Citation Nr: 0721667 Decision Date: 07/19/07 Archive Date: 08/02/07 DOCKET NO. 04-21 974 ) DATE ) ) On appeal from the Department of Veterans Affairs (VA) Regional Office (RO) in Buffalo, New York THE ISSUE Entitlement to service connection for rectal adenocarcinoma (colon cancer), status post abdominoperineal resection with colostomy, including allegedly due to exposure to asbestos, radiation, and other toxic chemicals. REPRESENTATION Appellant represented by: The American Legion ATTORNEY FOR THE BOARD B. Adams, Associate Counsel INTRODUCTION The veteran served on active duty from March 1976 until retiring in March 1996. This case comes before the Board of Veterans' Appeals (Board) from a May 2003 decision of the RO in Buffalo, New York. FINDING OF FACT The evidence of record does not show the veteran's colon cancer is etiologically related to his service in the military, including from his alleged exposure to asbestos, radiation, and other toxic chemicals. CONCLUSION OF LAW The veteran's colon cancer was not incurred or aggravated in active military service and may not be presumed to have been so incurred. 38 U.S.C.A. §§ 1101, 1110, 1112, 1113, 1131, 1137 (West 2002 & Supp. 2006); 38 C.F.R. §§ 3.303, 3.307, 3.309, 3.311 (2006). REASONS AND BASES FOR FINDING AND CONCLUSION The veteran claims that his colon cancer was caused by exposure to asbestos, ionizing radiation, and various chemicals - including unknown hazardous materials. In the interest of clarity, the Board will initially discuss certain preliminary matters relating to VA's duties to notify and assist him in developing his claim. The Board will then address the pertinent laws and regulations and their application to the facts and evidence. Preliminary Matters - The Veterans Claims Assistance Act (VCAA) The VCAA describes VA's duties to notify and assist claimants in substantiating their claim for VA benefits. 38 U.S.C.A. §§ 5100, 5102, 5103, 5103A, 5107, 5126 (West 2002 & Supp. 2006); 38 C.F.R. §§ 3.102, 3.156(a), 3.159, 3.326(a) (2006). In Pelegrini v. Principi (Pelegrini II), 18 Vet. App. 112, 120-21 (2004), the U. S. Court of Appeals for Veterans Claims (Court) held that VA must inform the claimant of any information and evidence not of record (1) that is necessary to substantiate the claim; (2) that VA will seek to provide; (3) that the claimant is expected to provide; and (4) must request that the claimant provide any evidence in his possession that pertains to the claim. 38 U.S.C.A. § 5103(a); 38 C.F.R. § 3.159(b). The U.S. Court of Appeals for the Federal Circuit (Federal Circuit Court) has clarified that the VCAA requires "a deliberate act of notification directed to meeting the requirements of section 5103, not an assemblage of bits of information drawn from multiple communications issued for unrelated purposes." See Mayfield v. Nicholson, 19 Vet. App. 103, 128 (2005), rev'd and remanded, 444 F.3d 1328 (Fed. Cir. 2006), aff'd, No. 02-1077 (December 21, 2006). The Federal Circuit Court has also held that any errors in the provision of VCAA notice, concerning any elements of the claim, are presumed prejudicial and must be rebutted by VA by showing they ultimately amount to mere harmless error. See Sanders v. Nicholson, No. 06-7001 (Fed. Cir. May 16, 2007); Simmons v. Nicholson, No. 06-7092 (Fed. Cir. May 16, 2007). VA complied with its Pelegrini II and Mayfield notification requirements in regards to the veteran's claim by means of letters dated in October 2001, May 2002, February 2003, and February 2004. These letters informed him of the general requirements to substantiate his claim of entitlement to service connection, as well as the mutual obligation between VA and himself to obtain additional supporting evidence. The October 2001 and February 2003 letters specifically advised him that if he had any additional information or evidence that would support his claim he should send it to VA. To the extent possible, VCAA notice should be provided to a claimant prior to the initial adjudication of the claim. See Mayfield, 19 Vet. App. 103. In this case, the October 2001 and May 2002 letters were indeed provided prior to the initial adjudication of the claim in May 2003. The veteran also was sent a letter in February 2003, so also prior to initially adjudicating his claim, which requested he provide information detailing the place and circumstances of the claimed exposures to