Citation NR: 9734673 Decision Date: 10/14/97 Archive Date: 10/16/97 DOCKET NO. 96-16 130 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Denver, Colorado THE ISSUES 1. Whether new and material evidence has been submitted in order to reopen a claim for service connection for post- traumatic stress disorder (PTSD). 2. Entitlement to service connection for an acquired psychiatric disorder, characterized as dysthymic disorder. REPRESENTATION Appellant represented by: Disabled American Veterans WITNESS AT HEARING ON APPEAL Appellant ATTORNEY FOR THE BOARD Daniel G. Krasnegor, Associate Counsel INTRODUCTION The veteran served on active duty from July 1966 to January 1970. The claims file contains a October 1991 Regional Office (RO) decision wherein entitlement to service connection for PTSD was denied. This matter comes before the Board of Veterans’ Appeals (Board) on appeal of a May 1992 rating determination by the Department of Veterans Affairs (VA) RO. In addition to denying entitlement to service connection for dysthymia, the March 1992 decision again denied entitlement to service connection for PTSD. In a recent decision, the United States Court of Appeals for the Federal Circuit held that the Board does not have jurisdiction to consider a claim which is previously adjudicated unless new and material evidence has been submitted. The Federal Circuit determined that as a preliminary matter, the Board must therefore determine whether new and material evidence has been submitted before proceeding to decide a case on the merits. Determinations made by the regional office as to newness and materiality are not deemed relevant. Barnett v. Brown 83 F.3d 1380 (Fed.Cir. 1996). In this regard, the record shows clearly that the RO adjudicated the PTSD service connection claim for the first time in March 1991, and subsequently in October 1991, and the veteran's notice of disagreement was not received until March 1993. The filing of additional evidence after October 1991 does not serve to extend the time for initiating or completing an appeal from that determination, 38 C.F.R. § 20.304 (1996). As such, and pursuant to Barnett, the Board must therefore adjudicate the question of whether new and material evidence has been submitted in order to reopen a claim for service connection for PTSD as a preliminary matter. The issue on the title page has been adjusted accordingly. These matters were previously before the Board in June 1995, and April 1996, at which time they were remanded for additional evidentiary development, and so as to afford the veteran a requested hearing. In May 1997, the veteran completed an application for VA benefits, claiming entitlement to non-service-connected pension benefits. During a hearing before the undersigned Board member, the veteran's representative raised a claim for entitlement to service connection for dysthymic disorder as secondary to PTSD. These issues have been neither prepared nor certified for appellate review and are referred to the RO for appropriate action. Entitlement to service connection for PTSD on a direct basis will be addressed in the remand portion of this decision. CONTENTIONS OF APPELLANT ON APPEAL The veteran maintains that he suffers from PTSD and dysthymic disorder as a result of service. DECISION OF THE BOARD The Board of Veterans’ Appeals (Board), in accordance with the provisions of 38 U.S.C.A. § 7104 (West 1991 & Supp. 1997), has reviewed and considered all of the evidence and material of record in the veteran's claims file. Based on its review of the relevant evidence in this matter, and for the following reasons and bases, it is the decision of the Board that new and material evidence has been submitted to reopen a claim for PTSD. It is also the decision of the Board that the claim for service connection for a psychiatric disorder, claimed as dysthymic disorder, is not well grounded. FINDINGS OF FACT 1. In a October 1991 decision, the RO denied entitlement to service connection for PTSD. 2. Additional evidence submitted since the October 1991 RO decision shows a diagnosis of PTSD rendered during VA hospitalization. 3. The additional evidence submitted since the October 1991 RO decision, consisting of VA hospital records, is new, probative of the issue at hand, and when reviewed in light of all the evidence of record, both new and old, raises a reasonable possibility of changing the prior outcome. 4. The claim for service connection for an acquired psychiatric disorder, characterized as dysthymic disorder, is not supported by cognizable evidence showing that the claim is plausible or capable of substantiation. CONCLUSIONS OF LAW 1. Evidence received since the RO denied entitlement to service connection for PTSD in July 1991, is new and material, and the veteran's claim for that benefit has been reopened. 38 U.S.C.A. §§ 5107, 5108 (West 1991 & Supp. 1997); 38 C.F.R. §§ 3.156(a) (1996), 19.192 (1991). 2. The claim for service connection for an acquired psychiatric disorder, claimed as dysthymic disorder, is not well grounded. 38 U.S.C.A. § 5107(a). REASONS AND BASES FOR FINDINGS AND CONCLUSIONS Factual Background a. PTSD New and Material The evidence of record at the time of the October 1991 RO decision will be summarized below. Service medical records showed no treatment for or diagnosis of PTSD. At separation in January 1970, the veteran's psychiatric condition was evaluated as normal. Of record was a January 1991 VA examination report, indicating that there was insufficient clinical evidence to warrant a diagnosis of acute, delayed, or chronic PTSD. VA out-patient treatment records and hospital records were received in April 1991. Those records show that the veteran was seen for a PTSD evaluation in September 1990, at a VA medical facility, to determine the usefulness of treatment for that disorder. It was concluded that he might benefit from PTSD treatment. In a July 1991 statement, the veteran reported events which he claimed were stressors leading to PTSD. The additional evidence which has been submitted since the October 1991 RO decision will be summarized below. March 1992 VA hospital records show that the veteran was diagnosed with cocaine abuse, in remission, and dysthymic disorder. The hospital summary indicated that it was felt that a stress disorder of the kind needing specific trauma therapy was not present. Received in April 1995 was a report of treatment from the National Center for Posttraumatic Stress Disorder at the Palo Alto, California VA Medical Center (MC) covering the period from January 1992 to February 1992. That report contains a diagnosis of PTSD. In August 1995, additional VA out-patient treatment records were received, including an October 1990 report in which the veteran was described as having had a long history of PTSD, and a July 1991 report in which he was diagnosed with PTSD. In June 1997, the veteran presented testimony at a personal hearing before the undersigned Board member. b. Psychiatric disorder characterized as dysthymic disorder Service medical records demonstrate that at entry into service, in January 1966, the veteran reported a history of depression or excessive worry, and of nervous trouble. His psychiatric condition was evaluated as normal. In August 1967, records show that the veteran requested to speak with a psychiatrist about his personal problems. It was noted that he had asked to see a psychiatrist because his aunt told him to since she thought he worried too much. At examination, the veteran reported that he had a difficult time thinking and concentrating, and that he was nervous and lacked confidence, mainly because he wasn’t doing what he had come to the service for, namely learning a trade and going to school. The veteran was described as immature and narcissistic, and was diagnosed with an immature personality with passive aggressive personality. The veteran's psychiatric condition was evaluated as normal at his separation examination in January 1970. In January 1991, the veteran was afforded a VA psychiatric examination. On examination, the veteran was noted to have a somewhat depressed affect. He also appeared to be angry at times. He was diagnosed with a personality disorder, not otherwise specified alcohol abuse and cocaine abuse and dependence. The veteran was diagnosed with recurrent moderate major depression on during VA hospitalization in January and February 1992. Of record are VA hospitalization records from March 1992, evidencing a diagnosis of dysthymic disorder. Additional VA records received in August 1995, and covering the period from 1990 to 1991 evidence treatment for substance abuse and PTSD. At a personal hearing in June 1997 before the undersigned Board member, the veteran indicated that he was then in treatment for depression and anxiety. Analysis a. PTSD New and Material The United States Court of Veterans Appeals (Court) has held that there is a statutory duty to assist the veteran applying to reopen a claim where the evidence before the Board raises sufficient notice of pertinent records which may constitute new and material evidence sufficient to justify reopening. Ivey v. Derwinski, 2 Vet. App. 320 (1992). The Board is satisfied that VA has met its duty to assist the veteran in the development of evidence pertinent to his claim pursuant to 38 U.S.C.A. § 5107. The Board has reviewed the evidence submitted since the October 1991 decision by the RO and has determined that this additional evidence is both new and material. Accordingly, the veteran's claim is reopened. Following notification of an initial review and determination by the RO, a notice of disagreement must be filed within one year from the date of mailing of notification, followed by a timely substantive appeal; otherwise, the determination becomes final and is not subject to revision absent new and material evidence. 38 U.S.C. § 4005(c) (1988); 38 C.F.R. § 19.192 (1990). If new and material evidence is presented or secured with respect to a claim which has been disallowed, the Secretary shall reopen the claim and review the former disposition of the claim. 38 U.S.C.A. § 5108. New and material evidence means evidence not previously submitted to agency decision makers which bears directly and substantially upon the specific matter under consideration, which is neither cumulative nor redundant, and which by itself or in connection with evidence previously assembled is so significant that it must be considered in order to fairly decide the merits of the claim. 38 C.F.R. § 3.156(a). “New” evidence is that which is not merely cumulative of other evidence of record. “Material” evidence is that which is relevant to and probative of the issue at hand and which must be of sufficient weight or significance (assuming its credibility) that there is a reasonable possibility that the new evidence when viewed in the context of all the evidence, both new and old, would change the prior outcome. Cox v. Brown, 5 Vet. App. 95 (1993). The evidence submitted since October 1991 includes VA medical records showing that the veteran has been diagnosed with PTSD. No such diagnosis was of record at the time of the October 1991 denial. As the evidence of record at the time of the October 1991 denial did not contain a diagnosis of PTSD, the Board concludes that the recently submitted evidence is clearly “new.” Further, as the diagnosis of PTSD as a result of service raises a reasonable possibility of changing the outcome of the prior denial, the evidence is also material, Marcoux v. Brown, 10 Vet. App. 3 (1996). The newly submitted evidence is therefore found to be probative of the issue at hand, and is both “new” and “material.” Evans v. Brown, 9 Vet. App. 273 (1996). As the Board found above, new and material evidence has been submitted to reopen the previously denied claim of entitlement to service connection for PTSD; accordingly, the claimant’s appeal must be reopened. 38 C.F.R. § 3.156(a). b. Psychiatric disorder characterized as dysthymic disorder Section 5107 of Title 38, United States Code unequivocally places an initial burden upon the claimant to produce evidence that his claim is well grounded; that is, that his claim is plausible. See Grivois v. Brown, 6 Vet. App. 136, 139 (1994); see Grottveit v. Brown , 5 Vet. App. 91, 92 (1993). Because the veteran has failed to meet this burden, the Board finds that his claim for service connection for an acquired psychiatric disorder, characterized as dysthymic disorder, is not well grounded and should be denied. Where the determinative issue involves a question of medical diagnosis or medical causation, competent medical evidence to the effect that the claim is plausible or possible is required. See Murphy v. Derwinski, 1 Vet. App. 78, 81 (1990). The claimant does not meet this burden by merely presenting his lay opinion because he is not a medical health professional and does not constitute competent medical authority. See Espiritu v. Derwinski, 2 Vet. App. 492 (1992). Consequently, his lay assertions cannot constitute cognizable evidence, and as cognizable evidence is necessary for a well grounded claim, see Tirpak v. Derwinski, 2 Vet. App. 609, 611 (1992), the absence of cognizable evidence renders a veteran's claim not well grounded. In order for a claim to be well grounded, there must be competent evidence of current disability (a medical diagnosis), of incurrence or aggravation of a disease or injury in service (lay or medical evidence), and of a nexus between the in-service injury or disease and the current disability (medical evidence.) Caluza v. Brown, 7 Vet. App. 498, 506 (1995). The evidence above shows that the veteran was found to have a personality disorder in service, and has been diagnosed with psychiatric disorders other than PTSD since at least 1991. In this case, however, there is no competent medical evidence of record linking an acquired psychiatric disorder, including dysthymic disorder to a disease or injury of service origin. In other words, the veteran's claim that his current disorder is related to service is predicated on his own opinion. As it is the province of trained health care providers to enter conclusions which require medical opinions as to causation, see Grivois, the veteran's lay opinion is an insufficient basis upon which to find this claim well grounded. See Espiritu. Accordingly, as a well grounded claim must be supported by competent medical evidence, not merely allegations, see Tirpak, the veteran's claim for service connection for an acquired psychiatric disorder, characterized as dysthymic disorder must be denied as not well grounded. In reaching this determination, the Board recognizes that this issue is being disposed of in a manner that differs from that used by the RO. The Board therefore considered whether the veteran has been given adequate notice to respond, and if not whether he has been prejudiced thereby. See Bernard v. Brown, 4 Vet. App. 384, 394 (1993). In light of the veteran’s failure to meet his initial burden in the adjudication process, the Board concludes that he has not been prejudiced by the decision to deny his appeal. In such a situation, the Board is not denying service connection on the merits, but rather is finding that the veteran has failed to meet his obligation of presenting a claim that is plausible, or capable of substantiation, at this time. If the veteran or his representative can secure competent medical evidence that his acquired psychiatric disorder, characterized as dysthymic disorder, is linked to service, such evidence may be used in the filing of another claim. In reaching its decision, the Board notes that the Court has held that there was some duty to assist the veteran in the completion of his application for benefits under 38 U.S.C.A. § 5103(a) (West 1991 and Supp. 1997), depending on the particular facts in each case. Robinette v. Brown, 8 Vet. App. 69 (1995); Beausoleil v. Brown, 8 Vet. App. 459 (1996); as modified by Epps v. Brown, 9 Vet. App. 341, 344 (1996), wherein the Court found there was a duty to further assist in the development of the evidence only when the veteran has reported the existence of evidence which could serve to render a claim well grounded. The facts and circumstances of this case are such that no further action is warranted. ORDER New and material evidence having been submitted to reopen a claim of entitlement to service connection for PTSD, the claim is reopened. The veteran not having submitted a well grounded claim of entitlement to service connection for an acquired psychiatric disorder, characterized as dysthymic disorder, the appeal is denied. REMAND This claim must be afforded expeditious treatment by the RO. The law requires that all claims that are remanded by the Board of Veterans’ Appeals or by the United States Court of Veterans Appeals 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. 1997) (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. Service connection may be granted for PTSD if the evidence establishes that PTSD was incurred in service or as the result of events experienced during service. 38 U.S.C.A. § 1110; 38 C.F.R. § 3.303. Notwithstanding the lack of a diagnosis of PTSD during service, service connection may be granted if all of the evidence including that pertinent to service, establishes that the disease was incurred in service. 38 U.S.C.A. § 1113(b) (West 1991 & Supp. 1997); 38 C.F.R. § 3.303(d). Service connection for PTSD requires medical evidence establishing a clear diagnosis of the condition, credible supporting evidence that the claimed in-service stressor(s) actually occurred, and a link, established by medical evidence, between current symptomatology and the claimed in- service stressor. 38 C.F.R. § 3.304(f) (1996). The VA Adjudication Procedure Manual M21-1 (Manual M21-1) pertaining to the adjudication of PTSD claims provide that, “where records available to the rating board do not provide objective or supportive evidence of the alleged in service traumatic stressor, it is necessary to develop this evidence.” Manual M21-1, Part VI, 7.46(f)(2) (emphasis added). In this case, the veteran's service administrative records do not show that he was awarded the purple heart or other awards denoting combat experience. Nor is there evidence of his claimed stressors. Of record is a July 1991 statement in which the veteran set forth combat related events which he claimed led to PTSD. During his personal hearing in June 1997, the veteran restated his claimed stressors. In a January 1995 letter, an attorney writing on behalf of the veteran stated that a Dr. Rangell had informed the Denver Department of Social Services that the veteran was diagnosed with, in pertinent part, PTSD. Records from Dr. Rangell are not present in the claims file, nor does it appear that an attempt has been made to locate them. As such a remand is in order. The Board notes that the criteria for rating psychiatric disabilities was changed effective November 7, 1996. Under the new criteria, mental disorders are to be consistent with the Diagnostic and Statistical Manual of Mental Disorders (DSM) IV. 38 C.F.R. § 4.125 (1996). Previously, mental disorders were evaluated pursuant to DSM III, 38 C.F.R. § 4.125 (1995). At the time VA adjudication of this case began, DSM-III-R criteria for PTSD had been incorporated by the VA Adjudication Procedure Manual, M21-1. DSM-III-R provides that an essential feature of a diagnosis of PTSD is the development of characteristic symptoms following an “event that is outside the range of usual human experience and that would be markedly distressing to almost anyone, e.g., serious threat to one’s life or physical integrity; . . . or seeing another person seriously injured or killed as the result of an accident or physical violence.” DSM-III-R at 247-48. However, the diagnostic criteria for a stressor now in effect for VA adjudication under DSM-IV differ substantially from those in DSM-III-R. DSM IV defines stressors as a traumatic event in which both of the following were present: (1) the person experienced, witnessed, or was confronted with an event or events that involved actual or threatened death or serious injury, or a threat to the physical integrity of self or others. (2) the person’s response involved intense fear, helplessness, or horror. Quick Reference to the Diagnostic Criteria from DSM IV (Michael B. First, M.D., editor, 1994). The Court has recently addressed the effect of the change to DSM IV on claims for PTSD in Cohen v. Brown, No. 94-661 (March 7, 1997). In that case, the Court pointed out that the requirement that a stressor be outside the range of usual human experience that would evoke significant symptoms of distress in almost anyone had been dropped in DSM IV. The Court made the following holding: . . . the Court takes judicial notice of the effect of this shift in diagnostic criteria. The major effect is this: the criteria have changed from an objective (“would evoke. . . in almost anyone”) standard in assessing whether a stressor is sufficient to trigger PTSD, to a subjective standard. The criteria now require exposure to a traumatic event and a response involving intense fear, helplessness, or horror. A more susceptible individual may have PTSD based on exposure to a stressor that would not necessarily have the same effect on “almost anyone.” The sufficiency of a stressor is, accordingly, now a clinical determination for the examining mental health professional. Cohen, slip. op. at 38-39. Where the law or regulation changes after a claim has been filed or reopened but before the administrative or judicial appeal process has been concluded, the version more favorable to the veteran applies unless congress provides otherwise. Karnas v. Derwinski, 1 Vet. App. 308 (1991). Thus, the Board is of the opinion that the claim must be returned for consideration by the RO under the new criteria. Therefore, pursuant to VA’s duty to assist the appellant in the development of facts pertinent to his claim under 38 U.S.C.A. § 5107(a); 38 C.F.R. § 3.103(a) (1996), the Board is deferring adjudication of the issue of entitlement to service connection for PTSD pending a remand of the case to the RO for further development as follows: 1. The RO should request the veteran to identify all physicians who have treated him for psychiatric disorders in the recent past. The RO should then obtain medical records from all sources identified by the appellant which are not already of record, to include treatment reports from Dr. Rangell. 2. The RO should request from the veteran a statement containing as much detail as possible regarding any and all stressful events to which he was exposed in service. He should be asked to provide specific details of the claimed stressful events to the best of his ability. The veteran's statement should include dates, places, detailed descriptions, units of service, duty assignments, as well as the names, units of assignment and any other identifying information concerning other individuals involved in the events. In this respect, the Board takes this opportunity to inform the veteran that the United States Court of Veterans Appeals (Court) has held that asking the veteran to provide the underlying facts, i.e., the names of individuals involved, the dates, and the places where the claimed events occurred, does not constitute an impossible or an onerous task. Wood v. Derwinski, 1 Vet. App. 190, 193 (1991). 3. After obtaining the foregoing requested information from the veteran, the RO should forward it together with a copy of the veteran's July 1991 statement and June 1997 personal hearing transcript, copies of the veteran's medical records (on file), and a copy of his record of service (DD Form 214) to the USASCRUR, 7789 Cissna Road, Suite 1, Springfield, Virginia 22150, in an attempt to verify any claimed stressor. Any information obtained is to be associated with the claims file. 4. Following the above, the RO must make a specific determination, based on the complete record, with respect to whether the veteran was exposed to a stressor or stressors in service, and if so, the nature of the specific stressor or stressors. In rendering this determination, the attention of the RO is directed to the law cited in the discussion above. If the RO determines that the record establishes the existence of a stressor or stressors, the RO must specify what stressor or stressors in service or prior to service it has determined are established by the record. In reaching this determination, the RO should address any credibility questions raised by the record. 5. If and only if the RO determines that the veteran was exposed to a valid stressor or stressors, action should be taken to schedule the veteran for a psychiatric examination by a board of two VA psychiatrists who have not previously seen or treated him. Any appropriate studies, including PTSD sub scales are to be performed. The claims file and a copy of this remand must be made available to and reviewed by the examiners prior to completing their examinations. Prior to the examinations, the RO is to inform the examiners of the results of its determination in paragraph (4) above as to the existence of a stressor or stressors. The examiners must be requested to express an opinion as to the correct diagnosis to account for the veteran’s psychiatric symptomatology reported in service, and whether any psychiatric disorder currently found on examination is related thereto. With regard to PTSD, the RO must specify for the examiners the stressor or stressors that it has determined are established by the record and the examiners must be instructed that only those events may be considered for the purpose of determining whether the veteran was exposed to a stressor in service. If the examiners believe that PTSD is the appropriate diagnosis they should specify (1) whether the alleged stressor was sufficient to produce PTSD; (2) whether the remaining diagnostic criteria to support the diagnosis of PTSD have been satisfied; and (3) whether there is a link between the current symptomatology and one or more of the in- service alleged stressors found to be established by the record by the RO, and found to be sufficient to produce PTSD by the examiner. Any and all opinions expressed must be accompanied by a complete rationale. The examiners must assign a Global Assessment of Functioning (GAF) Score which is consistent with the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders and explain what the assigned score means. 6. Thereafter, the RO should review the claims file to ensure that all of the above requested development has been completed. In particular, the RO should review the requested examination reports and required opinions to ensure that they are responsive to and in complete compliance with the directives of this remand and if they are not, the RO should implement corrective procedures. 7. After undertaking any development deemed appropriate in addition to that specified above, the RO should readjudicate the issue of entitlement to service connection for PTSD. If the benefit sought on appeal is not granted to the veteran’s satisfaction, the RO should issue a supplemental statement of the case. A reasonable period of time for a response should be afforded. Thereafter, the case should be returned to the Board for final appellate review, if otherwise in order. By this remand, the Board intimates no opinion as to any final outcome warranted. No action is required of the veteran until he is notified by the RO. RONALD R. BOSCH Member, Board of Veterans’ Appeals NOTICE OF APPELLATE RIGHTS: Under 38 U.S.C.A. § 7266 (West 1991 & Supp. 1997), a decision of the Board of Veterans’ Appeals granting less than the complete benefit, or benefits, sought on appeal is appealable to the United States Court of Veterans Appeals within 120 days from the date of mailing of notice of the decision, provided that a Notice of Disagreement concerning an issue which was before the Board was filed with the agency of original jurisdiction on or after November 18, 1988. Veterans’ Judicial Review Act, Pub. L. No. 100-687, § 402, 102 Stat. 4105, 4122 (1988). The date that appears on the face of this decision constitutes the date of mailing and the copy of this decision that you have received is your notice of the action taken on your appeal by the Board of Veterans’ Appeals. Appellate rights do not attach to those issues addressed in the remand portion of the Board’s decision, because a remand is in the nature of a preliminary order and does not constitute a decision of the Board on the merits of your appeal. 38 C.F.R. § 20.1100(b) (1996). - 2 -