--- title: "Part II, Subpart iii, Chapter 3, Section A Claims Establishmen" document: "M-21-1" section: "Part II, Subpart iii, Chapter 3, Section A" canonical: "https://veteranai.co/va-regulations/m21-1/ii.iii.3.a-claims-establishmen" source: "https://www.knowva.ebenefits.va.gov/system/templates/selfservice/va_ssnew/help/customer/locale/en-US/portal/554400000001018/content/554400000174881/M21-1-Part-II-Subpart-iii-Chapter-3-Section-A-Claims-Establishment" updated: "2026-09-07T14:37:04.008333Z" --- August 22, 2025 ### II.iii.3.A.1.a. Types of Claims Excluded From Establishment in VBMS The Veterans Benefits Management System (VBMS) is used to establish * all initial claims for compensation * pension and survivor claims * claims where the claimant has a Department of Veterans Affairs (VA)-appointed fiduciary, and * most claim types for which a VBMS record already exists. **Exceptions:** The following claims should be established using Share: * any claim where the claimant is an organization, unless the organization is a state cemetery, and * discovered legacy appeals where the appellant is not a child, spouse, or parent of the Veteran. **Reference:** For more information on end product (EP) codes for compensation, pension, and fiduciary operations, see [M21-4, Appendix B, 2](). ### II.iii.3.A.1.b. Preparing for Claims Establishment The table below describes the steps of claims establishment and the references for guidance on these actions.| **Step**| **Action**| **Reference** 1| Check for a previously established claims folder number.| [M21-1, Part II, Subpart ii, 1.A.1.c](). 2| Determine the current claims folder location and request scanning of paper claims folders (if necessary).| * [M21-1, Part II, Subpart ii, 1.A.2.d](), and * [M21-1, Part II, Subpart ii, 1.A.2.f](). 3| Review the VBMS exclusions to determine the system in which to place the claim under control.| M21-1, Part II, Subpart iii, 3.A.1.a. 4| Place EP under control using the appropriate system.| For * VBMS, see M21-1, Part II, Subpart iii, 3.A.1.d, and * Share, see M21-1, Part II, Subpart iii, 3.A.1.e. _**Important**_ : * Establish EP control only upon receipt of a substantially completed form. * Most pension and survivor claims should now be established in VBMS, as indicated in M21-1, Part II, Subpart iii, 3.A.1.a. * Military service information, such as branch of service and date of release from active duty for a service member’s current period of service must be updated in VBMS before establishment of any pre-discharge claim. _**References**_ : For more information on * the types of claims excluded from establishment in VBMS, see the exceptions listed in M21-1, Part II, Subpart iii, 3.A.1.a * handling an incomplete claim, see [M21-1, Part II, Subpart iii, 1.C]() * processing an intent to file (ITF) and incomplete ITFs, see [M21-1, Part II, Subpart iii, 2.A]() * general description of a pre-discharge claim, see [M21-1, Part X, Subpart i, 6.A.1.a](), and * updating military service information, see [M21-1, Part II, Subpart iii, 3.B.3](). ### II.iii.3.A.1.c. Determining the EP for Initial Rating-Related Claims To administer proper EP control for rating-related claims, determine if the claimant * previously filed for benefits, or * is filing an original claim (first initial claim). Follow the steps in the table below to determine the appropriate EP for rating-related claims. | **Step**| **Action** 1| Open Share and select the CORPORATE INQUIRY command.. 2| Enter the claimant’s Social Security number (SSN) or claims folder number into the FILE NUMBER OR SSN field and click the SUBMIT button. 3| Click on the AWARD/RATING box in the menu bar and navigate to the RATING INFORMATION tab. Has the claimant previously received a rating determination? * If yes, go to the next step. * If _no_ , go to Step 5. 4| Determine if any of the claimed issues have been previously denied. For each issue that has been previously denied, follow request for application procedures located in [M21-1, Part II, Subpart iii, 2.G.1]() before going to the next step. **Important:** * If the claim for a previously denied issue is received on [_VA Form 20-0995, Decision Review Request – Supplemental Claim_](), route it to the decision review operations center mail queue, where it will be processed as provided in [M21-5, Chapter 4, 2](). * If all the claimed issues have previously been denied, no further action in this table is required. 5| * Click the READY button to return to the main Share screen. * Select the Beneficiary Identification & Records Locator Subsystem (BIRLS) INQUIRY command and click the SUBMIT button. 