asbestos, radiation, and other toxic chemicals. The RO sent him another letter in February 2004 regarding efforts to obtain certain private medical records. In the April 2004 statement of the case (SOC), the RO readjudicated the claim based on additional evidence received since the initial rating decision in question. See Prickett v. Nicholson, 20 Vet. App. 370, 376 (2006) (indicating that, even if there was no pre-decisional notice, going back and readjudicating the claim once the notice is provided, such as in a SOC, is sufficient to cure the timing defect). The Court has also held that the VCAA notice requirements of 38 U.S.C.A. § 5103(a) and 38 C.F.R. § 3.159(b) apply to all five elements of a service connection claim. Those five elements are: (1) veteran status; (2) existence of a disability; (3) a connection between the veteran's service and the disability; (4) degree of disability; and (5) effective date of the disability. Dingess/Hartman v. Nicholson, 19 Vet. App. 473 (2006); aff'd sub nom. Hartman v. Nicholson, 483 F.3d 1311 (2007). See also Dunlap v. Nicholson, No. 03-320 (U.S. Vet. App. Mar. 22, 2007). In Dingess, the Court held that, upon receipt of an application for a service-connection claim, 38 U.S.C.A. § 5103(a) and 38 C.F.R. § 3.159(b) require VA to review the information and the evidence presented with the claim and provide the claimant with notice of what information and evidence not previously provided, if any, will assist in substantiating or is necessary to substantiate the elements of the claim, as reasonably contemplated by the application. Additionally, this notice must inform a claimant that a disability rating and an effective date for the award of benefits will be assigned if service connection is granted. Id. In the present appeal, as mentioned, the veteran was provided notice of the type of information and evidence needed to substantiate his underlying claim for service connection. He was not provided, however, Dingess notice concerning the downstream disability rating and effective date elements of his claim. But this is inconsequential and, therefore, nonprejudicial because the Board is denying his underlying claim for service connection, so these downstream disability rating and effective date elements are moot. See again Sanders v. Nicholson, No. 06-7001 (Fed. Cir. May 16, 2007) (any errors in a VCAA notice, for any of the elements of that notice, are presumed to be prejudicial unless rebutted by VA). VA also has a duty to provide a medical examination and/or seek a medical opinion when such examination or opinion is necessary to make a decision on the claim. An examination or opinion shall be considered necessary to make a decision on the claim if the evidence of record, taking into consideration all information and lay or medical evidence (including statements of the veteran), (1) contains competent evidence that the claimant has a current disability, or persistent recurring symptoms of disability; (2) indicates that the disability or symptoms may be associated with the veteran's service; and (3) contains insufficient medical evidence for VA to make a decision on the claim. See 38 U.S.C.A. § 5103A(d); 38 C.F.R. § 3.159(c)(4). Here, although the veteran requested a VA examination in his June 2004 substantive appeal (VA Form 9), the Board concludes after careful review of the record that a medical examination or opinion is not needed to render a decision on his claim. As will be explained, there is no evidence he developed colon cancer while in service or within the applicable presumptive period after his discharge. And to the extent his claim is predicated on his colon cancer having been caused by exposure to asbestos and/or ionizing radiation, the only evidence suggesting he had such exposure during service is his own unsubstantiated lay allegations. These statements are insufficient to trigger VA's duty to provide an examination; VA is not obligated to provide an appellant with an examination to obtain a medical nexus opinion where the supporting evidence of record consists only of a lay statement. See Duenas v. Principi, 18 Vet. App. 512, 519 (2004). As for his claim that his colon cancer was caused by exposure to other toxic chemicals and/or unknown hazardous materials, there also is no supporting evidence in this regard, either, except for the veteran's unsubstantiated allegations. None of the numerous private and VA medical records assembled in this case mentions his exposure to these claimed toxins as a factor in his developing cancer. And, again, as a layman he does not have the necessary medical training and expertise to give a probative opinion on this determinative issue. See, e.g., Espiritu v. Derwinski, 2 Vet. App. 492 (1992). See also Wells v. Principi, 326 F.3d 1381, 1384 (Fed. Cir. 2003) (holding that the Secretary's obligations under 38 U.S.C.A. § 5103A to provide a claimant with a medical examination or to obtain a medical opinion is triggered if the evidence of record demonstrates "some causal connection between his disability and his military service"). Accordingly, the Board finds no prejudice to the veteran in proceeding with the issuance of a final decision on his claim without first having him examined. See Bernard v. Brown, 4 Vet. App. 384, 394 (1993). The duty to assist has been fulfilled, as VA has obtained all available identified records pertaining to the claim on appeal. There is no suggestion on the current record there remains evidence that is pertinent to the issue on appeal that has yet to be obtained. Thus, the Board finds that VA has done everything reasonably possible to notify and assist the veteran with his claim, and that no further action is necessary to meet the requirements of the VCAA. I. Pertinent Laws and Regulations A. Service Connection - In General Service connection may be granted for disability resulting from disease or injury incurred in or aggravated by active military service. 38 U.S.C.A. §§ 1110, 1131; 38 C.F.R. § 3.303(a). Service connection also may be granted on a presumptive basis for certain chronic disabilities, including malignant tumors, usually when manifested to a compensable degree of at least 10 percent within one year after service. See 38 U.S.C.A. §§ 1101, 1112, 1113, 1137; 38 C.F.R. §§ 3.307, 3.309(a). This presumption, however, is rebuttable by probative evidence to the contrary. In order to establish service connection for a claimed disorder, there must be (1) medical evidence of a current disability; (2) medical, or in certain circumstances, lay evidence of in-service incurrence or aggravation of a disease or injury; and (3) medical evidence of a nexus between the claimed in-service disease or injury and the current disability. Hickson v. West, 12 Vet. App. 247, 253 (1999). The determination as to whether these requirements are met is based on an analysis of all the evidence of record and the evaluation of its credibility and probative value. Baldwin v. West, 13 Vet. App. 1, 8 (1999). B. Asbestos Exposure There is no specific statutory guidance with regard to asbestos-related claims, nor has the Secretary of VA promulgated any regulations in regard to such claims. However, VA has issued a circular on asbestos-related diseases. DVB Circular 21-88-8, Asbestos-Related Diseases (May 11, 1988) provides guidelines for considering compensation claims based on exposure to asbestos. The information and instructions from the DVB Circular have been included in a VA Adjudication Procedure Manual, M21-1 (M21- 1), Part VI, 7.21. VA Manual M21-1, Part VI, para. 7.21 (October 3, 1997) provides that inhalation of asbestos fibers can produce fibrosis and tumor, most commonly interstitial pulmonary fibrosis (asbestosis). Asbestos fibers may also produce pleural effusion and fibrosis, pleural plaques, mesotheliomas of pleura and peritoneum, lung cancer, and cancers of the gastrointestinal tract. Cancers of the larynx and pharynx, as well as the urogenital system (except the prostate) are also associated with asbestos exposure. Thus persons with asbestos exposure have increased incidence of bronchial, lung, pharyngolaryngeal, gastrointestinal and urogenital cancer. M21-1, Part VI, para 7.21(a). The applicable section of Manual M21-1 also notes that some of the major occupations involving exposure to asbestos include, but are not limited to: mining; milling; work in shipyards; carpentry and construction; manufacture and servicing of friction products such as clutch facings and brake linings; and manufacture and installation of roofing and flooring materials, asbestos cement and pipe products, military equipment. High exposure to respirable asbestos and a high prevalence of disease have been noted in insulation and shipyard workers, and this is significant considering that, during World War II, U.S. Navy veterans were exposed to chrysotile, amosite, and crocidolite that were used extensively in military ship construction. Furthermore, it was revealed that many of these shipyard workers had only recently come to medical attention because the latent period for asbestos-related diseases varies from 10 to 45 or more years between first exposure and development of disease. Also of significance is that the exposure to asbestos may be brief (as little as a month or two) or indirect (bystander disease). See Veteran's Benefits Administration (VBA), Manual M21-1, Part 6, Chapter 7, Subchapter IV, § 7.21 b. In Dyment v. West, 13 Vet. App. 141, 145 (1999), the Court found that provisions in former paragraph 7.68 (predecessor to paragraph 7.21) of VBA Manual M21-1, Part VI, did not create a presumption of exposure to asbestos. Medical-nexus evidence is required in claims for asbestos-related disease stemming from alleged asbestos exposure in service. VA O.G.C. Prec. Op. No. 04-00. C. Radiation Exposure Service connection for a condition that is claimed to be attributable to ionizing radiation exposure during service may be established in one of three different ways. Davis v. Brown, 10 Vet. App. 209, 211 (1997); Ruker v. Brown, 10 Vet. App. 67, 71 (1997). First, where it is contended that a disease developed as a result of exposure to ionizing radiation during service, service incurrence may be presumed under 38 U.S.C.A. § 1112(c) and 38 C.F.R. § 3.309(d) for veterans who participated in defined "radiation risk activities" and have certain diseases. Second, service connection may be established under 38 C.F.R. § 3.303(d) with the assistance of the procedural advantages prescribed in 38 C.F.R. § 3.311 if certain conditions are met. Third, direct service connection can be established under 38 C.F.R. § 3.303(d) by showing the disease was incurred during or aggravated by service without regard to the statutory presumptions. Combee v. Brown, 34 F.3d 1039, 1043-44 (Fed. Cir. 2004). Certain diseases, including colon cancer, are presumptively service connected in a "radiation-exposed veteran" under 38 U.S.C.A. § 1112(c) and 38 C.F.R. § 3.309(d). A "radiation- exposed veteran" means a veteran who participated in a "radiation-risk activity." 38 U.S.C.A. § 1112(c)(3)(A); 38 C.F.R. § 3.309(d)(3)(i). The term "radiation-risk activity" means on-site participation in a test involving the atmospheric detonation of a nuclear device; the occupation of Hiroshima or Nagasaki, Japan, during certain periods in 1945 and 1946; internment as a prisoner of war (POW) of Japan during World War II under certain conditions; and service under certain conditions in Paducah, Kentucky; Portsmouth, Ohio; Oak Ridge, Tennessee; or Amchitka Island, Alaska. See 38 U.S.C.A. § 1112(c)(3)(B); 38 C.F.R. § 3.309(d)(3)(ii). If a veteran does not qualify as a "radiation-exposed veteran" under 38 C.F.R. § 3.309(d)(3), he or she may still benefit from the special development procedures provided in 38 C.F.R. § 3.311 if the veteran suffers from a radiogenic disease, such as colon cancer. Colon cancer must have become manifest five years or more after exposure to radiation. 38 C.F.R. § 3.311(b)(5). The special development procedures available pursuant to 38 C.F.R. § 3.311 require that a request be made for any available records concerning the veteran's exposure to radiation. These records normally include, but are not limited to, the veteran's Record of Occupational Exposure to Ionizing Radiation (DD Form 1141), service medical records (SMRs), and other records that may contain information pertaining to the veteran's radiation dose in service. All such records will be forwarded to VA's Under Secretary for Health, who will be responsible for preparing a dose estimate, to the extent feasible, based on available methodologies. 