Thursday, September 29, 2011
Single Judge Application, Pain, C.F.R. 3.159(c)(4)(i)(A), Locklear v. Nicholson, 20 Vet.App. 410, 418 n.6 (2006)
Excerpt from decision below:
"While pain alone is not a disability for compensation purposes, it may constitute a symptom of a disability about which the appellant is competent to testify. See Locklear v. Nicholson, 20 Vet.App. 410, 418 n.6 (2006) (noting that the appellant's chest pains
may alone suffice to satisfy the first prong of 38 C.F.R. § 3.159(c)(4)(i)(A))."
====================================
"Where the following four criteria are present, the Secretary is required to provide a medical examination to a veteran seeking disability compensation: (1) Competent evidence of a current disability or persistent or recurrent symptoms of a disability; (2)
evidence establishing that an event, injury, or disease occurred in service; (3) an indication that the disability or persistent symptoms of a disability maybe associated with the veteran's service or with another service-connected disability; and (4) insufficient competent medical evidence on file for the Secretary to make a decision on the claim. McLendon v. Nicholson, 20 Vet.App. 79, 81 (2006) (citing 38 U.S.C. §
5103A(d)(2)). In deciding whether an examination is necessary, the Secretary must consider the record as a whole, "taking into consideration all information and lay or medical evidence (including statements of the claimant)." 38 U.S.C. § 5103A(d)(2). The third criterion, associating a disability or persistent symptoms thereof with service, is a "low threshold," McLendon, 20 Vet.App. at 83, which requires neither medical nor necessarily competent evidence to substantiate it. See Waters v. Shinseki, 601 F.3d 1274, 1277 (Fed. Cir. 2010)
=====================================
----------------------------------------------------
Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 09-3177
LOWELL D. JOHNSON, APPELLANT,
V.
ERIC K. SHINSEKI,
SECRETARY OF VETERANS AFFAIRS, APPELLEE.
Before SCHOELEN, Judge.
MEMORANDUM DECISION
Note: Pursuant to U.S. Vet. App. R. 30(a),
this action may not be cited as precedent.
SCHOELEN, Judge: The appellant, Lowell Johnson, appeals through counsel a
May 19,
2009, Board of Veterans' Appeals (Board) decision that denied his request
for entitlement to service
connection for a left knee disability and a right knee disability; a
compensable disability rating for
service-connected hypertension; and a disability rating in excess of 20%
for service-connected
peripheral neuropathy of the right lower extremity. This appeal is timely,
and the Court has
jurisdiction to review the Board's decision pursuant to 38 U.S.C. §§
7252(a) and 7266(a).
Single-judge disposition is appropriate. See Frankel v. Derwinski, 1 Vet.
App. 23, 25-26 (1990). For
the following reasons, the Court will vacate the Board's May 19, 2009,
decision and remand these
matters for further proceedings consistent with this opinion.
I. BACKGROUND
The appellant served on active dutyin the U.S. Army from July1967 until
March 1970, with
service in Vietnam. Record of Proceedings (R.) at 2373. His service
medical records (SMRs)
indicate that he twisted his knee in November 1967 and again the next
month. R. at 2451. Neither
entry indicates which knee the appellant injured. However, a radiographic
report from December
1967 states under the clinical history section: "Pain L[eft] knee since
November." R. at 2450.
During his March 12, 1970, separation examination the appellant indicated
that he had a "trick" or
locked knee. R. at 2455. However, the results of the examination showed "
normal" lower
extremities. R. at 2453.
A VA examination on August 4, 2003, reported a history of hypertension,
neuropathy, right
knee arthroscopic surgery in 1988, and "f[ractured] left patella." R. at
2430. In September 2003,
the appellant was examined for left knee pain subsequent to a fall. R. at
2427-29. An x-rayrevealed
"[o]ld adductor magnus insertion avulsion, which is solid healed with
deformity. The knee joint is
otherwise normal." R. at 2428. The same examination diagnosed well-
controlled hypertension. R.
at 2429.
In November 2004, the appellant filed a claim for entitlement to service
connection for
several different medical conditions including diabetes, leg neuropathy,
and bilateral knee
disabilities. R. at 2436-47. After considering the appellant's SMRs, VA
treatment records from
2003 to 2005, and a compensation and pension (C & P) examination for
peripheral neuropathy on
2005, the regional office (RO) granted service connection for peripheral
neuropathywith a disability
rating of 10%, but denied entitlement for service connection for the
appellant's bilateral knee
condition and hypertension in April 2005. R. at 2375-88.
The RO received additional VA medical treatment records after the
appellant filed a Notice
of Disagreement. The treatment records from November 30, 2005, document
that the appellant
complained of chronic pain in several joints, including his knee. R. at
2275. The records also
document a diagnosis of hypertension from 1993 and arthroscopic knee
surgeryin 1988. R. at 2766.
The appellant's treatment records from June 2005 document a surgical
history of "R[ight] knee x 2
for [a] Baker's cyst [and] tendon repair." R. at 2217. The RO granted
service connection for
hypertension in March 2006, but assigned a noncompensable disability
rating. R. at 1398-1402.
The appellant's C & P examination for hypertension and peripheral
neuropathy from June
2006 documents hypertension and right kneecap surgery in 1974. R. at 1304-
11. Following the
appellant's Substantive Appeal, the RO obtained additional VA and private
medical records that
included blood pressure readings from 2007 and surgical histories
documenting two right knee
arthroscopic surgeries. R. at 125, 265, 1164. The RO issued a Supplemental
Statement of the Case
in May 2007, which continued to deny the appellant's claims. R. 988-92.
2
On March 23, 2009, the appellant appeared at an informal hearing before
the Board. He
argued that his claims for peripheral neuropathy and hypertension should
be remanded to the RO for
a contemporaneous medical examination. R. at 21-22. The appellant's
representative argued: "The
veteran believes that remand is necessary in this case because medical
information of record is no
longer probative . . . ." R. at 21. He also argued that his claims for his
bilateral knee conditions
should be remanded formedicalexaminations to
determinetheetiologyoftheconditions and for VA
to obtain medical records relating to his right knee surgeries. R. at 22-
24. In May 2009, the Board
issued its decision granting an increased disability rating for peripheral
neuropathy, but denying the
appellant's other claims. R. at 3-19.
II. ANALYSIS
Establishing service connection generally requires medical or, in certain
circumstances, lay
evidence of (1) a current disability; (2) incurrence or aggravation of a
disease or injury in service;
and (3) a nexus between the claimed in-service injury or disease and the
current disability. See
Davidson v. Shinseki, 581 F.3d 1313, 1316 (Fed. Cir. 2009); Hickson v.
West, 12 Vet.App. 247, 252
(1999); Caluza v. Brown, 7 Vet.App. 498, 506 (1995), aff'd per curiam, 78
F.3d 604 (Fed. Cir. 1996)
(table).
A. Medical Examinations for Knees
The appellant argues that the Secretary breached his duty to assist by
failing to provide a VA
medical examination to determine the etiology of his bilateral knee
conditions. Appellant's Brief
(Br.) at 6. In particular, he asserts that the evidence establishes that
he suffers from a current
bilateral knee disability and that his lay observations of a "persistent
and chronic knee condition
since service" and medical records documenting pain in both knees are
sufficient to demonstrate the
disability. Id.
In response, the Secretary argues that the Board properly determined that
there was
insufficient evidence to show that there is a current disability in either
knee, a chronic disability of
the left knee in service, and an in-service injury to the right knee.
Secretary's Br. at 3-7. Further, he
respondsbyarguingthattheappellant's "vague"assertionsofa"
persistentandchronickneecondition"
3
are insufficient to establish entitlement to an examination and that
without evidence of an in-service
injury of the right knee an examination could not provide the basis for
service connection. Id. at 7.
Where the following four criteria are present, the Secretary is required
to provide a medical
examination to a veteran seeking disability compensation: (1) Competent
evidence of a current
disability or persistent or recurrent symptoms of a disability; (2)
evidence establishing that an event,
injury, or disease occurred in service; (3) an indication that the
disability or persistent symptoms of
a disability maybe associated with the veteran's service or with another
service-connected disability;
and (4) insufficient competent medical evidence on file for the Secretary
to make a decision on the
claim. McLendon v. Nicholson, 20 Vet.App. 79, 81 (2006) (citing 38 U.S.C. §
5103A(d)(2)). In deciding whether an examination is necessary, the Secretary must consider the record as a whole, "taking into consideration all information and lay or medical evidence (including statements of the claimant)." 38 U.S.C. § 5103A(d)(2). The third criterion, associating a disability or persistent symptoms thereof with service, is a "low threshold," McLendon, 20 Vet.App. at 83, which requires neither medical nor necessarily competent evidence to substantiate it. See Waters v. Shinseki, 601 F.3d 1274, 1277 (Fed. Cir. 2010)
The Court reviews the Board's conclusion that a medical examination or
opinion is not
necessary pursuant to section 5103A(d) under the "arbitrary, capricious,
an abuse of discretion, or
otherwise not in accordance with the law" standard of review pursuant to
38 U.S.C. § 7261(a)(3)(A).
McLendon, 20 Vet.App. at 81. The Board's underlying determinations whether
the appellant has a
currentdisabilityandwhethertheappellantsufferedanin-serviceevent,injury,
ordiseasearefindings
of fact subject to the "clearly erroneous" standard of review. Id. at 82;
see 38 U.S.C. § 7261(a)(4).
In the decision here on appeal, the Board found that the evidence failed
to establish that the
appellant suffered from a left or right knee disability. R. at 6. The
Board stated that "the records tend
to show that he had no chronic disability of the left knee or injury to or
disability of the right knee
during service." Id. The Board went on to state: "[A]s there is no medical
evidence of record of a
current left or right knee disability or of a chronic left or right knee
disability in service, under the
facts of this case, the Board has no duty to provide a VA examination or
obtain a medical opinion."
R. at 16.
4
The Board found that because of the absence of an "underlying pathology"
the appellant did
not suffer from a bilateral knee disability, even though the appellant
suffered from chronic knee pain.
R. at 7. While pain alone is not a disability for compensation purposes, it may constitute a symptom of a disability about which the appellant is competent to testify. See Locklear v. Nicholson, 20 Vet.App. 410, 418 n.6 (2006) (noting that the appellant's chest pains
may alone suffice to satisfy the first prong of 38 C.F.R. § 3.159(c)(4)(i)(A)). Consequently, the
appellant's observations of persistent and chronic knee pain combined with medical records documenting
pain in both of his knees and a history of knee surgeries may be sufficient to establish "competent evidence of a current disability or persistent or recurrent symptoms of a disability." McLendon, 20 Vet.App. at 81. There is no requirement that the appellant present evidence of a chronic knee disability in service. See id.
Therefore, the Court will vacate the Board's decision and remand the
matter for the Board to consider
whether the record contains "competent evidence of . . . persistent and
recurrent symptoms of a
[bilateral knee] disability" and whether the symptoms may be associated
with the appellant's service.
See id.
With respect to the right knee, the Board also determined there was no in-
service injury. The
Court finds that the Board failed to provide an adequate statement of
reasons or bases with regard to
its determination. See R. at 6; Allday v. Brown, 7 Vet.App. 517, 527 (1995
) (the Board must provide
a statement of reasons or bases adequate to enable a claimant to
understand the precise basis for its
determination, and to facilitate review in this Court); and Caluza, 7 Vet.
App. at 506 (holding that
Board must analyze the credibility of all evidence and provide the reasons
for its rejection of any
material evidencefavorableto theclaimant). TheBoardstatedthat:"[s]
ervicetreatmentrecordsshow
that the Veteran was treated for a twisted left knee in November and
December 1967." R. at 5.
However, the Board failed to explain how it reached this conclusion. There
is ambiguity in whether
the injuries in service are for only the left knee or for both knees. See
R. at 2451. The SMR entries
on November 27 and December 8 list only"twistedknee"without explaining
which knee was treated.
Id. Furthermore, in his separation physical, the appellant complained of a "
trick" or locked knee
without indicating which knee, or knees, the condition pertained to. R. at
2455. The Board's
conclusory statement does not provide the Court with the kind of
discussion required for it to
5
ascertain whether the Board fully considered the ambiguities in the
appellant's records. Where
appellatereview is frustrated because the Board provided inadequate
reasons or basesfor its decision,
remand is the appropriate remedy. See Cogburn v. Nicholson, 19 Vet.App.
427, 430 (2006).
Accordingly, on remand, the Board must also reevaluate the evidence and
provide an adequate
statement of reasons or bases for its determination whether the record
demonstrates that the appellant
sustained an in-service injury to his right knee.
When deciding whether an examination is necessary, the Board is reminded
that it shall
consider the evidence of record, "taking into consideration all
information and lay or medical
evidence (including statements of the claimant)." 38 U.S.C. § 5103A(d)(2);
see, e.g., R. at 22, 2275
(appellant's lay statements that he has suffered from a persistent and
chronic knee condition since
service, and VA treatment records documenting complaints of chronic pain
in the knee); R. at 2217
(appellant's medical records that list two right knee surgeries for a
Baker's cyst and tendon repair
under past surgical history); R. at 2428 (radiological report that stated
that the x-ray of the appellant's
left knee showed "[o]ld adductor magnus insertion avulsion, which is solid
healed with deformity");
R. at 2430 (appellant's medical records indicating right knee arthroscopic
surgeryin 1988 and "fx left
patella"); and R. at 2455 (separation physical fromMarch1970thatreported a "
trick"or locked knee).
If, after applying the McLendon elements, the Board determines that a
medical examination is not
warranted, it must provide an adequate statement of reasons or bases in
support of its decision.
Duenas v. Principi, 18 Vet.App. 512, 519 (2004).
B. Contemporaneous Examinations for Hypertension and Peripheral Neuropathy
The Secretary's dutyto assist requires a thorough and contemporaneous
medical examination
when the record does not adequately reveal the current state of the
claimant's disability. See
38 U.S.C. § 5103A(d)(1); Green v. Derwinski, 1 Vet.App. 121, 124 (1991);
see also
Caffrey v. Brown, 6 Vet.App. 377, 381 (1994). The record is inadequate and
a contemporaneous
examination is necessarywhen the "evidence indicates there has been a
material change in a disability
or that the current ratingmaybe incorrect." 38 C.F.R. § 3.327(a) (2011);
seePalczewski v. Nicholson,
21Vet.App. 174, 182 (2007) (submission of new evidence or allegation that
a disability has worsened
may require a new medical examination to be provided, but "mere passage of
time between those
6
events does not"); Caffrey, 6 Vet.App. at 381 (finding 23-month-old
examination too remote to be
contemporaneous where appellant submitted evidence indicating disability
had since worsened);
Olson v. Principi, 3 Vet.App. 480, 482 (1992) ("Where the veteran claims a
disability is worse than
when originally rated, and available evidence is too old to adequately
evaluate the current state of the
condition, the VA must provide a new examination.").
Here, the Board did not address whether the duty to assist required VA to
obtain another
medical examination. The Board reviewed the March 2005 and June 2006 VA
examinations for
blood pressure readings, and based its peripheral neuropathy rating
decisions on a June 2006
examination. R. at 9-10.
The Court finds that the Board did not provide adequate reasons and bases
for its decision to
rely on the 2005 and 2006 examinations given the appellant's argument at
his 2009 hearing that the
medical examinations before the Board were not adequate to describe his
current medical conditions.
R. at 21 ("The veteran believes that remand is necessary in this case
because medical information of
record is no longer probative regarding the severity of his peripheral
neuropathy of the right lower
extremity and hypertension[.]" (emphasis added)). The Secretary argues
that the appellant did not
allege that his conditions had worsened; instead, he argues that the
appellant was only basing his
request for a new examination on the passage of time. Secretary's Br. at 7-
8. Although the appellant's
argument is not a model of clarity, it is clear that he questioned the
adequacy of the medical evidence
of record and the Board did not address his assertions, frustrating
judicial review.
Accordingly, the Court will remand the appellant's claim for increased
disability ratings for
hypertension and peripheral neuropathy for the Board to provide an
adequate statement of reasons or
bases for its decision. See 38 U.S.C. § 7104(a), (d)(1); Duenas, 18 Vet.
App. at 519 (remanding for
Board to provide an adequate statement of reasons and bases for its
decision that a VA medical
examination was not required).
C. Other Arguments
Given this disposition, the Court will not, at this time, address the
other arguments and issues
raised by the appellant. See Best v. Principi, 15 Vet.App. 18, 20 (2001) (
per curiam order) (holding
that "[a] narrow decision preserves for the appellant an opportunity to
argue those claimed errors
7
before the Board at the readjudication, and, of course, before this Court
in an appeal, should the Board
rule against him"). On remand, the appellant is free to submit additional
evidence and argument on
the remanded matters, and the Board is required to consider any such
relevant argument. See Kay v.
Principi, 16 Vet.App. 529, 534 (2002) (stating that, on remand, the Board
must consider additional
evidence and argument in assessing entitlement to benefit sought);
Kutscherousky v. West,
12 Vet.App. 369, 372-73 (1999) (per curiam order). The Court has held that
"[a] remand is meant
to entail a critical examination of the justification for the decision."
Fletcher v. Derwinski,
1 Vet.App. 394, 397 (1991). The Board must proceed expeditiously, in
accordance with 38 U.S.C.
§ 7112 (requiring the Secretary to provide for "expeditious treatment" of
claims remanded by the
Court.).
III. CONCLUSION
Afterconsideration of the appellant's and theSecretary's pleadings,
andareviewof the record,
the Board's May 19, 2009, decision is VACATED and the matter is REMANDED
to the Board for
further proceedings consistent with this decision.
DATED: September 21, 2011
Copies to:
Glenn R. Bergmann, Esq.
VA General Counsel (027)
8
Single Judge Application, Attorney Resentation and Liberally Construed, Cogburn v. Shinseki, 24 Vet.App. 205, 213 (2010)
Excerpt from decision below:
"This Court has recently clarified that, although a veteran's claim must always be liberally construed, "representation [by an attorney]
may be a factor in determining the degree to which the pleading is liberally construed."
Cogburn v. Shinseki, 24 Vet.App. 205, 213 (2010) (emphasis added)"
=======================
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Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 10-1917
PAULINE C. BAKER, APPELLANT,
V.
ERIC K. SHINSEKI,
SECRETARY OF VETERANS AFFAIRS, APPELLEE.
Before HAGEL, Judge.
MEMORANDUM DECISION
Note: Pursuant to U.S. Vet. App. R. 30(a),
this action may not be cited as precedent.
HAGEL, Judge: Pauline C. Baker appeals through counsel a May 19, 2010,
Board of
Veterans' Appeals (Board) decision that reopened but denied a claim for
entitlement to dependency
and indemnity compensation. Mrs. Baker's Notice of Appeal was timely and
the Court has
jurisdiction to review the Board decision pursuant to 38 U.S.C. § 7252(a).
Neither party requested
oral argument or identified issues theybelieve require a precedential
decision of the Court. Because
the Board failed to adjudicate all theories of entitlement reasonably
raised by the record, the Court
will vacate the May 2010 Board decision and remand the matter for further
development, if
necessary, and readjudication consistent with this decision.
I. FACTS
Mrs. Baker is the widow of veteran Richard J. Baker, who served on active
dutywith the U.S.
Navy from November 1962 to November 1966 and from May 1967 to December
1973. No
abnormalities were noted at Mr. Baker's entrance examination. Service
treatment records from
December 1968 indicate that Mr. Baker twice sought treatment for headaches
described as
"persistent" and "frequent." Record (R.) at 208, 210. Similarly, a May
1971 service treatment note
reflects Mr. Baker's complaints of headaches every other day that
localized near the left temple and
caused a pain that started as a dull ache but would get sharper. In June
1973, he again sought
treatment for dizzy spells, sudden lightheadedness, and headaches.
Post-service medical records from Air Force and Naval hospitals where Mr.
Baker sought
treatment between February 1976 and February 1987 indicate continued
complaints of headaches
and migraines, often described as vascular and persistent, recurring, or
experienced for many years.
In early March 1987, Mr. Baker was admitted to an Air Force medical center
emergency
room with recent symptoms of headaches, confusion, disorientation,
lethargy, nausea, and slurred
speech. A history of migraine headaches with an onset in 1972 was noted.
Mr. Baker died on May 5, 1987. The immediate cause of death was presumed
to be a
midbrain tumor. Following an autopsy, however, the death certificate was
amended to change the
immediate cause of death to a stroke due to or a consequence of a vascular
malformation. Major
diagnoses at that time were "[m]arked diffuse autolytic change - brain (
'Respirator Brain'),
"[h]erniation of[the]midbrain,brainstem,cerebellartonsils,"and"[p]neumonia [
of the] right middle
lobe." R. at 1097. In the autopsy report, the examiner stated that
[g]ross examination of the optic chiasm[1
] showed a web of anastomosing[2
] small
vessels surrounding it. Several of these were thrombosed.[3
] The gross and
microscopic appearance of these vessels was consistent with cerebral
arterial
occlusive disease. This is a rare disorder of uncertain etiology marked by
occlusion
of the main branches of the carotid artery with formation of collateral
vessels.
R. at 1099. The examiner explained that this rare disorder was known as
Moyamoya Disease and
that, although it was more prevalent in children, it was also known to
occur in adults. He explained
that "[t]he characteristic presentation in the adult patients was a sudden
alteration in consciousness
frequently associated with a massive subarachnoid bleed from the ruptured
collaterals," and opined
that "[t]his was probably the case with Mr. Baker." R. at 1099.
The optic chiasm is "the part of the hypothalamus formed by the
decussation, or crossing, of the fibers of the
optic nerve from the medial half of each retina." DORLAND'S ILLUSTRATED
MEDICAL DICTIONARY 342 (32d ed. 2011)
[hereinafter DORLAND'S].
2
1
Anastomosis is "a connection between two vessels." DORLAND'S at 75.
Thrombosis is "the formation, development, or presence of a thrombus."
DORLAND'S at 1923. A thrombus
is "a stationary blood clot along the wall of a blood vessel, frequently
causing vascular obstruction." Id.
3
2
The examiner noted that Mr. Baker "had a history of migra[i]ne headaches
that date[d] back
to 1972," and that this history "suggest[ed] the presence of altered
vascular reactivity." R. at 1099.
The examiner also noted that Mr. Baker "had a history of smoking three to
four packs of cigarette[s]
per day for in excess of [25] years," which was "clinically significant in
that smokers under 65 years
have twice the death rate from coronary arterial occlusive disease than
non-smokers." R. at 1098.
The examiner then summarized his findings: "[T]he anatomic findings are
consistent with a
dia[g]nosis of cerebral arterial occlusive disease—Moyamoya [D]isease.
The rupture of some of the
collateralvesselsprobablyresultedin hemorrhage,
increasedintracranialpressure[,] andMr.Baker's
death." R. at 1100.
Mrs. Baker applied for dependency and indemnity compensation in April 1987.
This claim
was denied by a VA regional office in July 1987 on the basis that the
evidence did not indicate that
Mr. Baker's death was service connected. Mrs. Baker did not appeal this
decision and it became
final.
In December 2004, Mrs. Baker requested that her dependency and indemnity
compensation
claim be reopened and indicated that her late husband was involved in
Project Shipboard Hazardand
Defense (SHAD). Project SHAD "was part of the joint service chemical and
biological warfare test
program conducted during the 1960s" and "encompassed tests designed to
identify US warships'
vulnerabilities to attacks with chemical or biological warfare agents and
to develop procedures to
respond to such attacks while maintaining a war-fighting capability." R.
at 136.
In a July2006 compensation and pension examination inquiry, the regional
office confirmed
that Mr. Baker had participated in two Project SHAD operations, "Scarlet
Sage[,] with exposure to
Bacillus subtilis[4
] var[iant] niger[,] also called Bacillus globigii[,] . . . and . . .
Purple Sage[,] with
exposure to Methylacetoacetate."5
R. at 268. The regional office therefore requested that a VA
Bacillus is "a genus of bacteria of the family Bacillaceae, including
large aerobic or facultatively anaerobic,
spore-forming, rod-shaped cells, the great majority of which are gram-
positive and motile. Most species are saprophytic
soil forms; three are pathogenic or potentially pathogenic." DORLAND'S at
190. Bacillus subtilis is "a species that is a
common saprophyte in soil and water, often a laboratory contaminant, and
can cause conjunctivitis. It also produces the
antibiotic bacitracin." Id.
5
4
The record indicates that Methylacetoacetate is "a sarin nerve agent
simulant." R. at 136.
3
examiner determine "whether [Mr. Baker's] cause of death was a direct or
contributory result of
exposure to stimulants as a result of his participation in Project SHAD."
R. at 269.
This opinion was obtained from a VA neurologist later that month. After
reviewing the
claims file, the neurologist noted that "[t]he autopsy findings showed
that [Mr. Baker] had cerebral
vascular occlusive disease and vascular malformation causing him to have a
stroke." R. at 240.
With regard to the agents to which Mr. Baker was exposed during his
involvement with Project
SHAD, the neurologist stated that
[a] tracer that was used of bacillus globigii has not been known to
consistently cause
disease in healthyadult humans. The studies on autopsyshowed that this was
not the
cause of the infection in [Mr. Baker's] right lung. The cause of death was
due to
congenital vascular malformation causing a stroke. The clinical course was
one that
is commonly the case of improvement, and then he developed cerebral edema
with
brain stem compression and this probably caused his respiratory arrest
with
contributoryfactorsofright-sidedpneumoniaduetostaph[6
] andklebsiella[7
] andnot
due to the agent that is mentioned in the tests.
R. at 240-41. The neurologist therefore opined that Mr. Baker's "
participation in Project SHAD . . .
and [operation] SCARLET-SAGEwith exposure to bacillus globigii did not
cause[his] death, either
from that or exposure to Methylacetal acetate in Purple Sage." R. at 241.
In August 2006, the regional office issued a rating decision again denying
Mrs. Baker
dependency and indemnity compensation on the basis that her husband's
death was not service
connected. Mrs. Baker filed a Notice of Disagreement in October 2007 and,
after further
development, appealed to the Board. In both her appeal and her Notice of
Disagreement, Mrs. Baker
argued that bacillus globigii was known to "cause Q-Fever[8
] in 3-6% of humans that inhaled the
6
Staph, short for Staphylococcus, is "a ubiquitous genus of gram-positive,
mainly facultatively anaerobic
bacteria . . . ." DORLAND'S at 1765. They "are important inhabitants of
the skin, cutaneous glands, and mucous
membranes; several species are important pathogens, causing a wide
varietyof infections, as well as producing a number
of toxins." Id.
Klebsiella is "a genus of bacteria of the family Enterobacteriaceae, made
up of small, gram-negative,
facultatively anaerobic, nonmotile rods, usually occurring singly; they
are widely distributed in nature, including in the
intestines. They are a frequent cause of nosocomial urinary and pulmonary
infections and of wound infections."
DORLAND'S at 988.
Q fever is "an acute, generallyself-limited infection caused byCoxiella
burnetii, characterized byfever, chills,
headache, myalgia, malaise, and occasionally rash, and sometimes
complicated by mild pneumonia . . ., hepatitis, and
endocarditis. In humans, it is usually acquired by inhalation of airborne
organisms in dust or aerosols contaminated by
8
7
4
chemical agent and that humans will continue to have flu-like symptoms
and diarrhea, sore throat,
fever, cough[,] and other cold symptoms—that will continue for years and
then humans die 20 years
later." R. at 95; see also R. at 60. She asserted that her husband's
medical "records match these
symptoms flawlessly," R. at 60, 95, and that it was therefore her belief
that he "was one of the 3-6%
of . . . soldiers sprayed . . . that developed Q-Fever and never received
medical treatment due to the
fact that everything about . . . [Project] SHAD . . . was kept classified
for over 30 years." R. at 60.
