Thursday, December 27, 2012
Single Judge Application, Breniser v. Shinseki, 25 Vet.App. 64, 79 (2011); Post Hoc Rationalizations
Excerpt from decision below:
"The Secretary's contention, however, was not one of the bases the Board articulated for finding the veteran's assertions not credible. A post hoc rationalization is not a substitute for an adequate statement of reasons or bases.
See Breniser v. Shinseki, 25 Vet.App. 64, 79 (2011) (noting that
litigation positions "are not entitled to deference when they are merely appellate counsel's 'post hoc rationalizations' for agency action advanced for the first time in the reviewing court" (internal quotation marks omitted)). Besides, Mr. Bowers's argument is that his gallstones began to form approximately 6 to 12 years before his November 2007 surgery, that is, between 1995 and 2001. All the reports the Secretary cites, dated from 1976 to 1992, predate this period. See R. at 867, 893, 915, 917. Thus, it is not immediately clear that Mr. Bowers's claims of unreported, in-service symptoms are even inconsistent with his SMRs.
===========================
----------------------------------------------------
Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 11-3022
JOHN M. BOWERS, APPELLANT,
V.
ERIC K. SHINSEKI,
SECRETARY OF VETERANS AFFAIRS, APPELLEE.
Before BARTLEY, Judge. MEMORANDUM DECISION
Note: Pursuant to U.S. Vet. App. R. 30(a), this action may not be cited as precedent.
BARTLEY, Judge: Veteran John M. Bowers, who is self-represented, appeals
from a May
25, 2011, decision of the Board of Veterans' Appeals (Board), denying
entitlement to service
connection forcholecystitisandpostoperativeresidualsofgallbladderremoval.1
Record(R.)at4-16.
This appeal is timely, and the Court has jurisdiction pursuant to 38 U.S.C.
§§ 7252(a) and 7266(a).
Single-judgedisposition is appropriate. See Frankel v. Derwinski, 1 Vet.
App. 23, 25-26 (1990). For
the reasons set forth below, the Court will set aside that portion of the
May 2011 Board decision that
is on appeal, and remand the matter for readjudication consistent with
this decision.
I. FACTS
Mr. Bowers served on active duty in the U.S. Air Force from June 1981 to
January 2005. R.
at 486. His service medical records (SMRs) do not contain any diagnoses of,
or complaints related
to, gallbladder problems. R. at 674-1007. In medical history reports dated
July 1976 (R. at 915),
The Board remanded for additional development claims for increased
disability evaluations for degenerative
arthritis of the right knee, status-post arthroscopic surgery, currently
evaluated as 10% disabling, and chondromalacia
of the left patella, currently evaluated as 10% disabling. Record at 14-16.
These issues are not before the Court. See
Adams v. West, 13 Vet.App. 453, 454 (2000) (noting that the Court lacks
jurisdiction over a claim remanded by the
Board).
1
October 1980 (R. at 917), October 1985 (R. at 893), and April 1992 (R. at
867), he specifically
denied frequent indigestion, gallbladder problems, or gallstones. After
discharge in January 2005,
Mr. Bowers applied for veterans disability benefits for several conditions
but did not mention
problems relating to his gallbladder. R. at 659-68.
Then, in January2007, Mr. Bowers presented at the Air Force
AcademyHospital emergency
room with severe upper abdominal and bilateral mid-back pain. R. at 286,
344. Ultrasound
confirmed the presence of stones in the gallbladder. R. at 287; see also R.
at 234-39. The diagnosis
was cholelithiasis with bile duct calculi and cholecystitis.2
Id. At a followup visit three weeks later
in February 2007, Mr. Bowers advised the attending physician that he
wished to postpone any
surgery. R. at 282-83. After experiencing additional episodes of severe
upper abdominal pain,
however, he underwent a cholecystectomy, or surgical removal of the
gallbladder, in October 2007.3
R. at 225-27; see also R. at 35.
November 2007 postoperative notes indicate that "numerous" gallstones were
present and
measured up to 1.2 centimeters in diameter. R. at 261, 269. The walls of
the gallbladder showed
scar tissue, measuring up to .5 centimeters in thickness. R. at 223, 261.
The final diagnosis was
"acute and chronic cholecystitis with cholelithiasis." R. at 261. That
same month, Mr. Bowers filed
a claim for service connection of cholecystitis and partial removal of the
gallbladder and recounted
the foregoing medical history. R. at 344-45. Heelaborated in a December
2007 statement in support
of claim that, between 1999 and 2007, he experienced "[u]sually mild, but
occasionally moderate,
upper abdominal pain after eating a large/heavy meal," between eight and
ten times per year. R. at
205. However, the veteran assumed it was indigestion and treated these
incidents with over-the-
counter medications. Id.
In a March 2008 rating decision, the VA regional office (RO) denied his
claims for service
connection for cholecystitis and gallbladder removal because there was no
evidence demonstrating
a "plausible relationship" between these conditions and his military
service. R. at 190-95. Mr.
"Cholelithiasis" means "the presence of or formation of gallstones," which
are also known as calculi.
DORLAND'S ILLUSTRATED MEDICAL DICTIONARY 349 (32d ed. 2012) [hereinafter
DORLAND'S]; see also id. at 271
(defining "calculi" as "abnormal concretions . . . of mineral salts"). "
Cholecystitis" is an "inflammation of the
gallbladder." Id. at 348.
3
2
See DORLAND'S at 348.
2
Bowers filed a Notice of Disagreement (NOD) in April 2008 and attached
numerous relevant
treatment records. R. at 134-37, 142-61. In the NOD, he argued that the RO
failed to consider his
report of self-medicating during service, and the size of the recovered
gallstones and the thickness
of the gallbladder wall caused by long-term scarring. R. at 136. According
to the veteran, these
facts, takentogether,"indicate[d] along-termcondition
thatbeganduringmilitaryservice,but which
did not become severe enough to seek medical treatment until after
retirement." Id. More
specifically, in the NOD Mr. Bowers cited numerous medical treatises that
state that gallstones grow
at a rate of 1 to 2 millimeters per year. R. at 136-37. Based on this
growth rate and given that the
largest stones removed from his gallbladder in October 2007 were 1.2
centimeters (or 12
millimeters), he argued that the stones must have been developing before
his active duty terminated
in January 2005. Id. He also cited medical texts that said gallstones
could be developing for years
before they caused symptoms or observable problems. R. at 136.
The RO issued a Statement of the Case (SOC) in November 2008, and
continued to deny
service connection for cholecystitis and removal of gallbladder, stating
there was no evidence of a
nexus between these conditions and service. R. at 111-27. With respect to
the evidence Mr. Bowers
submitted regarding the growth rate of gallstones, the SOC noted only that,
although the presence
of gallstones is a condition entitled to presumptive serviceconnection,
thedisabilitydid not manifest
to a compensable degree within one year of discharge from service, so
service connection could not
be granted. R. at 127. The veteran appealed to the Board. R. at 82-83.
Testifying at a hearing before the Board in April 2011, Mr. Bowers
reiterated that during
service he treated what he thought at the time was indigestion with over-
the-counter medicine. R.
at 33; see also R. at 42. He once again shared his research about the rate
at which gallstones develop
and contended, based upon the size of the stones removed from this
gallbladder, that they must have
developed during service. R. at 33-36.
The Board issued the decision currently on appeal on May 25, 2011. R. at 4-
16. First, the
Board determined that VA had satisfied its duty to assist and that the
veteran was not entitled to a
medical nexus examination because "there [was] no credible evidence that [
the] pertinent disability
had its onset in service or is otherwise associated with active duty." R.
at 8. Next, although
acknowledging Mr. Bowers's claims of indigestion-like symptoms and back
pain during and after
3
service, the Board said his statements were not credible because there
was no mention of gallbladder
disease, gallstones, or cholecystitis in SMRs or postservice medical
records within a year of
discharge. R. at 11-12. Further, the Board stated: "It is not conceivable
that the [v]eteran had
unreported symptoms of cholelithiasis in service and continuously
following active duty. When
those symptoms were first reported in January 2007, the [v]eteran was in
the emergency room due
to their severity." R. at 12. Finally, with respect to Mr. Bowers's
argument, based on the medical
treatise evidence he cited, that his gallstones were developing during
service but did not cause
problems until after service, the Boardstatedsimplythathewas "not
competent to render a probative
opinion on a medical matter, such as the onset of gallstones, or of a
medical diagnosis or causation."
R. at 12. Moreover, the Board found that no competent evidence linked
postoperative residuals of
gallbladder removal to service; Mr. Bowers needed to present, the Board
concluded,
"contemporaneous service treatment records reflecting treatment or
diagnosis of abdominal pain or
gallbladder disease during service." R. at 13. This timely appeal followed.
II. ANALYSIS
Before this Court, Mr. Bowers argues that the Board failed to consider
properly the medical
treatise evidence that he offered. Appellant's Informal Brief (Br.) at 2.
He acknowledges that he
never sought treatment for a gallbladder condition during service or
within the year immediately
following servicebut contends that this does not mean that his
gallstoneswerenotdevelopingduring
service. Id., Attachment at 3. Indeed, he contends that the treatise
evidence he offered, in
conjunction with the evidence showing the size of the gallstones removed
during the 2007 surgery,
"clearly show that gallstones must have been growing while [he] was on
active duty." Id. The
Board, he asserts, misapplied 38 C.F.R. § 3.303 (2012) and used the
absence of any manifestation
of a gallbladder disorder within one year of service so as to avoid
considering the implications of the
evidence he submitted. Id. at 5-6. He asks that the Board be directed to
consider the size of his
gallstones at the time of his 2007 surgery and the medical treatise
evidence on the growth rate of
gallstones in general. Id. at 9.
The Secretaryargues in response that the Board's decision had a plausible
basis in the record.
Secretary's Br.at7-10. Further,theSecretarycontendsthattheBoard"
appropriatelyquestioned[Mr.
4
Bowers's] credibility." Id. at 10-11. Finally, despite acknowledging that "
the Board did not directly
address the medical treatise information in its decision by referring to
the actual articles," the
Secretarymaintains that Mr. Bowers was not prejudiced because the Board
did address his argument
that his gallstones must have formed while he was in service. Id. at 12.
But, according to the
Secretary, the Board rightly found that the veteran was not competent to
make such an argument.
Id. In any event, the Secretary argues, the medical treatises at issue "
only discuss the general
characteristics of gallstones and do not state with any certainty that [
the veteran's] gallstones would
have existed as [he] maintains." Id. at 13.
Mr. Bowers replies that, notwithstanding the Secretary's characterization
of the decision, the
Board did not address the treatise evidence he submitted. Reply Br. at 6-9.
He also takes issue with
how the Board determined he was not credible. Id. at 2-5.
The Court agrees with Mr. Bowers on every argument he presents.
Establishing service connection generally requires medical or, in certain
circumstances, lay
evidence of (1) a current disability; (2) an 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
McClain v. Nicholson, 21 Vet.App. 319, 320-21 (2007); see also Davidson v.
Shinseki, 581 F.3d
1313 (Fed. Cir. 2009). A finding of service connection, or no service
connection, is a finding of fact
reviewed under the "clearly erroneous" standard in 38 U.S.C. § 7261(a)(4).
See Swann v. Brown,
5 Vet.App. 229, 232 (1993). "A factual finding 'is "clearly erroneous"
when although there is
evidence to support it, the reviewing court on the entire evidence is left
with the definite and firm
conviction that a mistake has been committed.'" Hersey v. Derwinski, 2 Vet.
App. 91, 94 (1992)
(quoting United States v. U.S. Gypsum Co., 333 U.S. 364, 395 (1948)).
Additionally, the Board is required to include in its decision a written
statement of the
reasons or bases for its findings and conclusions on all material issues
of fact and law presented on
the record; that statement must be adequate to enable an appellant to
understand the precise basis for
the Board's decision, as well as to facilitate informed review in this
Court. See 38 U.S.C.
§ 7104(d)(l); Gilbert v. Derwinski, 1 Vet.App. 49, 56-57 (1990). To
comply with this requirement,
the Board must analyze the credibility and probative value of the evidence,
account for the evidence
that it finds persuasive or unpersuasive, and provide the reasons for its
rejection of any material
5
evidence favorable to the claimant. Caluza v. Brown, 7 Vet.App. 498, 507 (
1995); Gabrielson v.
Brown, 7 Vet.App. 36, 39-40 (1994). Cholecystitis and removal of
gallbladder are evaluated under
38 C.F.R. § 4.114, Diagnostic Codes 7314 and 7318 (2012), respectively.
A. Medical Treatise Evidence Regarding Growth Rate of Gallstones
First, the Court agrees with the veteran and the Secretary, see
Secretary's Br. at 12, that the
Board failed to discuss the medical treatise evidence offered by Mr.
Bowers. This Court has stated
that medical treatise evidence may be sufficient to establish nexus in
instances where "standing
alone, [it] discusses generic relationships with a degree of certainty
such that, under the facts of a
specific case, there is at least plausible causality based upon objective
facts rather than on an
unsubstantiated lay medical opinion." Wallin v. West, 11 Vet.App. 509, 514 (
1998) (quoting Sacks
v. West, 11 Vet.App. 314, 317 (1998)). The U.S. Court of Appeals for the
Federal Circuit has
likewise held that "in an appropriate case," medical treatises can
establish the nexus element of
service connection. Hensley v. West, 212 F.3d 1255, 1265 (Fed. Cir. 2000) ("
A veteran with a
competent medical diagnosis of a current disorder may invoke an accepted
medical treatise in order
to establish the required nexus; in an appropriate case it should not be
necessary to obtain the
services of medical personnel to show how the treatise applies to his case
.").
In this case, Mr. Bowers offered medical treatise evidence that placed the
growth rate of
gallstones at 1 to 2 millimeters per year, along with postoperative
records from November 2007
showing that he had gallstones as large as 1.2 centimeters. Certainly,
this is evidence that, if
credited,isfavorabletoMr.Bowers'sclaimforserviceconnection becauseit
woulddemonstratethat
stones began to form in his gallbladder while he was on active duty and
existed during service.4
As
such, the medical treatise evidence should have been discussed. Without
this discussion, the Board's
statement of reasons or bases for its decision is inadequate. See Caluza,
supra; see also Daves v.
Nicholson, 21 Vet.App. 46, 51 (2007).
Contraryto the Secretary's contentions, the Court is not persuaded that
the Board's failure to
discuss this evidence is harmless. See Shinseki v. Sanders, 556 U.S. 396,
406-07 (2009) (noting that
4
There are 10 millimeters in 1 centimeter, so the 1.2 centimeter gallstone
removed from Mr. Bowers's
gallbladder measures 12 millimeters. If the growth rate of gallstones is 1
to 2 millimeters per year, then at least one of
the veteran's gallstones began developing 6 to 12 years before its removal
in October 2007, that is, between 1995 and
2001, when Mr. Bowers was serving in the Air Force (R. at 486).
6
38 U.S.C. § 7261(b) requires this Court to take due account of the rule
of prejudicial error). The
Secretary asserts that the treatise evidence "do[es] not provide the
requisite specificity to relate that
[Mr. Bowers's] gallstones existed during service" because "they only
discuss the general
characteristics of gallstones." Secretary's Br. at 13. Therefore, the
Secretary maintains, the Board's
failure to discuss the treatise evidence is harmless error. If the Board
were permitted to dismiss
summarily treatise evidence on the basis that it is too general, however,
there would be no value in
ever submitting treatise evidence because most such evidence is
necessarily generic in that sense.
See 38 C.F.R. § 3.159(a)(1) (2012) ("Competent medical evidence means
evidence provided by a
person who is qualified through education, training, or experience to
offer medical diagnoses,
statements, or opinions. . . . [and] may also mean statements conveying
sound medical principles
found in medical treatises. . . . [and] statements contained in
authoritative writings such as medical
and scientific articles and research reports or analyses."). If credited,
the treatise evidence Mr.
Bowers submitted establishes that, as a general rule, gallstones grow at a
rate of 1 to 2 millimeters
per year. Applied specifically in Mr. Bowers's case, the treatise evidence
would show that his
gallstones developed while he was in service. Moreover, there is no
evidence to suggest that the
veteran's gallstones grew at a different rate or otherwise fell outside
the standard development time
line established in the medical treatises. The Board should have
considered and discussed the
treatise evidence that, if accepted, would seem to require little more
than the application of
arithmetic principles to establish service connection for the residuals of
gallstones. See Hensley,
supra.
Furthermore, even when medical articles or treatises are not, alone,
sufficient to establish
service connection, they "can provide important support when combined with
an opinion of a
medical professional." Sacks, 11 Vet.App. at 317. The Secretary has a
statutory duty to "make
reasonable efforts to assist a claimant in obtaining evidence necessary to
substantiate the claimant's
claim for a benefit." 38 U.S.C. § 5103A(a)(1). This duty includes the
obligation to obtain a medical
opinion or provide a medical examination "when such an examination or
opinion is necessary to
make a decision on the claim." 38 U.S.C. § 5103A(d)(1). VA must provide a
medical opinion or
examination if the evidence of record does not contain sufficient,
competent medical evidence to
decide the claim, but the following factors are present:
7
(1) [C]ompetent evidence of a current disability or persistent or
recurrent symptoms
of a disability, and (2) evidence establishing that an event, injury, or
disease occurred
in service or establishing certain diseases manifesting during an
applicable
presumptive period for which the claimant qualifies, and (3) an indication
that the
disability or persistent or recurrent symptoms of a disability may be
associated with
the veteran's service or with another service-connected disability.
McLendon v. Nicholson, 20 Vet.App. 79, 81 (2006); see also 38 C.F.R. § 3.
159(c)(4)(i).
The third requirement—that the evidence indicate that a condition "may
be associated" with
service—establishes a "low threshold." McLendon, 20 Vet.App. at 83. In
deciding whether a
medical opinion is necessary, the Secretary must 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). This Court reviews the Board's ultimate
conclusion that a medical opinion
is or is not necessary pursuant to section 5103A(d)(2) under the "
arbitrary, capricious, an abuse of
discretion, or otherwise not in accordance with law" standard of review.
McLendon, 20 Vet.App.
at 81 (citing 38 U.S.C. § 7261(a)(3)(A)).
The Board stated in the decision on appeal that "there is no credible
evidence that [the]
pertinent disability had its onset in service or is otherwise associated
with active duty" and thus
determined that a medical opinion or examination was not warranted. R. at
8. As discussed above,
the Board failed to acknowledge or discuss the medical treatise evidence
that Mr. Bowers submitted
to and highlighted before the Board. Without such discussion, there is no
indication that the Board
took "into consideration all information" in the record. 38 U.S.C. §
5103A(d)(2). In the Court's
view, the Board's decision not to seek a medical opinion in connection
with the medical treatise
evidence submitted in this case was an abuse of discretion and not in
accordance with the law.
McLendon, 20 Vet.App. at 81; see also Colvin v. Derwinski, 1 Vet.App. 171,
175 (1991) ("If the
medical evidence of record is insufficient, or . . . of doubtful weight or
credibility, the [Board] is
always free to supplement the record by seeking an advisory opinion,
ordering a medical
examination[,] or citing recognized medical treatises in its decisions
that clearly support its ultimate
conclusions."). If not sufficient on its face to establish service
connection, the medical treatise
evidence, coupled with the November 2007 postoperative findings in this
case, at least appears to
meet McLendon's low threshold for seeking a medical opinion on the
likelihood that Mr. Bowers's
gallstones and residual complaints are related to service. See McLendon,
supra.
8
TheSecretaryalsoasserts thattheBoard'sfailuretoaddressthemedicaltreatise
evidencewas
harmless because the Board addressed the substance of the medical treatise
evidence when it
considered Mr. Bowers's arguments that his gallstones must have formed
while he was in service.
Secretary's Br. at 12. This is not so. Although the Board acknowledged the
theorythat the veteran's
gallstones began to form during service, the Board said this contention
was "without merit" because
"[a]s a layperson, the [v]eteran is not competent generallyto render a
probative opinion on a medical
matter." R. at 12. Mr. Bowers, however, was not offering his own
subjective opinion as to the
growth rate of gallstones; he was repeating the data reported in
professional medical treatises he
submitted. Certainly, a layperson is competent to report information
provided by a medical
professional. Cf. Jandreau v. Nicholson, 492 F.3d 1372, 1377 (Fed. Cir.
2007) (holding that a
veteran is competent to repeat a medical diagnosis and report observable
symptoms). In labeling the
veteran's report of the growth rate of gallstones as incompetent lay
opinion, the Board avoided
addressing the substance of the medical treatise evidence Mr. Bowers
submitted, just as the Board
failed to address those treatises directly.
Thus, the Board's failure to address the medical treatise evidence that
was favorable to Mr.
Bowers was not harmless. See Sanders and Caluza, both supra. As such,
remand is warranted for
the Board to address this evidence initially, or after seeking a medical
opinion, if the Board
determines that one is necessary. See Tucker v. West, 11 Vet.App. 369, 374 (
1998) (holding that
remand is the appropriate remedy"where the Board has incorrectlyapplied
the law, failed to provide
an adequate statement of reasons or bases for its determinations, or where
the record is otherwise
inadequate"). And while the Board, rather than this Court, must address
the probative value of the
medical treatise evidence Mr. Bowers provided, the Court
cannotimagineunderwhat circumstances
such evidence would not be relevant and supportive of his claim for
service connection for
cholecystitis.
On remand, Mr. Bowers is free to submit additional evidence and argument
on his claims.
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). The Court has held
that "[a] remand is meant to entail a critical examination of the
justification for the decision."
9
Fletcher v. Derwinski, 1 Vet.App. 394, 397 (1991). In accordance with 38
U.S.C. § 7112 , the Board
must proceed expeditiously with this case on remand.
B. Lay Statements Regarding In-Service Symptoms
Although the Court need not address additional allegations of error once
it has determined
that a remand to the Board is warranted, the Court may address other
issues to provide further
guidance on remand. See Quirin v. Shinseki, 22 Vet.App. 390, 396 (2009).
The Board found that
Mr. Bowers's statements—that he suffered, both during and after service,
indigestion and episodes
ofupperabdominalpainradiatingtohis back—werenot credible. This
credibilitydetermination had
two bases. First, the Board found the absence of contemporaneous medical
records suggesting a
gallbladder disability probative. "The first evidence of pertinent
disability is in January 2007, after
discharge,"theBoardobserved,"with nomentionofahistoryofunreportedsymptoms
priorto then."
R. at 12. Second, the Board stated: "It is not conceivable that the [v]
eteran had unreported symptoms
of cholelithiasis in serviceand continuouslyfollowing active duty. When
those symptoms were first
reported in January 2007, the [v]eteran was in the emergency room due to
their severity." Mr.
Bowers challenges these credibility findings. Reply Br. at 2-6. Neither of
the Board's observations
is a permissible basis for rejecting Mr. Bowers's credibility.
First, the absence of contemporaneous medical records "does not, in and of
itself, render lay
evidence not credible." Buchanan v. Nicholson, 451 F.3d 1331, 1336-37 (Fed.
Cir. 2006).
Moreover, Mr. Bowers stated that he did not report upper abdominal
pain—which he thought was
indigestion—during service because he treated the problem with over-the-
counter products and his
symptoms were not that severe. See, e.g., R. at 205; see also R. at 35 ("I
didn't have real[ly] bad
symptoms until after my retirement."). The Board cannot find that the
veteran lacks credibility
simply because his SMRs do not document complaints or symptoms related to
a gallbladder
condition. See Buchanan, supra.
Second, the Board apparently found it incredible that Mr. Bowers could
experience mild or
no symptoms during service, where the symptoms, when first reported in
January 2007, were so
severe that he sought emergency treatment. It is not clear why the Board
was so dubious of the
notion that gallstones could generate little or no symptoms in the
beginning of their development but
severe symptoms later on. The Board may not rely on its own
unsubstantiated medical conclusions
10
but must rely on the medical evidence of record. See Colvin v. Derwinski,
1 Vet.App. 171, 172
(1991), overruled on other grounds by Hodge v. West, 155 F.3d 1356 (Fed.
Cir. 1998); see also
Kahana v. Shinseki, 24 Vet.App. 428, 434-35 (2011) (holding that the Board
erred in "making a
medical determination as to the relative severity, common symptomatology,
and usual treatment of
an . . . injury without citing to any independent medical evidence to
corroborate its finding"). Mr.
Bowers asserts that "gallstones are commonly asymptomatic for years."
Reply Br. at 5. And as he
did on the issue of gallstone growth rates, Mr. Bowers cited in his April
2008 NOD medical treatises
that support this contention. R. at 136 (quoting a medical text that reads
: "Their (gallstones)
development is insidious, and they may remain asymptomatic for decades.").
The Board also failed
to acknowledge and discuss this medical evidence, which would appear to
corroborate the veteran's
laystatements regarding the course of his condition. But even if Mr.
Bowers had not submitted such
medical evidence, the Board would not have been permitted to supply its
own medical opinion as
to how gallstones develop or when they might begin producing noticeable
symptoms. See Colvin,
supra.
The Secretarycontends that the Board permissiblydoubted Mr. Bowers's
credibilitybecause
his assertion that he experienced indigestion-like symptoms in service and
treated them with over-
the-counter products is inconsistent with medical history reports in which
he denied frequent
indigestion, gallbladder problems, or gallstones. Secretary's Br. at 9.
The Secretary's contention, however, was not one of the bases the Board articulated for finding the veteran's assertions not credible. A post hoc rationalization is not a substitute for an adequate statement of reasons or bases.
See Breniser v. Shinseki, 25 Vet.App. 64, 79 (2011) (noting that
litigation positions "are not entitled to deference when they are merely appellate counsel's 'post hoc rationalizations' for agency action
advanced for the first time in the reviewing court" (internal quotation
marks omitted)). Besides, Mr. Bowers's argument is that his gallstones began to form approximately 6 to 12 years before his November 2007 surgery, that is, between 1995 and 2001. All the reports the Secretary cites, dated
from 1976 to 1992, predate this period. See R. at 867, 893, 915, 917. Thus,
it is not immediately clear that Mr. Bowers's claims of unreported, in-service symptoms are even inconsistent with his SMRs.
11
Based on the nature of the medical evidence regarding gallstone growth
rates, the Board may
not need to evaluate the credibility of Mr. Bowers's lay statements
regarding the course of his
gallbladder condition. If, however, the Board does find it necessary to do
so, it must refrain from
discounting his credibility on erroneous bases such as those discussed
above.
III. CONCLUSION
Upon consideration of the foregoing, that portion of the May 25, 2011,
Board decision on
appeal is SET ASIDE and REMANDED for readjudication consistent with this
decision.
DATED: December 11, 2012
Copies to:
John M. Bowers
VA General Counsel (027)
12
Wednesday, December 5, 2012
Single Judge Application, Murray v. Shinseki, 24 Vet.App. 420, 423(2011); Separate Disability Ratings for Separate and Distinct Symptoms
Excerpt from decision below:
"In short, "[i]f the appellant's symptoms are 'distinct and separate,' then
the appellant is entitled to separate disability ratings for the various conditions." Murray v. Shinseki, 24 Vet.App. 420, 423(2011) (quoting Esteban, 6 Vet.App. at 262).
============================
----------------------------------------------------
Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 11-3509
ROBIN L. KERNS, APPELLANT,
V.
ERIC K. SHINSEKI,
SECRETARY OF VETERANS AFFAIRS, APPELLEE.
Before BARTLEY, Judge.
MEMORANDUM DECISION
Note: Pursuant to U.S. Vet. App. R. 30(a),
this action may not be cited as precedent.
BARTLEY,Judge: U.S. ArmyveteranRobinL.Kerns, whois self-represented,
appeals from
an August 15, 2011, Board of Veterans' Appeals (Board) decision that
denied entitlement to service
connection for (1) a right knee disorder; (2) memory loss and impaired
concentration, to include as
a chronic disabilityresultingfrom an undiagnosed illness; and (3) an
adjustment disorder, to include
as a chronic disability resulting from an undiagnosed illness.1
Record (R.) at 3-24. This appeal is
timely and the Court has jurisdiction to review the Board decision
pursuant to 38 U.S.C. §§ 7252(a)
and 7266(a). Single-judge disposition is appropriate. Frankel v. Derwinski,
1 Vet.App. 23, 25-26
(1990). For the reasons that follow, the Court will vacate the portion of
the August 2011 Board
decision addressing Ms. Kerns's claim for service connection for memory
loss and impaired
concentration and will remand that claim for readjudication consistent
with this decision. The Court
The Board also remanded theissuesof entitlement to(1)
serviceconnectionforshortnessofbreathandasthma,
to include as a chronic disability resulting from an undiagnosed illness; (
2) service connection for a menstrual disorder,
to include as a chronic disability resulting from an undiagnosed illness; (
3) an effective date prior to February 24, 2010,
for a 40% evaluation for fibromyalgia; and (4) an effective date prior to
March 7, 2007, for a total rating based on
individual unemployability (TDIU). Because a remand is not a final
decision of the Board subject to judicial review,
the Court does not have jurisdiction to consider those issues at this time.
See Howard v. Gober, 220 F.3d 1341, 1344
(Fed. Cir. 2000); Breeden v. Principi, 17 Vet.App. 475, 478 (2004); 38 C.F.
R. § 20.1100(b).
1
will affirm the Board's decision as to her claims for service connection
for right knee and adjustment
disorders.
I. FACTS
Ms. Kerns served on active duty for training from June 1990 to October
1990 and on active
duty from February 1991 to October 1991, including service in Southwest
Asia in support of
Operations Desert Shield and Desert Storm. R. at 4, 581. Following service,
she was awarded
service connection for a disabilitymanifesting in muscle, joint, and upper
back pain with fatigue and
a sleep disorder. R. at 1282-89.
In August 2005, Ms. Kerns filed a claim for service connection for, inter
alia, a right knee
disorder, memoryloss and impaired concentration, and an adjustment
disorder. R. at 991-1019. An
October 2005 VA progress note indicates that Ms. Kerns had a diagnosis "
most consistent with an
Adjustment Disorder related to her medical conditions." R. at 981.
Subsequent VA medical records
also contain diagnoses of an adjustment disorder due to or related to
physical pain. R. at 961, 963.
However, a January 2006 VA medical examination concluded that Ms. Kerns "
does not meet [the]
diagnostic criteriaforanypsychiatricdiagnosis"andexplained
thatherreportedsymptoms were"not
the result of any psychiatric disorder" and "may be attributable to her
medication" for treating her
fibromyalgia with fatigue. R. at 717. The following month, a VA physician
stated that Ms. Kerns's
knee pain was "part of her fibromyalgia and chronic pain with possible
superimposed arthritis." R.
at 312.
In the meantime, a VA regional office (RO) sent Ms. Kerns a letter
notifying her of the
evidence she needed to submit to substantiate her August 2005 claims for
direct and secondary
service connection. See R. at 943 (outlining the evidence needed "to
support [a] claim for
compensation based upon an additional disability that was caused or
aggravated by a service-
connected disability"), 944 (outlining the evidence needed "to support [a]
claim for service
connection").
In January 2007, the RO denied entitlement to service connection for a
right knee disorder,
memorylossandimpairedconcentration,andanadjustment disorderbecauseit
foundthatMs. Kerns
did not have a current knee or psychiatric disability that was compensable
for VA purposes. R. at
2
652-59. She filed a timely Notice of Disagreement (NOD) with that
decision and subsequently
perfected her appeal to the Board. R. at 198-99, 604-09.
In May 2007, Ms. Kerns underwent a VA medical examination, at which time
she
complained of muscle pain, joint pain and stiffness, difficulty sleeping,
abdominal cramping, and
irregular menses. R. at 224-25. The examiner opined that "[a]ll complaints
except sleep apnea
belong to a diagnosis of fibromyalgia." R. at 225. In June 2007, the RO
issued a decision
recharacterizing Ms. Kerns's service-connected disability manifesting in
muscle, joint, and upper
back pain with fatigue and a sleep disorder as fibromyalgia with fatigue.
R. at 200-11. The RO also
acknowledged that Ms. Kerns raised the issue of entitlement to TDIU and
deferred a decision on that
issue pendingthe receipt of a completed unemployabilityquestionnaire. R.
at 204. Laterthat month,
the RO issued a decision denying entitlement to TDIU. R. at 39.2
In October 2007, the RO denied
a claim for an increased evaluation for fibromyalgia with fatigue. Id. It
appears that Ms. Kerns
timely appealed that denial, as well as the RO's previous denial of
entitlement to TDIU, to the Board.
Id.
In October 2009, the Board issued a decision remanding the issues of
entitlement to service
connection for a right knee disorder, memory loss and impaired
concentration, and an adjustment
disorder; an increased evaluation for fibromyalgia with fatigue; and TDIU
for further development.
R. at 36-53. Pursuant to that remand order, Ms. Kerns underwent a VA
psychiatric examination in
February2010. R. at 446-52. Afterreviewingthe claims file, recording Ms.
Kerns's complaints, and
performing a mental status examination and other psychological tests, the
examiner concluded that
Ms. Kerns did "not meet the [Diagnostic and Statistical Manual of Mental
Disorders (DSM-IV)]
criteria for the diagnosis of an adjustment disorder or anyother
psychiatric disorder." R. at 451. The
examiner opined that Ms. Kerns reported "difficulty with her memory and
concentration, which, by
definition, is part of her already service-connected fibromyalgia." R. at
452. The examiner also
The Court notes that the record of proceedings does not contain a copy of
that decision and several other
documents related to the development and adjudication of Ms. Kerns's
entitlement to TDIU and an increased evaluation
for fibromyalgia with fatigue. The Secretary also did not provide that
information in his brief. Therefore, the procedural
history for those issues is largely derived from the summary of those
issues included in the October 2009 Board decision,
cited above.
2
3
explained that there were "not any psychiatric symptoms . . . that are
separate from [Ms. Kerns's]
already service-connected and diagnosed fibromyalgia." R. at 452.
It appearsthatMs. Kerns alsounderwentaVAjointsexamination in February2010,
although
that examination report is not contained in the record of proceedings. See
R. at 385 (RO summary
of the February 2010 VA joints examination). According to the RO, that
examination revealed an
increasein Ms. Kerns's fibromyalgiasymptoms, includingconstant,
refractoryjoint painandfatigue.
Id.
Based on that examination, the RO issued a November 2010 Supplemental
Statement of the
Case(SSOC) increasingthedisabilityevaluation
forfibromyalgiawithfatigueto40%,themaximum
schedular evaluation for that disability, and awarding entitlement to TDIU.
R. at 393-417. In
February 2011, the RO issued a decision review officer decision
implementing those awards. R. at
358-63, 382-90. The cover letter accompanying that decision instructed Ms.
Kerns to submit a
written NOD if she disagreed with that decision and to refer to the
enclosed VA Form 4107, Your
Rights to Appeal Our Decision, for more information on her right to appeal.
R. at 362-63. In April
2011, Ms. Kerns filed an NOD, stating that she wished to appeal the
effective dates assigned for the
increased evaluation for fibromyalgia with fatigue and the award of TDIU.
R. at 341-43.
In August 2011, the Board issued the decision currentlyon appeal, which
denied entitlement
to service connection for a right knee disorder, memory loss and impaired
concentration, and an
adjustment disorderandremandedtheissues
ofentitlementtoearliereffectivedatesforfibromyalgia
with fatigue and TDIU. Record (R.) at 3-24. The Board determined that Ms.
Kerns's claimed right
knee pain and psychiatric problems were symptoms of her service-connected
fibromyalgia with
fatigue, such that separatelycompensating those symptoms would violate the
regulatoryprohibition
against pyramiding. R. at 11-19. The Board also stated that "[s]he did not
argue [in her April 2011
NOD] that the 40[%] evaluation for fibromyalgia was inadequate" and "deem[
ed] that portion of her
appeal to be satisfied." R. at 21. This appeal followed.
4
II. ANALYSIS
A. Claims for Service Connection Currently on Appeal
As an initial matter, Ms. Kerns argues that VA did not inform her of the
information and
evidence necessary to establish secondary service connection for her
claimed right knee disorder,
memory loss and impaired concentration, and adjustment disorder.
Appellant's Brief (Br.) at 2.
However, as the Secretarycorrectlynotes, the record contains a January2006
pre-adjudication letter
from the RO that set forth the elements necessary to support a "claim for
compensation based upon
an additional disability that was caused or aggravated by a service-
connected disability." R. at 943.
Ms. Kerns has not explained how this notice was deficient or how she was
otherwise prejudiced by
it. See 38 U.S.C. § 7261(b)(2) (requiring the Court to "take due account
of the rule of prejudicial
error"); Shinseki v. Sanders, 556 U.S. 396, 409 (2009) (explaining that "
the burden of showing that
an error is harmful normally falls upon the party attacking the agency's
determination"). Therefore,
her argument must fail.
Ms. Kerns next argues that the Board failed to consider whether her right
knee disorder,
memory loss and impaired concentration, and adjustment disorder may be
service connected
secondary to her fibromyalgia with fatigue. See Appellant's Br. at 1-3.
She also challenges the
Board's finding that her claimed conditions are symptoms of her service-
connected fibromyalgia,
rather than separate disabilities related to it. See id. The Secretary
disputes her contentions and
asserts that the Board's findings are plausible based on the record and
supported by an adequate
statement of reasons or bases. See Secretary's Br. at 7-9. The Court will
address these arguments
separately with respect to each of Ms. Kerns's claimed disabilities.
1. Applicable Law
"Except as otherwise provided in [the rating] schedule, the disabilities
arising from a single
disease entity . . . are to be rated separately as are all other disabling
conditions, if any." 38 C.F.R.
§ 4.25(b) (2012). However, "[t]he evaluation of the same disability under
various diagnoses," a practice called pyramiding, "is to be avoided." 38 C.F.R. § 4.14 (2012).
The rationale for the prohibition on pyramiding is that "the rating schedule may not be employed as a vehicle for compensating a claimant twice (or more) for the same symptomatology; such a result would overcompensate the claimant for the actual impairment" suffered. Brady v. Brown, 4 Vet.App. 203,
5
206 (1993). When determining whether separate evaluations are warranted, "[t]he critical element is that none of the symptomatology for any . . . conditions is duplicative of or overlapping with the symptomatology of the other . . . conditions." Esteban v. Brown, 6 Vet.App. 259, 262 (1994). In short, "[i]f the appellant's symptoms are 'distinct and separate,' then the appellant is entitled to separate disability ratings for the various conditions." Murray v. Shinseki, 24 Vet.App. 420, 423 (2011) (quoting Esteban, 6 Vet.App. at 262).
The Board's attribution of certain symptoms to certain disabilities is a
finding of fact that the Court reviews under the "clearly erroneous" standard of review. 38U.S.C. §7261(a)(4);see Murray, 24 Vet.App. at 423. "A factual finding 'is "clearly erroneous" when although there is evidence to support it, the reviewing court on the entire evidence is left with the definite and firm conviction that a mistake has been committed.'" Hersey v. Derwinski, 2 Vet.App. 91, 94 (1992) (quoting United States v. United States Gypsum Co., 333 U.S. 364, 395 (1948)).
In rendering its decision, the Board is required to provide a written
statement of reasons or
bases for its "findings and conclusions[] on all material issues of fact
and law presented on the
record." 38 U.S.C. § 7104(d)(1). The statement must be adequate to
enablea claimant to understand
the precise basis for the Board's decision and to facilitate review in
this Court. Gilbert v. Derwinski,
1 Vet.App. 49, 57 (1990). To comply with this requirement, the Board must
analyze the credibility
and probative value of the evidence, account for the evidence that it
finds to be persuasive or
unpersuasive, and provide the reasons for its rejection of any material
evidence favorable to the
claimant. Caluza v. Brown, 7 Vet.App. 498, 506 (1995), aff'd per curiam,
78 F.3d 604 (Fed. Cir.
1996) (table).
2. Right Knee Disorder
Contrary to Ms. Kerns's argument, the Board expressly addressed whether
she was entitled
to service connection for a right knee disorder secondaryto her service-
connected fibromyalgia with
fatigue, but determined that her right knee symptoms did not represent a
separate disability from her
fibromyalgia with fatigue. R. at 11-14. Specifically, the Board explained
that "the majority of the
Veteran's doctors have either found the knee to be normal, or like the
December 2005/February2006
and February 2010 doctors[,] have specifically attributed this pain to her
fibromyalgia[,] which is
a disability for which service connection has already been established." R.
at 13.
6
To the extent that any right knee symptoms are attributable to
fibromyalgia, the Board
correctlyconcluded that those symptoms are alreadyaccounted for and
compensated byMs. Kerns's
40% evaluation for fibromyalgia with fatigue, which is based on, inter
alia, "widespread
musculoskeletal pain and tender points." 38 C.F.R. § 4.71a, Diagnostic
Code (DC) 5025 (2012).
A note to that DC states that "widespread pain" includes "pain in both the
left and right sides of the
body, that is both above and below the waist, and that affects both the
axial skeleton . . . and the
extremities." Id. (emphasis added). Thus, as the Board found, separately
compensating Ms. Kerns
for right knee pain that has been attributed by her doctors to her service-
connected fibromyalgia
would constitute pyramiding because that pain is not distinct and separate
from her fibromyalgia
symptoms, for which she is already being compensated. See Brady and
Esteban, both supra;
38 C.F.R. § 4.14. The Court, therefore, is not persuaded that the Board
committed clear error in that
regard. See Previous HitMurrayNext Document, 24 Vet.App. at 423.
The Board also acknowledged that the record contains two diagnoses of
right knee disorders
separate from fibromyalgia–a March 1996 diagnosis of patellofemoral
syndrome and a February
2010 diagnosis of minimal degenerative changes of the knee. R. at 13-14.
The Board, however,
found that they were not related to Ms. Kerns's service. R. at 14. The
Board explained that Ms.
Kerns's diagnosis of patellofemoral syndrome was made "more than four and
a half years after
discharge from service," "neither the examiner nor the Veteran attributed
this syndrome to active
service," "this diagnosis has not been repeated," and it "has not been
made since service connection
for fibromyalgia was established." R. at 13. The Board also stated that
there was "no evidence of
degenerative changes during service," the diagnosis of degenerative
changes of the right knee "was
made many years after the end of the one[-]year presumptive period" for
service connection for
arthritis, "every X-ray study dated prior to February 2010" was negative
for arthritis, "[t]here is no
medical opinion that relates the current degenerative changes to any
injury or event in active service
or to any service[-]connected disability," and "the Veteran herself does
not relate the degenerative
changes to any specific trauma in service." R. at 13-14.
In light of the foregoing statements, and absent evidence of a
relationship to service, the
Court does not discern any clear error in the Board's finding that Ms.
Kerns's diagnosed
patellofemoral syndrome and degenerative changes of the right knee were
not subject to service
7
connection. See Shedden v. Principi, 381 F.3d 1163, 1166-67 (Fed. Cir.
2004) (reiterating that a
nexus between the claimed in-service disease or injury and the current
disability is a necessary
element of service connection); Russo v. Brown, 9 Vet.App. 46, 50 (1996) (
explaining that the Court
reviews the Board's determination regarding entitlement to service
connection under the "clearly
erroneous" standard of review).
3. Adjustment Disorder
The Board also determined that Ms. Kerns was not entitled to service
connection for an
adjustment disorder on a primary or secondary basis. R. at 17.
Significantly, the Board found that
a preponderance of the evidence was against a finding that Ms. Kerns had a
current psychiatric
disability separate from the psychiatric symptoms of her fibromyalgia with
fatigue. R. at 17. In
support of that finding, the Board pointed to various VA medical
examinations that were all negative
for a psychiatric disability. Id. The Board also acknowledged that the
record contains clinical
assessments and one diagnosis of an adjustment disorder, as well as
notations of depression, but
found that "each of the examiners who ha[s] noted an adjustment disorder [
or] depression . . . has
also attributed this to the fibromyalgia, the chronic fatigue, or both." R.
at 18. The Board then
emphasized that "none of these examiners [has] opined that the Veteran has
a psychiatric disability
that is a separate entity from the fibromyalgia." Id.
A review of the record confirms that finding, and Ms. Kerns's 40%
evaluation takes into
account various psychiatric symptoms, such that compensating her
separately for those symptoms
would constitute pyramiding. See 38 C.F.R. §§ 4.14 (prohibiting
pyramiding), 4.71a, DC 5025
(listing fatigue, sleep disturbances, headaches, depression, and anxiety
as symptoms of
fibromyalgia). Thus, because Ms. Kerns's psychiatric symptoms have all
been attributed to her
service-connected fibromyalgia with fatigue, the Court concludes that the
Board did not err in
denying her secondary service connection for an adjustment disorder. See
Brady and Esteban, both
supra.
Moreover, absent any separately diagnosed psychiatric disability, Ms.
Kerns is not entitled
to service connection for that claimed condition on a direct basis. See
Brammer v. Derwinski,
3 Vet.App. 223, 225 (1992) ("Congress specifically limit[ed] entitlement
for service-connected
disease or injury to cases where such incidents have resulted in a
disability. In the absence of proof
8
of present disability there can be no valid claim." (citation omitted));
see also Shedden, 381 F.3d at
1166-67 (outlining the elements of service connection). Therefore, the
Board also discerns no clear
error in the Board's denial of her claim for entitlement to service
connection for an adjustment
disorder on a direct basis. See Russo, 9 Vet.App. at 50.
4. Memory Loss and Impaired Concentration
a. Reasons or Bases
For reasons that remain unclear, the Board combined its analysis of Ms.
Kerns's claim for
serviceconnection formemorylossandimpairedconcentrationwith
herclaimforserviceconnection
for an adjustment disorder. R. at 14-19. As explained above, the Board
found that all of Ms. Kerns's
reported psychiatric symptoms, which the Board stated included memory loss
and concentration
problems, were attributable to her service-connected fibromyalgia with
fatigue. R. at 17-18. The
Board then concluded that the 40% schedular evaluation for fibromyalgia
with fatigue adequately
compensated Ms. Kerns for her memory loss and impaired concentration, such
that any additional
compensation for those symptoms would constitute pyramiding in violation
of § 4.14. R. at 18.
Although the Board found that "the rating criteria for the Veteran's
fibromyalgia with fatigue
take into consideration the symptoms that have been identified," DC 5025
does not list
neuropsychological symptoms, such as memory loss and impaired
concentration, among its
descriptive symptoms. Id.; see 38 C.F.R. § 4.71a, DC 5025. Moreover,
contrary to the Board's
finding, VA classifies memory loss as a neuropsychological symptom, not a
psychiatric symptom.
See Compensation for Certain Diagnosed Illnesses, 60 Fed. Reg. 6660, 6601 (
Feb. 3, 1995)
(explaining that, "consistent with current VA rating procedures," "memory
loss is included within
the category 'neuropsychological signs or symptoms'").
Thus, absent any further explanation from the Board, it is unclear why the
Board accepted
the February2010 VA examiner's finding that Ms. Kerns's memory loss and
impaired concentration
were part of her fibromyalgia and how the Board arrived at its conclusion
that she was being
compensated for those symptoms under her schedular evaluation for
fibromyalgia. See Gilbert,
1 Vet.App. at 57. The Court therefore concludes that the Board's statement
of reasons or bases for
theportion ofits decisionaddressingentitlementto serviceconnection
formemorylossandimpaired
concentration was inadequate.
9
b. Extraschedular Evaluation
The Court further notes that, although Ms. Kerns is currently in receipt
of the maximum
schedularevaluationforherfibromyalgia,
shemayneverthelessreceiveanextraschedularevaluation
for a disability picture not captured by the schedular criteria. See Thun
v. Peake, 22 Vet.App. 111,
115 (2008) (explaining that referral for extraschedular consideration is
warranted when, inter alia,
"the schedular evaluation does not contemplate the claimant's level of
disability and
symptomatology");38C.F.R.§3.321(b)(providingforextraschedularevaluation
in "theexceptional
case where the schedular evaluations are found to be inadequate"). The
Board, however, did not
analyze whether she was entitled to referral for extraschedular
consideration. See id. ("When either
a claimant or the evidence of record suggests that a schedular rating may
be inadequate, the Board
must specificallyadjudicatethe issue of whetherreferral for an
extraschedularratingis warranted.").
That deficiency rendered the Board's statement of reasons or bases for its
decision on this claim
inadequate. See 38 U.S.C. § 7104(a) (requiring the Board to consider and
discuss in its decision all
"applicable" provisions of law and regulation); Gilbert, 1 Vet.App. at 57.
The Court therefore
concludes that vacatur and remand are warranted. See Tucker v. West, 11
Vet.App. 369, 374 (1998)
("WheretheBoardhasincorrectlyappliedthelaw,failedto provide
anadequatestatementofreasons
or bases for its determinations, or where the record is otherwise
inadequate, a remand is the
appropriate remedy.").
Ms. Kerns is free to submit additional argument and evidence as to her
claim for memory
loss and impaired concentration 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
Court reminds the Board that "[a] remand is meant to entail a critical
examination of the justification
for [the Board's] decision," Fletcher v. Derwinski, 1 Vet.App. 394, 397 (
1991), and must be
performed in an expeditious manner in accordance with 38 U.S.C. § 7112.
B. Other Claims Not Currently on Appeal
Ms. Kerns alsoasserts thatshe"
didnotreceivenotificationregardingassignmentofdisability
rating and effective dates [for fibromyalgia with fatigue] until after
initial adjudication of the claim."
Appellant's Br. at 3. It appears that she is arguing that the Board's
determination that she did not
10
appeal the 40% evaluation assigned for that service-connected
disabilitywas clearlyerroneous. The
Court disagrees.
The record reflects that the RO sent Ms. Kerns a letter in February 2011
informing her that
she had been awarded a 40% evaluation for fibromyalgia with fatigue and
providing her with
instructions on how to appeal that determination, should she disagree with
it. R. at 362-63. That
letter also expressly referred to the enclosed VA Form 4107, which
outlines the specific steps for
disagreeing with a VA decision and perfecting an appeal to the Board. Id.
It is unclear, however,
why the Board sent Ms. Kerns a letter requesting that she file an NOD
given that she had previously
filed one with respect to the RO's October 2007 denial of her claim for an
increased evaluation for
fibromyalgia: that claim remained in appellate status even after the RO
issued the November 2010
SSOC awarding her a 40% evaluation for that condition and the February
2011 decision review
officer decision implementing that award. See AB v. Brown, 6 Vet.App. 35,
38 (1993) (holding that
"once a claim is in 'appellate status' by virtue of a previously filed NOD,
the claimant may not file
an additional NOD which could confer jurisdiction on this Court as to that
claim"). In other words,
had the Board required Ms. Kerns to file a second NOD and Substantive
Appeal to obtain appellate
review of the award of the increased evaluation for fibromyalgia with
fatigue, it would have
committed error. See id. However, the Board did not do so here.
Instead, the Board addressed Ms. Kerns's claim for an increased evaluation
for fibromyalgia
with fatigue and (1) remanded the issue of entitlement to an earlier
effective date for the 40%
evaluation for that condition; and (2) determined that her appeal of the
schedular evaluation for
fibromyalgiawassatisfiedbecauseshehadalreadybeenawardedthemaximum
schedularevaluation
available under the applicable DC. R. at 19. Because the Board was correct
that DC 5025 does not
provide for a schedular evaluation for fibromyalgia greater than 40%, the
Court discerns no error in
the Board's treatment of the schedular evaluation portion of her
fibromyalgia claim. See AB,
6 Vet.App. at 38 ("[O]n a claim for an original or an increased rating,
the claimant will generally be
presumed to be seekingthe maximum benefit allowed bylaw and regulation,
and it follows that such
a claim remains in controversy where less than the maximum available
benefit is awarded.").
Ms. Kerns finally argues that VA has not yet issued an SSOC regarding the
issues remanded
by the Board. See Appellant's Br. at 3. Those issues, however, are not
before the Court at this time
11
because a remand is not a final Board decision that the Court has
jurisdiction to review. See
Howard, 220 F.3d at 1344; Breeden, 17 Vet.App. at 478; 38 C.F.R. § 20.
1100(b). To the extent that
Ms. Kerns believes that VA's delay in issuing an SSOC amounts to an
arbitrary refusal to act, her
proper recourse is to file with the Court a petition for extraordinary
relief in the nature of a writ of
mandamus to attempt to compel that action. See Costanza v. West, 12 Vet.
App.133, 134 (1999) (per
curiam order).
III. CONCLUSION
Upon consideration of the foregoing, the portion of the August 15, 2011,
Board decision
addressing Ms. Kerns's claim for service connection for memory loss and
impaired concentration is
VACATED and the claim is REMANDED for readjudication consistent with this
decision. The
portions of the Board decision addressing her claims for service
connection for right knee and
adjustment disorders are AFFIRMED.
DATED: November 7, 2012
Copies to:
Robin L. Kerns
VA General Counsel (027)
12
Single Judge Application, Buczynski v. Shinseki, 24 Vet.App. 221, 224 (2011); Category Claimant's Symptoms
Excerpt from decision below:
"The Court has long held that merely listing evidence before stating a conclusion does not constitute an adequate statement of
5
reasons and bases." Dennis v. Nicholson, 21 Vet.App. 18, 22 (2007) (
citing Abernathy v. Principi, 3 Vet.App. 461, 465 (1992)). Rather, the "Board must explain, in the context of the facts presented, the rating criteria used in determining the category into which a claimant's symptoms fall; it is not sufficient to simply state that a claimant's degree of impairment lies at a certain level without providing an adequate explanation." Buczynski v. Shinseki, 24 Vet.App. 221, 224 (2011). Nowhere in the Board's discussion does the Board explain – in the context of the appellant's numerous symptoms – why the appellant's overall impairment is not more than "moderately severe." R. at 13.
============================
----------------------------------------------------
Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 12-678
RONALD W. BENTZ, 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, Ronald W. Bentz, through counsel appeals a
January
23, 2012, Board of Veterans' Appeals (Board) decision that denied an
initial disability rating in
excess of 20% for muscle atrophyand callosities of the left foot. Record
of Proceedings (R.) at 3-14.
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). Both parties filed briefs, and the
appellant filed a reply brief.
Single-judgedispositionis appropriate.Frankelv.Derwinski,1Vet.App.23,25-26(
1990). Because
the Board failed to provide an adequate statement of reasons or bases, the
Court will vacate the
January 23, 2012, decision and remand the matter for further proceedings
consistent with this
decision.
I. BACKGROUND
The appellant served on active duty in the U.S. Navy from September 1983
to September
1986. R. at 1073, 1221. The appellant's service medical records (SMRs)
indicate that he sustained
an injury to his left foot on May 1, 1984, when aircraft exhaust forced
him to jump off the top of a
plane where he had been working. R. at 274, 1204. SMRs dated May 3, 1984,
and May 9, 1984,
indicate that the appellant suffered from heel pain and that he was
unable to stand for 15 minutes.
R. at 404, 1205.
In November 2007, the appellant submitted a claim for disability
compensation for "left foot
pain and arthritis, left hip, and back pain," which he attributed to the "
aviation accident [that]
occur[r]ed during [his] military service." R. at 461. That same month, a
VA podiatrist diagnosed
the appellant with a "bone/joint injury" to the left foot with "[
degenerative joint disease (DJD)
secondary] to service related trauma." R. at 228-30.
In June 2008, the appellant underwent a compensation and pension
examination of his feet.
R. at 207-13. The examiner did not review the claims file or the
appellant's medical records, but
noted the appellant's history of sustaining an injury to his feet in
service as well as the following
symptoms andfunctionalimpairment:Heelpain,heat,redness, stiffness,
fatigability,weakness,lack
of endurance, standing limited to 15 to 30 minutes, and the inability to
walk more than a few yards.
R. at 208-10. The examiner further noted that a physical examination of
the left foot showed
objective evidence of painful motion (dorsiflexion of ankle, pain in arch);
mild tenderness of the
medial, lateral, and plantar aspects of the heel; abnormal weight bearing
evidenced by callosities;
and muscle atrophy of the ball of the foot. R. at 210-11. There was no
evidence of swelling,
instability, weakness, or malunion or nonunion of the tarsal or metatarsal
bones. Id. X-rays of the
left foot showed arthritis of the talonavicular joint, but no arthritic
changes to the heel. R. at 212-13.
The examiner noted that the appellant's left foot disabilityhad "
significant effects" on the appellant's
occupation as a corrections officer, with "[d]ecreased mobility, [w]
eakness or fatigue, [d]ecreased
strength: lower extremity, pain," and "[i]ncreased absenteeism." R. at 212.
In November 2008, the regional office (RO) granted entitlement to
disability compensation
for muscle atrophy and callosities of the left foot, and assigned a 20%
disability rating, effective
November 21, 2007. R. at 369-79. The appellant filed a Notice of
Disagreement asserting that he
was entitled to a 30% disability rating for his left foot because "
orthopedic inserts have not helped
the condition[,] but [instead] made it worse." R. at 344. The RO issued a
Statement of the Case (R.
at 316-33), and the appellant perfected an appeal to the Board (R. at 312-
13). In September 2009,
the Board remanded the claim to schedule the appellant for a Board hearing.
R. at 299-301.
2
A January2010 outpatient podiatrynote also reflects the appellant's
complaint that orthotics
were not helping his pain and that he suffered from left foot pain to the
plantar fascia, whole arch
area, and left lateral three metatarsal heads. R. at 196. In February 2010
he underwent magnetic
resonance imaging (MRI) of his left foot, which showed: "Findings most
consistent with small
fibroma plantar aspect of the foot at the level [of] the first and fifth
metatarsals"; a "[p]robable small
cyst lateral and dorsal aspect ofthecuboidbone"; [f]luid at the first
metatarsal-phalangeal joint"; and
"[s]mall focus isointense to bone marrow on all pulse sequences dorsal
aspect talonavicular joint
likely due to previous trauma." R. at 122-25.
On March 3, 2010, the appellant testified at a Board hearing that numerous
doctors have
linked his current foot and knee disabilities to the injuries he sustained
during service. R. at 246-48.
The appellant stated that he was entitled to a disability rating greater
than 20% because he
experienced a lot of pain, tenderness, and discomfort in his left foot,
and orthotics did not help his
condition. R. at 251. After the hearing, the Board remanded the
appellant's claim to obtain
outstanding recent treatment records and to schedule him for a VA
podiatryexamination to ascertain
the severity and manifestations of his muscle atrophy and callosities of
the left foot. R. at 232-43.
The appellant underwent a second VA compensation and pension examination
on July 13,
2010. R. at 111-15. The appellant reported pain in the arch and the ball
of his foot and stiffness,
weakness, and lack of endurance in the arch while standing and walking. R.
at 112. He also
reported that the efficacy of orthotic inserts was "poor," and that he was
unable to stand for more
than a few minutes but could walk a quarter of a mile. R. at 112-13. A
physical examination of the
left foot showed painful motion, tenderness, muscle atrophyand antalgic
gait. R. at 113. There was
no evidence of swelling, instability, weakness, or abnormal weight bearing.
Id. The examiner
diagnosed: "Osteoarthritic changes at talonavicular joint left foot," with
increased pain and "[f]at
pad atrophy . . . causing pain under [the] plantar aspect of the left foot
." R. at 114. The examiner
also noted that the appellant's condition had "[s]ignificant effects" on
his general occupation with
decreased mobility and pain. Id.
In June 2011, the RO issued a Supplemental Statement of the Case that
continued to deny
a higher disability rating and the matter was returned to the Board. R. at
53-62. On January 23,
3
2012, the Board issued its decision here on appeal denying an initial
disability rating in excess of
20% for muscle atrophy and callosities of the left foot. R. at 3-14.
II. ANALYSIS
On appeal, the parties disagree whether the Board provided an adequate
statement of reasons
or bases for its decision. The appellant argues that the Board ignored
evidence indicating that his
condition worsened and failed to adequately explain why he was not
entitled to a higher disability
rating under Diagnostic Code (DC) 5284. Appellant's Brief (Br.) at 7-11;
Reply Br. 1-4; see
38 C.F.R. § 4.71a, DC 5284 (2012). The Secretary argues that the Board
did not ignore evidence
and its decision "reasonably conveys . . . the basis for the overall
conclusion that the severity of [the
appellant's] foot symptoms does not rise to the level contemplated by the
30[%] criteria under any
of the DCs set out in the rating schedule for foot disabilities."
Secretary's Br. at 5-10.
The assignment of a disability rating is a factual finding that the Court
reviews under the
"clearly erroneous" standard of review. Johnston v. Brown, 10 Vet.App. 80,
84 (1997). 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." United
States v. U.S. Gypsum Co.,
333 U.S. 364, 395 (1948); see also Gilbert v. Derwinski, 1 Vet.App. 49, 52 (
1990).
In rendering its decision the Board must provide a statement of the
reasons or bases for its
determination, adequate to enable an appellant to understand the precise
basis for the Board's
decision as well as to facilitate review in this Court. 38 U.S.C. § 7104(
d)(1); see Allday v. Brown,
7 Vet.App. 517, 527 (1995); Gilbert, 1 Vet.App. at 56-57. To comply with
this requirement, the
Board must analyze the credibility and probative value of the evidence,
account for the evidence it
finds persuasive or unpersuasive, and provide the reasons for its
rejection of any material evidence
favorable to the claimant. Caluza v. Brown, 7 Vet.App. 498, 506 (1995),
aff'd per curiam, 78 F.3d
604 (Fed. Cir. 1996) (table).
In the decision here on appeal, the Board initiallynoted that the
appellant's left foot disability
is rated by analogy under 38 C.F.R. § 4.71a, DC 5276 (2012) for acquired
flatfoot. R. at 7. Under
DC 5276, a 20% disabilityratingis assigned for "severe" unilateral
flatfoot with "objective evidence
of marked deformity (pronation, abduction, etc.), pain on manipulation and
use accentuated,
4
indication of swelling on use, characteristic callosities." 38 C.F.R. §
4.71a, DC 5276. A 30%
disability rating is warranted for "pronounced" unilateral flatfoot with "
marked pronation, extreme
tenderness of the plantar surfaces of the feet, marked inward displacement
and severe spasm of the
tendo achillis on manipulation, not improved by orthopedic shoes or
appliances." Id. After
providing a detailed recitation of the medical evidence (R. at 8-12) and a
summary of the appellant's
symptoms (R. at 12-13), the Board concluded that the evidence did not
warrant a 30% disability
rating under DC 5276 because there was no evidence of "marked pronation,
extreme tenderness of
the plantar surfaces of the feet, marked inward displacement and severe
spasm of the tendo [a]chillis
on manipulation." R. at 13.
The Board then proceeded to consider whether the appellant was entitled to
a higher
disability rating under a different DC. Id. The Board found that a higher
rating was not warranted
under DCs 5278 and 5279, and the appellant does not dispute that finding.
See 38 C.F.R. § 4.71a,
DCs 5278 and 5279. As noted, the central dispute is whether the Board
adequately explained why
the appellant was not entitled to a higher disability rating under DC 5284.
DC 5284 provides that
"foot injuries, other" warrant a 20% disability rating if they are "
moderately severe" or a 30%
disability rating if they are "severe." 38 C.F.R. § 4.71a, DC 5284. In
concluding that the appellant
was not entitled to a 30% disability rating under DC 5284, the Board
stated: "[F]or the reasons
discussed above[,] the Board concludes that the overall impairment of the [
v]eteran's left foot is not
more than moderately severe. Therefore, the disability would not warrant
more than a 20[%] rating
under [DC] 5284." R. at 13.
The Court agrees with the appellant that the Board's statement of reasons
or bases is
inadequate. The Board referred to its "reasons discussed above." However,
in analyzing whether
the evidence demonstrated entitlement to a higher disabilityratingunder DC
5276, the Board merely
listed those symptoms that were present and those that were not, noting
that the June 2008
examination showed "mild" tenderness, and the July 2010 examination did
not show "extreme
tenderness." R. at 13. Thus, although the Secretary is correct that the
Board did not ignore the
evidence, the Board also did not engage in any analysis or explain its
conclusion that the appellant's
symptoms are "moderately severe" and not "severe." See R. at 12-13. "The
Court has long held that merely listing evidence before stating a conclusion does not constitute an adequate statement of
5
reasons and bases." Dennis v. Nicholson, 21 Vet.App. 18, 22 (2007) (
citing Abernathy v. Principi, 3 Vet.App. 461, 465 (1992)). Rather, the "Board must explain, in the context of the facts presented, the rating criteria used in determining the category into which a claimant's symptoms fall; it is not sufficient to simply state that a claimant's degree of impairment lies at a certain level without providing an adequate explanation." Buczynski v. Shinseki, 24 Vet.App. 221, 224 (2011). Nowhere in the Board's discussion does the Board explain – in the context of the appellant's numerous symptoms – why the appellant's overall impairment is not more than "moderately severe." R. at 13.
Moreover, as noted by the appellant, DC 5284 does not provide any guidance
or list of symptoms that fall under the category of "moderately severe" or "severe." Reply Br. at 2. Without such guidance, it is especially important that the Board analyze the evidence and explain why the appellant's disability falls into either category.
In this case, the only potential basis for the Board's conclusion that the
appellant's symptomatology was not "severe" under DC 5284 seems to be that he did not meet the criteria for "pronounced" flatfoot under DC 5276. See R. at 13. However, DC 5276 does not account for all of the appellant's symptoms, such as left foot arthritis, fatigue, pain, and stiffness, none of which are alleviated by the use of orthotics; therefore, the Board's finding that the appellant does not satisfy
the criteria under DC 5276 is not nearly sufficient for the Court to
understand why his disability is
not "severe" under DC 5284. See Reply Br. at 3; see also R. at 112-13, 196,
208-09, 251. Similarly,
although DC 5276 requires evidence of "extreme tenderness on plantar
surfaces of the feet," and the
Board observed that there was evidence of "mild" tenderness in 2008 and no
evidence of "extreme"
tenderness in 2010, the Board did not explain whether "extreme" tenderness
is required under DC
5284, which rates "[f]oot injuries, other" as "moderate," "moderately
severe," and "severe."
38 C.RF.R. §4.71a, DC 5284; see R. at 12-13, 113 (noting objective
evidence of tenderness upon
palpation midfoot dorsum/plantar[,] pain mid plantar arch and
submetatarsal 3 [and] 4"). The
Board's failure to adequatelydiscuss the evidence frustrates judicial
review. Accordingly, the Court
will remand the matter to the Board to provide an adequate statement of
reasons or bases for its
decision. See Tucker v. West, 11 Vet.App. 369, 374 (1998) (holding that
remand is the appropriate
remedy "where 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").
6
In pursuing the matter on remand, the appellant is free to submit
additional evidence and
argument on the remanded matter, and the Board is required to consider any
such relevant evidence
and 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 Secretary to provide for "expeditious
treatment" of claims
remanded by the Court).
III. CONCLUSION
After consideration of the appellant's and the Secretary's pleadings, and
a review of the
record, the Board's January 23, 2012, decision is VACATED and the matter
is REMANDED to the
Board for further proceedings consistent with this decision.
DATED: November 30, 2012
Copies to:
Robert V. Chisholm, Esq.
VA General Counsel (027)
7
Monday, November 26, 2012
Single Judge Application, questionable wasting is Speculative Language; 38 C.F.R. 4.56 (2012); VA Clinician's Guide
Excerpt from decision below:
"The rating schedule states that "[a]ccurate measurement . . . should be insisted on" and that "[m]uscle atrophy must also be accurately measured and reported." 38 C.F.R. § 4.46 (2012). As noted earlier, muscle wasting is the same as muscle atrophy, and the VA rating schedule lists "atrophy" as one of the objective findings used to rate the severity of a muscle injury and also notes that "the cardinal signs and symptoms of muscle disability [include] loss of power [and] weakness." 38 C.F.R. § 4.56 (2012).
Furthermore, the VA Clinician's Guide is designed to provide guidance to clinicians performing compensation and pension (C&P) examinations, and because the July 2010 examination was a C&P examination, the guide's provisions have general applicability here. Camacho v. Nicholson, 21 Vet.App. 360, 364 (2007) ("The VA Clinician's Guide . . . is a guide to VA doctors providing generalized direction for the proper conduct of disability examinations.").
The VA Clinician's Guide provides clinicians with guidance for testing muscle weakness. VA CLINICIAN'S GUIDE, s. 0.1, 11.7 (important elements of a disability examination for muscle disease or injury), 11.8 (standard muscle strength grading system).
In this case, the Board relied on the opinion of the July 2010 VA examiner, who concluded that Mr. Dubose did not have a "current disorder of the chest wall which is related to
9
his time in the military." R. at 280. However, the examiner reported that Mr. Dubose suffered from "questionable slight muscle wasting inferior to the [service-connected] scar." R. at 279.
After making that observation, she did not provide a conclusion as to whether the veteran has muscle wasting, and, if so, whether it is as likely as not that the wasting or atrophy is associated with Mr. Dubose's service-connected scar. R. at 279-80. The examiner did not indicate that she had compared the muscles on the left side of Mr. Dubose's chest, where she noted "questionable wasting" below his service-connected scar, with the same muscles on the right side.
