§ 5103. Notice to claimants of required information and evidence

Legislative history

Reconstructed from this section’s Code source credit and amendment notes, resolved against the local Statutes at Large. Editorial notes are evidence, not the law that made the change.

1. 2000

   Veterans Claims Assistance Act of 2000

   Pub. L. 106–475 § 3(a) · 114 Stat. 2096

   Enacted · 38 U.S.C. § 5103

   Added Pub. L. 106–475, § 3(a), Nov. 9, 2000, 114 Stat. 2096

   Source evidence

   Code source credit
   Added Pub. L. 106–475, § 3(a), Nov. 9, 2000, 114 Stat. 2096

   Enacted provision · exact public law section
   (a) Reaffirmation and Clarification of Duty To Assist.— Chapter 51 of title 38, United States Code, is further amended by striking sections 5102 and 5103 and inserting the following: “§ 5102. Application forms furnished upon request; notice to claimants of incomplete applications “(a) Furnishing Forms.— Upon request made by any person claiming or applying for, or expressing an intent to claim or apply for, a benefit under the laws administered by the Secretary, the Secretary shall furnish such person, free of all expense, all instructions and forms necessary to apply for that benefit. “(b) Incomplete Applications.— If a claimant's application for a benefit under the laws administered by the Secretary is incomplete, the Secretary shall notify the claimant and the claimant’s representative, if any, of the information necessary to complete the application. “§ 5103. Notice to claimants of required information and evidence “(a) Required Information and Evidence— Upon receipt of a complete or substantially complete application, the Secretary shall notify the claimant and the claimant’s representative, if any, of any information, and any medical or lay evidence, not previously provided to the Secretary that is necessary to substantiate the claim. As part of that notice, the Secretary shall indicate which portion of that information and evidence, if any, is to be provided by the claimant and which portion, if any, the Secretary, in accordance with section 5103A of this title and any other applicable provisions of law, will attempt to obtain on behalf of the claimant. “(b) Time Limitation.— (1) In the case of information or evidence that the claimant is notified under subsection (a) is to be provided by the claimant, if such information or evidence is not received by the Secretary within 1 year from the date of such notification, no benefit may be paid or furnished by reason of the claimant’s application. “(2) This subsection shall not apply to any application or claim for Government life insurance benefits. “§ 5103A. Duty to assist claimants “(a) Duty To Assist.— (1) The Secretary shall make reasonable efforts to assist a claimant in obtaining evidence necessary to substantiate the claimant’s claim for a benefit under a law administered by the Secretary. “(2) The Secretary is not required to provide assistance to a claimant under this section if no reasonable possibility exists that such assistance would aid in substantiating the claim. “(3) The Secretary may defer providing assistance under this section pending the submission by the claimant of essential information missing from the claimant’s application. “(b) Assistance in Obtaining Records.— (1) As part of the assistance provided under subsection (a), the Secretary shall make reasonable efforts to obtain relevant records (including private records) that the claimant adequately identifies to the Secretary and authorizes the Secretary to obtain. “(2) Whenever the Secretary, after making such reasonable efforts, is unable to obtain all of the relevant records sought, the Secretary shall notify the claimant that the Secretary is unable to obtain records with respect to the claim. Such a notification shall— “(A) identify the records the Secretary is unable to obtain; “(B) briefly explain the efforts that the Secretary made to obtain those records; and “(C) describe any further action to be taken by the Secretary with respect to the claim. “(3) Whenever the Secretary attempts to obtain records from a Federal department or agency under this subsection or subsection (c), the efforts to obtain those records shall continue until the records are obtained unless it is reasonably certain that such records do not exist or that further efforts to obtain those records would be futile. “(c) Obtaining Records for Compensation Claims.— In the case of a claim for disability compensation, the assistance provided by the Secretary under subsection (b) shall include obtaining the following records if relevant to the claim: “(1) The claimant’s service medical records and, if the claimant has furnished the Secretary information sufficient to locate such records, other relevant records pertaining to the claimant’s active military, naval, or air service that are held or maintained by a governmental entity. “(2) Records of relevant medical treatment or examination of the claimant at Department health-care facilities or at the expense of the Department, if the claimant furnishes information sufficient to locate those records. “(3) Any other relevant records held by any Federal department or agency that the claimant adequately identifies and authorizes the Secretary to obtain. “(d) Medical Examinations for Compensation Claims.— (1) In the case of a claim for disability compensation, the assistance provided by the Secretary under subsection (a) shall include providing a medical examination or obtaining a medical opinion when such an examination or opinion is necessary to make a decision on the claim. “(2) The Secretary shall treat an examination or opinion as being necessary to make a decision on a claim for purposes of paragraph (1) if the evidence of record before the Secretary, taking into consideration all information and lay or medical evidence (including statements of the claimant)— “(A) contains competent evidence that the claimant has a current disability, or persistent or recurrent symptoms of disability; and “(B) indicates that the disability or symptoms may be associated with the claimant’s active military, naval, or air service; but “(C) does not contain sufficient medical evidence for the Secretary to make a decision on the claim. “(e) Regulations.— The Secretary shall prescribe regulations to carry out this section. “(f) Rule With Respect to Disallowed Claims.— Nothing in this section shall be construed to require the Secretary to reopen a claim that has been disallowed except when new and material evidence is presented or secured, as described in section 5108 of this title. “(g) Other Assistance Not Precluded.— Nothing in this section shall be construed as precluding the Secretary from providing such other assistance under subsection (a) to a claimant in substantiating a claim as the Secretary considers appropriate.”.

