Citation Nr: 1029659 Decision Date: 08/06/10 Archive Date: 08/16/10 DOCKET NO. 06-00 879 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Cleveland, Ohio THE ISSUE Entitlement to service connection for a chronic respiratory disorder, to include as a result of in-service asbestos exposure. REPRESENTATION Appellant represented by: Disabled American Veterans ATTORNEY FOR THE BOARD T. Y. Hawkins, Associate Counsel INTRODUCTION The Veteran served on active duty from July 1943 to February 1946, and from October 1950 to June 1951. This matter comes to the Board of Veterans' Appeals ("Board") on appeal from a July 2005 rating decision issued by the Department of Veterans Affairs ("VA") Regional Office ("RO") in Cleveland, Ohio, which denied the Veteran's claim of entitlement to service connection for pulmonary fibrosis, claimed as a result of in-service asbestos exposure. In November 2008, the Board denied the Veteran's claim. In May 2009, pursuant to a Joint Motion for Remand ("Joint Motion") filed by the VA Office of General Counsel and the appellant's representative, the United States Court of Appeals for Veterans Claims ("Court") vacated the Board's November 2008 decision with respect to the aforementioned issue, and remanded the issue to the Board for compliance with the instructions contained in the Joint Motion. In October 2009, the Board remanded the Veteran's claim for further development, specifically to obtain additional medical treatment records and a VA examination and opinion concerning whether the Veteran's claimed disorder was related to service. In April 2010, the VA Appeals Management Center issued a Supplemental Statement of the Case, in which it continued to deny the Veteran's claim. The claims folder has been returned to the Board for further appellate proceedings. The Board notes that, although the Veteran's claim has previously been adjudicated as a claim of entitlement to service connection for pulmonary fibrosis, based on clinical findings during the most recent VA examination, the Board has recharacterized the Veteran's claim as one of entitlement to service connection for a chronic respiratory disorder. As such, the issue has been broadened to encompass all theories of entitlement. The Veteran's case has been advanced on the Board's docket in accordance with 38 C.F.R. § 20.900(c) (2009). FINDING OF FACT The probative evidence of record is against finding that the Veteran has a chronic respiratory disorder that is related to military service, to include as a result of in-service asbestos exposure. CONCLUSION OF LAW A chronic respiratory disorder was neither incurred in nor aggravated by active duty service. 38 U.S.C.A. §§ 1110, 1153, 5103, 5103A, 5107 (West 2002 & Supp. 2009); 38 C.F.R. §§ 3.159, 3.303, 3.304 (2009). REASONS AND BASES FOR FINDING AND CONCLUSION I. Veterans Claims Assistance Act of 2000 ("VCAA") With respect to the Veteran's claim, VA has met all statutory and regulatory notice and duty to assist provisions. See 38 U.S.C.A. §§ 5100, 5102, 5103, 5103A, 5106, 5107, 5126 (West 2002 & Supp. 2009); 38 C.F.R. §§ 3.102, 3.156(a), 3.159, 3.326 (2009). a.) Duty to Notify Under the VCAA, when VA receives a complete or substantially complete application for benefits, it is required to notify the claimant and his or her representative, if any, of any information and medical or lay evidence that is necessary to substantiate the claim. 38 U.S.C.A. § 5103(a) (West 2002); 38 C.F.R. § 3.159(b) ( 2009); Quartuccio v. Principi, 16 Vet. App. 183 (2002). In Pelegrini v. Principi, 18 Vet. App. 112, 120-21 (2004) ("Pelegrini II"), the 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) request that the claimant provide any evidence in his or her possession that pertains to the claim. Element (4), however, (regarding the requirement of requesting that the claimant provide any evidence in his possession that pertains to the claim), was eliminated by the Secretary during the course of this appeal. See 73 Fed. Reg. 23353 (final rule eliminating fourth element notice as required under Pelegrini, effective May 30, 2008). The VCAA notice requirements apply to all five elements of a service connection claim. These are: (1) veteran status; (2) existence of a disability; (3) a connection between a veteran's service and the disability; (4) degree of disability; and (5) effective date of the disability. See Dingess/Hartman v. Nicholson, 19 Vet. App. 473 (2006), aff'd, Hartman v. Nicholson, 483 F.3d 1311 (Fed. Cir. 2007). Of particular importance, in Dingess/Hartman, the Court held that the VCAA notice must include notice that a disability rating and an effective date of the award of benefits will be assigned if service connection was awarded. VA essentially satisfied the notification requirements of the VCAA by means of an April 2005 letter. The Veteran was informed of the types of evidence needed in order to substantiate his claim of entitlement to service connection, the division of responsibility between the appellant and VA for obtaining the required evidence, and was asked to provide any information or evidence in his possession that pertained to such claim. 