General Information on Relationship and Dependency

In This Section

Introduction

• definition of
  • relationship, and
  • dependency
• importance of establishing the relationship of an individual to a Veteran
• circumstances under which VA
  • assumes financial dependency exists, and
  • requires proof of financial dependency
• considering the existence of dependents when determining entitlement to disability and survivors benefits
• handling claims for benefits for or from an individual that VA does not recognize as a Veteran’s dependent
• interplay between Federal, State, and foreign laws, and
• duty of claimants to report familial relationships and family composition.

Change Date

VII.i.1.A.1.a. Definition: Relationship

VII.i.1.A.1.b. Definition: Dependency

VII.i.1.A.1.c. Importance of Establishing the Relationship of an Individual to a Veteran

• the Department of Veterans Affairs (VA) may pay additional disability compensation to a Veteran for dependent(s) if the Veteran’s service-connected (SC) disability rating is at least 30 percent
• VA may pay additional Dependency and Indemnity Compensation (DIC) to a surviving spouse for children that VA recognizes as a child of the Veteran on whose death the DIC award is based
• the existence and the amount of income of dependents is a factor in determining entitlement in both Veterans Pension and Survivors Pension cases, and
• a claimant’s entitlement to survivors benefits, such as DIC and Survivors Pension, is contingent on the relationship of the claimant to the Veteran on whose death the benefit is based.

• claims processor responsibilities
  • when promulgating a rating decision that assigns an overall SC disability rating of at least 30 percent to a Veteran whose overall SC disability rating prior to the rating decision was less than 30 percent, see M21-1, Part VII, Subpart i, 1.C.1.b, and
  • each time the rating activity assigns an overall SC disability rating of at least 30 percent, see M21-1, Part VII, Subpart i, 1.C.1.e
• establishing the existence of a familial relationship between a Veteran and another individual, see 38 CFR 3.50 through 38 CFR 3.60
• the payment of additional
  • disability compensation for dependents, see 38 CFR 3.4(b)(2), and
  • DIC for children of a deceased Veteran, see 38 CFR 3.10(e)(1), and
• establishing an individual as a Veteran’s parent, see M21-1, Part VII, Subpart i, 4.A.

VII.i.1.A.1.d. Circumstances Under Which VA Assumes Financial Dependency Exists

• determining whether a marital relationship exists, see
  • M21-1, Part VII, Subpart i, 2.A
  • 38 CFR 3.50 (spouse and surviving spouse)
  • 38 CFR 3.52 (marriages deemed valid)
  • 38 CFR 3.53 (continuous cohabitation)
  • 38 CFR 3.54 (marriage dates), and
  • 38 CFR 3.55 (reinstatement of a surviving spouse’s eligibility based on termination of a marital relationship), and
• determining whether an individual is the child of a Veteran, see
  • M21-1, Part VII, Subpart i, 3.A
  • 38 CFR 3.57, and
  • 38 CFR 3.58 (child adopted out of the family).

VII.i.1.A.1.e. Circumstances Under Which VA Requires Proof of Financial Dependency

• additional compensation for a parent to a Veteran whose SC disability rating is at least 30-percent, or
• DIC to the parent of a Veteran whose death was service-related.

• an individual is the parent of a Veteran, see
  • M21-1, Part VII, Subpart i, 4.A, and
  • 38 CFR 3.59, and
• the parent of a Veteran is financially dependent on the Veteran, see M21-1, Part VII, Subpart i, 4.B.

VII.i.1.A.1.f. Considering the Existence of Dependents When Determining Entitlement to Disability and Survivors Benefits

VII.i.1.A.1.g. Handling Claims for Benefits for or From an Individual That VA Does Not Recognize as a Veteran’s Dependent

VII.i.1.A.1.h. Interplay Between Federal, State, and Foreign Laws

VII.i.1.A.1.i. Duty of Claimants to Report Familial Relationships and Family Composition

• report all dependents and dependent's income, and
• not manipulate family composition to maximize benefits.

Introduction

• responsibilities of VA and claimants for securing evidence
• accepting entries a claimant makes on VA Form 21-686c, Application Request to Add and/or Remove Dependents, as proof of an event, and
• evaluating and weighing evidence.

Change Date

VII.i.1.A.2.a. Responsibilities of VA and Claimants for Securing Evidence

• VA’s duty to assist in developing claims, see
  • M21-1, Part I, Subpart i, 1.A
  • M21-1, Part III, Subpart i, 2.A.1, and
  • 38 CFR 3.159, and
• the requirements for establishing a deemed-valid marriage, see M21-1, Part VII, Subpart i, 2.D.7-10.

VII.i.1.A.2.b. Accepting Entries a Claimant Makes on VA Form 21-686c as Proof of an Event

• marriage
• dissolution of a marriage
• birth of a child
• introduction of a stepchild into a Veteran’s family, or
• death of a dependent.

• Unless there are inconsistencies in a claimant’s statement, the policy described in the above paragraph allows regional offices (ROs) to establish the existence of a familial relationship between a Veteran and another individual without reviewing the claims folder.
• It is appropriate to request further evidence from a claimant if there is substantial reason to challenge the entries on VA Form 21-686c. (A substantial reason is something beyond mere suspicion or doubt.)

VII.i.1.A.2.c. Evaluating and Weighing Evidence

Introduction

• jurisdiction over questions involving facts
• who has the authority to resolve issues involving relationship and dependency
• when administrative decisions are required
• when ROs must request an opinion from District Counsel, and
• procedure for submitting a request for an opinion to District Counsel.

Change Date

VII.i.1.A.3.a. Jurisdiction Over Questions Involving Facts

VII.i.1.A.3.b. Who Has the Authority to Resolve Issues Involving Relationship and Dependency

VII.i.1.A.3.c. When Administrative Decisions Are Required

• The preceding list is not all-inclusive. Other issues may arise that require resolution by administrative decision.
• All administrative decisions require two signatures unless otherwise indicated.

VII.i.1.A.3.d. When ROs Must Request an Opinion From District Counsel

VII.i.1.A.3.e. Procedure for Submitting a Request for an Opinion to District Counsel

Introduction

• forms claimants must use to initiate the process of adding a dependent
• controlling claims for additional compensation for a dependent
• claims from Veterans with an overall disability rating that is less than 30 percent
• handling a form that contains conflicting information
• incomplete forms and claims requiring additional evidence/information
• action to take upon receipt of a request to add a dependent that was not submitted on a prescribed form
• notification from a beneficiary that will result in removal of a dependent from the beneficiary’s award
• possible retroactive restoration of benefits
• acceptability of VA Form 21-686c from a VA-recognized representative, and
• acceptability of a VA Form 21-686c or VA Form 21-674, Request for Approval of School Attendance, that an RO or call center employee completes and signs.

Change Date

VII.i.1.A.4.a. Forms Claimants Must Use to Initiate the Process of Adding a Dependent

VII.i.1.A.4.b. Controlling Claims for Additional Compensation for a Dependent

VII.i.1.A.4.c. Claims From Veterans With an Overall Disability Rating That Is Less Than 30 Percent

• controlling claims for additional compensation for a dependent(s) when a rating EP is concurrently pending, see M21-1, Part VII, Subpart i, 1.A.4.b
• RBPS, see M21-1, Part VII, Subpart i, 1.D, and
• requests for an application, see M21-1, Part II, Subpart iii, 2.G.1.

VII.i.1.A.4.d. Handling a Form That Contains Conflicting Information

• follow the instructions in M21-1, Part III, Subpart i, 2.D.1.e, for documenting the unsuccessful attempt, and
• use the table below to determine the next action(s) to take.

VII.i.1.A.4.e. Incomplete Forms and Claims Requiring Additional Evidence/Information

VII.i.1.A.4.f. Action to Take Upon Receipt of a Request to Add a Dependent That Was Not Submitted on a Prescribed Form

VII.i.1.A.4.g. Notification From a Beneficiary That Will Result in Removal of a Dependent From the Beneficiary’s Award

VII.i.1.A.4.h. Possible Retroactive Restoration of Benefits

VII.i.1.A.4.i. Acceptability of VA Form 21-686c From a VA-Recognized Representative

• If information a representative provides on VA Form 21-686c will result in a reduction or discontinuance of benefits, VA must
  • attempt to contact the beneficiary by telephone to confirm the entries the representative made on the form, and
  • document the attempt(s) according to the instructions in M21-1, Part III, Subpart i, 2.D.1.e.
• If attempts to contact the beneficiary by telephone are unsuccessful, VA must provide the beneficiary with notice of proposed adverse action before reducing/discontinuing benefits.

VII.i.1.A.4.j. Acceptability of a VA Form 21-686c or VA Form 21-674 That an RO or Call Center Employee Completes and Signs

• complete VA Form 21-686c and VA Form 21-674, using information obtained from a claimant over the telephone, and
• sign the form on the claimant’s behalf.

Introduction

• general information about claims development
• timing of development actions
• additional information/guidance relevant to claims development
• handling an incomplete
  • form, and
  • form when eligibility for additional benefits for dependents does not currently exist but a rating EP or claim for DIC is pending, and
• handling a September 2018 or later version of VA Form 21-686c that is
  • incomplete, and
  • incomplete when eligibility for additional benefits for dependents does not currently exist but a rating EP or claim for DIC is pending.

Change Date

VII.i.1.A.5.a. General Information About Claims Development

VII.i.1.A.5.b. Timing of Development Actions

VII.i.1.A.5.c. Additional Information/Guidance Relevant to Claims Development

• Avoid unnecessary development and piecemeal development, as such actions
  • impose an unwarranted burden on claimants, and
  • delay claims processing.
• Do not undertake development for information or evidence without first ascertaining whether or not it is already of record.
• As explained in M21-1, Part VII, Subpart i, 1.B.1, every eight years, VA requires Veterans in receipt of disability compensation to verify the status of dependent(s). Accordingly, information that is already of record regarding the status of the dependent(s) of a Veteran is considered valid for the purpose of making entitlement determinations for up to eight years from the date VA received it. (The age of information of record is measured from the date VA received it to the current date.)

VII.i.1.A.5.d. Handling an Incomplete Form

• VA receives one of the forms identified in the last row of the table in M21-1, Part II, Subpart iii, 1.A.1.a, that is incomplete in any way, and
• the benefit at issue is disability compensation or DIC.

• Do not treat a form as incomplete, for the purpose of development, if a claimant fails to provide
  • the name of the State in which an event (such as the birth of a child or a marriage) took place, when the city in which the event took place is well known (such as Atlanta or Chicago)
  • required information (such as the date of birth) on the form, when the missing information is shown on documentary evidence (such as a birth certificate) the claimant submits in support of the claim or is already of record, or
  • the last name of the current spouse.
  • If the incomplete form is a September 2018 or later version of VA Form 21-686c,
    • disregard the instructions in the table below, and
    • follow the instructions in M21-1, Part VII, Subpart i, 1.A.5.f.
  • If the form the claimant submitted requires the claimant to provide the number of prior marriages for the spouse, do not treat the form as incomplete if the claimant fails to provide the number, unless
    • there is reason to question the number of prior marriages the claimant and the spouse had
    • there is a conflict regarding the marital history the claimant reported that having the number of prior marriages would resolve, or
    • there is a reasonable indication of fraud or misrepresentation of the relationship in question.
  • Follow the instructions in M21-1, Part VII, Subpart i, 1.A.4.c, instead of the instructions in the table below or the instructions in M21-1, Part VII, Subpart i, 1.A.5.f if the claimant is a Veteran whose overall SC disability rating is less than 30 percent and no rating EP is pending.
  Important: The instructions in the table below were written based on an assumption the claimant is a Veteran with a running award of disability compensation based on an overall SC disability rating of at least 30 percent or a surviving spouse with a running award of DIC. If this is not the case, but a rating EP or claim for DIC is pending,
  • stop at Step 10 of the table below, and
  • follow the instructions in M21-1, Part VII, Subpart i, 1.A.5.e.

  Step	Action
  1	Is the form substantially complete, as defined in M21-1, Part I, Subpart i, 1.A.4.f? If yes, go to Step 9. If no, go to the next step.
  2	Print the form, selecting Adobe PDF (portable document format) as the printer.
  3	Electronically highlight the blocks on the form that require completion.
  4	Was an EP established based on receipt of the incomplete form? If yes, change the pending EP to an EP 400, Correspondence. If no, establish an EP 400, Correspondence.
  5	Prepare the Incomplete Application letter that instructs the claimant to complete those portions of the form that are highlighted, and informs the claimant that VA will not pay benefits based upon submission of the form unless the completed form is returned within one year.
  6	Combine the PDF versions of the letter and highlighted form into a single document. Upload a copy of the document into the appropriate eFolder.
  7	Send the document to the claimant and representative, if applicable, via Package Manager.
  8	Clear the EP 400 and disregard the remaining steps in this table. Take no further action until the claimant returns the completed form.
  9	Establish EP control based on the benefit claimed, unless the appropriate EP is already pending. Important: Disregard the remaining steps in this table and follow the instructions in M21-1, Part VII, Subpart i, 1.C.1.d, if a claims processor discovers the incomplete form referenced in this block while promulgating a rating decision that assigns an overall SC disability rating of at least 30 percent to a Veteran whose overall SC disability rating prior to the rating decision was less than 30 percent, and either of the following is true: an EP 130 is not pending (because, for example, an EP 010 or 110 is concurrently pending), or one of the ROs/RACCs identified in M21-1, Part II, Subpart ii, 2.B.1.b, is promulgating the rating decision in connection with a special mission or under a special circumstance. Reference: For more information on handling a claim for additional compensation for a dependent(s) that is received in conjunction with or while a claim for SC and/or a higher disability rating is pending, see M21-1, Part VII, Subpart i, 1.A.4.b.
  10	Attempt to obtain any missing evidence/information from the claimant by telephone.
  11	Were attempts to obtain the missing evidence/information by telephone successful? If yes, go to Step 17. If no, go to the next step. Note: If documentary evidence, such as a birth certificate, is missing, and the claimant is unable to provide it within 24 hours (by e-mail, through a VA claims-submission service website, or in person), go to the next step. Follow the instructions in M21-1, Part III, Subpart i, 2.D.1.e, for documenting attempts to obtain evidence/information by telephone.
  12	Prepare and send a letter to the claimant that asks for the missing evidence/information.Reference: For more information on using VBMS, see the VBMS Core User Guide.
  13	Does sufficient evidence/information exist to allow VA to add to the claimant’s award at least one of the dependents listed on the form? If yes, go to the next step. If no, go to Step 17.
  14	Add to the claimant’s award those dependents for whom the claimant has provided all the evidence/information VA requires. Leave pending the EP used to add the dependent(s) to the claimant’s award.
  15	Notify the claimant of the action taken.
  16	Allow the claimant 30 days to respond to the letter (referenced in Step 12). Go to the next step after the earlier of the following occur: VA receives a response to the development letter, or the 30-day response period expires.
  17	Grant or deny entitlement to benefits based on the evidence/information of record. Notify the claimant of the decision. Important: If a claimant is eligible for additional benefits for a dependent but VA denies entitlement because the claimant failed to provide the evidence/information VA requested, inform the claimant that unless VA receives the evidence/information required to add the dependent within one year of the decision notice, VA cannot pay benefits for the dependent based on the present claim, and instruct the claimant to complete VA Form 20-0995, Decision Review Request: Supplemental Claim, and return it with the missing evidence/information. Reference: For more information on preparing decision notices, see M21-1, Part VI, Subpart i, 1.B.

  Reference: For more information on handling an incomplete application, see 38 U.S.C. 5102(b) and (c).

VII.i.1.A.5.e. Handling an Incomplete Form When Eligibility for Additional Benefits for Dependents Does Not Currently Exist But a Rating EP or Claim for DIC Is Pending

VII.i.1.A.5.f. Handling a September 2018 or Later Version of VA Form 21-686c That Is Incomplete

VII.i.1.A.5.g. Handling a September 2018 or Later Version of VA Form 21-686c That Is Incomplete When Eligibility for Additional Benefits for Dependents Does Not Currently Exist But a Rating EP or Claim for DIC Is Pending

• VA receives a September 2018 or laterversion of VA Form 21-686c that is incomplete in any way
• the claimant is a
  • Veteran that is not eligible for additional compensation for dependents because
    • there are no SC disabilities, or
    • the overall SC disability rating is less than 30 percent, or
  • surviving spouse that is not currently entitled to DIC, and
• a claim for one of the following is currently pending:
  • SC and/or a higher disability rating, or
  • entitlement to DIC.

• disregard the instructions in the table below, and
• follow the instructions in the applicable row of the table in M21-1, Part VII, Subpart i, 1.A.5.a.

Introduction

• general information about claims development
• handling an incomplete form
  • pension, and
  • when entitlement to pension has not been established, but a claim is pending, and
• handling a September 2018 or later version of VA Form 21-686c that is
  • incomplete, and
  • incomplete when basic entitlement to pension exists but no award is running.

Change Date

VII.i.1.A.6.a. General Information About Claims Development

VII.i.1.A.6.b. Handling an Incomplete Form – Pension

• VA receives one of the forms identified in the last row of the table in M21-1, Part II, Subpart iii, 1.A.1.a, that is incomplete in any way, and
• the benefit at issue is pension.

• Do not treat a form as incomplete, for the purpose of requiring development, if a claimant fails to provide
  • the name of the State in which an event (such as the birth of a child or a marriage) took place, when the city in which the event took place is well-known (such as Atlanta or Chicago)
  • required information (such as the date of birth) on the form, when the missing information is shown on documentary evidence (such as a birth certificate) the claimant submits in support of the claim, or
  • the last name of the current spouse.
• If the incomplete form is a September 2018 or later version of VA Form 21-686c,
  • disregard the instructions in the table below, and
  • follow the instructions in M21-1, Part VII, Subpart i, 1.A.6.d.
• If the form the claimant submitted requires the claimant to provide the number of prior marriages for the spouse, do not treat the form as incomplete if the claimant fails to provide the number, unless
  • there is reason to question the number of prior marriages the claimant and spouse had
  • there is a conflict regarding the marital history the claimant reported that having the number of prior marriages would resolve, or
  • there is a reasonable indication of fraud or misrepresentation of the relationship in question.

• stop at Step 3 of the table below, and
• follow the instructions in M21-1, Part VII, Subpart i, 1.A.6.c.

VII.i.1.A.6.c. Handling an Incomplete Form When Entitlement to Pension Has Not Been Established but a Claim Is Pending

VII.i.1.A.6.d. Handling a September 2018 or Later Version of VA Form 21-686c That Is Incomplete – Pension

• VA receives a September 2018 or later version of VA Form 21-686c that is incomplete in any way, and
• the benefit at issue is pension.

VII.i.1.A.6.e. Handling a September 2018 or Later Version of VA Form 21-686c That Is Incomplete When Basic Entitlement to Pension Exists but No Award Is Running

• no award is currently running, but VA has determined basic entitlement to pension exists, and
• the claimant submitted a September 2018 or later version of VA Form 21-686c that is substantially complete but lacks the evidence/information VA requires to add the claimed dependent(s) to the claimant’s award.

Introduction

• regulatory basis for requiring disclosure of SSNs
• why SSNs are important to VA
• nonresident aliens without SSNs
• relevance of the assignment of an individual tax identification number (ITIN)
• guidelines for requesting an SSN from a beneficiary or claimant
• requirement for an SSN for children
• determing the credibility of a statement that no SSN has been assigned or requested, and
• action to take following receipt of notice that no SSN has been assigned or requested.

Change Date

VII.i.1.A.7.a. Regulatory Basis for Requiring Disclosure of SSNs

• 38 CFR 3.216 does not require beneficiaries, claimants, or dependents to obtain an SSN to receive VA benefits if no SSN has been assigned.
• If an SSN has neither been assigned to nor requested for an individual, the claimant or beneficiary must attest to this fact in a certified statement.
• Neither a certified statement nor further development to obtain an SSN is necessary if a claimant or beneficiary indicates no SSN has been assigned to an individual because the individual is a nonresident alien, as referenced in M21-1, Part VII, Subpart i, 1.A.7.c.

VII.i.1.A.7.b. Why SSNs Are Important to VA

• provide VA with important information, such as verified Social Security income
• allow VA to conduct independent verification of a claimant’s income using Federal tax information, and
• help minimize overpayments.

VII.i.1.A.7.c. Nonresident Aliens Without SSNs

• has no SSN
• is not a U.S. citizen, and
• resides outside
  • the U.S.
  • the Commonwealth of Puerto Rico
  • the Virgin Islands
  • American Samoa
  • Guam, or
  • the Northern Marianas.

VII.i.1.A.7.d. Relevance of the Assignment of an ITIN

• that individual’s SSN, or
• a certified statement that no SSN has been requested for or assigned to that individual.

• no SSN has been assigned to that individual, and
• that individual is not eligible for an SSN.

VII.i.1.A.7.e. Guidelines for Requesting an SSN From a Beneficiary or Claimant

VII.i.1.A.7.f. Requirement for an SSN for Children

• a child’s age, or
• whether the child is the claimant or a dependent.

VII.i.1.A.7.g. Determining the Credibility of a Statement That No SSN Has Been Assigned or Requested

VII.i.1.A.7.h. Action to Take Following Receipt of Notice That No SSN Has Been Assigned or Requested

Introduction

• action to take when medical records reveal the existence of a dependent that is not on a Veteran’s award, and
• assigning an effective date based on information about dependents that VA discovers in medical records.

Change Date

VII.i.1.A.8.a. Action to Take When Medical Records Reveal the Existence of a Dependent That Is Not on a Veteran’s Award

VII.i.1.A.8.b. Assigning an Effective Date Based on Information About Dependents That VA Discovers in Medical Records