Moore v. Shinseki
555 F.3d 1369 (2009)
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Rule of Law:
Under 38 U.S.C. § 5103A, the Department of Veterans Affairs (VA) has a statutory duty to assist claimants by obtaining all relevant service medical records, including those that pre-date the period for which compensation is sought, because a disability evaluation must consider the condition's entire history.
Facts:
- Dwayne A. Moore served on active duty in the U.S. military from May 1988 to February 1991.
- While in service, Moore made superficial lacerations to his wrists.
- As a result, he was hospitalized in the psychiatric ward of Tripler Army Medical Center from December 29, 1990, to January 3, 1991.
- Following his hospitalization, a staff psychiatrist diagnosed Moore with a severe personality disorder and recommended his expeditious separation from the service.
- Moore was subsequently given a general medical discharge from the military.
- In September 1992, Moore filed a claim with the Department of Veterans Affairs for service-connected disability benefits for his psychiatric disorder.
Procedural Posture:
- The VA Regional Office (RO) initially denied Dwayne A. Moore's 1992 claim for disability benefits.
- In 1999, the RO granted Moore service connection for his psychiatric disorder and assigned a 10 percent disability rating, effective from September 16, 1992.
- Moore appealed the rating to the Board of Veterans’ Appeals.
- In 2004, the Board increased the rating for later periods but affirmed the 10 percent rating for the period from 1992 to 1997.
- Moore (appellant) appealed the Board's decision to the United States Court of Appeals for Veterans Claims.
- The Court of Appeals for Veterans Claims affirmed the Board’s decision, holding the VA had no duty to obtain the in-service hospitalization records.
- Moore (appellant) then appealed to the United States Court of Appeals for the Federal Circuit.
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Issue:
Does the Department of Veterans Affairs' statutory duty to assist a claimant under 38 U.S.C. § 5103A require it to obtain service medical records that pre-date the period for which a disability rating is being determined?
Opinions:
Majority - Mayer, Circuit Judge
Yes. The Department of Veterans Affairs' statutory duty to assist requires it to obtain service medical records that pre-date the period for which a disability rating is sought. The court reasoned that VA regulations, specifically 38 C.F.R. § 4.1, explicitly mandate that a disability must be evaluated 'in relation to its history.' Service medical records, even if they pre-date the compensation period, are inherently relevant to understanding this history. This is especially true for psychiatric disorders, which are known to abate and recur, and must be assessed over the entire history of the condition, not just based on a single examination. The court rejected the Veterans Court's determination that the Tripler records were not relevant, holding that without them, the VA could not make a fully informed decision about the severity of Moore's impairment. The court also dismissed the government's harmless error argument, stating that the VA cannot speculate about the contents of records it has a duty to obtain.
Analysis:
This decision significantly reinforces the VA's non-delegable 'duty to assist' veterans in substantiating their claims. It clarifies that the concept of 'relevance' for medical records is broad and historical, not confined to the specific period for which compensation is being evaluated. This precedent prevents the VA from taking evidentiary shortcuts and places a clear burden on the agency to conduct a comprehensive historical review, particularly for chronic or fluctuating conditions like psychiatric disorders. The ruling protects veterans who may lack the resources or knowledge to locate all pertinent records themselves, ensuring that disability ratings are based on a complete medical picture.
