"It is the duty of the people to care for him who shall have borne the battle, his widow, and orphan."
-Abraham Lincoln

Monday, February 5, 2018

Foreman: Section 3.304 and 3.114 Do Not Restrict the Application of an Earlier Effective Date for PTSD

Foreman v. Shulkin, Case Number 15-3463, decided January 22, 2018 considers the application of 38 CFR sections 3.304 and 3.114 and whether they restrict the application of an earlier effective date for PTSD.

The veteran applied for compensation in 1972 and service medical records submitted with the application addressed a nervous condition, but he did not specify service connection for PTSD or any other medical condition.  In 2008, the veteran sought service connection for PTSD which the VAMC had diagnosed by 2005.  While the 2008 claim was pending, the VA amended 38 CFR 3.304(f).  The amendment eliminated the requirement for corroborative evidence of a stressor where a VA mental health expert has diagnosed PTSD and the stressor is related to the veteran’s fear of hostile military or terrorist activity. 

After an initial denial, the VA ultimately granted a 50% PTSD rating with an effective date of March 2011 (the date of the examination).  Nearly 3 years later, the Board issued a decision granting an effective date of July 2010, which is the date of the amendment to 38 CFR 3.304(f).  The Board reasoned the amendment was a liberalizing rule and the grant of PTSD was made pursuant to the liberalizing rule.  They then noted Section 3.114 provides when benefits are awarded due to a liberalizing change in law, the effective date will not be earlier than the date of the law’s change. 

The VA ultimately conceded and: “[t]he Court holds that the July 13, 2010, amendment to § 3.304(f) is not a liberalizing rule for the purposes of § 3.114 and that Mr. Foreman is therefore not precluded from receiving an effective date prior to July 13, 2010, for the award of service connection for PTSD.”

The case is interesting in that the veteran was not represented but an attorney appeared as amicus curiae.  Initially, the VA insisted 3.304 and 3.114 interact to prevent an earlier effective date than July 2010, but when an attorney’s brief argued counter than argument, the VA backed down and essentially conceded 3.304 was not a liberalizing rule.  Id. at *5.

After finding the rule was not a liberalizing one, the Court concluded

Because the July 2010 amendment to § 3.304(f) is not liberalizing for effective date
purposes, § 3.114 does not govern the effective date of benefits in this case.  The Board thus prejudicially erred as a matter of law by applying § 3.114 to restrict Mr. Foreman from receiving an effective date earlier than July 13, 2010, instead of applying section 5110(a) and § 3.400, which allow for an effective date at least as early as the date of receipt of his claim for benefits.

Id. at *8.

The Secretary had also argued the Court should assign the date of application (September 2008) for PTSD as the effective date.  Id. at *8.  The Court noted the veteran sought an even earlier effective date and that generally the Court should not engage in fact finding.  It then, remanded the case to the Board for determination of the proper effective date.  Id. at *10.

C.J. Davis wrote dissenting in part.  While agreeing with the reasoning that Section 3.304(f) was not a liberalizing rule, he would have applied an effective date of September 2008, the date of application for benefits for PTSD.  This is an interesting dissent.  At one level it supports the VA’s position. But, it also shows a willingness to delve into a matter for the first time in an attempt to put to an end to unnecessary delays.  It evidences a certain willingness to go further and reach decisions that could end delays.  Some have argued for this authority for the Court (the ability to decide some limited factual matters) in an attempt to try to stop the hamster wheel of VA claims whereas how to circumscribe such authority and where it might lead is an interesting question.


Decision by Judge Bartley and joined in by Judge Pietsch.  Chief Judge Davis concurring and dissenting in part.

No comments:

Post a Comment