Citation Nr: 9907062 Decision Date: 03/17/99 Archive Date: 03/24/99 DOCKET NO. 94-35 324 ) DATE ) ) On appeal from the Department of Veterans Affairs (VA) Regional Office (RO) in Boston, Massachusetts THE ISSUES 1. Entitlement to service connection for post-traumatic stress disorder (PTSD). 2. Entitlement to service connection for residuals of a concussion. 3. Entitlement to a permanent and total disability rating for pension purposes. REPRESENTATION Appellant represented by: Disabled American Veterans WITNESSES AT HEARING ON APPEAL The appellant and his friend ATTORNEY FOR THE BOARD Mark E. Goodson, Associate Counsel INTRODUCTION The veteran served on active duty from June 1966 to July 1969. This matter comes to the Board of Veterans' Appeals (Board) on appeal from July 1993 decision by the RO that denied service connection for PTSD and residuals of a concussion, and also denied non-service-connected pension. FINDINGS OF FACT 1. The veteran has PTSD which is attributable to his active military duty. 2. There is no competent evidence that causally links any current disability to the claimed in-service concussion. 3. The veteran is unable to secure and follow substantially gainful employment by reason of permanent and total disability. CONCLUSIONS OF LAW 1. The veteran has PTSD which is the result of disease or injury incurred during active wartime service. 38 U.S.C.A. §§ 1110, 5107, 7104 (West 1991 & Supp. 1998); 38 C.F.R. §§ 3.303, 3.304(f) (1998). 2. The veteran's claim of entitlement to service connection for residuals of a concussion is not well grounded. 38 U.S.C.A. §§ 1110, 5107 (West 1991); 38 C.F.R. § 3.303 (1998). 3. Assignment of a permanent and total rating for pension purposes is warranted. 38 U.S.C.A. §§ 1155, 1502(b), 1521, 5107 (West 1991); 38 C.F.R. §§ 3.2(f), 3.102, 3.340, 3.342, 4.16, 4.17 (1998). REASONS AND BASES FOR FINDINGS AND CONCLUSIONS PTSD The veteran and his representative contend that the veteran has PTSD which is due to service. In this regard, the Board notes that service connection for PTSD requires (1) medical evidence establishing a clear diagnosis of the condition, (2) credible supporting evidence that the claimed in-service stressor actually occurred, and (3) a link, established by medical evidence, between current symptomatology and the claimed in-service stressor. 38 C.F.R. § 3.304(f) (1998); see 38 U.S.C.A. § 1110 (West 1991); 38 C.F.R. § 3.303 (1998). Here, VA examiners have repeatedly diagnosed the veteran as having PTSD arising from his wartime experiences in the Republic of Vietnam. See February 1995 VA hospitalization summary and June 1993 mental examination report. Although there is some earlier-dated medical evidence in the file which reflects diagnoses of only "possible" PTSD, see, e.g., February 1993 VA hospitalization summary, the more recent evidence tends to show "unequivocal" diagnoses of PTSD linked to service. See Cohen v. Brown, 10 Vet. App. 128, 139 (1997). Thus, the weight of the evidence establishes the first and third elements of a PTSD claim. See 38 C.F.R. § 3.304 (f), supra. Therefore, the sole remaining question for the Board, with respect to this claim, is whether there is credible supporting evidence that a claimed in-service stressor actually occurred. Id. In this regard, the veteran has claimed a variety of in- service stressors. See, e.g., January 1993 VA form 21-526; February 1993 VA Form 10-9034a ("Medical Record Report"); June 1993 VA mental disorders examination report; February 1994 stressor statement; and February 1994 RO hearing transcript. One claimed stressor involves an incident in which he drove a vehicle over a mine, which detonated, and injured him. See January 1993 VA Form 21-526 and February 1994 RO hearing testimony. [Transcript (Tr.) pp. 7, 8.] In February 1992, an individual who served with the veteran submitted a statement which corroborates the veteran's version of that stressor, and does so in substantial detail. There is no evidence to the contrary, notwithstanding that the service medical records do not reflect the veteran's claimed treatment following the incident. Indeed, the claimed stressor comports with his military occupational specialty of combat engineer at the time of the incident. Therefore, the weight of the evidence is in his favor in this regard. Accordingly, service connection for PTSD is warranted. Residuals of a Concussion The veteran and his representative contend that the veteran has tinnitus, a concussion, and headaches which are residuals of the in-service mine explosion mentioned above. See January 1993 VA Form 21-526, June 1993 VA brain examination report, and RO Hearing transcript [Tr. p. 12]. In this regard, the threshold question to be answered is whether the veteran has presented a well-grounded claim. 38 U.S.C.A. § 5107 (West 1991); Gilbert v. Derwinski, 1 Vet. App. 49 (1990). A well-grounded claim is defined as a "plausible claim, one which is meritorious on its own or capable of substantiation." Murphy v. Derwinski, 1 Vet. App. 78, 81 (1990). Section 5107 provides that the claimant's submission of a well-grounded claim gives rise to VA's duty to assist and to adjudicate the claim. In short, VA is not required to adjudicate a claim on the merits until after the veteran has met this initial burden of submitting a well-grounded one. Boeck v. Brown, 6 Vet. App. 14 (1993). "Although the claim need not be conclusive, the statute [§ 5107] provides that [the claim] must be accompanied by evidence" in order to be considered well grounded. Tirpak v. Derwinski, 2 Vet. App. 609, 611 (1992). In the context of a claim of entitlement to service connection, this generally means that evidence must be presented which in some fashion links a current disability to a period of military service or to an already service-connected disability. 38 U.S.C.A. §§ 1110, 1131 (West 1991); 38 C.F.R. §§ 3.303, 3.310 (1998); Rabideau v. Derwinski, 2 Vet. App. 141, 143 (1992). Evidence submitted in support of the claim is presumed to be true for purposes of determining whether the claim is well grounded. King v. Brown, 5 Vet. App. 19, 21 (1993). However, lay assertions of medical diagnosis or causation do not constitute competent evidence sufficient to render a claim well-grounded. Grottveit v. Brown, 5 Vet. App. 91, 93 (1992); Espiritu v. Derwinski, 2 Vet. App. 492, 495 (1992). In short, in order to establish a well-grounded claim, the claimant must produce (1) medical evidence of a current disability; (2) lay or medical evidence that a disease or injury was incurred or aggravated in service; and (3) medical evidence of a link, or nexus, between the current disability and the in-service disease or injury. Epps v. Gober, 126 F.3d 1464, 1468 (Fed. Cir. 1997), cert. den. sub nom. Epps v. West, 118 S.Ct. 2348 (1998). Here, there is no medical evidence that the veteran has any current disability due to the claimed mine explosion (and claimed ensuing concussion and blackout). Although during a June 1993 VA brain examination the veteran complained of occasional tinnitus as a result of the in-service concussion, the diagnosis was a "history" of concussion while in Vietnam, with no documentation to support or refute this history, and a subjective complaint of occasional tinnitus. (Indeed, the service medical records are devoid of evidence of the claimed in-service concussion, or any evidence which would tend to show that the veteran might have problems such as tinnitus or concussion-like symptomatology in the future. See Martin v. Gober, 10 Vet. App. 394 (1997).) Post-service examinations of the veteran's head, on other occasions, have been normal. See November 1984 and June 1993 VA general examination reports. Although the veteran reports subjective tinnitus and a concussion, he is not shown to have any medical background or training which would render him competent to render such a self-diagnosis. See Espiritu and Epps, supra; Kelly v. Brown, 7 Vet. App. 471, 475-76 (1995) (Steinberg, J., concurring) (tinnitus claim). Likewise, the veteran is not competent to self-diagnose a headache disorder which he testified is due to the in-service trauma [Tr. p. 12]. In short, there is no competent evidence of any current concussion, tinnitus, headaches, or any other current concussion residual, contrary to the veteran's claim. Thus, his claim is not well grounded. See Epps supra; Degmetich v. Brown, 104 F.3d 1328 (Fed. Cir. 1997) (entitlement to receipt of benefits for service-connected disease or injury is limited to cases where such incidents have resulted in a current disability). Assuming arguendo that the veteran's subjective complaints of tinnitus and headaches were sufficient to constitute evidence of a current disability, see Savage v. Gober, 10 Vet. App. 489, 494-95, 497 (1997), Falzone v. Brown, 8 Vet. App. 398, 405 (1995), Kelly supra, 7 Vet. App. at 474, his claim is still not well grounded because there is no medical evidence of a nexus between service and either tinnitus or headaches. See Epps and Savage, supra. The June 1993 VA brain examiner's diagnosis lists only the concussion by "history," but does not link, in any fashion, the subjective tinnitus to service or to complaints of continuity of symptomatology. See 38 C.F.R. § 3.303(b) (1998); Savage, supra. Indeed, the examiner's report is devoid of any report of such continuity. There is no comparable medical evidence regarding headaches. Accordingly, the claim of service connection for residuals of a concussion, including tinnitus and headaches, must be denied. The representative contends, in his appellate brief, that the Board should determine whether the RO complied with M21-1, Part III, 1.03(a) (Change 50) (Feb. 23, 1996) and M21-1, Part VI, 2.10(f) (Change 48) (Aug. 5, 1996), prior to denying the service connection claim. He further contends that, if the Board finds that the RO did not comply with these provisions, that the Board should remand the claim for "full development" of the claim. M21-1 Part VI, 2.10(f) provides that "the duty to assist will prevail while development is undertaken." A careful reading of this provision clearly shows the initiation of this "development" is predicated on the claim being "potentially plausible on a factual basis." Essentially, "potentially plausible on a factual basis" means the claim is well grounded. Caluza v. Brown, 7 Vet. App. 498, 506 (1995), aff'd, 78 F.3d 604 (Fed. Cir. 1996) (Table); accord, Epps, supra. Consequently, development is undertaken pursuant to M21-1 Part VI, 2.10(f) only after the veteran has presented a well-grounded claim. As the veteran has not done so here, M21-1 Part VI, 2.10(f) is not applicable to his case. M21-1 Part III, 1.03(a) provides that "[b]efore a decision is made about a claim being well grounded, it will be fully developed." However, only when a claim is well grounded does the VA have an obligation to assist the claimant in "developing the facts pertinent to the claim." Robinette v. Brown, 8 Vet. App. 69, 77-74 (1995) (emphasis added) (referring to evidentiary development required by the duty to assist provided by 38 U.S.C.A. § 5107(a)); Epps, supra; Beausoleil v. Brown, 8 Vet. App. 459, 465 (1996). In contrast to the evidentiary development referred to in 38 U.S.C.A. § 5107(a), the provisions of M21-1, Part III, 1.03(a) refer to development of the claim. The requirement to fully develop a claim - as compared to development of the evidence underlying the claim - merely requires VA to ensure that the veteran has not filed a defective or incomplete application. See 38 U.S.C.A. § 5103 (West 1991); Robinette, 8 Vet. App. at 78. See 38 C.F.R. §§ 3.1(p), 3.160(a) (1997)(defining a claim as an application for VA benefits); see also M21-1, Part III, 1.01(a) (discussing development of pertinent facts "concerning a well-grounded claim"); M21-1, Part VI, 2.10(f) (discussed, supra); compare M21-1, Part III, 2.01(c) (during initial screening stage of claims processing, the RO shall review all applications and evidence immediately to determine if "a claim" is incomplete and requires "further development"). Indeed, M21-1, Part III, 1.03(a) relies upon Grottveit v. Brown, 5 Vet. App. 91 (1993), in which the Court stated that "[i]f the claim is not well grounded, the claimant cannot invoke the VA's duty to assist [under 38 U.S.C.A. § 5107(a)] in the [evidentiary] development of the claim." Grottveit at 93, citing 38 U.S.C.A. § 5107(a). Therefore, until a veteran has submitted a well-grounded claim, VA is under no duty to assist the veteran in establishing the evidentiary elements of his claim. In other words, the requirement to "fully develop" a claim pursuant to M21-1, Part III, 1.03(a) is not identical to the duty to assist which arises after a well-grounded claim has been submitted; instead, it appears to merely reiterate the duty to inform