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Full Opinion
On Appeal from the Board of Veteransâ Appeals.
Before the Court is Marvin Robinsonâs appeal of a May 17, 2004, Board of Veteransâ Appeals (Board) decision in which he was denied service connection on a secondary basis for heart disease and a thyroid disability. In that decision, the Board also remanded the issue of entitlement to an increased disability rating for Mr. Robinsonâs service-connected peptic ulcer disease. The remanded matter is not before the Court. Because Mr. Robinson has failed to demonstrate any error in the Board decision or any reason his new theory of entitlement should enjoy the benefit of a discretionary remand from this Court, the Board decision will be affirmed. See Maggitt v. West, 202 F.3d 1370, 1377 (Fed.Cir.2000).
I. FACTS
Mr. Robinson served on active duty in the U.S. Navy from October 1986 to April 1988. In November 1988, he was awarded
In December 1998, he filed a claim for VA benefits for, among other things, heart and thyroid conditions, which he asserted had their onset in February 1996. In September 1999, a VA regional office denied him service connection for heart disease and a hyperthyroid condition secondary to his service-connected peptic ulcer disease. Mr. Robinson filed a Notice of Disagreement in November 1999 asserting that he disagreed with the regional officeâs denial of âservice connection for heart disease and hyperthyroid condition as secondary to [his] service[-]connected peptic ulcer disease.â Record (R.) at 139 (emphasis added). That Notice of Disagreement was submitted along with a letter from attorney John F. Cameron, informing VA that attorney Cameron was being designated as Mr. Robinsonâs attorney. R. at 141-42. Attorney Cameron asked that multiple documents, including Mr. Robinsonâs Notice of Disagreement, be associated with Mr. Robinsonâs claims file.
In October 2001, the Board remanded Mr. Robinsonâs claims to the regional office for additional development. Specifically, the Board ordered the regional office, among other things, to (1) âarrange for a VA examination by an appropriate specialist in order to determine the nature, severity, and etiology of the thyroid disorderâ and (2) âarrange for a VA examination by a cardiovascular specialist in order to determine the nature, severity, and etiology of any cardiovascular disorder.â R. at 189-90. The examiner was specifically directed to opine as to whether those conditions were related to or aggravated by Mr. Robinsonâs service-connected peptic ulcer disease.
The report from a November 2002 VA thyroid and parathyroid diseases examination reflects the examinerâs opinion that Mr. Robinsonâs âchest pain ... claimed as heart problems ... was secondary to his [hjyperthyroidismâ and that â[t]here is no heart problem that is attributable to his service[-]connected peptic ulcer disease!;] and his thyroid condition ... is not related to his service-connected peptic ulcer disease.â R. at 697. There is of record a document that purports to be the report from a November 2002 VA heart examination. See R. at 698. Under the heading â[examination results,â that document states only the following: âPlease see the Thyroid/Parathyroid compensation and pensions examination.â Id.
The Board, in the May 2004 decision now on appeal, denied service connection on a secondary basis for heart disease and a thyroid disability. In so doing, the Board relied on the November 2002 VA examination report, which âfound no relationship between the service-connected peptic ulcer disease and the two later arising diseases.â R. at 9.
In his brief, Mr. Robinson raises three arguments. First, he contends that the Board violated Stegall v. West, 11 Vet.App. 268, 271 (1998), by failing to ensure compliance with the October 2001 Board remand order. In that regard, he argues that the examiner failed to discuss the etiology of the thyroid and cardiovascular conditions, as ordered by the Board. Appellantâs Brief (Br.) at 8. His second argument is related to his first â that the Secretary violated the duty to assist by relying on inadequate medical examination reports. See id. at 9-10. His third and final argument is that the Board violated Schroeder v. West, 212 F.3d 1265 (Fed.Cir.2000), by failing to adjudicate whether he is entitled to service connection on a direct basis for heart disease and a thyroid disability.
In response, the Secretary contends that Mr. Robinson is challenging the propriety
On February 8, 2007, the Court issued an order notifying the parties that it was interested in resolving, among other things, the following two questions raised in this appeal: First, whether or not representation by counsel before the Agency is a factor to be considered in determining whether the Court should apply the exhaustion doctrine to affirm a Board decision rather than adjudicate or remand a new theory of entitlement first raised on appeal. And, second, whether representation by counsel before the Agency has any effect on the Courtâs analysis of whether VA fulfilled its obligation to consider and decide all issues reasonably raised by the claim. The Court then allowed the parties to file supplemental pleadings addressing these issues. In addition, the Court allowed for the filing of amicus briefs.
In response to that order, the Court received supplemental pleadings from the parties and multiple amicus briefs. The gist of Mr. Robinsonâs supplemental pleading and the amicus filings is that the Court cannot impose an exhaustion requirement because to do so would violate the principles established in the U.S. Supreme Courtâs decision in Sims v. Apfel, 530 U.S. 103, 120 S.Ct. 2080, 147 L.Ed.2d 80 (2000). In addition, they argue that the Court should not treat differently appellants represented by counsel and unrepresented appellants and that the U.S. Court of Appeals for the Federal Circuitâs decision in Andrews v. Nicholson, 421 F.3d 1278 (Fed.Cir.2005), should be read narrowly to apply only in the context of motions to revise based upon clear and unmistakable error.
In his supplemental pleading, the Secretary argues that the Court can apply the exhaustion doctrine because 38 U.S.C. § 7105(c)(3) provides that an appeal to the Board âshould set out specific allegations of error of fact or law.â 38 U.S.C. § 7105(c)(3). He further notes that VAâs regulation essentially mimics the statute. See 38 C.F.R. § 20.202 (2006) (âThe Substantive Appeal should set out specific arguments relating to errors of fact or law made by the agency of original jurisdiction in reaching the determination, or determinations, being appealed.â). Citing Andrews, the Secretary goes on to assert that whether an appellant is represented by counsel is relevant in assessing the Secretaryâs obligation to read claims sympathetically. The Secretary asserts that, in this case, Mr. Robinson was represented by counsel for the entire six years that his appeal was pending before VA and that, at no time before VA did Mr. Robinson raise arguments regarding service connection on a direct basis. In essence, the Secretary argues that this case is more about a represented appellantâs failure to raise arguments than it is about the Secretaryâs duty
II. ANALYSIS
A. Is Mr. Robinsonâs Argument on Appeal for Service Connection on a Direct Basis for Heart Disease and a Thyroid Disability a Separate Claim for Disability Benefits for Those Conditions?
Our ability to exercise jurisdiction over this appeal hinges on whether Mr. Robinson is advancing a new claim or merely a new argument in support of his claim. If Mr. Robinson is advancing a new claim, we lack jurisdiction over this appeal because there is no final Board decision on that claim. See 38 U.S.C. §§ 7252(a), 7266(a); see also Breeden v. Principi, 17 Vet.App. 475, 478 (2004). If, on the other hand, Mr. Robinson is advancing a new argument in support of his claim, then we possess jurisdiction over this appeal and can consider the new argument or remand the matter for the Board to consider it in the first instance. See Maggitt v. West, 202 F.3d 1370, 1377-78 (Fed.Cir.2000) (holding that this Court has discretion to hear arguments presented to it in the first instance, provided that it otherwise has jurisdiction over the claim).
In Roebuck v. Nicholson, we held that âalthough there may be multiple theories or means of establishing entitlement to a benefit for a disability, if the theories all pertain to the same benefit for the same disability, they constitute the same claim.â 20 Vet.App. 307, 313 (2006). Roebuck built upon our decision in Bingham v. Principi in which we held that âdirect and presumptive service connection are, by definition, two means (i.e., two theories) by which to reach the same end, namely service connection.â 18 Vet.App. 470, 474 (2004), aff'd, 421 F.3d 1346 (Fed.Cir.2005). In affirming Bingham, the Federal Circuit recognized that separate theories in support of a claim for a particular benefit are not equivalent to separate claims and that a final denial on one theory is a final denial on all theories. See Bingham, 421 F.3d at 1349 (â[W]e similarly cannot recognize an exception [to the rule of finality] based on a purported legal error committed by the Board based on its failure to consider all possible theories that may support a claim.â).
There is, however, an early decision in which this Court reached a conclusion unlike the conclusions discussed above. In Perman v. Brown, a decision issued before Congress eliminated the well-grounded-claim requirement by enacting the Veterans Claims Assistance Act of 2000, this Court, without any legal analysis, held that a claim for disability benefits on a theory of secondary service connection is separate and distinct from a claim for disability benefits on a theory of direct service connection for that same disability. 5 Vet.App. 237, 239 (1993). As explained below, the Federal Circuit overruled this holding.
Under the no longer existent well-grounded-claim requirement, VAâs duty to assist was not triggered until some evidence was presented in support of each element of the claim. See Morton v. West, 12 Vet.App. 477, 486 (1999). It was under the well-grounded-claim requirement that this Court endorsed a theory-by-theory concept of what constitutes a claim. In Schroeder v. West, upon which we based our decision in Bingham, the Federal Circuit repudiated the theory-equals-claim concept and held that, where a veteran sought benefits for an eye condition and his claim was well grounded based on in-service exposure to Agent Orange, VAâs duty to assist was triggered and VA had
Here, Mr. Robinson, who has been represented by attorney Cameron since the submission of his original Notice of Disagreement in November 1999, has pursued YA benefits for heart disease and a thyroid disability only on a secondary basis â that is, on the theory that those conditions are attributable to his service-connected peptic ulcer disease. In his brief in this appeal, Mr. Robinson contends, for the first time, that he is entitled to service connection for those disabilities on a direct basis and that the Board erred in failing to address service connection on a direct basis. See Appellantâs Br. at 11-12. In fact, at oral argument, Mr. Robinson even conceded that his claim for benefits on a secondary basis has no merit and that all that he pursues now is service connection on a direct basis. Because, as explained above, his new argument in support of disability benefits on a direct basis does not constitute a separate claim, we possess jurisdiction over the matter and will consider the argument. See Maggitt, 202 F.3d at 1377-78. We now address the issue of exhaustion.
B. Did the Board Err in Failing To Discuss Service Connection on a Direct Basis?
Having determined that the appellantâs theory may be properly raised to the Court, we turn to the question of whether it was error for the Board not to explicitly address this theory. As explained below, there are two reasons why we are not persuaded by Mr. Robinsonâs argument that the Board erred in failing to discuss service connection on a direct basis. First, Mr. Robinsonâs reliance on Schroeder is misplaced. And, second, the facts of this case, particularly the fact that Mr. Robinson has been represented by counsel since November 1999, compel us to conclude that the Board did not err in failing to discuss entitlement to disability benefits on a direct basis.
1. Schroeder Does Not Support Mr. Robinsonâs Argument
Mr. Robinsonâs terse argument in his brief that the Board erred in failing to discuss service connection on a direct basis is premised entirely on the Federal Circuitâs decision in Schroeder. See Appellantâs Br. at 11-12. The appellant in Schroeder appealed a Board decision denying him service connection for a bilateral eye disorder on a direct basis and as a result of Agent Orange exposure. See id. at 1267. On appeal, this Court concluded that the Board had erred in finding the Agent Orange claim not well grounded. This Court, however, affirmed the Boardâs decision denying service connection on a direct basis on the basis that that âclaimâ was not well grounded.
As discussed above, the Federal Circuit expressly rejected this Courtâs decision that two different theories equaled two
Mr. Robinsonâs case is entirely different. VA has consistently denied Mr. Robinson service connection on a secondary basis only. As a consequence, Schroeder, which dealt with the Boardâs denial of a particular benefit claimed on more than one basis, does not fit the facts of this case. Nothing in the Federal Circuitâs decision in Schroeder supports Mr. Robinsonâs position that the Board is required to explicitly discuss a particular theory. As a consequence, Schroeder does not support Mr. Robinsonâs argument that the Board was required to discuss service connection on a direct basis.
To summarize, the Federal Circuitâs ultimate conclusion in Schroeder is âwell grounded as to one theory, well grounded as to all theories.â In other words, the duty to assist applies to the entire claim, which might require assistance in developing more than one theory in support of that claim. Schroeder does not address whether VA has an obligation to explicitly discuss sua sponte a particular theory in the first place.
2. The Board Did Not Err in Failing To Address All Issues Raised by Mr. Robinson or the Evidence of Record.
Notwithstanding the foregoing, we recognize that, the Board is required to consider all issues raised either by the claimant, Schroeder, 212 F.3d at 1271, or by the evidence of record, Solomon v. Brown, 6 Vet.App. 396, 402 (1994). Indeed, by regulation, the Board is required to construe an appellantâs arguments âin a liberal manner for purposes of determining whether they raise issues on appeal.â 38 C.F.R. § 20.202. In addition, the Board is obligated to consider all issues reasonably raised in an appeal. See Urban v. Principi 18 Vet.App. 143, 145 (2004) (âWhen reviewing [the appellantâs] claim, the Board was obligated to consider all reasonably raised matters regarding the issue on appeal.â); Brannon v. West, 12 Vet.App. 32, 35 (1998) (concluding that the Board must âadjudicate all issues reasonably raised by a liberal reading of the appellantâs substantive appeal including all documents and oral testimony in the record prior to the Boardâs decisionâ).
Nonetheless, in addressing those theories, the Court has held that the Board is not required to discuss all of the evidence of record but rather it must discuss the relevant evidence. Dela Cruz v. Principi 15 Vet.App. 143, 149 (2001); see
The essential logic of all these cases is the same. As a nonadversarial adjudicator, the Boardâs obligation to analyze claims goes beyond the arguments explicitly made. However, it does not require the Board to assume the impossible task of inventing and rejecting every conceivable argument in order to produce a valid decision. The question of the precise location of the line between the issues fairly raised by the appellantâs pleadings and the record and those that are not must be based on the record in the case at hand; therefore, it is an essentially factual question. However, we disagree with the dissent as to the fundamental nature of the line. Our dissenting colleague suggests that â âall possibleâ â causes must be investigated by the Secretary. Ante pp. 558-59 (quoting Schroeder, 212 F.3d at 1271 (emphasis in original)).
However, Congress has not used such unbounded language. For example, the duty to provide a medical examination as to whether a particular theory of service connection has merit is explicitly limited to situations where there is already some evidence in the record of a current disability and some evidence that âindicatesâ that the disability âmay be associatedâ with the claimantâs military service. 38 U.S.C. § 5103A(d)(2)(B). If Congress had wanted the Secretary to automatically provide an examination on all possible theories, then section 5103A would not read the way it does. In this regard, we note that if the evidence is insufficient to reach the low threshold necessary to trigger the duty to assist, see McLendon v. Nicholson, 20 Vet.App. 79, 83 (2006), then any failure to discuss the theory is necessarily not prejudicial.
Our dissenting colleague supports her belief in the Secretaryâs duty to investigate all possible theories by suggesting that causes âunknownâ to the appellant are those that âcould not have been previously raised by the appellant.â Ante p. 559. This is simply not true. It is entirely possible that the record might âindicateâ a theory of entitlement, but that a lay appellant might not be sophisticated enough to recognize the theory. Hence, a theory can be both unknown to the appellant and suggested by the record. See Ingram v. Nicholson, 21 Vet.App. 232, 256-57 (2007) (â[I]t is the Secretary who knows the provisions of title 38 and can evaluate whether there is potential under the law to compensate an averred disability based on a sympathetic reading of the material in a pro se submission.â). Accordingly, we conclude that the Board is not required sua sponte to raise and reject âall possibleâ theories of entitlement in order to render a valid opinion. The Board commits error only in failing to discuss a theory of entitlement that was raised either by the appellant or by the evidence of record. This standard is generous to veterans but respects the reality that the Secretary does not have the resources to investigate sua sponte every conceivable unsupported theory of entitlement. In this case, neither the appellant
a. Service connection on a direct basis was not raised by the appellant to the Board.
First, we consider whether direct service connection was argued below. To do so, we must consider how to read the appellantâs submissions. In the Secretaryâs supplemental memorandum of law, filed in response to the Courtâs February 8, 2007, order, the Secretary acknowledges that as a matter of practice <fVA reads all submissions sympathetically, even when a claimant is represented by counsel.â Secretaryâs Supplemental Memorandum at 8. The Secretary goes on to assert that âin the six years [that Mr. Robinsonâs] appeal was pending before [VA], neither he nor his counsel presented any argument to support his claims.â Id. at 9. The Secretary is correct. In neither his January 2000 nor his May 2001 Substantive Appeal did Mr. Robinson assert anything of real substance.
The presence of attorney Cameron throughout the appeals process before the Agency is a significant factor that solidifies our conclusion. See Andrews, 421 F.3d at 1283 (holding that VAâs obligation to sympathetically read a clear-and-unmistakable-error motion does not apply to pleadings filed by an attorney); see also Overton v. Nicholson, 20 Vet.App. 427, 438 (2006) (âA claimantâs representation by counsel does not alleviate VAâs obligation to provide compliant notice; however, that representation is a factor that must be considered when determining whether that appellant has been prejudiced .... â); id. at 438-39 (â[I]t is not unreasonable to conclude that an appellantâs attorney is acting with the full authority and knowledge of his client and thus, to attribute to his client the attorneyâs actions and communications.â). We presume that attorney Cameron, an experienced attorney in veteranâs law, says what he means and means what he says. In this case, to the extent that attorney Cameron made arguments to VA, he specifically used the term âsecondary service connectionâ and presented arguments consistent with the meaning of that term. Where an attorney uses terms of art that make sense in the context used, the Board may reasonably conclude that there is no ambiguity to be resolved with a sympathetic reading or a liberal construction of the pleadings. In contrast, where a lay person uses a term of art, the Board should still read the whole submission critically rather than assuming that the language was used correctly. Ingram, 21
Ultimately, there was nothing in Mr. Robinsonâs appeal to the Board, prepared on his behalf by attorney Cameron, that the Board could have been expected to liberally construe or read sympathetically in order to determine that Mr. Robinson was seeking to have his claim adjudicated on a theory of direct service connection in addition to a theory of secondary service connection. Therefore, the Board did not err by failing to adjudicate his claim on the basis of direct service connection. The Statement of the Case to which Mr. Robinson himself referred in his May 2001 Substantive Appeal made it clear that the regional office had adjudicated and denied his heart and thyroid claims solely on a secondary-service-connection basis. See R. at 179-81. In his appeal to the Board, Mr. Robinson merely asserted that he disagreed with that specific conclusion. In that appeal, prepared on his behalf by attorney Cameron, Mr. Robinson did not address the issue on entitlement to service connection on a direct basis. Indeed, as noted above, it was in Mr. Robinsonâs brief to this Court that he first contended that he was seeking service connection on a direct basis. As a result, we find that no amount of liberal construction by the Board of Mr. Robinsonâs arguments on appeal could have led it to believe that Mr. Robinson was taking issue with VAâs failure to adjudicate his claims on a direct theory as opposed to a secondary one. See Schroeder, 212 F.3d at 1271; see also 38 C.F.R. § 20.202.
b. Service connection on a direct basis was not suggested by the record before the Board.
Turning to whether the evidence of record before the Board raised the issue of service connection on a direct theory, we note that in his opening brief Mr. Robinson does not point to any evidence that he contends raised that theory or that should have compelled the Board to adjudicate his claim on a direct theory in addition to a secondary theory. We therefore have no basis for concluding that the Board erred in failing to address the claim in terms of a theory of direct service connection. See Solomon, 6 Vet.App. at 402. While Mr. Robinson belatedly tries to point to evidence in the record in his reply brief, the Court is not required to consider his belated argument in support of his belated theory. See, e.g., Burton v. Principi, 15 Vet.App. 276, 277 (2001) (per curiam order) (âWe should not encourage the kind of piecemeal litigation in which the appellant here has engaged.â); Tubianosa v. Derwinski, 3 Vet.App. 181, 184 (1992) (noting that the appellant âshould have developed and presented all of his arguments in his initial pleadingâ); Fugere v. Derwinski, 1 Vet.App. 103, 105 (1990) (â[ajdvancing different arguments at successive stages of the appellate process does not serve the interests of the parties or the Courtâ because piecemeal litigation hinders the deci-sionmaking process).
