Citation Nr: 0025833 Decision Date: 09/27/00 Archive Date: 10/04/00 DOCKET NO. 99-08 756 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Los Angeles, California THE ISSUE Entitlement to service connection for a chronic acquired variously diagnosed psychiatric disorder to include post- traumatic stress disorder (PTSD). REPRESENTATION Appellant represented by: Disabled American Veterans INTRODUCTION The veteran served on active duty from July 1984 to November 1984, and from October 1985 to August 1988. The current appeal arose from an April 1996 rating decision of the Department of Veterans Affairs (VA) Regional Office (RO) in Los Angeles, California. The RO determined that the veteran's claim of entitlement to service connection for a chronic acquired psychiatric disorder was not well grounded. In view of the veteran's February 1997 submission of additional application for service connection for a psychiatric disorder to include PTSD within the one year appeal period of the April 1996 rating decision, the Board has construed the February 1997 application as a notice of disagreement in view of the additional contemporaneous statements on file which in the aggregate permit such conclusion. In June 1997 the RO denied entitlement to service connection specifically for PTSD and bipolar disorder. The veteran did not appear for a scheduled hearing before a Hearing Officer at the RO in July 1999. The case has been forwarded to the Board of Veterans' Appeals (Board) for appellate review. FINDING OF FACT The claim of entitlement to service connection for a chronic acquired variously diagnosed psychiatric disorder to include PTSD is supported by cognizable evidence that the claim is plausible or capable of substantiation. CONCLUSION OF LAW The claim of entitlement to service connection for a chronic acquired variously diagnosed psychiatric disorder to in include PTSD is well grounded. 38 U.S.C.A. § 5107 (West 1991). REASONS AND BASES FOR FINDING AND CONCLUSION Factual Background The veteran's service medical records contain no evidence or findings of a psychiatric disorder. The July 1985 report of general medical examination for enlistment shows the clinical evaluation of the psychiatric system was normal. The veteran denied all psychiatric symptomatology when he completed the medical history portion of the examination. The May 1988 report of medical examination for separation from service shows the clinical evaluation of the psychiatric system was normal. The veteran denied all psychiatric symptomatology when he completed the report of medical history portion of the separation examination. VA treatment reports dated from 1995 onward show the veteran's psychiatric symptomatology was to rule out or was variously diagnosed as poly-substance abuse, major depression, schizophrenia, major depression with psychotic features, child PTSD, intermittent explosive disorder, substance induced psychosis, etc.. VA conducted a special psychiatric examination of the veteran in May 1997. The examiner recorded that the clinical record was available and had been reviewed. He reported that in 1980 and 1982 he was under the jurisdiction of the youth authority for two years prior to going into the service. Since 1989 he had been in and out of prison, defying authority and being reckless. He wanted to stop that cycle. He reported being physically and sexually abused beginning at age seven, by family members. He was given alcohol as a child. He remembered going inside a closet and somebody showing up there and abusing him. On mental status examination the veteran's speech was slow and halting. His eye contact was sometimes poor. He admitted to visual and auditory hallucinations. He described his usual mood as aggravated. He appeared to have a chronic high anger level and destructive thoughts. He reported having received psychologic counseling in high school. He described chronic feelings of depression and anger, of wanting to hurt people because they were hurting him and destroying his life. He reported having been seen in service by a psychiatrist. The veteran reported that during service "They dogged me out until I could take no more, I broke-I snapped." He reported he was constantly taunted. "They kept kidding me and putting me through remedial physical exercise...and on restriction. He reacted to this by "running away, going out on the town." He reported responding to a man by pulling out a knife. The man reportedly responded by crying and begging for mercy. The examiner recorded that the veteran's psychological profile was technically not valid. The examiner noted that the clinical interview indicated that the veteran had experienced physical and sexual abuse in his family from age seven and developed a rebellious disdain for authority in his abused childhood. The examiner noted that the veteran himself believed that he forgot the trauma of his childhood and tended to focus on his military experiences as he looked for an explanation of his disturbed feelings. However, it was clear that he had problems with authority before going into the service and that his readiness to act out a rebellious attitude created severe difficulties in the service when he would not conform to expectations. The examiner recorded that apparently his time in service did not help this already troubled young man, and only further aggravated his condition. The examiner diagnosed alcohol dependence, (in early full remission for 10 months), cocaine dependence (by history, in early full remission), major depression by history, and chronic PTSD. Criteria Pursuant to 38 U.S.C.A. § 5107(a), a person who submits a claim for benefits under a law administered by the Secretary shall have the burden of submitting evidence sufficient to justify a belief by a fair and impartial individual that the claim is well grounded. The United States Court of Appeals for Veterans Claims (Court) has held that a well-grounded claim is "a plausible claim, one which is meritorious on its own or capable of substantiation. Such a claim need not be conclusive but only possible to satisfy the initial burden of § [5107(a)]." Murphy v. Derwinski, 1 Vet. App. 78, 81 (1990). The Court has held that although a claim need not be conclusive, the statute provides that it must be accompanied by evidence that justifies a "belief by a fair and impartial individual" that the claim is plausible. Tirpak v. Derwinski, 2 Vet. App. 609, 610 (1992). The Court has held that "where the determinative issue involves medical causation or a medical diagnosis, competent medical evidence to the effect that the claim is 'plausible' or 'possible' is required." Heuer v. Brown, 7 Vet. App. 379, 384 (1995); Grottveit v. Brown, 5 Vet. App. 91, 93 (1993) (citing Murphy, at 81). The Court has held that a well-grounded claim requires competent evidence of current disability (a medical diagnosis), of incurrence or aggravation of a disease or injury in service (lay or medical evidence), and of a nexus between the in-service injury or disease and the current disability (medical evidence). See Epps v. Brown, 126 F.3d 1464, 1468 (fed. Cir. 1997); Caluza v. Brown, 7 Vet. App. 498, 506 (1995) aff'd, 78 F.3d 604 (Fed. Cir. 1996). The Court has held that a well-grounded claim for PTSD requires (1) medical evidence of a current PTSD disability; (2) medical or lay evidence (presumed credible for these purposes) of an in-service stressor; and (3) medical evidence of a link between service and the current PTSD disability. Cohen v. Brown, 10 Vet. App. 128, 137 (1997); see Epps v. Brown, 9 Vet. App. 341, 343-44 (1996); Caluza v. Brown, 7 Vet. App. 498, 506 (1995) aff'd 78 F.3d 604 (Fed. Cir. 1996). Evidence submitted in support of the claim must be accepted as true for the purpose of determining whether the claim is well grounded, except when the evidentiary assertion other than in a government record) is inherently incredible or when the fact asserted is beyond the competence of the person making the assertion. Hensley v. West, 212 F.3d 1253 (2000). If the claim is not well grounded, the appellant cannot invoke VA's duty to assist in the development of the claim. See 38 U.S.C.A. § 5107(a); Rabideau v. Derwinski, 2 Vet. App. 141, 144 (1992). In order to establish service connection for a claimed disability the facts must demonstrate that a disease or injury resulting in current disability was incurred in active military service or, if pre-existing active service, was aggravated therein. 38 U.S.C.A. § 1131 (West 1991); 38 C.F.R. § 3.303 (1999). Service connection may be granted for any disease diagnosed after discharge when all the evidence, including that pertinent to service, establishes that the disease was incurred in service. 38 C.F.R. § 3.303(d) (1999). Eligibility for service connection of a well-grounded PTSD claim requires medical evidence diagnosing the condition in accordance with 38 C.F.R. § 4.125(a); a link, established by medical evidence between current symptoms and an in-service stressor; and credible supporting evidence that the claimed in-service stressor occurred. If the evidence establishes that the veteran engaged in combat with the enemy and the claimed stressor is related to this combat, in the absence of clear and convincing evidence to the contrary, and provided that the claimed stressor is consistent with the circumstances, conditions, or hardships of the veteran's service, the veteran's lay testimony alone may establish the occurrence of the clinical in-service stressor. 