Deeper Problem Behind Recent VA Scandals? What Advocates Can Do To Protect Claimants 1 I. Incidents of VA Misconduct • VA rocked by scandals in 2008 • VARO NY-- 390 cases showed 56.4% error rate in date of claim • VA claimed errors only affected measures of TIMELINESS & some PERFORMANCE EVALS 2 I. Incidents of VA Misconduct • over 700 pieces unopened mail in shredder bins at NY VARO • Some ROs improperly placed docs necessary to outcome of claims in shredder bins • 11/08—VA ee & vets indicted--conspiring to defraud of $1.9 mil by submitting false claims 3 II. VA Policies May Contribute to VA Misconduct • Promotions and perform. evals linked to # of cases completed • Creates motivation to finish cases regardless of accuracy • Hurts vets, creates cynical VA employees 4 III. New VA Policy on Managing Paper Records • Shredding controlled by records mgmt officer. EEs submit docs to be reviewed before shredding • New policy may reduce shredding of crucial documents, BUT doesn’t address problem of ##s vs. quality 5 IV. “Special Claims Handling Procedures--Missing Documents” • New Rules--address submitted docs that are missing from C-file • New Policy--covers docs filed betw 4-07 & 10-08—if vet notices doc missing, resubmit doc & request be handled under new policy—request made by 11-17-09 6 IV. “Special Claims Handling Procedures--Missing Documents” • If vet has no copy, VA should help vet get copy • If missing doc is app for benefits, file another app • If vet thinks docs submitted BEFORE 04-07 destroyed/lost, needs credible evidence that doc submitted 7 V. Examples of Special Claims Handling Procedures • Vet tells VSR original claim filed 05/07 • No record of claim • VA solicits new app • VA gives new exam • If benefit granted, eff. date is date of original submission 8 VI. Advocacy Advice • New procedures seem to defer to vet • Enforces importance of keeping COPIES of all documents submitted & evid of VA’s receipt • Closely review any case under the “Special Claims Handling procedures for Missing 9 Documents” FIXING THE BROKEN VA CLAIMS SYSTEM Is it Broken? How do we fix it? 10 Background • VA Claims Process in Trouble – As of 1-09: • 389,000 cases waiting to be rated • 171,155 non-rating cases awaiting adjudication • 187,973 appeals awaiting resolution – Combined # awaiting resolution = 748,128 11 Quality of RO & BVA Adjudications • Combined remand/reversal rate for BVA cases = OVER 50% during past 10 years, but 40%, if remands due to change in law & remands basis of new evidence • TOO HIGH for non-adversarial process where benefit-of-doubt applies 12 Additional Embarrassment • NY VARO--managers manipulate stats to inflate performance • Could disadvantage vet claimants • ee in Louisville RO indicted for fraud • VAROs caught shredding documents relating to pending claims 13 Effects on VA System • • • • Delays/inaccuracies Premature denials Confusion extension of already time consuming process • Increasing frustration (among vets, VSO’s, VA ee’s, Congress) 14 Proposed Solutions • Blue ribbon panels, special commissions, professors – all offer solutions • Focus on reducing/eliminating current procedural rights • Some suggest: – eliminate right to add evidence after filing appeal – operate like IRS: grant claims, do random audits 15 Proposed Solutions • Goal of solution: not to fix backlogs or make it harder/easier to get benefits • Primary goal: deserving vets get benefits correctly, promptly and efficiently • No “magic bullet” to fix system • Each proposed solution has own set of problems • Granting claims & then auditing = more time and money 16 Necessary Changes • VA adjudicators/managers held accountable • Rational & realistic performance standards • Bonuses dependent on . . . • Statistical amnesty • Impact of transferred manager • Reconsider CPI • Punish statistic manipulation that makes station managers look better 17 Necessary Changes • VA -- change way work measured • Work credit ONLY after appeal period expires or appeal resolved • Different & better case tracking system • Allows VA to properly measure work, hold staff accountable & provide incentives to fairly decide claims 18 Necessary Changes • Create independent Q-Review system • Outside supervision of Under Sec’y Benefits • Q-Review ees shielded from impact of negative findings • Redefine QR so entire file reviewed & RO accountable for all errors noted 19 Necessary Changes • Redefine errors as – Material: over/under payments, not adequate due process, failed to decide raised issues & inferred issues, premature grants/denial – Procedural: inadequate/improper development, inadequate/confusing info to claimant, didn’t request/conduct proper VA medical exam 20 Specific Problem Areas • Hearing Loss Claims – concede noise exposure, develop for continuity of symptoms • PTSD & other mental disabilities – concede stressor if vet served in combat zone – VA exam inadequate if sympts not consistent w/ GAF • Musculoskeletal conditions – clarify loss of function due to pain – fix eval of back conditions based on “incapacitating episodes” 21 Specific Problem Areas (Cont.) • Aid and Attendance (SMC) – mentally incapacitation applies to vet requires regular care to protect from dangers incident to environment • SOC & SSOC – eliminate current confusion – when SOC issued, VA tells claimant “if following evid submitted, you may be granted the benefit” • Lay evidence – better training for ees to define and how to consider 22 Streamlining • Give suggested improvements fair hearing • Set objectives & accept changes that fit objectives 23 Streamlining • Ideas Proposed: – elevate DROs to ALJs -- appeal direct to CAVC – reduce % evals under any DC to 4 – IRS system: grant all claims, then audit – No right to add new evid after filing NOD – limit # of RO decisions after filing NOD – limit # claimants one service officer can represent 24 How to Evaluate Medical Linkage Opinions 25 I. Introduction • 3 Criteria for Service Connection – Medical evidence of current disability – Medical or lay evidence of in-service incurrence or aggravation of disease/ injury – Nexus between disability and in-service event (usually a medical opinion) 26 I. Introduction • Five ways to establish Nexus: – – – – – Direct link between injury and in-service event Aggravation theory SC Based on Presumption of in-service onset Secondary SC Disability caused by VA treatment or voc rehab • Most ALWAYS preferable to obtain private medical opinion over VA opinion • Success v. failure hinges on HOW VA assesses linkage evidence – Key is STRENGTH of opinion 27 II. Relevant Factors 1. Competent? 2. Expert’s Experience? 3. Medical Treatise Evidence 4. Personal Exam of Vet 5. Expert Reviewed Claims File? 28 II. Relevant Factors (cont.) 6. Evaluating Vet’s History 7. VA Mistakenly Rejects Some Medical Opinions 8. Certainty of Expert 9. Did Expert Give Linkage Opinion? 10. Speculation Issue 11. Consider all Favorable Evidence? 29 1. Competency of Medical Evidence • Definition of competent medical evid – Given by one qualified by education, training, or experience to offer med statements/ opinions • NOT statements of lay persons • Required when medical Q’s are raised • medical professionals other than medical Drs – evid accepted but may have less value 30 2. Level of Expert’s Experience • Training is one, but not the sole factor in determining value of opinion • Education and length of time treating vet taken into account when considering opinion/ diagnosis • Vet who is medical professional may offer opinion on his/her own condition 31 3. Uses/ Limitations of Medical Treatise Evidence • Considered competent medical evidence to support service connection • can convince dr. of medical linkage • Can trigger DTA—may trigger duty to make VA give medical linkage exam/ opinion 32 4. Personal Exam of Vet • Beneficial for Dr. to personally examine vet • Guerrieri v. Brown – – value of medical opinion based on dr.’s personal exam of patient + expert’s knowledge & skill in rendering opinion 33 5. Review of VA Claims File? • Disabilities viewed in relation to history • VA may downgrade medical opinion where Dr. failed to review C-file • Mariano v. Principi - failure to consider file may be FACTOR in assessing opinion • BUT neither review nor absence of review dispositive 34 6. When Opinion Based on Vet’s Retelling of History • VA may reject opinion that is: – Based on facts provided by vet previously found inaccurate; or – Based on facts by vet that are contradicted by other facts present in the record VA may NOT disregard med op SOLELY b/c based on history by vet 35 7. VA Mistakenly Rejects Med Ops based on Lay Statements • Buchanan v. Nicholson – not required that lay evid be corroborated by med tx records to be credible – lack of contemporaneous med records does not make lay evid not credible 36 8. How Certain is Expert? • SC--requires approx 50% chance disability related to service (as likely as not) • If Dr says “possible” VA may deny, saying approx. 