6| Select the INACTIVE COMP & PEN tab. Determine if there any entries in the * DIAGNOSTIC table * ENTITLEMENT CODE field, or * Reason for Termination or Disallowance field. _**Example**_ :![](https://vaww.vrm.km.va.gov/img/M21-1_III_ii_3_SecD_Termination.png)| **If entries ...**| **Then use ...** exist| a rating EP from the 020 series. do not exist| an original rating EP from the * 110 series, if there are seven or fewer claimed contentions, or * 010 series, if there are eight or more claimed contentions. **References:** For more information on * establishing and maintaining EP control, see [M21-4, Appendix B, 1.b](), and * available EP codes for compensation, pension, and fiduciary operations, see [M21-4, Appendix B, 2](). ### II.iii.3.A.1.d. Establishing Claims in VBMS Follow the steps in the table below to establish a claim in VBMS. | **Step**| **Action** 1| Navigate to the Veteran’s profile and select _New Claim_ from the ACTIONS drop-down menu. 2| On the NEW CLAIM screen verify the following: * the claimant’s first and last names are correct * the CONTACT INFORMATION field is current, including the * address * telephone number, and * e-mail, and * check for open claims in the EXISTING CLAIMS field. _**Notes**_ : * If a rating claim is already pending * update the contentions, and * manage evidence. * Contact information updates _must_ be made using the EDIT VETERAN function, as indicated in [M21-1, Part II, Subpart iii, 3.B.1.b](). 3| Complete the required CLAIM INFORMATION fields (indicated by red asterisk), all applicable optional fields, and click SUBMIT. 4| For certain EPs, VBMS will ask if the claim was submitted on a [_VA Form 21-526EZ, Application for Disability Compensation and Related Compensation Benefits_](), dated August 2011 or later. * If _no_ is selected, a Section 5103 notice will generate and must be sent to the claimant. * If _yes_ is selected, VBMS will transition to the CONTENTIONS screen. 5| Enter the claimant’s contentions, completing the required fields as described in [M21-1, Part III, Subpart i, 2.F.2](). 6| Use the table below to document the claims establishment process. | **If processing the mail in a(n) ...**| **Then ...** paper format| annotate the claim document with the * EP * establishment date, and * initials of the individual establishing the EP. electronic format| an annotation is not required, but the creation of a VBMS note documenting the EP established is recommended. 7| Return to the VETERAN PROFILE screen and select _Manage Evidence_ in the ACTIONS drop-down menu. _**Example**_ :![](https://vaww.vrm.km.va.gov/img/M21-1_III_ii_3_SecD_Manage_Evidence.png) 8| Add each piece of mail or mail packet by * selecting the ADD unsolicited tab * entering the required information and clicking the ADD EVIDENCE button, repeating until all evidence has been entered, and * selecting COMPLETE. **Example:** ![Image of the manage evidence screen.](/img/cpkm/III.ii.3.D.2.c_step10.png) _**References**_ : For more information on * establishing claims in VBMS, see the _VBMS Core User Guide_ * pre-discharge claims establishment, see [M21-1, Part X, Subpart i, 6.B.2]() * how claims folders and numbers are established, see [M21-1, Part II, Subpart ii, 1.A.1.b]() * processing power of attorney (POA) appointments, see [M21-1, Part I, Subpart i, 2.C.1]() * date of claim regarding * ITF, see [M21-1, Part II, Subpart iii, 2.A ]() * informal claims, see [M21-1, Part II, Subpart iii, 2.H]() * original claims, see [M21-1, Part II, Subpart iii, 1.A.4.c]() * correct date of claim, see [M21-4, Appendix B, 1.c]() * definition of date of receipt, see [38 CFR 3.1(r)]() * identifying date of receipt, to include documents received in the Centralized Mail (CM) portal, see [M21-1, Part II, Subpart i, 2.B.1](), and * pre-discharge claim date of claim, see [M21-1, Part X, Subpart i, 6.B.2]() * adding unsolicited mail, see the _VBMS Core User Guide_ * processing name change requests, see [M21-1, Part II, Subpart iii, 3.B.2](), and * receiving notice of a change of contact information or direct deposit, see * [M21-1, Part II, Subpart iii, 3.B.1.a and b](), and * [M27-1, Part I, 3.10](). ### II.iii.3.A.1.e. Establishing Claims in Share Follow the steps in the table below to establish a claim in Share. | **Step**| **Action** 1| Does a BIRLS record exist? * If _yes_ , go to the next step. * If _no_ , * follow guidance in [M21-1, Part II, Subpart ii, 1.A.1.c]() to ensure a duplicate record would not be created * create a record using the BIRLS ADD command, and * go to the next step. 2| Select the CLAIMS ESTABLISHMENT C+P command on the Share READY screen and using the table below, submit the information needed to start the claims establishment process in Share. | **Required Fields**| **Optional** FILE NUMBER| MIDDLE NAME AND SUFFIX BENEFIT TYPE| DATE OF BIRTH PAYEE NUMBER| SERVICE NUMBER CLAIM TYPE| BRANCH OF SERVICE FIRST NAME| EOD AND RAD LAST NAME| REGIONAL OFFICE _**Example**_ : ![Screenshot of VBA Ready Screen in Share showing claims establishment](https://vaww.vrm.km.va.gov/img/M21-1_III_ii_3_SecD_Share_Ready.png) _**Note**_ : The command establishes an EP for a pending claim or appeal. 