--- title: "Part V, Subpart i, Chapter 1, Section C Pre-Rating Review of Claims by the Rating Activity" document: "M-21-1" section: "Part V, Subpart i, Chapter 1, Section C" canonical: "https://veteranai.co/va-regulations/m21-1/v.i.1.c-pre-rating-review-of-claims-by-the-rating-activity" source: "https://www.knowva.ebenefits.va.gov/system/templates/selfservice/va_ssnew/help/customer/locale/en-US/portal/554400000001018/content/554400000180479/M21-1-Part-V-Subpart-i-Chapter-1-Section-C-Pre-Rating-Review-of-Claims-by-the-Rating-Activity" updated: "2026-09-07T14:37:11.978168Z" --- May 15, 2017 ### V.i.1.C.1.a. Pre-Rating Review to Confirm Rating Activity Jurisdiction The rating activity must review cases routed for a rating decision to confirm that the claimed issues require a rating decision in accordance with [M21-1, Part V, Subpart i, 1.A.1.b](). Before issuing a rating decision, the rating activity must also ensure that any needed administrative decisions, such as a line-of-duty determination, have been completed and authorized. **References:** For more information on * the rating activity generally, see [M21-1, Part V, Subpart i, 1.A]() * referrals to the rating activity, see [M21-1, Part V, Subpart i, 1.B]() * determining the issues, see [M21-1, Part V, Subpart ii, 3.A]() * partial rating decisions and deferred issues, see [M21-1, Part V, Subpart ii, 3.B]() * administrative decisions, see [M21-1, Part X, Subpart v, 1.C](), and * establishing Veteran status, see [M21-1, Part III, Subpart i, 1.A](). 2. Reviewing for Compliance With VA’s Duty to Notify and Assist This topic contains information on considering VA’s duty to notify and assist, including * duty to notify review by the rating activity, and * duty to assist review by the rating activity. November 17, 2025 ### V.i.1.C.2.a. Duty to Notify Review by the Rating Activity The decision maker is responsible for ensuring that the Department of Veterans Affairs’ (VA’s) duty to notify has been satisfied before proceeding to a decision. Use the table below to review the evidence of record and ensure VA’s duty to notify requirements have been met. | **If …**| **Then review …** VA receives a claim on the prescribed form| * the form to ensure it is substantially complete, and * the claim to ensure it is not inherently incredible or lacking merit. **References:** For more information on * substantially complete application, see * [M21-1, Part I, Subpart i, 1.A.4.f]() * [M21-1, Part II, Subpart iii, 1.C](), and * [38 CFR 3.159(a)(3)](), and * action required on claims that are inherently incredible or lack merit, see * [M21-1, Part I, Subpart i, 1.A.4.c](), and * [M21-1, Part II, Subpart iii, 1.C.2.f](). the form is substantially complete| to determine whether Section 5103 notice requirements have been met under the guidance in [M21-1, Part III, Subpart i, 2.B]().**References:** For more information on * notification requirements for a complete application, see [M21-1, Part II, Subpart iii, 1.C.2.a]() * when the duty to notify has already been provided on the application form or through filing, see [M21-1, Part III, Subpart i, 2.B.1.b]() * circumstances where a Section 5103 notice may need to be provided after a claim is submitted, see [M21-1, Part III, Subpart i, 2.B.1.c](), and * exceptions to the Section 5103 notice requirement, see [M21-1, Part III, Subpart i, 2.B.1.d](). VA becomes aware of the existence of relevant records before the claim is decided| the claims folder to ensure that VA has notified the claimant * of the relevant records * of the need for a release of records (if applicable), and * to obtain the records and provide them to VA if the claimant does not provide the necessary release. evidence requested by VA from a third party does not exist or cannot be obtained| the claims folder to ensure that VA has * identified the records that could not be obtained * explained the efforts VA made to obtain the records * described any further action VA will take regarding the claim, including, but not limited to notice that VA will decide the claim based on the evidence of record unless the claimant submits the records VA was unable to obtain, and * indicated that the claimant is ultimately responsible for providing the evidence. **Note:** **_ _**For non-Federal records requests, VA may provide the notice at the same time it makes a follow-up attempt to obtain the relevant records. a proposed adverse action is referred for final decision| the notice of proposed adverse action to ensure all the elements of due process have been met. **References:** For more information on * due process, see [M21-1, Part I, Subpart i, 1.B](), and * the notice of proposed adverse action, see [M21-1, Part X, Subpart ii, 3.A](). **References:** For more information on * notifying the claimant of necessary information or evidence, see [38 CFR 3.159(b)]() * notifying the claimant when records cannot be obtained, see * [38 CFR 3.159(e)](), and * [M21-1, Part III, Subpart i, 2.C.3](), and * ensuring that notification has been sent through the Centralized Benefits Communications Management (CBCM) program, see * [M21-1, Part II, Subpart i, 2.C.4.c](), and * the Talent Management System (TMS) course titled _Centralized Benefits Communications Management_(VA 4562424). ### V.i.1.C.2.b. Duty to Assist Review by the Rating Activity The decision maker is responsible for ensuring that the duty to assist has been satisfied before proceeding to a decision. Use the table below to review the evidence of record and ensure VA’s duty to assist requirements have been met. | **If the information or evidence is …**| **Then ensure VA …** needed in support of a benefit-specific or special-issue claim type (for example, individual unemployability or service connection for hepatitis)| notified the claimant * of any additional forms or special-issue evidence needed to support the claim * how the forms/evidence can be obtained/presented, and * when the forms/evidence must be received. _**Reference**_ : For more information on notification requirements for special issues, see [M21-1, Part III, Subpart i, 2.B.1.f](). requested from Federal agencies| * received complete records, or * if the records were not obtained, determined that they do not exist or additional efforts would be futile. **Reference:** For more information on duty to assist with Federal records, see * [M21-1, Part III, Subpart ii, 1.A.1.a](), and * [38 CFR 3.159(c)(2)](). requested from the claimant and/or private providers| * received complete records, or * if the records are not received, made reasonable efforts to obtain them. **References:** For more information on * reasonable efforts to obtain non-Federal records, see * [M21-1, Part III, Subpart i, 2.C.2](), and * [38 CFR 3.159(c)(1)](), and * claimants' cooperation with the duty to assist in obtaining non-Federal records, see * [M21-1, Part III, Subpart i, 2.C.2.c](), and * [38 CFR 3.159(c)(1)(i)](). VA medical records| * obtained all VA medical records pertinent to the issues, and * associated them with the electronic claims folder. **Note:** Vet Center records require the Veteran’s authorization to release records and are not stored in the Compensation and Pension Record Interchange (CAPRI). **References:** For more information on * obtaining VA medical records, see [M21-1, Part III, Subpart ii, 1.A.2]() * storing records from CAPRI, see the [_CAPRI User Manual_](), and * obtaining records from a Vet Center, see [M21-1, Part III, Subpart ii, 1.A.1.e](). an examination request| * requested all examinations and medical opinions, when required, and * included the correct information to the examiner in the request(s). **Reference:** For more information on VA’s duty to provide medical examinations or medical opinions, see * [M21-1, Part IV, Subpart i, 1.A](), and * [38 CFR 3.159(c)(4)](). an examination report| * received a complete examination report that is sufficient for rating purposes, or * received notice that the claimant failed to report. **References:** For more information on * reviewing examination reports for sufficiency, see [M21-1, Part IV, Subpart i, 3.A]() and [B](), and * failure to report for scheduled examinations, see * [38 CFR 3.655]() * [M21-1, Part IV, Subpart i, 2.F](), and * [M21-1, Part IV, Subpart ii, 2.B](). **References:** For more information on * circumstances where VA will refrain from or discontinue providing assistance, see [38 CFR 3.159(d)](), and * ensuring that notification has been sent through the CBCM program, see * [M21-1, Part II, Subpart i, 2.C.4.c](), and * the TMS course titled _Centralized Benefits Communications Management_ (VA 4562424). ## 3. Handling Claims Unsupported by Law This topic contains information on handling claims unsupported by law, including * referring to the authorization activity claims that are unsupported by law, and * dismissing claims unsupported by law. April 9, 2018 ### V.i.1.C.3.a. Referring to the Authorization Activity Claims That Are Unsupported by Law Refer a claim to the authorization activity for an administrative denial of benefits when the claimed entitlement is unsupported by law. **Example:** Such claims include pension claims from Veterans with only peacetime service. **Reference:** For more information on conditions under which the authorization activity may deny a claim, see [M21-1, Part VI, Subpart i, 1.A.3.b and c](). ### V.i.1.C.3.b. Dismissing Claims Unsupported by Law When a claim is unsupported by law, the claim * should be dismissed as a result of the lack of legal merit * does not require any development action, and * does not require a rating decision. **Note:** The claim must clearly be unsupported by law to be dismissed.