Sucic v. McDonaldSucic v. McDonald
Lead Opinion
Opinion for the court filed by Circuit Judge REYNA.
Dissenting opinion filed by Circuit Judge WALLACH.
Jаck Sucic, a veteran, seeks an early effective date for a grant of service-connected disability compensation. The U.S. Court of Appeals for Veterans Claims determined that the Board of Veterans’ Appeals did not err in denying Mr. Sucic’s request for an earlier effective date. For the reasons set forth below, we reverse the determination of the U.S. Court of Appeals for Veterans Claims and remand for further proceedings.
Background
Mr. Sucic served honorably in the United States Marine Corps from July 1973 tо October 1984. In June 1992, Mr. Sucic filed a claim for a nervous condition and post-traumatic stress disorder (“PTSD”). The Department of Veterans Affairs’ (“VA”) regional office denied the PTSD claim in December 1992. J.A. 14-15. Three months later, in March 1993, Mr. Sucic submitted a statement via VA Form 21-4138, informing the VA that he had been receiving treatment for an ongoing nervous condition since March 1985. J.A. 16. In that submission, Mr. Sucic noted that he had received treatment at a VA medical center in Columbia, Missouri. Mr. Sucic did not formally apрeal the regional office’s 1992 decision on his PTSD condition, and that decision became final in December 1993.
Subsequent to December 1993, Mr. Su-cic obtained the assistance of a non-attorney veterans support group and appealed a regional office decision concerning several claims for compensation that were unrelated to his PTSD claim. In the appeal, Mr. Sucic also raised the PTSD service connection issue. In a July 1995 decision, the Board of Veterans’ Appeals (the “Board”) referred the PTSD issue to the regional office for “appropriate action.”
The veteran has further contended that service connection is warranted for post-traumatic stress disorder (PTSD). Service connection for this disability was denied in a December 1992 rating action with notice in January 1993 and no disagreement received thereafter. Such issue was not-developed for appellate rеview and no action by the Board is warranted. It is referred to the Department of Veterans Affairs (VA) Regional Office (RO) for appropriate action.
J.A. 18-22 (emphases added). The Board also instructed two specific tasks to the regional office: obtain copies of the treatment records from the medical center in Columbia, Missouri, and afford Mr. Sucic an opportunity to receive a surgical exam
In January 2003, Mr. Sucic filed another statement in support of his PTSD claim. After reviewing the statement, the VA considered the claim reopened with new evidence. In 2008, the VA awarded Mr. Sucic a disаbility rating of 100% for his PTSD with an effective date of January 2003. J.A.3.
In 2008, Mr. Sucic filed a claim for an earlier effective date for his PTSD disability, which resulted in appeals before the Board and the U.S. Court of Appeals for Veterans Claims (the “Veterans Court”). In the appeal before the Veterans Court, Mr. Sucic and the government filed a joint motion to remand on grounds that the Board had failed to adequately address whether the PTSD claim was left pending by the 1995 referral. J.A. 3.
On remand, Mr. Sucic argued that the effective date for his PSTD disability should be 1992 because his statement submitted on VA Form 21-4138 in March 1993 triggered his first 1992 claim for a PTSD disability. Mr. Sucic also argued that the Board’s 1995 referral recognized the significance of his March 1993 submission. The Board rejected those arguments:
The Board has reviewed the record but finds no document during the intervening period between the final December 1992 [regional office] decision and the date the [regional office] received the Veteran’s pеtition to reopen his claim on January 24, 2003, which could be construed as either an informal or formal claim for service connection for PTSD or any other diagnosed psychiatric disorder,
J.A. 78. The Board concluded that the reference to PTSD in its 1995 referral was “misplaced” and that the regional office had “reviewed the issue, determined that there was no claim and, therefore, had no action to take.” J.A. 76.
On September 5, 2012, the Board issued its remand determination and denied Mr. Sucic’s entitlement to an earlier effective date on grounds that he failed to submit evidence of PTSD within the appeal period subsequent to the regional office’s 1992 decision. J.A. 66-81.