38 U.S.C.A. §5103(a); 38 C.F.R. § 3.159(b). The Board notes that a subsequent VCAA letter, dated March 2006, also satisfied the requirements of Dingess and informed the Veteran of how VA determines the disability rating and effective date elements of a claim. b.) Duty to Assist The Board concludes that VA's duty to assist has been satisfied. The claims folder contains the Veteran's service treatment records, post-service VA and private treatment records, and VA examination reports dated July 2007 and March 2010. Additionally, the claims file contains the Veteran's statements in support of his claim. The Veteran has not referenced any outstanding records that he wanted VA to obtain or that he felt were relevant to his claim that have not already been associated with the claims folder. As will be discussed in greater detail below, during the July 2007 VA examination, there was no clinical evidence that the Veteran had pulmonary fibrosis. As a result, his claim was remanded by the Board and, in March 2010, he was afforded a second examination and opinion as to his claimed disorder. A review of the March 2010 examination report shows that, in arriving at her conclusion that, although the Veteran had a chronic respiratory disorder, it was not related to service, the examiner reviewed the complete claims folder, including the Veteran's relevant service and post-service treatment records, as well as the July 2007 VA examination report, elicited from the Veteran his history of respiratory complaints and treatment, reviewed diagnostic test results and conducted a thorough physical examination. Accordingly, the Board concludes that this examination report is adequate upon which to base a decision in this case. In short, the Board has carefully considered the provisions of the VCAA in light of the record on appeal and, for the reasons expressed above, finds that the development of the claim has been consistent with the provisions of the VCAA. The appellant has been provided every opportunity to submit evidence and argument in support of his claim and to respond to the VCAA notice. The purpose behind the notice requirement has been satisfied because the appellant has been afforded a meaningful opportunity to participate effectively in the processing of his appealed claim. Accordingly, the Board will proceed to a decision on the merits. II. Applicable Laws and Regulations The Board has thoroughly reviewed all of the evidence in the Veteran's claims folder. Although the Board has an obligation to provide reasons and bases supporting this decision, there is no need to discuss, in detail, the evidence submitted by the Veteran or on his behalf. See Gonzales v. West, 218 F.3d 1378, 1380-81 (Fed. Cir. 2000) (the Board must review the entire record, but does not have to discuss each piece of evidence). The analysis below focuses on the most salient and relevant evidence and on what this evidence shows, or fails to show, on the claim. The Veteran must not assume that the Board has overlooked pieces of evidence that are not explicitly discussed herein. See Timberlake v. Gober, 14 Vet. App. 122 (2000) (the law requires only that the Board address its reasons for rejecting evidence favorable to the Veteran). The Board must assess the credibility and weight of all evidence, including the medical evidence, to determine its probative value, accounting for evidence which it finds to be persuasive or unpersuasive, and providing reasons for rejecting any evidence favorable to the claimant. Equal weight is not accorded to each piece of evidence contained in the record; every item of evidence does not have the same probative value. When all the evidence is assembled, VA is responsible for determining whether the evidence supports the claim or is in relative equipoise, with the Veteran prevailing in either event, or whether a preponderance of the evidence is against the claim, in which case, the claim is denied. See Gilbert v. Derwinski, 1 Vet. App. 49 (1990). Under 38 U.S.C.A. § 1154(a), VA is also required to give "due consideration" to "all pertinent medical and lay evidence" in evaluating a claim for disability or death benefits. In Jandreau v. Nicholson, 492 F.3d 1372, 1377 (Fed. Cir. 2007), the United States Court of Appeals for the Federal Circuit ("Federal Circuit") held that "[l]ay evidence can be competent and sufficient to establish a diagnosis of a condition when (1) a layperson is competent to identify the medical condition, (2) the layperson is reporting a contemporaneous medical diagnosis, or (3), lay testimony describing symptoms at the time supports a later diagnosis by a medical professional." (footnote omitted). However, the Court has held that "[t]he type of evidence that will suffice to demonstrate entitlement to service connection, and the determination of whether lay evidence may be competent to satisfy any necessary evidentiary hurdles, depends on the type of disability claimed." Barr v. Nicholson, 21 Vet. App. 303, 308 (2007). In order to establish a right to compensation for a present disability, a veteran must show: "(1) the existence of a present disability; (2) the in-service incurrence or aggravation of a disease or injury; and (3) a causal relationship between the present disability and the disease or injury incurred or aggravated during service"- the so-called "nexus" requirement. Shedden v. Principi, 381 F.3d 1163, 1167 (Fed. Cir. 2004). Alternatively, under 38 C.F.R. § 3.303(b), service connection may be awarded for a "chronic" condition when (1) a chronic disease manifests itself and is identified as such in service, or within the presumptive period under 