50% standard not met • McLendon says opinions expressing ANY certainty indicate disability may be service related 37 9. Did Expert Give Linkage Opinion? • Dr. may hesitate to offer op if not “absolutely certain” – VA may call such ops “non-evidence” – If vet entitled to med linkage opinion under DTA, press VA to obtain med op • Remember – absolute certainty NOT necessary 38 10. Dr Says: Can’t Give Op w/o Speculating • Reason. doubt – substantial doubt, w/in range of probability, unlike pure speculation or remote possibility • Reason. doubt resolved in vet’s favor • If Dr. says can’t give op.—this is not negative evidence 39 11. Must Examiner Discuss ALL Favorable Evidence? • Roberson v. Shinseki – Dr. need NOT discuss ALL positive evid. , just sufficient to fully inform VA rater • BUT Gabrielson v. Brown – faulted Board for relying on op. that failed to discuss positive evid. • Advocates--challenge medical op. that ignores positive evid, or evid that contradicts dr.’s conclusion 40 Bradley v. Peake 41 Vietnam War Veteran appealed two separate March 3, 2006 decisions of the Board of Veteran’s Appeals • 42 • No CUE in effective date of compensable eval for SFWs • Denied EED for scars & muscle injuries • Denied IR for scars & muscle injuries • Denied SMC benefits • Denied SC for chronic pain syndrome 43 •On August 29, 1968 he sustained multiple injuries from a booby trap-received Purple Heart •Vet served from 2/68 to 11/69, including in VN. 44 • 12/69--applied for comp for his SFWs • Received: • 10% eval for Shell Fragment Wounds • 10% eval for retained foreign body • non-compensable rating for multiple scars. 45 • Medical examinations in 1971, 1976, and 1977 confirmed initial disability ratings. • 7/83—received IRs and received SC for PTSD, all effective March, 1983. • Throughout the 1990s VA increased disability ratings, added new ratings and changed effective dates of these new ratings 46 • 5/99 Vet filed NOD as to denial of IRs • Decisions and appeals followed, ultimately resulting in current appeal 47 • 1/05 rating decision reflects: – Veteran received compensable eval for 13 scars, and was SC for 10 separate muscle group injuries. – granted TDIU from March 25, 1983, until June 8, 1992. – granted 100% combined rating from June 8, 1992. 48 – (A) considering and deciding a request for revision of the August 1994 RO decision based on CUE that Veteran asserts he never made; – (B) not assigning an earlier effective date for all his service-connected scars and muscle injuries; – (C) not awarding a separate disability compensation rating for each scar injury and each muscle injury; 49 – (D) not awarding SMC; – (E) denying service connection for his chronic pain syndrome; and – (F) providing an inadequate statement of reasons or bases for the denial of service connection for his chronic pain syndrome. 50 • Partial Remand to Evaluate: – Whether Veteran may be awarded a separate disability compensation rating for each scar • Claims remainder of the Board’s Findings are Plausible and should be affirmed. 51 •Special Monthly Compensation •▪Veteran’s 100% Combined Rating Argument •▪Veteran’s TDUI Argument •Application of 38 U.S.C. § 1114(s) 52 The heart of the issue is what qualifies as a “total” rating for SMC purposes. 53 Vet arguments why entitled to SMC: 100% combined disability rating 70% disability rating for PTSD. Alternatively: ▪ 100% TDUI rating for PSTD ▪ Additional disabilities rate at 60% or more. § 1114(s): Veteran with a total disability rating & additional disability at 60% or more receives SMC § 3.350(i): SMC paid when vet has single SC disability rated 100 percent and has a separate, additional SC disability or disabilities independently rated at least 60 percent 54 • In this instance, it is clear from the use of the language and the structure of the sentence that Congress did not intend that a 100% combined rating suffices for "a service-connected disability rated as total." – Congress used the article "a" and singular "disability" when establishing "a service-connected disability rated as total" as one of the requirements for SMC under section 1114(s). 55 • Congress permits the second requirement to be met with either a single "disability or disabilities independently" rated at 60%. – This demonstrates congressional understanding that multiple disabilities can be combined into a single rating 56 Veteran notes that for purposes of establishing schedular TDIU, multiple disabilities arising from a single accident are considered one disability. 57 • VA argued--Fails to recognize that the direction to treat multiple disabilities as one is specifically applicable only to TDIU ratings, not to 100% rating. • Veteran points to no such direction, and we find none, in section 1114(s) or its implementing regulation. 58 • Veteran contends that his TDIU award satisfies the statutory total rating requirement in 38 U.S.C. § 1114(s). • The Secretary argues: – Section 1114(s) requires the total rating to be not only for a single disability, but a single schedular disability • e.g., a schedular rating of 100% 59 • The phrase "a service-connected disability rated as total" contains no restriction to a total schedular rating and no exclusion of other total ratings, such as a TDIU. – Initially, the Secretary's implementing regulation expressly prohibited a rating based upon individual unemployability from satisfying the "total" requirement of section 1114(s). – We find nothing in section 1114(s), or the statutory scheme as a whole, that limits "a serviceconnected disability rated as total" to only a schedular rating of 100%. – It is possible for a veteran to be awarded TDIU for a single disability and thereafter be awarded disability ratings for other conditions. 60 – We find nothing in section 1114(s), or the statutory scheme as a whole, that limits "a service-connected disability rated as total" to only a schedular rating of 100%. – It is possible for a veteran to be awarded TDIU for a single disability and thereafter be awarded disability ratings for other conditions. 61 • The change from TDIU to a 100% combined rating was made be more beneficial to the Veteran • The TDIU rating was subsumed by the 100% combined rating. 62 • The Secretary is required to maximize benefits – see AB v. Brown 6 Vet.App. 35, 38 (1993) • Under the circumstances of this case, a TDIU rating for PTSD alone would entitle Veteran to SMC benefits. – This is an additional benefit not otherwise provided to persons with a 100% combined rating. 63 • Secretary should have assessed whether Veteran’s TDIU rating was warranted based on his PTSD alone before substituting a combined total rating for his TDIU rating. • Because a finding that Veteran’s PTSD is sufficient, on its own, to warrant a TDIU rating, would mean that Veteran is also entitled to SMC, the decision denying him SMC will be vacated and the matter remanded for further adjudication. 64 • SMC benefits are to be accorded when a veteran becomes eligible without need for a separate claim, regardless of when the issue was raised. • Accordingly, any effective date must be based on that point in time when the evidence first supported an award of SMC 65 •Affirmed: •Decisions denying earlier effective dates and increased disability ratings for Veteran’s multiple muscle injuries •Set Aside: Decisions addressing CUE in the August 1994 RO decision, entitlement to ratings in excess of 10% for residual scarring, and service connection for chronic pain syndrome •Reversed: •Decision denying special monthly compensation •REMANDED: • For further adjudication 66 Inadequate VA Exams: How To Identify Them & What To Do 67 I. Introduction A. “Inadequate exams”: VA Training Letter on IVDS states: Raters don’t always insist on adequate exams. Ex: Vet was suspected of malingering. An inadequate exam was performed but did not include any tests, yet vet was assigned 60%. 68 VA Thinks: “Inadequate Exams” are when vet get high rating b/c dr. didn’t do good testing—vet gets high eval. Advocates think: bad exams violate DTA & vet gets lower eval than he/she deserves 69 Problems with this topic: • People don’t want to criticize doctors • People don’t feel medically qualified to evaluate exam reports But: • lay advocates can learn to analyze exams to help clients win benefits 70 Quick Advice: What to Do • If at Board, VARO, or AMC, submit a persuasive, private exam report that complies with VA exam requirements • If you see bad exam, let VA know and explain so VA can re‐do exam (b4 denial of benefits?) 