Citation Nr: 0114224 Decision Date: 05/21/01 Archive Date: 05/30/01 DOCKET NO. 96-23 337 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Columbia, South Carolina THE ISSUES 1. Entitlement to service connection for a disability manifested by dizziness, to include the issue of whether a substantive appeal was timely filed. 2. Entitlement to service connection for ulcers, to include the issue of whether a substantive appeal was timely filed. 3. Entitlement to service connection for gastritis, to include the issue of whether a substantive appeal was timely filed. 4. Entitlement to service connection for a right knee disability, to include the issue of whether a substantive appeal was timely filed. 5. Entitlement to service connection for a left knee disability, to include the issue of whether a substantive appeal was timely filed. 6. Entitlement to service connection for carpal tunnel syndrome, to include the issue of whether a substantive appeal was timely filed. 7. Entitlement to service connection for chronic fatigue syndrome, to include the issue of whether a substantive appeal was timely filed. 8. Whether new and material evidence has been presented to reopen a claim of entitlement to service connection for anemia, to include the question of the finality of the rating determination of January 1995, denying service connection for iron deficiency anemia. REPRESENTATION Appellant represented by: Veterans of Foreign Wars of the United States ATTORNEY FOR THE BOARD Brian J. Milmoe, Counsel INTRODUCTION The veteran had active military service from April 1989 to November 1994. This matter comes before the Board of Veterans' Appeals (Board) from a January 1995 rating decision of the Columbia, South Carolina, Regional Office (RO) of the Department of Veterans Affairs (VA) which denied the veteran's original claims for service connection. It is noted that, by a September 1996 supplemental statement of the case (SSOC), the RO found that new and material evidence had not been submitted to reopen a claim for service connection for anemia. The veteran was scheduled to testify before a member of the Board at the RO in August 1998. He failed to report. No other pending request for a hearing either before the RO or the Board remains. In October 1999, the Board remanded the case to the RO for consideration of whether the veteran filed a timely substantive appeal of his claims and for initial consideration by the RO of additional medical records associated with the veteran's claims folder in February 1999 regarding the claim to reopen for service connection for anemia. Following the completion of the RO's efforts, the veteran's representative procured additional medical evidence pertinent to several of the claims herein at issue, which was submitted along with the representative's Informal Hearing Presentation in February 2001. Therein, the veteran's representative waived RO review of the additional evidence in accordance with 38 C.F.R. § 20.1304 (2000). The issue of whether new and material evidence has been presented to reopen a claim of entitlement to service connection for anemia, to include the question of the finality of the rating determination of January 1995, denying service connection for iron deficiency anemia, is addressed in the REMAND portion of this document. As well, the intertwined issue of the veteran's entitlement to service connection for anemia as the result of undiagnosed illness is also addressed as part of the Board's REMAND action. As it did in its remand of October 1999, the Board again notes that, the issue of entitlement to service connection for various symptoms as chronic disabilities resulting from an undiagnosed illness was raised by the veteran's representative in a May 1999 Informal Hearing Presentation. These claims have not been developed or certified for appeal, and will not be addressed in this decision. They are referred to the RO so that clarification may be obtained from the veteran as to which claims are being advanced on the basis of undiagnosed illness and for the completion of all other appropriate development, including initial adjudication, regarding such matters. In his February 2001 Informal Hearing Presentation, the veteran's representative also raised the issue of whether there was clear and unmistakable error in a February 1996 rating decision, denying entitlement to service connection for iron deficiency anemia. As well, based on the development actions undertaken by the RO since entry of its February 1995 denial, as well as the submission of various reports of examination and treatment since that time, claims to reopen for service connection for ulcers, gastritis, right and left knee disorders, carpal tunnel syndrome, chronic fatigue syndrome and a disability manifested by dizziness are recognized. All of the foregoing are referred to the RO for initial consideration. FINDINGS OF FACT 1. Service connection for a disability manifested by dizziness and service connection for ulcers, gastritis, right and left knee disorders, carpal tunnel syndrome, and chronic fatigue syndrome was denied by the RO in a January 5, 1995 rating action, notice of which was mailed to the veteran on January 10, 1995; the veteran filed a Notice of Disagreement with that decision which was received by the RO on January 8, 1996. 