VA CLINICIAN'S GUIDE, s. 11.7(b)(2) ("When there is muscle atrophy, record the circumference of the atrophic muscle and the comparison muscle on the opposite side."). The Board, in assigning probative weight to this opinion and using it to support the denial of service connection, failed to explain its reliance on a medical examination report that included speculative language, as opposed to conclusive information, concerning the existence and etiology of any muscle wasting.
In addition, the July 2010 VA examination report that the Board relied on to deny service connection found that there were no tests to assess whether weakness of the chest wall exists. R. at 279. However, given the existence of the above-cited VA rating schedule provisions and guidance to clinicians who perform C&P examinations, the Board erred in failing to explain why it relied on a medical examination that did not include appropriate testing and assessment of muscles of the chest wall. R. at 279; see 38 C.F.R. §§ 4.40, 4.46, 4.56 ( 2012); VA CLINICIAN'S GUIDE secs. 0.1, 11.7, 11.8. In short, the examiner did not explain her conclusion and the Board, likewise, in relying on the examination report to deny service connection, did not provide reasons or bases, given the existence of VA regulations and guidance on this topic, for accepting the doctor's unexplained conclusion that such testing is not available.
Given the deficiencies in the examination report, the Board decision should have addressed the issues discussed above. However, the Board relied on the July 2010 medical opinion without discussing or resolving these inconsistencies and inadequacies. R. at 10.
10
Therefore, the Board failed to provide an adequate statement of the reasons or bases for its findings and conclusions, and this frustrates judicial review. See Allday and Gilbert, both supra."
----------------------------------------------------
Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 11-2851
DAVID F. DUBOSE, APPELLANT,
V.
ERIC K. SHINSEKI,
SECRETARY OF VETERANS AFFAIRS, APPELLEE.
Before BARTLEY, Judge.
MEMORANDUM DECISION
Note: Pursuant to U.S. Vet. App. R. 30(a),
this action may not be cited as precedent.
BARTLEY, Judge: The veteran, David F. Dubose, who is self-represented, appeals a July 25, 2011, Board of Veterans' Appeals (Board) decision that denied his claim for entitlement
to service connection for a disability manifested by pain and weakness of the left side of the chest, to include as secondary to service-connected residuals from a left ribcage stab wound.
Record (R.) at 3-11. The Board also determined that the record reasonably raised a claim for an increase in the disability evaluation for Mr. Dubose's service-connected residual scar from a left
ribcage stab wound. R. at 4. The Board referred that claim to the agency of original jurisdiction for appropriate action and, therefore, that claim is not before the Court because it was not the subject of a final Board decision. See Breeden v. Principi, 17 Vet.App. 478 (2004). Single- judgedisposition is appropriate. See Frankel v. Derwinski, 1 Vet.App. 23, 25-26 (1990). This appeal is timely and the Court has jurisdiction pursuant to 38 U.S.C. §§ 7252(a) and 7266(a).
For the reasons that follow, the Court will vacate the July 25, 2011,
Board decision and remand the matter for further proceedings consistent with this decision.
I. FACTS
Mr. Dubose served on active duty in the U.S. Army from November 1975 to
November
1978. R. at 444. In July 1976, he sustained and was treated for a
superficial stab wound to the
left side of the chest. R. 371, 378. Swelling and tenderness to palpation
were noted at that time,
associated with a localized bacterial infection. R. at 388-89. In October
1978, Mr. Dubose's
separation examination indicated that his lungs, chest, and heart were
each normal. R. at 369-70.
In December 2001, Mr. Dubose filed a claim for VA disability benefits
based on service
connection for residuals of the left ribcage stab wound that he received
while on active duty. R.
at 240-47.
In February 2002, he told his VA physician that he had been suffering from
intermittent pain in his left side for a year. R. at 155-56. Upon
examination, the physician noted
a "tender area localized [on the] left flank where [the] stab wound scar [
is located]." R. at 158.
The physician observed that the tissue there was slightly different from
that of the right side,
"most likely due to scar tissue formation." R. at 158.
In April 2002, the VA regional office (RO) sent a VCAA notice letter to Mr.
Dubose. R.
at 233-36. In November 2002, the RO issued a deferred rating decision and
determined that a
line of duty determination was necessary. R. at 221. In December 2002, the
RO rendered an
administrative decision that Mr. Dubose's stab wound was incurred in the
line of duty and was
not the result of misconduct. R. at 218-19. Subsequently, in December 2002,
a VA examiner
reported:
[The veteran] states that he was stabbed in 1976 in Germany. He was
hospitalized for approximately two weeks. He had problems with superficial
infections and the scar was aspirated weekly for approximately six to
eight weeks.
He does not complain of any difficulties with breathing and denies
tenderness to
palpation of his left axíllary scar.
R. 214-15. The assessment was traumatic scar with evidence of subcuticular
neuroma1
from a
stab Previous DocumentinjuryNext Hit. R. at 214.
A neuroma is "a tumor growing from a nerve or made up largely of nerve
cells and nerve fibers."
DORLAND'S ILLUSTRATED MEDICAL DICTIONARY 1266 (32d ed. 2011) [hereinafter "
DORLAND'S"].
2
1
In January 2003, the RO granted service connection for the scar as "
residuals of a left
ribcage stab wound" and assigned a disability evaluation of 10%, effective
December 31, 2001.
R. at 208-13.
Almost three years later, in December 2005, Mr. Dubose requested an
increased
evaluation for his service-connected scar and stated he was experiencing "
shortness of breath,
weakness on left side, [and] pain." R. at 108.
On January 13, 2006, Mr. Dubose underwent a VA scar examination. R. at 95-
96. The
examiner noted that the service-connected scar was .15 centimeters at its
maximum width and 1
centimeter at its maximum length, with no tenderness on palpitation; no
inflammation; no
elevation; no edema; no skin ulceration or breakdown over the scar; no
keloid formation; no
adherence to underlying tissue; and no depression of the scar. R. at 96.
The examiner further
noted that the scar was of normal texture with no inflexibility; was
normal in color; had no
underlying tissue loss; caused no disfigurement of the head, face, or neck;
and did not limit
motion or cause loss of function. R. at 96.
On January 27, 2006, the RO issued a rating decision proposing to decrease
the disability
evaluation for Mr. Dubose's service-connected scar, "because the evidence
fails to show a
superficial scar that is painful on examination."
R. at 89, 96 (scar does not demonstrate
tenderness on palpitation). The RO also denied service connection for
shortness of breath and
for weakness and pain of the left side, both based on a lack of treatment
and diagnosis. R. at 88.
The following month, Mr. Dubose submitted a document that he labeled "
Notice of
Disagreement" (NOD), expressing his objection to all three aspects of the
January 2006 rating
decision and noting: "I am currently tak[ing] medication for pain due to
the service[-]connected
left rib cage stab wound." R. at 85. The RO responded with a letter that
explained to Mr.
Dubose that it could not accept his submission as an NOD to the proposed
rating reduction
because it was only a proposed action. R. at 82. Also in February 2006, a
VA progress note
indicated that Mr. Dubose complained of pain in his lower chest, that he
related this pain to the
stab wound he received during his military service. R. at 75-77. The
physician reported that Mr.
Dubose was "taking lortab for this from somewhere[, but] otherwise, no
concerns." R. at 75-77.
In March 2006, Mr. Dubose requested that a decision review officer (DRO)
review his
claims, de novo. R. at 74. After this review, the DRO issued a Statement
of the Case that
continued to deny the claims for service connection for shortness of
breath and for weakness and
pain of the left side. R. at 54-72. Mr. Dubose promptly submitted a VA
Form 9, stating that he
was appealing (1) the proposed reduction for residuals of a left ribcage
stab wound, (2) denial of
service connection for shortness of breath, and (3) denial of service
connection for pain and
weakness of the left side, the latter two claims to include as secondary
to service-connected
residual scar from left ribcage stab wound. R. at 51-52.
Two months later, in a VA rating decision dated May 5, 2006, the RO
reduced Mr.
Dubose's disability evaluation for his service-connected scar from 10% to
0%. R. at 43. The RO
explained that the decision was based on the January 2006 medical
examination, which found
that "[t]he scar was not tender to palpation" and on the fact that,
despite Mr. Dubose's statement
that he took pain medication for the scar, his "treatment reports revealed
no treatment for your
scar." R. at 43. The May 10, 2006, letter that accompanies the rating
decision informed Mr.
Dubose what to do if he disagreed with the decision. R. at 40. The record
of proceedings does
not reflect that Mr. Dubose submitted an NOD or any other document
objecting to the actual
reduction, nor did he appeal this decision.
Also in May 2006, Mr. Dubose's claims for service connection for shortness
of breath
and for weakness and pain of the left side were certified to the Board. R.
at 35-38.
Four years later, in April 2010, the Board denied service-connected
disability benefits for
shortness of breath on the basis that no respiratory disorder was shown in
service or currently.
R. at 21-32. The Board also remanded Mr. Dubose's claim for disability
benefits for pain and
weakness on the left side so that VA could obtain a medical opinion on the
issue of whether Mr.
Dubose suffered from a current disability manifested by these complaints
and, if so, whether
there was a relationship to his military service. R. at 21-32.
In July 2010, a VA examiner reviewed Mr. Dubose's claims folder and noted: "
no
treatment noted or diagnosis of weakness or pain related to the stab wound
noted in the service
medical record," and "[n]o respiratory issues," and concluded by
determining that the "separation
examination was basically normal." R. at 279. The examiner recorded Mr.
Dubose's reported
history and symptoms:
4
[The veteran] was stabbed with a type of slim jim in the left side of his
chest. His
lungs were not punctured. He did have consequences of cellulitis2
and potential
abscess formation afterwards. There was no respiratory issue at the time.
He
denied problems prior to military service. He has pain occasionally in the
left
inferior lower aspect of his chest. There is no swelling, locking, or
instability.
He did not have surgery, but from [w]hat he described he did have I&Ds
performed. The laceration was sutured, but he did require hospitalization
for his
cellulitis and/or abscesses.
R. at 279. The examiner then performed a physical examination and noted:
Examination of approximately T10 on the left in the mid-axillary area
reveals a
scar which is 0.8 x 0.1 cm. There is questionable slight muscle wasting3
inferior
to the scar noted. The scar itself displays hyperalgesia [increased
sensitivity to
pain],4
but there is no erythema [redness],5
induration [hardness],6
or keloid
formation [elevation].7
It does appear neurovascularly intact. There [are] no
respiratory difficulties associated with [the] scar. There is no use of
accessory
respiratory muscles. Lungs are clear in all fields. The assessment of
weakness of
the anterior or maxillary chest wall is difficult to determine. There are
no specific
tests which can test for this, however, it did not appear ther[e] was
weakness
noted. There was no anatomic deformity noted from this superficial stab
wound
to the left mid-axillary area.
Id.
The VA examiner then opined that "[i]t is less likely than not that the [v]
eteran has a
current disorder of the chest wall which is related to his time in the
military [because] there is no
clear or chronic disability from his superficial stab wound which occurred
35 years ago and at
the time was associated with cellulitis and/or abscess formation." R. at
280.
On July 25, 2011, the Board issued the decision on appeal. R. at 2-14.
Initially, the
Board noted that Mr. Dubose's recent VA examination "suggest[ed] that the
. . . stab wound scar
was tender to palpation." R. at 4. The Board concluded that, because Mr.
Dubose's scar was
2
3
Cellulitis is usually caused by infection of a wound by bacteria.
DORLAND'S at 325 (32d ed. 2011).
DORLAND'S at 978.
4
DORLAND'S at 886.
5
DORLAND'S at 643.
6
DORLAND'S at 933.
7
DORLAND'S at 978.
5
currently evaluated as noncompensable, a claim for an increased
evaluation of the veteran's
service-connected scar disability had been raised by the record but not
adjudicated by the agency
of original jurisdiction (AOJ). R. at 4. Therefore, the Board referred the
claim for an increased
evaluation for the veteran's service-connected noncompensable scar to the
AOJ for "appropriate
action." R. at 4.
The Board reviewed Mr. Dubose's history and the treatment records for his
service-
connected scar. R. at 8. It discussed the July 2010 VA examination for
evaluation of any
current weakness and pain in the left chest and noted Mr. Dubose's
statements at that
examination. R. at 9. The Board relied on the examiner's diagnosis that
the "stab wound . . . was
resolved except for subjective tenderness to palpation on examination" and
on his conclusion
that "it is less likely than not that the Veteran had a current disorder
of the chest wall which is
related to his time in the military [because] there is no clear or chronic
disability from his
superficial stab wound which occurred 35 years ago and at the time was
associated with cellulitis
and/or abscess formation." R. at 10. It concluded: "After reviewing the
evidence of record, the
Board finds that other than the Veteran's already service-connected scar,
the record fails to
establish that a currently diagnosed condition manifested by pain and
weakness of the left side of
the chest exists." R. at 10. The Board discussed its duty to assist a
veteran in the development
of a claim, noted that VA had obtained relevant records and provided Mr.
Dubose with VA
examinations, and concluded that "the VCAA provisions have been considered
and complied
with." R. at 6. Accordingly, the Board denied that claim. R. at 12. This
appeal followed.
II. ANALYSIS
A. Reduction of Disability Evaluation for Service-Connected Scar
Mr. Dubose states that he has only one issue before the Court, which he
identifies as
"evaluation of residual from left rib cage stab wound, which is currently
evaluated [at] 10
percent disabling, is dec[r]eased to 0 percent effective 08/01/2006."
Appellant's Brief (Br.) at 1.
He argues that the Court should "restore my 10 percent for my Service
Connected Residuals of
Left Rib Stab wound [sic]." Appellant's Br. at 2. The Secretary argues
that the issue of a higher
evaluation for Mr. Dubose's service-connected scar and the May 2006
reduction from 10% to a
noncompensable evaluation are not before the Court. Secretary's Br. at 14.
The Court agrees with the Secretary.
The Court's jurisdiction is over final Board
6
decisions. See 38 U.S.C. § 7252; Jarrell v. Nicholson, 20 Vet.App. 326,
330-32 (2006) (en
banc).
In this case, the Board decision on appeal concluded that the record
raised an
unadjudicated claim for an increased disability evaluation for Mr.
Dubose's service-connected
scar, and referred that claim to the AOJ for "appropriate action." R. at 4.
Because the claim has
been referred to the AOJ, it is not before the Court. See Jarrell, supra.
The Board decision also
denied Mr. Dubose's claim for disability benefits based on service
connection for pain and
weakness of the left side of the chest, to include as secondary to service-
connected residuals
from a left ribcage stab wound. R. at 3-11. The denial of that claim is
the sole issue before the
Court.
Regarding the prior reduction of Mr. Dubose's disability evaluation, VA
may not reduce
a veteran's disability evaluation unless it follows certain detailed
procedures that are designed to
provide the veteran with advance notice of a proposed reduction and an
opportunity to contest
the reduction and to submit evidence "to show that compensation payments
should be continued
at their present level." 38 C.F.R. § 3.105(e) (2012); see Majeed v.
Principi, 16 Vet.App. 421,
433-34 (2002); see also Hargrove v. Shinseki, 629 F.3d 1377, 1379-81 (Fed.
Cir. 2012)
(J. Newman, dissenting) (although majority held that the U.S. Court of
Appeals for Veterans
Claims correctly dismissed petition because veteran had not exhausted his
administrative
remedies, VA nonetheless erred by failing to notify veteran that NOD could
not be accepted
because it was responding to proposed, rather than actual, reduction
decision).
In this case, Mr. Dubose submitted several documents to VA between January
and March
2006, objecting to the January 2006 proposed reduction of his disability
evaluation. R. at 85
(February 15, 2006, objection to proposed reduction), 74 (March 9, 2006,
request for DRO
review of proposed reduction), 51-52 (March 23, 2006, VA Form 9 includes
proposed reduction
in list of items being appealed to Board). Unlike the veteran in Hargrove,
who was not informed
that VA could not accept an NOD to a proposed reduction, Mr. Dubose
objected to the proposed
reduction, prompting VA to send him a letter 10 days later, explaining
that VA could not accept
an NOD as to a proposed reduction and that an NOD "can only be filed on
final actions." R. at
7
82; see R at 82-84. After he received notice of VA's May 5, 2006,
reduction decision, Mr.
Dubose did not submit an NOD or any other document objecting to this
decision. Accordingly,
the reduction decision became final and the Court concludes that the Board
did not err or fail to
provide an adequate statement of reasons or bases when it did not address
the May 2006 decision
that reduced his disability evaluation to noncompensable. See Jarrell,
supra.
B. Service Connection for Pain and Weakness on the Left Side of the Chest
The Board decision on appeal denied Mr. Dubose's claim for entitlement to
service
connection for a disability manifested by pain and weakness of the left
side of the chest, to
include as secondary to service-connected residuals of a left ribcage stab
wound. R. at 3-11.
The Secretary asserts that the Court should affirm the decision because
the Board correctly
determined that Mr. Dubose does not have a current disability manifested
by pain and weakness
on the left side of the chest and because the decision "has a plausible
basis in the record and is
not clearly erroneous." Secretary's Br. at 5.
As part of the duty to assist, the Secretary must, in appropriate cases,
provide a claimant
with a thorough and contemporaneous medical examination and opinion. 38 U.
S.C. § 5103A; see
Green v. Derwinski, 1 Vet.App. 121, 124 (1991). A medical report may be
inadequate when it is
speculative, such as when its conclusions include equivocal language such
as "could" or "might,"
without any other rationale or supporting data. See Hood v. Shinseki, 23
Vet.App. 295, 298-99
(2009); Polovick v. Shinseki, 23 Vet.App. 48, 54 (2009) (doctor's
statement that veteran's brain
tumor "may well be" connected to Agent Orange exposure was speculative);
Bloom v. West,
12 Vet.App. 185, 187 (1999) (use of term "could," without other rationale
or supporting data, is
speculative); Goss v. Brown, 9 Vet.App. 109, 114 (1996) (use of the phrase "
could not rule out"
was too speculative to establish medical nexus); Tirpak v. Derwinski, 2
Vet.App. 609, 611
(1992) (medical opinions are speculative and of little or no probative
value when physician
makes equivocal findings such as "the veteran's death may or may not have
been averted").
In addition, the Board is required to include in its decision a written
statement of the
reasons or bases for its findings and conclusions on all material issues
of fact and law presented
8
on the record. 38 U.S.C. § 7104(d)(1); Allday v. Brown, 7 Vet.App. 517,
527 (1995). That
statement must be adequate to enable an appellant to understand the
precise basis for the Board's
decision, as well as to facilitate informed review in this Court. Gilbert
v. Derwinski, 1 Vet.App.
49, 56-57 (1990). To comply with this requirement, the Board must analyze
the credibility and
probative value of the evidence, account for the evidence that it finds to
be persuasive or
unpersuasive, and provide the reasons for its rejection of any material
evidence favorable to the
claimant. Caluza v. Brown, 7 Vet.App. 498, 506 (1995), aff'd per curiam,
78 F.3d 604 (Fed. Cir.
1996) (table).
The VA rating schedule provides diagnostic codes (DCs) that are used to
evaluate muscle
Previous HitinjuryNext Hit. See 38 C.F.R. § 4.73 (2012). These DCs include criteria for
evaluating muscles located
in the midaxillary region, which is the location of the veteran's service-connected scar (R. at 279). See DCs 5301, 5302. The rating schedule states that "[a]ccurate measurement . . . should
be insisted on" and that "[m]uscle atrophy must also be accurately
measured and reported." 38 C.F.R. § 4.46 (2012). As noted earlier, muscle wasting is the same as muscle atrophy, and the VA rating schedule lists "atrophy" as one of the objective findings used to rate the severity of a muscle injury and also notes that "the cardinal signs and symptoms of muscle disability [include] loss of power [and] weakness." 38 C.F.R. § 4.56 (2012).
Furthermore, the VA Clinician's Guide is designed to provide guidance to clinicians performing compensation and
pension (C&P) examinations, and because the July 2010 examination was a C&P examination, the guide's provisions have general applicability here. Camacho v. Nicholson, 21 Vet.App. 360, 364 (2007) ("The VA Clinician's Guide . . . is a guide to VA doctors providing generalized direction for the proper conduct of disability examinations.").
The VA Clinician's Guide provides clinicians with guidance for testing muscle weakness. VA CLINICIAN'S GUIDE, s. 0.1, 11.7 (important elements of a disability examination for muscle disease or injury), 11.8 (standard muscle strength grading system).
In this case, the Board relied on the opinion of the July 2010 VA examiner, who concluded that Mr. Dubose did not have a "current disorder of the chest wall which is related to
9
his time in the military." R. at 280. However, the examiner reported that Mr. Dubose suffered from "questionable slight muscle wasting inferior to the [service-connected] scar." R. at 279.
After making that observation, she did not provide a conclusion as to
whether the veteran has muscle wasting, and, if so, whether it is as likely as not that the wasting or atrophy is associated with Mr. Dubose's service-connected scar. R. at 279-80. The examiner did not indicate that she had compared the muscles on the left side of Mr. Dubose's chest, where she noted "questionable wasting" below his service-connected scar, with the same muscles on the right side.
VA CLINICIAN'S GUIDE, s. 11.7(b)(2) ("When there is muscle atrophy, record the circumference of the atrophic muscle and the comparison muscle on the opposite side."). The Board, in assigning
probative weight to this opinion and using it to support the denial of
service connection, failed to explain its reliance on a medical examination report that included speculative language, as
opposed to conclusive information, concerning the existence and etiology of any muscle wasting.
In addition, the July 2010 VA examination report that the Board relied on to deny service connection found that there were no tests to assess whether weakness of the chest wall exists. R. at 279. However, given the existence of the above-cited VA rating schedule
provisions and guidance to clinicians who perform C&P examinations, the Board erred in failing to explain why it relied on a medical examination that did not include appropriate testing and assessment of muscles of the chest wall. R. at 279; see 38 C.F.R. §§ 4.40, 4.46, 4.56 ( 2012); VA CLINICIAN'S GUIDE secs. 0.1, 11.7, 11.8. In short, the examiner did not explain her conclusion and the Board, likewise, in relying on the examination report to deny service connection, did not provide reasons or bases, given the existence of VA regulations and guidance on this topic, for accepting the doctor's unexplained conclusion that such testing is not available.
Given the deficiencies in the examination report, the Board decision
should have addressed the issues discussed above. However, the Board relied on the July 2010 medical opinion without discussing or resolving these inconsistencies and inadequacies. R. at 10.
10
Therefore, the Board failed to provide an adequate statement of the
reasons or bases for its findings and conclusions, and this frustrates judicial review. See Allday
and Gilbert, both supra.
Accordingly, the Court will remand the matter so that VA may provide Mr.
Dubose with
an adequate medical examination or explain why it is not necessary to do
so, and provide an
adequate analysis of the July 2010 examination report. On remand, Mr.
Dubose 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 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 briefs and a review of the record, the Board's
July 25, 2011,
decision is VACATED and the matter is REMANDED to the Board for further
proceedings
consistent with this decision.
DATED: October 31, 2012
Copies to:
David F. Dubose
VA General Counsel (027)
11
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