William R. YOUNG, Appellant, v. Eric K. SHINSEKI, Secretary of Veterans Affairs, Appellee.
No. 09-1621(E)
United States Court of Appeals for Veterans Claims
May 24, 2012
201
Lance, J., filed dissenting opinion which was joined by Hagel, J. Hagel, J., filed dissenting opinion. Before KASOLD, Chief Judge, and HAGEL, MOORMAN, LANCE, DAVIS, and SCHOELEN, Judges.
ORDER
PER CURIAM:
Veteran William R. Young appealed through counsel a March 19, 2009, decision of the Board of Veterans Appeals (Board) that denied entitlement to VA disability benefits based on post-traumatic stress disorder (PTSD) and referred the issue of entitlement to VA benefits based on a generalized anxiety disorder. On June 30, 2010, the Court issued a memorandum decision modifying the Board decision to reflect a remand to a VA regional office (RO), rather than referral, of that part of the claim for disability compensation for a mental condition other than PTSD and, as modified, affirmed the decision. Young v. Shinseki, No. 09-1621, 2010 WL 2640592, at *1 (Vet.App. June 30, 2010).
Subsequently, Mr. Young applied, pursuant to the Equal Access to Justice Act (EAJA),
The Court holds that it has jurisdiction over an appeal of a decision of the Board that denies a part of a claim for benefits and decides to refer, rather than remand, for adjudication another part (or condition) or theory in support of that same claim, and our jurisdiction extends not only to the denied part of the claim but also to the referral decision. We note that the appellant argues that the Court would have jurisdiction over any Board decision to refer a claim, even if no part of the claim was denied; we need not decide that issue today.2
Specifically with regard to the underlying appeal, the parties agree, and the Court so holds, that Mr. Young‘s claim for benefits for PTSD was a claim for VA benefits based on a mental disability that also encompassed a claim for benefits for a generalized anxiety disorder, (i.e., the “alternative current condition[] within the scope of the filed claim“), because the evidence developed during the processing of his claim indicated that the symptoms he complained about were caused by the generalized anxiety disorder and not PTSD. Clemons v. Shinseki, 23 Vet.App. 1, 5-6 (2009) (noting that a claimant does “not file a claim to receive benefits only for a particular diagnosis, but for the affliction his [] condition, whatever that is, causes him” and holding that a single claim for disability compensation can encompass more than one condition). Mr. Young‘s case is similar to Clemons in that, although Mr. Young had a diagnosis of a mental condition other than PTSD, the Board in Mr. Young‘s case “failed to weigh and assess the nature of the current condition the appellant suffered when determining the breadth of the claim before it.” Id. at 6.
Because the Court has jurisdiction over the Board decision denying a part of the claim for benefits for a mental disability, the Court has the authority to “decide all relevant questions of law” that arise with
Our dissenting colleagues’ view that the Court lacks jurisdiction over a Board referral fails to appreciate that referral of a matter is appropriate only when the Board lacks jurisdiction over the matter being referred; remand is the appropriate action when the Board has jurisdiction over the matter, but further development is needed. See Godfrey v. Brown, 7 Vet.App. 398, 410 (1995). It is well settled that the Court has jurisdiction to determine whether the Board had jurisdiction to take the action it takes in a decision. See King v. Nicholson, 19 Vet.App. 406, 409 (2006). Moreover, “[o]nce the Board has jurisdiction over a claim, ... it has the authority to address all issues related to that claim, even those not previously decided by the RO.” Jarrell v. Nicholson, 20 Vet.App. 326, 332 (2006) (en banc) (emphasis added); see also id. at 335 (where Board lacked appellate jurisdiction over request for revision of an RO decision that had not first been presented to and adjudicated by the RO, the appropriate course of action was to refer the matter to the RO for adjudication in the first instance); Garlejo v. Brown, 10 Vet.App. 229, 232 (1997) (reviewing Board‘s determination that claimant failed to file a Notice of Disagreement, such that the claim was not in appellate status).