2. 2001

   Veterans’ Survivor Benefits Improvements Act of 2001

   Pub. L. 107–14 § 8(a)(12) · 115 Stat. 25

   Substituted · 38 U.S.C. § 5103(b)(1)

   Pub. L. 107–14 substituted “one year” for “1 year”

   Source evidence

   Code amendment note
   Subsec. (b)(1). Pub. L. 107–14 substituted “one year” for “1 year”.

   Enacted provision · exact public law section
   (12) Section 5103(b)(1) is amended by striking “1 year” and inserting “one year”.

3. 2003

   Veterans Benefits Act of 2003

   Pub. L. 108–183 § 701(b)(1) · 117 Stat. 2651

   Substituted · 38 U.S.C. § 5103(b)(1)

   Pub. L. 108–183, § 701(b)(1), substituted “such information or evidence must be received by the Secretary within one year from the date such notice is sent” for “if such information or evidence is not received by the Secretary within one year from the date of such notification, no benefit may be paid or furnished by reason of the claimant’s application”

   Source evidence

   Code amendment note
   Subsec. (b)(1). Pub. L. 108–183, § 701(b)(1), substituted “such information or evidence must be received by the Secretary within one year from the date such notice is sent” for “if such information or evidence is not received by the Secretary within one year from the date of such notification, no benefit may be paid or furnished by reason of the claimant’s application”.

   Enacted provision · exact public law section
   (1) in paragraph (1), by striking “if such” and all that follows through “application” and inserting “such information or evidence must be received by the Secretary within one year from the date such notice is sent”; and

4. 2003

   Veterans Benefits Act of 2003

   Pub. L. 108–183 § 701(b)(2) · 117 Stat. 2651

   Added · 38 U.S.C. § 5103(b)(3)

   Pub. L. 108–183, § 701(b)(2), added par. (3)

   Source evidence

   Code amendment note
   Subsec. (b)(3). Pub. L. 108–183, § 701(b)(2), added par. (3).

   Enacted provision · exact public law section
   (2) by adding at the end the following new paragraph: “(3) Nothing in paragraph (1) shall be construed to prohibit the Secretary from making a decision on a claim before the expiration of the period referred to in that subsection.” .