2. A Statement of the Case was provided on February 2, 1996; a cover letter advised the veteran of the requirement of filing a Substantive Appeal, the time limit in which to submit the appeal, and instructions for requesting additional time. 3. The veteran filed a Substantive Appeal which was received by the RO on April 30, 1996. CONCLUSION OF LAW The veteran did not timely perfect an appeal as to his claims for service connection for a disability manifested by dizziness and service connection for ulcers, gastritis, right knee disability, left knee disability, carpal tunnel syndrome, and chronic fatigue syndrome, which were denied by the RO in a rating decision of January 5, 1995, and the Board does not have jurisdiction over an appeal as to those claims. 38 U.S.C.A. § 7105 (West 1991); 38 C.F.R. §§ 20.200, 20.303 (2000). REASONS AND BASES FOR FINDINGS AND CONCLUSION I. Factual Background Under cover of January 10, 1995, the RO provided the veteran with a copy of its rating decision dated January 5, 1995, in which it denied his claims for service connection for disability manifested by dizziness and service connection for ulcers, gastritis, a bilateral knee disorder, carpal tunnel syndrome, and chronic fatigue syndrome. A Notice of Disagreement (NOD) challenging the RO's January 1995 decision was received by the RO on January 8, 1996. On February 2, 1996, the RO mailed a Statement of the Case (SOC) to the veteran with respect to the issues noted above. A copy of a VA Form 9, Appeal to Board of Veterans' Appeals (also known as the "Substantive Appeal"), was enclosed with the SOC. The RO's transmittal letter warned of the deadline for submitting the Substantive Appeal, included a citation to the statute setting that deadline, and advised the veteran that he could ask for more time if it were required. A copy of the SOC and of the transmittal letter was also sent to the veteran's representative. On April 30, 1996, the RO received a VA Form 9, Appeal to Board of Veterans' Appeals, with respect to the issues of entitlement to service connection for a disability manifested by dizziness and service connection for ulcers, gastritis, right and left knee disorders, carpal tunnel syndrome, and chronic fatigue syndrome. The VA Form 9 was signed by the veteran and dated April 1, 1996, and it was submitted to the RO through the veteran's representative by means of a memorandum, dated April 30, 1996. Such were date stamped as received by the RO on April 30, 1996. Subsequently, the RO issued another rating decision on February 14, 1996, as well as a Supplemental Statement of the Case (SSOC), on February 21, 1996, which continued the denial of the veteran's claims. The representative submitted a VA Form 1-646, Statement of Accredited Representative in an Appealed Case, and the case was certified to the Board. As noted in the Introduction, above, the Board, upon preliminary review of this case, noted that there was a question as to whether the veteran's Substantive Appeal was timely filed, and, in October 1999, the Board, in part, remanded the issues presented to the RO for a determination on that issue. The Board's remand informed the veteran of all the relevant laws and regulations. In a letter, dated in December 1999, the RO advised the veteran of this development, and provided him the opportunity to submit additional evidence or written argument on the matter, or to request a personal hearing to present such evidence. The veteran's representative was also provided with a copy of this letter. In a typed statement, dated in December 2000, the veteran asserted that he had not filed a timely substantive appeal because he was not receiving his mail. He noted that he had been staying with a "hostile young lady" whom he eventually left. Thereafter, he did not have a permanent address and was considered homeless. The young lady informed him that he was not receiving any mail, but later admitted that she had burned it. He indicated that he had started living with his sister at his current address a couple of years ago, and this was when he started receiving his mail concerning the matter. II. Analysis It is significant that a major change in the law was effectuated during the pendency of this appeal, when on November 9, 2000, the President of the United States signed into law the Veterans Claims Assistance Act of 2000 (VCAA), Pub. L. No. 106-475, 114 Stat. 2096 (2000). Among other things, this law eliminated the concept of a well-grounded claim, redefined and expanded the obligations of VA with respect to the duty to assist, and superseded the decision of the United States Court of Appeals for Veterans Claims (Court) in Morton v. West, 12 Vet. App. 477 (1999), withdrawn sub nom. Morton v. Gober, No. 96-1517 (U.S. Vet. App. Nov. 6, 2000) (per curiam order), which had held that VA cannot assist in the development of a claim that is not well grounded. This change in the law is applicable to all claims filed on or after the date of enactment of the VCAA, or filed before the date of enactment and not yet final as of that date. Veterans Claims Assistance Act of 2000, Pub. L. No. 106-475, § 7, subpart (a), 114 Stat. 2096, 2099-2100 (2000). See also Karnas v. Derwinski, 1 Vet. App. 308 (1991). It is evident that the RO has not considered this matter in light of the changes effected by the VCAA. That notwithstanding, the question herein presented, that of timeliness of filing of a Substantive Appeal, is by definition a legal one, and one governed not by the facts presented but by the controlling laws and regulations. See Sabonis v. Brown, 6 Vet. App. 426, 429-30 (1994). Through past actions of the RO and Board, the veteran has been informed of the laws and regulations governing the timeliness of appeal issues, and he has been afforded the opportunity to present evidence and/or argument in support of his claims for benefits. Thus, there is found to be no possibility of prejudice to the veteran were the Board to proceed to address the timeliness of the appeal question in an effort to ascertain whether the Board has jurisdiction. See Bernard v. Brown, 4 Vet. App. 384 (1993); VAOGCPREC 16-92, 57 Fed. Reg. 49,747 (1992). Similarly, all evidence needed to adjudicate the issues herein addressed has been obtained, and no prejudice to the veteran would therefore result, despite the fact that the RO has not been afforded the opportunity to consider whether any additional notification or development actions are required under the VCAA. An appeal to the Board is initiated by filing a timely NOD, and is perfected by filing a timely Substantive Appeal. 38 C.F.R. §§ 20.200, 20.202 (2000). The Substantive Appeal may be set forth on a VA Form 9 or a predecessor form, or on correspondence specifically identifying the issues appealed and setting out specific arguments relating to the errors of fact or law made by the agency of original jurisdiction. 38 C.F.R. § 20.202 (2000). To be considered timely, the Substantive Appeal must be filed within 60 days from the date that the AOJ mails the SOC to the appellant, within the remainder of the one-year period from the date of mailing of the notification of the determination being appealed, or within any extended time limits prescribed pursuant to a timely-filed request for extension of time. 38 C.F.R. §§ 20.302(b), 20.303 (2000). The Court has held that, if the claimant fails to file a Substantive Appeal in a timely manner, "he is statutorily barred from appealing the RO decision." Roy v. Brown, 5 Vet. App. 554, 556 (1993). See also YT v. Brown 9 Vet. App. 195, 198-99 (1996); Cuevas v. Principi, 3 Vet. App. 542, 546 (1992). Cf. Rowell v. Principi, 4 Vet. App. 9 (1993). The evidence of record shows that the RO mailed the veteran notification of its decision of January 5, 1995, to deny his claims for entitlement to service connection for a disability manifested by dizziness and service connection for ulcers, gastritis, bilateral knee disabilities, carpal tunnel syndrome, and chronic fatigue syndrome on January 10, 1995; that the RO received an NOD from him on January 8, 1996; and that the RO mailed a SOC to him on February 2, 1996. It is not disputed that his Substantive Appeal was not received by the RO until April 30, 1996. The Board finds that, since the veteran's April 30, 1996, Substantive Appeal was received beyond one year after notice of the January 5, 1995 rating decision (on January 10, 1995) and more than 60 days after the issuance of the SOC on February 2, 1996, it may not be accepted as timely. In addition, neither the veteran nor his representative requested an extension of time in which to file the Substantive Appeal pursuant to 38 C.F.R. § 20.303 (2000) (which requires a request for extension to be submitted in writing and prior to the expiration of time for filing the Substantive Appeal). The veteran has asserted that he did not receive the letters from VA, and that the woman with whom he had been living had burned his mail. In this instance, however, notice letters to the veteran from VA were sent to his most recent address of record and none were returned as undeliverable by the United States Postal Service. It is not the VA's obligation to assure that the veteran actually receives the mail at the household in which he is living. Rather, the regulations require only that notice be sent to the latest address of record. Notice means written notice sent to a claimant or payee at his or her latest address of record. 38 C.F.R. § 3.1(q) (2000). The record also reflects that while the veteran alleged that he left the home and/or was rendered homeless, he made no attempt to inform VA of his change in address or of his arrangements to receive mail at another location. "In the normal course of events, it is the burden of the veteran to keep the VA apprised of his whereabouts. If he does not do so, there is no burden on the part of the VA to turn up heaven and earth to find him." Hyson v. Brown, 5 Vet. App. 262, 265 (1993). In addition, it appears that the veteran signed the VA Form 9 on April 1, 1996, prior to the expiration of the 60-day period from the date of mailing of the statement of the case. However, it is the date of receipt by the RO of the veteran's VA Form 9 that is controlling, and in this instance, he simply did not mail or deliver it in time. On the basis of the foregoing, VA may assume that the veteran was aware of the determinations made by the RO, and his allegations of non-receipt, standing alone, are insufficient to rebut the presumption of regularity in the VA's mailing process. Jones v. West, 12 Vet. App. 98, 102 (1998); YT v. Brown, 9 Vet. App. 195, 199 (1996); Mindenhall v. Brown, 7 Vet. App. 271, 274 (1994). Finally, the record reflects that copies of the decisions and notifications were provided to the veteran's accredited representative, who was authorized to act on the veteran's behalf, but who also neglected to file a Substantive Appeal within the allotted time period. To the extent that the veteran has asserted that he was homeless after he left his girlfriend, the Board points out that, the duty to assist is not a one-way street. In the normal course of events, it is the burden of the veteran to keep VA apprised of his whereabouts. If he does not do so, there is no burden on VA to "turn up heaven and earth" to find him. Hyson v. Brown, 5 Vet. App. 262 (1993). There is no indication in the record that the veteran informed VA that he had moved from his prior residence or that he was "homeless." Furthermore, the Board again points out that the veteran signed his Substantive Appeal on April 1, 1996. Accordingly, it may be assumed that he was aware of the determinations that had been made by the RO, regardless of his housing situation. In summary, in a case where the veteran's Substantive Appeal was filed more than 60 days from the date that the RO mailed the SOC to him, and more than one year from the date the RO mailed notification of its decision to him, and where no timely request for extension of time was filed, the Substantive Appeal must be considered "untimely." Accordingly, the veteran is statutorily barred from appealing the January 1995 RO decision on the issues of entitlement to service connection for a disability manifested by dizziness and service connection for ulcers, gastritis, right and left knee disorders, carpal tunnel syndrome, and chronic fatigue syndrome, and the Board may not reach the merits of the claims, but must dismiss the appeals. See Roy, supra. This action in no way prevents the veteran from reopening his claims with new and material evidence in an attempt to establish service connection for the claimed disabilities, or his attempt to establish service connection for some of these conditions as manifestations of an undiagnosed illness. ORDER The appeals as to the claims for entitlement to service connection for a disability manifested by dizziness and service connection for ulcers, gastritis, right and left knee disorders, carpal tunnel syndrome, and chronic fatigue syndrome, denied by the RO in January 1995, are dismissed. REMAND Additional evidence was received in support of the veteran's claim pertaining to anemia which has not been addressed by the RO. In addition, the veteran has not submitted waiver of RO review of this additional evidence. Therefore, this matter is not ripe for appellate review. Further action by the RO is also necessary with respect to the issue of whether new and material evidence has been presented to reopen a claim for service connection for anemia, and the underlying issue of whether finality should attach to the RO's denial of service connection for iron deficiency anemia effected through its rating decision of January 1995. The former was the subject of the Board's prior remand in October 1999, wherein the Board noted that its jurisdiction was founded on the RO's denial of a claim to reopen for service connection for anemia in a supplemental statement of the case in September 1996. Also, the Board noted that the RO had styled one of the issues then under review as a claim for service connection for anemia or other chronic disability to account for fatigue and found that, in actuality, two separate claims had been advanced, one for service connection for anemia, and the other for service connection for fatigue or chronic fatigue syndrome. It nonetheless appears that there remains a pending appeal with respect to the question of whether a timely Substantive Appeal was filed by the veteran regarding the denial of service connection for iron deficiency anemia that was effectuated by the RO on January 5, 1995, notice of which was provided to him by the RO's correspondence of January 10, 1995. The NOD was received on January 8, 1996, and a SOC was issued on February 2, 1996. A Substantive Appeal was not thereafter received by the RO prior to April 30, 1996. While the RO in its SSOC of September 1996 finalized the January 1995 denial of service connection for anemia, it did so prematurely and without regard to the pending appeal. Moreover, the legal framework set forth in the February 1996 SSOC for determining the existence of new and material evidence, which was in effect at that time, has since changed. See Hodge v. West, 155 F.3d 1356 (Fed. Cir. 1998) (rejecting the test for determining the materiality of evidence originally set forth in Colvin v. Derwinski, 1 Vet. App. 171 (1991) that evidence was deemed "material" when there was a reasonable possibility that the additional evidence presented, when viewed in the context of all the evidence, both new and old, would change the outcome of the claim) in favor of the test outlined in 3.156(a)); see also Elkins v. West, 12 Vet. App. 209 (1999) (en banc); VCAA. Although notice of the correct standard was provided to the veteran in an SSOC of August 2000, the existence of a change in the governing legal authority was not therein noted, which may have led to confusion on the veteran's part. Further development is also deemed to be in order regarding the veteran's claim for service connection for anemia as an undiagnosed illness, inasmuch as the Board is required to consider all bases under which a claim may be allowed. Under the VCAA, further notice and development actions are deemed to be necessary to ensure compliance with the VA's duty-to-assist obligation. Accordingly, the case is REMANDED to the RO for the following actions: 1. The RO should contact the veteran in writing for the purpose of advising him of the laws and regulations governing the issue of the timeliness of appeal of the RO's denial in January 1995 of his claim for service connection for anemia, to include the evidence needed to substantiate his claim that he timely perfected his appeal of that denial. The RO should also advise the veteran of his right to submit any additional argument and/or evidence in support of the timeliness of appeal issue. Such evidence may be of a lay or medical variety. 2. The RO should also undertake a review of the claims file and ensure that all notification and development actions required by the VCAA are completed in terms of the timeliness of appeal issue. In particular, the RO should ensure that the new notification requirements and development procedures contained in sections 3 and 4 of the Act (to be codified as amended at 38 U.S.C. §§ 5102, 5103, 5103A, and 5107) are fully complied with and satisfied. This should include following the instructions for the initial processing of a Gulf War Claim as set forth in VA's Adjudication Procedures Manual (M21). 3. Thereafter, the RO should initially consider the issue of the timeliness of the veteran's appeal of a rating decision entered by the RO on January 5, 1995, denying entitlement to service connection for iron deficiency anemia, to include the question of whether such appeal was timely perfected. In the event that it is determined that a timely appeal of the January 1995 denial was not perfected, then the RO should prepare and furnish to the veteran and his representative an SSOC which should include a summary of the evidence and applicable law and regulations considered pertinent to the issue currently on appeal. An appropriate period of time should then be allowed for a response. The veteran and his representative are advised of the need to file a substantive appeal to this matter if they wish the Board to address this issue. 4. In the event that the RO determines that no timely appeal of the January 1995 denial of service connection for anemia was perfected, then the RO must in connection with the subsequently filed claim to reopen for service connection for anemia review the claims file and ensure that all notification and development actions required by the VCAA are completed. Such should also be accomplished with respect to the veteran's original claim for service connection for anemia as an undiagnosed illness. In particular, the RO should ensure that the new notification requirements and development procedures contained in sections 3 and 4 of the Act (to be codified as amended at 38 U.S.C. §§ 5102, 5103, 5103A, and 5107) are fully complied with and satisfied. 5. The RO should then contact the veteran in writing for the purpose of advising him of the evidence needed to substantiate his claim to reopen for service connection for anemia, and his separate claim for service connection for anemia as an undiagnosed illness, including medical opinions as to diagnoses, causes, and onset of date of disability, and/or lay statements by witnesses, family members, or others. The RO should also advise the veteran of his right to submit any additional argument and/or evidence in support of such claims. Such evidence may be of a lay or medical variety, including but not limited to copies of service medical or personnel records he may hold in his possession; statements from service medical personnel; "buddy" certificates or affidavits from fellow service persons; employment or retirement physical examinations; medical evidence from hospitals, clinics and private physicians by which or by whom the veteran may have been treated; letters written during service; photographs; pharmacy prescription records; or insurance examinations. Such evidence should be relevant to the question of the service incurrence or aggravation of anemia as a primary disorder, or anemia as a manifestation of an undiagnosed illness. 6. In addition, the veteran should be contacted for the specific purpose of requesting that he provide a listing of the names and addresses of those VA and non-VA medical professionals who have evaluated and/or treated him for anemia before, during, and after his discharge from military service. The approximate dates of any such evaluation or treatment should also be provided, to the extent possible. Thereafter, the RO should, after obtaining proper authorization, obtain all records not already on file which are referenced in connection with the aforementioned request. All VA treatment records, not already on file, including all those compiled since 1998, must be obtained regardless of whether in fact the veteran responds to the foregoing request. Such records, once obtained, must then be added to the claims folder. 7. Upon the completion of the foregoing development, the RO should adjudicate the question of whether new and material evidence has been presented to reopen the veteran's previously denied claim of entitlement to service connection for anemia, on the basis of all the evidence on file and all governing legal authority, including the VCAA. In the event that new and material evidence is found to have been submitted to reopen the claim, then the RO should initiate those actions in the indented paragraphs which follow. If new and material evidence is not found to have been presented, the veteran and his representative should be provided with a supplemental statement of the case which should include a summary of the evidence and applicable law and regulations considered pertinent to denial of the claim to reopen. An appropriate period of time should then be allowed for a response, before the record is returned to the Board for further review. 8. The veteran is then to be afforded a VA medical examination for the purpose of determining the nature and etiology of the veteran's anemia in connection with his original claim for service connection for anemia as due to an undiagnosed illness, and with respect to any claim reopened for service connection for anemia. The veteran's claims folder in its entirety, including a copy of this remand, is to be furnished to the examiner prior to any evaluation of the veteran for use in the study of this case. Such examination is to include a review of the veteran's history and current complaints, as well as a comprehensive clinical evaluation. Any indicated diagnostic studies must also be accomplished if deemed warranted by the examiner. All diagnoses are then to be fully set forth. It is requested that the examining physician offer a professional opinion, with full supporting rationale, as to each of the following: (a) Does the veteran currently have chronic anemia? If yes, please note whether there is present primary anemia or, in the alternative, whether anemia is shown to be present as a manifestation of some other disorder. A listing of all relevant clinical manifestations and pertinent laboratory findings is required. (b) If the veteran currently has chronic, primary anemia, is it at least as likely as not (50/50) that the current condition had its onset in service, or is otherwise related to the veteran's military service? If not, when did the condition first become manifest? The examiner should also note for the record whether he agrees or disagrees with the opinion set forth by Dr. Bash in January 2001, and explain the rationale for his/her statement. (c) Is it at least as likely as not (50/50) that the veteran's anemia, if any, is the result of an undiagnosed illness suffered as a result of service in Southwest Asia? Use by the examiner of the italicized standard of proof in formulating each response is requested. 9. Following the completion of the foregoing actions, the RO should review the examination report. If the report is not in complete compliance with the instructions provided above, appropriate action should be taken to return such examination for any and all needed action. 10. Lastly, the RO should adjudicate the issue of the veteran's entitlement to service connection for anemia as an undiagnosed illness, and, as applicable, the reopened claim for service connection for anemia, based on all the evidence presented and all governing laws and regulations. If the determination remains adverse to the veteran, he and his representative should be issued an SSOC and afforded a reasonable opportunity to respond. The veteran and his representative are advised of the need to file a substantive appeal to the Gulf War issue if the Board is to address this matter. Thereafter, the case should be returned to the Board, if in order. The Board intimates no opinion as to the ultimate outcome of this case. The veteran need take no action unless otherwise notified; however, he is advised that he has the right to submit additional evidence and argument on the matter that has been remanded to the RO. Kutscherousky v. West, 12 Vet. App. 369 (1999). This claim must be afforded expeditious treatment by the RO. The law requires that all claims that are remanded by the Board or 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. Iris S. Sherman Member, Board of Veterans' Appeals