Arthur HICKSON, Appellant, v. Eric K. SHINSEKI, Secretary of Veterans Affairs, Appellee.
No. 07-1311.
United States Court of Appeals for Veterans Claims.
March 31, 2010.
Further, the Board‘s discussion does not clarify the situation; it merely reiterates the examiner‘s findings and rationale without further elaboration. Therefore, the Court holds that the Board erred in accepting the examiner‘s inconclusive opinion. The Board should have remanded for clarification and perhaps for further medical opinions. The Court will now remand the service-connection claim for erectile dysfunction for further development.
E. Additional Arguments
Because the Secretary concedes that VA should issue an SOC pertaining to the right ear hearing disability, the Court also remands the matter for that purpose. In view of the Board‘s explanation of the rating for the right-ear disability, it is not clear how the absence of the SOC prejudiced the appellant. Nevertheless, the appellant had a right to substantial compliance with the Board‘s remand order. See Stegall, supra; see also Dyment v. West, 13 Vet. App. 141, 146-47 (1999) (requiring substantial compliance with a remand order).
The appellant further argues that the left and right ear disabilities are inextricably intertwined. Because the Court is remanding the left ear disability claim on another basis, we do not reach this issue.
IV. CONCLUSION
Based on the foregoing reasoning, the Court SETS ASIDE the Board‘s September 28, 2007, denial of service connection for the appellant‘s left ear hearing disability; SETS ASIDE its finding that the appellant‘s erectile dysfunction is not due to or the result of his service-connected diabetes; SETS ASIDE its determination that the criteria for an initial compensable rating for the appellant‘s service-connected right-ear hearing loss have not been met; and REMANDS these matters for further development consistent with this decision.
DAVIS, Judge, filed the opinion of the Court.
LANCE, Judge, filed a concurring opinion.
LANCE, Judge, concurring:
Although I concur in the results reached by the opinion, I write separately to clarify the point that if the medical evidence in the record indicates that a disability has only two potential causes and at least one is related to service, then the inability of the medical examiner to provide a reason why one is more likely the cause of the claimant‘s disability would place the evidence in equipoise, and the benefit of the doubt rule would apply. Gilbert v. Derwinski, 1 Vet. App. 49, 55-56 (1990). That is why it is vital that a physician be clear as to precisely what conclusion cannot be reached without resorting to speculation and why the Court reaches the outcome it does in this case.
Gayle Strommen, with whom Will A. Gunn, General Counsel; and R. Randall Campbell, Assistant General Counsel, all of Washington, D.C., were on the brief for the appellee.
Before GREENE, Chief Judge, KASOLD and DAVIS, Judges.
GREENE, Chief Judge:
Veteran Arthur Hickson appeals, through counsel, a February 5, 2007, Board of Veterans’ Appeals (Board) decision that determined there was new and material evidence to reopen his previously denied Department of Veterans Affairs (VA) service-connection claim for an acquired psychiatric disorder and denied the claim on the merits. Record (R.) at 1-29. Because prior to the Board decision a VA regional office (RO) de facto reopened Mr. Hickson‘s claim and denied it on the merits, and because Mr. Hickson has otherwise failed to demonstrate that the Board contravened
I. BACKGROUND
Mr. Hickson served in the U.S. Air Force from July 1968 to February 1969. In May 1981, he claimed VA service-connection benefits for a nervous condition, which was construed as a claim for benefits for a psychiatric disorder. The RO denied the claim in June 1981. Mr. Hickson appealed to the Board, and in September 1982, the Board denied his claim after finding that his service medical records showed that he had no evidence of a chronic psychiatric abnormality such as a psychosis or neurosis. The Board also found that his only postservice diagnosis was that of a personality disorder, which by VA regulation was a developmental defect and not a disability for which service connection could be granted. See
In February 1999, Mr. Hickson sought to reopen his disallowed claim. In August 1999, the RO determined that new and material evidence had not been submitted to reopen that claim. R. at 423-28. Although not required to by law,1 Mr. Hickson was provided a March 2004 VA medical examination and the claim otherwise was developed. R. at 884. In November 2004, the RO decided that the evidence submitted by Mr. Hickson and developed after the June 1981 denial of his claim did not warrant reopening his claim because none of it showed that Mr. Hickson had incurred a psychiatric disorder in service or developed a psychosis to a compensable degree within one year of his discharge from service. R. at 910. Mr. Hickson appealed. The matter was remanded by the Board in April 2006. R. at 962. In June 2006, Mr. Hickson submitted to the RO three affidavits one signed by him, by his mother, and by his sister, that asserted that he had difficulties during and immediately following his military service. Along with submitting the affidavits, Mr. Hickson‘s counsel, who has represented Mr. Hickson since February 2001, requested remand for the RO to consider the affidavits and schedule another medical examination. R. at 935. In a July 2006 Supplemental Statement of the Case (SSOC), the RO found that these statements were contradicted by the medical evidence of record, that the affidavits were not credible, that there was no basis for providing Mr. Hickson with another VA medical examination, and that new and material evidence had not been submitted to reopen Mr. Hickson‘s previously disallowed claim for service connection.
During his subsequent appeal to the Board, in September 2006, Mr. Hickson, through the same counsel, submitted the following statement to the RO: “The veteran waives any further time period and requests that the claims file be immediately transferred to the [Board] for de novo review.” R. at 996. He also attached additional arguments in support of the appeal, including an argument that, pursuant
to Shedden v. Principi, 381 F.3d 1163 (Fed. Cir. 2004), he was entitled to the presumption of service connection under
On appeal, the Board determined that Mr. Hickson‘s evidence, the three June 2006 affidavits, were new and material and reopened his claim. Upon reviewing the matter, the Board observed:
The veteran himself and his counsel have not contended that de novo review by the RO is necessary in this case. Indeed, in his September 7, 2006[,] submission to the Board the veteran‘s attorney urged the Board to grant the claim based upon an alleged “presumption of service connection” (emphasis as in original letter). It is clear from argument submitted by the attorney that the veteran expects the Board to render a decision on the merits. A September 7, 2006[,] letter from the veteran‘s attorney stated “The veteran . . . requests that
the claims file be transferred to the Board of Veterans’ Appeals for de novo review” (emphasis added by the Board).
R. at 15-16. The Board considered Mr. Hickson‘s September 2006 statement through counsel to be an apparent waiver of consideration by the RO of the merits of the claim. The Board then found that because (1) Mr. Hickson had been provided adequate notice concerning what was required to substantiate his claim and an opportunity for a hearing, (2) there was no indication that there were any outstanding records of medical treatment, and (3) Mr. Hickson had been provided an adequate medical examination, he had “presented all available existing evidence and argument as to the merits of the claim, . . . [and he would] not be prejudiced by [the Board‘s] consideration of this issue on its merits.” R. at 16. With these findings, the Board determined that it would not be prejudicial to Mr. Hickson to proceed to adjudicate the merits of his reopened claim without first remanding the matter to the RO for initial consideration.
After adjudicating the claim, the Board found that Mr. Hickson‘s psychiatric disorder was not service connected and denied the claim. The Board determined that Mr. Hickson‘s previously considered assertions of psychiatric symptoms within the year following his service were not credible and thus did not establish that he had a psychosis in or resulting from service.
II. ARGUMENTS
Initially, Mr. Hickson argued that the Board lacked subject-matter jurisdiction to adjudicate his reopened service-connection claim on the merits. He maintained that this Court‘s decision in Bernard v. Brown, 4 Vet. App. 384 (1993), was inconsistent with, and consequently overruled by, Federal Circuit decision in Disabled Am. Veterans (DAV) v. Sec‘y of Veterans Affairs, 327 F.3d 1339 (Fed. Cir. 2003). On August 24, 2009, Mr. Hickson moved to withdraw this original argument that he presented in his initial brief regarding the status of Bernard based on the Federal Circuit‘s decision in Sims v. Shinseki, 578 F.3d 1332 (Fed. Cir. 2009), and sought to rely solely on the supplemental argument he submitted in response to our March 2009 order for supplemental briefing concerning
Acknowledging that this case does not present a jurisdictional issue, Mr. Hickson argues that the Board nevertheless erred in proceeding to consider the merits of his claim when the RO had not done so. In support of his argument, he contends that, without giving him notice as required by
The Secretary contends that, because the Board did not apply law not considered by the RO and because Mr. Hickson specifically argued the merits of his claim before the Board, there was no violation of
III. LAW AND ANALYSIS
A. Reopening a Claim
A claim that has been finally denied can be reopened if new and material evidence is presented or secured.
New evidence means existing evidence not previously submitted to agency decisionmakers. Material evidence means existing evidence that, by itself or when considered with previous evidence of record, relates to an unestablished fact necessary to substantiate the claim. New and material evidence can be neither
B. One Review on Appeal
Under
1. Board‘s Consideration of New Evidence Not Considered by the RO
When the Board reopens a claim after the RO has denied reopening that same claim, the matter generally must be returned to the RO for consideration of the merits. This is because the RO should, in the first instance, consider that new evidence and decide the matter so as to preserve for that claimant the one review on appeal as provided by section 7104. The Board, however, may proceed to decide the merits of the claim if the Board first secures a waiver from a claimant or the
2. Board‘s Consideration of Law Not Considered by the RO
After the Federal Circuit‘s decision in DAV, the Secretary revised
If . . . the Board intends to consider law not already considered by the [AOJ] and such consideration could result in denial of the appeal, the Board will notify the appellant and his or her representative, if any, of its intent to do so and that such consideration in the first instance by the Board could result in denial of the appeal. The notice from the Board will contain a copy or summary of the law to be considered. A period of 60 days from the date the Board furnishes the notice will be allowed for response, which may include the submission of relevant evidence or argument. The date the Board furnishes the notice will be presumed to be the same as the date of the letter that accompanies the notice for purposes of determining whether a response was timely filed. No notice is required under this paragraph if the Board intends to grant the benefit being sought or if the appellant or the appellant‘s representative has advanced or otherwise argued the applicability of the law in question.
The Secretary argues that this provision applies only to new statutes, regulations, or caselaw that were not in effect at the time of the AOJ decision. Although the Secretary may establish the meaning of a regulation by presenting independent authority for his position or demonstrating that his position is an accepted interpretation and practice, see Martin v. Occupational Safety and Health Review Comm‘n, 499 U.S. 144, 151 (1991), he does not attempt to do so here. Rather, he maintains that the plain language of the regulation necessitates that it must be interpreted as only applying to law promulgated between the time of the AOJ decision and the Board decision.
We review interpretations of VA regulations de novo. See
Litigation positions are not entitled to judicial deference when they are merely counsel‘s “post hoc rationalizations” for agency action and are advanced for the first time on appeal. See Martin, 499 U.S. at 156. However, when “regulations leave the pertinent inquiry unresolved, deference must be afforded to the [Secretary‘s] interpretation as long as that interpretation is not ‘plainly erroneous or inconsistent with the regulations.‘” Smith v. Nicholson, 451 F.3d 1344, 1350 (Fed. Cir. 2006); see also Auer v. Robbins, 519 U.S. 452, 462-63 (1997). The Secretary, howev-
Furthermore, the language of the regulation itself contradicts such an interpretation. The regulation concerns situations where “the Board intends to consider law not already considered by the [AOJ].”
C. Application to Mr. Hickson‘s Case
Despite our conclusion that the Secretary‘s argument regarding a narrow interpretation of
1. Law Not Already Considered by the RO
Mr. Hickson argues that simply because the RO did not explicitly note a law in its decision, that law must not have been considered. We reject that argument. There is no requirement that the RO list every law it considered when rendering its decision.
Specifically, contrary to Mr. Hickson‘s assertion that the Board considered
Mr. Hickson also lists a host of caselaw that he claims the Board cited and relied upon that was not considered by the RO. However, he fails to recognize that the following legal principles addressed in these cases were each addressed in the preparation of the SSOC, which is prepared before the matter is formally appealed to the Board, affirmatively evidencing consideration by the RO of the legal principles for which these cases stand. Compare R. at 984-93 (July 2006 SSOC) with Mayfield v. Nicholson, 20 Vet. App. 537 (2006) (the Secretary is not required to provide particularized notice regarding the evidence necessary to correct specific inadequacies in a claimant‘s file per
Similarly, Mr. Hickson contends that the Board relied upon other caselaw that had not been considered by the RO, to wit: Kowalski v. Nicholson, 19 Vet. App. 171, 179 (2005) (medical opinion based on claimant‘s own statements may not be rejected out of hand); Wensch v. Principi, 15 Vet. App. 362, 367 (2001) (the Board may favor the opinion of one competent medical authority over another); LeShore v. Brown, 8 Vet. App. 406, 409 (1995) (evidence recorded by a medical examiner, unenhanced by any medical comment, does not constitute competent medical evidence); Owens v. Brown, 7 Vet. App. 429, 433 (1995) (cited for the same principle as that in Wensch, supra); Swann v. Brown, 5 Vet. App. 229, 233 (1993) (a medical opinion based upon an unsubstantiated account is of no probative value, and does not serve to verify the occurrences described); Obert v. Brown, 5 Vet. App. 30 (1993) (adjudicator may not substitute its opinion for medical opinions in the record); Guerrieri v. Brown, 4 Vet. App. 467, 470-71 (1993) (probative value of medical opinion comes from medical expert‘s personal examination of the patient, the physician‘s knowledge and skill in analyzing the data, and the medical conclusion that the physician reaches). However, Mr.
Additionally, Mr. Hickson asserts that the Board cited and relied upon Meyer v. Brown, 9 Vet. App. 425 (1996) (Board required to analyze evidence and provide reasons or bases for its decision); Eddy v. Brown, 9 Vet. App. 52 (1996) (same); Gabrielson v. Brown, 7 Vet. App. 36 (1994) (same); and Bernard, 4 Vet. App. at 394 (Board may, in some instances, decide matters that were not previously decided by the RO), and that the RO did not cite to them. But again, Mr. Hickson does not recognize that the legal principles addressed in these cases are that the Board is obligated under
In sum, Mr. Hickson‘s argument based on his litany of statutes, regulations, and case law that purportedly were not cited by the RO fails to demonstrate that the Board violated
2. Law Applied to the Merits
When informed at oral argument that
In this instance, however, the RO developed the evidence over a seven-year period between the date Mr. Hickson filed his claim to reopen in 1998 and the date of the SSOC that issued in 2006. The Board also
D. Section 5103A Duty To Provide an Adequate Medical Examination
At oral argument, Mr. Hickson argued for the first time that once the Board reopened his claim, he was entitled to a VA medical examination. Under section 5103A, the Secretary is obligated, in appropriate cases, to conduct a thorough and contemporaneous medical examination or obtain a medical opinion.
Mr. Hickson argues only that, once his claim was reopened, he was entitled to a new VA medical examination so that a medical examiner could consider the affidavits he submitted. Here, the Board specifically found that the Secretary‘s section 5103A duty to assist was fulfilled by a “contemporaneous and thorough medical examination in March 2004,” in a VA psychiatric examination. R. at 17-18. The Board also found that Mr. Hickson‘s affidavits were “merely reiterative of contentions made to the March 2004 VA examiner, which that examiner took into consideration in rendering his opinion.” R. at 18. Mr. Hickson fails to assert that the Board erred in its determination that he was provided an adequate VA psychiatric examination in March 2004, which considered his contentions, nor does he suggest any errors in that examination. See Hilkert, supra.
Furthermore, the Board specifically determined that the statements Mr. Hickson submitted were not credible. R. at 22.
E. Prejudice
Although we conclude that
Moreover, before proceeding to decide the merits of Mr. Hickson‘s claim, the Board considered Mr. Hickson‘s waiver of any further review by the RO and ultimately determined that Mr. Hickson would not be prejudiced by the Board rendering its decision because, inter alia, Mr. Hickson “had presented all available existing evidence and argument as to the merits of the claim.” R. at 16. The Court reviews any Board finding of no prejudice de novo. Medrano v. Nicholson, 21 Vet. App. 165, 171 (2007). Because the RO developed Mr. Hickson‘s claim, including providing him an adequate VA medical examination and assessing the credibility of the evidence, we find no prejudice in the Board proceeding to decide the claim on the merits.
IV. CONCLUSION
Accordingly, upon consideration of the foregoing, the February 5, 2007, decision of the Board is AFFIRMED.
