Citation Nr: 1041981 Decision Date: 11/08/10 Archive Date: 11/18/10 DOCKET NO. 02-05 497 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Muskogee, Oklahoma THE ISSUE Entitlement to a psychiatric disorder other than posttraumatic stress disorder (PTSD). REPRESENTATION Appellant represented by: Oklahoma Department of Veterans Affairs ATTORNEY FOR THE BOARD Jessica J. Wills, Counsel INTRODUCTION The Veteran served on active duty from February 1982 to October 1982. This matter comes before the Board of Veterans' Appeals (BVA or Board) on appeal from a July 2001 rating decision of the Department of Veterans Affairs (VA) Regional Office (RO) in Muskogee, Oklahoma. The Board remanded the case for further development in November 2003, October 2005, January 2007, and February 2009. That development has been completed, and the case has since been returned to the Board for appellate review. The Board previously denied the Veteran's claim for service connection for PTSD in a February 2009 decision. However, the Veteran subsequently submitted additional treatment records pertaining to PTSD. It is unclear as to whether he intended to file an application to reopen that claim. However, that matter is not currently before the Board because it has not been prepared for appellate review. Accordingly, the matter is referred to the RO for appropriate action. FINDINGS OF FACT 1. All relevant evidence necessary for an equitable disposition of the Veteran's appeal has been obtained. 2. The Veteran has a psychiatric disorder other than PTSD that clearly and unmistakably existed prior to service. 3. The Veteran's preexisting psychiatric disorder other than PTSD clearly and unmistakably did not permanently worsen or increase in severity during service. CONCLUSION OF LAW A psychiatric disorder other than PTSD was not incurred in or aggravated by active service. 38 U.S.C.A. §§ 1101, 1110, 1111, 1153, 5103A, 5107(b) (West 2002); 38 C.F.R. §§ 3.102, 3.159, 3.303, 3.304, 3.306 (2010). REASONS AND BASES FOR FINDINGS AND CONCLUSION Upon receipt of a substantially complete application for benefits, VA must notify the claimant what information or evidence is needed in order to substantiate the claim and it must assist the claimant by making reasonable efforts to get the evidence needed. 38 U.S.C.A. §§ 5103(a), 5103A; 38 C.F.R. § 3.159(b); see Quartuccio v. Principi, 16 Vet. App. 183, 187 (2002). The notice required must be provided to the claimant before the initial unfavorable decision on a claim for VA benefits, and it must (1) inform the claimant about the information and evidence not of record that is necessary to substantiate the claim; (2) inform the claimant about the information and evidence that VA will seek to provide; and, (3) inform the claimant about the information and evidence the claimant is expected to provide. 38 U.S.C.A. §§ 5103(a); 38 C.F.R. § 3.159(b)(1); Pelegrini v. Principi, 18 Vet. App. 112, 120 (2004). In this case, the Board does acknowledge that the RO did not provide the Veteran with adequate notice in conjunction with his claim for service connection for a psychiatric disorder other than PTSD prior to the initial decision on that claim. Nevertheless, the RO did send the Veteran letters in October 2005 and February 2008, which did inform him about the evidence necessary to substantiate his claim and the division of responsibilities in obtaining the evidence. The Board finds that any defect with respect to the timing of the notice requirement was harmless error. In this regard, the Board notes that, while notice provided to the Veteran was not given prior to the first agency of original jurisdiction (AOJ) adjudication of the case, notice was provided by the AOJ prior to the transfer and certification of the Veteran's case to the Board, and the content of the notice fully complied with the requirements of 38 U.S.C. § 5103(a) and 38 C.F.R. § 3.159(b). After the notice was provided, the Veteran's claim was readjudicated in a supplemental statement of the case (SSOC). Prickett v. Nicholson, 20 Vet. App. 370, 377-78 (2006) (VA cured failure to afford statutory notice to claimant prior to initial rating decision by issuing notification letter after decision and readjudicating the claim and notifying claimant of such readjudication in the statement of the case). The claimant has been provided with every opportunity to submit evidence and argument in support of his claim and to respond to VA notices, and he has taken full advantage of these opportunities, submitting evidence and argument in support of his claim. Viewed in such context, the furnishing of notice after the decision that led to this appeal did not compromise the essential fairness of the adjudication. Dingess/Hartman v. Nicholson, 19 Vet. App. 473 (2006); Conway v. Principi, 353 F.3d 1369, 1373 (Fed. Cir. 2004). The Veteran has had a "meaningful opportunity to participate effectively," Dingess/Hartman, and the Board finds that the present adjudication of the appeal will not result in any prejudice to the Veteran. Therefore, with respect to the timing requirement for the notice, the Board concludes that to decide this appeal would not be prejudicial to the claimant. Moreover, the requirements with respect to the content of the notice were met in this case. The RO informed the Veteran in the notice letters about the information and evidence that is necessary to substantiate his claim for service connection. Specifically, the October 2005 and February 2008 letters stated that in order to establish service connection the evidence must show that he had an injury in military service or a disease that began in, or was made worse during military service, or that there was an event in service that caused injury or disease; that he has a current physical or mental disability; and, that there is a relationship between his current disability and an injury, disease, or event in military service. Additionally, the April 2002 statement of the case (SOC) and the August 2006, September 2008, and August 2010 supplemental statements of the case (SSOC) notified the Veteran of the reasons for the denial of his application and, in so doing, informed him of the evidence that was needed to substantiate his claim. In addition, the RO notified the Veteran in the notice letters about the information and evidence that VA will seek to provide. In particular, the October 2005 and February 2008 letters indicated that reasonable efforts would be made to help him obtain evidence necessary to support his claim and that VA was requesting all records held by Federal agencies, including service treatment records, military records, and VA medical records. The Veteran was also informed that a medical examination would be provided or that a medical opinion would be obtained if it was determined that such evidence was necessary to make a decision on his claim. The RO also informed the Veteran about the information and evidence that he was expected to provide. Specifically, the October 2005 and February 2008 letters notified the Veteran that he must provide enough information about his records so that they could be requested from the agency or person that has them. Those letters also requested hat he complete and return the enclosed VA Form 21-4142, Authorization and Consent to Release Information to the Department of Veterans Affairs, if there were any private medical records that he would like VA to obtain on his behalf. In addition, the October 2005 and February 2008 letters stated that it was the Veteran's responsibility to ensure that VA receives all requested records that are not in the possession of a Federal department or agency. Further, during the pendency of this appeal, on March 3, 2006, the United States Court of Appeals for Veterans Claims (Court) issued a decision in the consolidated appeal of Dingess/Hartman v. Nicholson, 19 Vet. App. 473, which held that the 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 include: 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. 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 to 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. Dingess/Hartman v. Nicholson, 19 Vet. App. 473 (2006). Additionally, this notice must include notice that a disability rating and an effective date for the award of benefits will be assigned if service connection is awarded. Id. In the present appeal, the Veteran was provided with notice of the type of evidence necessary to establish a disability rating and effective date. In this regard, the Board notes that the February 2008 letter informed him that a disability rating was assigned when a disability was determined to be service-connected and that such a rating could be changed if there were changes in his condition. The letter also explained how disability ratings and effective dates were determined. In addition, the duty to assist the Veteran has also been satisfied in this case. The Veteran's service personnel and treatment records as well as all identified and available VA and private medical records pertinent to the years after service are in the claims file and were reviewed by both the RO and the Board in connection with the Veteran's claim. His records from the Social Security Administration (SSA) have also been obtained and associated with the claims file. The Veteran has not identified any other outstanding, relevant records that need to be obtained in connection with his claim for service connection for a psychiatric disorder other than PTSD. In addition, the Veteran was afforded VA examinations in June 2006, August 2008, and April 2009, and additional medical opinion was obtained in July 2010. When VA undertakes to provide a VA examination or obtain a VA opinion, it must ensure that the examination or opinion is adequate. Barr v. Nicholson, 21 Vet. App. 303, 312 (2007). As discussed below, the Board finds that the April 2009 and July 2010 VA medical opinions obtained in this case are more than adequate, as they are predicated on a full reading of the service treatment records as well as the private and VA medical records contained in the Veteran's claims file. The examiner considered all of the pertinent evidence of record, to include the statements of the appellant, and provided a rationale for the opinions stated. Accordingly, the Board finds that VA's duty to assist with respect to obtaining a VA examination or opinion with respect to the issue on appeal has been met. 38 C.F.R. § 3.159(c)(4). VA has further assisted the Veteran and his representative throughout the course of this appeal by providing them with a SOC and SSOCs, which informed them of the laws and regulations relevant to the Veteran's claim. For these reasons, the Board concludes that VA has fulfilled the duty to assist the Veteran in this case. Law and Analysis Service connection may be established for disability resulting from personal injury suffered or disease contracted in line of duty in the active military, naval, or air service. 38 U.S.C.A. §§ 1110, 1131. That an injury or disease occurred in service is not enough; there must be chronic disability resulting from that injury or disease. If there is no showing of a resulting chronic condition during service, then a showing of continuity of symptomatology after service is required to support a finding of chronicity. 38 C.F.R. § 3.303(b). Service connection may also 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). Every veteran shall be taken to have been in sound condition when examined, accepted, and enrolled for service, except as to defects, infirmities, or disorders noted at the time of the examination, acceptance, and enrollment, or where clear and unmistakable evidence demonstrates that the injury or disease existed before acceptance and enrollment and was not aggravated by such service. 38 U.S.C.A. § 1111. History provided by the veteran of the preservice existence of conditions recorded at the time of the entrance examination does not, in itself, constitute a notation of a preexisting condition. 38 C.F.R. §§ 3.304(b)(1); Paulson v. Brown, 7 Vet. App. 466, 470 (1995); Crowe v. Brown, 7 Vet. App. 238, 246 (1995). To rebut the presumption of sound condition under section 1111 of the statute for disorders not noted on the entrance or enlistment examination, VA must show by clear and unmistakable evidence both that the disease or injury existed prior to service and that the disease or injury was not aggravated by service. VAOPGCPREC 3-2003 (July 16, 2003). Clear and unmistakable evidence is a more formidable evidentiary burden than the preponderance of the evidence standard. See Vanerson v. West, 12 Vet. App. 254, 258 (1999) (noting that "clear and convincing" burden of proof, while a higher standard than a preponderance of the evidence, is a lower burden to satisfy than clear and unmistakable evidence). It is an "onerous" evidentiary standard, requiring that the no- aggravation result be "undebatable." Cotant v. West, 17 Vet. App. 116, 131 (2003) (citing Laposky v. Brown, 4 Vet. App. 331, 334 (1993) (citing Akins v. Derwinski, 1 Vet. App. 228, 232 (1991)) and Vanerson, 12 Vet. App. at 258, 261; id. at 263 (Nebeker, C.J., concurring in part and dissenting in part). Concerning clear and unmistakable evidence that the disease or injury was not aggravated by service, the second step necessary to rebut the presumption of soundness, a lack of aggravation may be shown by establishing that there was no increase in disability during service or that any increase in disability was due to the natural progress of the preexisting condition. Wagner v. Principi, 370 F.3d 1089, 1096 (Fed. Cir. 2004); 38 U.S.C.A. § 1153. A presumption is an assumption of fact resulting from a rule of law which requires such fact to be assumed from another fact or group of facts found or otherwise established in the action. Black's Law Dictionary 1067 (5th ed. 1979). Therefore, where the presumption of sound condition at entrance to service cannot be rebutted, the fact for which the presumption stands--that is, that the veteran was in sound condition at entry to service as to the disability for which he seeks service connection--must be assumed as a matter of law. Accordingly, where the government fails to rebut the presumption of soundness under section 1111, the veteran's claim must be considered one for service incurrence or direct service connection. See Wagner, 370 F.3d at 1094, 1096 (indicating that, in cases where the presumption of soundness cannot be rebutted, the effect is that claims for service connection based on aggravation are converted into claims for service connection based on service incurrence). Where a preexisting disease or injury is noted on the entrance examination, section 1153 of the statute provides that "[a] preexisting injury or disease will be considered to have been aggravated by active military, naval, or air service, where there is an increase in disability during such service, unless there is a specific finding that the increase in disability is due to the natural progress of the disease." 38 U.S.C.A. § 1153; 38 C.F.R. § 3.306(a). For veterans who served during a period of war or after December 31, 1946, clear and unmistakable evidence is required to rebut the presumption of aggravation where the preservice disability underwent an increase in severity during service, and clear and unmistakable evidence includes medical facts and principles which may be considered to determine whether the increase is due to the natural progress of the condition. 38 C.F.R. § 3.306(b). Temporary or intermittent flare-ups of symptoms of a preexisting condition, alone, do not constitute sufficient evidence for a non-combat veteran to show increased disability for the purposes of determinations of service connection based on aggravation under section 1153 unless the underlying condition worsened. Davis v. Principi, 276 F. 3d 1341, 1346-47 (Fed. Cir. 2002); Hunt v. Derwinski, 1 Vet. App. 292, 297 (1991). 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 manifestations of the disability prior to, during and subsequent to service. 38 C.F.R. § 3.306(b). The usual effects of medical and surgical treatment in service, having the effect of ameliorating disease or other conditions incurred before enlistment, will not be considered service connected unless the disease or injury is otherwise aggravated by service. 38 C.F.R. § 3.306(b)(1). In considering the evidence of record under the laws and regulations as set forth above, the Board concludes that the Veteran is not entitled to service connection for a psychiatric disorder other than PTSD. At the outset, the Board notes that service connection for PTSD was previously denied, to include as being based on a personal assault. However, during the pendency of the appeal, the Board, in its October 2005 remand, conceded that the Veteran's statements included a claim for an acquired psychiatric disorder other than PTSD based on aggravation of a preexisting psychiatric disability. In this case, the presumption of soundness applies because a clinical evaluation at the time of the Veteran's enlistment did not find him to have any psychiatric abnormalities. However, as an initial matter, the Board finds that the Veteran did have a preexisting psychiatric disorder prior to entering service. In this regard, private medical records dated from December 1978 to August 1980 document him as having been diagnosed with an adjustment reaction prior to his military service. The December 1997 VA examiner also noted that the Veteran had seen a psychologist in 1979 and was assessed as having an adjustment disorder. It was noted that the Veteran had reported being molested as a child and that he had been charged with breaking into an automobile when he was stealing gas at age 15 or 16. Similarly, the Veteran told the June 2006 VA examiner that he had been molested two or three times by his father and that he had been in counseling for poor school work and skipping school. It was noted that he had been diagnosed with an adjustment disorder with partial resolution. An August 2006 private psychological evaluation also indicated that the Veteran had reported a childhood history of sexual abuse by his father and indicated that he had a breakdown at age 16. The August 2008 VA examiner further noted that the Veteran had a history of alcohol abuse prior to his military service. He commented that the alcohol abuse tended to mask his other symptoms of depression and bipolar disorder. In addition, the Veteran told the April 2009 VA examiner that he first began treatment for a mental breakdown in high school. He indicated that he could not stop crying at that time and attributed it to classmates bullying him about being sexually abused by his father from age 11 or 12 to age 15. He stated that he had seen a therapist from age 16 to approximately 6 months before he joined the Navy at age 18. The examiner also noted that the Veteran had seen his uncle's body following a suicide and that his mother had abandoned the family when he was a child. The examiner commented that the problems with alcohol began prior to the Veteran's period of service, as did the onset of recurrent depressive episodes, which was indicated by the Veteran's own self-report of seeing a psychologist while in high school. The same examiner submitted another opinion in July 2010 reiterating that the Veteran's problems with depression and alcohol clearly began prior to his military service. The Board finds the foregoing evidence to indicate that the Veteran had a psychiatric disorder that clearly and unmistakably existed prior to service. However, with respect to rebutting the presumption of soundness, as noted above, the Board's inquiry does not end with a determination that the Veteran had a psychiatric disorder that clearly and unmistakably preexisted service. The Board must also determine whether the preexisting disorder clearly and unmistakably was not aggravated during service. To make this determination, the Board must consider the Veteran's service treatment records as well as evidence developed after service. Temporary or intermittent flare-ups of symptoms of a preexisting condition, alone, do not constitute sufficient evidence for a non-combat veteran to show increased disability for the purposes of determinations of service connection based on aggravation under section 1153 unless the underlying condition worsened. Davis v. Principi, 276 F. 3d 1341, 1346-47 (Fed. Cir. 2002); Hunt v. Derwinski, 1 Vet. App. 292, 297 (1991). There must be permanent advancement of the underlying pathology. In this case, there is no evidence showing that the Veteran's psychiatric disorder actually underwent an increase in severity. His service treatment records do document treatment for alcohol abuse; however, there were no complaints, treatment, or diagnosis of any psychiatric disorder. In fact, it was noted that there had not been any suicide attempts in June 1982 when he was evaluated for his alcohol abuse. He was considered withdrawn in July 1982, but it was specifically noted that he was not overtly psychotic or depressed. Indeed, his October 1982 discharge examination did not find any psychiatric abnormalities. Thus, it does not appear that the Veteran's disorder was any worse than it was prior to service. In addition, there is no medical evidence showing that the Veteran sought treatment immediately following his period of service or for many years thereafter. The Board finds this gap in time significant, and it weighs against a finding that the Veteran's preexisting psychiatric disorder increased in severity during service and permanently worsened. Cf. Maxson v. Gober, 230 F.3d 1330, 1333 (Fed. Cir. 2000) (holding, in an aggravation context, that the Board may consider a prolonged period without medical complaint when deciding a claim). The Board observes that the December 1997 VA examiner later diagnosed the Veteran as having both PTSD and dysthymic disorder. As previously noted, the Veteran has been denied service connection for PTSD, and the issue currently before the Board is whether he has a psychiatric disorder other than PTSD that is related to his military service. However, the December 1997 VA examiner did not comment on the etiology of the dysthymic disorder. Instead, he focused on PTSD. Similarly, an August 2001 report from a private counselor discussed the Veteran's history and symptoms, but he did not address the actual diagnoses or etiology. The June 2006 VA examiner also assessed the Veteran as having PTSD with associated depression, but there was no discussion of whether he had a separate psychiatric diagnosis. The August 2008 VA examiner did later diagnose the Veteran with PTSD, major depressive disorder, bipolar disorder, and alcohol dependence that was in full remission. The examiner commented that it was more likely than not that the Veteran's mental disorders other than PTSD developed in service and have been present throughout his adult life. He believed that the disorders had been partially masked by the Veteran excessive alcohol use. However, as previously noted in the February 2009 remand, the August 2008 VA examiner did not provide a rationale for his opinion, nor did he cite to pertinent evidence in the record in support of his conclusion. The United States Court of Appeals for Veterans Claims (Court) has held that the rules on expert witness testimony delineated in the Federal Rules of Evidence provide "important, guiding factors to be used by the Board in evaluating the probative value of medical opinion evidence." Nieves-Rodriguez v. Peake, 22 Vet. App. 295, 302 (2008). These factors are: 1) the testimony is based upon sufficient facts or data; (2) the testimony is the product of reliable principles and methods; and, (3) the expert witness has applied the principles and methods reliably to the facts of the case. In other words, most of the probative value of a medical opinion comes from its reasoning. A medical opinion is not entitled to any weight "if it contains only data and conclusions." Nieves-Rodriguez, 22 Vet. App. at 304. In light of the examiner's failure to provide a rationale for his conclusions or otherwise cite to pertinent evidence in the claims folder, the Board finds that the August 2008 VA examination report is of little probative value. See also Bloom v. West, 12 Vet. App. 185, 187 (1999) (the probative value of a physician's statement is dependent, in part, upon the extent to which it reflects "clinical data or other rationale to support his opinion"); Swann v. Brown, 5 Vet. App. 229, 233 (1993) (generally observing that a medical opinion premised upon an unsubstantiated account is of no probative value). Moreover, the August 2008 VA examiner did not address whether the preexisting disorder was aggravated by the Veteran's military service. The April 2009 VA examiner also assessed the Veteran as having major depression and alcohol dependence that was in full remission. She stated that there was no evidence of bipolar disorder on examination and that no other mental disorders were found. The examiner opined that major depression was not at least as likely as not causally related to his active service or any incident therein. In so doing, she noted that the Veteran had reported a number of pre-military stressors and that the onset of recurrent depressive episodes had occurred prior to his military service. In a July 2010 opinion, the same examiner specifically opined that the Veteran's preexisting psychiatric disorder was less likely than not aggravated or worsened during his military service. She stated that his problems with alcohol and depression clearly began prior to service and indicated that there was no evidence to substantiate a claim that incidents in service caused or aggravated his problems with alcohol and depression. Based on the foregoing, the Board finds that the probative evidence does not show that the Veteran's preexisting psychiatric disorder underwent an increase in severity. There was no evidence of any worsening in his service treatment records. Moreover, the April 2009 VA examiner was the only medical professional to address the issue of aggravation, and in July 2010, she stated that the disorder was not aggravated by the Veteran's military service. Therefore, the Board finds that there is clear and unmistakable evidence establishing that the Veteran had a preexisting psychiatric disorder other than PTSD that did not chronically worsen or increase in severity during his period of service. Accordingly, the Board concludes that the disorder was not aggravated by service. 38 C.F.R. § 3.306(b) (aggravation may not be conceded where the disability underwent no increase in severity during service). Thus, the presumption of soundness is rebutted. 38 U.S.C.A. § 1111. See also VAOPGCPREC 03-2003 (July 16, 2003). The Board further finds that a discussion of whether the presumption of aggravation has been rebutted in this case under the provisions of 38 U.S.C.A. § 1153 and 38 C.F.R. § 3.306(b) is unnecessary as the Board has found by clear and unmistakable evidence that the Veteran's preexisting psychiatric disorder other than PTSD was not aggravated by service in order to conclude that there was a preexisting disorder. VA's General Counsel found that such a finding would necessarily be sufficient to rebut the presumption of aggravation under 38 U.S.C.A. § 1153 and 38 C.F.R. § 3.306(b). Id. Accordingly, the Board concludes that service connection for a psychiatric disorder other than PTSD is not warranted. ORDER Service connection for a psychiatric disorder other than PTSD is denied. ____________________________________________ KATHLEEN K. GALLAGHER Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs