Lead Opinion
On Appeal from the Board of Veterans’ Appeals.
Veteran Denise Jarrell appeals through counsel a January 3, 2003, Board of Veterans’ Appeals (Board) decision that, inter alia, concluded that there was no clear and unmistakable error (CUE) in a January 1956 VA regional office (RO) decision that denied disability compensation for a psychiatric disorder. For the reasons set forth below, the January 2003 decision of the Board will be set aside in part and the appeal dismissed.
I. BACKGROUND
Ms. Jarrell served in the U.S. Navy from August 1952 to March 1954. Her
In June 1997, Ms. Jarrell filed through counsel a request for revision of the January 1956 RO decision on the basis of CUE.
On appeal to the Court, Ms. Jarrell argues solely that the Board erred in its adjudication of her request for revision under the theory that the 1956 RO failed to consider the presumption of sound condition under § 3.63 — the theory of CUE first presented in her Substantive Appeal. She initially sought reversal and argued, inter alia, that the 2003 Board misinterpreted the presumption-of-soundness requirements under § 3.63. Appellant’s Brief (Br.) at 1-11. In her reply brief, however, Ms. Jarrell modifies her request so as to seek remand instead of reversal and presents a new argument that the Board is required tо “readjudicate the appellant’s claim of CUE” under the standards set forth in Moody v. Principi,
On April 15, 2005, the Court ordered supplemental briefing to address jurisdiction. Both parties argue that the Board may adjudicate a request for revision of an RO decision based on a CUE theory not previously presented to an RO if the claimant waives initial adjudication by the RO. This position was echoed by the parties at oral argument, during which Ms. Jarrell expressly asserted her knowing and voluntary waiver of RO consideration.
II. ANALYSIS
A. Revision of Decisions Based on CUE
Prior to November 21, 1997, there was no statutory authority allowing a final RO
Until 1994, requests for revision on the basis that either an RO decision or a Board decision contained clear and unmistakable error were made pursuant to this regulatory authority. However, in Smith (William) v. Brown, the U.S. Court of Appeals for the Federal Circuit (Federal Circuit) ruled that this regulatory authority, specifically § 3.105(a), applies only to regional office decisions and that Board decisions are final unless reconsideration is ordered by the Board Chairman, the decision is vacated sua sponte by the Board, or the Board decision is reversed or remanded by the Court.
On November 21, 1997, Congress enacted sections 5109A and 7111, title 38, U.S.Code, which expressly allow for the revision of a prior decision of the Secretary made under chapter 51, title 38, U.S.Code, and a decision of the Board, respectively, on the basis of CUE. See Pub.L. 105-111, § 1(b), 111 Stat. 2271 (Nov. 21, 1997). Although both sections provide, in essence, the same authority to attack collaterally the final decisions of an RO or the Board, respectively, they differ, as relevant to this appeal, in the language instructing how each request for revision shall be presented and adjudicated. Section 5109A(e) states that a request for revision of an RO decision on the basis of CUE “shall be submitted to the Secretary and shall be decided in the same manner as any other claim.” This contrasts with section 7111(e), which states that a request for revision of a Board decision on the basis of CUE “shall be submitted directly to the Board and shall be decided by the Board on the merits, without referral to any adjudicative or hearing official acting on behalf of the Secretary.”
Section 5109A requires that a request for revision of a final RO decision on the basis of CUE “shall” be submitted to the Secretary; section 7111 requires that a request for revision of a final Board decision on the basis of CUE “shall” be submitted directly to the Board and, specifically, not to the Secretary. Although section 7111 does not explicitly exclude the direct submission to the Board, for its consideration in the first instance, a request for revision on the basis of CUE in an RO decision under section 5109A, permitting such action would contravene thе
This reading of sections 5109A and 7111 is also consistent with the statutory scheme. See King v. St. Vincent’s Hosp.,
1. Board Jurisdiction Over a Claim
Although the term “claim” is not defined in title 38, U.S.Code, section 5100 defines “claimant” as “any individual applying for, or submitting a claim for, any benefit under the laws administered by the Secretary,” which necessarily suggests that a claim is one for a benefit. 38 U.S.C. § 5100. This suggestion was adoptеd by the Secretary in his implementing regulations which define a “claim” as a written request for “determination of entitlement ... to a benefit.” 38 C.F.R. § 3.1(p) (2005); see also 38 C.F.R. § 20.3(f) (2005) (defining “claim” as, inter alia, an “application made under title 38, United States Code, and implementing directives for entitlement to [VA] benefits”). Claims for benefits, necessarily, are submitted to and adjudicated by the RO, which acts on behalf of the Secretary. Cf. 38 U.S.C. § 5103(a) (Secretary shall take certain action “[u]pon receipt of a complete or sub
Once a claim is adjudicated by the RO, that decision becomes final unless the claimant appeals thе decision. See 38 U.S.C. § 7105(c). The request for appellate review by the Board is initiated by filing an NOD and is completed by filing a Substantive Appeal. See 38 U.S.C. § 7105(a). When a claim is properly appealed to the Board, the Board is vested with the jurisdiction to review “[a]ll questions in a matter which under section 511(a) of [title 38] is subject to a decision of the Secretary.” 38 U.S.C. §§ 7104(a), 7105(a); see also Bernard v. Brown,
Although a claimant may file an NOD as to a claim adjudicated below, nothing in an NOD could confer jurisdiction upon the Board over a claim that was never presented to and adjudicated by the RO because there is no decision on such a newly raised claim to appeal to the Board. See Godfrey,
Once the Board has jurisdiction over a claim, however, it has the authority to address all issues related to that claim, even those not previously decided by the RO. See Bernard,
2. Board Jurisdiction Over a Request for Revision Under § 5109A(e)
A request for revision based on CUE is not a claim for benefits in its own right; rather, it is a collateral attaсk on an otherwise final benefits decision on the basis of a specific allegation of CUE. See Livesay,
In contrast, whеn a request for revision based on CUE is submitted to the RO and the claimant disagrees with the RO’s adjudication of that specific request and appeals to the Board, the Board is vested with jurisdiction over the merits of that matter because it had originally been submitted to the RO and subject to a
The Court determined, however, that because the Board’s adjudication of the request for revision addressed a related issue that had not been addressed by the RO, the Board erred in adjudicating that issue in the first instance without first “offering to remand the question to the RO.” Huston,
Moreover, one seeking revision based on CUE may also “rephrase and provide additional argument and support for the same basic CUE argument presented” on appeal to the Board. Jordan v. Principi,
B. Application of Law to Facts
Both parties agree that the theory of CUE presented to the Board in Ms. Jarrell’s Substantive Appeal, which was adjudicated by the Board in the decision now on appeal, was a theory of CUE separate and distinct from that presented to and adjudicated by the 1997 RO. Specifically, the request presented to the 1997
Although Ms. Jarrell filed an NOD and a Substantive Appeal, these actions could only confer on the Board jurisdiction to review the merits of a request for revision based on the theory of CUE presented to and adjudicated by the 1997 RO, and they did not serve to establish such jurisdiction in the Board over a request for revision based on a wholly distinct theory of CUE first presented in her Substantive Appeal. See Andre and Godfrey, both supra. Moreover, Ms. Jarrell’s waiver of consideration by the RO of the CUE theory presented to the Board cannot serve to confer jurisdiction where it otherwise does not exist.
The Court must “take due account of the rule of prejudicial error” in every case in which it finds error in the Board’s decision. 38 U.S.C. § 7261(b)(2); see Conway v. Principi,
III. CONCLUSION
Upon consideration of the foregoing, that portion of the January 3, 2003, Board decision that adjudicated the request for revision on the basis of CUE first raised in Ms. Jarrell’s Substantive Appeal to the Board is SET ASIDE for want of original jurisdiction over that matter. This appeal is DISMISSED.
SET ASIDE and APPEAL DISMISSED.
Notes
. Although 38 U.S.C. § 7261 instructs the Court in appropriate cases to “set aside” decisions of the Board, in taking such action, the Court has traditionally used the term “vacate” to describe that action. The Court uses the terms “vacate” and "set aside” interchangeably. The verb “to vacate” is defined as "to nullify, cancel; make void; invalidate,” while the verb phrase "to set aside” is defined as “to annul or vacate (a judgment, order, etc.).” Black's Law Dictionary 1376, 1546 (7th ed.1999). We conclude that no distinction exists between "set aside” and "vacate.” Virgin Islands Tel. Corp., v. FCC,
. Although a request for revision on the basis of CUE is frequently referred to as a "CUE claim” or a "claim of CUE,” the Court will use the statutory and regulatory language, as appropriate. See Livesay v. Principi,
. Within the veteran-friendly administrative setting, there are numerous means to having a final Board decision readdressed. In addition to the methods stated in Smith (William),
. The Board has been granted original jurisdiction to adjudicate a request for revision of a Board decision based on CUE, see 38 U.S.C. § 7111, to correct obvious error, see 38 U.S.C. § 7103(c), and to review attorney fee agreements, see 38 U.S.C. § 5904(c)(2); Scates v. Principi,
. The U.S. Supreme Court cases of Scarborough v. Principi,
. DAV v. Sec’y, supra, upon which our dissenting colleague relies, is inapposite to the case at bar. In DAV v. Sec’y, the Federal Circuit held that when additional evidence is submitted to the Board in support of a claim to reopen, the Board must secure a claimant’s waiver before proceeding to evaluate such evidence and decide the claim adverse to the claimant, or remand for the RO to undertake such action in the first instance. Id. at 1342. The case at bar involves a wholly distinct and separate CUE theory in support of a request for revision — a separate and distinct "claim” (request), see Andre, supra — which, as the parties agree, has never been presented to an RO.
Dissenting Opinion
dissenting:
I respectfully dissent from the majority’s opinion. The majority holds that the regional office’s failure to consider a specific assertion of clear and unmistakable error deprives the Board of jurisdiction to do so, despite the claimant’s waiver of
A. The Board’s Subject Matter Jurisdiction
The majority finds that this Court lacks jurisdiction over the matter on appeal because the Board lacked subject matter jurisdiction. I disagree. There is only one section in title 38 that defines the Board’s jurisdiction, 38 U.S.C. § 7104, and it is appropriately entitled “Jurisdiction of the Board.” The majority, however, fails to consider the breadth of authority given to both the Secretary and the Board under that statute. Section 7104(a) defines the Board’s jurisdiction expansively, by citing to 38 U.S.C. § 511(a), as extending to all questions “necessary to a decision by the Secretary under a law that affects the provision of [veterans] benefits.” The Board therefore has jurisdiction to review all claims that arise under a law that affects the provision of veterans benefits. Bates v. Nicholson,
Section 7104(d) also provides the Board with jurisdiction to review a wide scope of matters by requiring that the Board con
The majority cites to cases from other jurisdictions that have held that an agency’s statutory or subject matter jurisdiction cannot be waived. See ante at 329; see also NLRB v. Fed. Sec., Inc.,
B. VA Processing of Requests for Revision Based on Clear and Unmistakable Error Is Not a Jurisdictional Issue.
The majority relies principally on the argument that the differences between the
Recent U.S. Supreme Court decisions also cast doubts on the majority’s effort to label the claims-processing requirements of section 5109A as jurisdictional.
Clarity would be facilitated if courts and litigants used the label “jurisdictional” not for claim-processing rules, but only for prescriptions delineating the classes of cases (subject-matter jurisdiction) and the persons (personal jurisdiction) falling within a court’s adjudicatory authority-
Section 5109A provides generally that a request for revision on the basis of clear and unmistakable error “shall be submitted to the Secretary and shall be decided in the same manner as any other claim.”
C. Waiver of a Right
It is well established that, absent an affirmative indication of Congress’s intent to preclude waiver, “[a] party may waive any provision either of a contract or of a statute, intended for his benefit.” Shutte v. Thompson,
In the instant case, there is no question with respect to the clarity of the waivеr. Ms. Jarrell, represented by counsel, “expressly asserted her knowing and voluntary waiver of [regional office] consideration,” as conceded by the majority. Ante at 328. The Secretary has also agreed that Ms. Jarrell should be able to waive that procedural right.
If not for the sake of the claimant’s right to additional review or the Secretary’s interest in the orderly processing of claims, what purpose can forcing “one review on appeal” serve? The majority’s decision dictates a further administrative procedure that is not sought by either Ms. Jarrell or the Secretary, and not required by law for the sole purpose of conforming the adjudication of this matter to the majority’s sense of what a well-ordered process should be.
D. Deference to Agency and Informal Claimanb-Friendly System
When a claimant waives the right to one review on appeal, the Court should defer to the Secretary’s discretion regarding
E. The Rule of Prejudicial Error
Assuming, for the sake of argument, that the Board committed a jurisdictional error, the Court must consider whether that error was prejudicial. Although it might at first glance seem unnecessary to consider the rule of prejudicial error when there is a finding that the Board does not have jurisdiction in a matter, a clear reading of the statute dictates otherwise. Congress’s decision to require this Court to consider prejudice, even in the context of assessing the Board’s jurisdictional errors, is further evidence of the legislative intent to create a less formal concept of jurisdiction at the administrative level.
Sectiоn 7261(a) provides, in pertinent part, that “to the extent necessary to its decision and when presented [the Court] shall ... hold unlawful and set aside decisions ... by the Secretary [or the Board] found to be ... in excess of statutory jurisdiction, authority, or limitations.” Subsection (b)(2) requires that “[i]n making the determinations under subsection (a), the Court shall ... take due account of the rule of prejudicial error.” The Federal Circuit has stressed these requirements by reminding the Court of its responsibility in this regard. Conway v. Principi,
F. Conclusion
Lеt me be clear that it is not my view that, by waiving the right to appeal and thereby consenting to adjudication of an issue in the first instance by the Board, a claimant can force the Board to decide an issue without the benefit of the factfinding and decisional expertise of the agency of original jurisdiction. Nor can the Board, by unilaterally deciding an issue not presented to the agency of original jurisdiction, force the claimant to abandon the statutory right to one review on appeal. These limitations illustrate two principles: (1)The agency has authority to enforce its claims processing rules and (2) the claimant has a right to one review on appeal from the Secretary. But the procedural requirements for claims processing set forth in 38 U.S.C. § 7105 and 38 U.S.C. § 5109A do not define the jurisdictional requirements of either the Board or the Court. As the Supreme Court clearly set forth in Day and Scarborough, claims processing rules are not jurisdictional. And, although section 7104 provides that the claimant has a right to one review on appeal, the claimant can waive that right, provided that such a waiver is knowing and intelligent. Cf. Disabled Am. Veterans,
. My disagreement with my colleagues stems from a basic difference of opinion regarding the nature and character of the Board. My colleagues appear to treat the Board as the functional equivalent of a court of law, separate and independent of any agency and before which the proceedings are fully adversarial. This premise is mistaken. The Board is an agent of the Secretary created by Congress for the purpose of affording claimants who disagree with VA's initial decision on an application for benefits their statutory right to another review within the agency prior to the agency’s final determination on the application. See Disabled Am. Veterans v. Sec’y of Veterans Affairs,
. The Federal Circuit suggested in Disabled American Veterans v. Secretary of Veterans Affairs that if the claimant had been afforded the opportunity to waive appellate review and had decided to waive that right, the Board would have been allowed to consider new evidence without having to remand the matter to the regional office.
. Although the majority cites to the Federal Circuit's decision in Scates v. Principi for the proposition that the Board is primarily an appellate tribunal, the Federal Circuit also established in Scates that "[t]he Board's substantive jurisdiction is broad.”
.The Secretary's interest in intra-agency claims processing is served when the Board decides either to remand a matter to the regional office or to allow the claimant to waive regional office review so that it may consider a matter in the first instance.
. The majority also relies on Godfrey v. Brown, and Bernard v. Brown, which both acknowledged that the section 7105 requirements were procedural and described them as a "a series of very specific, sequential, procedural steps that must be carried out” for appellate review. Godfrey v. Brown
. The Supreme Court held that this Court’s jurisdictional requirements had alreаdy been satisfied when Scarborough appealed the Board decision denying his claim for disability benefits.
. The majority's forced remand in this case is tantamount to forcing a remand to require compliance with the notice provisions of section 5103(a) against the wishes of the appellant and the Secretary.
. The majority concedes that the Board can proceed to adjudicate arguments in the first instance when claimant's waive regional office review so long as the regional office has reviewed the underlying claim. However, in the context of assertions of clear and unmistakable error, the line between rephrasing the argument and asserting a new claim becomes unascertainable because each "assertion of a particular clear and unmistakable error by thе [regional office] constitutes a distinct claim.” Andre v. Principi,