3| Complete the following actions while on the VETERAN'S IDENTIFICATION DATA screen: * review the data for accuracy and completeness * correct any erroneous data and enter any missing data, and * select CONTINUE ESTABLISHMENT. _**Example**_ :![](https://vaww.vrm.km.va.gov/img/M21-1_III_ii_3_SecD_Share_CEST.png) 4| Using the table below to complete the PENDING ISSUE/CORPORATE CONTROL ESTABLISHMENT screen. | **Field Name**| **Description** INCREMENTAL| Select a third digit incremental/modifier other than zero, if the claim meets the criteria outlined in [M21-4, Appendix B, 1.f](). **Note:** The default third digit incremental (also called a modifier) is zero. * ADDRESS * TELEPHONE, and * EMAIL | Update based on current correspondence (as necessary). DATE OF CLAIM| For claims establishment purposes, the date of claim is the earliest date of receipt in any VA facility, to include scanning vendor sites and through VA claims submission service websites. Identify this date from the earliest VA date stamp or equivalent. SUSPENSE DATE| Set suspense date to 15 days from the current date. SECTION/UNIT| Enter _21_ for compensation and pension claims. * POWER OF ATTORNEY SEARCH * AUTHORIZED POA ACCESS, and * CADD AUTH'D | Update POA information (if applicable). SUPPRESS ACKNOWLEDGEMENT LETTER| Ensure the SUPRESS ACKNOWLEDGEMENT LETTER field is _deselected_. 5| Select CREATE ESTABLISHMENT. 6| Update any appropriate corporate flashes, as required by [M21-4, Appendix E](). 7| Open the Veteran’s record in VBMS and from the CLAIMS drop-down menu select _Claim Established in Share_. 8| Enter the Veteran’s claimed contentions, completing the required fields as described in [M21-1, Part III, Subpart i, 2.F.2](). 9| * Return to the VETERAN PROFILE screen. * Select _Manage Evidence_ in the ACTIONS drop-down menu. _**Example**_ :![Screenshot of VBMS actions](https://vaww.vrm.km.va.gov/img/M21-1_III_ii_3_SecD_Manage_Evidence_2.png) 10| Add each piece of mail or mail packet by * selecting the ADD unsolicited tab * entering the required information and clicking the ADD EVIDENCE button, repeating until all evidence has been entered, and * selecting COMPLETE. _**Example**_ :![Screenshot of manage evidence screen in VBMS](https://vaww.vrm.km.va.gov/img/M21-1_III_ii_3_SecD_Manage_Evidence_3.png) 11| Use the table below to document the claims establishment process. | **If processing the mail in a(n) ...**| **Then ...** paper format| annotate the claim document with the * EP * establishment date, and * initials of the individual establishing the EP. electronic format| an annotation is not required, but the creation of a VBMS note documenting the EP established is recommended. 12| Route for scanning to appropriate location. _**Important**_ : * Establish EP control only upon receipt of a fully completed claim. * The Veterans Appeal Control and Locator System (VACOLS) must be checked to determine if the contentions claimed, if applicable, are controlled under an active appeal. * Most pension and survivor claims should now be established in VBMS, as indicated in M21-1, Part II, Subpart iii, 3.A.1.a. _**Note**_ : A BIRLS record exists for each Veteran or other beneficiary for whom one of the following types of files has been established: * CLAIMS * NOD * CH 35 * VR&E, and * CH 30. _**References**_ : For more information on * the types of claims excluded from establishment in VBMS, see the exceptions listed in M21-1, Part II, Subpart iii, 3.A.1.a * processing an ITF and incomplete ITFs, see [M21-1, Part II, Subpart iii, 2.A]() * determining if a scanning request is necessary, see [M21-1, Part II, Subpart ii, 1.A.2.f]() * how claims folders and numbers are established, see [M21-1, Part II, Subpart ii, 1.A.1.b]() * confirming a BIRLS record exists and BIRLS ADD, see * [M21-1, Part II, Subpart ii, 1.A.1.c and d](), and * the _Share User Guide_ * controlling legacy appeals and determining if claimed contentions are controlled under an active legacy appeal, see [M21-5, Chapter 6, Section B]() * date of claim regarding * ITF, see [M21-1, Part II, Subpart iii, 2.A]() * informal claims, see [M21-1, Part II, Subpart iii, 2.H]() * correct date of claim, see * [M21-1, Part II, Subpart iii, 1.A.4.c](), and * [M21-4, Appendix B, 1.c]() * definition of date of receipt, see [38 CFR 3.1(r)]() * identifying date of receipt, to include documents received in the CM portal, see [M21-1, Part II, Subpart i, 2.B.1](), and * pre-discharge claims, see [M21-1, Part X, Subpart i, 6.B.2]() * processing POA appointments, see [M21-1, Part I, Subpart i, 2.C.1]() * updating electronic systems for POA, see [M21-1, Part I, Subpart i, 2.C.2]() * POA codes, see [M21-1, Part I, Subpart i, 2.C.3]() * updating corporate flashes, see the _Share User Guide_ , and * processing unsolicited mail, see the _VBMS Core User Guide_. ## 2. Establishing a Request for a Hearing November 30, 2020 ### II.iii.3.A.2.a. Establishing Requests for a Hearing Upon request, a claimant is entitled to a hearing on any issue involved in a claim. Follow the steps below to control a request for a hearing by adding a special issue indicator and tracked items in VBMS. | **Step**| **Action** 1| * Open the claimant’s profile in VBMS, and * select _New Claim_ from the ACTIONS drop-down menu. 2| When necessary, update the claimant’s information, including * address * telephone number, and * POA. 3| Determine if the hearing is for a legacy appeal or pending claim. | **If the hearing is for …**| **Then …** a pending legacy appeal| * select the EP 170, and * add the _Local Hearing_ special issue indicator to each contention that requires a hearing. a legacy appeal that has not been established| * establish EP 170, and * add the _Local Hearing_ special issue indicator to each contention that requires a hearing. a pending claim| * select the EP controlling the issue that requires the hearing, and * add the _Local Hearing_ special issue indicator to each contention that requires the hearing. an issue that is no longer pending as part of a legacy appeal or claim| follow request for application procedures located in [M21-1, Part II, Subpart iii, 2.G](). No further action in this table is required. 4| Add a tracked item that corresponds to the type of hearing request with a one-day suspense period. 5| Add a note providing details of the hearing request using the following format: **[Type of hearing (informal, DRO, pre-decisional, etc.)]**_hearing request via_**[method of request (phone call, written correspondence, on VA Form 21-0958, etc.)]**_received on_**[date request was received]**_._ 6| From the PROFILE screen, select _Manage Evidence_ in the ACTIONS drop-down menu. **Example:** ![Screenshot of VBMA Management Evidence screen and actions](https://vaww.vrm.km.va.gov/img/M21-1_III_ii_3_SecD_Manage_Evidence_6.png) 7| Add each piece of mail or mail packet by * selecting the ADD unsolicited tab * entering the required information and clicking the ADD EVIDENCE button, repeating until all evidence has been entered, and * selecting COMPLETE. _**Example**_ :![Screenshot of manage evidence sreen in VBMS with receipt date](https://vaww.vrm.km.va.gov/img/M21-1_III_ii_3_SecD_Manage_Evidence_7.png) **Note:** Legacy appeals-related hearing information must also be input in VACOLS. _**References**_ : For more information on * regional office (RO) hearings, see [M21-1, Part X, Subpart v, 1.D]() * informal conferences/hearings, see * [M21-5, Chapter 5, 3]() * [M21-5, Chapter 7, Section C.5](), and * [38 CFR 3.2600]() * VACOLS review and updates, see [M21-5, Chapter 6, Section A.1.d]() * adding special issue indicators to a contention, see the _VBMS Core User Guide_ * creating tracked items, see the _VBMS Core User Guide_ * the appropriate tracked item for hearing requests, see [M21-4, Appendix D, 1.b](), and * managing unsolicited mail, see the _VBMS Core User Guide_. ## 3. CM Automatic Claim Establishment This topic contains information about CM automatic claim establishment, including * Auto-Establish process * Auto-Establish functionality * exclusions to the Auto-Establish process * identifying Auto-Establish claims, and * reporting consistent errors with Auto-Establish claims. January 12, 2026 ### II.iii.3.A.3.a. Auto-Establish Process Auto-Establish is an automatic process taking traditional paper compensation claims filed on [_VA Form 21-526EZ_]() that have been received and scanned into the CM portal and * extracting data from the form, and * automatically establishing the claim in VBMS. **Note:** A claim submitted on [_VA Form 21-526EZ_]() to the CM portal using QuickSubmit will also go through the Auto-Establish