Showing posts with label 557 F.3d 1362. Show all posts
Showing posts with label 557 F.3d 1362. Show all posts
Friday, October 12, 2012
Single Judge Application, Horn, 25 Vet.App. at 236; Presumption of Soundness
Excerpts from decision below:
"The presumption of soundness relates to the second service-connection element–the showing of an in-service incurrence or aggravation of a disease or injury. Holton v. Shinseki, 557 F.3d 1362, 1367 (Fed. Cir. 2009); Horn, 25 Vet.App. at 236.
Pursuant to the second element, a claim must be based either on an injury
or disease incurred in service or an injury or disease aggravated in service."
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"As this Court recently held in Horn, the second service connection element is satisfied where the first presumption of soundness rebuttal prong is not satisfied (clear and unmistakable evidence of a preexisting condition) or the second prong is not satisfied (clear and unmistakable evidence of no in-service aggravation of the preexisting condition) and there is "any occurrence of injury or disease during service." Horn, 25 Vet.App. at 236. In Horn, the Court held that an unexplained conclusion or medical judgment on a service medical examination board (MEB) report, without more, cannot constitute clear and unmistakable evidence of lack of aggravation to rebut the presumption of soundness. Id. at 240-43."
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Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 11-1377
ALDO P. MAESTRI, APPELLANT,
V.
ERIC K. SHINSEKI,
SECRETARY OF VETERANS AFFAIRS, APPELLEE.
Before MOORMAN, Judge.
MEMORANDUM DECISION
Note: Pursuant to U.S. Vet. App. R. 30(a),
this action may not be cited as precedent.
MOORMAN, Judge: The appellant, through counsel, appeals from a March 17,
2011,
decision of the Board of Veterans' Appeals (Board) that denied entitlement
to service connection for
a back disability and a bilateral foot disability. Both parties filed
briefs. The appellant argues that
the Board erred in applying the presumption of soundness, and the
Secretaryconcedes that the April
2005 VA medical examination report regarding the appellant's spine is
deficient ("equivocal")
because the examiner essentially required that the asserted in-service
incident causing injury be
verified in the medical records. The Secretary advocates a remand of the
back disability claim and
an affirmance of the Board denial of service connection for the
appellant's foot disabilityclaim. This
appeal is timely and the Court has jurisdiction over the appeal pursuant
to 38 U.S.C. § 7252(a).
Single-judge disposition is appropriate. Frankel v. Derwinski, 1 Vet.App.
23, 25-26 (1990). For
the reasons set forth below, the Board's March 2011 decision will be
vacated in part and both claims
will be remanded for correct implementation of the presumption of
soundness under HornNext Hit v.
Shinseki, 25 Vet.App. 231 (2012), and further development consistent with
this decision.
I. FACTS
The appellant served on active duty in the U.S. Army from April 1944 to
November 1944.
Record (R.) at 491. The appellant's entrance examination, of which only an
incomplete copy was
obtained because his records were presumed destroyed byfire (R. at 10),
noted no mental or physical
defects and described the appellant's feet as normal. R. at 262-63. A May
1944 service medical
record (SMR) noted that the appellant complained of having pain in his
back and feet for manyyears
and no history of injury or treatment. R. at 255. On his November 1944
separation examination
report, the appellant noted, in the section of the report entitled "
STATEMENT AND MEDICAL
HISTORY OF EXAMINEE," "backache[,] 5-6 yrs. Never hospitalized" and "[w]
eak feet, 5 yrs.
Never hospitalized." R. at 253. In the same section of the report, the
appellant noted that both
conditions existed prior to service ("EPTS") and were aggravated by
military service ("AMS"). Id.
Although the examiner interpreted bilateral foot x-rays as normal (R. at
254), under the heading
"Feet"the examiner recorded: "metatarsalgia, bilateral, moderate [to]
severe, causeundetermined."
R. at 253. The examiner also indicated that there were no musculoskeletal
defects. Id. The
examiner answered "yes" in a box in response to the question, "In your
opinion does [the] individual
meet physical and mental standards for discharge?" R. at 253. The cause of
separation is noted as
"Below minimum physical standards for induction with no suitable
assignment." R. at 257.
In April 1986, the appellant filed claims for service connection for a
back condition and a
bilateral foot condition. R. at 988-91. The regional office (RO) denied
the claims in May 1986.
R. at 986-87. The appellant filed a timely Notice of Disagreement the
following month (R. at 981-
82), but did not file a Substantive Appeal after the RO issued a Statement
of the Case in July 1986
(R. at 977-80).
In July 2002, the appellant requested that his claims be reopened. R. at
904-18. The RO
determined that new and material evidence had not been presented to reopen
his claims for service
connection for back and bilateral foot conditions. R. at 857-60. The
appellant perfected an appeal.
R. at 824-25, 848. The Board remanded the appellant's claims in June 2004.
R. at 804-13.
The appellant underwent a VA spine examination in April 2005. R. at 714-16.
Theappellant
complained of pain in the low back and reported that a tree fell on his
tent in basic training and that
2
he was hit on the head and left shoulder. R. at 715. Spine x-rays
revealed degenerative disc disease
at multiple levels. R. at 716. The examiner opined:
On relation of service connection to back, there appears to be a wide
difference
between the patient's history and the patient's medical records. I also
note the results
of a psychiatric examination on this question in the past. If the
patient's history is
regarded without reference to the records, then he has a claim that he
developed back
pain from the time of the injury occurring in basic training and it has
been present
until the present time. If the records are to be believed, then the [
appellant] had a
pre-existing back pain and there is no service record of exacerbation.