38 C.F.R. § 3.304(f) (1999) (emphasis added); see 38 U.S.C.A. § 1154(b) (West 1991); see also Cohen v. Brown, 10 Vet. App. at 138; Zarycki v. Brown, 6 Vet. App. 91, 98 (1993). However, a veteran is still required to show evidence of a current disability and a link between that current disability and service. See Kessel v. West, 13 Vet. App. 9, 17-19 (1999) (holding that section 1154(b) does not obviate the requirement that the veteran submit evidence of a common disability and evidence of a nexus between the current disability and service); see also Clyburn v. West, 12 Vet. App. 296, 303 (1999). "Engaged in combat" requires that a veteran have participated in events constituting an actual fight or encounter with a military foe or hostile unit or instrumentality. However, the issue of whether any particular set of circumstances constitutes engagement in combat with the enemy must be resolved on a case-by-case basis based on the facts of each case. Any evidence which is probative of the issue of whether a veteran engaged in combat may be used by a veteran to support a veteran's assertion that he was engaged in combat. The benefit of the doubt rule applies to determinations of whether a veteran engaged in combat with the enemy. If there is a balance of positive and negative evidence, the issue must then be resolved in the veteran's favor. VAOPGCPREC 12-99; see 38 U.S.C.A. § 1154(b) (West 1991); Gaines v. West, 11 Vet. App. 353, 359 (1998). Where the claimed stressor is not related to combat, the veteran's lay testimony, by itself, will not be enough to establish the occurrence of the alleged stressor. Instead, the record must contain evidence which corroborates the veteran's testimony as to the occurrence of the claimed stressor. See Moreau v. Brown, 9 Vet. App. 389, 395-396 (1996); see Dizoglio v. Brown, 9 Vet. App. 163 (1996); Zarycki, supra. The requisite additional evidence needed for corroboration may be obtained from sources other than the veteran's service medical records. Moreau, supra, see also Patton v. West, 12 Vet. App. 272, 277 (1999). Continuous service for 90 days or more during peacetime service after December 31, 1946, and post service development of presumptive disease to a degree of 10 percent within one year from the termination of such service, establishes a presumption that the disease was incurred in service. 38 C.F.R. §§ 3.307, 3.309 (1999). If not shown in service, service connection may be granted for arthritis if shown disabling to a compensable degree during the first post service year. 38 U.S.C.A. § 1101, 1112, 1113, 1137 (West 1991 & Supp. 2000); 38 C.F.R. §§ 3.307, 3.309 (1999). Where there is a 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. 38 C.F.R. § 3.303(b) (1999). This rule does not mean that any manifestation in service will permit service connection. To show 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, there is no requirement of evidentiary showing of continuity. When 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) (1999). A veteran will be presumed to have been in sound condition when examined, accepted and enrolled for service except as to defects, infirmities or disorders noted at entrance into service, or where clear and unmistakable evidence demonstrates that an injury or disease existed prior thereto. Only such conditions as are accorded in examination reports are to be considered as noted. 38 U.S.C.A. § 1132, 1137 (West 1991); 38 C.F.R. § 3.304 (1999). In a recent case, the U.S. Court of Appeals for Veterans Claims (Court) emphasized that VA's burden of proof for rebutting the presumption of soundness is not merely evidence that is "cogent and compelling," i.e. a sufficient showing, rather, it is evidence that is clear and unmistakable. In its decision, the Court noted that "the word 'unmistakable' means that an item cannot be misinterpreted and misunderstood, i.e. it is undebatable." Vanerson v. West, 12 Vet. App. 254 (1999) (quoting Webster's New World Dictionary 1461 (3rd Coll. Ed. 1988)). A preexisting disease or injury will be considered to have been aggravated by active service, where there is an increase in disability during service, unless there is a specific finding that the increase in disability was due to the natural progress of the disease. 38 U.S.C.A. § 1153; 38 C.F.R. § 3.306(a) (1999). See Green v. Derwinski, 1 Vet. App. 320, 322-23 (1991). Clear and unmistakable evidence is required to rebut the presumption of aggravation when the pre-service disability underwent an increase in severity during service. 38 U.S.C.A. § 1153; 38 C.F.R. § 3.306(b). This includes medical facts and principles which may be considered to determine whether the increase is due to the natural progress of the condition. Aggravation may not be conceded where the disability underwent no increase in severity during service on the basis of all the evidence of record pertaining to the manifestation of the disability prior to, during and subsequent to service. Id. Temporary or intermittent flare-ups of a pre-existing injury or disease are not sufficient to be considered "aggravation in service" unless the underlying condition as contrasted to symptoms, is worsened. Jensen v. Brown, 4 Vet. App. 304, 306-207 (1993), citing Hunt v. Derwinski, 1 Vet. App. 292 (1991). When all the evidence is assembled, VA is responsible for determining whether the evidence supports the claim or is in relative equipoise, with the appellant prevailing in either event, or whether a preponderance of the evidence is against a claim, in which case, the claim is denied. Gilbert v. Derwinski, 1 Vet. App. 49 (1990). When, after consideration of all of the evidence and material of record in an appropriate case before VA, there is an approximate balance of positive and negative evidence regarding the merits of an issue material to the determination of the matter, the benefit of the doubt doctrine in resolving each such issue shall be given to the veteran. 38 U.S.C.A. § 5107(b) (West 1991); 38 C.F.R. §§ 3.102, 4.3 (1999). Analysis The Board finds that the veteran's claim of entitlement to service connection for a chronic acquired variously diagnosed psychiatric disorder to include PTSD is well grounded. 38 U.S.C.A. § 5107(a) (West 1991). The veteran has presented lay testimony of personal pre- service and in-service stressors, non-combat related; he has a current diagnosis of PTSD; and a VA physician has attributed his variously diagnosed psychiatric symptomatology including PTSD and depression to his service on the basis of aggravation. Therefore, the claim of entitlement to service connection for a chronic acquired variously diagnosed psychiatric disorder to include PTSD is found to be well grounded, and is further addressed in the remand portion of the decision. ORDER The veteran has submitted a well-grounded claim on entitlement to service connection for a chronic acquired variously diagnosed psychiatric disorder to include PTSD. REMAND This claim must be afforded expeditious treatment by the RO. The law requires that all claims that are remanded by the Board or by the Court 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. 2000) (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. As the veteran has established a well-grounded claim of entitlement to service connection for a chronic acquired variously diagnosed psychiatric disorder to include PTSD, the duty to assist attaches. VA has a duty to assist the veteran in the development of facts pertinent to his claim, 38 U.S.C.A. § 5107(a) (West 1991(). The Board is of the opinion that further development is required. The Board's review of the evidentiary record discloses that documentation referable to the veteran's pre-service treatment for psychiatric symptomatology has not been obtained and associated with the claims file. The veteran has reported having undergone psychological counseling while in high school in attendance at the Mary B. Perry High School. Additionally, the veteran reported that he underwent psychiatric evaluation while serving in Yong Fong, Korea in 1987 or 1988. Also, the veteran reports multiple personal stressors which may have included personal assaults while he was on active duty. With respect to personal assaults, the record is clear in showing that the veteran was both physically and sexually abused as a child. He has reported in-service stressors, but has not clarified whether the stressors, all non-combat in nature, include physical and/or sexual assaults. He has even related an incident where he used a knife in apparent self- defense, but this is not clear from the evidentiary record. The complete records referable to his treatment after service also do not appear to have been requested and associated with the claims file. As a minimum. The veteran must indicate the location and approximate time of stressful event(s) in service. See VA Adjudication Procedure Manual M21-1 (M21-1), Part III, Paragraph 5.14(b)(2)(a). The veteran should be given the opportunity to clarify and provide more specific details as to stressful events in service. The Court has held that VA has undertaken a special obligation to assist a claimant who has submitted a well- grounded claim in producing corroborating evidence of an in- service stressor involving, what may include in the veteran's case, personal assault. Patton v. West, 12 Vet. App. 272, 280 (1999). In this regard, behavior changes that occurred at the time of an incident may indicate the occurrence of an in-service stressor. See M21-1, Part III, para. 5.14(c)(7). The M21-1 provisions provide that secondary evidence may need to be interpreted by a clinician especially if it involves behavior changes. Evidence that documents such behavior changes may require interpretation in relationship to the medical diagnosis by a VA neuropsychiatric physician. See M21-1, Part III, para. 5.14(c)(8). The Court has held that the RO is responsible for assisting the claimant in gathering, from sources in addition to in- service records, evidence corroborating an in-service stressor, by sending a special letter and questionnaire, by carefully evaluating that evidence including behavior changes, and by furnishing a clinical evaluation of behavior evidence. Patton at 281-282. The veteran's case is unique to the extent that a VA examiner has predicated a diagnosis of PTSD on the veteran's pre- service or childhood experiences, and has determined that such disorder, and/or his psychiatric symptomatology in general, was aggravated by service. The additional development to be undertaken in this case by necessity involves ascertainment as to the pre-service stressors and nature and extent of psychiatric symptomatology diagnosed and treated, attainment of in-service stressors especially if involving physical and/or sexual assaults, in-service psychiatric treatment documentation, and post service treatment as well. Additionally, a contemporaneous comprehensive examination of the veteran to ascertain specifically what various psychiatric symptomatology was aggravated by service would materially assist in the adjudication of the appeal. In light of the foregoing, this case is remanded to the RO for further development as follows: 1. The appellant has the right to submit additional evidence and argument on the matter or matters the Board has remanded to the RO. Kutscherousky v. West, 12 Vet. App. 369 (1999). In this regard, the RO should request the veteran to identify the names, addresses, and approximate dates of treatment for all health care providers, VA and non-VA, inpatient and outpatient, who may possess additional records pertinent to his claim. After securing any necessary authorization or medical releases, the RO should attempt to obtain legible copies of the veteran's complete records from all sources identified whose records have not previously been secured. Regardless of the veteran's response, the RO should secure all outstanding VA treatment records. All information which is not duplicative of evidence already received should be associated with the claims file. 2. The RO should request the veteran to provide more specific details regarding his alleged in-service stressors, particularly with respect to his use of a knife, and he should clarify whether he was or was not a victim of physical and/or sexual assaults. He should be asked to provide, as specifically as possible, the dates and locations of any and all alleged stressors and any other information pertinent to verification. The veteran should also be asked to identify potential alternative sources for supporting evidence of such reports. In particular, the veteran should provide as much detailed information as possible including the dates, places, names of people present, and detailed descriptions of events. If the veteran does in fact allege personal (physical/sexual) assault(s), the RO should afford him the opportunity to submit any alternate available sources that may provide credible support to the in-service personal assaults to support his claim for service connection for PTSD, as provided in M21-1, Part III, para. 5.14(c). The veteran should be asked to provide any additional information possible regarding personal assaults and to identify alternative sources for supporting evidence of such reports. In particular, the veteran should provide as much detailed information as possible including the dates, places, names of people present, and detailed descriptions of events. The veteran is advised that this information is necessary to obtain supportive evidence of the stressful events and that he must be as specific as possible because without such details an adequate search for verifying information cannot be conducted. 3. The RO should then request any supporting evidence from alternative sources identified by the veteran and any additional alternative sources deemed appropriate, if the veteran has provided sufficiently detailed information to make such a request feasible. The RO should request military police reports for the military installation(s) where the incident(s) was/were reported and the records from the social service office(s) at that/those installation(s). The RO should make special efforts to obtain as much information referable to the veteran's reproted use of a knife. 4. The RO should review the entire claims file and prepare a summary of the unverified claimed stressors based on review of all pertinent documents, to include the veteran's PTSD Questionnaire and all medical records. The summary and all associated documents, including a copy of this remand, all available service records, and any written stressor statements should then be sent to the U.S. Armed Services Center for Research of Unit Records (USASCRUR), 7798 Cissna Road, Suite 101, Springfield, Virginia 22150, to obtain verification of the claimed stressors. The USASCRUR should be requested to provide any information which might corroborate any of the veteran's alleged experiences and stressors. 5. Thereafter, regardless of whether alleged stressors have been verified, the RO should afford the veteran a VA special psychiatric examination by a specialist who has not previously examined or treated him. The claims file, a separate copy of this remand, the stressor list compiled by the RO, and any information provided by the USASCRUR, and copies of the pertinent M21-1 criteria with respect to personal assault claims must be provided to the examiner for review prior and pursuant to conduction and completion of the examination. The examiner must annotate the examination report that all of the foregoing was in fact made available in conjunction with the examination. Any further indicated special studies, including psychological studies, should be accomplished. The examiner must determine the nature, severity, and etiology of any psychiatric disorder present, to include PTSD. The examiner's attention must be directed to the report of the May 1997 VA special psychiatric examination wherein the veteran was diagnosed with PTSD of childhood onset. The examiner should utilize DSM-IV in arriving at diagnoses and identify all existing psychiatric diagnoses. With respect to any reported personal assaults in service, the examiner is requested to analyze the service personnel records in light of the examples listed in M21-1, Part III, para. 5.14(c)(7). Specifically, the examiner should determine whether there is in- service and/or post service evidence of behavior changes at the time of the alleged stressor incident(s), which indicate their occurrence. See M21-1, Part III, 5.14(c)(7), (8). In doing so, the examiner should carefully review all of the veteran's statements on file regarding the event(s) of in-service harassment which may include personal assault that caused him to defend himself with a knife, as well as the secondary evidence and evidence of behavior changes shown in the service personnel records. It is requested that the examiner interpret the behavior changes and evidence pertaining thereto and render an opinion whether the behavior changes are related to the claimed stressors. If PTSD is diagnosed, the examiner should explain whether and how each of the diagnostic criteria is or is not satisfied. Again, if PTSD is diagnosed, the examiner must identify the verified stressor(s), including pre-service stressors alleged by the veteran, additional information concerning which may have been obtained in pre-service documentation and associated with the claims file. The examiner must be requested to determine whether any psychiatric disorder(s) diagnosed on examination had it onset prior to, during, or after service. It is requested that the examiner opine as to whether any psychiatric disorder(s) existing prior to service was/were aggravated by service. Any opinions expressed by the examiner must be accompanied by a complete rationale. 6. Thereafter, the RO should review the claims file to ensure that all of the following requested development has been completed. In particular, the RO should review the requested examination report and required opinions to ensure that they are responsive to and in complete compliance with the directives of this remand and if they are not, the RO should implement corrective procedures. Stegall v. West, 11 Vet. App. 268 (1998). 7. After undertaking any necessary development in addition to that specified above, the RO should readjudicate the claim of entitlement to service connection for a chronic acquired variously diagnosed psychiatric disorder, including PTSD. If the benefit requested on appeal is not granted to the veteran's satisfaction, the RO should issue a supplemental statement of the case. A reasonable period of time for a response should be afforded. Thereafter, the case should be returned to the Board for further appellate review, if otherwise in order. By this remand, the Board intimates no opinion as to any final outcome warranted. No action is required of the appellant until he is notified by the RO. RONALD R. BOSCH Member, Board of Veterans' Appeals - 17 -