under 38 U.S.C.A. § 5103. Consequently, ensuring that a claim is "fully developed" under M21-1 Part III, 1.03(a) means that, where the veteran's application for benefits is incomplete, VA shall notify the veteran of the evidence necessary to complete the application. Id. at 80. As there is no indication in the present case that the veteran's application is incomplete, or that he is aware of evidence which would render his claim well grounded, the RO complied with 38 U.S.C.A. § 5103 and 1.03(a). The representative also contends, in his appellate brief, that the holding of Ledford v. West, 136 F.3d 776 (1998) is unreasonable and erroneous, because it "requires" appellants to foresee and argue preemptively all errors the Board might commit, and because the appellant has no prior notice of the points upon which the Board will rely when deciding an appeal. However, Ledford does not stand for this proposition. In Ledford, The United States Court of Appeals for the Federal Circuit (Federal Circuit) held that the doctrine of exhaustion of administrative remedies requires an appellant to present issues at the administrative (RO and Board) level before the Court and the Federal Circuit will address those issues. 136 F.3d at 779-82. In any event, the Court bars the type of litigation by ambush which the representative eschews. See, e.g., Marsh v. West, 11 Vet. App. 468, 471-72 (1998). Here, the Board has decided the matter by finding that the veteran has not presented a well- grounded claim, particularly, because there is no evidence of a current disability. The veteran had notice and opportunity to be heard regarding that evidentiary matter. See October 1993 statement of the case (SOC). Moreover, when an RO does not specifically address the question of whether a claim is well grounded, but instead, as here, proceeds to adjudication on the merits, there is no prejudice to the veteran solely from the omission of the well-grounded- claim analysis. Meyer v. Brown, 9 Vet. App. 425, 432 (1996). That proposition applies even where the RO has failed to provide the claimant with the laws and regulations pertaining to well-grounded claims, and notwithstanding that the Board denies the claim as not well grounded after the RO adjudicates the claim on the merits. Id. That is because the requirement that a claim be well grounded is merely a threshold matter, and its satisfaction does not, by itself, obtain anything for a claimant that he would not receive in a full merits adjudication. Id. Thus, the representative's contention here is inapposite. The representative contends that the Meyer decision, supra, ignores the statutory provision that claimants have the initial burden of submitting a well-grounded claim "[e]xcept when otherwise provided by the Secretary [of VA]," 38 U.S.C.A. § 5107(a), because the Secretary has provided such an exception via the promulgation of the aforementioned portions of M21-1. The representative's argument lacks merit because the portions of M21-1 to which he refers do not create an exception to 38 U.S.C.A. § 5107, as previously discussed. The veteran's representative also contends, in his appellate brief, that the veteran is entitled to the benefit of the doubt with respect to his claim. However, the benefit-of- the-doubt doctrine only applies if VA adjudicators reach the merits of the claim. As he has not presented a well-grounded claim, the Board does not reach the merits of the claim, and the benefit-of-the-doubt doctrine is inapplicable. 38 U.S.C.A. § 5107(b) (West 1991); Gilbert v. Derwinski, 1 Vet. App. 49 (1990). The Board has also considered that certain evidence, namely, the Operations Report - Lessons Learned (OR-LL), and certain VA outpatient treatment records dated from October 1991 to October 1995, were submitted after the final (May 1994) supplemental SOC was issued. However, that evidence makes no mention of any current disability that the veteran might experience as a result of the claimed in-service concussion. Indeed, the OR-LL could not possibly do so because it was generated during service. See Wade v. West, 11 Vet. App. 302 (1998). Therefore, such evidence is not "pertinent" to the questions of current disability and nexus, see 38 C.F.R. §§ 19.1, 20.1304(c) (1998), and there is no prejudice to the Board's having considered his claim without a remand for the RO to re-adjudicate his claim in light of such evidence. Bernard v. Brown, 4 Vet. App. 384, 392-393 (1993). Pension Turning to the merits of the veteran's claim for a permanent and total disability rating for pension purposes, the Board notes that the law and regulations provide alternative means for adjudicating his claim: application of either the "average" person test, see 38 U.S.C.A. § 1502(a)(1) (1998) and 38 C.F.R. § 4.15 (1998), or the test provided by 38 U.S.C.A. § 1502(a)(2) and 38 C.F.R. § 4.17 (1998) (the test of "unemployability" due to lifetime disability). See Talley v. Derwinski, 2 Vet. App. 282 (1992); Roberts v. Derwinski, 2 Vet. App. 387 (1992); Abernathy v. Derwinski, 2 Vet. App. 391 (1992); Abernathy v. Principi, 3 Vet. App. 461 (1992); and see Brown v. Derwinski, 2 Vet. App. 444, 445 (1992). The provisions of 38 C.F.R. § 4.17 provide that all veterans (of a period of war) who are basically eligible and who are unable to secure and follow a substantially gainful occupation, by reason of disabilities which are likely to be permanent, shall be rated as permanently and totally disabled. 38 C.F.R. § 4.17 (1998). For the purpose of pension, the permanence of the percentage requirements of 38 C.F.R. § 4.16 is a requisite. Id. When the percentage requirements are met, and the disabilities involved are of a permanent nature, a rating of permanent and total disability will be assigned if the veteran is found to be unable to secure and follow substantially gainful employment by reason of such disability. Prior employment or unemployment status is immaterial if in the judgment of the rating board the veteran's disabilities render him or her unemployable. Id. See also 38 U.S.C.A. §§ 1502(a), 1521 (West 1991); 38 C.F.R. §§ 3.340, 3.342 (1998). Additionally, claims for pension may also be granted under the provisions of 38 C.F.R. § 3.321(b)(2) (1998) where the percentage standards are not met, but the veteran is unemployable by reason of his disabilities, age, occupational background and other related factors. 38 C.F.R. § 4.17(b) (1998). In making such determinations, the following guidelines, will be used. Marginal employment (for example, as a self- employed farmer or other person, while employed in his or her own business, or at odd jobs or while employed at less than half the usual remuneration) will not be considered incompatible with a determination of unemployability, if the restriction, as to securing or retaining better employment, is due to disability. 38 C.F.R. § 4.17(a) (1998); see 38 C.F.R. § 4.17(b) (1998). Without adjudging whether the veteran meets the percentage requirements of § 4.16, the Board finds that the veteran is unemployable. In the present case, the veteran served during the Vietnam Era. 38 C.F.R. § 3.2(f) (1998). His disabilities include PTSD, a documented history of hepatitis C, hepatitis B, chronic obstructive pulmonary disease (COPD), dermatitis, low back strain, and a personality disorder. See October 1991 VA June 1993 VA general examination report, November 1993 VA chest x-ray report, and February 1995 VA hospitalization summary. Of particular interest is the February 1995 VA hospitalization summary, which reflects that the veteran is unemployable. Other records support such a conclusion, including a June 1993 VA examination report which shows a Global Assessment of Functioning (GAF) score of 40 (with the highest GAF in the past year of 42). The American Psychiatric Association's DIAGNOSTIC AND STATISTICAL MANUAL FOURTH EDITION (DSM-IV). (A GAF score of 41 to 50 represents serious symptoms or any "serious" impairment in social, occupational, or school functioning, including inability to "keep a job." APA's QUICK REFERENCE TO DSM-IV at 47 (1994).) Given such an estimation regarding combined psychiatric symptomatology, and the fact that the veteran has additional physical disability, the Board finds that the veteran is unemployable by reason of his disabilities. § 3.321(b)(2). Here, the veteran's consistently low GAF scores, and the finding of unemployability on the February 1995 VA hospitalization summary, tend to support his claim of unemployability, and there is no affirmative evidence that he is currently employable. Moreover, a review of the June 1993 and November 1984 VA general examination reports reflect that the veteran's last job was working as a personal care attendant for his sister in 1991, with monthly wages of about $400, which tends to reflect only marginal employment and work in a sheltered environment. This comports with the lack of income reflected he reported in December 1993 VA Form 21- 0515-1 ("Improved Pension Eligibility Verification Report"), the level of income he and his friend reported during the February 1994 RO hearing [Tr. pp. 3, 8, 13-14], and the lack of assets reflected on a December 1994 Court Order. He indicated during the June 1993 VA mental examination and February 1994 hearing [Tr. p. 12] that he has ten years of primary education, and a GED, which, given his age, mental status, and difficulties with vocational training (see February 1995 VA hospitalization summary), tends to show unemployability. See 38 C.F.R. § 4.19 (1998); cf. 38 C.F.R. § 3.342(b)(3) (1998); and see Hatlestad v. Derwinski, 1 Vet. App. 164 (1991). Although a June 1975 Chapter 31 benefit document reflects that he has some vocational training, the February 1993 VA hospitalization summary reflects that he has held approximately 30 jobs in the last 30 years, which is consistent with his February 1994 hearing testimony [Tr. p. 7], and his psychiatric disability picture. See 38 C.F.R. § 4.2, 4.10, 4.18 (1998). The foregoing evidence, which is uncontroverted, tends to show that the veteran is unable to secure and follow substantially gainful employment by reason of the aforementioned disabilities. Compare 38 C.F.R. § 4.15 (1998) (the "average person" test for total disability ratings); see Talley, 2 Vet. App. at 287-88. To the extent that there is any doubt in this matter, the Board finds the evidence to be in relative equipoise, and resolves such doubt in favor of the veteran. 38 C.F.R. § 3.102 (1998). The Board must next consider whether the veteran's disabilities are of a "permanent" nature. 38 C.F.R. § 4.17 (1998). "Permanence" of total disability will be taken to exist when such impairment is reasonably certain to continue throughout the life of the disabled person. 38 C.F.R. § 3.340(b) (1998). Diseases and injuries of long standing which are actually totally incapacitating will be regarded as permanently and totally disabling when the probability of permanent improvement under treatment is remote. Id. Permanent total disability ratings may not be granted as a result of any incapacity from acute infectious disease, accident, or injury, unless there is present one of the recognized combinations or permanent loss of use of extremities or sight, or the person is in the strict sense permanently helpless or bedridden, or when it is reasonably certain that a subsidence of the acute or temporary symptoms will be followed by irreducible totality of disability by way of residuals. The age of the disabled person may be considered in determining permanence. Id. Here, the aforementioned medical evidence tends to show that veteran has manifested considerable psychiatric disability since at least 1992. His GAF scores have been consistently low. His DD-214 reflects that he is 50 years old, and there is no indication that his symptomatology will permanently improve. On the contrary, the nature and history of the veteran's psychiatric disorders tend to show permanence. See, e.g., 38 C.F.R. § 3.344(a) (1998) (ratings on account of diseases subject to temporary or episodic improvement, e.g., manic depressive "or other psychotic reaction," and "psychoneurotic reaction," will not, as a general rule, be reduced on any one examination). Although he has certain problems that may indeed improve, such as intermittent difficulties with dermatitis or back strain, the Board finds that, taken together, and with resolution of doubt in the veteran's favor, he has disability which is totally disabling and is reasonably certain to be permanent. ORDER Service connection for PTSD is granted. Service connection for residuals of a concussion is denied. A permanent and total disability rating for pension purposes is granted, subject to the laws and regulations governing the award of such benefits. MARK F. HALSEY Member, Board of Veterans' Appeals - 13 - - 12 -