimant  |
| l Refrain  | > would substantiate the claim.                         |
| From or Di | >                                                       |
| scontinue  | > Discontinue providing assistance if the evidence      |
| Providing  | > obtained indicates that there is no reasonable        |
| Assistance | > possibility that further assistance would             |
|            | > substantiate the claim. Circumstances in which to     |
|            | > refrain from or discontinue providing assistance in   |
|            | > obtaining evidence include, but are not limited to:   |
|            |                                                         |
|            | -   the claimant\'s ineligibility for the benefit       |
|            |     sought because of lack of qualifying service, lack  |
|            |     of veteran status, or other lack of legal           |
|            |     eligibility                                         |
|            |                                                         |
|            | -   claims that are inherently incredible or clearly    |
|            |     lack merit, and                                     |
|            |                                                         |
|            | -   an application requesting a benefit to which the    |
|            |     claimant is not entitled as a matter of law.        |
|            |                                                         |
|            | > ***Example***                                         |
|            | >                                                       |
|            | > ***Situation***: A veteran's surviving spouse files a |
|            | > claim for accrued benefits. At the time of the        |
|            | > veteran's death, there was no claim pending and no    |
|            | > rating decision of record granting benefits that had  |
|            | > not been paid.                                        |
|            | >                                                       |
|            | > ***Result***: VA may deny the surviving spouse's      |
|            | > claim for accrued benefits without providing          |
|            | > assistance. The claim clearly lacks merit, because no |
|            | > accrued benefits are available for payment.           |
|            | >                                                       |
|            | > ***Important***: VA employees have the broad          |
|            | > authority to determine whether or not a claim is      |
|            | > inherently incredible or clearly lacks merit.         |
|            | > However, before deciding such a claim, VA may request |
|            | > that the claimant submit evidence to render the claim |
|            | > plausible or credible.                                |
|            | >                                                       |
|            | > ***References***: For more information on             |
|            |                                                         |
|            | -   the criteria for a substantially complete           |
|            |     application, see, M21-1MR, Part I, 1.B.3.a          |
|            |                                                         |
|            | -   circumstances where VA will refrain from or         |
|            |     discontinue providing assistance, see               |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   [38 CFR                                             |
|            |     3.159(d)](http://w                                  |
|            | ww.warms.vba.va.gov/regs/38CFR/BOOKB/PART3/S3_159.DOC), |
|            |     and                                                 |
|            |                                                         |
|            | -   [*VAOPGCPREC                                        |
|            |                                                         |
|            |   5-2004*](http://www1.va.gov/ogc/docs/PREC5-2004.doc), |
|            |     and                                                 |
|            |                                                         |
|            | ```{=html}                                              |
|            | <!-- -->                                                |
|            | ```                                                     |
|            | -   handling compensation claims that are inherently    |
|            |     incredible or clearly lack merit, see M21-1MR, Part |
|            |     III, Subpart iv, 2.A.3.b.                           |
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Continued on next page

2\. Description of the Duty to Assist Criteria, Continued

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| ##         | > Questions regarding duty to assist should be          |
| ### f. Con | > submitted                                             |
| tact Infor |                                                         |
| mation for | -   to the Q&A mailbox at **VAVBAWAS/CO/21Q&A**         |
|  Questions |                                                         |
|            | -   by the Q&A station coordinator.                     |
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