The Board issued the decision now on appeal in May 2010. Initially, the
Board concluded
that new and material evidence had been submitted by Mrs. Baker and
therefore reopened her
dependency and indemnity compensation claim. In assessing the merits of
that claim, the Board
noted Mrs. Baker's contention that her husband had contracted Q fever as a
result of his participation
in Project SHAD and that this condition contributed to his death. The
Board also noted that service
and post-service medical records indicated treatment for various ailments,
including, on many
occasions, headaches, but observed that none of them "refer[red] to Q
fever or to any relationship
between [Mr. Baker's] symptoms and his service." R. at 13. Finally, the
Board found the VA
neurologist's July2006 opinion to be highlyprobativeand"inlinewith the
autopsyreport" insomuch
as it concluded that Mr. Baker died as a result of "a congenital vascular
malformation." R. at 16.
Relying on this opinion, the Board concluded that the preponderance of the
evidence did not indicate
that Mr. Baker's death was related to his service and therefore denied Mrs.
Baker entitlement to
dependency and indemnity compensation.
II. ANALYSIS
A. Dependency and Indemnity Compensation
On appeal, Mrs. Baker does not contest the Board's finding that Mr.
Baker's participation in
Project SHAD did not cause or contribute to his death. Instead, she argues
that the Board erred by
"onlyconsider[ing] whether [Mr. Baker's] cause of death was the result of
chemical exposure" when
"[t]he evidence of record . . . clearly raise[d] another issue which the [
Board] did not consider or
discuss, whether [Mr. Baker's] in-service vascular headaches were the
first manifestations of the
infected domestic animals." DORLAND'S at 693.
5
[M]oyamoya [D]isease which led to his death bystroke." Appellant's Brief (
Br.) at 4. The Secretary
contends that Mrs. Baker "did not raise this theory of entitlement [to
dependency and indemnity
compensation] when she sought to reopen her claim[,] nor was such a theory
suggested by the
evidence of record that would reasonably put the Board on notice that such
a theory was plausible
and must be developed." Secretary's Br. at 4. The Secretary argues that
the Board therefore did not
err in failing to consider and discuss this theory of entitlement.
In Robinson v. Peake, this Court explained that, because proceedings
before VA are
nonadversarial, "the Board's obligation to analyze claims goes beyond the
arguments explicitly
made." 21 Vet.App. 545, 553 (2008), aff'd sub nom. Robinson v. Shinseki,
557 F.3d 1355 (Fed. Cir.
2009). As the Court explained, "[i]t is entirely possible that the record
might 'indicate' a theory of
entitlement, but that a lay appellant might not be sophisticated enough to
recognize the theory,"
meaning that "a theory can be both unknown to the appellant and suggested
by the record." Id.
(citing Ingram v. Nicholson, 21 Vet.App. 232, 256-57 (2007)). On the other
hand, the Board is not
required "to assume the impossible task of inventing and rejecting every
conceivable argument in
order to produce a valid decision." Id. Accordingly, "[w]here a fully
developed record is presented
to the Board with no evidentiary support for a particular theory of
recovery, there is no reason for
the Board to address or consider such a theory." Robinson, 557 F.3d at
1361. In other words, "[t]he
Board commits error only in failing to discuss a theory of entitlement
that was raised either by the
appellant or by the evidence of record." Robinson, 21 Vet.App. at 553.
Here, having been reopened following the submission of new and material
evidence, Mrs.
Baker's claim was one for entitlement to dependency and indemnity
compensation. A surviving
spouse is eligible for dependency and indemnity compensation under 38 U.S.
C. § 1310(a) and
38 C.F.R.§3.312(a)wheretheevidencedemonstratesthata service-connected
disability"was either
the principal or a contributory cause of death." 38 C.F.R. § 3.312(a) (
2011). A disability is service
connected where the evidence of record demonstrates (1) a current
disability, (2) incurrence or
aggravation of a disease or injury in service, and (3) a nexus between the
in-service injury or disease
and the current disability. 38 U.S.C. § 1110; Davidson v. Shinseki, 581 F.
3d 1313, 1315-16 (Fed.
Cir. 2009); Shedden v. Principi, 381 F.3d 1163, 1166-67 (Fed. Cir. 2004);
38 C.F.R. § 3.303 (2011);
6
see also 38 U.S.C. § 1310(a) (providing that "[t]he standards and
criteria for determining whether
or not a disability is service-connected shall be those applicable under
chapter 11 of this title").
Here, the Board found, and the evidence of record overwhelminglyindicates,
that Mr. Baker
suffered a stroke that resulted in a hemorrhage when some of the
collateral vessels near the optic
chiasm ruptured, which in turn caused intracranial pressure leading to his
death. The evidence of
record is equally clear, and the Board again found, that this stroke
resulted from a vascular
malformationcausedbyararecerebral
vascularocclusivediseaseofuncertainetiologythatis known
as Moyamoya Disease. Some of the evidence of record—namely, the
autopsyreport—indicates that
Mr. Baker's history of migraine headaches is consistent with the manner in
which this condition
manifests. See R. at 1099 ("Mr. Baker's history of migraine headaches
suggests the presence of
altered vascular reactivity."). The autopsy examiner dated the onset of
this symptomatolgy to1972,
during Mr. Baker's active duty service, R. at 1098, but, in fact, the
first indication in the record of
proceedings of Mr. Baker seeking treatment for headaches is found in the
December 1968 service
treatment notes, in which his headaches were described as "persistent" and "
frequent." R. at 208,
210. Further, additional service treatment records indicate that Mr. Baker
continued to suffer from
headaches through June 1973, approximately five months prior to his
separation from service. R.
at 1343, 1374. There is also a bevy of post-service medical records
suggesting that this symptom
persisted following his separation, until the time of his death. R. at 930,
935, 938, 956, 959, 964,
968-70, 972, 980, 1023, 1035-1039.
In sum, this body of evidence suggests that: (1) Mr. Baker's death
resulted from a rare
cerebral vascular disease of uncertain origins; (2) one symptom of this
disease exhibited by Mr.
Baker was migraine headaches; (3) these migraine headaches began during Mr.
Baker's active duty
service and continued, to one extent or another, throughout his service;
and (4) headaches continued
to plague him following his separation from service until the time of his
death. Despite this
evidence, the Board gave no consideration whatsoever to the possibility
that this disease, although
not diagnosed until Mr. Baker's death, had an onset during his active duty
service. See 38 C.F.R.
§ 3.303(d) (providing that a disease that is first diagnosed following
the veteran's separation from
service may still be granted service connection "when all the evidence,
including that pertinent to
service, establishes that the disease was incurred in service"). Likewise,
the Board gave no
7
consideration to whether the condition might be service connected as a "
chronic disease" pursuant
to 38 C.F.R. § 3.303(b) or, alternatively, by showing continuity of
symptomatology pursuant to that
sameprovision. SeegenerallySavagev.Gober, 10 Vet.App. 488, 495-97 (1997).
Instead, the Board
focused solely on the theory of entitlement to dependency and indemnity
compensation expressly
raised by Mrs. Baker—that her husband contracted Q fever during Project
SHAD, which went
untreated for many years and ultimately caused or contributed to his death.
This was error, as the
Board was required not only to develop and adjudicate the theories of
entitlement expressly raised
by Mrs. Baker, but also those reasonably raised by the record. Robinson,
21 Vet.App. at 553.
In reaching the conclusion that this theory of entitlement was reasonably raised by the record,
the Court notes that there is no indication that Mrs. Robinson was
represented by an attorney during the course of proceedings below. See R. at 5 (listing Disabled American
Veterans as Mrs. Baker's representative); see also Comer v. Peake, 552 F.3d 1362, 1370 (Fed. Cir.
2009) (explaining that assistance provided to claimants by veterans service organizations is
invaluable but not equivalent to representation by a licensed attorney). This Court has recently
clarified that, although a veteran's claim must always be liberally construed, "representation [by an attorney]
may be a factor in determining the degree to which the pleading is liberally construed." Cogburn v. Shinseki,
24 Vet.App. 205, 213 (2010) (emphasis added). Accordingly, here, the Board
was required to take into account the nature of Mrs. Baker's representation when assessing the
evidence of record for the purpose of identifying and fully developing all issues and theories of
entitlement pertinent to Mrs. Baker's claim for dependency and indemnity compensation. The Court
concludes that a liberal examination of this evidence would have led to the development and
adjudication of the alternative theory now expressly presented by Mrs. Baker on appeal. Because this did
not happen, the Court
will remand this claim for readjudication consistent with this decision.
See Robinson, 21 Vet.App.
at 553.
B. Remedy
The Court notes that Mrs. Baker argues that reversal, not remand, is the
appropriate remedy
under the circumstances of this case. She argues that "[t]he only
permissible view of [the] evidence
is that [Mr. Baker's] [M]oyamoya [D]isease, which was the cause of his
death, began in service and
should, then, have been service connected." Appellant's Br. at 7. The
Court disagrees.
8
It is true that reversal is the appropriate remedy when there is but one
permissible view of
the evidence, and that view is contrary to the Board's decision. Gutierrez
v. Principi, 19 Vet.App.
1, 10 (2004) (citing Johnson v. Brown, 9 Vet.App. 7, 10 (1996)). It is
also true that, in the present
case, the theoryof entitlement outlined above byMrs. Baker was most
certainly raised bythe record.
However, this case involves complex medical questions that the Board did
not even attempt to
address in the decision on appeal. "[W]here the Board has incorrectly
applied the law, failed to
provide an adequate statement of reasons or bases for its determinations,
or where the record is
otherwise inadequate, a remand is the appropriate remedy." Tucker v. West,
11 Vet.App. 369, 374
(1998); see Hicks v. Brown, 8 Vet.App. 417, 422 (1995). Under the
circumstances of this case, the
Court is not convinced that the "only permissible view of the evidence"
necessitates a finding that
Mr. Baker's death was service connected, and remand is therefore the
appropriate remedy. See
Gutierrez, 19 Vet.App. at 10.
Onremand,theBoardshould determinewhetheradditionaldevelopment,
includingobtaining
another VA medical opinion that explicitly considers this alternative
theory of entitlement, is
necessary. See McLendon v. Nicholson, 20 Vet.App. 79, 83-84 (2006). Mrs.
Baker will also be free
to submit additional evidence and argument on remand in accordance with
Kutscherousky v. West,
12 Vet.App. 369, 372-73 (1999) (per curiam order). See Kay v. Principi, 16
Vet.App. 529, 534
(2002). The Board is reminded that "[a] remand is meant to entail a
critical examination of the
justification for the decision" by the Board. Fletcher v. Derwinski, 1 Vet.
App. 394, 397 (1991). In
addition, the Board shall proceed expeditiously, in accordance with 38 U.S.
C. § 7112 (expedited
treatment of remanded claims).
9
III. CONCLUSION
Upon consideration of the foregoing, the May 2010 Board decision is
VACATED and this
matter is REMANDED for additional development, if necessary, and
readjudication.
DATED: September 21, 2011
Copies to:
Shannon L. Brewer, Esq.
VA General Counsel (027)
10
Single Judge Application, New and Material, Reasonable Possibility, Shade v. Shinseki, 24 Vet.App. 110, 121 (2010)
Excerpt from decision below:
"New and material evidence is evidence that would raise a reasonable possibility of substantiating the claim if, when considered with the old evidence, it would at least trigger the Secretary's duty to assist by providing a medical opinion. Shade v. Shinseki, 24 Vet.App. 110, 121 (2010).
Subsequent to the Board's decision in this case,thisCourt issued its decision in Shade, supra, which held that the issue of reopening must be confined to the subject of existence of new and material evidence alone and does not include a separate outcome-based element. Id. In Shade, the Court emphasized "that the phrase 'raise a reasonable possibility of substantiating the claim 'does not create a third element for new and material evidence," but was intended to provide "guidance for VA
3
adjudicators in determining whether submitted evidence meets the new and material requirements." Id. at 117. The Court further held that the term "reasonable possibility" contemplates the likely entitlement to a nexus medical examination, as opposed to the likely entitlement to the benefit sought. Id. at 121. In making the determination of materiality, "the Board is precluded from considering the credibility of the newly submitted evidence; strictly for purposes of determining whether new and material evidence has been presented, the Board must presume that the newly submitted evidence is credible." Duran v. Brown, 7 Vet.App. 216, 220 (1994) (citing Justus v. Principi, 3 Vet.App. 510, 513 (1992))."
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UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 10-0997
ROSS A. REED, APPELLANT,
V.
ERIC K. SHINSEKI,
SECRETARY OF VETERANS AFFAIRS, APPELLEE.
Before FARLEY, Judge.
MEMORANDUM DECISION
Note: Pursuant to U.S. Vet. App. R. 30(a),
this action may not be cited as precedent.
FARLEY, Judge: The appellant, Ross A. Reed, appeals that part of the
December 1, 2009,
Board of Veterans'Appeals (Board)decision that determinedthatnew and
material evidence had not
been submitted to reopen his claims for service connection for a left knee
disorder and a low back
disorder. Record (R.) at 3-15. This appeal is timely, and the Court has
jurisdiction to review the
Board's decision pursuant to 38 U.S.C. §§ 7252(a) and 7266(a). Single-
judge disposition is
appropriate. See Frankel v. Derwinski, 1 Vet.App. 23, 25-26 (1990).
Because the Board erred in
finding that no new and material evidence was offered to reopen the claims,
the Court will reverse
the decision and remand the matters for further proceedings consistent
with this decision.
I. FACTS
The appellant served on active duty in the U.S. Army from August 1970 to
February 1972.
