Citation Nr: 0008111 Decision Date: 03/27/00 Archive Date: 03/29/00 DOCKET NO. 95-30 692 ) DATE ) ) On appeal from the Department of Veterans Affairs (VA) Regional Office (RO) in Houston, Texas THE ISSUES 1. Entitlement to service connection for arthritis. 2. Entitlement to service connection for a disability resulting from reported plague immunization. 3. Entitlement to a permanent and total disability rating for pension purposes. REPRESENTATION Appellant represented by: Texas Veterans Commission ATTORNEY FOR THE BOARD Robert E. O'Brien, Counsel INTRODUCTION The veteran had active service from December 1970 to June 1972. In January 1994, the RO issued a rating decision in which it denied entitlement to service connection for arthritis of multiple joints, and residuals of black plague immunization, and also denied entitlement to non-service-connected pension benefits. The veteran submitted a notice of disagreement as to all three issues later that month. The RO issued a statement of the case, which was sent to the veteran on March 7, 1995. In a rating decision dated March 3, 1995, notice of which was sent to the veteran on March 13, 1995, the RO denied entitlement to service connection for arthritis and residual disability due to plague immunization, as well as entitlement to non-service connected disability pension. On May 18, 1995, the RO received a statement from the veteran in which he expressed disagreement with the denials of service connection of which he was notified on March 13, 1995, and expressed the desire to reopen his claim for non- service connected pension. In June 1995, the RO advised the veteran that his claims for service connection and pension had become final, and that he would need to submit new and material evidence to reopen those claims. In July 1995, the RO issued another statement of the case as to the issues of service connection for arthritis and for residual disability due to plague immunization. In the statement of the case, it was noted that the veteran's May 1995 statement had been construed as a notice of disagreement with the March 1995 rating decision. In statements dated the day following the July 1995, statement of the case, the veteran again reported that he was submitting a notice of disagreement with the March 1995, denial of pension benefits. In August 1995, the veteran submitted a VA Form 9, appeal to the Board, in which he expressed his continuing disagreement with the denials of service connection, and pension benefits. For reasons which will be set forth in a remand at the end of the decision below, the question of the veteran's entitlement to a permanent and total disability rating for pension purposes is being deferred pending additional development. FINDINGS OF FACT 1. There is no competent evidence of a nexus between service and any current arthritis. 2. There is no competent evidence of any current disability resulting from a reported plague immunization in service. CONCLUSIONS OF LAW 1. The claim of entitlement to service connection for arthritis is not well grounded. 38 U.S.C.A. § 5107(a) (West 1991); Caluza v. Brown, 7 Vet. App. 498 (1995), affirmed, 78 F.3d. 604 (Fed. Cir. 1996) (per curiam). 2. The claim of entitlement to service connection for a disability resulting from reported plague immunization in service is not well grounded. 38 U.S.C.A. § 5107(a) (West 1991); Caluza v. Brown, 7 Vet. App. 498 (1995), affirmed, 78 F.3d. 604 (Fed. Cir. 1996) (per curiam). REASONS AND BASES FOR FINDINGS AND CONCLUSIONS Procedural Matters Ordinarily a substantive appeal must be filed within the remainder of the one year period following notice of the decision being appealed or 60 days of the issuance of a statement of the case, whichever is longer. Otherwise the decision becomes final. 38 U.S.C.A. § 7105 (West 1991); 38 C.F.R. § 20.302 (1999). The United States Court of Appeals for Veterans Claims (known as the United States Court of Veterans Appeals prior to March 1, 1999) (hereinafter, "the Court") has held that the Board may waive timely filing of a substantive appeal, when a request for an extension of time for filing is submitted prior to the expiration of the period for filing. Roy v. Brown, 5 Vet. App. 554 (1993). More recently, the Court has held that the Board legitimately waived timely filing, even where a request for extension had not been submitted. Beyrle v. Brown, 9 Vet. App. 24, 28 (1996). The Court has also applied the doctrine of "equitable tolling" to the Board. Pfau v. West, 12 Vet. App. 515, 517 (1999) (quoting Irwin v. Department of Veterans Affairs, 498 U.S. 89 (1990)). In Irwin, the Supreme Court held that the doctrine of "equitable tolling" applies to cases in which Federal agency is a party and a party is induced by the other party's conduct into missing a deadline for filing. Irwin v. Dep't of Veterans Affairs, 498 U.S. 89, 95-96, 111 S. Ct. 453, 112 L. Ed. 2d 435 (1990) In the instant case the veteran's May 