38 C.F.R. § 3.311(a)(2)(iii). In the alternative, if the veteran may not take advantage of 38 C.F.R. §§ 3.309(d) and 3.311, he may still establish entitlement to service connection if the evidence of record shows his colon cancer is related to his military service or manifested to a compensable degree within one year following his discharge from service. See Combee, 34 F.3d 1039. II. Colon Cancer A. Analysis - Chemicals Exposure and Direct Service Connection Direct service connection can be established by "showing that the disease or malady was incurred during or aggravated by service," a task which "includes the difficult burden of tracing causation to a condition or event during service." Combee, 34 F.3d at 1043. As discussed above, for service connection to be granted three elements must be met: (1) evidence of current disability; (2) in-service incurrence of disease or injury; and (3) evidence of a relationship between the current disability and the disease or injury in service. See Hickson, 12 Vet. App. at 253 (1999). It is undisputed the veteran was diagnosed and treated for colon cancer in 2001. Therefore, Hickson element (1), current diagnosis, is met. The Board will address the two aspects of Hickson element (2), in-service disease and injury, separately. With respect to the issue of in-service disease, there is no evidence the veteran had colon cancer either while he was in service or within the one-year presumptive period following his retirement; as mentioned, the medical evidence of record clearly establishes that his colon cancer was first diagnosed in 2001, almost five years after his retirement from the military in 1996. Moreover, there is no medical evidence of record suggesting a link between his colon cancer and any disease he may have contracted during service. Accordingly, Hickson elements (2) and (3) are not met with respect to the issue of in-service disease. With respect to the issue of in-service injury, the veteran has attributed his colon cancer, in pertinent part, to his claimed exposure to various toxic chemicals during service - including toluene, hydroxides, paint thinner, oils, and petroleum. He also maintains that he was exposed to unknown hazardous materials during overseas service in Mogadishu, Somalia. He alleged in his January 2004 statement in support of claim (VA Form 21-4138) that, as part of his duties, he assisted in cleaning and refueling aircraft. His service personnel records confirm he was an Inventory Management Craftsman and document his service in Somalia, although neither his military personnel or medical records mention any exposure to toxic chemicals or unknown hazardous substances in that capacity. Even assuming for the sake of argument, however, that the veteran was exposed to the chemicals and substances alleged, the question of the resulting effects of that exposure, if any, is a matter requiring medical expertise to determine. See Colvin v. Derwinski, 1 Vet. App. 171, 175 (1991) (prohibiting the Board from exercising its own independent judgment to resolve medical questions). Concerning this, the record is devoid of any supporting evidence on Hickson element (3), that is, medical evidence suggesting an etiological link between the veteran's military service - and more specifically an event in service like the exposure claimed, and a consequent disability (here, colon cancer). The Board has carefully reviewed the statements and reports provided by his various doctors, but none of them have offered an opinion regarding the possibility of a relationship between his colon cancer disability and any exposure to chemicals or other unknown hazardous materials coincident with his service in the military. Indeed, the only suggested etiology for his colon cancer comes from notations in the records of a family history of cancer - not exposure to the substances alleged. B. Analysis - Asbestos Exposure The veteran alleged in his September 2001 claim application (VA Form 21-526) that he had breathed and exposed his skin to asbestos during service. In February 2003 the RO sent him a letter asking that he provide information regarding his alleged exposure to asbestos, radiation, and chemicals in order to assist in developing his claim. One year later, in February 2004, he responded to that letter but addressed only his exposure to radiation and chemicals. In developing his claim to the extent it is predicated on exposure to asbestos, the RO contacted the National Personnel Records Center (NPRC) in February 2003 to obtain any available evidence, including service personnel records, suggesting the veteran may have been exposed to asbestos during service. The NPRC replied in May 2003 that no documentation related to asbestos exposure was on file for the veteran. The NPRC did supply his service personnel records, which as mentioned showed he was an Inventory Management Craftsman and Security Specialist. The veteran's service medical records obtained from the NPRC are completely unremarkable for mention of exposure to asbestos or