Opinion · United States Court of Appeals for Veterans Claims
Butts v. Brown
5 Vet. App. 532
- Type
- Opinion
- Court
- United States Court of Appeals for Veterans Claims
- Jurisdiction
- Federal
- Date
- 1993-09-16
- Topic
- general
holding that the Board's choice of diagnostic code should be upheld so long as it is supported by explanation and evidence | holding that the Board's choice of diagnostic code, if supported by explanation and evidence, should be upheld | holding that the Board's choice of diagnostic code should be upheld so long as it is supported by explanation and evidence | holding that the Board's choice of diagnostic code should be upheld so long as it is supported by explanation and evidence | holding that the Court reviews the Board’s application of law to facts under the “arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law” standard of proof | holding that the appropriate standard of review for an issue of application of law to the particular facts of a case is the “arbitrary, capricious, abuse of discretion, or otherwise not in accordance with law” standard of review | arguing that there is no material difference between the "arbitrary or capricious" standard and the "clearly erroneous" test | noting Court’s “longstanding practice of reviewing questions of law de novo without any deference to the BVA’s conclusions of law” | choice of diagnostic code should be upheld if it is supported by explanation and evidence | choice of diagnostic code should be upheld if it is supported by explanation and evidence | The “selection of a DC is a question of the application of the law to the facts and not a question of law.” | the assignment of a particular Diagnostic Code is "completely dependent on the facts of a particular case" | “Congress delegated to the Secretary in the first and final instance the authority to adopt a schedule for rating disabilities.” | “arbitrary” standard not met if agency had rational basis for its decision | discussing proper application of de novo review
Citator
- Cited by
- 114 opinions
Chester L. Butts appeals a July 11, 1991, decision of the Board of Veterans’ Appeals (BVA. or Board) denying service connection for (1) defective hearing in the left ear, (2) residuals of an injury to the right index finger, (3) pseudofolliculitis barbae, and (4) a bilateral foot disorder; and denying entitlement to an increased (compensable) rating for (1) a perianal abscess with periur-ethral extension, (2) recurrent lumbosacral strain, and (3) chronic vasomotor rhinitis with tinnitus. Chester L. Butts, BVA 91-21122 (July 11, 1991). The Secretary of Veterans Affairs (Secretary) has filed a motion for summary affirmance. The Court has jurisdiction of the case pursuant to 38 U.S.C.A. § 7252(a) (West 1991). For the reasons set forth below, the Court affirms in part and vacates in part the decision of the BVA and remands the matter for readjudication consistent with this opinion.
I. Factual Background
Appellant served in the United States Air Force from May 17, 1971, to March 2, 1978 (R. at 1-2), and from December 4, 1981, to July 17, 1985 (R. at 3). An August 9, 1985, Veterans’ Administration (now Department of Veterans Affairs) (VA) regional office (RO) rating decision granted service connection for a perianal abscess with periur-ethral extension (rated as 0% disabling), but denied service connection for status post hemorrhoidectomy. See R. at 49. On February 10, 1988, appellant applied to the RO for service connection for a deviated nasal septum, a lumbosacral strain, rhinitis,
The Court notes initially that appellant has not appealed the RO determinations regarding the claims for status post hemor-rhoidectomy or the deviated nasal septum. See 38 C.F.R. § 20.200 (1992) (“If the Statement of the Case [SOC] and any prior Supplemental [SOCs] addressed several issues, the Substantive Appeal must either indicate that the appeal is being perfected as to all of those issues or must specifically identify the issues appealed.”) Therefore, neither of these claims was before the Board; nor are they currently before the Court.
II. Appellant’s Claims
The Court reviews the Board’s findings of fact regarding new claims under a “clearly erroneous” standard of review. 38 U.S.C.A. § 7261(a)(4) (West 1991); Gilbert v. Derwinski, 1 Vet.App. 49, 53 (1990); see also Proscelle v. Derwinski, 2 Vet.App. 629, 631-32 (1992) (claim for increase is new claim). Under the “clearly erroneous” standard of review, “if there is a ‘plausible’ basis in the record for the factual determinations of the BVA, even if this Court might not have reached the same factual determinations, [the Court] cannot overturn them.” Gilbert, supra. The Board must base its decisions on “all evidence and material of record,” 38 U.S.C.A. § 7104(a) (West 1991), and must provide a “written statement of [its] findings and conclusions, and the reasons or bases for those findings and conclusions, on all material issues of fact and law presented on the record,” 38 U.S.C.A. § 7104(d)(1) (West 1991). See Douglas v. Derwinski, 2 Vet.App. 435, 438-39 (1992)
A. Claims for Service Connection
The Court holds that the Board did not discuss all of the evidence of record concerning defective hearing of the left ear. The Board discussed the diagnosis of mild high frequency hearing loss appearing on appellant’s January 1985 discharge examination. R. at 13. The Board then pointed to an April 1988 audiological evaluation indicating “[essentially normal hearing bilaterally” (R. at 35) and to a September 1990 audiological evaluation stating that “[sjpeech results do suggest that patient’s hearing in the [left ear] is adequate for normal conversational speech” (R. at 90). However, the Board did not discuss the statement appearing in the September 1990 evaluation that the “test results for the [left ear] were incomplete and are inconclusive in view of patient’s lack of cooperating and his attending behaviors.” Ibid. Moreover, the Board failed to discuss a VA physician’s (Dr. Lockey) statement on the same day as the September 1990 audiological evaluation that “[o]n gross examination the patient does appear to have a mild high frequency neurosensory hearing loss.” R. at 92. The Court thus remands the claim for service connection for defective hearing in the left ear. •
Regarding residuals of an injury to the right index finger, the Board’s decision denying service connection has a plausible basis. On an April 1988 VA clinical record, a VA physician wrote: “Right index finger has full range of motion, no apparent sensory or motor pattern and we can’t identify a laceration scar.” R. at 32. Therefore, the Court affirms the Board’s July 1991 denial of service connection.
The Board’s denial of service connection for pseudofolliculitis barbae also has a plausible basis. (Pseudofolliculitis barbae is a bacterial disorder occurring chiefly in the beard. Dorland’s Illustrated MediCAl Dictionary 1378 (27th ed. 1988).) Service medical records from June 1977 indicate an impression of folliculitis on appellant’s face. R. at 11. However, appellant’s January 1985 discharge examination indicated that he was found to be normal on an examination of his head, face, neck, and scalp. R. at 13. Thereafter, pseudofolliculitis barbae did not reappear on appellant’s medical records until a reference to the condition on a 1988 VA prescription form. R. at 25. Therefore, the Board’s finding that this condition was acute and transitory has a plausible basis in the record, and the Court affirms the Board’s denial of service connection. See 38 C.F.R. § 3.303(b) (1992) (where fact of chronicity in service is not adequately supported, showing of chronicity after discharge is required to support claim for service connection).
The Board’s denial of service connection for a bilateral foot disorder is also not clearly erroneous. On an April 21, 1988, VA orthopedic examination for compensation and pension purposes, a VA physician did not find a foot disorder. R. at 32. The pertinent clinical record indicated:
He thinks he might limp some with the right side, refers to the thigh but can’t describe a specific cause. He does place his feet rather gingerly but can walk on his toes and heels. He stands without a list or tilt, flexes 85, extends 15, bends 40 without significant segmentation, rotates 40 and has a two inch chest expansion. His feet are cool but pulses are palpable, no sensory or motor pattern.
R. at 31-32. In addition, an April 21, 1988, VA radiologic report regarding both feet indicated: “No gross osseous or joint or soft tissue abnormalities.” R. at 24. Therefore, the Court affirms the Board’s July 1991 decision on this claim.
B. Claims for Increased Disability Ratings
As for the claim for increase in a noncompensable service-connected perianal
The Board’s denial of an increase in appellant’s currently noncompensable service-connected lumbosacral strain condition is not clearly erroneous. Under 38 C.F.R. § 4.71a, DC 5295 (1992), a lumbosacral strain “[w]ith slight subjective symptoms only” warrants a noncompensable disability rating, and a strain “[w]ith characteristic pain on motion” warrants a 10% disability rating. An April 21, 1988, VA radiologic report regarding the lumbosacral spine indicated: “The height of intervertebral disc spaces and vertebral bodies is unremarkable. The pedicles and transverse processes are intact.” R. at 24. A VA clinical record prepared on the same day in conjunction with a VA orthopedic examination noted:
There is tenderness in the lumbar region without radiating pain and no sciatic notch tenderness.... He states that bending his back and lifting things hurt but that the observed test didn’t really hurt much.... History of back strain and recurrent back discomfort with prolonged sitting and lifting but no neurological pattern.
R. at 32. Therefore, the Board’s finding that the degree of disability did not warrant a compensable rating has a plausible basis, and the Court affirms the July 1991 BVA decision regarding this claim.
Regarding an increased (compensable) rating for rhinitis, the Board’s decision is not clearly erroneous. (Rhinitis is an “inflammation of the mucous membrane of the nose.” Webster’s at 620.) Under 38 C.F.R. § 4.97, DC 6501 (1992), chronic atrophic rhinitis exhibiting “definite atrophy of intranasal structure, and moderate secretion” warrants a 10% disability rating. Appellant’s rhinitis is currently rated as 0% disabling. R. at 97. On a September 1990 VA examination report, a physician wrote: “This patient has severe obstruction of the nasal cavities secondary to a nasal septal deformity which appears to be post-traumatic in nature.” R. at 92. There is no evidence in the record of secretion. Therefore, the Board’s denial of an increase has a plausible basis, and the Court affirms the Board’s decision on this issue.
III. Selection of a Diagnostic Code
Regarding appellant’s tinnitus, the Board rated that condition under the diagnostic code for rhinitis. On May 10,1988, the RO
[W]hen the regulations do not provide diagnostic codes for specific disorders, it is necessary for the'VA to evaluate those conditions under codes for similar disorders or codes that provide a general .description that may encompass many ailments. However, in such cases, the Board should explain in its decision the diagnostic code under which the claim is evaluated, and, most importantly, explain any inconsistencies, apparent or real, that result when the Board cites a code different from that used by the VA at other times in the history of the adjudication of the claim, including codes used by the agency of original jurisdiction or cited in the [SOC].
2 Vet.App. at 629 (emphasis added). In this case, the BVA evaluated appellant’s rhinitis under a different code without providing reasons or bases for its decision to change codes in midstream.
In previous cases, the Court has stated that “[a] determination of whether the appropriate [DC] was selected is a question of law” which the Court reviews on a de novo basis and which the Court may set aside if it is “arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law.” Horowitz v. Brown, 5 Vet.App. 217, 224 (1993) (quoting 38 U.S.C.A. § 7261(a)(3)(A) (West 1991)); McGrath v. Brown, 5 Vet.App. 57, 59 (1993); see also Young v. Brown, 4 Vet.App. 106, 108 (1993); Smith v. Derwinski, 1 Vet.App. 178, 180 (1991).
However, upon further consideration, we have concluded that the Court must recast the standard for reviewing such DC selections. The selection of the proper DC is not a question of law because it is a determination that is completely dependent upon the facts of a particular case. It involves the application of the law — in this case a regulation — to a specific set of facts — in this case a particular condition affecting a claimant. In the context of reviewing an agency’s application of the law to the facts, courts have looked
to (a) the nature of the question to be decided, and (b) a comparison of the respective qualifications and competence of the decisionmakers at issue. [Citation omitted.] Where the question to be decided involves matters of particular expertise of the agency, the deferential standard should be applied. [Citation omitted.] But judicial deference is not warranted where courts have experience in the area and are fully competent to decide the issue. [Citation omitted.] In those situations, the more probing de novo standard is appropriate.
Morris v. C.F.T.C., 980 F.2d 1289, 1293 (9th Cir.1992); see also N.L.R.B. v. Hearst Publications, 322 U.S. 111, 131, 64 S.Ct. 851, 860-61, 88 L.Ed. 1170 (1944) (where question involves specific application of broad statutory term in proceeding where the agency administering the statute must determine the application initially, “the reviewing court’s function is limited”); Washington Urban League v. F.E.R.C., 886 F.2d 1381, 1386 (3rd Cir.1989) (“the case for deference [by a court to an agency] is particularly strong when the agency has interpreted regulatory terms regarding which it must often apply its expertise”); cf. F.T.C. v. Indiana Federation of Dentists, 476 U.S. 447, 454, 106 S.Ct. 2009, 2016, 90 L.Ed.2d 445 (1986) (identification of governing legal standards and their application to the facts found are for the courts to resolve, “although in considering such issues the courts are to give some deference to [the agency’s] informed judgment that a particular commercial practice is deemed to be ‘unfair’ ” under the Federal Trade Commission Act, 15 U.S.C.A. § 45).
We now hold that the Court may set aside the BVA’s selection of a DC in a particular case only if such selection is “arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law.” 38 U.S.C.A. § 7261(a)(3)(A); see Marlow v. Brown, 5 Vet.App. 146, 149 (1993) (Court review of BVA decision on a “clear and unmistakable error” claim is subject to the “arbitrary, capricious” standard); Russell v. Principi, 3 Vet.App. 310, 315 (1992) (en banc) (same); see also Motor Vehicle Mfrs. Ass’n v. State Farm Mut. Auto. Ins. Co., 463 U.S. 29, 43, 103 S.Ct. 2856, 2866, 77 L.Ed.2d 443 (1983) (stating that the scope of review under the “arbitrary and capricious” standard is narrow, but that the agency must nevertheless “examine the relevant data and articulate a satisfactory explanation for its action”); Environmental Defense Fund v. Costle, 657 F.2d 275, 283 (D.C.Cir.1981) (arbitrary and capricious standard is very narrow, mandating judicial affirmance if a rational basis exists for an agency decision even if the court may disagree); Hunt v. Derwinski, 1 Vet.App. 292, 296-97 (1991) (Court held that BVA did not “err” in applying law to the facts of a particular case). The de novo and the “arbitrary, capricious” standards of review differ significantly with respect to the degree of deference that this Court accords to VA and the BVA when reviewing its decisions. 5 Jacob A. Stein, Glenn A. Mitchell & Basil J. Mezt ines, Administrative Law § 51.01[2], at 51:44 (1993) [hereinafter 5 Stein, Mitchell & Mezines] (de novo review is the broadest scope of review). When reviewing VA’s and the Board’s application of the rating schedule to a particular disability, we do not review the schedule. See 38 U.S.C.A. § 7252(b) (West 1991) (Court may not review rating schedule); see also Hood v. Brown, 4 Vet.App. 301, 304 (1993) (Court acknowledged that it may not review rating schedule; however, the Court may require that terms used in describing each rating be capable of validation and that the Board provide reasons or bases for decisions under the schedule).
Because the selection of a DC is a question of the application of the law to the facts and not a question of law, this clarification leaves intact the Court’s longstanding practice of reviewing questions of law de novo without any deference to the BVA’s conclusions of law. See Grottveit v. Brown, 5 Vet.App. 91, 92 (1993); Bagby v. Derwinski, 1 Vet.App. 225, 227 (1991); Colvin v. Derwinski, 1 Vet.App. 171, 174 (1991); see also Walker Operating Corp. v. F.E.R.C., 874 F.2d 1320 (10th Cir.1989) (although an agency’s interpretation in an area of expertise is helpful to a reviewing court, the court is not obligated to follow the agency’s interpretation of law); United States v. Emerson, 846 F.2d 541 (9th Cir.1988) (court conducts de novo review of agency interpretation of law); Louisville and Kentucky R.R. v. Kentucky Railroad Commission, 314 S.W.2d 940, 942 (Ky.Ct.App.1958) (agency interpretation of statute is not binding on court because statutory interpretation is question of law); 5 Stein, Mitchell & Mezines § 51.01[1], at 51:5-51:6 (“The final word on interpretation of law and its applicability, whether constitutional or statutory, resides in the courts, which may substitute their judgment on questions of law for that of the agency on a virtually carte blanche basis.”).
In his concurring opinion, Judge Stein-berg suggests that we follow a different
The decision in the instant appeal overrules the Court’s holding in McGrath and Horowitz, supra, that the selection of a DC is a question of law and clarifies language in these cases to ensure that there is no misunderstanding as to the standards of review which we will employ for pure questions of law and for the application of the law to the facts.
The Court holds that the BVA and the RO decisions to apply the DC for rhinitis to appellant’s tinnitus were arbitrary and capricious. There is no evidence of record that the tinnitus is a result of rhinitis. On the contrary, on a September 14, 1990, consultation report, a VA physician wrote: “In addition, [appellant] has a tinnitus which I feel is associated with a mild high[-]frequency neurosensory hearing loss and is secondary to working on the flight line for several years.” R. at 92. Rhinitis is an “inflammation of the mucous membrane of the nose,” see Webster’s at 620, while tinnitus is “a sensation of noise (as a ringing or roaring) that is caused by a bodily condition (as wax in the ear or a perforated tympanic membrane),” id. at 720. Because of the differences between the two conditions and especially because of the absence of evidence of a causal connection between appellant’s rhinitis and tinnitus, it is unclear how the Board or the RO could have concluded that tinnitus should be rated as a complication of rhinitis under DC 6501. Therefore, the Court sets aside as arbitrary and capricious that part of the BVA decision adopting the RO’s rating of tinnitus under DC 6501 and remands the matter with directions that the veteran’s tinnitus be re-rated under DC 6260. See Lichtenfels v. Derwinski, 1 Vet.App. 484, 488 (1991) (where RO and BVA had evaluated a claimant’s condition under the wrong DC, Court selected the correct code and directed Board to evaluate condition under that code).
In addition, the Board must deal with all the evidence of record. In its July 1991 decision, the Board did not address Dr. Lockey’s statement appearing on a September 1990 consultation report that the tinnitus was “secondary to working on the flight line for several years.” R. at 92. At the February 1989 personal hearing, appellant testified that he worked constantly around aircraft for seven years while in the service, and.that during one part of his service he did not wear ear plugs because ear plugs were not available. R. at 65. However, the Board did not address Dr. Lockey’s diagnosis, appellant’s testimony, or the causal relationship, if any, between appellant’s duties during military service and his current tinnitus. On remand, the Board must address all the evidence of record and consider appellant’s tinnitus under the appropriate DC, as discussed above.
IV. Unadjudicated Claim
The Board also failed in its duty to assist appellant by not adjudicating a claim for otitis externa. Once a claimant has “submitted evidence sufficient to justify a belief by a fair and impartial individual that the claim is well grounded,” VA has a duty to assist the claimant under 38 U.S.C.A. § 5107(a) (West 1991). Murphy v. Derwinski, 1 Vet.App. 78, 81-82 (1990); EF v. Derwinski, 1 Vet.App. 324, 326 (1991) (VA’s statutory duty to assist means that VA must liberally read all documents or oral testimony submitted prior to the BVA decision to include all issues present
V. Claim for Rating Under 38 C.F.R. § 3.324
The Board properly adjudicated a claim for a compensable rating under 38 C.F.R. § 3.324. Under section 3.324,
[wjhenever a veteran is suffering from two or more separate permanent service-connected disabilities of such character as clearly to interfere with normal em-ployability, even though none of the disabilities may be of compensable degree under the 1945 Schedule for Rating Disabilities[,] the rating agency is authorized to apply a 10-percent rating, but not in combination with any other rating.
In its July 1991 decision, the Board addressed the claim for compensation under section 3.324, stating that “the issue of entitlement to a compensable disability evaluation based on the provisions of 38 C.F.R. [§] 3.324 has effectively been rendered moot, in that consideration of such benefits is predicated on the existence solely of noncompensable service-connected disabilities.” Butts, BVA 91-21122, at 3 (italics added; underlining in original). The Board correctly construed this section. Therefore, the Court affirms the Board’s July 1991 decision with respect to this claim.
VI. Conclusion
Accordingly, upon consideration of the record, the Secretary’s motion for summary affirmance, and appellant’s brief, the Court AFFIRMS in part and VACATES in part the July 11,1991, decision of the BVA, and REMANDS the case for readjudication consistent with this opinion.