an earlier effective date” does not sufficiently specify the factual or legal error at issue. Reference: For information on responding to freestanding requests for an earlier effective date, see . e. Responding to Freestanding Requests for an Earlier Effective Date Upon receipt of a freestanding request for an earlier effective date, send the claimant a letter including the following language: We received your request for an earlier effective date. We notified you of our prior decision for [insert contention] on [insert date]. Since you did not appeal, the decision is now final. VA cannot accept a request for an earlier effective date on a final regional office decision. However, you may request revision based on clear and unmistakable error (CUE) with respect to the assignment of the effective date in the unappealed decision. A CUE is an error that is undebatable in that a reasonable mind can only conclude that the original decision was fatally flawed at the time it was made. For VA to consider your request for revision based on CUE, you must specify the factual or legal error you believe VA made with regard to assigning the effective date in our prior decision. We will take no further action on your request until we receive this information. Note: If the only issue on the claim is the request for an earlier effective date, change the EP to a 400 and do not control for receipt of a response. Reference: For more information on revising decisions based on CUE, see , and . f. Developing Substantially Complete Applications In addition to the notification requirements outlined in and , VA must also, in writing, ask the claimant to identify any records he/she believes are relevant to the claim, and complete VA Form 21-4142, Authorization for Release of Information, where appropriate, which will enable VA to request private medical records on the claimant’s behalf, and inform the claimant if he/she does not respond to the request for information within 30 days of the date of the request, VA may decide the claim based on all the information and evidence of record, and he/she has one year from the date of the request to submit any evidence or information to substantiate the claim. Notes: Adequate identification of records by the claimant would normally include
the address of the custodian of the records medical condition to which the records relate, and approximate time frame covered by these records. If the claimant identifies record sources at the same time he/she files the claim but furnishes no VA Forms 21-4142 or equivalent form identifying those sources (or submits incomplete VA Forms 21-4142), notify the claimant of the information and/or forms VA needs to request the records, and that VA cannot assist the claimant in obtaining the records until it receives the missing information and/or forms. The Section 5103 notice with all its enclosures (which are also called attachments and templates) must be of record in the claims folder to document VA’s compliance with its statutory notice responsibility. ROs are not required to include in the claims folder copies of any blank VA forms (such as, VA Form 21-4138, Statement in Support of Claim, or VA Form 21-4142) issued with the notification letter. References: For more information on VA’s duty to notify claimants of necessary evidence, see , and handling VA Form 21-4142 or equivalent form, see . g. Claimant’s Duty to Identify and Locate Records The claimant must cooperate fully with VA’s reasonable efforts to obtain relevant records by providing enough information to identify and locate the existing records, including the person, company, agency, or other custodian holding the records the approximate time frame covered by the records, and the condition(s) for which treatment was provided, in the case of medical treatment records. Note: Full cooperation includes completing and returning the appropriate authorization form, such as a VA Form 21-4142. Reference: For more information on handling VA Form 21-4142 or equivalent form, see . h. Definition: Relevant Records “Relevant records,” for the purpose of VA’s statutory duty to assist, are those records that relate to the disability or injury for which the claimant is seeking benefits, and have a reasonable possibility of helping to substantiate the claim. Note: Not all medical records have a reasonable possibility of helping to substantiate a disability claim.
the claimant does not indicate whether the records identified on the VA Form 21-4142 or equivalent form are relevant to the pending claim, and it is unclear whether the records could help substantiate the claim Example: The Veteran claims service connection for anxiety, and the records identified are from a chiropractor. consult a Rating Veterans Service Representative (RVSR) to determine which medical records are relevant to a pending claim. j. Claimant’s Duty to Authorize the Release of Existing Records If necessary, a claimant must authorize the release of existing records in a form acceptable to the person, company, agency, or other custodian holding the records. If the claimant does not provide the necessary authorization, inform him/her that VA will be unable to consider the records when deciding his/her claim unless the claimant obtains and submits the records to VA him/herself. Note: Follow the instructions in if a private medical care provider refuses to give VA a copy of a claimant’s medical records because the medical care provider requires completion of a special, signed consent form, or the VA Form 21-4142 included in VA’s initial request to the medical care provider did not have an original signature. Reference: For more information about authorizing the release of records, see . k. Exception to the Notification Requirement In cases where the evidence of record is sufficient to substantiate a claim and grant the benefit sought, it is unnecessary to provide Section 5103 notice to the claimant. This exception only applies in cases where the evidence of record (to include VA medical center (VAMC) records available through the Compensation and