Record (R.) at 690. His original claim, filed in March 1972 (R. at 614-15),
for entitlement to service
connection for back and knee disorders was denied in May 1974 (R. at 577-
78). The VA regional
office (RO) at that time found that the appellant's in-service back Previous DocumentinjuryNext Hit
was "acute" and that he had
no "right" knee disorder. R. at 577-78. Over the following years, the
appellant made several
unsuccessful attempts to reopen the previously denied claims for
entitlement to service connection
for a back and a left knee disorder. See, e.g., R. at 234, 541-42, 546.
In April 1994, the appellant
clarified that it was his left knee, not his right, that was injured in
service. R. at 442. Also added
to the record was an October 1995 VA medical examination report that
included diagnoses of
mechanical low back pain and "degenerative joint disease of the left knee."
R. at 332.
The appellant attempted to reopen his claim for service connection for his
back and left-knee
conditions in March 2006. R. at 147. The RO denied reopening in December
2006. R. at 118-22.
The appellant submitted a Notice of Disagreement in December 2007. R. at
106. In support of his
claims, he submitted a letter from Dr. Daniel Hinshaw, his treating
physician, who opined that the
Previous HitinjuryNext Document documented in the appellant's service medical records is related to
his current chronic back
pain. R. at 64.
In the December 1, 2009, decision on appeal, the Board denied reopening
the appellant's
claims for entitlement to service connection for his left knee and back
disorders. R. at 3-15. The
Boardnotedthat the May1974 ratingdecision was final andthat,
sincethatdecision,"new"evidence
had been submitted. R. at 12.
With regard to the Veteran's claim of service connection for a back
condition, the RO
held that the back strain in 1970 in service was an acute condition that
did not exist
after 1970, until the present time and could not be related to service.
With regard to
the left knee claim, the RO denied service connection for lack of evidence
of a left
knee disability.
R. at 11. The Board listed the evidence that the appellant had submitted
in support of his claim since
the 1974 denial, but ultimately concluded that it was not sufficient to
warrant reopening the claim.
See R. at 11-12. The Board discussed the opinion submitted by Dr. Hinshaw,
but found that "it does
not substantiate the Veteran's claim because it does not provide evidence
of a currently diagnosed
back disability that is related to service."
II. ANALYSIS
In his brief before this Court, the appellant argues that the Board
applied the wrongdefinition
of what constitutes new and material evidence sufficient to warrant
reopening his claims.
Appellant's Brief (Br.) at 5-9. He contends that the Board should have
applied the version of the
applicable regulation "in effect when the veteran attempted to reopen his
claims in 1994 and 1998,
2
and which is more favorable to the veteran." Id. at 5. Alternatively, he
argues that, irrespective of
whichdefinition ofnewandmaterial evidencewasused,theBoarderredin not
reopeningtheclaims.
Id. at 5, 10-12. The Secretary concedes that the Board's statement of
reasons or bases for declining
to reopen the appellant's claims is inadequate. Secretary's Br. at 5.
Specifically, the Secretarypoints
to the Board's inconsistent statements noting that "a December 2007 VA
physician's letter provided
a positive nexus" for the back claim but nevertheless finding that the
opinion "did not 'substantiate
the Veteran's claim because it does not provide evidence of a current back
disability.'" Secretary's
Br. at 7. The Secretary also points out that the Board noted that the 1974
rating decision denied the
appellant's left knee claim on the basis that there was no current
disability but the Board denied
reopening because "there was no evidence of a nexus to service." Id. at 9.
The Secretary urges the
Court to remand the matter for readjudication. Id. at 10. He disagrees
with the appellant that
reversal is the appropriate remedy. Id. at 10-13.
Pursuant to 38 U.S.C. § 5108, "[i]f new and material evidence is
presented or secured with
respect to a claim which has been disallowed, the Secretary shall reopen
the claim and review the
former disposition of the claim." 38 U.S.C. § 5108. New and material
evidence is defined as:
New evidence means existing evidence not previously submitted to agency
decisionmakers. Material evidence means existing evidence that, by itself
or when
considered with previous evidence of record, relates to an unestablished
fact
necessary to substantiate the claim. New and material evidence can be
neither
cumulative nor redundant of the evidence of record at the time of the last
prior final
denial of the claim sought to be reopened, and must raise a reasonable
possibility of
substantiating the claim.
38 C.F.R. § 3.156(a) (2011). New and material evidence is evidence that
would raise a reasonable
possibility of substantiating the claim if, when considered with the old
evidence, it would at least
trigger the Secretary's duty to assist by providing a medical opinion.
Shade v. Shinseki, 24 Vet.App.
110, 121 (2010).
Subsequent to the Board's decision in this case,thisCourt issued its
decision in Shade, supra,
which held that the issue of reopening must be confined to the subject of
existence of new and
material evidence alone and does not include a separate outcome-based
element. Id. In Shade, the
Court emphasized "that the phrase 'raise a reasonable possibilityof
substantiating the claim 'does not
create a third element for new and material evidence," but was intended to
provide "guidance for VA
3
adjudicators in determining whether submitted evidence meets the new and
material requirements."
Id. at 117. The Court further held that the term "reasonable possibility"
contemplates the likely
entitlement to a nexus medical examination, as opposed to the likely
entitlement to the benefit
sought. Id. at 121.
In making the determination of materiality, "the Board is precluded from
considering the
credibility of the newly submitted evidence; strictly for purposes of
determining whether new and
material evidence has been presented, the Board must presume that the
newly submitted evidence
is credible." Duran v. Brown, 7 Vet.App. 216, 220 (1994) (citing Justus v.
Principi, 3 Vet.App. 510,
513 (1992)). The Board's determination of whether a claimant has submitted
new and material
evidence is generally reviewed under the "clearly erroneous" standard of
review set forth in
38 U.S.C. § 7261(a)(4). Suaviso v. Nicholson, 19 Vet.App. 532, 533-34 (
2006); Elkins v. West,
12 Vet.App. 209, 217 (1999) (en banc). A finding of fact is clearly
erroneous when the Court, after
reviewing the entire evidence, "'is left with the definite and firm
conviction that a mistake has been
committed.'" Gilbert v. Derwinski, 1 Vet.App. 49, 52 (1990) (quoting
United States v. U.S. Gypsum
Co., 333 U.S. 364, 395 (1948)).
Here, the Board denied reopening the appellant's claims for service
connection for a back
disability and a left knee disability based on the finding that, although
the appellant had submitted
"new" evidence, it was not "material" because it failed to show a current
disability related to service.
R. at 12, 15. In coming to this conclusion, the Board reviewed the
evidence submitted since the last
final denial of the claims in May 1974. R. at 12, see also R. at 577-578.
As to the back condition,
the Board stated that in 1974 the claim had been denied because "there was
no evidence of a back
disabilitythat was related to service." R. at 12. However, the Board
conceded that a December 2007
VA physician's letter provided a positive nexus between the appellant's
back strain in service and his
current back pain. See R. at 12, see also R. at 64. Nevertheless, the
Board inexplicably denied
reopening because the December 2007 nexus opinion did not "substantiate
the Veteran's claim
because it does not provide evidence of a current back disability. . . ."
Id. The Board erred in not
reopening the appellant's claim when the evidence of record included the
December 2007 medical
opinion that relates to an unestablished fact necessary to substantiate
the claim. 38 C.F.R.
4
§ 3.156(a). This evidence bears directly and substantiallyon his claim
for service connection for his
back disorder being related to his military service. Id.
Similarly, the Board erred in denying reopening of the appellant's left
knee disability claim.
See R. at 12. Specifically, the Board bases its denial of reopening the
appellant's left knee claim on
the basis that there was no evidence of a nexus to service. Id. Yet, the
Board explicitly stated that
the 1974 rating decision denied the claim "for lack of evidence of a left
knee disability." R. at 11.
Recourse to the 1974 rating decision reveals that service connection for a
right knee condition was
denied for lack of evidence of a disability. R. at 577-78. In 1976 (R. at
554), and again in April
1994 (R. at 442), the appellant made clear that he was seeking service
connection for a left knee
disability. Irrespective of which knee was considered, insofar as the
denial was based on the lack
of a current disability, the newly submitted evidence of record reveals
degenerative joint disease of
the left knee. R. at 332. However, the Board failed to address the
appellant's current diagnosis,
which bears directly and substantially on his claim for service connection.
The newly submitted
evidence meets the regulatory requirements such that the appellant's claim
should be reopened.
The Court is required to reverse "a finding of material fact . . . if the
finding is clearly
erroneous." 38 U.S.C. § 7261(a)(4). Accordingly, the Court will reverse
the December 1, 2009,
Board decision that found that no new and material evidence had been
received to reopen the
appellant's claims forserviceconnection for his back and left knee
disorders, and remand the matters
to the Board for readjudication. 38 U.S.C. § 7261(a)(4); Duran, 7 Vet.App.
at 220; Justus,
3 Vet.App. at 513.
Further, once the claims are remanded, the Board must return the matter to
the RO for
adjudication to afford the appellant one review on appeal and to complete
any development that the
reopened claims require. Disabled Am. Veterans v. Sec'y of Veterans
Affairs, 327 F.3d 1339, 1347
(Fed. Cir. 2003) ("When the Board obtains evidence that was not considered
bythe [regional office]
and does not obtain the appellant's waiver, however, an appellant has no
means to obtain 'one review
on appeal to the Secretary,' because the Board is the only appellate
tribunal under the Secretary.");
see 38 U.S.C. § 7104(a) ("All questions in a matter which . . . is
subject to decision by the Secretary
shall be subject to one review on appeal to the Secretary"); Shade, supra.
5
III. CONCLUSION
On consideration of the foregoing, the parties' briefs, and the record on
appeal, that part of
the December 1, 2009, Board decision that found that no new and material
evidence had been
submitted to warrant reopening the claims for service connection for a
back disorder and a left knee
disorder is REVERSED and the matters are REMANDED for readjudication
consistent with this
decision.
DATED: September 21, 2011
Copies to:
Michael A. Leonard, Esq.
VA General Counsel (027)
6
S
Wednesday, September 28, 2011
Single Judge Application, Period Without Medical Complaint, Causation, cf. Maxson v. Gober, 230 F.3d (Fed. Cir. 2000)
Excerpt from decision below:
"The final problem with the Board's credibility analysis is that it misstates the relevant law. Maxson v. Gober does not, as stated by the Board, stand for the
proposition that "the passage of many years between discharge from active service and the medical documentation of a claimed disability is a factor that tends to weigh against a claim for service connection." R. at 230. Rather, Maxson held that the Board may consider "evidence of a prolonged period without medical complaint, along with other factors." 230 F.3d at 1333. In other words, Maxson is not about credibility but about causation, once the facts are established. Id.; cf. Buchanan, 451 F.3d at 1337; Kahana v. Shinseki, 24 Vet.App. 428, 438 (2011)."
=============================================
----------------------------------------------------
Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 10-0340
MIGUEL A. SOTO, APPELLANT,
V.
ERIC K. SHINSEKI,
SECRETARY OF VETERANS AFFAIRS, APPELLEE.
Before LANCE, Judge.
MEMORANDUM DECISION
Note: Pursuant to U.S. Vet. App. R. 30(a),
this action may not be cited as precedent.
LANCE, Judge: The appellant, Miguel A. Soto, through counsel, appeals a
January6, 2010,
Board of Veterans' Appeals (Board) decision that denied his claim for
disability compensation for
tinea versicolor.1
Record (R.) at 17-32. Initially, the Court notes that it lacks
jurisdiction over the
claims for disability compensation based on service connection for a liver
disability and for an
acquiredpsychiatricdisability,to includepost-traumaticstressdisorder,
thatwereremandedandthey
will not be addressed further. See 38 U.S.C. §§ 7252(a), 7266(a); Howard
v. Gober, 220 F.3d 1341,
1344 (Fed. Cir. 2000). The appellant does not present anyargument
concerning the separate January
6, 2010, decision of the Board that determined that a January 17, 1986,
decision should not be
revised or reversed on the grounds of clear and unmistakable error.
Accordingly, that claim is
deemed abandoned. See Ford v. Gober, 10 Vet.App. 531, 535 (1997). Single-
judge disposition is
appropriate. See Frankel v. Derwinski, 1 Vet.App. 23, 25-26 (1990). This
appeal is timely and the
Court has jurisdiction over the case pursuant to 38 U.S.C. §§ 7252(a)
and 7266. For the reasons that
1
Tinea versicolor is "a common, chronic, usually symptomless disorder,
characterized by macular patches of various
sizes and shapes, with colors from white in pigmented skin to tan or brown
in pale skin. It is caused by Malassezia furfur
and is usuallyseen inhot, humid tropical regions."
DORLAND'SILLUSTRATEDMEDICALDICTIONARY1930 (32d ed. 2011)
(hereinafter "DORLAND'S").
follow, the Court will vacate the January 6, 2010, decision and remand
the matter for further
proceedings consistent with this decision.
I. FACTS
The appellant served in the U.S. Armyfrom November 1969 to November 1971.
R. at 1176.
During service, in May 1971, he was experiencing pain while shaving and
was diagnosed with and
treated for folliculitis2
and acne vulgaris.3
R. at 1303-04. His June 1971 discharge examination
reports that his skin was normal at that time. R. at 1433.
The appellant suffers from schizophrenia with an anxiety disorder, which
is rated at 50%
disabling as a non-service-connected disability, as well as an acquired
psychiatric disorder,
depression, and "autistic impediments" that were reported at least as
early as 1976. R. at 1355.
In August 2004, the appellant filed a claim requesting disability
compensation based on
service connection for a skin condition on his arms and chest. R. at 782.
He stated that his skin
condition became worse when exposed to sunlight or heat and that he was
treated for a skin
condition while in the military. R. at 782. The appellant stated that he
believed that his current
condition was related to his in-service skin problem. R. at 782.
An October 1997 treatment record noted that the appellant had a 10-year
history of
hyperpigmented lesions on his inner arms and back that increased when he
was sweating. R. at
1094. The "provisional diagnosis" was listed as "r/o tinea versicolor." R.
at 1094.
In December 2008, the appellant received a VA compensation and pension
examination. R.
at 166-67. The examiner stated that the appellant was "a poor historian"
and explained that "[h]e
could not give a good history." R. at 166. The examiner continued: "
However, on questioning
about skin condition, he said he has been getting rashes since service on
and off. It is intermittent
. . . . Especially when he is exposed to moisture, sweating or heat, the
rash comes. He was never
treated in the servicealthough he complained, and he was never treated
before saying it is not service
connected[.]" R. at 166.
2
Folliculitis is "inflammation of a follicle or follicles, usually. . .
hair follicles[.]" DORLAND'S at 726.
3
Acne vulgaris is "the usual form of acne, a chronic inflammatory disease
of the pilosebaceous units; lesions
usually occur on the face, chest, and back." DORLAND'S at 18.
On January 6, 2010, the Board issued the decision on appeal. R. at 17-32.
The Board found
that"[t]he servicetreatment recordsarenegativefortineaversicolor,
theinitial evidenceoftreatment
for this disabilityis dated 26 years after discharge, and competent
medical opinion finds that it is less
likely than not related to active service." R. at 19. The Board noted the
appellant's lay statements
that supported a finding of continuity of symptomatology, but concluded
that the statements were
not credible. R. at 28. Accordingly, it denied the claim.
II. ANALYSIS
Establishing service connection generally requires medical or, in certain
circumstances, lay
evidence of (1) a current disability; (2) in-service incurrence or
aggravation of a disease or injury;
and (3) a nexus between the claimed in-service disease or injury and the
present disability. See
Davidson v. Shinseki, 581 F.3d 1313 (Fed. Cir. 2009); Hickson v. West, 12
Vet.App. 247, 253
(1999); Caluza v. Brown, 7 Vet.App. 498, 506 (1995), aff'd per curiam, 78
F.3d 604 (Fed. Cir. 1996)
(table); 38 C.F.R. § 3.303 (2011). Service connection mayalsobe
established byshowing continuity
ofsymptomatology,whichrequires aclaimantto demonstrate(1)thatacondition
was"noted"during
service; (2) evidence of postservice continuity of the same symptomatology;
and (3) medical or, in
certain circumstances, lay evidence of a nexus between the present
disability and the postservice
symptomatology. 38 C.F.R. § 3.303(b) (2011); see Davidson, 581 F.3d at
1316 (2009); Jandreau
v. Nicholson, 492 F.3d 1372, 1377 (Fed. Cir. 2007) (whether lay evidence
is competent and
sufficient in a particular case is a factual issue to be addressed by the
Board); Barr v. Nicholson,
21 Vet.App. 303, 307 (2007); Charles v. Principi, 16 Vet.App. 370, 374 (
2002) (appellant is
competent to testify where symptoms are capable of lay observation, such
as ringing in the ears);
Layno v. Brown, 6 Vet.App. 465, 469 (1994) (lay testimony is competent to
establish the presence
of an observable symptomatology and "may provide sufficient support for a
claim of service
connection"). Under this provision, "symptoms, not treatment, are the
essence of any evidence of
continuity of symptomatology." Savage v. Gober, 10 Vet.App. 488, 496 (1997
). A finding of
service connection is a factual determination bythe Board that the Court
reviews for clear error. See
38 U.S.C. § 7261(a)(4); Rose v. West, 11 Vet.App. 169, 171 (1998).
A. Evidence of Tinea Versicolor in Service
The appellant places great weight on the fact that, in its discussion of
tinea versicolor, the
Board stated that "[a] review of the service treatment records is negative
for evidence of a skin
disability, including tinea versicolor." Appellant's Brief (Br.) at 5,
citing R. at 27. He argues that
this was clearly erroneous, that the December 2008 medical examiner made
the same error when he
stated "[t]here is no mention of this condition [tinea versicolor] in the
service medical record," and
that the Board "failed to consider whether the present-daydiagnosed skin
condition is related in any
manner to the ignored in-service folliculitis and acne vulgaris."
Appellant's Br. at 8. In response,
the Secretary argues that the appellant "offers no evidence or adequate
rationale that his one-time
treatments for folliculitis and acne vulgaris were related to his [current]
tinea versicolor in anyway."
Secretary's Br. at 6. The Court agrees.
In this case, although the Board stated on page 11 of its decision that "[
a] review of the
service treatment records is negative for evidence of a skin disability,
including tinea versicolor," it
stated on page 19 of its decision, in the formal "FINDINGS OF FACT"
section, that "[t]he service
treatment records are negative for tinea versicolor." R. at 19 (emphasis
added). The Secretarynotes
that the appellant's current disability is confined to his arms, back, and
chest, whereas both the in-
service folliculitis and acne vulgaris affected his face because theyboth
affected his ability to shave.
R. at 450, 1303, 1304. The December 2008 medical examiner was even more
explicit: he stated that
the "service medical record does not mention anything about a skin rash or
tinea versicolor." R. at
166. The examiner also expressly stated that he had reviewed the
appellant's claims file. R. at 165.
Giventhatthemedicalexaminerreviewedtheappellant's
servicemedicalrecordsandconcludedthat
they did not include evidence of an in-service rash, the Court must
conclude that the medical
examiner did not consider folliculitis or acne vulgaris to fall into the
categoryof skin conditions that
are considered "rashes." R. at 165-66. Accordingly, the Court agrees with
the Secretary that any
error in this regard did not prejudice the appellant's claim. Secretary's
Br. at 9-10; see Shinseki v.
Sanders, 129 S.Ct. 1696, 1704 (2009); see also 38 U.S.C. § 7261(b)(2) (
requiring the Court to "take
due account of the rule of prejudicial error").
B. Credibility of Lay Statements
The Court finds merit in the appellant's second argument, that the Board
improperly
discounted the appellant's lay statements in support of continuity of
symptomatology. Appellant's
Br. at 12. The Board is required to assess the credibility and probative
weight of all relevant
evidence. McClain v. Nicholson, 21 Vet.App. 319, 325 (2007). In doing so,
the Board mayconsider
factors such as facial plausibility, bias, self interest, and consistency
with other evidence of record.
Caluza, 7 Vet.App. at 511; Buchanan v. Nicholson, 451 F.3d 1331, 1337 (Fed.
Cir. 2006); Jandreau,
492 F.3d at 1376 ("The Board retains discretion to make credibility
determinations and otherwise
weigh the evidence submitted[.]"); cf. Maxson v. Gober, 230 F.3d 1330, 1333 (Fed. Cir. 2000)
(Board may consider "evidence of a prolonged period without medical complaint, along with other factors" when considering aggravation of a pre-existing condition). The Board may consider the absence of contemporaneous medical evidence when determining the
credibility of lay statements, but may not determine that lay evidence lacks credibility solely because
it is unaccompanied by contemporaneous medical evidence. Buchanan, 451 F.3d at 1331. Personal
interest may affect the credibility of the evidence; however, the Board may not disregard a
claimant's testimony simply because he or she is an interested party and stands to gain
monetary benefits. Cartright v. Derwinski, 2Vet.App.24, 25 (1991). "The Court reviews factual findings"
such as credibility"under the 'clearly
erroneous' standard such that it will not disturb a Board finding unless,
based on the record as a
whole, the Court is convinced that the finding is incorrect." Hood v.
Shinseki, 23 Vet.App. 295, 299
(2009).
In this case, the Board concluded that the appellant's statements about
continuity of
symptomatology were not credible. R. at 28. In doing so, the Board
explained its three reasons for
this determination:
[1] The December 2008 examiner described the Veteran as a poor historian. [
2] In
addition, his current contentions of symptoms since service are
contradicted by the
October 1997 treatment record which states that he had onlya 10 year
historyof tinea
versicolor, which would place its onset nearly 16 years after discharge.
This history
was presumablyobtained from the Veteran. [3] Furthermore, the Board notes
that the
passage of many years between discharge from active service and the
medical
documentation of a claimed disability is a factor that tends to weigh
against a claim
for service connection. See Previous HitMaxsonNext Hit v. Gober, 230 F.3d 1330, 1333 (Fed. Cir.
2000);
Shaw v. Principi, 3 Vet.App. 365 (1992). The Board must concludethat the
evidence
does not support a finding of continuity of symptomatology[.]
R. at 28. Each of these three reasons is problematic.
First, the Board merely relied on the October 2008 medical examiner's
description of the
appellant as a "poor historian" rather than making its own determination
about the appellant's ability
to recount the history of his medical condition. R. at 28. However, the
medical examiner did not
explain what she meant bythis statement, nor did she explain which of the
facts and conclusions she
discussed were affected by her perception of the appellant as a poor
historian. R. at 28. Nor did the
Board explain how it interpreted the examiner's statement or how its
weighing of any of the facts or
conclusions in the medical opinion was affected by this description. These
ambiguities preclude
effective judicial review.
Secondly, the Court is troubled by the Board's reliance on the "
contradiction" between the
appellant's statements and the treatment record of October 1997 that
refers to a "10 year history" of
tinea versicolor. R. at 1094. This record appears to be merely a referral
from an Emergency Room
physician to a dermatologist. R. at 1094. The section of the record
labeled "Consultation Report"
is completely blank and the reference to a "10 year history" is part of
the single sentence on the page,
with no further elaboration. R. at 1094. The Court is also troubled by the
Board's statement that "[t]his history was presumably obtained from the Veteran." R. at 28. Given
that the Board explicitly admitted that it is unsure whether the report of a 10-year history is even
a statement by the appellant, it is not clear that the Board would reach the same conclusion about the
appellant's credibility based solely on the October 1997 notation.
The final problem with the Board's credibility analysis is that it misstates the relevant law. Maxson v. Gober does not, as stated by the Board, stand for the proposition that "the passage of many years between discharge from active service and the medical documentation of a claimed disability is a factor that tends to weigh against a claim for service connection." R. at 230. Rather, Maxson held that the Board may consider "evidence of a prolonged period
without medical complaint, along with other factors." 230 F.3d at 1333. In other words, Maxson is not about credibility but about causation, once the facts are established. Id.; cf. Buchanan, 451 F.3d at 1337; Kahana v. Shinseki, 24 Vet.App. 428, 438 (2011).
Accordingly, the Court is not convinced that the other errors in the credibility analysis are harmless, and the Court will remand the claim for the Board to provide an accurate analysis.
C. Competence of Lay Statements
Finally, the Court notes that the Board erred in its analysis of the appellant's competence to opine on the etiology of his tinea versicolor. R. at 28. When considering lay evidence supporting a claim for disability compensation, the Board must consider, on a case by case basis, the competence and sufficiency of lay evidence offered to support a finding of service connection. Davidson, 581 F.3d at 1316 (reiterating that "'[l]ay evidence can be
competent and sufficient to establish a diagnosis of a condition when (1) a layperson is competent to
identify the medical condition, (2) the layperson is reporting a contemporaneous medical
diagnosis, or (3) lay testimony describing symptoms at the time supports a later diagnosis by a medical
professional.'") (quoting Jandreau, 492 F.3d at 1377). In Barr v. Nicholson, this Court held that
the presence of a simple, observable condition, such as varicose veins, is not a determination that
is "medical in nature" and is therefore capable of lay observation for purpose of establishing
service connection. 21 Vet.App.
at308-09;seeKahana v.Shinseki,24Vet.App.428,438(2011)(Lance,J.,concurring)("
Simplyput,
any given medical issue is either simple enough to be within the realm of
common knowledge for
lay claimants and adjudicators or complex enough to require an expert
opinion.").
In this case, the Board concluded that the appellant is not competent to
opine on the issue of
etiology. The Board explained that it had "considered the Veteran's
sincere belief that his tinea
versicolor was first incurred in service. However, the Veteran is not a
physician, and he is not
qualified to express a medical opinion as to such a relationship. Espiritu
v Derwinski, 2 Vet.App.
492, 495 (1992)." R. at 28. The Board's analysis was flawed. The
disability in question is tinea
versicolor, a skin condition "characterized by macular patches of various
sizes and shapes, with
colors from white in pigmented skin to tan or brown in pale skin."4
Although the appellant may not
be competent to provide a medical determination about a potential causal
connection between tinea
versicolor and folliculitis or acne vulgaris, it is unclear to the Court
why he would not be competent
to report whether or not he has observed simple visible symptoms, and how
tinea versicolor differs
from the varicose veins that were subject to competent lay observation in
Barr. On remand, rather
than categoricallydismissingtheappellant's
statementsasnotcompetentbecausetheappellant is not
a physician, the Board must make a case-specific determination as to
whether the appellant's tinea
versicolor is the type of observable medical condition that a lay person
is competent to describe, as
discussed in Davidson, Jandreau, and Barr.
On remand, the appellant is free to submit additional evidence and
argument, including the
arguments raised in his briefs to this Court, in accordance with
Kutscherousky v. West, 12 Vet.App.
369, 372-73 (1999) (per curiam order), and the Board must consider any
such evidence or argument
4
DORLAND'S at 1930.
submitted.
See Kay v. Principi, 16 Vet.App. 529, 534 (2002).
The Board shall proceed
expeditiously, in accordance with 38 U.S.C. §§ 5109B, 7112 (requiring
Secretary to provide for
"expeditious treatment" of claims remanded by Board or Court).
III. CONCLUSION
After consideration of the appellant's and the Secretary's briefs, and a
review of the record,
the Board's January 6, 2010, decision is VACATED as to the tinea
versicolor claim and the matter
is REMANDED to the Board for further proceedings consistent with this
decision.
DATED: September 23, 2011
Copies to:
Perry A. Pirsch, Esq.
VA General Counsel (027)
Combat Brain Trauma Increasing, 9,000 Pulled from Duty
Full article at: More troops' mild brain trauma diagnosed
By Gregg Zoroya, USA TODAY
By Garrett Hubbard, USA TODAY
"Nearly 1,400 U.S. servicemembers were found to have concussions or mild brain injuries in Afghanistan and Iraq this year under a program that forces servicemembers to take a break from combat when exposed to a blast or other jarring incident.The military has pulled about 9,000 servicemembers from combat for short periods of time to look for signs of brain injury after blasts that caused no obvious wounds, according to data given to USA TODAY."
Tuesday, September 27, 2011
Thursday, September 22, 2011
30% of Female Veterans with PTSD Suffered Military Sexual Trauma
Full article at: Sexual Trauma Rampant in Female OIF/OEF Veterans With PTSD
Megan Brooks
September 22, 2011 — Roughly one third of Iraq and Afghanistan female veterans with posttraumatic stress disorder (PTSD) have suffered military sexual trauma (MST), new research shows.
"A significant proportion of women with PTSD report MST...existing PTSD protocols, such as prolonged exposure or cognitive processing therapy, are known to be effective in dealing with sexual trauma," Shira Maguen, PhD, a psychologist at the San Francisco VA Medical Center in California, told Medscape Medical News.
Wednesday, September 21, 2011
Single Judge Application, Remand Delays, Harvey, 24 Vet.App.at 288
Excerpt from decision below:
"However, if the Secretary fails to expeditiously complete the processing of this case and the Court's remand, the petitioner may file another petition and the Court will once again have to consider whether the Secretary has been reasonably diligent and energetic
in his attempts to fulfill the Court's remand order. See Harvey, 24 Vet.App.at 288 (stating that the
Secretary's duty to expedite is an inherent component of the Court's remand power that merits
suitable urgency and attention from the Secretary); see also Espamer v. Derwinski, 1 Vet.App. 3 (
1990)."
====================
----------------------------------------------------
Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 11-470
FRANCIS NOBLE, PETITIONER,
V.
ERIC K. SHINSEKI,
SECRETARY OF VETERANS AFFAIRS, RESPONDENT.
Before LANCE, Judge.
ORDER
Note: Pursuant to U.S. Vet. App. R. 30(a),
this action may not be cited as precedent.
I. BACKGROUND
On February 14, 2011, the pro se petitioner filed a petition asking the
Court to order the
Secretaryto "finalize" his remanded claim for entitlement to service
connection for bilateral hearing
loss. The petition at hand stems from an appeal decided by the Court on
August 24, 2007. In that
decision, the Court remanded the petitioner's bilateral hearing loss claim
so that the Board could
obtain medical records from the Federal Aviation Administration (FAA),
provide an adequate
medical examination, and also provide an adequate statement of reasons or
bases for its findings
concerning notice pursuant to 38 U.S.C. § 5103. See Noble v. Nicholson,
No. 05-2878, 2007 WL
2429854 (Vet. App. Aug. 24, 2007). On April 11, 2011, the Court ordered
the Secretary to respond
to the petitioner's assertions.
On April 26, 2011, the Secretary submitted a response. In his response,
the Secretary stated
that in September 2008, the petitioner's case was remanded to the Appeals
Management Center
(AMC) for further development. He further stated that the petitioner was
scheduled for a February
17, 2009, audiological examination. However, the Secretary admitted that
the notice was mailed to
the wrong address. As a consequence, the petitioner apparently did not
report for his scheduled
examination. The Secretary also informed the Court that on April 14, 2011,
the petitioner was sent
notice that he would be scheduled for another audiological examination.
In light of the considerable delay involved in the processing of the
petitioner's remand, the
Court ordered the Secretary to provide the Court with a supplement
concerning VA's progress in
meeting the requirements of the Court's August 2007 remand. As detailed in
the Secretary’s
response and additional supplemental responses, completion of the
required medical examination
has been complicated by the appellant’s relocation to Mexico. However,
on September 6, 2011, the
Secretary filed a supplemental response indicating that the petitioner had
finally received an
examination and an opinion that appears adequate for rating purposes.
II. ANALYSIS
A. Entitlement to a Writ
This Court has adopted the case-or-controversy jurisdictional requirements
imposed by
Article III of the U.S. Constitution. Aronson v. Brown, 7 Vet.App. 153,
155 (1994). Where the
relief sought by a petition for extraordinary relief has been afforded,
the petition is moot. See
Chandler v. Brown, 10 Vet.App. 175, 177 (1997) (per curiam order); Thomas
v. Brown, 9 Vet.App.
269, 270 (1996) (per curiam order). In this case, the petitioner has
sought compliance from VA with
the Court's August 2007 remand order that required the Secretary to obtain
the petitioner's medical
records from the FAA, provide an adequate medical examination, and also
provide an adequate
statement of reasons or bases for its findings concerning notice under 38
U.S.C. § 5103. See Noble,
supra. Based on the supplements submitted bythe Secretary, the
petitioner's FAArecords have been
obtained, he has received a new audiological examination, and he will be
in receipt of a decision
shortly. Accordingly, the petitioner has received the relief he is
entitled to and his petition must be
dismissed as moot. See Chandler, supra.
B. Sanctions
The Court acknowledges that the petitioner seeks sanctions for the
considerable delay in the processing of his case. However, sanctions are appropriate only where the
delay in the processing of a Court remand is the result of "gross negligence and a gross lack of
diligence" on the part of the Secretary. Harvey v. Shinseki, 24 Vet.App. 284, 287 (2011). In this case,
the delay in the petitioner's claim seems to have been caused by an incorrect mailing by the AMC and by
the claim being placed in deferred status while other work was being performed on different
claims associated with the petitioner. The Court, in this case, finds that the Secretary's conduct,
although not ideal and approaching negligent, has not reached the level of gross negligence and
lack of diligence required for a civil contempt sanction. Id. Accordingly, the Court will not order
sanctions at this time.
However, if the Secretary fails to expeditiously complete the processing of this case and the Court's remand, the petitioner may file another petition and the Court will once again have to consider whether the Secretary has been reasonably diligent and energetic
in his attempts to fulfill the Court's remand order. See Harvey, 24 Vet.App.at 288 (stating that the
Secretary's duty to expedite is an inherent component of the Court's remand power that merits
suitable urgency and attention from the Secretary); see also Espamer v. Derwinski, 1 Vet.App. 3 (
1990). Furthermore, if such an event comes to pass, these proceedings will undoubtedly be
taken into account when determining the necessity of stronger action by the Court.
2
III. CONCLUSION
Upon consideration of the foregoing, it is
ORDERED that the appellant's request for sanctions is DENIED; it is
further
ORDERED that the petition for extraordinary relief is DISMISSED as moot.
DATED: Sept. 15, 2011
BY THE COURT:
ALAN G. LANCE, SR.
Judge
Copies to:
Francis Noble
VA General Counsel (027)
3
Single Judge Application, Claim for Service Connection, Inexact Term
Excerpt from decision below:
"E. Final Matter
The Court notes that the parties' briefs repeatedly refer to a "claim for service connection."As the Court
explained in Hillyard v. Shinseki, the use of this term is inexact, and therefore is–although prevalent in the
Court's cases, as well as those of the United States Court of Appeals for the Federal Circuit–disfavored. 24
Vet.App. 343, 355 (2011). The Court urges the parties to practice precision in language in future briefs.
+++++++++++++++
----------------------------------------------------
Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 10-0246
DARRELL VULGAMORE, APPELLANT,
V.
ERIC K. SHINSEKI,
SECRETARY OF VETERANS AFFAIRS, APPELLEE.
Before HAGEL, Judge.
MEMORANDUM DECISION
Note: Pursuant to U.S. Vet. App. R. 30(a),
this action may not be cited as precedent.
HAGEL, Judge: Darrell Vulgamore appeals through counsel a November 27,
2009, Board
of Veterans' Appeals (Board) decision that denied entitlement to (1) a
disability rating in excess of
50% for post-traumatic stress disorder; (2) a disability rating in excess
of 40% for reactive
hypoglycemia1
secondary to vagotomy2
and pyloroplasty3
for a duodenal ulcer; and (3) a total
disability rating based on individual unemployability. Mr. Vulgamore's
Notice of Appeal was
timely, and the Court has jurisdiction to review the Board decision
pursuant to 38 U.S.C. § 7252(a).
Neither party requested oral argument or identified issues they believed
to require a precedential
decision of the Court. Because the Board improperly applied the disability
rating schedule in its
decisionregardingentitlementto anincreaseddisabilityratingforpost-
traumaticstressdisorder,and
because the Board provided inadequate reasons or bases for denying
entitlement to a total disability
Hypoglycemia is "an abnormallydiminished concentration of glucose
intheblood." DORLAND'SILLUSTRATED
MEDICAL DICTIONARY 915 (31st ed. 2007) [hereinafter DORLAND'S].
A vagotomy is a surgical treatment for ulcers that interrupts the impluses
carried by the vagus nerve or nerves.
See DORLAND'S at 2048. The vagus is the tenth cranial nerve. Id. at 1280.
A pyloroplasty is an "incision of the pylorus and the reconstruction of
the channel through it, such as to relieve
obstruction or accelerate gastric emptying after a vagotomy for peptic
ulcers." DORLAND'S at 1583. The pylorus is "the
most distal part of the stomach . . . through which the stomach contents
are emptied into the duodenum." Id.
3
2
1
rating based on individual unemployability, those portions of the
November 2009 Board decision
will be vacated and remanded for further development and readjudication
consistent with this
decision. BecausetheBoard's
determinationthatanincreaseddisabilityratingforhypoglycemiawas
not warranted was not clearly erroneous, that portion of the Board
decision will be affirmed.
I. FACTS
Mr. Vulgamore served on active duty from February 1963 to October 1966 and
from
November 1966 to November 1972, including service in Viet Nam. In October
1968, he underwent
a vagotomy and a pyloroplasty to treat a bleeding duodenal ulcer. In
October 1972, he was
diagnosed with reactive hypoglycemia, probably secondary to the vagotomy
and pyloroplasty.
In January 1973, a VA regional office granted Mr. Vulgamore's December
1972 claim for
benefits for reactive hypoglycemia secondaryto vagotomyand pyloroplastyfor
a duodenal ulcer and
assigned a 40% disability rating.
In March 1995, the regional office granted Mr. Vulgamore's April 1994
claim for benefits
for post-traumatic stress disorder and assigned a 50% disability rating.
In February 1996, the Social Security Administration determined that Mr.
Vulgamore was
disabled as of February 1995 due primarily to post-traumatic stress
disorder and secondarily to
degenerative disc disease.
The record reveals that, in November 2000, a VA physician diagnosed Mr.
Vulgamore with
both post-traumatic stress disorder and bipolar disorder.
In June 2005, Mr. Vulgamore sought increased disability ratings for both
of his service-
connected conditions and asserted that he had been unemployable as a
result of those conditions
since August 1990. He also advised VA that he was receiving Social
Security disability benefits
based in part on post-traumatic stress disorder.
In September 2005, Mr. Vulgamore underwent a VA digestive conditions
examination in
which the examiner was asked to determine whether Mr. Vulgamore was
unemployable as a result
of his hypoglycemia. The examiner reviewed Mr. Vulgamore's claims file and
medical records. In
reviewing those records, the examiner stated: "[Mr. Vulgamore] never lost
a job as a truck driver or
backhoe ditch digger because of any problems other than [he] decided to
quit because he could not
2
tolerate being around people." Record (R.) at 1186. The examiner also
noted: "[Mr. Vulgamore]
reports that he worked as a truck driver, and was in an accident in 1990
when he slipped on oil in
the parking lot and tried to go back in 1994 and was not able to pass the
physical due to his right
arm. He then went to commercial fishing and then was not able to work due
to his decrease in
vision." R. at 1187. The examiner recorded Mr. Vulgamore's description of
his hobbies, including
yard work, fishing, home remodeling, and traveling with his wife, and
noted that he was able to
perform the activities of daily living. After a physical examination, the
examiner concluded: "It
appears that since he was discharged from the service[, Mr. Vulgamore] has
not sought medical
treatment for his symptoms. He is also able to maintain an active
lifestyle even with his symptoms[,]
and it is less likely than not that he is unemployable." R. at 1188.
Also in September 2005, Mr. Vulgamore underwent a VA post-traumatic stress
disorder
examination. The examiner reviewed his claims file and medicalhistoryand
conducted a 90-minute
face-to-face interview and evaluation. Mr. Vulgamore described his
marriage as "good, as long as
[mywife] stays awayfrom me when I am mad," but the examiner noted that Mr.
Vulgamore laughed
after making the statement and appeared to have "a rather sardonic sense
of humor." R. at 1190. The
examiner noted Mr. Vulgamore's prior employment as an over-the-road truck
driver, which he had
to give up when he began to have problems with his knees and when problems
with his arms and
hands made gripping the steering wheel difficult. The examiner also noted
that Mr. Vulgamore had
"a very limited social life" and summarized his mental health treatment
since approximately 2000.
The examiner stated: "The overall impression from reviewing the notes was
that [Mr. Vulgamore]
is being treated primarily for bipolar disorder. There are only three
documented therapy contacts
relative to [post-traumatic stress disorder] issues from 2000 to the
present." R. at 1192. The
examiner then summarized his findings relative to the post-traumatic
stress disorder criteria
contained in the Diagnostic and Statistical Manual of Mental Disorders,
Fourth Edition (DSM-IV),
compared Mr. Vulgamore's current symptoms to his demonstrated past
symptomatology, and
concluded: "[Mr. Vulgamore's] [post-traumatic stress disorder] symptoms
atthis time areclearlynot
more intense or frequent than what he reported in 1994. He is not
unemployable due to [post-
traumatic stress disorder] symptoms alone." R. at 1194.
3
In October 2005, the regional office issued a rating decision continuing
both the 40%
disability rating for hypoglycemia and the 50% disability rating for post-
traumatic stress disorder,
and denying entitlement to a total disability rating based on individual
unemployability. Mr.
Vulgamore filed a Notice of Disagreement with that decision and included a
statement from his wife
regarding his bad moods, social avoidance, sleep apnea, anger, and poor
impulse control. She also
described an incident in which Mr. Vulgamore disappeared for several weeks
without calling. Mr.
Vulgamore ultimately appealed to the Board.
In October 2006, Mr. Vulgamore sought treatment for his psychiatric
conditions. His
attending physician diagnosed bipolar disorder, depression, and panic
attacks with agoraphobia, as
well as reduced concentration, energy, and motivation.
In January 2008, Mr. Vulgamore underwent a VA diabetes mellitus
examination in
connection with a new claim for that condition. The examiner noted that
his VA medical records
and VA examinations, as well as laboratorytests administered in May2007,
contained no diagnoses
of diabetes. Although further examination and testing did not yield a
diagnosis of diabetes, the
examinerdid notethatMr.Vulgamorecomplainedofdecreasedenergyandappetite,
fatigue,nausea,
vomiting, and constipation. Mr. Vulgamore underwent another VA diabetes
mellitus examination
in June 2008 at which he complained of heat intolerance, vomiting,
diarrhea, constipation,
irritability, moodiness, and night sweats. Again, the examiner concluded
that Mr. Vulgamore did
not suffer from diabetes.
In April 2009, the Board remanded Mr. Vulgamore's claims to the Appeals
Management
Center for VA examinations to determine the current levels of impairment
due to both hypoglycemia
and post-traumatic stress disorder.
In June 2009, both VA examinations were provided. In the stomach
examination, the
examinernotedthat overthe past several years, Mr.
Vulgamoresufferedfromconstipation, diarrhea,
abdominal pain, belching, bloating, nausea, and vomiting. The examiner
answered "no" to the
questions "Are there signs of significant weight loss or malnutrition?"
and "Are there signs of
anemia?" R. at 65. The examiner noted mild effects on feeding and
toileting, but otherwise
determined that Mr. Vulgamore's condition did not affect his daily
activities.
4
In the post-traumatic stress disorder examination, the examiner recorded
Mr. Vulgamnore's
description of his prior employment, including that he had not worked
since 1990 and that he had
to leave his job as a truck driver after he "went ballistic and hurt
somebody." R. at 68. Mr.
Vulgamore stated that he and his wife were "still friends," but that he
had trouble being around "too
manypeople,"andreportedexperiencingpanicattackswhileshopping.
TheexaminernotedthatMr.
Vulgamore was agitated and guarded with "increased emotional lability." Id.
The examiner also
noted Mr. Vulgamore's reports of suicidal ideation (without plans or
intent), sleep disturbances, and
hypervigilence. The examiner compared Mr. Vulgamore's symptoms to the post-
traumatic stress
disorder criteria described in the DSM-IV and concluded that he does
suffer from post-traumatic
stress disorder. She stated that his post-traumatic stress disorder
symptoms were "not more intense
or frequent than in previous exams. Therefore, his [post-traumatic stress
disorder] is not causingany
more distress than in previous exams. He is not unemployable due to [post-
traumatic stress
disorder]." R. at 71. Rather,
His disability and unemployability appears to be multi-factorial with
increasing
health problems, unmanaged bipolar disorder, depressive symptoms, and his
personality disorder. These do not seem connected to the [post-traumatic
stress
disorder]. He was diagnosed with Major Depressive Disorder and Bipolar
Disorder
[previously]. He denied current suicidal ideation, intent or plans, but
consistently
verbalizes a negative view of himself, his present circumstances, and his
future.
Symptoms from non-managed bipolar and depression, the stress from his
wife's
medical illnesses, and his concerns about his health problems (diabetes,
peptic ulcer,
etc[.]) appear to cause a severe level of distress and seem to be a more
likely cause
for his current problems. His psychiatrist . . . diagnosed him with
Bipolar [disorder],
depression, and [post-traumatic stress disorder,] though during therapy
she focused
on managing the bipolar [disorder]. . . . In review of previous reports,
his bipolar
[disorder], depression, personality problems, and health problems appear
to have
worsened, while his [post-traumatic stress disorder] appears to have
remained the
same.
Id.
In November 2009, the Board issued the decision on appeal. The Board
determined that Mr.
Vulgamore's post-traumatic stress disorder warranted no more than a 50%
disability rating and his
hypoglycemia warranted no more than a 40% disability rating. The Board
also concluded that there
was no evidence that Mr. Vulgamore was unemployable due to these service-
connected conditions.
5
II. ANALYSIS
A. Post-Traumatic Stress Disorder
Mr. Vulgamore first argues that the Board provided inadequate reasons or
bases for its
determination that a disability rating in excess of 50% was not warranted
for post-traumatic stress
disorder. Specifically, he contends that the Board improperly required him
to demonstrate the full
complement of symptoms contained in 38 C.F.R. § 4.130 to warrant a 70%
disability rating for
post-traumatic stress disorder, thereby misapplying Mauerhan v. Principi,
16 Vet.App. 436 (2002).
The Court agrees.
In Mauerhan, the Court explained that "the factors listed in the rating
formula [for mental
disorders] are 'examples' of conditions that warrant particular ratings”
that are intended to assist the
adjudicator in differentiating between levels of disability, a task that
would be "extremely
ambiguous" without the listed factors. 16 Vet.App. at 442. The Court made
clear, however, that
"any suggestion that the Board was required, in complying with the
regulation, to find the presence
of all, most, or even some, of the enumerated symptoms is unsupported by a
reading of the plain
language of the regulation." Id. Thus, this "list of examples[ ] provides
guidance as to the severity
of symptoms contemplated for each rating, in addition to permitting
consideration of other
symptoms, particular to each veteran and disorder, and the effect of those
symptoms on the
claimant's social and work situation." Id.
Here, the Board paid lip service to Mauerhan but proceeded to do precisely
what Mauerhan
prohibits. The Board's discussion was as follows:
When interpreted in light of the whole recorded history and reconciling
the various
reports into a consistent picture (see 38 C.F.R. § 4.2), the Board finds
that the
evidence portrays a consistent pattern of occupational and social
impairment with
reduced reliability and productivity throughout the appeal period due to
such
symptoms as panic attacks; impairment of memory; disturbances of
motivation and
mood; and difficulty in establishing and maintaining social relationships.
There is,
however, no evidence of the kinds of symptoms that would warrant a rating
of 70
percent or higher at any time during the appeal period. Although [Mr.
Vulgamore]
does admit to occasional thoughts of suicide and has expressed concern
that he may
hurt others, these thoughts are not persistent, and there is no plan or
intent.
There is also no report of obsessional rituals; intermittently illogical,
obscure, or
irrelevant speech; near-continuous panic or depression affecting his
ability to
6
function independently, appropriately and effectively; spatial
disorientation; neglect
of personal appearance and hygiene; or complete inability to establish and
maintain
effective relationships; gross impairment in thought processes or
communication;
inability to perform activities of daily living (including maintenance of
minimal
personal hygiene); or memory loss for names of closes relatives, own
occupation, or
own name at any time during the appeal period. Although [Mr. Vulgamore]
does
complain of some auditory illusions, Compensation and Pension examiners
indicate
that this is "illusionary" and not indicative of a psychotic thought
process, and the
record contains no evidence to the contrary. See Colvin v. Derwinski, 1
Vet. App. 171
(1991) (holding that the Board must consider only independent medical
evidence to
support its findings rather than provide its own medical judgment).
Moreover, while
reportedly reclusive, easily agitated and angered, and "moody," [Mr.
Vulgamore's]
relationships with close family and friends are intact, and both
Compensation and
Pension examinersaverthat[his]post[-]traumaticstressdisorderdoesnot
renderhim
unemployable. The Board further notes that [Mr. Vulgamore] receives little
outpatient treatment for his post[-]traumatic stress disorder, and has
never been
hospitalized for [post-traumatic stress disorder]. Accordingly, for the
reasons just
expounded, the Board finds that the criteria for a rating of 70 percent or
higher for
posttraumatic stress disorder are not met at any time during the appeal.
38 C.F.R.
§[§] 3.102, 4.130, 4.132 Diagnostic Code 9411.
R. at 14-15 (emphasis added). In other words, the Board determined that Mr.
Vulgamore
experienced"occupationalandsocialimpairmentwithreducedreliability"(
theeffectofthedisability
required for a 50% disability rating) because his symptomatology–panic
attacks, memory
impairment,mooddisturbances,
anddifficultiesestablishingandmaintainingrelationships–matched
those included in the rating criteria for a 50% disability rating.
Similarly, the Board determined that
Mr. Vulgamore must not have experienced "occupational and social
impairment with deficiencies
in most areas, including work, school, familyrelationships, judgment,
thinking, or mood" (the effect
of the disability required for a 70% disability rating) because his
symptoms did not match those
included in the rating criteria for a 70% disability rating. It was clear
error for the Board to conclude
that Mr. Vulgamore could be occupationally and socially impaired to the
degree required for a 70%
disabilityratingonlyif the evidence
demonstratedthespecificcriteriasetforthin therating schedule
for a 70% rating. See 38 U.S.C. § 7261(a)(4); Smallwood v. Brown, 10 Vet.
App. 93, 97 (1997)
(holding that the Court reviews the Board's assignment of the disability
rating assigned under the
"clearlyerroneous"standard of review). Accordingly, the Court will vacate
the Board's decision and
remand the matter for readjudication.
7
The record is replete with evidence regarding the level of Mr.
Vulgamore's occupational and
social functioning. On remand, the Board should thoroughly consider this
evidence in determining
whether an increased disability rating is warranted and not simply match
Mr. Vulgamore's
documented symptoms of post-traumatic stress disorder to the criteria
contained in the rating
schedule. The Board should obtain a new examination if doing so would
assist the Board in
determining the effects of Mr. Vulgamore's post-traumatic stress disorder
symptoms on his
occupational and social functioning.
Although the Court is remanding this claim, to provide the Board
additional guidance on
remand, the Court will address Mr. Vulgamore's assertion that the June
2009 VA post-traumatic
stress disorder examination was inadequate. See Quirin v. Shinseki, 22 Vet.
App. 390, 395 (2009).
Mr. Vulgamore contends that the VA examiner "failed to properly explain
how to separate
the symptoms of [post-traumatic stress disorder] and the bipolar
disorder/depression" and "failed to
explain why [his] health problems appeared to have aggravated his bipolar
disorder and depression
but not his [post-traumatic stress disorder]." Appellant's Brief (Br.) at
24, 25. The Court disagrees.
The June 2009 VA post-traumatic stress disorder examination is extremely
thorough. The
examiner reviewed Mr. Vulgamore's claims file and medical records,
extensively outlined Mr.
Vulgamore's psychiatric treatment history between 2000 and 2009,
emphasized the portions of Mr.
Vulgamore's treatment records related to post-traumatic stress disorder,
recorded a detailed social
history, and conducted a detailed post-traumatic stress disorder
examination.
During that
examination, the examiner painstakingly followed the DSM-IV and noted the
symptoms Mr.
Vulgamore demonstrated that met each of the six post-traumatic stress
disorder criteria. In reaching
her conclusion that Mr. Vulgamore's post-traumatic stress disorder
symptomatology had not
increased, the examiner compared Mr. Vulgamore's current reported
symptomatology to that
contained in previous treatment records. She expressly stated: "In review
of previous reports, his
bipolar, depression, personality problems, and health problems appear to
have worsened, while his
[post-traumatic stress disorder] appears to have remained the same." R. at
71. She stated that this
wasconsistent with researchthatshowedthatpost-
traumaticstressdisordersymptoms usuallylessen
over time. Twice, the examiner indicated that some of Mr. Vulgamore's
symptomatology "seemed
more like someone who had bipolar disorder that was not being managed." R.
at 70.
8
The Court is satisfied that, when read as a whole, the examiner provided
adequate support
and rationale for her conclusion that Mr. Vulgamore's post-traumatic
stress disorder had not
worsened and that his deteriorating functioning was attributable to
unmanaged bipolar disorder and
depression. See Stefl v. Nicholson, 21 Vet.App. 120, 123 (2007); Ardison v.
Brown, 6 Vet.App. 405,
407 (1994); see also Nieves–Rodriguez v. Peake, 22 Vet.App. 295, 304 (
2008). Accordingly, the
Court concludes that the Board did not err in relying on the June 2009 VA
post-traumatic stress
disorder examination.
Onremand,Mr.Vulgamoreis freeto submitadditional evidenceandargumentin
accordance
with Kutscherousky v. West, 12 Vet.App. 369, 372-73 (1999) (per curiam
order). See Kay v.
Principi, 16 Vet.App. 529, 534 (2002). Further, "[a] remand is meant to
entail a critical examination
of the justification for the decision" by the Board. Fletcher v. Derwinski,
1 Vet.App. 394, 397
(1991). In addition, the Board shall proceed expeditiously, in accordance
with 38 U.S.C. § 7112
(expedited treatment of remanded claims).
B. Hypoglycemia
As the Board noted, a 40% disability rating is warranted for moderate
postgastrectomy
syndrome4
with "less frequent episodes of epigastric disorders with characteristic
mild circulatory
symptoms after meals but with diarrhea and weight loss." 38 C.F.R. § 4.
114, Diagnostic Code 7308
(2011). A 60% disability rating is warranted for severe postgastrectomy
syndrome "associated with
nausea,sweating,circulatorydisturbanceaftermeals,diarrhea,
hypoglycemicsymptoms, andweight
loss with malnutrition and anemia." Id. The Board determined that,
although there was "subjective
and objective evidence of weight loss, fatigue, diarrhea, and nausea,"
there was "absolutely no
evidence of weight loss with malnutrition and anemia" related to Mr.
Vulgamore's reactive
hypoglycemia. R. at 19. Accordingly, the Board determined that he was not
entitled to a 60%
disability rating.
Mr. Vulgamore argues that the Board erred because it improperly
interpreted Diagnostic
Code 7308 as requiring evidence of all of the criteria listed in the
rating schedule for that rating. He
There is no diagnostic code for precisely the condition Mr. Vulgamore has;
his disability is rated by analogy.
See 38 C.F.R. § 4.20 (2011).
4
9
asserts that, because he has most of the symptoms listed for a 60%
disability rating, 38 C.F.R. § 4.7
required the Board to assign a 60% disability rating. The Court disagrees.
The rating criteria under Diagnostic Code 7308 are successive; that is,
each higher disability
rating contains all of the symptoms of the disability rating below it in
addition to "new" symptoms
warranting a higher disability rating. In such a case, all criteria for
the higher disability rating must
be present for a claimant to be entitled to the higher disability rating.
See Camacho v. Nicholson,
21 Vet.App. 360, 367 (2007) (holding that the criteria contained in 38 C.F.
R. § 4.119, Diagnostic
Code 7913, for diabetes are cumulative and therefore a claimant must
demonstrate all of the criteria
for a particular rating). Much as the Court found in Camacho, if anemia
and malnutrition were not
required elements of a 60% disability rating for postgrastrectomy syndrome (
along with
"hypoglycemicsymptoms,"whichMr.Vulgamorenecessarilydemonstrates,
giventhatheis service-
connected for hypoglycemia), there would be no need for a 40% disability
rating–everyone who
simplydemonstrated weight loss in addition to the other criteria
wouldbeentitledto a 60% disability
rating. The Court will not presume that the Secretaryintended such an
absurd result. See id. at 366-
67 (citing Splane v. West, 216 F.3d 1058, 1068-69 (Fed. Cir. 2000) ("
Canons of construction . . .
require us to give effect to the clear language of a [regulation] and
avoid rendering any portions
meaningless or superfluous.")).
Mr. Vulgamore's reliance on Tatum v. Shinseki, 23 Vet.App. 152 (2009), is
misplaced. The
regulation at issue in that case, 38 C.F.R. § 4.119, Diagnostic Code 7903,
contains rating criteria for
hypothyroidism that are not successive. Accordingly, the Court found that
Camacho's holding did
not applyand remanded the matter to the Board to determine whether § 4.7
permitted the assignment
of a higher disability rating in the face of evidence that the appellant
demonstrated at least some of
the symptoms required for a higher rating. 23 Vet.App. at 155-57. That is
not the case here.
Accordingly, Mr. Vulgamore's argument is without merit, and the Court
concludes that the Board's
determination that an increased disability rating for hypoglycemia was not
warranted is not clearly
erroneous. See 38 U.S.C. § 7261(a)(4); Smallwood v. Brown, 10 Vet.App. 93,
97 (1997).
To the extent that Mr. Vulgamore argues that the June 2009 stomach
examination was
inadequate because it did not discuss whether he suffers from hypoglycemia,
any error in that regard
is harmless. See Conway v. Principi, 353 F.3d 1369, 1374 (Fed. Cir. 2004);
see also 38 U.S.C.
10
§ 7261(b)(2) (requiring the Court to "take due account of the rule of
prejudicial error"). Because
there is no dispute that Mr. Vulgmore suffers from hypoglycemia (the only
question being the
severityof the condition), and because the examiner unequivocallystated
that there was no evidence
of malnutrition or anemia (requirements for the maximum 60% disability
rating), a finding that Mr.
Vulgamore does not dispute, remand for a new examination that expressly
states that he has
hypoglycemia can serve no useful purpose. See Soyini v. Derwinski, 1 Vet.
App. 540, 546 (1991)
(holding that "strict adherence" to reasons or bases requirement where
evidence was
"overwhelmingly" against the claim would unnecessarily impose additional
burdens on the Board
with no benefit flowing to the veteran); see also Valiao v. Principi, 17
Vet.App. 229, 232 (2003)
(holding that, "[w]here the facts averred by a claimant cannot conceivably
result in any disposition
of the appeal other than affirmance of the Board decision, the case should
not be remanded for
development that could not possibly change the outcome of the decision").
Accordingly, the Court will affirm that portion of the Board decision that
denied entitlement
to an increased disability rating for hypoglycemia.
C. Total Disability Rating Based on Individual Unemployability
Mr. Vulgamore asserts that the Board provided an inadequate statement of
reasons or bases
for its determination that he is not entitled to a total disability rating
based on individual
unemployability. Specifically, he argues that the Board did not address
whether, "in light of his
service-connected disabilities, [he] could perform an occupation which
would provide an 'annual
income that exceeds the poverty threshold for one person.'" Appellant's Br.
at 22-23 (quoting Faust
v. West, 13 Vet.App. 342, 3556 (2000)). The Court agrees.
"[T]otal disability will be considered to exist when there is present any
impairment of mind
or body which is sufficient to render it impossible for the average person
to follow a substantially
gainful occupation." 38 C.F.R. § 4.15 (2011). Even where a service-
connected disabilityis less than
total, a veteran may be entitled to a total disability rating if that
veteran satisfies the percentage
requirements set forth in 38 C.F.R. § 4.16(a) (2011). Under section 4.16(
a), a total disability rating
will be awarded, even where the schedular rating is less than total, (1)
when the disabled person is
"unable to secure or follow a substantially gainful occupation" as a
result of service-connected
disabilities; and (2) if there is only one such disability, that it is
ratable at 60[%] or more, or if there
11
are two or more disabilities, there shall be at least one disability
ratable at 40% and sufficient
additional disability to bring the combined rating to 70% or more. Because,
as the Board found, Mr.
Vulgamore has a combined disability rating of 70%,5
the remaining question is whether his service-
connected disabilities render him unable to obtain and maintain a
substantially gainful occupation.
Inthis regard,theBoardfirstdeterminedthatMr.Vulgamorewasnot
unemployablebyvirtue
of anysingle service-connected disability, relying on various VA medical
records to that effect. The
Board acknowledged that the Social Security Administration considered Mr.
Vulgamore disabled
based, in part, on post-traumatic stress disorder, but noted that the
Social Security Administration
also considered him disabled due to a non-service-connected back condition.
Mr. Vulgamore does
not dispute this finding, and the Court finds no error.
Next, the Board stated:
There is also no probative evidence that [Mr. Vulgamore] is unemployable
based
solely on a combination of service-connected disabilities. Indeed, a
January 2007
VA Compensation and Pension examination found no more than "moderate" high
frequency hearing loss bilaterally, and found good word recognition. In
addition,
while [Mr. Vulgamore's] service-connected digestive disability has been
evaluated
as 40[%] disabling, a September 2005 VA Compensation and Pension examiner
avers that "it is less likely than not that he is unemployable," and
points outs that [he]
is able to maintain an active lifestyle even with his symptoms. According
to a June
2009 examiner, apart from a mild impact on his feeding and toileting, [Mr.
Vulgamore's] activities of daily living are not limited by his digestive
disability.
There is also no evidence, lay or medical, that [he] is unemployable by
virtue of his
service-connected hemorrhoids disability, which is evaluated as 0[%]
disabling.
R. at 22. Not only does this discussion leave out post-traumatic stress
disorder in considering
whether the combination of Mr. Vulgamore's service-connected disabilities
renders him
unemployable, but the Board also failed to acknowledge the absence of
medical evidence that
evaluates Mr. Vulgamore's employability comprehensively. That is, at
various times, various VA
examiners have stated that a particular disability does not render Mr.
Vulgamore unemployable, yet
VA has obtained no medical opinion that considers whether the effects of
all of Mr. Vulgamore's
service-connecteddisabilitiescombined render him unemployable. This is
theessentialquestion the
In addition to the disabilities addressed in this decision, Mr. Vulgamore
also receives disability benefits for
tinnitus, rated 10% disabling, as well as hemorrhoids and hearing loss,
both rated noncompensable. R. at 21.
5
12
Board must answer, yet it attempts to do so in the absence of a medical
opinion that reaches this
issue. The Board's conclusion amounts to a finding that because no single
disability renders Mr.
Vulgamore unemployable, the cumulative effect of those individual
disabilities must also not render
him unemployable. This is not permitted. Accordingly, the
CourtconcludesthattheBoard's reasons
or bases are inadequate, and remand is therefore warranted. See Tucker v.
West, 11 Vet.App. 369,
374 (1998).
On remand, the Board will obtain a medical opinion or examination that
specifically
considers whether the combination of the effects of Mr. Vulgamore's
service-connected disabilities
renders him unable to obtain and maintain substantially gainful employment.
As noted above, Mr.
Vulgamore is free to submit additional evidence and argument on this issue.
See Kay, 16 Vet.App.
at 534; Kutscherousky, 12 Vet.App. at 372-73.
D. Reasonably Raised Claims
Finally, Mr. Vulgamore argues that the Board erred in not adjudicating
reasonably raised
claims for benefits for bipolar disorder and depression. He asserts that,
because the June 2009 VA
post-traumatic stress disorder examiner attributed many of his symptoms to
bipolar disorder and
depression, the Board was required to adjudicate claims for those
conditions. The Court disagrees.
First, Mr. Vulgamore's reliance on Clemons v. Shinseki, 23 Vet.App. 1 (
2009), is misplaced.
In that case, a self-represented appellant filed an initial claim for
benefits for post-traumatic stress
disorder that was denied based on a lack of a current diagnosis of that
condition. The Board,
however, failed to consider whether the claimant was entitled to benefits
for schizoid personality
disorder, a distinct mental disorder with which he had been previously
diagnosed. The Court, citing
the well-established rule that a layperson is generally not competent to
provide a medical diagnosis,
explained that VA "should construe a claim based on the reasonable
expectations of the non-expert,
self-represented claimant and the evidence developed in processing that
claim."
Clemons,
23 Vet.App. at 5. Here, however, Mr. Vulgamore was not seeking initial
benefits for symptoms that
he thought were caused by post-traumatic stress disorder that turned out
to be caused by bipolar
disorder or depression; he had already been diagnosed with–and
compensated for–post-traumatic
stress disorder. Mr. Vulgamore's claim was denied because his already
diagnosed and service-
connected post-traumatic stress disorder had not worsened, not because the
Board improperly
13
narrowed the scope of his claim. That Mr. Vulgamore suffers from bipolar
disorder and depression
is irrelevant to the question of whether his post-traumatic stress
disorder has worsened.
Further, the mere existence in the medical records of a diagnosis for a
condition for which
a claimant is not service connected is not sufficient to raise a new claim
for benefits for that
condition. Criswell v. Nicholson, 20 Vet.App. 501, 504 (2006) ("The mere
existence of medical
records generally cannot be construed as an informal claim; rather, there
must be some intent by the
claimant to apply for a benefit."). Mr. Vulgamore fails to identify any
evidence in the record
indicating that he sought VA benefits for his bipolar disorder or
depression, or that he, or anyone on
his behalf, submitted a written document expressing his intent to seek
benefits for those conditions.
See Brokowski v. Shinseki, 23 Vet.App. 79, 85 (2009) (citing Brannon v.
West, 12 Vet.App. 32, 35
(1998) (to file a claim, a "claimant must submit a written document
identifying the benefit and
expressing intent to seek it"); see also Criswell, 20 Vet.App. at 504. In
the absence of Mr.
Vulgamore having submitted a claim for those conditions, it was not error
for the Board not to
address them.6
See Robinson v. Peake, 21 Vet.App. 545, 53 (2008) (holding that the Board
is
required to consider all issues raised by the claimant or reasonably
raised bythe evidence of record).
To the extent that Mr. Vulgamore relies on the June 2009 VA examiner's
discussion of his
bipolar disorder and depression as creating a duty for the Board to
adjudicate claims for those
conditions, the Court is unpersuaded. Mr. Vulgamore's claim was one for an
increased disability
rating for post-traumatic stress disorder. As such, the current level of
symptoms caused by that
condition was of primary importance both to the June 2009 VA examiner and
to the Board. See
Francisco v. Brown, 7 Vet.App. 55, 58 (1994) (holding that in claims for
an increased disability
rating, the current level of disability is the primary concern). The VA
examiner was directed to
undertake a post-traumatic stress disorder examination to determine the
current level of severity of
Mr. Vulgamore's post-traumatic stress disorder and to opine as to whether
that condition rendered
Moreover, the record reveals that Mr. Vulgamore was diagnosed with bipolar
disorder and depression at least
as early as 2000, five years before he sought an increased disability
rating for post-traumatic stress disorder, yet he never
sought VA benefits for those conditions and only raises the possibility of
unadjudicated claims for those conditions for
the first time on appeal. R. at 1235-36. It is also worth noting that Mr.
Vulgamore does not argue in his briefs, or cite
any evidence in the record that supports the assertion, that his bipolar
disorder or depression are related to service.
6
14
him unemployable. See R. at 66, 129. The examiner was under no duty to
determine the severity
or etiology of any other condition.
In light of this discussion, the Court concludes that it was not error for
the Board to not
consider claims for benefits for bipolar disorder and depression. Mr.
Vulgamore remains free to file
claims for those benefits should he so desire.
E. Final Matter
The Court notes that the parties' briefs repeatedly refer to a "claim for
service connection."
As the Court explained in Hillyard v. Shinseki, the use of this term is
inexact, and therefore
is–although prevalent in the Court's cases, as well as those of the
United States Court of Appeals for
the Federal Circuit–disfavored. 24 Vet.App. 343, 355 (2011). The Court
urges the parties to
practice precision in language in future briefs.
III. CONCLUSION
Upon consideration of the foregoing, those portions of the November 27,
2009, Board
decision that denied entitlement to an increased disability rating for
post-traumatic stress disorder
and to a total disability rating based on individual unemployability are
VACATED and the matters
are REMANDED for further development and readjudication consistent with
this decision. The
remainder of the Board decision is AFFIRMED.
DATED: September 14, 2011
Copies to:
Nicholas L. Phinney, Esq.
VA General Counsel (027)
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