38 C.F.R. § 3.307, and the veteran presently has the same condition; or (2) a disease manifests itself during service, or during the presumptive period, but is not identified until later, and there is a showing of continuity of related symptomatology after discharge, and medical evidence relates that symptomatology to the Veteran's present condition. Savage v. Gober, 10 Vet. App. 488, 495-98 (1997). III. Factual Analysis The Veteran contends that he currently suffers from a chronic respiratory disorder as a result of asbestos exposure during active duty service. Specifically, he claims that, while serving on naval ships as a gunner's mate, he was exposed to asbestos while sleeping under asbestos-wrapped pipes and through the wearing of asbestos gloves and an asbestos suit while working in fire control. As an initial matter, the Board notes that 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. VA has, however, 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. The VA Veteran's Benefits Administration Manual M21-1 ("VBA Manual M21-1"), Part VI, Chapter 7, Subchapter IV, § 7.21 (October 3, 1997) provides that inhalation of asbestos fibers can produce fibrosis and tumors, 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. See VBA Manual M21-1, Part VI, Subchapter IV, § 7.21(a). The applicable section of M21-1 also notes that some of the major occupations involving exposure to asbestos include mining, milling, work in shipyards, carpentry and construction, manufacture and servicing of friction products, such as clutch facings and brake linings, manufacture and installation of roofing and flooring materials, asbestos cement and pipe products, military equipment, etc. 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 the attention of the medical community 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 the fact that the exposure to asbestos may be brief (as little as a month or two) or indirect (bystander disease). See VBA Manual M21-1, Part VI, Chapter 7, Subchapter IV, § 7.21 (b). In Dyment v. West, 13 Vet. App. 141, 145 (1999), however, the Court found that provisions in former section 7.68 (predecessor to § 7.21) of VBA Manual M21-1, Part VI, did not create a presumption of exposure to asbestos in such persons. Accordingly, medical-nexus evidence is required in claims for asbestos-related diseases related to alleged asbestos exposure in service. See VAOGCPPREC 04-00. The clinical diagnosis of asbestosis requires a history of exposure and radiographic evidence of parenchymal lung disease. Symptoms and signs may include dyspnea on exertion and end- respiratory rales over the lower lobes. Clubbing of the fingers occurs at late stages of the disease. Pulmonary function impairment and cor pulmonale can be demonstrated by instrumental methods. Compensatory emphysema may also be evident. See VBA Manual M21-1, Part VI, § 7.21(c). The Board will first address the issue of whether the Veteran had a probable exposure to asbestos, or an incurrence or aggravation of a respiratory disorder in service. In this regard, the Board notes that the Veteran's service treatment records are negative for any complaints of, treatment for, or a diagnosis of a chronic respiratory disorder during service. Review of his service personnel records indicates that, while his military occupational specialty (MOS) was that of a Gunner's Mate, the majority of his time in service was spend as an armed guard. There is also no evidence in these records to substantiate the Veteran's claim that he was exposed to asbestos by sleeping under asbestos-wrapped pipes or through the wearing of asbestos suits or gloves. Rather, these reports indicate that his asbestos exposure would have been minimal. The claims folder reveals that, following service, the Veteran neither sought treatment for, nor was diagnosed with a respiratory disorder until approximately April 1986, when he was seen by Dr. J. Kreindler for complaints of wheezing. He was diagnosed with allergic rhinitis and bronchial asthma. In February 1992, he sought treatment again from Dr. Kreindler for complaints of increasing shortness of breath, at which time, he was diagnosed with asthma. Of record are VA Medical Center ("VAMC") treatment records dated October 1995 to March 2005, which show that he was seen for complaints of shortness of breath and wheezing. Chest x-rays from October 1995 and August 1999 revealed essentially normal findings. A pulmonary function test ("PFT") performed in December 2001 showed minimal changes of pulmonary fibrosis. In May 2002, the Veteran was afforded a high resolution chest CT scan at a private hospital for complaints of shortness of breath and asbestos exposure. Although a few small linear shadows were present in the subpleural distribution, the airways were noted as normal. The results showed minimal changes of pulmonary fibrosis. In March 2005, pursuant to his initial claim of entitlement to service connection, the Veteran submitted a letter from Dr. F. Dumont, dated March 2005, in which Dr. Dumont stated that radiographs confirmed the diagnosis of pulmonary fibrosis, and the Veteran's prior exposure during service as a Gunner's Mate had contributed to his condition. However, Dr. Dumont neither provided a basis for his conclusion, nor submitted any treatment reports or diagnostic test results to support his statement. In July 2007, the Veteran was afforded a VA respiratory examination. He told the examiner that he first began to experience problems with shortness of breath and wheezing in 1951 after separation from service. He said that, following service, he was employed as a letter carrier and had no occupational asbestos exposure. He also reported that he had had a history of smoking two packs of cigarettes per day for more than 20 years prior to quitting in 1969. A review of the then-current treatment records showed that he used a daily inhaled bronchodilator. A high resolution CT scan revealed mild air trapping consistent with small airways disease. However, there was no evidence of interstitial lung disease, asbestos pleural plaque or asbestosis. Based on her review of the complete claims folder, as well as a complete physical examination and review of diagnostic test results, the examiner concluded that there was no objective evidence to support a diagnosis of pulmonary fibrosis. She further opined that it was less likely than not that the Veteran's claimed condition of pulmonary fibrosis was a result of asbestos exposure in service. She explained that, in order to diagnose asbestosis, one must determine the presence of pulmonary fibrosis and determine whether the exposure has occurred with duration and intensity sufficient to put the person at risk for the disease. She noted that, according to the Veteran's service records, he was an armed guard and Gunner's Mate, and that the service records indicated that the asbestos exposure in these positions was minimal. She further noted that, although a PFT performed in conjunction with the VA examination indicated a restrictive component, it was mild and the findings could be associated with other causes. In March 2010, the Veteran was afforded a second VA respiratory examination. The examiner noted that there was no history of restrictive disease and no condition underlying a restrictive disease. A PFT revealed no evidence for an obstructive lung defect, although it was noted that there was significant response to a bronchodilator, as might be seen in a reversible airways disease, such as asthma. The VA examiner diagnosed the Veteran with asthma with minimal evidence for pulmonary fibrosis, but no evidence of asbestosis. However, she opined that these disorders were neither caused by, nor were a result of exposure to asbestos, as the Veteran only had minimal exposure to this substance during service. IV. Conclusion It is the responsibility of the Board to weigh the evidence, including the medical evidence, to determine where to give credit and where to withhold the same, and in so doing, the Board may accept one medical opinion and reject others. Evans v. West, 12 Vet. App. 22, 30 (1998), citing Owens v. Brown, 7 Vet. App. 429, 433 (1995). The Board is mindful that it cannot make its own independent medical determinations, and that it must have plausible reasons, based upon medical evidence in the record, for favoring one medical opinion over another. Evans v. West; see also Rucker v. Brown, 10 Vet. App. 67, 74 (1997), citing Colvin v. Derwinski, 1 Vet. App. 171 (1991). Thus, the weight to be accorded the various items of evidence in this case must be determined by the quality of the evidence, and not necessarily by its quantity or source. Based on a review of the complete evidence, the Board concludes that the probative evidence of record weighs against the Veteran's claim of entitlement to service connection for a chronic respiratory disorder, to include as a result of asbestos exposure in service. In this instance, two VA examiners reviewed the Veteran's service treatment and personnel records and found that, despite his claims of having been exposed to asbestos during service, these reports revealed that he had experienced only minimal asbestos exposure. The examiners provided thorough, well-reasoned opinions based on medical literature that fully explained the reasons and bases for their conclusions. Although both examiners considered the Veteran's personal statements concerning his reports of having been exposed to asbestos during service, they nonetheless concluded that his disorder was not related to service. In addition to the opinions of the VA examiners, the Board has also considered the March 2005 statement from Dr. Dumont, who opined that the Veteran had pulmonary fibrosis confirmed by radiographs, and that his prior exposure during service as a Gunner's Mate had contributed to his condition. In this regard, the Board notes that whether a physician provides a basis for his or her medical opinion goes to the weight or credibility of the evidence in the adjudication of the merits. See Hernandez-Toyens v. West, 11 Vet. App. 379, 382 (1998). Other factors for assessing the probative value of a medical opinion are the physician's access to the claims folder and the thoroughness and detail of the opinion. See Prejean v. West, 13 Vet. App. 444, 448-49 (2000). The weight of a medical opinion is diminished where that opinion is ambivalent, based on an inaccurate factual premise, based on an examination of limited scope, or where the basis for the opinion is not stated. See Reonal v. Brown, 5 Vet. App. 458, 461 (1993); Sklar v. Brown, 5 Vet. App. 140 (1993); Guerrieri v. Brown, 4 Vet. App. 467, 470-71 (1993). In this case, the Board finds no basis for either Dr. Dumont's conclusion that the Veteran had pulmonary fibrosis, or that it was due to asbestos exposure during service. As noted above, despite his statement, Dr. Dumont failed to provide a basis for his opinion, or to submit the medical treatment records that he purportedly relied upon in arriving at his conclusion. Although the Board remanded the Veteran's claim in order to obtain such records, the only records Dr. Dumont provided were the results of a CT scan and a PFT, dated 2002 and 2004 respectively, which revealed essentially normal findings. These reports showed findings that were inconsistent with his opinion stated in his letter. In addition, the Board notes that while professional medical opinions must be considered, the Board is not bound to accept the opinions of physicians whose diagnoses or opinions are based on a medical history provided by a veteran. See LeShore v. Brown, 8 Vet. App. 406, 409 (1995) (the mere transcription of a claimant's statements regarding medical history does not transform the information into competent medical evidence merely because the transcriber happens to be a medical professional). In this case, there is no evidence that Dr. Dumont ever reviewed the Veteran's service treatment or personnel records, which, as noted, show that his in-service asbestos exposure would have been minimal. As such, the Board finds that his opinion, apparently based primarily on the Veteran's description of his service history, to be of no probative value. It should also be noted that following his military service, the first evidence of record that the Veteran sought treatment or was diagnosed with a respiratory disorder was in 1986, some 35 years after service. A prolonged period without medical complaint can be considered, along with other factors concerning a claimant's health and medical treatment during and after military service, as evidence of whether an injury or a disease was incurred in service which resulted in any chronic or persistent disability. See Maxson v. Gober, 230 F.3d 1330, 1333 (Fed. Cir. 2000). The amount of time that passed between service and the first treatment or documented complaint of record of a respiratory disorder is evidence that weighs against the Veteran's claim. In addition to the medical evidence, the Board has also considered the Veteran's claims that asbestos exposure caused his current respiratory disorder. In this regard, the Board is cognizant that the Court has repeatedly held that a veteran is competent to describe symptoms of which he or she has first-hand knowledge. See Charles v. Principi, 16 Vet. App. 370, 374-75 (2002). The Board finds shortness of breath and wheezing to be the type of symptoms that the Veteran is competent to describe. See Barr v Nicholson, 21 Vet. App. 303 (2007); see also Falzone v. Brown, 8 Vet. App. 398, 405 (1995). As such, his assertions are entitled to some probative weight. See Washington v. Nicholson, 19 Vet. App. 362, 368 (2005). However, the Court has also held that a lay person is not competent to offer an opinion on a matter clearly requiring medical expertise, such as linking shortness of breath or asthma to minimal asbestos exposure some 50 years ago. See Jandreau v. Nicholson, 492 F.3d 1372 (Fed. Cir. 2007) (explaining in footnote 4 that a veteran is competent to provide a diagnosis of a simple condition such as a broken leg, but not competent to provide evidence as to more complex medical questions). As a result, his assertions do not constitute competent medical evidence that his current respiratory disorder is the result of service. Instead, for the reasons expressed above, the Board finds the opinions of the VA examiners to be the most probative evidence of record with regard to the relationship between the Veteran's current respiratory disorder and service, and ultimately outweighs his claims concerning asbestos exposure during service. Finally, the Board notes in passing that the medical evidence shows that the Veteran had a previous history of smoking two packs of cigarettes per day for more than 20 years. Although the Veteran has not specifically asserted that his current respiratory disorder is the result of smoking (nor was this history cited by either of the VA examiners as the cause of his current respiratory condition), VA regulations mandate (for claims received by VA after June 9, 1998) that a disability will not be considered service connected on the basis that it resulted from injury or disease attributable to a veteran's use of tobacco products during service. See 38 U.S.C.A. § 1103 (West 2002); 38 C.F.R. § 3.300(a) (2009). Accordingly, the Board concludes that the competent evidence of record is against the Veteran's claim of entitlement to service connection for a respiratory disorder, to include as a result of asbestos exposure in service. In arriving at the decision to deny the claim, the Board has considered the applicability of the benefit-of-the-doubt rule enunciated in 38 U.S.C.A. § 5107(b). However, as there is not an approximate balance of evidence, that rule is not applicable in this case. See generally Gilbert, supra; Ortiz v. Principi, 274 F.3d 1361 (Fed. Cir. 2001). ORDER Entitlement to service connection for a chronic respiratory disorder, to include as a result of in-service asbestos exposure, is denied. ____________________________________________ BARBARA B. COPELAND Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs