Citation Nr: 0001922 Decision Date: 01/24/00 Archive Date: 02/02/00 DOCKET NO. 98-20 002 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Manila, Philippines THE ISSUES Entitlement to service connection for heart disease, to include hypertension. Entitlement to service connection for arthritis. ATTORNEY FOR THE BOARD R. A. Seaman, Associate Counsel INTRODUCTION The veteran had service between November 1942 and October 1945. This matter is before the Board of Veterans' Appeals (Board) on appeal from a February 1998 decision by the Department of Veterans Affairs (VA) Regional Office (RO) in Manila, Philippines. FINDINGS OF FACT 1. The veteran had verified military service between November 1942 and October 1945, including recognized guerilla service and regular Philippine Army service. 2. There is no competent and probative evidence of record which shows that the veteran incurred a heart disease, to include hypertension, during military service or within one year from the date of his discharge from service, or that arthrosclerosis, first diagnosed in 1993 is related to the veteran's military service. 3. There is no competent evidence establishing a diagnosis of arthritis. CONCLUSIONS OF LAW 1. The veteran's claim of entitlement to service connection for heart disease, to include hypertension, is not well grounded. 38 U.S.C.A. § 5107(a) (West 1991). 2. The veteran's claim of entitlement to service connection for arthritis is not well grounded. 38 U.S.C.A. § 5107(a) (West 1991). REASONS AND BASES FOR FINDINGS AND CONCLUSIONS Background. Service department records reflect that the veteran's military history is as follows: Missing November 1, 1942 Inactive November 2, 1942, to December 2, 1942; Missing December 3, 1942, to April 23, 1945 Guerilla service April 24, 1945, to June 21, 1945; Philippine Army service June 22, 1945, to October 8, 1945. The veteran was determined to be entitled to pay while in a missing status for recognized guerrilla service. Upon his June 22, 1945, entrance into the Philippine Army, the veteran underwent physical examination during which no physical defects were noted. The veteran's cardiovascular system was considered "normal," and a blood pressure reading was 118/64. No musculoskeletal defects were found or reported. In June 1947, the veteran executed a Philippine Army affidavit in which he reported that he had incurred no wounds or illnesses during any of his service periods. He reported in the affidavit that he engaged in combat operations during service. In September 1996, the RO received the veteran's claim of service connection for "heart disease with hypertension [and] arthritis." In his application, the veteran reported that the only medical treatment he received during his military service was for a toothache. He also reported that he received medical treatment for heart disease with hypertension in April 1995, and received medical treatment for cataracts in November 1993. Medical records obtained from the Veterans Memorial Medical Center in Quezon City, Philippines, reflect medical care the veteran received between May 1993 and November 1993. A report of objective examination in August 1993 revealed a blood pressure reading of 120/70, and the veteran's heart was noted as having a regular rhythm and rate. Chest examination revealed atherosclerosis of the thoracic aorta. Examinations in June and July 1993 confirmed the diagnosis of atherosclerosis of the thoracic aorta. No etiological findings or opinions regarding the etiology of the atherosclerosis were given. The records show no complaint, treatment, or diagnosis of arthritis. Records from the Veterans Memorial Medical Center in Quezon also reflect that the veteran was admitted for cataract surgery in November 1993. Examination at admission revealed that the veteran's chief complaint was progressive blurring of vision, which the examining physician noted as starting about one year prior to admission. A blood pressure reading of 130/90 was taken, and examination of the veteran's heart revealed a regular rhythm and rate. As for his past medical history, a date of 1983 was listed and it was reported that he was known to be hypertensive. It was also reported that the veteran had a 56 year history of cigarette smoking. In an affidavit executed in April 1996, J. Adelante stated that he served in the military with the veteran, and that the veteran incurred arthritis and hypertension during his service. In another affidavit executed in April 1996, D. De Leon reported that the veteran incurred arthritis and hypertension during his military service, and that he knew the veteran incurred his illnesses during that time because the veteran had been a member of a unit which was under his overall command. Also of record is a certificate from the General Headquarters of the Armed Forces of the Philippines, dated in October 1992, which reflects and confirms the veteran's military service from November 1942 to October 1945. The RO issued a rating decision in November 1996 which denied the veteran's claim as not well grounded, holding that the evidence of record had not established that the veteran's illnesses were incurred in or aggravated by his military service. The RO held that the statements from his service comrades were not persuasive in light of the negative notation made by the veteran in his own processing affidavit in 1947 and because his service comrades, as lay people with no medical background, were ill-qualified to make statements regarding medical matters. The veteran did not appeal the November 1996 decision, but instead filed another claim for service connection for heart disease, hypertension, and arthritis, which the RO received in October 1997. Along with his application, the veteran submitted an affidavit dated in October 1997 and signed by L. Diaz, M.D. Dr. Diaz reported that he was an attending physician in the Central Luzon guerrilla movement during World War II. He reported that the veteran was "personally known to me to have been my patient," and that he treated the veteran during the war for heart disease, hypertension, and arthritis. Dr. Diaz also opined that said disorders "were all due from [the veteran's] services as a regular member of the [guerilla] movement." The RO issued a rating decision in February 1998, which held that Dr. Diaz's affidavit had no probative value as it was merely based on memory and was not supported by clinical records outlining diagnosis or treatment for the veteran's claimed disorders. The RO also noted that Dr. Diaz's statements were contradicted by the veteran's service medical records and Philippine Army affidavit, which were negative for establishing any of the claimed disorders during his service. Accordingly, the veteran's claim for compensation was denied as not well grounded. The veteran initiated an appeal in March 1998. Of record is a second affidavit by D. De Leon, apparently dated sometime in 1998. D. De Leon stated therein that the veteran was highly commended by his superiors, as he had participated in battles courageously and had served as an inspiration for his peers. In VA Form 21-4138, dated in May 1998, the veteran stated that his service with the guerrilla forces constituted combat service such that he should be entitled to the relaxed evidentiary standards provided for combat veterans pursuant to 38 U.S.C.A. § 1154(b) and 38 C.F.R. § 3.304(d). In his substantive appeal (VA Form 9), the veteran reiterated his contention that he was entitled to the relaxed evidentiary burden afforded combat veterans. In a supplemental statement of the case dated in December 1998, the RO held that the veteran had submitted a well- grounded claim, but continued the denial of the claim on the grounds that the preponderance of the evidence showed that the claimed conditions were not incurred in service or shown to be present during the initial post-service year. The veteran submitted additional personal statements, received in April 1999, asserting that he engaged in combat "during the last days of the Philippine campaign." He also contended that D. De Leon's 1998 affidavit was sufficient to establish the veteran as a combat veteran, and opined that Dr. Diaz's statements were competent evidence establishing "medical causations, onset, or diagnosis," as well as "what symptoms an individual was manifesting at a given time." The veteran cited 38 U.S.C.A. § 1154(b) and asserted that "[t]he application of the doctrine of reasonable doubt is heightened in cases where the basic incident arose under combat conditions." In July 1999, a field investigation was conducted in order to determine the authenticity of the statements Dr. Diaz set forth in his October 1997 affidavit. It was noted that Dr. Diaz was 87 years old, and was ambulatory and in good health. The investigator noted that he appeared truthful, credible, and knowledgeable; and was able to engage in normal and reasonable conversation. The investigator reported that Dr. Diaz lived in Poblacion Norte, Talavera, Nueva Ecija, and his identity was confirmed through neighborhood inquiries. The physician reported that he had served as mayor of Talavera during the Japanese occupation, served as Governor of Nueva Ecija from 1952 to 1955, and served as a congressman from 1956 to 1984. Dr. Diaz was shown a copy of the October 1997 affidavit, and he acknowledged his signature. He reiterated that he was an attending physician in the Central Luzon guerilla movement, but that his military records and discharge papers were kept at his house in Manila. When asked if he still maintained the medical records of the soldiers he treated during the war, Dr. Diaz answered that no such medical records were available because they had been destroyed during the war. When asked if he recalled treating the veteran, Dr. Diaz stated that he could no longer remember if the veteran was one of those under his care. He reported that there were many soldiers with the same surname, and he could not confirm if the veteran was a soldier whom he treated for heart disease, hypertension, or arthritis. Dr. Diaz stated that the veteran had not presented to him recently or in the past years for medical treatment. He reported that he could not remember the person who asked him to signed the affidavit, but opined that it was "probably one of the veteran's relatives." In further clarification, Dr. Diaz stated that he only signed the affidavit given the benefit of the doubt that he treated the veteran during the war based on the veteran's given date of birth. In an August 1999 supplemental statement of the case, the RO held that Dr. Diaz's affidavit was insufficient to establish a well-grounded claim because it did not provide a competent basis for establishing a causal relationship between the veteran's disorders and his military service. This was so, the RO reported, because the Dr. Diaz's affidavit was not based on his memory of having treated the veteran, and because the physician admitted to signing the affidavit only under consideration that he "might" have treated the veteran during the war based solely on the veteran's date of birth. In November 1999, the RO received a statement from the veteran to the effect that Dr. Diaz may have shown signs of poor memory. The veteran stated that it should be considered that Dr. Diaz is "now over ninety years of age . . . ," and that "[w]ith all the hard work delegated to him as a public official, he may have been getting forgetful because of his age." The veteran also stated that, in light of "the fact that World War II happened more than 57 years ago, "maybe Dr. Diaz can not very well remember [the veteran] as his former patient that he treated." Legal Criteria. Pursuant to 38 U.S.C.A. § 5107(a), a person who submits a claim to VA has the burden of providing evidence sufficient to justify a belief by a fair and impartial individual that the claim is well grounded. The United States Court of Appeals for Veterans Claims (Court) defines a well-grounded claim as one that is plausible, that is, a claim which is meritorious on its own or capable of substantiation. Murphy v. Derwinski, 1 Vet. App. 78, 81 (1990). Generally, service connection may be granted for a disability resulting from personal injury incurred or disease contracted in the line of duty or for aggravation of a preexisting injury or disease. 38 U.S.C.A. § 1110 (West 1991); 38 C.F.R. § 3.303 (1999). Regulations of VA state that service connection may 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. Arteriosclerosis, cardiovascular-renal disease, including hypertension, and arthritis, may be granted service connection although not otherwise established as incurred in service if manifested to a degree of 10 percent or more within one year from the date of separation, provided that the rebuttable presumption provisions of 38 C.F.R. § 3.307 are also satisfied. 38 C.F.R. §§ 3.307, 3.309 (1999). Where a veteran establishes status as a combat veteran, Collette v. Brown, 82 F.3d 389 (Fed. Cir. 1996) and Caluza, 7 Vet. App. 498, set forth the correct application of 38 U.S.C.A. § 1154(b) (West 1991), which requires a three-step analysis. First, it must be determined whether a claimant produced "satisfactory lay or other evidence of such injury or disease." 38 U.S.C.A. § 1154(b). "Satisfactory evidence" is defined as credible evidence that would allow a reasonable fact finder to conclude that the alleged injury or disease was incurred in or aggravated by the veteran's combat service. Collette, 82 F.3d at 393. Second, it must be determined whether the proffered evidence is consistent with the circumstances, conditions, or hardships of such service. 38 U.S.C.A. § 1154(b). Third, once the first two steps are met, the Secretary will accept the combat veteran's evidence as sufficient proof of service incurrence, even if no official record of such incurrence exists, unless the govern- ment can meet the burden of showing clear and convincing evidence to the contrary. Id. It must be noted, however, that the presumption afforded under section 1154(b) deals only with the question of whether a particular disease or injury occurred in service, and not the question of either current disability or nexus to service, as to both of which competent medical evidence is generally required. See Grottveit, 5 Vet. App. at 93. In sum, section 1154(b) does not presumptively establish service connection for a combat veteran; rather, it relaxes the evidentiary requirements for determining what happened in service. See Brock v. Brown, 10 Vet. App. 155, 162 (1997); see also Wade v. West, 11 Vet. App. 302 (1998); Velez v. West, 11 Vet. App. 148 (1998); Libertine v. Brown, 9 Vet. App. 521 (1996). The veteran must still establish that his claim is well grounded by medical evidence showing a nexus between a current disability and the reported service incident. See Caluza, 7 Vet. App. at 507. The Court has held that a well-grounded claim must fulfill three elements: (1) a current disability in the form of a medical diagnosis; (2) appropriate lay or medical evidence of a disease or injury in service or, if appropriate, within an applicable presumptive period; and (3) medical evidence of a link between the disability and the claimed in-service injury or disease. See Caluza, 7 Vet. App. at 506. Alternatively, the second and third Caluza elements can also be satisfied under 38 C.F.R. § 3.303(b) by (a) evidence that a condition was "noted" during service or during an applicable presumption period; (b) evidence of post-service continuity of symptomatology; and (c) medical or, in certain circumstances, lay evidence of a nexus between the present disability and the post-service symptomatology. See 38 C.F.R. § 3.303(b); Savage v. Gober, 10 Vet. App. 488, 495- 97 (1997. Service connection may also be established under § 3.303(b) by evidence of (i) the existence of a chronic disease in service or during an applicable presumption period and (ii) present manifestations of the same disease. See 38 U.S.C.A. § 1112(a)(1); 38 C.F.R. §§ 3.303(b), 3.309(a); Savage, 10 Vet. App. at 495. In determining whether a claim is well grounded, the claimant's evidentiary assertions are presumed true unless inherently incredible or when the fact asserted is beyond the competence of the person making the assertion. King v. Brown, 5 Vet. App. 19, 21 (1993). Where the determinative issue involves medical causation or a medical diagnosis, competent medical evidence to the effect that the claim is "plausible" or "possible" is required. See Murphy, 1 Vet. App. at 81. A claimant cannot meet the burden imposed by 38 U.S.C.A. § 5107(a) merely by presenting lay testimony because lay persons are not competent to offer medical opinions. Espiritu v. Derwinski, 2 Vet. App. 492, 494 (1992). Consequently, lay assertions of medical causation cannot constitute sufficient evidence to render a claim well grounded under 38 U.S.C.A. § 5107(a). When there is an approximate balance of positive and negative evidence regarding the merits of an issue material to the determination of the matter, the benefit of the doubt in resolving each such issue shall be given to the claimant. 38 U.S.C.A. § 5107(b). In Gilbert v. Derwinski, 1 Vet. App. 49, 53 (1990), the Court stated that "a veteran need only demonstrate that there is an 'approximate balance of positive and negative evidence' in order to prevail." To deny a claim on its merits, the evidence must preponderate against the claim. Alemany v. Brown, 9 Vet. App. 518, 519 (1996) (citing Gilbert, 1 Vet. App. at 54). Analysis. Initially, the Board notes that the threshold question to be answered in this case is whether the veteran has presented evidence of a well-grounded claim; that is, a claim which is plausible and meritorious on its own or capable of substantiation. If he has not, his appeal must fail. 38 U.S.C.A. § 5107(a); see Murphy, supra. First element of a well-grounded claim. In order to establish the first element of a well-grounded claim, the veteran must present competent evidence of a current dis- ability in the form of a medical diagnosis. The veteran's statements regarding his disorders and their symptoms, and the sworn statements of his service comrades, cannot establish the existence of a current disability. The veteran and his service comrades are not competent to establish the existence of a current disability as this is an issue of medical diagnosis which requires medical expertise in order to have probative value. See Caluza, 7 Vet. App. at 504; Grottveit, 5 Vet. App. at 93; Espiritu, 2 Vet. App. at 494. The Court has long held that evidence which requires medical knowledge must be provided by someone qualified as an expert by knowledge, skill, experience, training, or education. See Espiritu, supra. Nothing in the claims folder shows that the veteran, D. De Leon, or J. Adelante have any of these necessary qualifications to render a medical opinion. While the veteran and his service comrades may present competent lay evidence regarding symptoms the veteran manifested during service, they are not competent to establish that the symptoms were diagnostic of heart disease, hypertension, and/or arthritis during his service. Likewise, they are not competent to establish that those symptoms are related to any current disorder from which the veteran may suffer. See Caluza, Grottveit, both supra. The Board recognizes the affidavit of Dr. Diaz, and the veteran's contention that Dr. Diaz's statements are competent to establish current diagnoses of the claimed disorders and to show that these disorders were present during his military service. However, the Board concurs with the RO's finding that Dr. Diaz's statements are not competent to establish that the veteran currently suffers from any of the claimed disorder or that any of these disorders was present during service. As noted above, Dr. Diaz admitted that he had no records of the treatment he provided during World War II, that he could not remember personally treating the veteran during World War II, and that he had not examined the veteran when he signed the October 1997 affidavit in which he certified that he had treated the veteran for heart disease, hypertension, and arthritis. Dr. Diaz indicated that he had merely signed the affidavit after it was presented to him by one of the veteran's relatives, on consideration that he might have treated the veteran during the war based on the veteran's age. Thus, the Board finds that Dr. Diaz's statements in an affidavit prepared for him by the veteran or the veteran's relatives are not competent to establish that the veteran currently suffers from any of the claimed disorders, or that any of the claimed disorders were present during the veteran's military service, or that there is any relationship between any current disorder and the veteran's military service. Inasmuch as the evidence in its entirety is negative for a diagnosis of arthritis, the Board concludes that, with respect to this disorder, the veteran has not met the first prong of Caluza, i.e., establishing a current disability by medical diagnosis. However, in view of the medical records dated in 1993 which reflect a history of hypertension and a diagnosis of atherosclerosis of the thoracic aorta, the first element of a well-grounded claim as to these disorders is established. Second element of a well-grounded claim. The Board must next determine whether appropriate lay or medical evidence tends to show that heart disease or hypertension was present in service or within the first year after the veteran's release from service. As noted by the RO, all service records obtained in support of the veteran's claim are negative for any competent evidence of heart disease, hypertension, or arthritis during his military service. Significantly, the veteran himself, in the affidavit he executed in 1947, denied having incurred any disease or injury during service. Regarding the veteran's claim that he served in combat and therefore is entitled to the relaxed evidentiary standard afforded under 38 U.S.C.A. § 1154(b), the Board notes that although the evidence of record reflects that the veteran had military service from November 1942 to October 1945, there is no service department verification establishing that he actually served in combat. Most significantly, however, the Board finds that the claims file does not contain "satisfactory lay or other evidence of such an injury or disease." As noted above, the veteran and his service comrades are not competent to establish a diagnosis of an injury or disease due to lack of medical expertise. Pursuant to section 1154(b) lay evidency is sufficient to establish that the veteran experienced features or symptoms of injury or illness during service. However, the mere existence of such symptomatology does not necessarily establish the existence of any particular disease entity. Competent medical evidence is required to establish the presence during service of heart disease, hypertension, and/or arthritis. See Savage, 10 Vet. App. at 497; Falzone v. Brown, 8 Vet. App. 398, 405 (1995); see also Layno v. Brown, 6 Vet. App. 465, 469-70 (1994). Dr. Diaz's statements have also been shown to be unsatisfactory in establishing that the veteran incurred any injury or disease while on active duty. Moreover, the veteran's stated himself, in the 1947 affidavit, that he did not incur any disease or injury during service. In sum, the record in this case is devoid of competent evidence establishing that the veteran incurred any of his claimed disorders during his active duty. Consequently, the Board finds that even if the relaxed evidentiary standard afforded combat veterans was applied in this case, the veteran's claim of service connection would still fail as there has been no satisfactory showing that the veteran incurred any disability during service. Nor is there a basis under 38 C.F.R. § 3.303(b) for establishing the second element of a well-grounded claim. As to chronicity under § 3.303(b), although the veteran is currently diagnosed with a heart disorder, that diagnosis was first made in 1993, more than 45 years following his discharge from service. As noted above, while the veteran has argued pursuant to section 1154(b) that heart disease was present during service, he is only competent to describe the symptoms that he has experienced and cannot establish the existence of a chronic condition such as heart disease, hypertension or arthritis during service. Indeed, there is neither evidence that he was diagnosed with a chronic condition in service or within an applicable presumption period nor a medical opinion since then that any symptoms experienced in service were chronic then. Thus he has not submitted a well-grounded claim based on the existence of the same chronic condition during service and currently. See 38 U.S.C.A. § 1112(a)(1); 38 C.F.R. §§ 3.303(b), 3.307(a), 3.309(a); Savage, supra. Accordingly, the Board concludes that the second element of a well-grounded claim, competent evidence of a disease or injury in service or during the one year presumptive period after service discharge, is not met as to any of the claimed disorders. The third element of a well-grounded claim. There is no competent evidence of a link between any claimed disability and in-service injury or disease. The claims file lack any competent evidence linking artherosclerosis, first diagnosed more than 45 years after the veteran was discharged from military service, with any incident of service. As the record remains devoid of any competent evidence establishing a relationship between any current illness and any illness which may have had an onset during service, it is clear that the veteran's claim of service connection for heart disease must be denied for its failure to meet the third prong of Caluza, i.e., competent evidence of a link between a current disability and an in-service injury or disease. Likewise, continuity of symptomatology has neither been alleged nor shown. Inasmuch as no evidence as to the existence of such symptomatology has been presented, there can be no showing of a nexus between any present condition and post-service symptomatology, as required by Savage, 10 Vet. App. at 495-97. Even if continuity of symptomatology were alleged, a showing of a nexus between such symptoms and current disability would require specialized knowledge or training and is, thus, beyond the competency of a lay person. See Layno, 6 Vet. App. at 470. There is in fact no showing of continuity of symptomatology and no medical evidence that connects a current diagnosis to post-service symptomatology. Accordingly, the Board holds that the third element of a well-grounded claim is not met as to any of the veteran's claims. For the reasons stated above, the Board finds that the veteran's claims for service connection for a heart disease, to include hypertension, and arthritis, are not well grounded, and thus he cannot invoke VA's duty to assist in the development of his claim. As the Court stated in Winters v. West, 12 Vet. App. 203, 206 (1999), "absent a well- grounded claim, the adjudication process must come to a screeching halt." In Grivois v. Brown, 6 Vet. App. 136, 139 (1994), the Court scolded VA for proceeding to assist a claimant in developing a claim without paying sufficient heed to the determination as to whether the claim brought met the statutory requirements to be well grounded. Inasmuch as the veteran's claim is not well grounded, the Board has no authority to order additional development. Although where claims are not well grounded VA does not have a statutory duty to assist the claimant in developing facts pertinent to the claim, VA may be obligated under 38 U.S.C.A. § 5103(a) (West 1991) to advise a claimant of evidence needed to complete the application. Robinette v. Brown, 8 Vet. App. 69 (1995). The Board finds that the RO has advised the veteran of the evidence necessary to establish a well- grounded claim, and the veteran has not indicated the existence of any post-service medical evidence that has not already been obtained or requested that would well ground his claim. McKnight v. Brown, 131 F.3d 1483 (Fed. Cir. 1997); Epps v. Gober, 126 F.3d 1464 (Fed. Cir. 1997). Further, by this decision, the Board is informing the veteran of the evidence which is lacking and that is necessary to make his claim well grounded. As the veteran's claim of entitlement to service connection for heart disease, with hypertension, and arthritis is not well grounded, the doctrine of reasonable doubt has no application to his claim. See 38 U.S.C.A. § 5107(b); 38 C.F.R. § 3.102 (1999). ORDER Service connection for heart disease, to include hypertension, is denied. Service connection for arthritis is denied. Gary L. Gick Member, Board of Veterans' Appeals