Saturday, January 26, 2013
President Obama Signs VA Burn Pit Registry Law, Sec 201
On Jan. 10, 2013, President Obama signed S. 3202 which requires VA to establish a burn pits registry for Veterans who may have been exposed to burn pits in Iraq or Afghanistan. VA will announce how to sign up once the registry is available.
See http://news.yahoo.com/lawmakers-require-va-track-effects-burn-pits-085359722.html;_ylt=AwrHgFal5QNR1GkAJQKs0NUE;_ylu=X3oDMTNsYXJpbGhjBG1pdANUb3BTdG9yeSBGUARwa2cDNWUwNWE5ZWYtY2VhYS0zNTk1LTk1MjgtMDNjOTVhMWQyNDY5BHBvcwM3BHNlYwN0b3Bfc3RvcnkEdmVyAzM2YTk0YzBjLTY3YmQtMTFlMi05YzRiLTRmOTMyMTAzZjYwNw--;_ylg=X3oDMTFpNzk0NjhtBGludGwDdXMEbGFuZwNlbi11cwRwc3RhaWQDBHBzdGNhdANob21lBHB0A3NlY3Rpb25z;_ylv=3
By KEVIN FREKING, Associated Press
VA Burn Pit website http://www.publichealth.va.gov/exposures/burnpits/index.asp
S. 3202
One Hundred Twelfth Congress of the United States of America
TITLE II—HEALTH CARE
SEC. 201. ESTABLISHMENT OF OPEN BURN PIT REGISTRY.
(a) ESTABLISHMENT OF REGISTRY.—
(1) IN GENERAL.—Not later than one year after the date
of the enactment of this Act, the Secretary of Veterans Affairs
shall—
(A) establish and maintain an open burn pit registry
for eligible individuals who may have been exposed to
toxic airborne chemicals and fumes caused by open burn
pits;
(B) include any information in such registry that the
Secretary of Veterans Affairs determines necessary to
ascertain and monitor the health effects of the exposure
of members of the Armed Forces to toxic airborne chemicals
and fumes caused by open burn pits;
(C) develop a public information campaign to inform
eligible individuals about the open burn pit registry,
including how to register and the benefits of registering;
and
(D) periodically notify eligible individuals of significant
developments in the study and treatment of conditions
associated with exposure to toxic airborne chemicals and
fumes caused by open burn pits.
(2) COORDINATION.—The Secretary of Veterans Affairs shall
coordinate with the Secretary of Defense in carrying out paragraph
(1).
(b) REPORT TO CONGRESS.—
(1) REPORTS BY INDEPENDENT SCIENTIFIC ORGANIZATION.—
The Secretary of Veterans Affairs shall enter into an agreement
with an independent scientific organization to prepare reports
as follows:
(A) Not later than two years after the date on which
the registry under subsection (a) is established, an initial
report containing the following:
(i) An assessment of the effectiveness of actions
taken by the Secretaries to collect and maintain
information on the health effects of exposure to toxic
S. 3202—7
airborne chemicals and fumes caused by open burn
pits.
(ii) Recommendations to improve the collection and
maintenance of such information.
(iii) Using established and previously published
epidemiological studies, recommendations regarding
the most effective and prudent means of addressing
the medical needs of eligible individuals with respect
to conditions that are likely to result from exposure
to open burn pits.
(B) Not later than five years after completing the initial
report described in subparagraph (A), a follow-up report
containing the following:
(i) An update to the initial report described in
subparagraph (A).
(ii) An assessment of whether and to what degree
the content of the registry established under subsection
(a) is current and scientifically up-to-date.
(2) SUBMITTAL TO CONGRESS.—
(A) INITIAL REPORT.—Not later than two years after
the date on which the registry under subsection (a) is
established, the Secretary of Veterans Affairs shall submit
to Congress the initial report prepared under paragraph
(1)(A).
(B) FOLLOW-UP REPORT.—Not later than five years after
submitting the report under subparagraph (A), the Secretary
of Veterans Affairs shall submit to Congress the
follow-up report prepared under paragraph (1)(B).
(c) DEFINITIONS.—In this section:
(1) ELIGIBLE INDIVIDUAL.—The term ‘‘eligible individual’’
means any individual who, on or after September 11, 2001—
(A) was deployed in support of a contingency operation
while serving in the Armed Forces; and
(B) during such deployment, was based or stationed
at a location where an open burn pit was used.
(2) OPEN BURN PIT.—The term ‘‘open burn pit’’ means an
area of land located in Afghanistan or Iraq that—
(A) is designated by the Secretary of Defense to be
used for disposing solid waste by burning in the outdoor
air; and
(B) does not contain a commercially manufactured
incinerator or other equipment specifically designed and
manufactured for the burning of solid waste.
Tuesday, January 15, 2013
Single Judge Application; Vocational Rehab.; 38 USC 3104(a); Is Commute Part of Rehabilitation Services
Excerpts from decision below:
"The issue presented is not whether the act of riding a bicycle
is integral to the training VA authorized, but whether a participant's commute home from VA vocational rehabilitation class is within the scope of the rehabilitation services provided by VA as described in section 3104(a) and addressed in Cottle. Given Mr. Conniff's arguments, the Board's statement that it is "manifestly obvious" that riding a bicycle is not an "essential activity or function" or a "necessary component" of VA vocational rehabilitation training (38 C.F.R. § 3.361(d)(3); R. at 13), not only mischaracterizes the veteran's argument, it also does not contain the
reasoned analysis needed to support an ultimate conclusion as to the question and to enable review by this Court. See Gilbert, 1 Vet.App. at 56-57."
=============================
"However, the Board concluded that there is no proximal causal connection
between the veteran's conceded additional disability and an essential activity or function of the VA vocational rehabilitation program without adequate examination or explanation of whether an individual's commute to and from rehabilitation classes is an essential activity or necessary component of the vocational rehabilitation program and the scope of services listed in 38 U. S.C. § 3104. Therefore, the Board's conclusion as to proximate cause was premature–§ 3.361(b) informs VA's proximate
7
cause determination and is not irrelevant in this case. Therefore, the
Board's failure to consider the "essential activity" language in light of section 3104(a) is not harmless error."
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Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 11-2131
AUGUSTINE P. CONNIFF, 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: Augustine P. Conniff served in the U.S. Army from March
1987 to May
1988. Record (R.) at 4. He now appeals through counsel from a May 31, 2011,
decision of the
Board of Veterans'Appeals (Board) that deniedentitlement to compensation
under 38 U.S.C. § 1151 for multiple injuries, including status post bilateral wrist and forearm fractures, fractures of the 3rd, 4th, and 5th fingers, laceration of the knees, and laceration of the forehead,1 all claimed to have been sustained while in pursuit of a program of VA vocational rehabilitation.2
For the following reasons, the Court will set aside the Board's May 2011 decision and remand the case for readjudication consistent with this decision.
There is also evidence in the record of "impaired brain function of
moderate severity" (R. at 98), allegedly resulting from the same accident in which Mr. Conniff suffered the wrist and forearm fractures. R. at 96. The Board noted this evidence (R. at 9), but did not include brain damage in its description of the claim.
The Board also referred a claim for entitlement to service connection for
arthritis in the wrists and knees for development. Normally, the Court does not have jurisdiction over a referred claim. See Link v. West, 12 Vet.App. 39, 47 (1998) ("Claims that have been referred by the Board to the [VA
regional office] are not ripe for review by the Court."). But see Young v. Shinseki, 25 Vet.App. 201 (2012) (en banc order) (Court has limited jurisdiction to review the propriety of referring rather than remanding a portion of a claim properly before the Court). Because Mr. Conniff
raises no argument as to the propriety of the referral, the Court will
give no further consideration to that matter.
2
1
I. FACTS
Beginning in 2004, Mr. Conniff participated in
aVAvocationalrehabilitationprogramunder
title 38 U.S.C., chapter 31 (R. at 323, 719); the program included a
course of study at Arkansas State
University Mountain Home. See R. at 13. On June 7, 2007, after taking a
test in connection with
the vocational rehabilitation program, he was returning home on his
bicycle and, while en route, an
automobile struck him while he was entering an intersection crosswalk. R.
at 331, 334, 337-38. His
injuries included "[two] double breaks in the bones of each forearm, both
wrists [] shattered, and
. . . three broken fingers on the right (major) hand." R. at 719. He
apparently also sustained a "large
laceration superior left skull," which required 10 sutures. R. at 8. The
driver of the automobile "was
at fault for failure to yield and careless driving. [S]he was issued two
citations." R. at 334 (police
report).
On June 25, 2007, Mr. Conniff submitted a claim for compensation for his
injuries under
38 U.S.C. § 1151. The regional office denied the claim on the basis that "[
t]here [was] no action on
the part of the VA that resulted in the accident that caused [the]
additional disabilities and [the]
travel from the site of VA's vocational rehabilitation training was not an
act performed in [pursuit]
of vocational training, that is, a required learning activity." R. at 292.
On appeal to the Board, Mr. Conniff's representative argued that under
Cottle v. Principi,
14 Vet.App. 329 (2001), "the phrase 'in the pursuit of a course of
vocational rehabilitation' embraces
a full programof rehabilitation[,] which includes educational, vocational,
and employment services,
and which ends when the veteran has been declared rehabilitated." R. at
137. He argued that "the
injuries [Mr. Conniff] sustained while traveling on his way home . . .
arose out of and in the course
of his vocational rehabilitation [t]raining." Id. He cited a case from the
Arkansas Supreme Court
that granted worker's compensation benefits under a "coming and going"
rule for an in-home
assistant who used her own vehicle to travel to and from her patients'
homes. The representative
argued that like the plaintiff in that case, Mr. Conniff "was acting
within the course of his
employment with [the VA] Vocational Rehabilitation Training [Program] at
the time his injuries
were sustained." R. at 138.
In the decision here on appeal, the Board found that "[r]iding a bicycle
was not a necessary
component of the training or services program authorized for the Veteran."
R. at 5. The Board
asserted that "[i]t is manifestly obvious that riding a bicycle was not an
'essential activity or function'
2
of [the] training, nor was it a 'necessary component' of the training he
was receiving." R. at 13; see
38 C.F.R. § 3.361(d)(3) (2012). The Board reasoned that "[t]he VA
training program did not cause
the Veteran's injuries; misadventure and a careless driver of another
vehicle on a public highway
did." Id. The Board concluded that "[t]here is nothing in the law,
regulations or court decisions
which make VA an insurer with respect to injuries sustained via activities
which are only
tangentially connected with VA programs, such as traveling to and from
such programs." Id.
The Board interpreted the statute and regulation to exclude Mr. Conniff's
claim under the
proximate causation requirement. The Board concluded that: "[T]here is no
proximal causal
connection between the multiple injuries, involving the wrists, forearms,
knees and left forehead,
sustained in the June 2007 bicycle accident and an essential activity or
function which was within
the scope of the VA rehabilitation course." R. at 13.
II. ANALYSIS
A. Applicable Law and Regulations
Under 38 U.S.C. § 1151(a), compensation "shall be awarded for a
qualifying additional
disability in the same manner as if such additional disability were
service[ ]connected" if the
disability was
(a) . . . not the result of the veteran's willful misconduct and –
(2) . . . was proximately caused [] by the provision of training and
rehabilitation services by the Secretary (including by a service-provider
used
by the Secretary for such purpose under section 3115 of this title) as
part of
an approved rehabilitation program under chapter 31 of this title . . . .
38 U.S.C. § 1151(a). Thus, to obtain benefits under 38 U.S.C. § 1151(a),
Mr. Conniff, who was
participating in a VA vocational rehabilitation program, must show: (1) A "
qualifying additional
disability," (2) proximately caused by the provision of VA training and
rehabilitation services under
chapter 31. Id.
To establish that the provision of training and rehabilitation services "
proximately caused
a veteran's additional disability . . . it must be shown that the
veteran's participation in an essential
activity or function of the training, services, or CWT (Compensated Work
Therapy) provided or
authorized by VA proximately caused the disability." 38 C.F.R. § 3.361(d)(
3) (emphasis added).
3
"It need not be shown that VA approved that specific activity or function,
as long as the activity or
function is generally accepted as being a necessary component of the
training, services, or CWT
program that VA provided or authorized." Id. (emphasis added). The
regulation further states that
"[t]he proximate cause of disability . . . is the action or event that
directly caused the disability . . .
as distinguished from a remote contributing cause." 38 C.F.R. § 3.361(d).
The Board is required to consider all evidence of record and discuss all "
potentially applicable" provisions of law and regulation. Schafrath v. Derwinski, 1 Vet.App. 589, 593 (1991); see 38 U.S.C. § 7104(a); Weaver v. Principi, 14 Vet.App. 301, 302 (2001) (per curiam order). In
rendering its decision, the Board must also provide a statement of reasons
or bases that is adequate to enable an appellant to understand the precise basis for that decision and to facilitate review in this Court. 38 U.S.C. § 7104(d)(1); see Allday v. Brown, 7 Vet.App. 517, 527 (1995); Gilbert v.
Derwinski, 1 Vet.App. 49, 56-57 (1990). To comply with these requirements,
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). The Court reviews the Board's interpretation of the statute and regulations de novo. See 38 U.S.C. § 7261(a); Martin v. Brown, 6 Vet.App. 272, 274 (1994).
B. Summary of the Parties' Arguments
Mr. Conniff argues, inter alia, that his commute
fromhisVAvocationalrehabilitationclasses
was "an essential activity or function" of that program. Appellant's Br.
at 10-11. Mr. Conniff
further argues that the Board erred in failing to fully address an
argument raised below, to the effect
that a rehabilitation program includes a panoply of services directed at
rehabilitating a veteran, all
of which are essential activities or functions of the training.
Appellant's Br. at 9 (citing Cottle,
supra). In Cottle, the Court construed a phrase in a former version of
section 1151,3 which provided for benefits when a veteran was injured in "pursuit of a course of vocational rehabilitation." Id. at Section 1151 was amended in 1996; the amendment applied to cases filed on or after October 7, 1997. Cottle, 14 Vet.App. at 332. The amended language did not include the phrase "pursuit of a course of vocational rehabilitation."
Because Mr. Conniff's claim was received by VA in June 2007 (R. at 11),
the version of the statute considered in Cottle does not apply to Mr. Conniff's claim. However, the Cottle Court remarked: "We note that the current version of section 1151 provides for the same eligibility." Cottle, 14 Vet.App. at 337.
Therefore, the Court perceives no alteration to the logic of the case inhering in the amendment to the statute.
3
4
332. The Court held that a veteran who injured his back while working for
a city transit system while on a probationary period of employment obtained through a VA rehabilitation program, but who had not been certified as rehabilitated, had a claim for benefits under section 1151 because
"employment services" was within the scope of the rehabilitation program.
Id. at 337. Mr. Conniff argues that his Cottle argument, raised before the Board, "should have prompted a discussion of 38 U.S.C. § 3104(a)," which provides in part that the Secretary may provide participants in the VA
vocational rehabilitation program with travel and incidental expenses and,
in some cases, a special transportation allowance. Appellant's Br. at 9-10.
Mr. Conniff also raises to this Court an argument submitted to the Board, "
regarding the 'coming and going rule' under the Workers' Compensation Act."4
Appellant's Br. at 8-9; see also R. at 122, 124, 140-44. Mr. Conniff also implies that the Board erred by failing to mention a regulation requiring a "meticulous examination into all the circumstances . . . including a
consideration of the time and place of the incident producing the injury,"
in order to determine the scope of the rehabilitation program (Appellant's Br. at 11-12).5 38 C.F.R. § 3.358(c)(5) (2012).
The Secretary responds, inter alia, that nothing in Cottle pertained to
the issue of whether a commute to or from a "course of vocational rehabilitation"was within the purview of section 1151. Secretary's Br. at 11. He concludes that the Board did not err in failing to discuss Cottle or the provisions of 38 U.S.C. § 3104, or alternatively, that the error was harmless because Mr. Conniff has not demonstrated that VA caused his additional disabilities. Id. at 12.
C. Whether Veteran's Commute Home From a VA Vocational Rehabilitation
Class is an Essential Activity or Function of the Vocational Rehabilitation Program Section 3104 of title 38, U. S. Code, which defines the "Scope of Services and Assistance" of the VA vocational rehabilitation program, provides in part:
(a) Services and assistance which the Secretary may provide under this
chapter,
The Court has cautioned against importing regulations from another body of
benefits law in the adjudication
of VA claims. See Beaty v. Brown, 6 Vet.App. 532, 538 (1994) ("There is no
statutory or regulatory authority for the determinative application of SSA [Social Security Administration] regulations to the adjudication of VA claims."). For this reason, the Court does not find that consideration of the "coming and going" rule under the Workers' Compensation Act to be of assistance in resolving this case. The Court will not further discuss this argument.
Section 3.361 applies to claims received by VA after October 1, 1997. 38 C.
F.R. § 3.361(a)(1). Section 3.358 applies to claims received by VA prior to October 1, 1997. 38 C.F.R. § 3.358(a) (2012). As the Board noted, Mr.
Conniff's claim was received in June 2007. R. at 7. Therefore, his
arguments based on § 3.358 are misplaced.
5
4
5
pursuant to regulations which the Secretary shall prescribe, include the
following:
*****
(13) Travel and incidental expenses under the terms and conditions set
forth in section 111 of this title, plus, in the case of a veteran who
because of
such veteran's disability has transportation expenses in addition to those
incurred
by persons not so disabled, a special transportation allowance to defray
such
additionalexpensesduringrehabilitation,jobseeking, andtheinitialemployment
stage.
*****
(15) Services necessary to enable a veteran to achieve maximum
independence in daily living.
38 U.S.C. § 3104. Mr. Conniff points out that this Court has stated that
the purpose of chapter 31
benefits is "'to provide all services and assistance necessary to enable
veterans . . . to become
employable and to maintain suitable employment.'" Id. (quoting Cottle, 14
Vet.App. at 332).
"Consequently," Mr. Conniff reasons, he "was entitled to reimbursement for
travel and incidental expenses during his vocational rehabilitation." Appellant's Br. at 10. Mr. Conniff concludes "that transportation to and from courses provided as a part of a vocational rehabilitation program is an
'essential activity or function' of that program." Id. at 10-11. He adds:
There is no question that had Mr. Conniff sought reimbursement for
transportation expenses to and from his vocational courses, VA would have been obligated to pay him. Where, like here, a veteran uses a mode of transportation that does not have any costs associated with it, that does not eviscerate the fact that transportation to and from classes is an essential activity or function necessary for participation in the
program. Therefore, because Mr. Conniff was participating in an essential
activity or function of his vocational program at the time of his disabling
injuries, he is entitled to compensation under the provisions of 38 U.S.C. § 1151 for his additional disability. Id. at 11.
This argument presents the issue whether a commute home from a vocational
rehabilitation program is to be regarded as within the scope of the services that VA provides in connection with such a program. The record shows that this argument was amply presented to the Board. See R. at
124-27, 135-39, 237. The Board's purported reasoning, that "[i]t is
manifestly obvious that riding a bicycle was not an 'essential activity or function' of this training, nor . . . a 'necessary component' of the training he was receiving" (R. at 13), mischaracterized rather than
confronted Mr. Conniff's
6
argument. The issue presented is not whether the act of riding a bicycle
is integral to the training VA authorized, but whether a participant's commute home from VA vocational rehabilitation class is within the scope of the rehabilitation services provided by VA as described in section 3104(a) and addressed in Cottle. Given Mr. Conniff's arguments, the Board's statement that it is "manifestly obvious" that riding a bicycle is not an "essential activity or function" or a "necessary component" of VA vocational rehabilitation training (38 C.F.R. § 3.361(d)(3); R. at 13), not only mischaracterizes the veteran's argument, it also does not contain the
reasoned analysis needed to support an ultimate conclusion as to the question and to enable review by this Court. See Gilbert, 1 Vet.App. at 56-57.
The Court will therefore set aside the Board decision and remand the case.
On remand, the
Board should address whether the commute to and from rehabilitation
classes that are part of a
program of vocational rehabilitation is an essential activity or function
or necessary component of
the rehabilitation services furnished by VA, in view of the Court's
decision in Cottle and
38 U.S.C. §§ 3104(a)(13) & (15).
As to proximatecause,thepertinent regulation states that "[t]he proximate
cause ofdisability
. . . is the action or event that directly caused the disability . . . as
distinguished from a remote
contributing cause." 38 C.F.R. § 3.361(d). In assessing proximate
causation in the context of the
VA vocational rehabilitation program specifically, the regulation provides
that "[t]o establish that
the provision of training and rehabilitation services [ ] proximately
caused a veteran's additional
disability . . . it must be shown that the veteran's participation in an
essential activity or function of
the training . . . proximately caused the disability." 38 C.F.R. § 3.361(
d)(3). Here, the Board
concluded: "[T]here is no proximal causal connection between the multiple
injuries, involving the
wrists, forearms, knees and left forehead, sustained in the June 2007
bicycle accident and an
essential activity or function which was within the scope of the VA
rehabilitation course." R. at 13.
However, the Board concluded that there is no proximal causal connection
between the veteran's conceded additional disability and an essential activity or function of the VA vocational rehabilitation program without adequate examination or explanation of whether an individual's commute to and from rehabilitation classes is an essential activity or necessary component of the vocational rehabilitation program and the scope of services listed in 38 U. S.C. § 3104. Therefore, the Board's conclusion as to proximate cause was premature–§ 3.361(b) informs VA's proximate
7
cause determination and is not irrelevant in this case. Therefore, the
Board's failure to consider the "essential activity" language in light of section 3104(a) is not harmless error. See 38 U.S.C. § 7261(b)(2) (requiring the Court to take due account of prejudicial error). Remand will
provide the Board the opportunity to assess proximate causation after full
consideration of the
veteran's argument that a vocational rehabilitation participant's commute
to and from rehabilitation
classes is an essential activity or function of the program.
On remand, Mr. Conniff will be free to submit additional evidence and
argument in support
of his claim, and the Board is required to consider any such evidence and
argument. See Kay v.
Principi, 16 Vet.App. 529, 534 (2002). A final decision by the Board
following the remand herein
ordered will constitute a new decision that, if adverse, may be appealed
to this Court on the filing
of a new Notice of Appeal with the Court not later than 120 days after the
date on which notice of
the Board's new final decision is mailed to the appellant. See Marsh v.
West, 11 Vet.App. 468, 472
(1998).
III. CONCLUSION
Based on the foregoing, the Court SETS ASIDE the Board's May 31, 2011,
decision with
respect to the section 1151 claim and remands the matter for
readjudication consistent with this
decision.
DATED: January 2, 2013
Copies to:
Judy J. Donegan, Esq.
VA General Counsel (027)
8
Thursday, January 10, 2013
Single Judge Application, 3.303(b); Only Requires Consistent Postservice Reoccurrence of the Same Symptoms
Excerpt from decision below:
"Second, the Board's statement that intermittent but continuous symptoms –i.e., back and hip pain that occurred "off and on" since service–can never establish continuity of symptoms under § 3.303(b) is overbroad. R. at 10. Contrary to the Board's finding, continuity of symptoms under § 3.303(b) does not require that postservice symptoms be constant; it requires only the consistent postservice reoccurrence of the same symptoms experienced in service. For example, an episodic disability that occurs repeatedly after service may be subject to service connection via continuity of symptoms under § 3.303(b). See, e.g., Vanderpool v. Derwinski, 3 Vet.App. 273, 277-78 (1992)(remanding for the Board to consider whether the veteran's episodic headaches could be service connected based on, inter alia, continuity of symptomatology). The record in this case contains evidence of such reoccurring, episodic symptoms, which the Board appears to have impermissibly rejected based on its misunderstanding of § 3.303(b). R. at 329 (September 2007 NOD describing "chronic" low back and bilateral hip conditions beginning in May 1986, which "continue[d] throughout [her] military career" and necessitated "continual care and treatment"), 171 (June 2008 report of a history of back and hip pain "off and on since the 1980s," with episodes lasting one week at a time), 279 (July2008 report of back and hip pain beginning in 2005 that "comes and goes"), 166 (August 2008 report of a "history of low back pain going to both hips since [the] 1980s"), 141-42(August 2008 physical therapy records reflecting "constant"
low back pain that began in 2004),86-93
9
(May2009 Board hearing testimony reflecting back and hip pain since an in-
service incident in 1986 and exacerbated by the birth of her second child in 2005), 41 (December 2009 VA medical examination noting "back pain on and off since 1986"). The Board's failure to properly consider that
potentially favorable evidence thus constitutes error. See Caluza, 7 Vet.
App. at 506."
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Designated for electronic publication only
UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS
NO. 11-3573
TABITHA L. LYLES, 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 Tabitha L. Lyles, who is self-represented, appeals
a July 26, 2011, Board of Veterans' Appeals (Board) decision denying entitlement to
service connection for a
low back strain and a bilateral hip strain.1
Record (R.) at 3-13. This appeal is timely, and the Court
has jurisdiction to review the Board's decision pursuant to 38 U.S.C. §§
7252(a) and 7266(a).
Single-judge disposition is appropriate in this case. See Frankel v.
Derwinski, 1 Vet.App. 23, 25-26
(1990). For the reasons that follow, the Court will set aside the July
2011 Board decision and
remand the matter for further development, if necessary, and
readjudication consistent with this
decision.
I. FACTS
Ms. Lyles served on active duty in the U.S. Navy from December 1985 to
March 2006. R.
at 1117. Her service medical records (SMRs) reflect treatment for hip and
back pain, variously
diagnosed as mild muscle strain and musculoligamentous back pain. R. at
878 (May1986 complaint
The Board also remanded Ms. Lyles's claimfor service connection for carpal
tunnel syndrome of the left wrist.
Because a remand is not a final decision of the Board subject to judicial
review, the Court does not have jurisdiction to
consider that claim 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) (2012).
1
of hip and low back pain), 876 (July 1992 complaint of low back pain),
775 (July 1999 report of a
history of low back pain), 739 (October 2004 complaint of postpartum back
pain), 886 (December
2005 report of a history of back spasms for which she did not seek
treatment), 889-90 (December
2005 report of a history of recurrent back pain and back spasms since an
August 2005 cesarean
section). However, no spine or musculoskeletal abnormalities were noted
upon her separation from
service. R. at 820-22.
In February 2007, within one year from separation from service, Ms. Lyles
filed a claim for
service connection for, inter alia, low back strain and bilateral hip pain.
R. at 416-26. She
underwent a VA medical examination for those conditions in April 2007. R.
at 372-77. Ms. Lyles
complained of low back pain, weakness, and stiffness, as well as bilateral
hip pain, weakness, and
instability (R. at 372-73), but x-rays taken at that time revealed a
normal lumbar spine and hips (R.
at 376-77). Based on those x-rays, as well as a physical examination, the
examiner diagnosed Ms.
Lyles with lumbar and bilateral hip strains. R. at 375.
Later that month, a VA regional office (RO) issued a decision denying
entitlement to service
connection for a low back strain and bilateral hip strain. R. at 356-67.
Ms. Lyles filed a timely
Notice of Disagreement (NOD) with that decision in September 2007, in
which she asserted that her
low back and bilateral hip conditions were "chronic and severe in nature,"
began in May 1986 and
"continue[d] throughout [her] military career," and necessitated "
continual care and treatment." R.
at 329. She subsequently perfected her appeal.2
In the meantime, in October 2007, Ms. Lyles sought treatment for bilateral
hip pain of one
year's duration. R. at 287. X-rays taken at that time revealed "[n]ormal
hips,"and she was diagnosed
with a "chronic sacroiliac sprain."3
R. at 289-90.
The Court notes that the record of proceedings does not contain the pages
cited in the Secretary's brief
regarding the filing of a Substantive Appeal. See Secretary's Brief (Br.)
at 4 (citing R. at 240-45). The Court advises
the Secretary to take greater care in compiling the record of proceedings,
particularly in appeals with self-represented
appellants. See U.S. VET. APP. R. 28.1(a) (requiring the Secretary to
prepare and file the record of proceedings).
"Sacroiliac" "denot[es] the joint or articulation between the sacrum and
ilium and the ligaments associated
therewith." DORLAND'SILLUSTRATEDMEDICALDICTIONARY1662 (32d ed. 2012) [
hereinafter DORLAND'S]. The sacrum
is "the triangular bone just below the lumbar vertebrae." Id. The "ilium"
or "iliac bone" is "the expansive superior
portion of the ox coxae (hip bone)." Id. at 1341.
3
2
2
During a June 2008 neurological examination, Ms. Lyles reported a history
of low back pain
"off and on since the 1980s," which "goes to both hips." R. at 171. She
was diagnosed with
intermittent cervical spine pain, intermittent low back pain with
radiation to the hips, and a history
of bursitis of both hips. R. at 173.
The following month, Ms. Lyles sought further treatment for bilateral
sacroiliac joint pain
that "comes and goes," which began after the birth of her second child in
2005. R. at 279. She was
diagnosed with a back strain in the sacroiliac region. R. at 280.
In August 2008, Ms. Lyles underwent another neurological examination,
wherein she
reported a "history of low back pain going to both hips since [the] 1980s."
R. at 166. A review of
past x-rays revealed a normal cervical and lumbar spine, and Ms. Lyles was
again diagnosed with
intermittent cervical spine pain, intermittent low back pain with
radiation to the hips, and a history
of bursitis of both hips. R. at 167. Later that month, Ms. Lyles began a
physical therapy program
to treat her lumbago, which she described as a "constant" low back pain
that began four years
earlier.4
R. at 141-42.
In May2009, Ms. Lyles was again treated for low back and hip pain. R. at
144. X-rays taken
the following month indicated that her spine was normal. R. at 145.
Later that month, Ms. Lyles testified at a Board hearing. R. at 67-101.
She stated that her
back and hip pain began in service in 1986 after she jumped onto a
refueling probe, and was
exacerbated by lifting and carrying boxes of paper. R. at 86-87. She
further explained that her back
pain became "debilitating" after the birth of her second child in 2005. R.
at 87. Military doctors
initiallycharacterized herincreasedsymptoms aspostpartumpain,
despiteherreports ofhavingbeen
"pricked with a needle during an epidural." R. at 88. According to Ms.
Lyles, her low back and hip
pain continued after service and she sought treatment for those conditions
as early as September
2006. R. at 88-93.
In November 2009, the Board issued a decision that, in pertinent part,
remanded her claims
for serviceconnection forlowbackandbilateral hip strains for
furtherdevelopment, including a new
VA medical examination addressing the etiology of those conditions. R. at
52-64.
4
Lumbago is "a nonmedical term for any pain in the lower back." DORLAND'S
at 1076.
3
Ms. Lyles attended that examination in December 2009. R. at 41-44. After
reviewing her
claims file, obtaining a subjective medical history, and performing a
physical examination, the
examiner diagnosed Ms. Lyles with a lumbosacral strain, bilateral
sacroiliac joint dysfunction, and
bilateral trochanteric bursitis.5
R. at 41-42. The examiner opined that it was "less likely as not" that
Ms. Lyles's low back and bilateral hip disabilities were incurred in or
aggravated by service. R. at
43. The examiner provided the following rationale for his opinion:
The service treatment records indicated the veteran complained of back
spasms after
her C-section, but do not necessary [sic] indicate the presence of a
chronic ongoing
problem with her back. There is no medical treatment since 09/07/1992 for
low back
pain during service. The veteran was also seen on one occasion for left
hip pain, on
05/06/1986, and was diagnosed with a mild muscle strain. Thus, there is a
lack of
clinical evidence to support the veteran's claim that her low back and hip
disabilities
were incurred in or aggravated by service.
R. at 43-44.
In July 2011, the Board issued the decision currently on appeal, which
denied entitlement to
service connection for a low back strain and a bilateral hip strain. R. at
3-13. The Board first found
that "any statements of record made by the Veteran claiming that her
disabilities were the result of
an injury in service are not competent evidence of her disorders'
etiologies as the Veteran is a lay
person without the medical expertise to render such a diagnosis." R. at 9-
10 (citing Espiritu v.
Derwinski, 2 Vet.App. 492, 494-95 (1992)). The Board therefore afforded
her statements "little
weight," instead favoring the negative nexus opinion from the December
2009 VA medical
examiner. R. at 10. The Board also found that Ms. Lyles's statements of
continuing back and hip
pain since service did not establish continuity of symptoms because "
several treatment records
indicate that her pain was 'off and on' rather than continuous since her
discharge from active military
service." Id. Consequently, the Board found that the preponderance of the
evidence was against her
claims. R. at 10-11. This appeal followed.
5
"Trochanteric" refers to the "hip region." DORLAND'S at 1618.
4
II. ANALYSIS
A. Claims on Appeal
Asan initial matter, the Court notes that Ms. Lyles's
informalbriefreferstoclaimsforservice
connection for carpal tunnel syndrome of the right wrist, chronic rhinitis,
and chronic sinusitis, none
of which were the subject of the Board decision currentlyon appeal. See
Appellant's Br. at 1-2. Ms.
Lyles was awarded service connection for carpal tunnel syndrome of the
right wrist in September
2008 (R. at 207-14) and for chronic rhinitis (also claimed as chronic
sinusitis) in November 2009
(R. at 52-64). The record does not indicate that she disagreed with the
disability evaluations or
effective dates assigned for those conditions and, therefore, those issues
are not in appellate status.
See Holland v. Gober, 10 Vet.App. 433, 436 (1997) (holding that a claimant
must file an NOD
following an award of service connection if he or she wishes to appeal the
downstream elements of
disability evaluation or effective date (citing Grantham v. Brown, 114 F.
3d 1156, 1158 (Fed. Cir.
1997))).
A review of the June 2011 brief that Ms. Lyles's veterans service
organization
representative submitted to the Board confirms that she did not wish to
appeal any aspect of the
decisions awarding service connection for carpal tunnel syndrome of the
right wrist, chronic rhinitis,
or chronic sinusitis. R. at 16-19 (failing to mention those conditions and
listing the issues on appeal
as "Did the agency of original jurisdiction (AOJ) err when it denied
service connection for low back
strain? Did the AOJ err when it denied service connection for bilateral
hip strain? Did the AOJ err
when it denied service connection for carpal tunnel syndrome of the left
wrist?"); see Fenderson v.
West, 12 Vet.App. 119, 130 (1999) (examining the contents of a brief
submitted to the Board to
discern whether certain issues had been appealed). Absent a final Board
decision addressing the
awards of service connection for carpal tunnel syndrome of the right wrist
and chronic rhinitis (also
claimed as chronic sinusitis), the Court lacks jurisdiction to address Ms.
Lyles's arguments related
to those claims. See Howard, 220 F.3d at 1344.
Likewise, Ms. Lyles's informal brief also contains arguments pertaining to
her claim for
service connection for carpal tunnel syndrome of the left wrist, which was
remanded by the Board.
See Appellant's Br. at 1-2. As explained in footnote 1, supra, a Board
remand is not a final decision
of the Board over which the Court has jurisdiction. See Howard, 220 F.3d
at 1344; Breeden,
5
17 Vet.App. at 478; 38 C.F.R. § 20.1100(b). Therefore, the Court is also
precluded from addressing
arguments related to that claim.
The only claims that the Board finally decided in the July 2011 decision
currently on appeal
are for service connection for low back and bilateral hip strains. R. at 3-
13. The Court therefore has
jurisdiction to review the Board's decision on those claims.
B. Service Connection for Low Back and Bilateral Hip Strains
Ms. Lyles asserts that the Board's statement of reasons or bases for its
decision was
inadequate. Specifically, she expresses confusion as to why her back and
hip disabilities were not
consideredchronicdisabilitiesunder38C.F.R.§3.303(b)andwhytheBoard
rejectedherstatements
of continuity of symptoms. See Appellant's Br. at 1-2. The Court agrees
that the Board failed to
adequately explain its findings on those issues.
Establishing service connection generally requires medical or, in certain
circumstances, lay
evidence of (1) a current disability, (2) incurrence or aggravation of a
disease or injury in service,
and (3) a nexus between the claimed in-service disease or injury and the
current disability. See
Davidson v. Shinseki, 581 F.3d 1313, 1316 (Fed. Cir. 2009); Shedden v.
Principi, 381 F.3d 1163,
1166-67 (Fed. Cir. 2004). However, service connection may also be
established by demonstrating
chronicity or continuity of symptoms. See Rose v. West, 11 Vet.App. 169,
171 (1998); Savage v.
Gober, 10 Vet.App. 488, 495-98 (1997); 38 C.F.R. § 3.303(b) (2012). The
Board's determination
regarding entitlement to service connection is a finding of fact that the
Court reviews under the
"clearly erroneous" standard of review. 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)).
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 Board's statement of reasons or
bases must be adequate to
enable a 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
6
Board must analyze the credibilityand 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 Board is also required to
consider and discuss all
applicable provisions of law and regulation in its decision. 38 U.S.C. §
7104(a); see Schafrath v.
Derwinski, 1 Vet.App. 589, 593 (1991).
1. Chronicity
In the instant case, the Board did not expressly address whether Ms.
Lyles's back and hip
disabilities were chronic disabilities subject to service connection under
§ 3.303(b), despite her
assertions
thatthosedisabilitieswerechronicanddespiteevidencethatreasonablyraisedthat.
See Robinson v. Peake, 21 Vet.App. 545, 553 (2008) (holding that the Board
is required to consider
all theories of service connection that are reasonably raised by the
claimant or the evidence of
record), aff'd sub nom. Robinson v. Shinseki, 557 F.3d 1355 (Fed. Cir.
2009). Specifically, in the
NOD that precipitated this appeal, Ms. Lyles described her low back and
bilateral hip disabilities as
"chronic and severe in nature." R. at 329. The record contains evidence of
back and hip pain
beginning in May 1986 and continuing throughout and after service (R. at
86-93, 141-42, 144, 166-
67, 171, 173, 279-80, 287, 739, 775, 876, 878, 886, 889-90), as well as a
postservice diagnosis of
a "chronic sacroiliac sprain" in October 2007 (R. at 289). See Savage, 10
Vet.App. at 495 (holding
that "evidence contemporaneous with service or the presumption period or
evidence that is post
service or post presumption period may suffice" to establish a chronic
disability). Although a
"diagnosis including the word'[c]hronic'" in and of itself is not
sufficient to establish that a condition
is chronic, such a diagnosis, alongwith repeated
manifestationsofadisabilityin service, is sufficient
to raise the issue of service connection based on a theory of chronicity.
38 C.F.R. § 3.303(b) ("For
the showing of chronic disease in service thereis required a combination
of manifestations sufficient
to identify the disease entity, and sufficient observation to establish
chronicity at the time, as
distinguished from merely isolated findings or a diagnosis including the
word '[c]hronic.'").
The Court is unpersuaded by the Secretary's contention that "the medical
evidence does not
indicate that [Ms. Lyles]'s conditions could be considered chronic."
Secretary's Br. at 12. That
argument is premised on the Secretary's interpretation of the medical and
lay evidence of record,
7
which amounts to nothing more than an impermissible post hoc
rationalization for the Board's
actions. See Doty v. United States, 53 F.3d 1244, 1251 (Fed. Cir. 1995) ("
'Courts may not accept
appellate counsel's post hoc rationalizations for agencyaction. It is well
established that an agency's
action must be upheld, if at all, on the basis articulated bythe
agencyitself.'" (quoting Motor Vehicle
Mfrs. Ass'n of the U.S., Inc. v. State Farm Mut. Auto. Ins. Co., 463 U.S.
29, 50 (1983))).
Moreover,theSecretary's relianceontheDecember2009VAmedicalexaminer's
conclusion
that Ms. Lyles's treatment records "did not indicate 'a chronic ongoing
problem with her back'" is
misplaced because the examiner's opinion is equivocal as to the presence
of a chronic disability.
Secretary's Br. at 12 (quoting R. at 44). That opinion states that Ms.
Lyles's servicetreatment records
"do not necessar[il]y indicate the presence of a chronic ongoing problem
with her back" (R. at 43-44
(emphasis added)), which implies equally that her service treatment
records do not necessarily
preclude a finding that her back disability is chronic. See Obert v. Brown,
5 Vet.App. 30, 33 (1993)
(stating that a medical opinion stating that a claimant "may" have been
showing symptoms implied
that the claimant "may not" have been showing symptoms). Thus, the
December 2009 VA medical
opinion is speculative, and therefore inadequate, with regard to the issue
of the presence of a chronic
low back disability, and the Secretary may not rely on it to support his
argument.6
See Bloom v.
West, 12 Vet.App. 185, 187 (1999) (holding that a medical opinion phrased
in speculative terms is
inadequate); Tirpak v. Derwinski, 2 Vet.App. 609, 611 (1992) (same).
Accordingly,theCourt concludes
thattheBoardprovidedaninadequatestatementofreasons
or bases for its decision to deny Ms. Lyles service connection for low
back and bilateral hip strains
because it failed to address the reasonably raised issue of whether those
disabilities were chronic.7
The December 2009 VA medical opiniondoes not contain a similar discussion
of whether Ms. Lyles's bilateral
hip strain is a chronic disability.
The Court notes that the Board addressed whether Ms. Lyles's lay
statements established continuity of
symptoms, whichitwould not have been required to do unless it found that
her back and hip disabilities were not chronic.
See 38 C.F.R. § 3.303(b) ("Continuity of symptomatology is required only
where the condition noted during service (or
in the presumptive period) is not, in fact, shown to be chronic or where
the diagnosis of chronicity may be legitimately
questioned."). Evenifthe Board's discussion of continuityof symptoms
evinces an implicit finding that those disabilities
were not chronic, the Court would nevertheless find the Board's statement
of reasons or bases inadequate because it did
not provide any explanation for this finding, including why it rejected
the potentially favorable evidence of chronicity
outlined above. See Caluza, 7 Vet.App. at 506.
7
6
8
See Previous DocumentMassieNext Document v. Shinseki, 25 Vet.App. 123, 129 (2011) (citing Robinson, 557
F.3d at 1362); Schafrath,
1 Vet.App. at 593; Gilbert, 1 Vet.App. at 57.
2. Continuity of Symptoms
The Board found that the evidence of record did not establish continuity
of Ms. Lyles's back
and hip symptoms because she only "sporadically sought treatment for back
and hip pain after
service" and "several treatment records indicate that her pain was 'off
and on' rather than continuous
since her discharge from active military service." R. at 10. The Court
discerns several errors in this
analysis.
First, "symptoms, not treatment, are the essence of any evidence of
continuity of
symptomatology." Savage, 10 Vet.App. at 496. Therefore, to the extent that
the Board focused on the continuity of Ms. Lyles's postservice treatment, rather than the continuity of her postservice back and hip pain, it committed error.
Second, the Board's statement that intermittent but continuous
symptoms–i.e., back and hip pain that occurred "off and on" since service–can never establish continuity of symptoms under § 3.303(b) is overbroad. R. at 10. Contrary to the Board's finding, continuity of symptoms under § 3.303(b) does not require that postservice symptoms be constant; it requires only the consistent postservice reoccurrence of the same symptoms experienced in service. For example, an episodic disability that occurs repeatedly after service may be subject to service connection via continuity of symptoms under § 3.303(b). See, e.g., Vanderpool v. Derwinski, 3 Vet.App. 273, 277-78 (1992)(remanding for the Board to consider whether the veteran's episodic headaches could be service connected based on, inter alia, continuity of symptomatology). The record in this case contains evidence of such reoccurring, episodic symptoms, which the Board appears to have impermissibly rejected based on its misunderstanding of § 3.303(b). R. at 329 (September 2007 NOD describing "chronic" low back and bilateral hip conditions beginning in May 1986, which "continue[d] throughout [her] military career" and necessitated "continual care and treatment"), 171 (June 2008 report of a history of back and hip pain "off and on since the 1980s,"with episodes lasting one week at a time), 279 (July 2008 report of back and hip pain beginning in 2005
that "comes and goes"), 166 (August 2008 report of a "history of low back pain going to both hips since [the] 1980s"), 141-42 (August 2008 physical therapy records reflecting "constant" low back pain that beganin 2004),86-93
9
(May2009 Board hearing testimonyreflecting back and hip pain since an in-
service incident in 1986
and exacerbated by the birth of her second child in 2005), 41 (December
2009 VA medical
examination noting "back pain on and off since 1986"). The Board's failure
to properlyconsider that
potentially favorable evidence thus constitutes error. See Caluza, 7 Vet.
App. at 506.
The Secretary argues that any error in the Board's continuity-of-symptoms
analysis was
harmless because, "even if [Ms. Lyles] had demonstrated continuity of
symptomatology, she still
needed to present competent, credible evidence of a link between this
symptomatologyand service,"
which she failed to do. Secretary's Br. at 13 (citing Savage, 10 Vet.App.
at 495-96). The Secretary's
argument is incorrect for two reasons. First, in order to establish
continuity of symptoms, a claimant
must demonstrate "a nexus between the present disability and the
postservice symptomatology" that
has continued since service, not a nexus between the symptoms and service.
Barr v. Nicholson,
21 Vet.App. 303, 307 (2007) (citing Savage, 10 Vet.App. at 495-96); 38 C.F.
R. § 3.303(b) (when
chronicityin serviceisnotadequatelysupported,continuityofsymptoms
afterdischargeisrequired).
Second, although the Board found that "the record does not contain a
competent medical opinion
linking the disabilities to the Veteran's military service" (R. at 10-11),
that finding is premised on
the Board's categorical rejection of Ms. Lyles's lay statements regarding
the etiology of her current
low back and bilateral hip disabilities. Specifically, the Board
acknowledged Ms. Lyles's statements
that those disabilities were the result of in-service injuries, but
determined that she was not
competent to provide an etiological opinion solely because she was a lay
person. R. at 9-10 ("[A]ny
statements of record made by the Veteran claiming that her disabilities
were the result of an injury
in service are not competent evidence of her disorders' etiologies as the
Veteran is a lay person
without the medical expertise to render such a diagnosis." (citing, inter
alia, Espiritu, 2 Vet.App. at
494-95)); R. at 10 ("Because the Veteran is not professionally qualified
to offer an etiological
opinion, her statements are afforded little weight as to the cause of her
back and hip disabilities.").
This view, however, has been soundly rejected by this Court and the U.S.
Court of Appeals
for the Federal Circuit. See Davidson v. Shinseki, 581 F.3d 1313, 1316 (
Fed. Cir. 2009) (stating that
a lay person is not categorically incompetent to opine as to a nexus
between a current disability and
service); Jandreau v. Nicholson, 492 F.3d 1372, 1376-77 (Fed. Cir. 2007) (
rejecting as "too broad"
theCourt'sconclusionthatmedicalevidenceis
requiredwhenthedeterminativeissueinvolves either
10
medical etiologyor a medical diagnosis); Kahana v. Shinseki, 24 Vet.App.
428, 435 (2011) (holding
that the Board's "categorical rejection" of lay evidence as not competent
to establish the cause of a
disability rendered its statement of reasons or bases inadequate). The
Board's failure to engage in
the proper analysis as to the existence of nexus evidence undermines the
Board's finding that Ms.
Lyles had not presented evidence sufficient to connect her postservice
back and hip symptoms with
her current back and hip disabilities, see Savage, 10 Vet.App. at 497 (
holding that lay evidence may
be competent to establish the necessary relationship between a current
disability and continuing,
postservice symptoms), and thus prevents the Court from concluding that
the foregoing errors were
harmless, see 38 U.S.C. § 7261(b)(2) (requiring the Court to "take due
account of the rule of
prejudicial error").
Consequently, the Court concludes that the Board's erroneous treatment of
Ms. Lyles's lay
statements regarding continuity of symptoms also rendered its statement of
reasons or bases
inadequate. See Caluza, 7 Vet.App. at 506; Gilbert, 1 Vet.App. at 57.
Remand of her claims for
service connection for low back and bilateral hip strains is therefore
warranted. See Tucker v. West,
11 Vet.App. 369, 374 (1998) ("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, a remand is the appropriate remedy."). Onremand,Ms.
Lylesisfreeto submit additional
argument and evidence 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.
III. CONCLUSION
Upon consideration of the foregoing, the July 26, 2011, Board decision is
SET ASIDE and
the matter is REMANDED for furtherdevelopment, if necessary, and
readjudication consistent with
this decision.
DATED: December 13, 2012
11
Copies to:
Tabitha L. Lyles
VA General Counsel (027)
12
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
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