Insofar as our dissenting colleagues suggest that the Court‘s exercise of jurisdiction over the propriety of the Board‘s referral action requires a claimant to file an appeal from the Board‘s referral decision or otherwise be precluded from challenging a later effective-date determination, we disagree.3 The Board‘s decision to refer,
Thus, it would be illogical to conclude that the Board‘s determination that it lacks appellate jurisdiction to address the merits of a matter would preclude a claimant from subsequently litigating the issue of effective date. Whether collateral estoppel, or issue preclusion, applies turns on whether (1) the issue previously adjudicated is identical to the one currently before the Court; (2) the issue was “actually litigated” in the prior proceeding; (3) the Court‘s resolution of that issue was necessary to the resulting judgment; and (4) the litigant was fully represented in the prior proceeding. Mintzmyer v. Dep‘t of the Interior, 84 F.3d 419, 423 (Fed. Cir. 1996). Indeed, the Secretary‘s pleadings in this matter take the position that the Board‘s decision to refer, rather than remand, a matter would have no preclusive effect on any subsequent effective-date decision. Nonetheless, an improper referral could result in an improper effective date being assigned by an RO because referral connotes that the matter referred is not part of the underlying claim adjudicated by the Board. The error ultimately could be corrected on appeal of the decision awarding the improper effective date, but correction of the improper referral at the earliest possible point in the adjudication could avoid extensive delays in finally adjudicating and resolving the claim.
Significantly, we also note that a determination by the Board to refer, rather than remand, part of the claim denies the claimant the right to expedited adjudication under
Further, contrary to the dissent‘s view, the Court‘s exercise of jurisdiction over the propriety of the referral action does not bar the RO from acting on the merits of the referred matter until appellate review is complete. Nor do we perceive any conflict with Cerullo v. Derwinski, which held that the Court‘s jurisdiction over a claim is exclusive. 1 Vet.App. 195 (1991). The basic premise of Cerullo is that “[o]nce an appellate body takes jurisdiction over a claim, the lower tribunal may not consider the same issues.” Id. at 197 (emphasis added). The Court‘s review of the propriety of the referral action is separate and apart from the RO‘s adjudication of the merits of the referred matter and
Finally, in light of statements made by the dissent, we note that the underlying appeal here is not being dismissed as moot. Having found jurisdiction over the underlying appeal, the Court has jurisdiction over the EAJA application,
Upon consideration of the foregoing, it is
ORDERED that the parties’ motion to dismiss the appellant‘s EAJA application is GRANTED.
LANCE, Judge, with whom HAGEL, Judge, joins, dissenting:
In this case, a majority of the Court accepts the premise that the Court has
I. INTRODUCTION
The infirmity of the majority opinion is simply breathtaking. The order announces a purportedly limited rule without providing analysis sufficient to support its conclusion. Rather than identify any statutory basis for its holding, the majority first cites Clemons v. Shinseki, 23 Vet.App. 1 (2009), for the proposition that a claim for a benefit generally encompasses all possible diagnoses. This statement is true but irrelevant. It says nothing about how to draw a jurisdictional line once the Secretary explicitly bifurcates a claim and considers multiple diagnoses separately. The majority then states its desired conclusion but provides no directly applicable supporting authority. Finally, the order asserts that the dissent has failed to appreciate a number of decisions that the majority itself fails to analyze. In short, rather than coming to a reasoned conclusion based on analysis of the Court‘s precedent, the majority starts with a predetermined outcome and works backward from it.
As discussed below, the Court, by its decision, exercises direct appellate review over an interlocutory decision and, in doing so, ignores two key facts: (1) Interlocutory decisions by the Board are properly considered only through the Court‘s authority under the All Writs Act (AWA),
Although the majority is clearly motivated by what it perceives to be the just result in this case, i.e., providing Mr. Young with the expedited processing of his claim to which he is statutorily entitled, it need not cast aside the venerable principles of finality to obtain that result. Rather, under my view, Mr. Young would have been immediately free to challenge the Board‘s referral decision through a petition, which would have provided him with expedited processing more quickly than a successful appeal to the Court. By focusing only on its desired result without fully considering its consequences, the majority overlooks a legally sound method for obtaining the same remedy that would ultimately be more advantageous to veterans and their survivors. Absent a more thorough discussion, it is entirely unclear why the majority chooses the slowest available method for ensuring “expedited” claims processing.