Our dissenting colleague indicates that she would find the evidence first mentioned. in Mr. Robinsonâs reply brief sufficient to demonstrate prejudicial error by the Board. We disagree. There is simply no medical or lay evidence of continuity of symptomatology that links the symptoms reported in 1988 to Mr. Robinsonâs current condition in a way that suggests that direct service connection. It is impractical to require the Board to explicitly mention every prior medical record noting any type of symptom and state that there is no evidence that the symptom is directly connected to .the current condition. Such a
For all the reasons stated above, based on the evidence contained in the record, as well as Mr. Robinsonâs statements throughout his appeal, the Court concludes that the Board did not erred in failing to adjudicate his claim for VA benefits for heart disease and a thyroid disability on a direct basis. See Schroeder, 212 F.3d at 1271.
C. Compliance With the 2001 Board Remand Order
â[A] remand by this Court or the Board confers on the ... claimant, as a matter of law, the right to compliance with the remand orders.â Stegall, 11 VetApp. at 271. When âthe remand orders of the Board or this Court are not complied with, the Board itself errs in failing to [ejnsure compliance.â Id. Such an error can constitute the basis for a remand by this Court. Id.
As an initial matter, Mr. Robinson did not raise his argument regarding VAâs compliance with the Boardâs remand order of 2001 before the Board in 2004 when the matter was returned to the Board following its prior remand order. Nevertheless, rather than remanding the case for the Board to discuss that argument in the first instance, we will consider it ourselves. It is not surprising that Mr. Robinsonâs Ste-gall argument bears a striking resemblance to his argument that the Board erred in failing to adjudicate service connection on a direct theory. He argues that the November 2002 VA examiner failed to comply with the Boardâs October 2001 remand order because the examiner addressed only secondary service connection and did not provide an opinion regarding the etiology of the heart and thyroid conditions. See Appellantâs Br. at 8 (âDr. Schroff improperly limited his reports only to the issue of whether the two conditions were caused by or related to the [a]ppel-lantâs [peptic ulcer disease].â). Again, we are not persuaded.
The Boardâs remand order, read in its entirety, does not support Mr. Robinsonâs argument. The relevant paragraphs of the 2001 Board remand order state that the regional office âshould arrange for a VA examination ... in order to determine the nature, severity, and etiologyâ of Mr. Robinsonâs heart and thyroid disorders. R. at 189-90. Although such broad language arguably supports Mr. Robinsonâs argument, it cannot be read out of context. In that regard, later in the relevant paragraphs of the order, the Board made it abundantly clear that the examiner was requested to opine only as to whether the heart and thyroid conditions were âcaused or ... aggravated by the service[-]conneeted peptic ulcer disease,â in other words, as to whether the heart and thyroid conditions are related to Mr. Robinsonâs service on a secondary basis. Id. The examiner did not âimproperlyâ limit his opinion, as Mr. Robinson contends; he complied with the Boardâs directive regarding the medical examination and opinion required. Appellantâs Br. at 8. In sum, the examiner answered the questions posed by the Board and did not err in failing to render an opinion on a subject other than that to which the Board directed him.
D. Duty To Assist Argument
Mr. Robinson argues that the Secretary violated his duty to assist by relying on the inadequate November 2002 VA examina
E. Remand Under Maggitt v. West, 202 F.3d 1370 (Fed.Cir.2000)
Despite the complete absence of error in the Board decision on review, the Court still has the power to remand this matter if some other factor renders remand appropriate. 38 U.S.C. § 7252(a). An example of such a factor is an intervening change in law. See, e.g., Vaughn v. Principi, 336 F.3d 1351 (Fed.Cir.2003). However, our power to find that a non-error remand is appropriate does not mean that an appellant is entitled to such a remand when