Mr. Sucic appealed the Board’s remand determination to the Veterans Court on January 16, 2013. J.A. 1-5. On appeal, Mr. Sucic argued that a referral by the Board necessarily meant that he had submitted a proper claim in 1995, and that the VA’s inaction on his pending claim amounted to a procedural error. Mr. Sucic asserted that because the VA committed procedural error, his claim is not final and is not adjudicated until the VA corrects the procedural error. AG v. Peake,
Mr. Sucic appeals. We have jurisdiction under
Standard op Review
Our standard of review in this case is limited. We review de novo legal determinations by the Veterans Court. Prenzler v. Derwinski,
Discussion
On appeal, Mr. Sucic argues that the referral by the Board obligated the VA to extend Mr. Sucic certain procedural safeguards, including a duty to investigate the claim, review evidence, and make a determination on the claim. See
The government concedes that the regional office did not review or consider Mr. Sucic’s referred PTSD claim until January 2003. The government asserts that the regional office took no action because there was no evidence in the record of a pending PTSD claim.
The government argues that Mr. Sucic confuses the duties assumed by the VA pursuant to a “remand,” as opposed to a “referral,” by the Board. The government asserts thаt
We hold that, the VA committed procedural error by failing to take action on the claim that was referred to it by the Board. The failure denied Mr. Sucic an opportunity to develop the record, and the failure left pending and un-adjudicatеd his claim for an earlier effective date.
We find persuasive Mr. Sucic’s arguments that the referral by the Board raised procedural safeguards that the VA failed to implement. In 2011, the VA amended
Referral. The Board shall refer to the agency of original jurisdiction for appropriate consideration and handling in the first instance all claims reasonably raised by the record that have not been initially аdjudicated by the agency of original jurisdiction, except for claims over which the Board has original jurisdiction.
The government is correct that
We proposed to amend38 C.F.R. § 19.9(b) to articulate the Board’s practice of referring to the AOJ for appropriate action unadjudicated claims that have been reasonably raised by the record, except for claims over which the Board has original jurisdiction.... The final rule we are adopting by this rule-making merely codifiеs the Board’s referral practice in regulation.
76 Fed.Reg. 17,545 (Mar. 30, 2011).
In view of the foregoing, the VA is incorrect that the 1995 referral required no action and that its failure to review the referred claim was not procedural error. Prior to 2011,
The VA’s pre-2011 practice concerning referrals is also reflected in the decisions of the Veterans Court. The Veterans Court has concluded that a referred claim is the recognition of an un-adjudicated claim requiring initial adjudication by the regional office before the Board has jurisdiction. Godfrey v. Brown,
The government argues that Mr. Sucic was required to submit a formal claim in writing in order for a pending claim for adjudication to exist. This is not correct. As we explained in Reeves, and as reflected in the regulations in effect in 1995, “any communication” can qualify as an informal claim. Reeves v. Shinseki,
Veterans and other claimants are entitled to due process during VA proceedings. Sprinkle v. Shinseki,
We reverse the Veterans Court’s decision denying Mr. Sucic’s claim for an earlier effective date for his PTSD disability compensation and remand for further findings and determinations on the effective date for his PTSD claim.
REVERSED AND REMANDED
Costs
Costs to Mr. Sucic.
Notes
. As directed by the Board, the regional office obtained a VA hospital discharge summary from the medical center in Columbia, Missоuri, showing that Mr. Sucic had been hospitalized from March to April 1993 for diagnoses involving alcohol and cannabis abuse, with no other psychiatric disorder identified. J.A. 68-69, 73. The VA made no specific factfinding concerning the discharge summary in connection with Mr. Sucic's PTSD disability claim.
Dissenting Opinion
dissenting.
“[H]ard cases[ ] make bad law.” N. Sec. Co. v. United States,
I.
This appeal concerns Jack Sucic’s claim for an earlier effective date for the grant of service connection for post-traumatic stress disordér (“PTSD”). The majority holds that the United States Department of Veterans Affairs (“VA”) “committed procedural error by failing to take action on [Mr. Sucic’s PTSD] claim that was referred to it” by the Board of Veterans’ Appeals (“Board”) in 1995. Maj. Op. at 904.
The majority’s conclusion suffers from two critical defects. First, the majority predicates its holding on a fact that the record does not support — i.e., that a pending claim existed for the VA to resolve. The Board held, and the United States Court of Appeals for Veterans Claims (“Veterans Court”) affirmed, that the Board’s referral alone did not transform Mr. Sucic’s PTSD matter into a pending claim;
Second, the majority’s conclusion disregards the presumption of regularity that attaches to veterans proceedings. “The presumption of regularity supports official acts of рublic officers. In the absence of clear evidence to the contrary, the doctrine presumes that public officers have properly discharged their official duties.” Butler v. Principi,
The majority’s substitution of its own factual findings in place of the Board’s will have significant consequences. For example, the majority’s holding transforms the Board’s referral of Mr. Sucic’s PTSD matter into an informal claim.
II.
The majority also finds that the Veterans Court erred in its interpretation of
Mr. Sucic generally contends that the Veterans Court erred in its interpretation of
In construing a regulation, we first consider “its plain language” and “terms in accordance with their common meaning.” Lockheed Corp. v. Widnall,
Mr. Sucic’s preferred interpretation finds no support in the clear and unambiguous terms of
That “remand” and “referral” do not share a common meaning further supports the Veterans Court’s interpretation. The Veterans Court has found that remands and referrals address “distinct concepts,” with Board remands “appropriate whe[n] proper evidentiary development has not been completed” and referrals “appropriate when [a] newly raised claim is not in administrative appellate status.” Locklear v. Shinseki
Turning to Mr. Sucic’s specific arguments, he alleges that
With respect to
Similarly, the 2011 Notice does not support the proffered interpretation. The 2011 Notice “provide[s] guidance as to what action the Board must take when it discovers an unadjudicated claim in the record” — i.e., it refers the matter to the VA. 76 Fed.Reg. at 17,547 (emphasis added). However, the 2011 Notice does not address what action the VA must take upon receipt of a referral, nor does it mention the protections that the VA must afford to the veteran when it receives a referral. See id. Thus, the 2011 Notice does not support Mr. Sucic’s argument that
Finally, Mr. Sucic alleges that the Veterans Court’s decision in Godfrey v. Brown,
III.
It is a pleasant thing that a veteran will receive additional consideration about when his benefits should accrue. It is lamentable that the majority reaches that result at the expense of settled legal principles.
. A “pending claim” describes "[a]n application, formal or informal, which has not been finally adjudicated.”
. "If new and material evidence is presented or secured with respect to a claim which has been disallowed, [the VA] shall reopen the claim and review the former disposition of the claim.”
. The VA recently amended its regulations "to require that all claims governed by VA’s adjudication regulations be filed on standard forms prescribed by the [VA], regardless of the ’type of claim or posture in which the claim arises.” See Standard Claims and Appeals Forms, 79 Fed.Reg. 57,660, 57,660 (Dep’t of Veterans Affairs Sept. 25, 2014) (to be codified at 38 C.F.R. pts. 3, 19, 20). The VA's amended regulations took effect on March 24, 2015, and the Federal Register notice does not state that the amended regulations have retroactive effect. Id. Thus, claims filed before that date remain subject to the VA’s former regulations, which contain two provisions addressing informal claims:
. Mr. Sucic also alleges that the Veterans Court’s "misinterpretation ... is further demonstrated by the fact that the decision in God-frey was made in'March 1995 and the Board decision which made the referral [on his PTSD matter] was made in July 1995.” Appellant’s Br. 11. The temporal proximity of the decisions reveals only that the Veterans Court and the Board decided them four months apart; it does not answer whether one controls the outcome in the other.
. The regulation at issue in Godfrey stated that
[w]hen, during the course of review, it is determined that further evidence.or clarification of the evidence or correction of a procedural defect is essential for a proper appellate decision, the section of the Board shall remand the case to the agency of original jurisdiction, specifying the further development to be undertaken.