PAULINE GARCIA, Claimant-Appellant v. ROBERT WILKIE, SECRETARY OF VETERANS AFFAIRS, Respondent-Appellee
2018-1038
United States Court of Appeals for the Federal Circuit
November 5, 2018
Appeal from the United States Court of Appeals for Veterans Claims in No. 15-3669, Chief Judge Robert N. Davis, Judge Coral Wong Pietsch, Judge William S. Greenberg.
MARTIN F. HOCKEY, JR., Commercial Litigation Branch, Civil Division, United States Department of Justice, Washington, DC, argued for respondent-appellee. Also represented by ROBERT EDWARD KIRSCHMAN, JR., JOSEPH H. HUNT; BRIAN D. GRIFFIN, JONATHAN KRISCH, Office of General Counsel, United States Department of Veterans Affairs, Washington, DC.
TARANTO, Circuit Judge.
Teofila Garcia, the late husband of appellant Pauline Garcia, was a veteran of the United States Army. In 2002, he filеd a claim with the Department of Veterans Affairs for disability benefits based on a mental disorder characterized by paranoia, which he asserted was connected to his military service. The Board of Veterans’ Appeals denied his claim in 2006. After initially appealing to the Court of Appeals for Veterans Claims (Veterans Court), Mr. Garcia successfully moved to dismiss the appeal, and the Board‘s decision became final.
Mr. Garcia then collaterally challenged the 2006 Board decision through a motion contending that the Board had committed clear and unmistakablе error (CUE) in that decision. The Board denied Mr. Garcia‘s CUE motion in 2010. In filings with the Board and the Veterans Court after the 2010 Board decision, Mr. Garcia—succeeded by Mrs. Garcia when her husband died—raised new allegations of CUE. The Veterans Court ultimately determined that those new CUE allegations made in the subsequent filings were barred by regulation. Garcia v. Shulkin, 29 Vet. App. 47 (2017). Mrs. Garcia appeals to this court. We reject Mrs. Garcia‘s two challenges to that determination and therefore affirm.
I
A
Mr. Garcia served in the United States Army from 1952 to 1954. The military‘s records of his medical treatment during service were among those destroyed in a fire in 1973 at the National Personnel Records Center in St. Louis, Missouri. The record of his medical examination upon leaving the service was not destroyed. That record
Mr. Garcia first saw Dr. John Smoker, a private physician, in 1965 for a burn from a welding accident. In 1969, Dr. Smoker diagnosed Mr. Garcia with, and prescribed medication for, paranoid schizophrenia.
In 2002, Mr. Garcia submitted a claim for disability benefits to the Albuquerque regional office of the Veterans Benefits Administration of the U.S. Department of Veterаns Affairs (VA), alleging service connection of disability-causing paranoid schizophrenia. The regional office denied the claim. Mr. Garcia appealed to the Board of Veterans’ Appeals, which held a hearing in September 2004 at which both Mr. Garcia and Mrs. Garcia gave testimony. In December 2004, the Board remanded the case to the regional office for a VA psychiatric examination, directing the examiner to “provide a current diagnosis and indicate whether any mental disorder currently shown is characterized by paranoia” and to state “the mediсal probabilities that it is attributable to the veteran‘s period of military service.” J.A. 130.
The Appeals Management Center, processing the remand, requested a psychiatric examination on January 4, 2005. A VA examiner, Dr. Greene, conducted the examination on February 3, 2005. Dr. Greene‘s report leaves unclear if she looked at Mr. Garcia‘s claim file and medical records, but it shows that she took a medical history from Mr. Garcia, who stated that he saw a psychiatrist twice for paranoia while in the service. Dr. Greene found that Mr. Garcia met the “diagnostic criteria for the diаgnosis of schizophrenia, paranoid type, for which he has been treated for many years and claims he was first seen for paranoia in the service and that as likely as not this disorder started in the service per the history given.” J.A. 57 (emphases added).
A week later, Dr. Greene responded by adding a one-sentence addendum to her initial report: “After review of the [claim] file, [I] now feel it is impossible to say, without resorting to mere speculation, as to whether this veteran‘s schizophrenia, paranoid type actually started in Service, without more documentation and records.” J.A. 60. The Center then issued a Supplemental Statement of the Case, in which it “confirmed” the previous denial of service connection for Mr. Garcia‘s condition. J.A. 127.
B
In August 2007, Mr. Garcia initiated a collateral challenge to the Board‘s denial of his claim for disability benefits. He sent the regional office a form alleging “[c]lear and unmistakable error” in that the “[c]orrect facts were not before the Board in 2004 and 2006.” J.A. 71 (citing
On July 29, 2008, Mr. Garcia submitted to the Board a more detailed CUE motion challenging the Board‘s 2006 decision denying his claim of service connection of his
The Board denied the CUE motion in April 2010. It found, among other things, that “there was no competent evidence, to include lay testimony, establishing a continuity of symptomatology since service.” J.A. 76. In July 2010, Mr. Garcia filed a motion to reconsider under
Mr. Garcia appeаled the Board‘s denial of his CUE motion to the Veterans Court. At that point, Mr. Garcia argued, for the first time, that the Appeals Management Center had denied him due process by “secretly litigat[ing] against” him in “attack[ing]” Dr. Greene‘s initial finding regarding service connection and “suggest[ing] what findings a medical examiner should make.” J.A. 93–94. But the Veterans Court determined that the allegation of a due process violation had not been presented to the Board, so it dismissed Mr. Garcia‘s appeal, for want of jurisdiction, insofar as it made this allegation.
Mr. Garcia also argued to the Veterans Court that the Board committed clear and unmistakable error by not adequately considering Mrs. Garcia‘s 2004 testimony. The Secretary argued that Mr. Garcia had not properly presented to the Board this allegation of clear and unmistakable error. But the Veterans Court, citing Mr. Garcia‘s motion to reconsider, “set aside” the 2010 Board decision and remanded the case to the Board for full consideration of the allegation in the first instance. J.A. 34.
On remand, the Board in October 2012 ruled against the allegation—now made by Mrs. Garcia (substituted for Mr. Garcia, who had passed away)—of clear and unmistakable error based on the asserted failure to consider Mrs. Garcia‘s 2004 testimony. In early 2013, Mrs. Garcia submitted a motion to reconsider the 2012 Board decision. She contended that the 2006 Board decision as to service connection would have been manifestly different if the Board had considered her 2004 testimony. In mid-2013, the Deputy Vice Chairman denied the motion for reconsideration.
The early-2013 filing that includes the motion to reconsider also includes a motion to vacate the 2012 Board
Mrs. Garcia appealed the Board‘s October 2012 decision to the Veterans Court. She again argued that the Appeals Management Center‘s actions regarding Dr. Greene violated her late husband‘s right to due process and that the Board‘s failure to consider her testimony was clear and unmistakable error. The Veterans Court again found that the allegation of a due process violation had not been properly presented to the Board. And it again remanded the matter of Mrs. Garcia‘s testimony for further consideration.
In that remand, the Board again ruled against the allegation of clear and unmistakable error based on Mrs. Garcia‘s 2004 testimony. Mrs. Garcia appealed that decision to the Veterans Court. She again pressed both the due process and 2004 testimony allegations of clear and unmistakable error.
The Veterans Court found that neither allegation had been presented to the Board in Mr. Garcia‘s CUE motion or before the Board issued its decision on that CUE motion in 2010. Garcia, 29 Vet. App. at 54. On that basis, the Veterans Court ruled that a governing regulation,
Mrs. Garcia timely appealed to this court. We have jurisdiction pursuant to
II
This court has jurisdiction to review the Veterans Court‘s legal determinations,
A
As this court explained in an en banc decision years ago, Congress has provided for two mechanisms for a claimant like Mr. Garcia to seek to revise a Board denial of a claim for disability benefits after the denial has become final. See Cook v. Principi, 318 F.3d 1334, 1337 (Fed. Cir. 2003) (en banc). One is through showing new and material evidence.
(a) A decision by the Board is subject to revision on the grounds of clear and unmistakable error. If evidence establishes the error, the prior decision shall be reversed or revised. . . .
(e) Such a request shall be submitted directly to the Board and shall be decided by the Board on the merits . . . .
The regulations pertaining to CUE motions to the Board, contained in 38 C.F.R. subpart O, §§ 20.1400–1411, set forth several requirements that are relevant here. First: The substantive standard for relief is high. “Clear and unmistakable error is a very specific and rare kind of error. It is the kind of error, of fact or of law, that when called to the attention of latеr reviewers compels the conclusion, to which reasonable minds could not differ, that the result would have been manifestly different but for the error.”
Second: The pleading requirements for a CUE motion are demanding:
Specific allegations required. The motion must set forth clearly and specifically the alleged clear and unmistakable error, or errors, of fact or law in the Board decision, the legal or factual basis for such allegations, and why the result would have been manifestly different but for the alleged error. Non-specific allegations of failure to follow regulations or failure to give due process, or any other general, non-specific allegations of error, are insufficient to satisfy the requirement of the previous sentence. Motions which fail to comply with the requirements set forth in this paragraph shall
bе dismissed without prejudice to refiling under this subpart.
Third: Under
Once there is a final decision on a motion under this subpart relating to a prior Board decision on an issue, that prior Board decision on that issue is
no longer subject to revision on the grounds of clear and unmistakable error. Subsequent motions relating to that prior Board decision on that issue shall be dismissed with prejudice.
This court has approved the Secretary‘s reading of
B
On appeal, Mrs. Garcia argues that the Veterans Court erred in holding that the Board was barred by regulation from considering the allegations of clear and unmistakable error now at issue (concerning constitutional due process and Mrs. Garcia‘s 2004 testimony) because she (more precisely, her late husband) did not present those CUE allegations to the Board in the 2008 CUE motion itself or at any time before the Board‘s 2010 decision on that motion. We address only the two focused challenges to the Veterans Court‘s ruling that Mrs. Garcia presents here. We reject those challenges.
We note that Mrs. Garcia does not present any challenge within this court‘s jurisdiction under
Mrs. Garcia does not challenge the interpretation of
1
Regarding the alleged due process violation, we limit our ruling to the situation presented herе: undisputed facts demonstrate that the allegation could have been, but was not, presented in the 2008 CUE motion. The parties agree, and the record clearly shows, that Dr. Greene‘s initial examination report, the Appeals Management Center‘s follow-up request, and Dr. Greene‘s addendum were provided or were available to Mr. Garcia in 2006, at the time he submitted his brief to the Board in support of his claim for benefits. Oral Arg. at 5:40–6:00; id. at 11:42–12:00; see J.A. 130–32 (2006 brief on behalf of Mr. Garcia stating that Dr. Greene‘s report and addendum are part of the claim file and quoting from the Center‘s follow-up request). The parties also do not dispute that Mr. Garcia first alleged the constitutional due process violation in 2011 in his appeal to the Veterans Court of the Board‘s 2010 decision denying his CUE motion. See Garcia Br. 2; VA Br. 8; J.A. 9–10 (Veterans Court noting that the parties did not dispute this point); see also J.A. 93 (Mr. Garcia‘s 2011 brief to Veterans Court). In these circumstances, the Veterans Court properly found that Mr. Garcia did not raise a due process challenge in his initial CUE motion or, indeed, until after the Board ruled on that motion.
Mrs. Garcia makes only one argument against the Veterans Court‘s conclusion as to the due process allegation. She contends that a constitutional challenge is special and simply is not subject to the rule against successive allegations of CUE in the same underlying Board decision. We see no sound basis for adopting the suggested exception.
In Cook, the en banc court held that the principles of finality and res judicata generally apply to a claim determination by the VA. 318 F.3d at 1336–37; see Astoria Fed. Sav. & Loan Ass‘n v. Solimino, 501 U.S. 104, 107 (1991) (“We have long favored application of the common-law doctrines of collateral estoppel (as to issues) and res judicata (as to claims) to those determinations of administrative bodies that have attained finality.“). Congress may create exceptions to the finality of a claim determination, as it did for Board determinations upon a showing of (1) new and material evidence,
Mrs. Garcia contends that this court‘s decision in Cushman v. Shinseki, 576 F.3d 1290 (Fed. Cir. 2009), issued several years after Cook, suggests that Cook is no longer good law. The court in Cushman reviewed a collateral challenge to a VA claim determination and concluded
We do not read that statement to mean what Mrs. Garcia urges—that a constitutional challenge is generally free of the regulatory timely-presentation limits that channel CUE challenges as an exception to finality principles. Most specifically, the statement does not address timely-presentation limits. That is not surprising: there was no timeliness issue in Cushman. The court observed that “[i]t [was] not disputed that [Mr. Cushman‘s] free-standing due process claim was timely raised.” Id. at 1298 n.2; see also id. at 1294 (noting statement by government counsel in earlier proceeding that “Mr. Cushman would be free to raise those claims [including the due procеss claim] before the Board“).
Beyond that, nothing in Cushman addresses or seeks to distinguish (much less purports to modify) Cook‘s en banc ruling as to the limited avenues for collateral attacks on otherwise-final VA claim determinations. There was no issue about Mr. Cushman having proceeded outside the authorized avenues: Mr. Cushman raised his due process contention within a CUE challenge that the government accepted as proper. Id. at 1294. The court‘s citation to In re Bailey for the reference to a “free-standing constitutional issue” merely pointed to Bailey‘s characterization of such an issue as “one not also involving a challenge to the interрretation or validity of a statute or regulation” but that “otherwise meets the limitations of the jurisdictional statute [
For those reasons, we reject Mrs. Garcia‘s challenge to the Veterans Court‘s application of
2
As for the CUE allegation based on Mrs. Garcia‘s 2004 testimony, Mrs. Garcia makes just one argument: that this allegation was actually presented in the initial CUE motion. She relies on that motion‘s statement that the “[c]orrect facts were not before the Boаrd in 2004 and 2006.” J.A. 71.
III
We therefore affirm the Veterans Court‘s decision.
AFFIRMED
Costs
No costs.