complaints or treatment of an asbestos-exposure- related disease. Moreover, the NPRC was unable to locate any documentation of asbestos exposure for the veteran. Despite the RO's efforts to substantiate the allegation of asbestos exposure, no probative evidence has been obtained. Accordingly, the Board concludes there is no evidence the veteran was exposed to asbestos during service. Equally significant to this is the fact there is no medical opinion linking the veteran's colon cancer to asbestos exposure. The Board has reviewed both private and VA treatment records dated from 2001 to 2002, but they are completely devoid of any mention of exposure to asbestos as the reason he developed the colon cancer. Without a medical opinion regarding a possible link between his disability and his alleged asbestos exposure, the only evidence comes from him personally. But as already explained, as a layman he is not competent to provide a medical diagnosis or an opinion requiring medical knowledge, such as medical causation. Espiritu, 2 Vet. App. 494-95. C. Analysis - Radiation Exposure The veteran also contends his colon cancer was caused by radiation exposure. Specifically, in his January 2004 statement in support of claim (VA Form 21-4138), he alleged that he was exposed to radiation while guarding nuclear weapons on military bases in Maine and England. He does not, however, contend, and his military records do not otherwise suggest, that he is a "radiation-exposed veteran" who participated in a "radiation risk activity" as those terms are defined by 38 U.S.C.A. § 1112(c) and 38 C.F.R. § 3.309(d). So although he does have colon cancer - or at least did prior to receiving treatment for it, these presumptive provisions do not apply. The special development procedures described by 38 C.F.R. § 3.311 are also inapplicable. In accordance with the provisions of 38 C.F.R. § 3.311(a)(2)(iii), the RO requested from the NPRC any available records that would verify the veteran's claimed exposure. This request yielded only his service personnel records, which confirmed that he was a security specialist at those locations during service. They did not, however, contain any reference to exposure to nuclear weapons. Moreover, the NPRC noted that no DD Form 1141 could be located for the veteran; the absence of this form indicates he was not monitored for occupational radiation exposure. Monitoring is required for all plant operators, maintenance technicians, or any other person who is authorized for occupational exposure or who could exceed radiation exposure limits established for the general public. See 10 C.F.R §§ 20.1502, 20.2106 (2006). In the absence of any documentation suggesting the veteran was exposed to radiation in service, there is no basis for referring this case to the Under Secretary of Health for the preparation of a dose estimate. III. Conclusion There is no medical evidence suggesting the veteran developed colon cancer while in service or within the one-year presumptive period following his retirement. His initial complaints, diagnosis, and treatment were not until five years later, in 2001. As for whether he was exposed to toxic chemicals and/or unknown hazardous materials while in service, there is no probative evidence suggesting he was - or in any event there is no medical evidence of a nexus between any possible exposure to these substances and his subsequent development of colon cancer. In the absence of this kind of evidence suggesting this linkage to his military service, his claim has no merit. Finally, with respect to the issue of exposure to asbestos and ionizing radiation, this component of the claim also remains unsubstantiated. And in the absence of any evidence suggesting this as the cause of the colon cancer, the claim has not merit in this regard either. For these reasons and bases, the preponderance of the evidence is against the claim, in turn meaning there is no reasonable doubt to resolve in the veteran's favor, and that his claim must be denied. See 38 U.S.C.A. §5107(b); 38 C.F.R. § 3.102; Alemany v. Brown, 9 Vet. App. 518, 519 (1996). ORDER The claim for service connection for rectal adenocarcinoma, status post abdominoperineal resection with colostomy, including as due to exposure to asbestos, radiation, and chemicals, is denied. ____________________________________________ KEITH W. ALLEN Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs