Filed: Aug. 19, 2020
Latest Update: Aug. 19, 2020
Summary: Case: 19-1992 Document: 40 Page: 1 Filed: 08/19/2020 United States Court of Appeals for the Federal Circuit _ JAMES R. LANG, Claimant-Appellant v. ROBERT WILKIE, SECRETARY OF VETERANS AFFAIRS, Respondent-Appellee _ 2019-1992 _ Appeal from the United States Court of Appeals for Veterans Claims in No. 18-13, Judge Amanda L. Meredith. _ Decided: August 19, 2020 _ KENNETH DOJAQUEZ, Carpenter Chartered, Topeka, KS, for claimant-appellant. DAVID PEHLKE, Commercial Litigation Branch, Civil Division, Un
Summary: Case: 19-1992 Document: 40 Page: 1 Filed: 08/19/2020 United States Court of Appeals for the Federal Circuit _ JAMES R. LANG, Claimant-Appellant v. ROBERT WILKIE, SECRETARY OF VETERANS AFFAIRS, Respondent-Appellee _ 2019-1992 _ Appeal from the United States Court of Appeals for Veterans Claims in No. 18-13, Judge Amanda L. Meredith. _ Decided: August 19, 2020 _ KENNETH DOJAQUEZ, Carpenter Chartered, Topeka, KS, for claimant-appellant. DAVID PEHLKE, Commercial Litigation Branch, Civil Division, Uni..
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Case: 19-1992 Document: 40 Page: 1 Filed: 08/19/2020
United States Court of Appeals
for the Federal Circuit
______________________
JAMES R. LANG,
Claimant-Appellant
v.
ROBERT WILKIE, SECRETARY OF VETERANS
AFFAIRS,
Respondent-Appellee
______________________
2019-1992
______________________
Appeal from the United States Court of Appeals for
Veterans Claims in No. 18-13, Judge Amanda L. Meredith.
______________________
Decided: August 19, 2020
______________________
KENNETH DOJAQUEZ, Carpenter Chartered, Topeka,
KS, for claimant-appellant.
DAVID PEHLKE, Commercial Litigation Branch, Civil
Division, United States Department of Justice, Washing-
ton, DC, for respondent-appellee. Also represented by
ETHAN P. DAVIS, CLAUDIA BURKE, ROBERT EDWARD
KIRSCHMAN, JR.; JONATHAN KRISCH, Y. KEN LEE, Office of
General Counsel, United States Department of Veterans
Affairs, Washington, DC.
______________________
Case: 19-1992 Document: 40 Page: 2 Filed: 08/19/2020
2 LANG v. WILKIE
Before NEWMAN, LOURIE, and O’MALLEY, Circuit Judges.
O’MALLEY, Circuit Judge.
James R. Lang appeals a decision of the United States
Court of Appeals for Veterans Claims (“Veterans Court”)
denying his request that his claim be remanded to the
Board of Veterans’ Appeals (“Board”) for consideration of
whether certain medical records generated by the Depart-
ment of Veterans Affairs Medical Center (“VAMC”) consti-
tute “new and material” evidence relevant to his 1995 claim
for disability compensation. See Lang v. Wilkie, No. 18-
0013,
2019 WL 922532 (Vet. App. Feb. 26, 2019). For the
reasons discussed below, we vacate the decision of the Vet-
erans Court and remand.
I
Lang served in the U.S. Marine Corps from February
1966 to July 1968. Following his service in Vietnam, where
he was badly injured, he received the Purple Heart and
Combat Action Ribbon. In the years since, Lang has expe-
rienced serious, ongoing mental health issues, including
nightmares, hypervigilance, and aggression. Lang sought
psychiatric treatment at the Pittsburgh, Pennsylvania
VAMC. On March 9, 1995, Lang was diagnosed with post-
traumatic stress disorder (“PTSD”). The compensation and
pension examiner explained:
[T]he Veteran from a physical standpoint is perma-
nently and totally disabled from any type of gainful
employment [and] is also socially handicapped to a
severe degree . . . . He has a very severe form of
PTSD that he has treated himself with alcohol
abuse over the years which has only contributed to
other problems. He is riddled by depression and
anxiety as well as the usual host of PTSD symp-
toms . . . . The Veteran from the standpoint of the
PTSD alone is being presented with severe impair-
ments in social and occupational adaptability, not
Case: 19-1992 Document: 40 Page: 3 Filed: 08/19/2020
LANG v. WILKIE 3
to mention the horrendous physical deformities
and disabilities he has sustained in service to his
country.
J.A. 42.
On April 13, 1995, Lang filed a disability compensation
claim for PTSD with the Pittsburgh Regional Office (“RO”)
of the VA. He was granted a 10% disability rating on June
18, 1996 (“1996 rating decision”). Lang did not immedi-
ately appeal the decision. He continued to receive treat-
ment for PTSD at the Pittsburgh VAMC from July 1996 to
June 1997.
On February 5, 2014, Lang filed a motion with the
Pittsburgh RO to revise the 1996 rating decision based on
an assertion of clear and unmistakable error (“CUE”). The
RO denied Lang’s motion in September 2014. Lang ap-
pealed the denial to the Board. In September 2015, the
Board remanded to the RO to further develop the record—
including retrieving VAMC medical records from January
1995 to June 1997. The RO issued a supplemental state-
ment of the case in July 2016 and returned the case to the
Board. The Board declined to revise Lang’s rating decision
based on CUE in September 2017. Lang appealed to the
Veterans Court.
On March 20, 2019, the Veterans Court issued a deci-
sion affirming the Board’s denial of Lang’s request for an
adjustment to the 1996 rating decision. Importantly, the
Veterans Court rejected Lang’s argument that the Board’s
CUE determination was procedurally improper because
the 1996 rating decision had never been final. Lang argued
that VA-generated medical records, created in the year fol-
lowing the 1996 rating decision, were constructively re-
ceived by the VA such that the decision could not be final
until the records were reviewed for new and material evi-
dence under 38 C.F.R. § 3.156(b), which to date they have
not been. The Veterans Court acknowledged that a non-
final decision could not have been subject to CUE review
Case: 19-1992 Document: 40 Page: 4 Filed: 08/19/2020
4 LANG v. WILKIE
by the Board. The Veterans Court held that the records
were not constructively received, however, because Lang
failed to prove that the “VA had sufficient knowledge of the
VA treatment records . . . to trigger the Board’s duty to
make the requested findings.” Lang,
2019 WL 922532, at
*4 (citing Turner v. Shulkin,
29 Vet. App. 207, 218–19
(2018)). Thus, the Veterans Court found no prejudicial er-
ror in the Board’s failure to address the post-decision med-
ical records.
Lang timely appeals the Veterans Court’s decision as
to the finality of the 1996 rating decision.
II
Our jurisdiction to review decisions of the Veterans
Court is limited by statute to legal questions, such as the
proper interpretation of a statute or a regulation.
38 U.S.C. § 7292(c); Sullivan v. McDonald,
815 F.3d 786,
788–89 (Fed. Cir. 2016). We must “hold unlawful and set
aside any regulation or any interpretation thereof (other
than a determination as to a factual matter) that was relied
upon in the decision of the [Veterans Court]” that we find
to be (1) arbitrary, capricious, an abuse of discretion, or
otherwise not in accordance with law; (2) contrary to con-
stitutional right, power, privilege, or immunity; (3) in ex-
cess of statutory jurisdiction, authority, or limitations, or
in violation of a statutory right; or (4) without observance
of procedure required by law. 38 U.S.C. § 7292(d)(1). We
review whether the Veterans Court exceeded its jurisdic-
tion, a question of law, de novo.
Sullivan, 815 F.3d at 789.
Lang argues that the Veterans Court erred as a matter
of law when evaluating whether post-decision VAMC med-
ical records prevented the 1996 rating decision from becom-
ing final and, thus, prevented a CUE analysis. The
government argues that the Veterans Court lacked juris-
diction to address that issue in the first instance and that,
therefore, we too lack jurisdiction over this appeal. We first
Case: 19-1992 Document: 40 Page: 5 Filed: 08/19/2020
LANG v. WILKIE 5
address our jurisdiction and then the merits of Lang’s ap-
peal.
A
The government argues that the Veterans Court ex-
ceeded its jurisdiction when it considered Lang’s argument
that the 1996 rating decision is still not final. It is undis-
puted that Lang made this argument for the first time on
appeal to the Veterans Court. Although the government
admits that the Veterans Court has broad discretion to ad-
dress new arguments that were not raised before the
Board, see Maggitt v. West,
202 F.3d 1370, 1378 (Fed. Cir.
2000), it argues that the fact that Lang’s substantive argu-
ment to the Board had been predicated on the assertion of
CUE entirely eliminates the Veterans Court’s discretion to
address Lang’s procedural concern. It also characterizes
Lang’s finality argument as a new CUE claim, which
needed to be addressed by the Board in the first instance.
We disagree.
The government is correct that each allegation of CUE
must be made, with specificity, to the Board for the Veter-
ans Court to exercise jurisdiction over it. See, e.g., Andre
v. Principi,
301 F.3d 1354, 1361 (Fed. Cir. 2002) (“[E]ach
‘specific’ assertion of CUE constitutes a claim that must be
the subject of a decision by the [Board] before the Veterans
Court can exercise jurisdiction over it.”). Lang’s procedural
argument to the Veterans Court was not, however, a new
claim of CUE. It was an argument that no CUE inquiry
need occur because the 1996 rating decision is not final.
See 38 C.F.R. § 3.105(a) (allowing CUE review of final de-
cisions); Beraud v. McDonald,
766 F.3d 1402, 1407 (Fed.
Cir. 2014) (“[U]nder § 3.156(b), the VA must provide a de-
termination that is directly responsive to the new submis-
sion and . . . , until it does so, the claim at issue remains
open.”). As Lang correctly notes, “[t]he Board must estab-
lish the finality of the June 1996 rating decision because
only final decisions are subject to CUE. If there is no final
Case: 19-1992 Document: 40 Page: 6 Filed: 08/19/2020
6 LANG v. WILKIE
decision, there can be no CUE; and the Board would have
been required to dismiss the CUE motion in its entirety.” 1
Appellant’s Reply Br. 2 (citation omitted). The Veterans
Court, therefore, was within its discretion to consider
Lang’s argument. And because the Veterans Court
properly exercised jurisdiction over Lang’s argument, we
have authority to review any underlying legal issues on ap-
peal. See 38 U.S.C. § 7292(c).
B
The VA has a long history of considering documents
that were not literally before an examiner to be construc-
tively part of a claimant’s record. See Bell v. Derwinski,
2 Vet. App. 611, 613 (1992). In Bell, the Veterans Court
held, “where the documents proffered by the appellant are
within the Secretary’s control and could reasonably be ex-
pected to be a part of the record ‘before the Secretary and
the Board,’ such documents are, in contemplation of law,
before the Secretary and the Board and should be included
in the record.” Id.; see also
id. (“[B]ecause [the disputed rec-
ords] were clearly generated by the VA, the Secretary had
constructive, if not actual, knowledge of those items.”). Af-
ter Bell, the Secretary issued Office of General Counsel
1 The government argues that if we require the
Board to establish the finality of a decision before applying
the CUE analysis it “will result in massive disruptions to
prior decision[s] and impose an unworkable standard going
forward.” Appellee’s Br. 14. We do not think such a dis-
ruption is likely. The period during which a claim remains
open where new and material evidence is developed is very
short. The requirement that a decision be final before CUE
must be proven is not new, moreover. Any resulting dis-
ruption from a decision requiring the Board to establish it
has authority to complete a CUE analysis is, therefore, a
problem of the Board’s own creation; policing the VA’s own
records for one year post-decision should not be difficult.
Case: 19-1992 Document: 40 Page: 7 Filed: 08/19/2020
LANG v. WILKIE 7
Opinion 12-95, which officially adopted the Bell rule for all
records in the VA’s possession. Vet. Aff. Op. Gen. Couns.
Prec. 12-95,
1995 WL 17875505, at *2 (May 10, 1995). The
Secretary explained that any records created by the VA,
and related to a matter, are constructively part of the rec-
ord for that matter.
Over the years, the Veterans Court has refined the Bell
principle. It has found some documents insufficiently re-
lated to a given matter to fall within the rule. Non-VA doc-
uments, for example, are not generally subject to the Bell
rule and must normally actually be presented to the VA
adjudicator. See Bowey v. West,
11 Vet. App. 106, 108–09
(1998) (holding that mere reference to non-VA documents
is insufficient to incorporate them into a record). And rec-
ords generated by the VA as to one claimant are not nor-
mally constructively part of every claimant’s record. See
Monzingo v. Shinseki,
26 Vet. App. 97, 102 (2012) (“[W]hen
a document is generated by [the] VA, it will not be consid-
ered constructively before the Board in a particular claim-
ant’s case unless the document has a direct relationship to
the claimant’s appeal.”); Goodwin v. West,
11 Vet. App. 494,
496 (1998). The Veterans Court has never, however, re-
quired that a veteran, or anyone else, take affirmative ac-
tion for the veteran’s own VA-generated medical records to
become part of the record.
Recently, in Turner v. Shulkin,
29 Vet. App. 207 (2018),
the Veterans Court considered whether certain documents
created by the VA after a decision are “received” for pur-
poses of 38 C.F.R. § 3.156(b). The regulation, in relevant
part, provides:
New and material evidence received prior to the ex-
piration of the appeal period, or prior to the appel-
late decision if a timely appeal has been filed . . . ,
will be considered as having been filed in connec-
tion with the claim which was pending at the be-
ginning of the appeal period.
Case: 19-1992 Document: 40 Page: 8 Filed: 08/19/2020
8 LANG v. WILKIE
38 C.F.R. § 3.156(b). The Veterans Court held, consistent
with Bell, that certain documents may be constructively re-
ceived by the VA during the one-year period for appeal.
Turner, 29 Vet. App. at 216–17. But, unlike Bell, the
Turner court further held that there must be a “triggering
principle involved.”
Id. at 217. It explained:
[C]onstructive receipt in the context of 38 C.F.R.
§ 3.156(b), dealing exclusively with VA treatment
records, requires knowledge by VA adjudicators at
the [Veterans Benefits Administration (“VBA”)] of
the existence of those VA treatment records within
the one-year appeal period. In determining
whether constructive possession has been trig-
gered as to VA treatment records, those records
must have been generated by a VA medical facility
and VA adjudicators at the VBA must have suffi-
cient knowledge that such records exist. In addi-
tion, based on the Federal Circuit’s decision in
Sullivan, VA’s constructive receipt of such records
is not tied to their relevance to the claim.
Id. at 218. As to the knowledge requirement, the Veterans
Court noted that the determination is a factual question
and should be guided by the general principles underlying
the VA’s duty to assist.
Id.
Lang argues that Turner, as to the “triggering princi-
ple,” is contrary to established Veterans Court law. We
agree. The Veterans Court provided very little explanation
for its decision to add an additional actual knowledge re-
quirement to the otherwise well-established Bell doctrine
of constructive receipt. It merely stated, “[t]he impact of
applying the correct legal rule on an agency is not a reason
to turn a blind eye to the law. Nevertheless, the practical
impact of a legal rule can certainly frame how that legal
rule is applied.”
Id. at 217. It then rejected without expla-
nation Turner’s argument “that constructive receipt of VA
treatment records is, essentially, co-extensive with the
Case: 19-1992 Document: 40 Page: 9 Filed: 08/19/2020
LANG v. WILKIE 9
creation of records by VA” personnel by concluding, “some-
thing more than mere creation is required.”
Id. We hold
that the Veterans Court in Turner articulated an erroneous
statement of the law when it failed to adequately address
Bell and its progeny.
The Veterans Court has consistently held, with the
Secretary in full agreement, that, in the context of records
created prior to a decision, all relevant and reasonably con-
nected VA-generated documents are part of the record and,
therefore, constructively known by the VA adjudicator. See
e.g.,
Bowey, 11 Vet. App. at 108–09; Vet. Aff. Op. Gen.
Couns. Prec. 12-95,
1995 WL 17875505, at *2. The Veter-
ans Court provided no reasoning to support a different test
in the post-decision context. We see none. 2 Thus, while we
agree with the Veterans Court’s conclusion in Turner that
the Bell doctrine of constructive receipt applies to 38 C.F.R.
§ 3.156(b), we hold that records received in the post-deci-
sion context must be evaluated under the same framework
applied to records generated prior to a decision. 3 Evidence
is constructively received by the VA adjudicator post-deci-
sion if it (1) was generated by the VA or was submitted to
the VA and (2) can reasonably be expected to be connected
to the veteran’s claim. 4 See
Monzingo, 26 Vet. App. at 101–
2 Although the government argues that we are not
obligated to apply Bell, it does not provide any compelling
reason for us to apply different rules in the two contexts.
3 We note that the government seems to agree with
this understanding of the law of constructive receipt under
Bell and does not seriously defend the Turner court’s “trig-
gering principle.” To the extent the government contends
that we are not bound to follow Bell or bound to extend Bell
to the circumstances of Turner, the government did not
challenge those decisions on appeal.
4 We do not attempt to exhaustively consider the var-
ious circumstances in which a veteran may establish
Case: 19-1992 Document: 40 Page: 10 Filed: 08/19/2020
10 LANG v. WILKIE
02. There is no requirement that the VA adjudicator have
any actual knowledge of the evidence for this principle to
apply.
Applying the principle to this case, Lang’s post-decision
medical records were constructively received by the VA ad-
judicator prior to the expiration of the one-year appeal pe-
riod. Medical records created by the VAMC as a result of
the treatment of a specific veteran are necessarily received
by the VA adjudicator of that veteran’s claims because all
such records can reasonably be expected to be connected to
the veteran’s claims. 5 Cf.
Sullivan, 815 F.3d at 793 (hold-
ing that the VA’s duty to assist in retrieving a veteran’s
medical records is not limited to records that are relevant
to a specific claim). A veteran’s own medical records, gen-
erated by the VA itself, are always reasonably related to a
veteran’s claim.
constructive receipt for purposes of 38 C.F.R. § 3.156(b).
The Board and Veterans Court should continue to develop
this area of the law, consistent with Bell and the basic guid-
ance provided in this opinion.
5 The government argues that this rule may intro-
duce uncertainty into the finality of many claims. Appel-
lee’s Br. 31–33. That a correct application of law may
result in additional work for an agency is not a reason to
change the law. Further, a widespread resurrection of
claims is unlikely. Claims will only be subject to further
proceedings if new and material evidence exists in a vet-
eran’s VAMC medical records created in the year following
a decision. Certainly, the VA may be asked with greater
frequency to acquire and review those records. It is likely,
however, that only a small portion of the cases will reveal
new and material evidence. In such cases, it is unquestion-
ably the correct result, both as a matter of policy and the
law, for the veteran to receive the benefit of that additional
evaluation.
Case: 19-1992 Document: 40 Page: 11 Filed: 08/19/2020
LANG v. WILKIE 11
Here, Lang received a decision on his claim on June 18,
1996. It is undisputed that he continued treatment for
PTSD at the Pittsburgh VAMC during the next year, from
June 1996 to June 1997. Any records created by the Pitts-
burgh VAMC as to Lang during that one-year period were
therefore in the possession of the VA and constructively re-
ceived by the VA adjudicator in reference to Lang’s claim
for purposes of 38 C.F.R. § 3.156(b).
A claim, such as Lang’s, remains open until the VA de-
termines whether post-decision evidence received within
the one-year appeal period is “new and material.” See Be-
raud, 766 F.3d at 1407. The Board made no such determi-
nation as to Lang’s post-decision medical records. The
1996 rating decision was, thus, not final and a CUE analy-
sis was not required. See 38 C.F.R. § 3.105(a) (allowing
CUE review of “final” decisions). Given this, the Veterans
Court erred when it declined to remand Lang’s claim to the
Board to review the post-decision VAMC medical records
for new and material evidence.
III
We conclude that a VA adjudicator does not need any
actual knowledge of VAMC medical records to establish
constructive receipt. The well-established Bell rule for
when the VA has constructive knowledge of VA-created
documents contains no such requirement. We hold there is
no legal basis for adding such a requirement in the post-
decision context. Accordingly, we vacate the decision of the
Veterans Court and remand for the Veterans Court to re-
mand this case to the Board for further proceedings con-
sistent with this opinion.
VACATED AND REMANDED
COSTS
Costs to appellant.