71 II. Indentifying Inadequate Exams A. Exam Must be Thorough—Compare to Guide • Did Dr. do tests listed in VA Clinicians’ Guide • Guide tells VA Drs. how to perform various exams • Guide has copies of exam “worksheets” (but not binding on VA) 72 VA Clinicians’ Guide • compare exam report to applicable worksheet • If listed test not performed, argue exam insufficient • If reviewing exam report before VA decision, and exam inadequate, object 73 Example of an Inadequate Exam • Vet c/o painful knee joints, has evid. of pain in service • Vet given VA exam, c/o pain, VA Dr. doesn’t order X‐ray • Try to submit private x‐ray evidence of arthritis • If at Court or Board or vet can’t get private exam, argue VA exam was inadequate b/c no X‐ray. 74 VA Clinicians’ Guide: Examiner should obtain an image: [I]f vet is only claiming service‐connection . . . not yet service‐connected, and no past imaging studies are available documenting arthritic changes, appropriate x‐ray studies should be obtained and results included with final report. • In case of “vet. . . claiming service connection . . . x‐ ray studies should be obtained.” 75 B. Exam Report is Confusing • Hicks v. Brown ortho exam scheduled to see what joints affected by arthritis. • VA Dr.: – "All joints painful except hip joints" --"no pain in hip, there is some stiffness" – “popping in both hips with range of motion” – “hips painful near full range of motion” 76 CAVC Decision in Hicks • Report found minimal DJD • Court stated: unclear whether reference to popping in hips and pain near full range of motion in exam report was a finding upon exam or description of condition evaluated • remanded b/c inadequate exam 77 C. Special Rules for Seeing if Exam/Opinions Adequate • Court considers “expert witness” rules in Federal Rules of Evidence • Court says: VA Drs. & private Drs in VA benefit cases are expert witnesses 78 Special Rules • Federal Rules of Evidence: expert testimony may be received from qualified expert if: (1) testimony based on sufficient facts or data; (2) testimony is product of reliable principles; and (3) expert applied principles reliably to facts. 79 (1) Is Examiner Sufficiently Informed of Significant Facts? • For years, rule was that opinion from Dr. who reviewed claims file was usually more valuable • Problem for vets b/c claims file is at VA & VA Drs. had easy access • Private Drs. had to get complete copy of file for review 80 NievesRodriguez v. Peake Court stated: • • Private Dr. opinion can’t be discounted solely b/c Dr. did not review C‐file. Board may not prefer VA Dr. over private Dr. solely because VA Dr. reviewed C‐file • Value of opinion does not turn on whether she read C‐file. Issue is extent to which Dr. informed of clinically significant facts of case and Dr.s’ medical reasoning 81 Adequacy of Exam • consider whether Dr. familiar w/ clinically significant facts in vet’s history. • Where Dr. makes obvious misstatement of fact about medical history, can show exam inadequate. 82 Don’t Forget Basics • Give Dr. copy of C‐file & have Dr. say file was reviewed • Unless located at RO, will have to make FOIA request to get copy of C‐file 83 (2) Did Dr. Offer Sound Reasons for Conclusion/Opinion • explain reasoning • Opinion/report not entitled to weight if it has only data and conclusions but no reasons • Bare conclusion is not enough • Bare conclusion not probative without factual predicate • Merely listing evidence/data before conclusion is not adequate—must explain reasons 84 3 “Musts” for Dr. Report/Opinion • Expert must: (1) lay out basic medical facts of case; (2) state conclusion (likely as not); and (3) explain how expert reached conclusion (explain logic, medical principles, and/or medical texts or studies used to reach conclusion) 85 Example: Miller v. West • Vet discharged due to schizophrenic reaction, later claims SC for mental disorder • STRs contained 2 medical records that noted only that condition EPTE • CAVC: reports contained “a bare conclusion” and not considered clear and unmistakable evidence to rebut presumption of soundness 86 Example: Stefl v. Nicholson • Dr. asked whether vet’s polyps service related • Dr. said that nasal condition not on presump. list • CAVC : Medical opinion that condition not related to service b/c not on presumptive list, without considering direct service connection, is inadequate. • With no medical opinion addressing relevant facts and medical science, VA relies on own lay opinion, which is forbidden 87 D. Special Rules Mental Disorder Exams • Mental disorder claims more complex b/c – § 4.125, states: if dx of mental disorder does not conform to DSM‐IV or not supported by exam findings, VA should return report to Dr. to substantiate the dx 88 Disputing Diagnosis Example 1: • may be impt vet get dx of PTSD, not another dx b/c PTSD claims don’t require continuity of symptoms between service and date of claim • If vet is unable to provide continuity evid., preferable s/he have PTSD dx 89 Example 2: • When no evidence of mental disorder in service but evidence of manifestation w/in 1 yr after, preferable that vet receive diagnosis of psychosis rather than neurosis 90 Other Considerations in Mental Disorder Claims Consider: • does exam have info on vet’s occupational and social impairment to evaluate mental disability under VA Rating Schedule • GAF score consistent with symptoms? • M21‐1MR requires VA to return report as inadequate if it – – – – No description of symptoms No identification of Stressor Doesn’t reconcile prior differing reports fails to conform to DSM‐IV 91 1st Example—DSMIV • If report dx paranoid schiz, does vet suffer delusions/hallucinations –b/c these criteria for paranoid schiz dx • If vet dx incorrectly, return exam b/c inadequate 92 2nd Example • If symptoms listed in report do not support low GAF score assigned. (1) argue exam report inadequate‐‐send back to explain how GAF score assigned; or (2) contact Dr., point out inconsistency, get better report; or, (3) get 2nd Dr. to do exam & give favorable report that is consistent. 93 3rd Example • situation where medical report seems to establish GAF score is too High & does not reflect severe degree of vet’s disability • Argue medical evid contradicts Dr.’s medical opinion & vet has to have another exam or have Dr. explain inconsistency 94 E. Requirement Exam be Contemporaneous May be possible to argue exam is inadequate because: • occurred too long ago and • no longer accurate indication of type or extent of disability 95 Claims for Increase or Disagreement with Rating Claims for increase or where issue is initial evaluation of SC disability, eval must be based on "contemporaneous" exam. • Proscelle – remand b/c record not adequately reveal current state of disability; • Francisco where increase in rating is issue, present level of disability is of primary importance 96 • Bolton vet claims worse than when rated, and evid too old , VA must provide new exam • Caffrey – error to rely on 23‐month‐old exam where vet indicates material change in disability since exam 97 Contemporaneous Exam: EVALUATION OF SC CONDITION • In evaluating SC disability, exam inadequate if vet has claimed WORSENING since last exam. • An exam is unlikely too old for rating unless vet tells VA his condition has worsened since last exam. 98 Contemporaneous ExamClaim for SC • Palczewski: does VA have duty to give current exam where vet has not alleged condition got worse • Vet claimed mere passage of time should trigger VA’s duty • No duty unless vet claims worsening 99 F. Eval of SC Conditions: Exam Requirements • Rules: Report Must (1) describe symptoms (to classify disability) (2) Have "full description of effects of disability on ordinary activity" (3) Be thorough & contemporaneous, take into account relevant records of prior treatment 100 (3) Musculoskeletal Disorder Requirements: note evidence of functional loss, including pain, facial expressions, wincing, or similar behavior suggestive of pain (4) Opinion must be based on facts – if Dr. bases opinion on bad facts‐‐taints opinion (5) Question to Dr. can’t suggest answer or limit Dr.’s inquiry (6) Question to Dr. must fully and accurately reflect disability picture 101 G. Sniff Test: Claims for SC Good chance exam inadequate if: (1) report or linkage opinion confusing (2) contradictory statements about linkage to service (3) Unfair overview of Facts (4) Fails to fully address all linkage theories (ignores aggravation aspect (5) Fails to actually give an opinion 102 Sniff Test: Claims for Increase Good chance exam inadequate if: (1) Report at odds w/ lay evidence (2) Report at odds w/ other medical reports on vet’s symptoms or condition 103 III. Best “Inadequate Exam” Cases Barr • Once the gives exam (even if not obligated to), exam must be adequate or notify vet why not • In practice, even if VA doesn’t have to give exam/opinion, if they do it must be sufficient exam 104 Best “Inadequate Exam” Cases Stegall • If Court or BVA orders exam, make sure vet gets what was ordered • If prior remand, must review prior remands to see if exam consistent with order • only "substantial compliance“ required • In practice, VA must do whatever was orderedor case sent back 105 Best “Inadequate Exam” Cases Hyder • Vet was seeking NSC pension • examiner recommended exam by orthopedist or neurosurgeon—not done • BVA‐‐vet not P&T • CAVC‐‐send vet to specialist if Dr. recommends it • Practically speaking, if a doctor recommends a specialist look at vet, vet must be sent to a specialist. 106
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