process. ### II.iii.3.A.3.b. Auto-Establish Functionality A [_VA Form 21-526EZ_]() that arrives at the CM vendor is scanned and the data fields are extracted. The data is used to * establish an appropriate EP * list contentions * add special issue indicators and corporate flashes, and * manage the evidence list that is displayed in VBMS. The [_VA Form 21-526EZ_]() and all mail received with the form are uploaded to the claimant’s electronic claims folder (eFolder). **Note:** Auto-Establish will assign the claim to a segmented lane by adding the associated lane’s special issue indicator to the first contention on the EP. ### II.iii.3.A.3.c. Exclusions to the Auto-Establish Process Auto-Establish will establish the majority of compensation claims submitted on [_VA Form 21-526EZ_](). When a claim submitted on [_VA Form 21-526EZ_]() cannot be automatically established, it will remain in the CM portal for manual processing. Some factors that will require a claim to be manually established include: * incomplete [_VA Form 21-526EZ_]() * duplicate records or claims folders for the Veteran * system unavailability, and * submitting a claim with [_VA Form 21-22, Appointment of Veterans Service Organization as Claimant's Representative_](), or [_VA Form 21-22a, Appointment of Individual as Claimant's Representative_](). **References:** For more information on * duplicate records consolidation, see [M21-1, Part XIV, 6.3](), and * identifying and handling incomplete applications, see * [M21-1, Part II, Subpart iii, 1.A.4](), and * [M21-1, Part II, Subpart iii, 1.C](). ### II.iii.3.A.3.d. Identifying Auto-Establish Claims Auto-Establish claims have three attribute categories that can be used to identify them. One attribute from **_each category_** will be present on an Auto-Establish claim. **Exception:** The name of the scanning vendor, _SMS_ , will always appear as both the SYSTEM SOURCE and UPLOADING USER ROLE. Utilize the table below to identify the possible attributes in each category. | **Category**| **Examples** Date stamp| Claim forms can be submitted by sending paper documents to the intake facility or by submitting electronic documents using VA-approved document submission services such as QuickSubmit (previously the Direct Upload tool). Auto-Establish claim forms will bear one of two distinct date stamps depending on the method of submission. **Example:** Below is an example of a date stamp placed on a paper form that has been digitally scanned. ![Image of a date stamp placed on a paper form that has been digitally scanned.](/img/cpkm/III.ii.3.D.7.d_datestamp1.png) **Example:** Below is an example of a date stamp placed on a document submitted using the Direct Upload tool. ![Image of a date stamp place on a document submitted using the Direct Upload tool.](/img/cpkm/III.ii.3.D.7.d_datestamp2.png) _**Note**_ : Documents submitted via QuickSubmit will have a correspondingly named date stamp. Claim label| An Auto-Establish claim will use one of the following claim labels: * 110 - D2D-Initial Live Comp <8 Issues (110) * 010 - D2D-Initiatial Live Comp >8 Issues (110) * 020 - D2D-Supplemental, or * 400 - D2D-Supplemental. System source / Uploading user role| ** _Example_** : Below is an example of an Auto-Establish claims form in the eFolder. ![An example of an Auto-Establish claims form in the eFolder.](/img/cpkm/III.ii.3.D.7.d_autoestablish.png) **Example:** Below is an example of the document properties screen of an Auto-Establish claims form. ![An example of the document properties screen of an Auto-Establish claims form.](/img/cpkm/III.ii.3.D.7.d_docproperties.png) II.iii.3.A.3.e. Reporting Consistent Errors With Auto-Establish Claims| | Notify RO leadership and the District Director when consistent new errors with Auto-Establish claims (such as an incorrect corporate flash being applied to a homeless claim) are identified. The RO Director will forward the e-mail to the [Office of Field Operations mailbox]() with a request to expedite the resolution of the issue. All reports must * include * example file numbers * a description of the issue, and * the information technology ticket number, and * be sent via encrypted e-mail. **Important:** When reporting an issue, the Enterprise Service Desk ticket must include the following information in the body of the ticket: * the phrase _#automail – Issue with Mail Automation Services_ , and * necessary information to troubleshoot the error, including * Veteran record information * VBMS claim identification (ID) number * CM packet ID, and * any other information that will help correctly identify the error under review.