1995, statement can be viewed as a substantive appeal as to the March 1995, statement of the case. However, the substantive appeal was received more than 60 days after the issuance of the statement of the case and well beyond the one-year period following the original January 1994 rating decision, and the veteran did not request an extension of the time period for filing a substantive appeal. Their was a long delay in issuing the statement of the case following the veteran's timely notice of disagreement. The Board also notes that the veteran could have been, and apparently was, mislead by the receipt of the notice of the March 1995 rating decision, which came after the issuance of the statement of the case, into believing that next step in perfecting his appeal was to submit a notice of disagreement within one year, rather than a substantive appeal within 60 days. In view of these considerations, the Board will waive the timely filing of the substantive appeal. Well Grounded Claims In Epps v. Gober, 126 F.3d. 1464 (Fed. Cir. 1997), cert. denied, 524 U.S. 940 (1998), the United States Court of Appeals for the Federal Circuit (Federal Circuit) held that, under 38 U.S.C. § 5107(a), VA has a duty to assist only those claimants who have established well-grounded (i.e., plausible) claims. More recently, the United States Court of Appeals for Veterans' Claims (Court) issued a decision holding that VA cannot assist a claimant in developing a claim which is not well grounded. Morton v. West, 12 Vet. App. 477 (July 14, 1999), req. for en banc consideration by a judge denied, No. 96-1517 (U.S. Vet. App. July 28, 1999) (per curiam). Once a claimant has submitted evidence sufficient to justify a belief by a fair and impartial individual that a claim is well grounded, the claimant's initial burden has been met, and VA is obligated under 38 U.S.C. § 5107(a) to assist the claimant in developing the facts pertinent to the claim. Accordingly, the threshold question that must be resolved in this appeal is whether the appellant has presented evidence that the claim is well grounded; that is, that the claim is plausible. In order for a claim to be well grounded, there must be (1) a medical diagnosis of a current disability; (2) medical, or in certain circumstances, lay evidence of inservice occurrence or aggravation of a disease or injury; and (3) medical evidence of a nexus between an inservice injury or disease and the current disability. Epps, 126 F.3d. at 1468; Caluza v. Brown, 7 Vet. App. 498, 506 (1995), aff'd, 78 F.3d. 604 (Fed. Cir. 1996) (per curiam). Where the determinative issue involves medical causation or etiology, or a medical diagnosis, competent medical evidence to the effect that the claim is "plausible" or "possible" is required. Epps, 126 F.3d. at 1468. Further, in determining whether a claim is well grounded, the supporting evidence is presumed to be true and is not subject to weighing. King v. Brown, 5 Vet. App. 19, 21 (1993). With regard to establishing a well-grounded claim, the second and third Epps and Caluza elements (incurrence and nexus evidence) can also be satisfied under 38 C.F.R. § 3.303(b) (1999) by (1) evidence that a condition was "noted" during service or during an applicable presumption period; (2) evidence showing post service continuity of symptomatology; and (3) medical or, in certain circumstances, lay evidence of a nexus between the present disability and the post service symptomatology. Savage v. Gober, 10 Vet. App. 488, 495-97 (1997). Symptoms, not treatment, are the essence of any evidence of continuity of symptomatology. Savage, 10 Vet. App. at 496. Moreover, a condition "noted during service" does not require any type of special or written documentation, such as being recorded in an examination report, either contemporaneous to service or otherwise, for purposes of showing that the condition was observed during service or during the presumption period. Id. at 496-97. However, medical evidence is required to demonstrate a relationship between the present disability and the demonstrated continuity of symptomatology unless such a relationship is one as to which a lay person's observation is competent. Id. at 497. Under the provisions of 38 C.F.R. § 3.303(b), chronic disease shown as such in service (or within the presumptive period under § 3.307) so as to permit a finding of service connection, subsequent manifestations of the same chronic disease at any later date, however remote, are service connected, unless clearly attributable to intercurrent causes. This rule does not mean that any manifestation of joint pain, any abnormality of heart action or heart sounds, any urinary findings of casts, or any cough, in service will permit service connection of arthritis, disease of the heart, nephritis, or pulmonary disease, first shown as a clearcut clinical entity, at some later date. For the showing of chronic disease in service there is required a combination of manifestations sufficient to identify the disease entity, and sufficient observation to establish chronicity at the time, as distinguished from merely isolated findings or a diagnosis including the word "Chronic." When the disease identity is established (leprosy, tuberculosis, multiple sclerosis, etc.), there is no requirement of evidentiary showing of continuity. Continuity of symptomatology is required only where the condition noted during service (or in the presumptive period) is not, in fact, shown to be chronic or where the diagnosis of chronicity may be legitimately questioned. When the fact of chronicity in service is not adequately supported, then a showing of continuity after discharge is required to support the claim. The chronicity provision of § 3.303(b) is applicable where evidence, regardless of its date, shows that a veteran had a chronic condition in service or during an applicable presumption period and still has such condition. Such evidence must be medical unless it relates to a condition as to which, under the Court's case law, lay observation is competent. If the chronicity provision is not applicable, a claim may still be well grounded or reopened on the basis of § 3.303(b) if the condition is observed during service or any applicable presumption period, continuity of symptomatology is demonstrated thereafter, and competent evidence relates the present condition to that symptomatology. Savage v. Gober, 10 Vet. App. 488, 498 (1997). The Court has elaborated that the second and third Caluza elements may also be satisfied under 38 C.F.R. § 3.303(b) (1998), by the submission of (a) evidence that a condition was "noted" during service or during an applicable presumption period; (b) evidence showing post-service continuity of symptomatology; and (c) medical or, in certain circumstances, lay evidence of a nexus between the present disability and the post-service symptomatology. Savage v. Gober, 10 Vet. App. at 495-97. However, even under this regulation, medical evidence is required to demonstrate a relationship between a present disability and the continuity of symptomatology demonstrated if the condition is not one where a lay person's observations would be competent. Clyburn v. West, 12 Vet. App. 296, 302 (1999). Service Connection for Arthritis. A veteran is presumed to be in sound condition when examined and accepted into service, except for defects, infirmities, or disorders noted at the time of examination for acceptance and enrollment into service, or if clear and unmistakable evidence demonstrates that the injury or disease existed before acceptance or enrollment and was not aggravated by such service. 38 U.S.C.A. § 1111 (West 1991). At the time of preinduction examination in May 1970, no complaints or abnormal findings were made with regard to arthritis. On December 9, 1970, a private physician stated the veteran had been seen by him on that date complaining of a painful right knee. A history of recurrent redness, swelling, and pain in the joint was noted. Analgesics were given and the veteran was advised to have a complete work-up. On December 14, 1970, the veteran was accorded an orthopedic consultation regarding his right knee. He had had intermittent redness, swelling, and pain in the right knee for the past year. He had been seen at a hospital in June 1969 and was then seen by the aforementioned physician in December 1970. It was recommended that he have a complete work-up. He reported that his hands bothered him occasionally and that his left knee bothered him on one occasion. On examination at that time there was a full range of motion of the right knee with no heat, effusion, motion restriction, laxity, or other abnormality. An X-ray study of the knee was interpreted as being negative. At the time of an outpatient visit in May 1971, the veteran was seen for follow-up consultation regarding his right ankle. An impression was made of resolved tendinitis. He was returned to duty. In July 1971 he was again seen for a complaint of right ankle pain after heavy lifting and standing for long periods. He complained the ankle was now swollen. He had been having tightness in the knees bilaterally on occasion. Findings included tenderness of the right ankle. There was a full range of motion. The knees were negative. The impression was chronic "left" ankle tendinitis, with several episodes of joint effusion and pain. An impression was also made of arthritis of unknown etiology. X-ray studies of the knees done at that time were normal. Studies of the ankles showed small lucent defects superimposed over the distal right tibia and fibula. These probably represented artifacts. However, the examiner recommended follow-up films for further evaluation. The study was described as negative otherwise. In September 1971 the veteran was seen for complaints of occasional pains of the right ankle, the fingers, and left shoulder. Notation was made of synovial thickening of the fingers. An impression was made of arthralgia. In October 1971 he was seen for complaints of trouble with the right ankle and both hands. It was noted he had been on various medications for possible arthritis for the past year. Later in October 1971 he was seen for a recurrence of tendinitis of the right ankle. On October 27, 1971, he was placed on profile status because of arthritis of unknown etiology in both the ankles, the elbows, and the knees. In early November 1971 he complained that the right ankle still hurt. An impression was made of Achilles tendinitis. When he was seen for follow-up several days later in November 1971, he complained the ankle was still causing pain, but was now better. On examination the ankle was not tender and there was no effusion. The impression was resolving tendinitis. He was returned to duty. In December 1971 he was seen for a complaint of pain in the left ankle. An impression was made of a minimal sprain. At the time of an outpatient visit in December 1971, he complained of arthritis involving the right ankle, the right elbow, and both hands. The examiner indicated this was sounding more and more like early rheumatoid arthritis. In early January 1972, he was seen for complaints of pain in the right foot and pain in the left hand. The impression was migratory arthritis. The record shows the veteran was placed on temporary profile status from January to February 1972 because of what was reported as arthritis of unknown etiology. He was also placed on temporary profile status from April to May 1972 because of arthritis of unknown etiology. At the time of an outpatient visit in May 1972, notation was made of arthritis involving the right ankle. There was minimal swelling of the ankle. There was no tenderness and only minimal heat. At the time of separation examination in June 1972, no complaints were identified. The veteran indicated that "I feel my health is o.k." Clinical examination was entirely normal and it was stated there were no defects or diagnoses. Evidence of record reflects that the veteran was hospitalized in May 1974 following involvement in a truck accident. He stated he had had no previous surgery. He indicated his health had been good. Inventory of systems was not contributory to present illness and did not reflect any chronic diseases. He sustained a compound comminuted fracture of the right tibia and fibula. There was no reference to arthritis of any sort. The veteran was seen by a private physician in February 1975. It was noted he had first been seen in August 1974 complaining of pain in the neck, the low back, the wrist, and the right leg resulting from an automobile accident in May 1974. X-ray studies in September 1974 showed a tibial fracture. Cervical spine X-ray studies done in December 1974 showed general flattening of the normal lordotic curve. Studies also showed loss of joint spaces from degenerative changes. Also of record are statements made in 1975 by the examiner. In an August 1975 communication the physician stated that when he saw the veteran that month, about 15 months after the vehicular accident, the veteran complained that his right leg hurt at the end of each day. Also, neck pain was reported as constant. The subsequent medical evidence includes private medical records showing hospitalization of the veteran in June 1991 for an acute myocardial infarction. No mention was made in the hospital records of arthritis. Notation was made on examination during hospitalization that the extremities showed no clubbing, cyanosis, or edema. The subsequent medical evidence includes the report of a VA outpatient visit in November 1996. No medical records were available for review. The veteran stated that he had had joint and muscle pain since 1970. He claimed he had been told he had arthritis. He was given an assessment of multiple joint arthritis. He was referred to the rheumatology clinic. The veteran was seen at a private health clinic in February 1997 for a chief complaint of arthritis. It was noted he had recently been diagnosed with rheumatoid arthritis seven weeks previously by VA. The veteran recalled that his arthritis began in the early 1970's with the problems he had had in service. He claimed that intermittently, he was managed with nonsteroidal anti-inflammatories. He had basically been asymptomatic during the 1980's. The arthritic problems began again after 1991. He stated that in December 1996 he became crippled from this and this was the reason he consulted VA. He recalled that the major joints that were causing the problems were his fingers and hands, his elbows, his shoulders, the knees, the ankles, and the heels. Diagnoses at the health clinic in March 1998 included rheumatoid arthritis, history of coronary artery disease, and hypertension. Analysis Arthritis is a chronic disease. 38 C.F.R. §§ 3.307, 3.309. Thus if the disease were shown in service so as to permit a finding of service connection, subsequent manifestations of the same chronic disease at any later date no matter how remote, would be service connected, unless clearly attributable to intercurrent causes. Where the fact of chronicity in service is not adequately supported then a showing of continuity after discharge is required to support the claim. 38 C.F.R. § 3.303(b). In this case the veteran was suspected on several occasions of having various forms of arthritis in service. A diagnosis of arthritis was never confirmed by laboratory or X-ray studies, and the affected joints appear to have changed over time. Thus, the Board finds that the fact of chronicity in service is not adequately supported. It does not appear that the veteran has reported a continuity of symptomatology since service, and the record shows no findings referable to arthritis until after a truck accident several years after service. While there have been current findings of arthritis, there is no competent evidence of a nexus between the current findings and those reported in service. Even if it could be found that there was a continuity of symptomatology, there is no competent evidence linking that continuity to a current diagnosis. Generally, while his statements are acceptable to show the occurrence of problems during service, he is not competent to prove a matter requiring medical expertise, such as a diagnosis or an opinion as to medical causation. See Espiritu v. Derwinski, 2 Vet. App. 492, 494-495 (1992). In this case, the veteran is not competent to provide a medical diagnosis and associate it with his active service. There is no medical opinion of record attributing any rheumatoid arthritis at the present time to the veteran's active service back in the early 1970's. The veteran has been seen in the years following service for a number of problems and no health care professional has associated the recently diagnosed rheumatoid arthritis to his active service. In the absence of the necessary nexus evidence the claim is not well grounded and must be denied. Because the claim is not well grounded, VA is under no further duty to assist him in developing facts pertinent to the claim. 38 U.S.C.A. § 5107(a). Service Connection for a Disability Resulting from Reported Plague Immunization. A review of the service medical records is without reference to the veteran having been given immunization from getting the plague. As mentioned above, at the time of separation examination in June 1972, the veteran himself stated that he felt his health was all right. Further, several days later in June 1972 he stated that to the best of his knowledge, since the separation examination there had been no change in his medical condition. There is no evidence of record, either during service or post service, of the veteran having sustained any kind of reaction from any shot he was given in service for any purpose. In Brammer v. Derwinski, 3 Vet. App. 223 (1992), the Court noted that Congress specifically limited entitlement for service-connected disease or injury to cases where a disease or injury had resulted in a disability. In the absence of proof of a present disability, there can be no valid claim. In Rabideau v. Derwinski, 2 Vet. App. 141, 143 (1992), the Court held that the failure to demonstrate that a disability is currently manifested constitutes failure to present a plausible or well-grounded claim. See Chelte v. Brown, 10 Vet. App. 268, 271 (1997) (requiring the current disability be shown to a compensable degree). The veteran's assertion that he had a disability resulting from a plague immunization given him during service is insufficient to find his claim well grounded. The Court has held that, where a question is factual in nature, that is, whether an incident or injury occurred in service, competent lay testimony, including the veteran's own statements, may constitute sufficient evidence to establish a well-grounded claim; however, if the determinative issue is one of medical etiology, or medical diagnosis, competent medical evidence must be submitted to make the claim well grounded. See Grottveit v. Brown, 5 Vet. App. 91, 93 (1993). The undersigned is not arguing that the veteran did not receive an immunization shot for the plague. However, there is no showing that any kind of disease entity developed as a result of the reported immunization. Because the claim is not well grounded, VA is under no further duty to assist the veteran in developing facts pertinent to the claim. 38 U.S.C.A. § 5107(a). ORDER Service connection for arthritis is denied. Service connection for a chronic disability resulting from reported plague immunization is denied. REMAND With regard to the claim for a permanent and total disability rating for pension purposes, the Court has recently held that a claim for pension is well grounded where the veteran had qualifying wartime service, he has completed the VA pension application as to his income, he may have the requisite total disability rating when all of his nonservice-connected disabilities are properly evaluated, there is plausible evidence of record that he has had to resign employment due to health problems, and there is evidence that he receives some State-sponsored assistance. Vargas-Gonzalez v. West, 12 Vet. App. 321, 218 (1999). The Court has also held that the RO must identify all disabilities which the veteran currently has, determine whether they are permanent in nature, and find a schedular evaluation for each of them under the VA's Schedule for Rating Disabilities, and discuss the diagnostic codes used in the denial of the pension claim. Roberts v. Derwinski, 2 Vet. App. 387, 389 (1992); see also Vargas-Gonzalez v. West. Received in March 1997 were copies of medical evidence used by the Social Security Administration indicating the veteran had been awarded benefits from 1974 to January 1976. Of record is a September 1997 deferred rating decision indicating that the Social Security Administration reply which was received in March 1997 did not include medical records which were presented when benefits were awarded in 1994. These records were to be enclosed. Of record is an April 1998 communication from the Department of Health and Human Services indicating that all medical records had been submitted in 1998. There is no determination of record as to what the RO decided to do with regard to the claim for nonservice-connected pension benefits. In view of the foregoing, the Board is of the opinion that additional development is indicated and this portion of the case is REMANDED for the following: 1. The RO should request that the veteran furnish information as to any medical or psychiatric treatment he has received since March 1998. The RO should take all necessary steps to obtain those records, as well as ensuring that all records from the Social Security Administration pertaining to the veteran's claim for benefits have been sought. 2. The RO should schedule the veteran for a general medical examination. The examiner should review the claims folder prior to completing the examination. A comprehensive report should be compiled considering the nature and extent of all disabilities found to be present, including heart disease, relative arthritis, and hypertension. The veteran's complaints and symptomatology should be noted and evaluated, and clinical symptoms and manifestations should be recorded in detail. The examiner is requested to comment on how each disability identified impacts on the veteran's employability. The complete rationale should be given for all opinions and conclusions reached. 3. The RO should then readjudicate the question of the veteran's entitlement to a permanent and total disability rating for pension purposes. All disorders found should be assigned a disability rating. Then, a combined rating should be calculated. The question of the veteran's entitlement to a permanent and total disability rating for pension purposes should be considered under all pertinent provisions of 38 C.F.R. §§ 4.15, 4.16, and 4.17. If the requirements are not met, the RO should consider whether a permanent and total disability rating may be assigned under the provisions of 38 C.F.R. § 3.321(b)(2). Thereafter, if the benefit sought on appeal is not granted to the veteran's satisfaction, the RO should furnish the veteran and his representative with a supplemental statement of the case and provide them with a reasonable period of time for response. Thereafter, the case should be returned to the Board for final appellate review, if otherwise noted. By this REMAND, the Board intimates no opinion as to any final outcome warranted. No action is required of the veteran until he is notified by the RO. The veteran has the right to submit additional evidence and argument on the matter the Board has remanded to the RO. Kutscherousky v. West, 12 Vet. App. 369 (1999). The veteran is advised that failure to report for the examination requested in this remand may have adverse consequences on his claim as the information requested on the examination addresses questions of symptomatology that are vital to his claim. 38 C.F.R. § 3.655 (1999); Connolly v. Derwinski, 1 Vet. App. 566 (1991). This claim must be afforded expeditious treatment by the RO. The law requires that all claims that are remanded by the Board of Veterans' Appeals or by the United States Court of Veterans Appeals for additional development or other appropriate action must be handled in an expeditious manner. See The Veterans' Benefits Improvements Act of 1994, Pub. L. No. 103-446, § 302, 108 Stat. 4645, 4658 (1994), 38 U.S.C.A. § 5101 (West Supp. 1998) (Historical and Statutory Notes). In addition, VBA's Adjudication Procedure Manual, M21-1, Part IV, directs the ROs to provide expeditious handling of all cases that have been remanded by the Board and the Court. See M21-1, Part IV, paras. 8.44-8.45 and 38.02-38.03. Mark D. Hindin Member, Board of Veterans' Appeals