Again if the
medical records and the prior investigations are to be considered, then it
is not as
likely as not that [his] current complaints of pain in his back and his
diagnosis of
degenerative disc disease are service connected.
Id.
The appellant also underwent a VA foot examination in April 2005. R. at
708-09. He
complained of bilateral foot pain and that he could not walk due to foot
and back pain. R. at 708.
The appellant denied any overt history of foot trauma. R. at 708. The
physical examination of the
appellant's feet demonstrateddiscomfort,pain,andstiffnessin
themetatarsalheadsandhammertoes.
Id. Bilateral foot x-rays revealed foot arthritis and hammertoes, right
worse than left. R. at 709. The
examiner opined that the appellant's claims file did not reveal that
arthritis or hammertoes were
present before service, had their onset during service, or were caused by
any incident in service. Id.
She further opined that the claims file did not reveal that the appellant "
sustained anysymptoms that
were permanent or worsening of his condition [while in service]." Id. She
therefore opined that the
appellant's "[c]urrent foot disability was most likely a natural
progression." Id.
In June 2007, the Board reopened the appellant's claims for service
connection for back and
bilateral foot disabilities and denied the claims on the merits. R. at 498-
512, 514. In October 2008,
the Court remanded the Board's 2007 decision pursuant to a joint motion
for remand. R. at 455, 456-
62. The Board remanded the appellant's claim for the RO to obtain the
appellant's Social Security
Administration (SSA) records in February 2009. R. at 430-35. In October
2009, the Board again
denied the appellant's claims. R. at 145-57. In October 2010, the Court
remanded the Board's 2009
decision pursuant to a joint motion for remand. R. at 53, 61-66. On March
17, 2011, the Board
denied the appellant's claims. R. at 3-16.
3
This appeal followed. Subsequent to the filing of briefs, the appellant
filed a notice of
supplemental authorities on June 22, 2012, informing the Court of its
decision in Previous HitHornNext Hit, supra.
II. ANALYSIS
TheBoardfoundthepresumptionofsoundnessapplicableto theappellant's
claimsfor a back
disability and a bilateral foot disability, due to the factual finding
that there is no documented
notation of such disabilities upon the appellant's entrance to service. R.
at 10-11; see 38 U.S.C.
§ 1111. The parties do not dispute this finding. The Board further found
that the presumption of
soundnesswasnot rebuttedbecause clear and unmistakable evidencedid
notdemonstratethataback
or foot disability preexisted service. R. at 11-12. The Board accordingly
found that the appellant's
claim was one based on incurrence of an injury or disease in service. R.
at12 (citing Wagner v.
Principi, 370 F.3d 1089, 1094-96 (Fed. Cir. 2004).
Inconsideringserviceconnection in this regard,theBoardnotedthe appellant's
assertion that
his current disabilities stem from injuries he suffered in service when he
was struck by a falling tree
branch during a hurricane. R. at 12. The Board determined, however, that,
even accepting the
appellant's description ofthis incidentascredible,
therewasinsufficientmedicalevidence of a nexus
between the appellant's current conditions and service. R. at 12-14. The
Board relied on the 2005
VA foot and spine medical opinions, which it found were adequate for
purposes of determining
service connection. Id.
The appellant argues, in part, that the Board erred in finding that there
was no clear and
unmistakable evidence that his back and bilateral foot conditions
preexisted service. Appellant's
Brief (Br.) at 12-18. The appellant also argues that his preexisting
conditions were aggravated by
serviceandthatthe2005 VA medical opinions with respect to these conditions
wereinadequatewith
respect to the issue of aggravation. Appellant's Br. at 17, 22-25; R. at
708-09, 714-16.
While the appellant does not clearly express the legal consequences that
he believes flow
from these arguments, he cannot be arguing that the presumption of
soundness has been rebutted
because such rebuttal would defeat his claims. Generally, to establish
service connection for a
present disability, "the veteran must show: (1) the existence of a present
disability; (2) in-service
incurrence or aggravation of a disease or injury; and (3) a causal
relationship between the present
4
disability and the disease or injury incurred or aggravated during
service." Shedden v. Principi,
381 F.3d 1163, 1166-67 (Fed. Cir. 2004). The presumption of soundness
relates to the second
service-connection element–the showing of an in-service incurrence or
aggravation of a disease or
injury. Holton v. Shinseki, 557 F.3d 1362, 1367 (Fed. Cir. 2009); Previous HitHornNext Hit, 25
Vet.App. at 236.
Pursuant to the second element, a claim must be based either on an injury
or disease incurred in
service or an injury or disease aggravated in service. Aggravation can
only be shown if the disease
or injurypreexisted service. Wagner, 370 F.3d at 1093 (noting that
aggravation claims are premised
on the existence of a preexisting injury). "The presumption of soundness
strongly favors the
conclusion that any occurrence of injury or disease during service
establishes that the in-service
medical problems were incurred in the line of duty, that is, during active
service and not as a result
of the service member's own misconduct." Previous HitHornNext Hit, 25 Vet.App. at 236.
The statutory presumption of soundness provides that when no medical
condition is noted
upon a wartime veteran's entryinto service, the veteran is presumed to
have been in sound condition
upon entry to service, subject, however, to rebuttal. 38 U.S.C. § 1111;
Wagner, 370 F.3d at 1093.
The presumption can be rebutted where the Secretary meets his burden to
show that clear and
unmistakable evidencedemonstratesthatacondition both preexisted
serviceandwasnot aggravated
by service. Id. at 1096. Where, as here, the Board specifically found that
the presumption of
soundness applies and has not been rebutted, we do not interpret the
appellant's brief as arguing that
the presumption of soundness is rebutted.
Becausethepresumptionofsoundnessis not rebutted,
theappellant'sclaimcanonlybebased
on incurrence of an injuryor disease in service, as opposed to in-service
aggravation of a preexisting
condition. This is true even if, as the appellant argues, he has a
preexisting condition but rebuttal
of the presumption of soundness fails. The Board correctly recognized that
the court in Wagner
explained that, in this circumstance, section 1111 has the effect of
converting a claim based on
aggravation into a claim based on incurrence. R. at 12; Wagner, 370 F.3d
at 1096 (holding that
38 U.S.C. § 1111 "essentially had the effect of converting an aggravation
claim into one for
[incurrence] where the government [fails to] show a lack of aggravation of
a preexisting condition
5
byclear and unmistakable evidence.")1
; seealso Joycev.Nicholson,443F.3d.845,847-48(Fed. Cir.
2006) ("Our decision in Wagner made clear that, under the wartime service
regime, there is onlyone
claim for a disability not noted upon entry - a claim for [incurrence].").
Here, the Board's implicit finding that the appellant's service from April
1944 to November
1944 was during wartime is not challenged by the parties. See 38 C.F.R. §
3.2(d) (2012)
(designating the World War II period of war from December 7, 1941, through
December 31, 1946).
Further, the parties do not dispute the Board's finding that neither a
foot nor a back condition was
noted upon the appellant's entryinto service and its determination that
the presumption of soundness
therefore applies. R. at 10-11. The Board's conclusion in this regard is
not undermined by the fact
that the record contains only part of the appellant's entrance examination
and that the remainder may
have been destroyed by fire. See Quirin v. Shinseki, 22 Vet.App. 390, 397
n.5 (2009) (it would be
purelyspeculativetosuggestthatanydestroyedrecordscontainevidenceofapreexis).
Under the circumstances here, where the Board found that the presumption
of soundness has
not been rebutted, and the SMRs and service separation examination report
show the existence of
an injury or disease, the appellant is entitled to the benefit of the
presumption of soundness, i.e., the
establishment of an in-service incurrence of a back and foot condition.
As this Court recentlyheld in Previous HitHornNext Hit, the second service connection
elementis satisfied where
the first presumption of soundness rebuttal prong is not satisfied (clear
and unmistakable evidence
of a preexisting condition) or the second prong is not satisfied (clear
and unmistakable evidence of
no in-service aggravation of the preexisting condition) and there is "any
occurrence of injury or
disease during service." Previous HitHornNext Hit, 25 Vet.App. at 236. In Previous HitHornNext Hit, the Court held
that an unexplained
conclusion or medical judgment on a service medical examination board (MEB)
report, without
The U.S. Court of Appeals for the Federal Circuit used the term "service-
connected disability" here. However, the
court clearly was referring to a claim based on service incurrence of an
injury or disease. At the outset of its analysis,
the court noted the statutory definition of "service-connected" as a
disability that was "incurred or aggravated" in the line
of duty. Wagner, 370 F.3d at 1093. It then stated: "In other words, a
claim may either be for a service-connected
disability or for aggravation of a preexisting disease or injury." Id. The
court explained: "For sake of convenience, we
use the term "service-connected" herein to refer to a disability that is
wholly service-connected, as opposed to an
aggravation claim." Id. at n.5. The court elaborated on its concept of "
wholly service-connected" later in its decision:
"This means that no deduction for the degree of disability existing at the
time of entrance will be made if a rating is
awarded." Id. at 1096. In Joyce v. Nicholson, this Court interpreted the
Wagner decision similarly, stating that if the
presumption of soundness applies, "then 'the veteran's claim is one for
service connection [based on incurrence in
service].'" 19 Vet.App. 36, 46 (2005) (alteration in original) (quoting
Wagner, 370 F.3d at 1096).
1
6
more, cannot constitute clear and unmistakable evidence of lack of
aggravation to rebut the
presumption of soundness. Id. at 240-43. There, the induction examination
report contained no
notation of a hip condition or other defect of the lower extremities, an
SMR noted hip pain during
the first three weeks of training, and the MEB report stated that the
veteran was medically fit for
retention under then-current medical fitness standards but diagnosed Legg-
Calve-Perthes disease,
indicating with an "X" that the condition existed prior to service and was
not aggravated by active
duty and recommended separation from service "for Convenience of the
Government." Id. at 233-
34. In Previous HitHornNext Hit, as here, the Secretary did not meet its burden to satisfy the
standard required for
rebutting the presumption of soundness statute.
There is a notation in Mr. Maestri's SMRs that he was being seen for
current complaints
("cc.") of pain in his feet and back and that he had "pain in feet and
back for many years" but had
no "inj[ury]" and no treatment. R. at 255 (May 1944 SMR). The examiner's
findings included
"tenderness over both heels" and other notations that are illegible but
refer to his inside heels and his
back. Id. A November 1944 "Report of Physical Examination of Enlisted
Personnel Prior to
Discharge,ReleasefromActiveDutyorRetirement,"
whichwascompletedapproximately7months
after the appellant's entry into service, reflected that the appellant
reported "backache – 5-6 years.
Never hospitalized" and "weak feet, 5 yrs. Never hospitalized." R. at 253.
On the same form, the
examiner noted that the appellant met the physical and mental standards
for discharge. Id. And,
although no musculoskeletal defects were noted, the examiner reported, as
to the appellant's feet,
"metatarsalgia, bilateral, moderate to severe, cause undetermined." Id. A
November 1944 "Report
of Separation" noted the cause of separation as: "Below minimum physical
standards for induction
with no suitable assignment." R. at 257.
The appellant submitted a post-service statement asserting that he was in
excellent health
prior to military induction and disputing the notations on service medical
records reflecting that he
reported having back and feet problems for 5 to 6 years. R. at 695.
Another statement of the
appellant noted that he developed back and feet problems while in service
and that he was "100%
fit and healthy" when he entered service. R. at 981. VA medical
examination notes reflected that
appellant reported experiencing pain in his feet while walking during
training but denying any overt
history of foot trauma. R. at 708.
7
With respect to incurrence of an injury or disease in service, the Board
noted that "the
Veteran attributes his current back and bilateral foot disabilities to
injuries he suffered during
training and when struck by a falling tree branch during a hurricane in
service." R. at 12. The Board
stated: "[E]ven if the Board was to accept, as credible, the Veteran's
description of in-service injury,
the claims must be denied on the basis of medical nexus to service." R. at
12. Regardless of
credibility, because the appellant is entitled to the benefit of the
presumption of soundness and there
is some evidence of an in-service incurrence of injury, he has established
the second element of both
his service connection claims.2
Regarding whether the evidence establishes that the appellant's current
back and foot
disabilities are related to service, the Board erred in requiring that
there be a diagnosed in service
either a "back or foot disability" or a "diagnosed pathology underlying
the Veteran's complaints."
R. at 13. The Board stated: "Significantly, as indicated, no actual back
or foot disability was then
shown; and, as noted, complaints of pain alone, do not constitute a
disabilityfor VA purposes." R. at
13. This statement is contrary to application of the presumption of
soundness to this case that
entitles the appellant to having established an in-service incurrence for
both his back and foot
conditions. There is nothing to preclude a medical examiner from
establishing that the appellant's
current problems with his back and feet are related to the pain and injury
that have been established
as being incurred in service. The Board confused the issue of whether the
appellant has a current
"disability" with the issue of whether the appellant incurred an injury or
disease in service. And, for
purposes of establishing service incurrence, the second element of a
service connection claim, a
"disability" in service is not required; an injury is sufficient. Moreover,
the Board was not free to
interpret the in-service medical notation of metatarsalgia as representing "
complaints of pain alone"
without supporting medical evidence. R. at 11; Colvin v. Derwinski, 1 Vet.
App. 171, 175 (1991)
(holding that the Board may not reject medical evidence in the record
based on its own
unsubstantiated medical conclusions).
The Court notes that the Board, in granting service connection in 2007 for
a head condition, accepted as a
factual finding the existence of the falling tree branch incident. R. at
498-512. Such a finding is consistent with service
incurrence of an event established through application of the presumption
of soundness for the appellant's feet and back.
2
8
In this regard, the Board also erred in using its aforementioned
statement to preclude finding
a nexus to service. The Board stated: "Hence, this evidence [(in-service
notations on SMRs and
establishedincurrence)]
cannotprovidepersuasivesupportforafindingthatsubsequentlydiagnosed
back and foot disabilities are medically related to service, to include on
the basis of in-service
aggravation of pre-existing problems (pain)." Id. This statement is a
medical conclusion that the
Board is not capable of making and violates the principle from Colvin that
the Board may not make
unsubstantiated medical conclusions.
Significantly, as argued by the appellant, the Board erred in relying on
the April 2005 VA
medical examination reports because they were inadequate. Appellant's Br.
at 25-28; R. at 14. The
Court agrees. The Court first notes that the Board summarily rejected the
appellant's argument that
the 2005 VA opinions were inadequate based solely on the Board's statement
that the appellant did
not present or identify "any contrary medical evidence or opinion that, in
fact, supports the claim."
R. at 14. The reason provided by the Board on this point is not apposite
or dispositive of the
argument made. If VA has provided a medical examination of the appellant,
pursuant to 38 U.S.C.
§ 5103A, VA is obligated to provide an adequate one. The Secretary's duty
to assist a claimant
includes, among other things, "providing a medical examination or
obtaining a medical opinion
when such an examination or opinion is necessary to make a decision on the
claim." 38 U.S.C.
§ 5103A(d)(1); 38 C.F.R. § 3.159(c)(4) (2012). "[O]nce the Secretary
undertakes the effort to
provideanexaminationwhendevelopingaservice-connectionclaim,evenifnot
statutorilyobligated
to do so, he must provide an adequate one or, at a minimum, notify the
claimant why one will not
or cannot be provided." Barr v. Nicholson, 21 Vet.App. 303, 311 (2007);
see also Bowling v.
Principi, 15 Vet.App. 1, 12 (2001)) (where an examination report is
inadequate, the Board should
remand the case to the RO for further development); Ardison v. Brown, 6
Vet.App. 405, 407 (1994)
(holding that an inadequate medical examination frustrates judicial review).
Here, the central question is whether it is as likely as not that the
appellant's current foot and
back disabilities are related to service. The 2005 VA medical examiners
failed to provide an opinion
as to the likelihood that the appellant's present back and bilateral foot
disabilities are causally related
to service, assuming that the appellant suffered an in-service incurrence
of injury to his feet and
back. See Previous HitHornNext Document, 25 Vet.App. at 244-45 (holding that the presumption of
soundness applied,
9
reversing the Board's finding that service did not aggravate the
veteran's preexisting Legg-Perthes's
disease, remanding for development on the other service-connection issues,
and remanding with the
direction that "any VA medical examiner(s) must assume that the appellant
aggravated his Legg-
Perthes's disease during service."); R. at 708-09 (April 2005 VA medical
report pertaining to feet);
R. at 714-16 (April 2005 VA medical report pertaining to the appellant's
back). As such, the Board's
finding that the 2005 VA medical examination reports are adequate and
probative is clearly
erroneous. See D'Aries v. Peake, 22 Vet.App. 97, 103 (2008) (noting that
whether a medical opinion
is adequate is a finding of fact, which the Court reviews under the "
clearly erroneous" standard).
The Court therefore vacates the Board's denial of service connection for
the appellant's
present back and foot disabilities and leaves undisturbed the Board's
favorable findings that the
presumption of soundness applied and was not rebutted. The Board is
directed to enter a finding that
the appellant had met the element of service incurrence for both a back
and foot injury. The Court
will remand for development on the other service-connection issues. On
remand, the Board and VA
medical examiner(s) must assume that the appellant incurred an injury to
his back and feet during
service.
On remand, the Board must consider all potential theories of service
connection, including
continuity of symptomatology, and account for the lay evidence of record.
See 38 U.S.C.
§ 7104(d)(1); 38 C.F.R. § 3.303(b) (2012). On remand, the appellant is
free to submit additional
evidence and argument on the remanded claims for entitlement to service
connection for disabilities
of the back and feet, which the Board must consider when readjudicating
his claims. See Kay v.
Principi, 16 Vet.App. 529, 534 (2002); Kutscherousky v. West, 12 Vet.App.
369, 372-73 (1999) (per
curiam order). The Board and the RO must provide expeditious treatment of
this matter on remand.
See 38 U.S.C. §§ 5109B, 7112.
III. CONCLUSION
Uponconsideration oftheforegoinganalysis, therecordonappeal,
theparties'pleadings, and
the March 17, 2011, Board decision, the Court leaves undisturbed the
Board's determination, with
respect to both claims for service connection for a back disability and
for a foot disability, that the
presumption of soundness, under 38 U.S.C. § 1111, is applicable and is
not rebutted. The Court
10
directs that the Board enter a finding of in-service incurrence of a back
and foot injury. The
remainder of the Board's decision is VACATED and the matters are REMANDED
for further
development consistent with this decision.
DATED: October 2, 2012
Copies to:
Virginia A. Girard-Brady, Esq.
VA General Counsel (027)
11
Friday, December 2, 2011
Single Judge Application, Presumption of Soundness Satisfies Second Shedden Requirement, Holton v. Shinseki, 557 F.3d 1362, 1367 (Fed. Cir. 2009); Maxson v. West, 12 Vet.App. 453, 460 (1999)
Excerpt from decision below:
"A claim for service connection must generally be supported by evidence
demonstrating "(1) the existence of a present disability; (2) in-service incurrence or aggravation of a disease or injury; and (3) a causal relationship between the present disability and the disease or injury incurred or aggravated during service." Shedden v. Principi, 381 F.3d 1163, 1166-67 (Fed. Cir. 2004). It is unclear from the examiner's report, and from the Board's reiteration,
which element was regarded as unproven."
==============================
"The presumption of soundness relates to the second Shedden requirement–the
showing of in-service incurrence or aggravation of a disease or injury. See Holton v. Shinseki, 557 F.3d 1362, 1367 (Fed. Cir. 2009); see also Maxson v. West, 12 Vet.App. 453, 460 (1999) (application of presumption satisfies incurrence or aggravation element). A claimant must show that he or she suffered from a disease or injury while in service. Holton, 557 F.3d at 1367. Thereafter, except for conditions noted at induction, the presumption of soundness ordinarily operates to satisfy the second element without further proof.
The Board made no finding whether the transient blindness is in any way
related to the
5
congenital conditions noted on the 2004 entrance examination. As the Board
acknowledged, the fact that one or more difficulties with vision were noted on the entrance examination does not mean that every vision problem that may have developed in service is attributable to a preexisting condition. See R. at 8 ("The [VA] examiner indicated that [the transient blindness] may not be congenital in nature, and may even be a symptom associated with explosions experienced by the Veteran during active service." R. at 8-9. Thus, the Court has no basis on which to conclude that the transient blindness was a preexisting condition noted on the entrance examination or that the in-service
manifestation of transient blindness was not to be regarded as an in-service disease or injury."
===============================================
----------------------------------------------------
Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 10-3209
THOMAS L. OTTO, II, APPELLANT,
v.
ERIC K. SHINSEKI,
SECRETARY OF VETERANS AFFAIRS, APPELLEE.
Before DAVIS, Judge.
MEMORANDUM DECISION
Note: Pursuant to U.S. Vet. App. R. 30(a),
this action may not be cited as precedent.
DAVIS, Judge: U.S. Army veteran Thomas L. Otto, II, appeals through
counsel from a June
15, 2010, Board of Veterans' Appeals (Board) decision that denied (1)
service connection for a right
eye disorder (2) a disability rating in excess of 30% for post-traumatic
stress disorder (PTSD) prior
to August 30, 2007, and in excess of 50% thereafter, and (3) a disability
rating in excess of 30% for
a skin disorder. The appellant expressly declined to challenge the Board's
assignment of a 50%
disability rating for PTSD after August 30, 2007, but appeals the decision
in all other respects. For
the following reasons, the Court will affirm in part and set aside in part
the Board's June 2010
decision, and remand three matters for further proceedings consistent with
this decision.
The appellant had active duty from March 2003 to December 2003, from
October 2004 to
January 2006, and from February 2009 to April 2010. Among the decorations
he received for this
service are the Purple Heart and the Combat Action Badge. The parties are
agreed that a physical
conducted in connection with his 2004 deployment to the Persian Gulf noted
that he had "scleral
cornea[1] and microphtalmos,"2
both of which areregarded as congenital defects. Record (R.)at 768.
The appellant has stated that he was in close proximity to three IED [
improvised explosive device] explosions on two separate occasions during service. See R. at 780.
Neither the Board nor the Secretary raises any challenge to these statements.
In June 2006 he submitted an application seeking service connection
benefits for a right eye
disorder and a skin condition. Later that same year he applied for service
connection benefits for
PTSD. A November 27, 2006, rating decision granted service connection for
PTSD, initially rated
as 30% disabling. A May15, 2008, ratingdecision granted serviceconnection
for"recurrentnodular
MRSA[3]
folliculitis," initially rated as 30% disabling. R. at 138.
I. ANALYSIS
A. PTSD Rating
In the decision here on appeal, the Board acknowledged that "VA treatment
records dated
after [a] November 2006 [VA] examination indicated that the Veteran's PTSD
symptoms had
intensified." R. at 12. The Board nevertheless chose August 30, 2007, the
date on which the
appellant was admitted to a VA hospital, as the effective date for the
increased disability rating of
50%.
The appellant argues that his PTSD symptoms did not suddenly worsen on
admission to the
VA hospital and that the Board's statement of reasons or bases for
selecting the hospital admission
date as the effective date was inadequate. The Secretary concedes that
this portion of the Board
decision "should be remanded for the Board to adequately address when
Appellant's PTSD
symptomatology increased." Secretary's Brief at 4.
After reviewing the evidence of record, the Court agrees with the
concession. See Allday v.
Brown, 7 Vet.App. 517, 527 (1995) (Board must provide a statement of
reasons or bases for its
In an examination report dated July 3, 2006, a VA examiner explained that "
the [appellant] was born blind
(scleral cornea) during the first 16 months of life[,] which resolved
spontaneously." R. at 768.
2
"Microphtalmos" is"a developmental defect causing moderate or severe
reduction insize of the eye. Opacities
of the cornea and lens, scarring of the retina and chroroid, and other
abnormalities may also be present." DORLAND'S
ILLUSTRATED MEDICAL DICTIONARY 1161 (32d ed. 2012) [hereinafter DORLAND'S].
3
1
"MRSA" is an acronym for "methicillin-resistant Staphlyococcus areus."
DORLAND'S at 1184.
2
decision to enablean appellant to understand the precise basis for its
decision and to facilitate review
in this Court). Accordingly, the Court will set aside the Board's
determination that the criteria for
a 50% disability rating were met only after August 30, 2007, for a more
rigorous examination and
discussion of the record evidence in the period after November 2006. See
38 U.S.C. § 5110(b)(2);
38 C.F.R. § 3.400(o)(2) (2011) (effective date of an award of increased
compensation may be up to
one year prior to receipt of an application for increased benefits).
B. Right Eye Condition
In his opening brief, the appellant argued that the Board's statement of
reasons or bases for
denying the right eye condition, which is difficulty in adjusting to
darkness when coming indoors
from bright light, was inadequate. He further argued that the Board
ignored evidence that this
condition is a symptom of traumatic brain Previous DocumentinjuryNext Hit (TBI), which should have
led the Board to develop
a claim for TBI.
The Secretary responded that in so arguing the appellant expressly
abandoned his claim for
an eye disorder. He further pointed out that the appellant filed a claim
for benefits for TBI after the
Board issued its decision here on appeal, which claim has been denied but
not yet appealed. He
asserts that the Court thereforedoes not have jurisdiction to address
anyarguments raisedin this case
pertaining to the right eye condition.
The claim presented to the Board in this case, however, was for "Right Eye
Transient
Blindness." R. at 808. Whether evidence of record indicating that this
phenomenon is a symptom
of TBI should have led the Board to develop a claim for TBI is an
interesting but now irrelevant
question. See Clemons v. Shinseki, 23 Vet.App. 1 (2009). Regardless of
whether the appellant ever
obtains service connection for TBI, however, he is entitled to
adjudication of his claim for the
condition manifested by the symptom of "right eye transient blindness,"
including the potential
effective date of that claim.
The Board relied on the July 2006 VA medical examination report with
respect to service
connection of the transient blindness. After noting the appellant's
involvement with two IED
incidents, the examiner, stated:
After careful review of the patient's claim file and the medical
literature, it is my
opinion that there is not sufficient information to answer if this [
problem with
adaption to dark is] related to the patient's service in the Middle East.
It is possible
3
that the patient has side effects siderosis (retained metals) although
there is not
evidence of any retained metal on examination today.
R. at 769-70. After obtaining a computerized tomography (CT) scan, however,
the examiner wrote
an addendum in which he further opined: "The patient does not have any
evidence of intraocular or
periocular foreign bodies. Therefore, it is my opinion that the patient
has no evidence of siderosis
and it is less likely than not that the veteran's visual problem is
related to his military service." R. at
770. The Board merely reiterated this report and concluded that the
evidence preponderated against
service connection because "no medical evidence of record . . . counters
the [July] VA examiner's
assertions." R. at 9.
A claim for service connection must generally be supported by evidence
demonstrating "(1) the existence of a present disability; (2) in-service incurrence or aggravation of a disease or injury; and (3) a causal relationship between the present disability and the disease or injury incurred or aggravated during service." Shedden v. Principi, 381 F.3d 1163, 1166-67 (Fed. Cir. 2004). It is unclear from the examiner's report, and from the Board's reiteration,
which element was regarded as unproven.
The Court may infer that the examiner regarded the retention of metal as
the most likely in-
service eye injury to account for the appellant's transient blindness.
Having performed a test to
eliminate that possibility, he leaped to the conclusion that there was no
link to military service.
There is no indication that the examiner considered injury to the portions
of the brain that process
visual information or any other possible injury or disease that could
cause the condition. Thus, it is
unclear that the examiner obtained sufficient facts to reach his principal
conclusion. Moreover, it
is unclear whether he thought there was no in-service injury or there was
no etiological link to an in-
service injury.
To the extent the examiner believed there was no in-service injury,
however, it is not clear
that such a conclusion would be consistent with the evidence of record. In
this case, there is
evidence that the appellant's right eye transient blindness manifested in
service. During the
demobilization process in Kuwait, on December 17, 2005, it was noted that
the appellant had
experienced "[right] eye transient blindness," and the examiner noted that
the "[s]oldier just now
decides to inform his unit that he has been experiencing some blindness
from dark areas to bright
4
areas. He has been a truck driver for the past 12 months in Kuwait and
Iraq." R. at 886. Without medical evidence it is not clear whether this in-service manifestation of transient blindness was due to or constituted a disease or injury.
Significantly, the examiner's discussion offered no etiological
explanation for the condition, and did not indicate he was even aware that the condition first manifested in service. This left the Board with no medical basis to evaluate and explain the occurrence of the transient blindness in
service.
To the extent that the Board based its conclusion on a lack of an in-
service injury the Board was required to consider the implications of the presumption of soundness. "Decisions of the Board shall be based on the entire record in the proceedings and upon consideration of all evidence and material of record and applicable provisions of law and regulation." 38 U.S.C. § 7104(a); see also Schafrath v. Derwinski, 1 Vet.App. 589, 593 (1991).
"[E]very veteran shall be taken to have been in sound condition when
examined, accepted,
and enrolled for service, except as to defects, infirmities, or disorders
noted at the time of the
examination, acceptance, and enrollment." 38 U.S.C. § 1111; see also 38 C.
F.R. § 3.304(b) (2011).
Therefore, when no preexisting medical condition is noted upon entry into
service, a veteran is
presumed to have been sound in every respect. See Wagner v. Principi, 370
F.3d 1089, 1096 (Fed.
Cir. 2004); Bagby v. Derwinski, 1 Vet.App. 225, 227 (1991). The burden
then falls on VA to rebut
the presumption of soundness by clear and unmistakable evidence that the
veteran's disability was
both preexisting and not aggravated by service. Wagner, 370 F.3d at 1096;
Bagby, 1 Vet.App. at
227.
The presumption of soundness relates to the second Shedden requirement–the
showing of in-service incurrence or aggravation of a disease or injury. See Holton v. Shinseki, 557 F.3d 1362, 1367(Fed. Cir. 2009); see also Maxson v. West, 12 Vet.App. 453, 460 (1999) (application of presumption satisfies incurrence or aggravation element). A claimant must show that he or she suffered from a disease or injury while in service. Holton, 557 F.3d at 1367. Thereafter, except for conditions noted at induction, the presumption of soundness ordinarily operates to satisfy the second element without further proof.
The Board made no finding whether the transient blindness is in any way
related to the
5
congenital conditions noted on the 2004 entrance examination. As the Board
acknowledged, the fact that one or more difficulties with vision were noted on the entrance examination does not mean that every vision problem that may have developed in service is attributable to a preexisting condition. See R. at 8 ("The [VA] examiner indicated that [the transient blindness] may not be congenital in nature, and may even be a symptom associated with explosions experienced by the Veteran during active service." R. at 8-9. Thus, the Court has no basis on which to conclude that the transient blindness was a preexisting condition noted on the entrance examination or that the in-service
manifestation of transient blindness was not to be regarded as an in-
service disease or injury. The Board must consider these issues on remand.
To the extent that the examiner believed there was no nexus between the
present transient blindness and anything that occurred in service–to include the in-service transient blindness– the examiner's reasoning is unsupported by medical reasoning. See Nieves-Rodriguez v. Peake, 22 Vet.App. 295, 301, 304 (2008).
Thus, the Board's statement of reasons or bases, which
amounted to a reiteration of the VA examination report, was inadequate to
evaluate the service connection question under the Shedden factors.
Furthermore, the examination report does not provide a medical basis for
the Board to evaluate the possibility of service connection by continuity of
symptomatology. See 38 C.F.R. § 3.303(b)(2011). Continuity of symptomatology may establish serviceconnection if a claimant can demonstrate that (1) a condition was "noted" during service; (2) there is postservice evidence of the same symptomatology; and (3) there is medical or, in certain circumstances, lay evidence of a nexus between the present disability and the postservice symptomatology. Barr v. Nicholson, 21Vet.App. 303, 307 (2007) (citing Savage v. Gober, 10 Vet.App. 488, 495-96 (1997)). "[S]ymptoms, not treatment, are the essence of any evidence of continuity of symptomatology." Savage, 10 Vet.App.
at 496.
In this case, the occurrence of transient blindness was noted in service.
There is also
postservice medical evidence of the same symptomatology. The VA examiner
offered no opinion,
much less any reasoned medical explanation, why there is no nexus between
his present disability
and the postservice symptoms of transient blindness. Indeed, the two
phenomena seem to be
identical. Thus, the Board had no medical evidence to assess continuity of
symptomatologyand did
6
not even discuss it.
For the foregoing reasons, the VA examiner's report was insufficient to
support the Board's
conclusions as to the right eye condition, rendering its statement of
reasons or bases inadequate. The
Court will therefore set aside its denial of service connection for the
right eye condition and remand
the matter for further development to support an adequate statement of
reasons or bases.
C. Skin Condition
In the decision here on appeal, the Board explained that the appellant's
skin condition was
rated by analogy to dermatitis or eczema. See 38 C.F.R. § 4.118,
Diagnostic Code (DC) 7899-7806
(2011). To obtain the next highest disability rating under DC 7806, the
Board noted, the evidence
would have to show that more than 40% of the entire body or more than 40%
of exposed areas were
affected. The Board referenced a December 2007 VA examination report
indicating that less than
1% of the appellant's body was affected by lesions and an August 2008 VA
examination report
indicating that none of the exposed areas of the body were affected. See R.
at 16.
The appellant does not challenge the Board's evaluation of the schedular
rating and the
Court's review of the record suggests no error. Therefore, the Court will
affirm the Board's
assignment of a 30% disability rating under DC 7806.
TheCourt is dissatisfied,however,with
theBoard'sdiscussionofanextraschedulardisability
rating for the condition. The purpose of extraschedular evaluation under §
3.321(b) is "[t]o accord
justice . . . to the exceptional case where the schedular evaluations are
found to be inadequate." 38
C.F.R. § 3.321(b)(1) (2011). "The governing norm in these exceptional
cases is: A finding that the
case presents such an exceptional or unusual disability picture with such
related factors as marked
interference with employment or frequent periods of hospitalization as to
render impractical the
application of the regular schedular standards." Id.
Although the Board does not have authority to assign an extraschedular
rating, it must
determine whether to refer a case for extraschedular evaluation whenever
the issue is raised, either
explicitly by the claimant or by the evidence of record. See Thun v. Peake,
22 Vet.App. 111, 115
(2008).
The Board's entire discussion of the matter was as follows: "Finally, the
Board finds an
extraschedular rating unwarranted here. Application of the regular
schedular standards is found
7
practicable in this matter. Hence the Board is not required to remand
this matter to the RO for the
procedural actions outlined in 38 C.F.R. § 3.321(b)(1) for assignment of
an extra-schedular
evaluation." R. at 16 (citations omitted).
TheCourt agrees with the appellantthattheforegoingdiscussion is
inadequateasastatement
of reasons or bases. The first question in consideration of referral for
extraschedular rating is
whether the schedular rating adequately contemplates the veteran's
disability picture. See Thun,
22 Vet.App. at 115. "Therefore, initially, there must be a comparison
between the level of severity
and symptomatology of the claimant's service-connected disability [and]
the established criteria
found in the rating schedule for that disability." Id.
The evidence of record indicates that the lesions from the appellant's
MRSA folliculitis can
reach softball size and appear on his thighs, buttocks, and groin. The
appellant indicates that "these
issues interfere with his abilityto work as a meter reader/custodian[,]
which requirehim to walk long
distances." R. at 248. The evidence further indicates that the appellant "
has had many episodes of
infected follicles" (R. at 255), including a hospital admission to treat a "
golf-ball sized abscess" on
the right upper thigh. R. at 256. On another occasion, the appellant was
seen in the emergencyroom
with a "large groin lesion that required incision and drainage." R. at 178.
A VA examination report
dated March 24, 2008, noted: "In the last year he [has] missed a total of [
one] month [of work]
because of his folliculitis. In addition he has had to leave work [early
on] 30-40 days . . . because
lesions would crop up." R. at 180.
As discussed above, DC 7806 assigns a schedular rating according to the
percentage of body
area covered by the skin condition, which suggests a cosmetic evaluation
that would interefere with
work only when the coverage becomes widespread. The Board does not explain
how these rating
factors reflect the type of localized lesions that interfere with basic
walking and riding activities.
Thesemanifestationsconstituteinterferencewith employment; whetherit
risesto thelevelofmarked
interference would be for the regional office to evaluate in the first
instance.
For the foregoing reasons, the Court concludes that the issue of
extraschedular rating under
38 C.F.R. § 3.321(b) requires further scrutiny and discussion. The Court
will therefore set aside the
Board's finding with respect to extraschedular rating and remand for
expanded treatment of that
issue.
8
II. CONCLUSION
On consideration of the foregoing, the Court AFFIRMS the Board's June 15,
2010, decision
with respect to its assignment of a 50% disability rating for PTSD after
August 30, 2007, and its
assignment of a schedular disability rating of 30% for the appellant's
service-connected MRSA
folliculits; SETS ASIDE the Board's denial of service connection for a
right eye condition, its
assignment of August 30, 2007, as the effective date of an increase in
disability for the appellant's
PTSD, andits findingthattheappellant's casedid not
warrantreferralforanextraschedulardisability
rating; and REMANDS these matters for readjudication.
On remand, the appellant will be free to submit additional evidence and
argument as to his
claims and the Board is required to consider any such evidence and
argument. See Kay v. Principi,
16 Vet.App. 529, 534 (2002). A final Board decision following the remand
herein ordered will
constitute a new decision that, if adverse, may be appealed to this Court
upon the filing of a new
Notice of Appeal with the Court not later than 120 days after the date on
which notice of the Board's
new final decision is mailed to the appellant. Marsh v. West, 11 Vet.App.
468, 472 (1998).
DATED: November 30, 2011
Copies to:
James G. Fausone, Esq.
VA General Counsel (027)
9
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