Before addressing the merits, I note that the issue of the Court‘s jurisdiction over the underlying subject matter arises no more or less merely because the parties agreed to settle the portion of the case pertaining to the application for attorney fees and expenses. The issue of jurisdiction can be raised at any point in a proceeding by any party or by the Court itself. Fugere v. Derwinski, 972 F.2d 331,
Moreover, in granting the parties’ joint motion to dismiss Mr. Young‘s EAJA application pursuant to the parties’ stipulated agreement, the majority has essentially ignored the U.S. Supreme Court‘s clear prohibition against exercising jurisdiction by agreement of the parties. As the Supreme Court has succinctly stated: “[N]o action of the parties can confer subject-matter jurisdiction upon a federal court.” Ins. Corp. of Ir., Ltd. v. Compagnie des Bauxites de Guinee, 456 U.S. 694, 702 (1982) (emphasis added); see also Mitchell v. Maurer, 293 U.S. 237, 244 (1934) (jurisdiction cannot be enlarged or conferred by agreement of the parties). Although the majority cites Bond v. Derwinski, 2 Vet.App. 376, 377 (1992), and Dofflemyer v. Brown, 4 Vet.App. 339, 339 (1993), for the proposition that the Secretary‘s decision to enter into a settlement or stipulated agreement with the appellant “effectively moots the case or controversy” before the Court and therefore deprives the Court of jurisdiction, the majority nevertheless exercises jurisdiction over Mr. Young‘s EAJA application by granting the parties’ joint motion to dismiss. In so doing, the majority is allowing the agreement of the parties on the EAJA matter to supersede the predicate question whether the Court had jurisdiction to review the Board‘s referral decision in the underlying appeal. In other words, the Court cannot review the parties’ agreement with respect to the EAJA matter until it satisfies itself that it had jurisdiction over the underlying appeal. Consequently, the specific rule that the Court cannot exercise jurisdiction simply by agreement of the parties—if only to award fees—trumps the general rule that an agreement of the parties may moot the case or controversy before the Court.
Insofar as the majority concludes that the Court properly exercised jurisdiction over the referral decision, in light of Bond and Dofflemyer it nevertheless errs in granting the parties’ joint motion to dismiss. As explained above, the majority cannot, on the one hand, exercise jurisdiction over the EAJA matter and grant the parties’ joint motion to dismiss pursuant to a stipulated agreement, while, on the other hand, hold that such an agreement moots any case or controversy before the Court. Ante at 201-02. In the cases cited by the majority to support that disposition, the Court neither granted nor denied the parties’ joint motions to dismiss pursuant to the parties’ agreements, but rather ordered the Clerk of the Court to enter a voluntary dismissal of the matters pursuant to Rule 42 of the Court‘s Rules of Practice and Procedure. See Dofflemyer, 4 Vet.App. at 339; Bond, 2 Vet.App. at 377; see also
II. REFERRALS ARE NOT “FINAL” DECISIONS OF THE BOARD
A. Referral Decisions are Generally not Final
As with all inferior Federal courts, this Court is a creature of statute and its authority is limited to that granted by Congress. See Mayer v. Brown, 37 F.3d 618, 619-20 (Fed.Cir.1994) (holding that the Court‘s “jurisdiction is limited by statute to review of ‘decisions of the Board of Veterans’ Appeals‘” and that
The U.S. Court of Appeals for the Federal Circuit (Federal Circuit) has also been clear in its holdings that this Court‘s appellate authority is limited to those Board decisions that meet the definition of “final” under
The question presented in this case is whether a Board decision referring an issue for adjudication by an RO is a “final” decision or is better characterized as an interlocutory decision. Black‘s Law Dictionary defines a “final” judgment as the “the last action that settles the rights of the parties and disposes of all issues in
1. Distinction Between Final and Interlocutory Decisions
The distinction between final and interlocutory Board decisions has two important implications beyond the existence of the Court‘s appellate authority. First, the Federal Circuit has held en banc that “[p]rinciples of finality and res judicata apply to agency decisions that have not been appealed and become final.” Cook v. Principi, 318 F.3d 1334, 1337 (Fed. Cir. 2002) (en banc). Thus, if a type of Board decision is categorized as “final,” then it is binding on future proceedings if it is not appealed. Therefore, if the Board refers a matter to the RO and the appellant does not challenge that action immediately, the Court will be unable to correct any error on direct appeal of a later effective-date determination because the Board‘s determination of when the claim was first filed will be beyond the Court‘s jurisdiction.
Despite the deep unfairness of this result, the majority fails to offer a coherent argument as to how this outcome is not compelled by its decision. Initially, the majority appears to assert that the determination of when a claim was first filed for purposes of determining whether to refer or remand the claim is independent from the same determination for any other purpose. However, collateral estoppel generally prevents any adjudication system from issuing decisions that reach inconsistent conclusions about the same factual issue. Hence, this Court has repeatedly modified decisions to avoid collateral estoppel issues when the Board has made unnecessary findings of finality unfavorable to a claimant. See Juarez v. Peake, 21 Vet.App. 537, 544 (2008); Seri v. Nicholson, 21 Vet.App. 441, 444-45 (2007). Rather than address Cook and the cases cited therein, the majority cites Federal Circuit precedent outside of veterans law pertaining to court litigation to assert that a different test would apply and then fails to explain its application.
Second, where the Court has jurisdiction over a final Board decision, its jurisdiction is exclusive. As the Court noted in Wachter v. Brown, “[a] party cannot be in ‘two places at the same time.‘” 7 Vet.App. 396, 397 (1995) (quoting Bellsouth Corp. v. FCC, 17 F.3d 1487, 1489 (D.C.Cir.1994)). This principle prevents VA from making determinations that may conflict with the Court‘s rulings in the case and vice versa. As a result, the Court has held that the Board lacks jurisdiction to grant a motion for reconsideration as long as the Court has jurisdiction over the decision. Cerullo v. Derwinski, 1 Vet.App. 195 (1991). Similarly, the Court held in Pulac v. Brown, 10 Vet.App. 11, 12 (1997), that the Court cannot take jurisdiction over an appeal if the appellant filed a motion for reconsideration before filing his Notice of Appeal (NOA). See also Losh v. Brown, 6 Vet.App. 87 (1993) (holding that, if an NOA and motion for reconsideration are filed simultaneously, jurisdiction remains with the Board). Therefore, under Cerullo and Pulac, if the Court has jurisdiction over the Board‘s decision to “refer” a claim, then the RO may not take any action on that claim until all appeals of the Board decision have been completed and jurisdiction is returned to VA. To hold otherwise allows VA to poten-
2. VA‘s Treatment of Referred Matters
Whether the Court has jurisdiction over a Board decision to refer a matter for adjudication by an RO must turn on the undisputed facts as to how VA treats such decisions. First, VA does not consider such decisions to have any res judicata effect on the merits of the referred matter. Second, when a matter is referred to an RO, it commences work on the matter immediately regardless of whether the Board decision ordering the referral has been appealed to this Court. Moreover, neither party argues that VA should treat referred matters differently than it actually does. Nonetheless, the parties argue that the referral decision is a “final” decision. The essence of the parties’ argument is that the Board‘s characterization of its action as a referral instead of a remand has binding effect on how the claim will be processed because it governs the priority that the matter receives in further Agency proceedings.
Unfortunately, the parties’ desire to ignore the plain characteristics of the referral decision cannot transform an interlocutory decision into a final one. The parties agree that the only effect of the Court‘s decision would be on the priority assigned to the processing of the claim by VA. The first flaw in the parties’ argument is that the authorities cited above amply demonstrate that a final decision is one that resolves a claim on the merits, while a decision that merely governs how a claim will be processed is an interlocutory one. A Board decision sending a claim back to an RO for additional action on a claim simply cannot be parsed into discrete pieces where every specific determination is classified as a separate decision that can be deemed final if an erroneous determination could have an adverse effect on the processing of the claim. Such a semantics game ignores the plain definitions of “final” and “interlocutory” and essentially swallows the concept of interlocutory actions. This attempt to separate the referral action from the merits would also plainly contradict Federal Circuit precedent interpreting this Court‘s jurisdiction:
A “decision” of the Board, for purposes of the Veterans Court‘s jurisdiction under section 7252, is the decision with respect to the benefit sought by the veteran: those benefits are either granted (in which case the Secretary of Veterans Affairs (Secretary) is bound by the decision and, under section 7252, may not appeal to the Veterans Court), or they are denied.
Maggitt v. West, 202 F.3d 1370, 1375 (Fed. Cir.2000).
3. Majority‘s Misapplication of Prior Precedent
The majority and the parties cite to Manlincon v. West, 12 Vet.App. 238, 240-41 (1999), as an example of a case where the Court reviewed the propriety of a Board decision referring a matter to an RO. However, the question of the Court‘s jurisdiction to conduct such a review was simply never raised or considered in Manlincon. Therefore, Manlincon is not binding precedent on the issue presently before the Court. A situation analogous to the present case occurred in Harms v. Nicholson, 20 Vet.App. 238 (2006) (en banc), where the appellant argued that a prior ruling on the substance of a matter was precedent that the Court had jurisdiction over the issue. However, the en banc Court flatly rejected this notion and held the decision was not precedent on the issue because the cited decision assumed jurisdiction without explaining why juris-
The majority attempts to support its reasoning by citing King v. Nicholson, 19 Vet.App. 406 (2006), for the proposition that the Court has jurisdiction to determine whether the Board had jurisdiction. Ante at 203. However, King actually holds that the Court has jurisdiction to review the Board‘s determination that it did not have subject-matter jurisdiction. 19 Vet.App. at 409. The issue here is not subject-matter jurisdiction, but finality. In this case, the Board did not find that it lacked subject-matter jurisdiction over the referred matter and did not make a final decision refusing to act on that matter. Rather, it made an interlocutory decision to take a particular type of action on the matter. It is inherent in the referral that the Board would not refuse to review the matter, as it did in King, if the RO denied the claim. Accordingly, King and the other cases where the Court has reviewed a final decision of the Board refusing to act based upon a lack of statutory authority are clearly distinguishable from this decision where the Board made a factual determination as to what action to take. However, by relying on King, the majority eviscerates its claim that it is not holding that all referral decisions are final and subject to direct appeal. Ante at 202.
4. Adverse Impact on Veterans and Survivors
Ultimately, the Court‘s review of the Board‘s decision to refer a matter not only ignores the important distinctions between “final” and “interlocutory” actions but also increases the inefficiency of the VA claims process and adversely affects claimants. First, under Cerullo and Pulac, both supra, it is clear that, if the Court asserts jurisdiction over the propriety of a referral decision, VA is barred from acting on the claim until this Court‘s review is concluded. As explained in more detail below, the delay caused by such review would negate any priority treatment that might ultimately be obtained and, as such, achieve exactly the opposite result than that sought by the parties. Second, determining the scope of a claim prior to its full development may well result in unfavorable decisions where a fuller record would better show that a particular matter is best viewed as part of a larger claim. Third, under Cook, a referral decision not appealed to this Court would have to be treated as a binding determination that precludes a contrary determination in a later VA decision absent new and material evidence or a successful collateral attack.
The parties and the majority wish to simply ignore these very real consequences, all of which work to the disadvantage of the veteran in terms of the speed with which the claim is resolved. However, no authority is offered nor exists for the proposition that the Court can strip
Accordingly, the Court cannot divorce the referral decision from the merits of the claim, and the Court should conclude that it lacks jurisdiction to conduct appellate review of that matter until presented with a proper appeal of a final Board decision resolving the merits of the claim. See Ingram v. Nicholson, 21 Vet.App. 232, 254 (2007) (the issue of when a claim was first raised can be addressed when, and if, it ever “actually becomes relevant to an award of benefits“). Consequently, because the Court lacked jurisdiction to consider a direct appeal of the Board‘s referral decision, I conclude that it lacks jurisdiction to consider the EAJA application filed in connection with that appeal and reject the attempt to use the authority of this Court to enforce an EAJA award. See, e.g., Heath, 11 Vet.App. at 403-04.
B. The Referral of a Bifurcated Matter
Although it is absolutely clear that the Court generally does not have jurisdiction to review a referral decision, the majority appears willing to make an exception where a claim has been bifurcated and the Court has jurisdiction over the theory of entitlement that was not referred. However, such an exception cannot be justified under the Court‘s caselaw. In Tyrues v. Shinseki, 23 Vet.App. 166 (2009) (en banc), vacated and remanded for reconsideration, 462 Fed.Appx. 956 (Fed.Cir.2012),5
In applying this holding, Tyrues held that the Board decision at issue “was final concerning the issue of ... direct service connection,” but was “preliminary“—i.e., not final—concerning the issue of presumptive service connection, which was remanded by the Board. Id. at 180-81. This language makes clear that when the Board bifurcates a claim, the Court has jurisdiction over only the theory or theories that have been finally denied. However, in this case, the majority bootstraps the Court‘s jurisdiction over a theory denied by the Board and unquestionably before the Court to review a portion of the Board decision that expressly returned part of the claim to the RO for initial consideration, thus keeping that matter within the administrative adjudication process. This bootstrapping violates not only the express language and logic of Tyrues but also the common sense notion that, once a matter is bifurcated by the Board, the Court‘s jurisdiction over the finally decided portion does not give it authority to entertain an interlocutory attack on the portion that is still under consideration by the Agency.
The majority‘s citation to Clemons cannot demonstrate that the Court has jurisdiction over the referral decision. Clemons merely stands for the proposition that the default scope of a claim is controlled by the nature of the disability, not any particular diagnosis. 23 Vet.App. at 5. Clemons addresses only the scope of the Court‘s jurisdiction where a claim has not been broken apart. Nothing in Clemons provides jurisdiction over the nonfinal portions of a claim that have been bifurcated and sent to the RO for further proceedings. Nevertheless, the majority holds that Clemons enables the Court to bestow on itself jurisdiction over those non-final portions of a bifurcated claim by reassembling the claim for the limited purpose of reviewing a referral decision, while simultaneously allowing VA to adjudicate the merits of the nonfinal portions of that claim.
Simply put, in Tyrues, the full Court, divided though it was, made it crystal clear that once the Secretary breaks up a claim, the pieces are distinct and separately appealable. In such a situation, the Court‘s jurisdiction derives not from an appeal of the original claim as a whole, but from an appeal of each theory that is finally decided by the Board. Even when it is readily apparent that the Board‘s instructions to the RO on the nonfinal portion of a claim are erroneous, the Court simply has no authority to conduct interlocutory review merely because the Court happens to have jurisdiction over a different portion of that claim.
The majority‘s treatment of Tyrues, however, misstates this precedent. The majority cites it as evidence of “a long-standing practice of exercising jurisdiction over theories or parts of a claim.” Ante at 205 (emphasis added). However, the majority offers in its citation to Tyrues no
III. REFERRAL DECISIONS SHOULD BE REVIEWED THROUGH WRITS
To the extent that the Court possesses a limited ability to conduct an interlocutory intervention into a claim being processed by VA, that power exists under the AWA,
Even setting aside the binding precedent of the Federal Circuit, the difference between this case and review of a final Board decision is illustrated by the Court‘s decisions in Ribaudo v. Nicholson, 20 Vet.App. 552 (2007) (en banc) and Ramsey, supra. Both cases dealt with arguments that the appeals involved were statutorily entitled to more expeditious treatment. In each case, the Court held that the Chairman of the Board could not unilaterally stay the processing of selected appeals while the Secretary pursued an appeal of a decision of this Court. Ribaudo, 20 Vet.App. at 559; Ramsey, 20 Vet.App. at 37. However, neither Ribaudo nor Ramsey was an exercise of direct appellate review. Rather, both cases were decided pursuant to petitions seeking extraordinary relief under the AWA. It is clear from these cases that, if the appellant disputes the priority assigned to the processing of his appeal, the proper vehicle for such a challenge is a petition for extraordinary relief, not a direct appeal.
Using petitions for extraordinary relief is not only the proper tool under the jurisdiction provided to this Court by Congress, it is also the device that provides the best relief for veterans. The risk of harm created by a Board decision to refer a matter instead of remanding it is that the matter will not be processed promptly. Petitions are far superior for addressing time-sensitive matters, as a review of the Court‘s processing statistics readily and strikingly illustrates. Last year, the median time from the filing of a Notice of Appeal at this
It is true that the Court rarely grants a petition for extraordinary relief. However, it should not be assumed from this fact that petitions are an ineffective tool for obtaining relief. The reality is that the Court regularly orders the Secretary to respond to a petition that sets forth a well-pleaded complaint that the processing of a claim has been improperly delayed. When the Court issues such an order, the great majority of the time the Secretary responds by correcting the problem within the short time allotted for a response, and the petition is dismissed as moot because the relief sought has been obtained. Thus, the petition, in practice, is a tool far better than the direct appeal for obtaining expeditious processing of the underlying issue.
In rejecting the petition as the proper tool, the majority compares the 88 petitions denied to the one petition granted while glossing over the 61 petitions that were dismissed either voluntarily or by the Court for reasons other than default. See UNITED STATES COURT OF APPEALS FOR VETERANS CLAIMS, 2011 ANNUAL REPORT, http://www.uscourts.cavc.gov/annual_report/. A cursory search on Westlaw for “petition & moot & dismissed & da(aft 9/30/2010 & bef 10/1/2011)” produces 54 results, which shows that these dismissals were almost exclusively based upon mootness because the Secretary responded to the petition by remedying the problem without requiring a Court order. The fact that the Court
The majority obscures this fact by citing Costanza v. West, 12 Vet.App. 133, 134 (1999), for the proposition that an 11-month delay does not amount to an arbitrary refusal to act sufficient to justify mandamus. Ante at 203-04 n. 3. However, when the Board refers a matter, an individual need not wait until there has been delay sufficient for the Court to find that VA has arbitrarily refused to act on that matter. Rather, the referral decision can be challenged immediately—just as the stay orders in Ribaudo and Ramsey were—because the Secretary has announced his intention as to how the matter will be processed, thereby eliminating any danger of the Court imputing a determination that does not actually exist.
Although the majority maintains that it is “a red herring” to assert that petitions would provide for faster relief because “none of those dismissals involved a petition to amend a Board decision referring rather than remanding part of a claim,” ante at 204 n. 3, there is no doubt that claimants and their representatives would use the proper tool once the Court guides them in the right direction. See, e.g., Ingram, supra (explaining the proper time and procedures for asserting a pending-unadjudicated-claim argument); DiCarlo v. Nicholson, 20 Vet.App. 52, 57 (2006) (explaining that there is no freestanding “finality claim“). Unfortunately, this case not only chooses the wrong path, but also leaves other claimants who have received improper referrals to wonder how to proceed. May a claimant file a petition if no related theory was denied? If so, why are claimants who have a related theory denied treated differently? May a claimant who does not receive a final Board decision as to any benefit file a direct appeal as to a referral action? If so, on what basis would we have jurisdiction if Clemons clearly cannot be applied? Are we without any type of jurisdiction if a referral action cannot be linked to a final decision by the Board? If so, how can it be that some referral errors may be corrected, but not others? This opinion leaves future recipients of referrals wondering whether to file a petition, a direct appeal, or nothing at all. When these future cases arise, the Court will be forced to either review all referral actions through the time-consuming direct appeal process or to treat some claimants differently than others.
Although the issue is not presently before the Court, it appears that this case may well have merited relief through a petition if the Secretary had taken the unusual step of refusing to remedy a well-supported assertion that the claim was not being properly processed. The memorandum decision addressing the Board referral decision is short on details and fails to state what standard of review it applied. Young v. Shinseki, No. 09-1621, 2010 WL 2640592 (Vet.App. June 30, 2010). However, it appears that the decision was a straightforward application of Clemons to undisputed facts nearly identical to the facts of that case. Hence, it appears likely that the appellant would have demonstrated a clear and indisputable right to the writ if the Secretary had contested the petition. See Cheney v. U.S. Dist. Court, 542 U.S. 367, 380-81 (2004).
The majority maintains that its decision does not foreclose the use of petitions to review these types of errors. Ante at 203-04 n. 3. This assertion, however, is wholly inaccurate. The Supreme Court has said in no uncertain terms that “it is established that the extraordinary writs cannot
The majority asserts that it is unclear in my analysis whether “a claimant would be forced to seek mandamus to either correct an error in a Board decision that reflects referral instead of remand or to expedite the decision-making process.” Ante at 203 n. 3. The implicit premise in this assertion is that a Board decision may only be corrected through direct appellate review. However, there is simply no support for this premise. The first step in determining the Court‘s jurisdiction does not involve looking at the form of the VA action that allegedly contains error. Rather, the first step is to look to the harm asserted and the relief requested by the party seeking review. In this case, the only harm asserted by the appellant in the Board‘s referral decision was a loss of priority in the claims adjudication process, and the only remedy sought was more expeditious processing. As demonstrated above, the Court‘s authority to grant such a relief is through its mandamus power and is exclusive to that power because there cannot be any overlap with its direct appellate authority. In exercising its mandamus power, the Court may be required to correct an error in the Board decision in order to provide the remedy requested. In doing so, however, the Court would be correcting an error in a nonfinal Board decision.
A proper interpretation of the line that divides the Court‘s jurisdiction is simple. If a claimant wishes the Court to review whether or not he or she is entitled to a benefit, then that review must wait until there is a Board decision that denies that benefit because such arguments can only be considered on direct appellate review. On the other hand, if the claimant wishes the Court to intervene in the adjudication process to address a matter other than entitlement to a benefit, then the proper method for seeking review is through a petition for mandamus because speeding the process of adjudication aids the Court‘s direct appellate authority by ensuring that the Secretary does not avoid it through unlawful delay. As the claimant in this case was seeking a Court order for a speedier decision rather than a determination of entitlement, the only proper vehicle is a petition for mandamus.
IV. ATTORNEY FEE ISSUES
Ultimately, only attorneys can benefit from this decision, and they will do so at the expense of veterans, survivors, and taxpayers. In particular, by finding that the Court has jurisdiction to consider interlocutory matters on direct appeal, rather than through petitions, the majority grants an unearned financial benefit to attorneys filing such appeals in the form of EAJA fees. By endorsing a remedy that takes six times longer on average to resolve than a petition, the majority creates an opportunity for unscrupulous attorneys to draw out litigation to their personal gain. The likelihood of such an abuse is compounded by the fact that the Court routinely awards EAJA fees in direct appeals, when—as here—the Secretary does not contest the application, even when more efficient alternatives exist. Even for ethical attorneys, a direct appeal by its very nature involves a larger investment of time, thereby generating greater costs to taxpayers through EAJA fees than a petition would generate. In short, the majority‘s decision unnecessarily increases the burden on the public fisc.
V. CONCLUSION
A Board decision referring a matter to an RO for an initial decision is unquestionably an interlocutory action. The Court‘s jurisdiction to intervene in interlocutory matters is authorized only by the AWA. Moreover, the Court‘s AWA power is the more effective way to provide prompt relief when the Board errs in referring rather than remanding a matter. Not only is a petition faster, but the Court‘s jurisdiction over a petition is not dependant on the happenstance of the Board finally deciding a portion of a bifurcated claim in the same decision that it refers another portion of that claim. Indeed, the only beneficiaries of the majority‘s decision are the attorneys who now have every incentive to forego a motion for reconsideration—the avenue that would be most beneficial to veterans and survivors—and file an appeal with the Court in hopes of recovering EAJA fees for minimal effort.
The memorandum decision in this case erred in exercising direct appellate review on the basis of an NOA filed as to a Board decision that was not “final” as to the matter that the appellant wished to dispute. If relief in such cases is needed, it may be obtained most efficiently through filing a motion for reconsideration at the Board or a petition for a writ of mandamus if the authority of the Court is needed. However, because the Board decision on appeal does not give the Court jurisdiction over the underlying matter in dispute, it lacks the authority either to address the merits of the referred matter or to order the payment of fees for the litigation of a matter that was not properly before the Court.
Nevertheless, by concluding that the Court has jurisdiction to review a Board referral decision, the majority has established the jurisdictional predicate necessary to award EAJA fees in appeals of such decisions. In so doing, the majority has expanded the Court‘s appellate jurisdiction beyond that envisioned by Congress to include interlocutory matters that have only a tangential connection to a final denial of benefits. See Briley v. Shinseki, 25 Vet.App. 196, 197 (2012) (explaining that “federal courts ‘possess only that power authorized by Constitution and statute, which is not to be expanded by judicial decree‘” (quoting Kokkonen v. Guardian Life Ins. Co. of Am., 511 U.S. 375, 377 (1994))). This result is all the more egregious because it is claimants that will ultimately suffer from delayed justice while litigation costs increase. Accordingly, I must dissent.
HAGEL, Judge, dissenting:
Judge Lance has authored a dissent that is fully supported by the law, and I join it
In any event, at times the essence of disagreement can best be expressed without citing authority, resorting to legal maxims and jargon, or even using Latin. Sometimes it is best to rely instead on just plain common sense. I believe that this case presents such a situation. Therefore, I offer, in my own unconventional way,8 a less legalistic rationale for disagreeing with the majority‘s opinion.9
The Judges gathered one day
bedecked in their robes four did say,
“Most cases are boring.
We need something rip-roaring
to establish a new vérité.”
“We must choose a difficult subject,
our reasoning to which none can object.
The issue must be obscure,
but a real problem du jour,
with an outcome few would suspect.”
“Of jurisdiction we don‘t have enough,
to get more we know will be tough.”
Then they scrunched up their faces
and pounded their maces
and cried, “Where can we find such stuff?!”
Then the Board made an unusual slip,
referral not remand, the quip.
It now had arrived,
the case for which they contrived,
more power they could use it to grip.
“Speed is required,” they pled,
“Only remand puts vets ahead ...”
But the problem, you see,
the reverse comes to be
when the Court sticks its nose in instead.
They then snatched the case from VA.
“Because we can do it,” they say.
They acted with speed
and ignored the vet‘s need,
increasing by six times the delay
The majority wets the vets’ ammunition
by retarding their right to petition.
The undeniable effect, a barrier they erect
to obtaining relief with expedition.
Oh, yes, I have read their tome.
But well enough should be left alone.
Precedent was not heeded,
a final decision once was needed,
but now it need not be shown.
For some the case is of import;
over the din, their voices report
lawyers shouting with glee:
“We can now charge a fee
when before we would come up short!”
The parties deserve commendation
for agreeing to end litigation.
But unlike the majority,
I think we lack the authority
to grant their motion for termination.
But wait! There are Judges two,
who know the right thing to do
is to keep their hands off,
keep counsel from the trough,
and faster give veterans their due.
Their concern for the law is so real,
their disappointment is hard to conceal.
Into the sunset they ride,
white-hatted Judges side by side,
realizing there will be no appeal.
The ode now draws to a close.
It was not hard to compose.
All the words, you see,
simply came to me,
when the errors I sought to expose.