5. 2008

   Veterans’ Benefits Improvement Act of 2008

   Pub. L. 110–389 title I § 101(a) · 122 Stat. 4145

   1. Amended · 38 U.S.C. § 5103(a)

      Pub. L. 110–389 designated existing provisions as par. (1)

   2. Added · 38 U.S.C. § 5103(a)

      Pub. L. 110–389 added par. (2)

   Source evidence

   Code amendment note
   Subsec. (a). Pub. L. 110–389 designated existing provisions as par. (1) and added par. (2).

   Enacted provision · exact public law section
   (a) In General.— Section 5103(a) 38 USC 5103. is amended— (1) by inserting “(1)” before “Upon receipt”; and (2) by adding at the end the following new paragraph: “(2) (A) The Secretary shall prescribe in regulations requirements relating to the contents of notice to be provided under this subsection. “(B) The regulations required by this paragraph— “(i) shall specify different contents for notice based on whether the claim concerned is an original claim, a claim for reopening a prior decision on a claim, or a claim for an increase in benefits; “(ii) shall provide that the contents for such notice be appropriate to the type of benefits or services sought under the claim; “(iii) shall specify for each type of claim for benefits the general information and evidence required to substantiate the basic elements of such type of claim; and “(iv) shall specify the time period limitations required pursuant to subsection (b).” .

6. 2012

   Honoring America’s Veterans and Caring for Camp Lejeune Families Act of 2012

   Pub. L. 112–154 § 504(a)(1) · 126 Stat. 1165

   1. Substituted · 38 U.S.C. § 5103(a)(1)

      Pub. L. 112–154, § 504(a)(1), substituted “The” for “Upon receipt of a complete or substantially complete application, the”

   2. Substituted · 38 U.S.C. § 5103(a)(1)

      Pub. L. 112–154, § 504(a)(1), substituted “provide to” for “notify”

   3. Inserted · 38 U.S.C. § 5103(a)(1)

      Pub. L. 112–154, § 504(a)(1), inserted “by the most effective means available, including electronic communication or notification in writing, notice” before “of any information”

   Source evidence

   Code amendment note
   Subsec. (a)(1). Pub. L. 112–154, § 504(a)(1), substituted “The” for “Upon receipt of a complete or substantially complete application, the” and “provide to” for “notify” and inserted “by the most effective means available, including electronic communication or notification in writing, notice” before “of any information”.

   Enacted provision · exact public law section
   (1) in subsection (a)(1)— (A) by striking “Upon receipt of a complete or substantially complete application, the” and inserting “The”; (B) by striking “notify” and inserting “provide to”; and (C) by inserting “by the most effective means available, including electronic communication or notification in writing, notice” before “of any information”; and

7. 2012

   Honoring America’s Veterans and Caring for Camp Lejeune Families Act of 2012

   Pub. L. 112–154 § 504(a)(2) · 126 Stat. 1165

   Added · 38 U.S.C. § 5103(b)(4); 38 U.S.C. § 5103(b)(5)

   Pub. L. 112–154, § 504(a)(2), added pars. (4) and (5)

   Source evidence

   Code amendment note
   Subsec. (b)(4), (5). Pub. L. 112–154, § 504(a)(2), added pars. (4) and (5).

   Enacted provision · exact public law section
   (2) in subsection (b), by adding at the end the following new paragraphs: “(4) Nothing in this section shall require the Secretary to provide notice for a subsequent claim that is filed while a previous claim is pending if the notice previously provided for such pending claim— “(A) provides sufficient notice of the information and evidence necessary to substantiate such subsequent claim; and “(B) was sent within one year of the date on which the subsequent claim was filed. “(5) (A) This section shall not apply to any claim or issue where the Secretary may award the maximum benefit in accordance with this title based on the evidence of record. “(B) For purposes of this paragraph, the term ‘maximum benefit’ means the highest evaluation assignable in accordance with the evidence of record, as long as such evidence is adequate for rating purposes and sufficient to grant the earliest possible effective date in accordance with section 5110 of this title.” .

8. 2017

   Veterans Appeals Improvement and Modernization Act of 2017

   Pub. L. 115–55 § 2(b)(1) · 131 Stat. 1105

   Substituted · 38 U.S.C. § 5103(a)(1)

   Pub. L. 115–55, § 2(b)(1), substituted “Except as provided in paragraph (3), the” for “The”

   Source evidence

   Code amendment note
   Subsec. (a)(1). Pub. L. 115–55, § 2(b)(1), substituted “Except as provided in paragraph (3), the” for “The”.

   Enacted provision · exact public law section
   (1) in paragraph (1), in the first sentence, by striking “The” and inserting “Except as provided in paragraph (3), the”;

   Effective date note
   Amendment by Pub. L. 115–55 applicable to all claims for which the Secretary of Veterans Affairs provides notice of a decision under section 5104 of this title on or after the later of 540 days after Aug. 23, 2017, or 30 days after the date on which the Secretary submits to Congress a certification of certain capabilities of the Department of Veterans Affairs to carry out the new appeals system established by Pub. L. 115–55 and to address appeals of decisions on legacy claims, with provision for early applicability of the new appeals system to certain claims, see section 2(x) of Pub. L. 115–55, set out as a note under section 101 of this title, and bracketed note thereunder.

9. 2017

   Veterans Appeals Improvement and Modernization Act of 2017

   Pub. L. 115–55 § 2(b)(2) · 131 Stat. 1105

   Substituted · 38 U.S.C. § 5103(a)(2)(B)(i)

   Pub. L. 115–55, § 2(b)(2), substituted “or a supplemental claim;” for “, a claim for reopening a prior decision on a claim, or a claim for an increase in benefits;”

   Source evidence

   Code amendment note
   Subsec. (a)(2)(B)(i). Pub. L. 115–55, § 2(b)(2), substituted “or a supplemental claim;” for “, a claim for reopening a prior decision on a claim, or a claim for an increase in benefits;”.

   Enacted provision · exact public law section
   (2) in paragraph (2)(B)(i) by striking “, a claim for reopening a prior decision on a claim, or a claim for an increase in benefits;” and inserting “or a supplemental claim;”; and

   Effective date note
   Amendment by Pub. L. 115–55 applicable to all claims for which the Secretary of Veterans Affairs provides notice of a decision under section 5104 of this title on or after the later of 540 days after Aug. 23, 2017, or 30 days after the date on which the Secretary submits to Congress a certification of certain capabilities of the Department of Veterans Affairs to carry out the new appeals system established by Pub. L. 115–55 and to address appeals of decisions on legacy claims, with provision for early applicability of the new appeals system to certain claims, see section 2(x) of Pub. L. 115–55, set out as a note under section 101 of this title, and bracketed note thereunder.

10. 2017

    Veterans Appeals Improvement and Modernization Act of 2017

    Pub. L. 115–55 § 2(b)(3) · 131 Stat. 1105

    Added · 38 U.S.C. § 5103(a)(3)

    Pub. L. 115–55, § 2(b)(3), added par. (3)

    Source evidence

    Code amendment note
    Subsec. (a)(3). Pub. L. 115–55, § 2(b)(3), added par. (3).

    Enacted provision · exact public law section
    (3) by adding at the end the following new paragraph: “(3) The requirement to provide notice under paragraph (1) shall not apply with respect to a supplemental claim that is filed within the timeframe set forth in subparagraphs (B) and (D) of section 5110(a)(2) of this title.” .

    Effective date note
    Amendment by Pub. L. 115–55 applicable to all claims for which the Secretary of Veterans Affairs provides notice of a decision under section 5104 of this title on or after the later of 540 days after Aug. 23, 2017, or 30 days after the date on which the Secretary submits to Congress a certification of certain capabilities of the Department of Veterans Affairs to carry out the new appeals system established by Pub. L. 115–55 and to address appeals of decisions on legacy claims, with provision for early applicability of the new appeals system to certain claims, see section 2(x) of Pub. L. 115–55, set out as a note under section 101 of this title, and bracketed note thereunder.

13 of 13 references resolved to an enrolled provision