FORTUNATA CAPELLAN v. JAMES B. PEAKE, M.D., Secretary of Veterans Affairs
2007-7236
United States Court of Appeals for the Federal Circuit
September 2, 2008
Douglas K. Mickle, Trial Attorney, Commercial Litigation Branch, Civil Division, United States Department of Justice, of Washington, DC, for respondent-appellee. With him on the brief were Jeanne E. Davidson, Director, and Martin F. Hockey, Jr., Assistant Director. Of counsel on the brief were Michael J. Timinski, Deputy Assistant General Counsel, and Jamie L. Mueller, Attorney, Office of the General Counsel, United States Department of Veterans Affairs, of Washington, DC.
Appealed from: United States Court of Appeals for Veterans Claims
Chief Judge William P. Greene, Jr.
DECIDED: September 2, 2008
Before NEWMAN, MAYER, and SCHALL, Circuit Judges.
Opinion for the court filed by Circuit Judge NEWMAN. Concurring opinion filed by Circuit Judge SCHALL.
This appeal centers on the attempt of Fortunata Capellan to establish that her husband, Santiago A. Capellan, was killed in the Battle of Bataan in 1942 while in the Armed Forces of the Philippines in the service of the United States Armed Forces. His body was never recovered. Mrs. Capellan‘s claim is founded on
After the war Mrs. Capellan applied for veterans’ benefits based on her husband‘s service. The application was granted and Mrs. Capellan received benefits for several months in 1950 until they were terminated in August of that year. This appeal is from the most recent denial of her claim for dependency and indemnity compensation, by decision of the United States Court of Appeals for Veterans Claims (the “Veterans Court“). The Veterans Court held that Mr. Capellan‘s military service had not been established by an official United States military document or verified by a United States service department pursuant to
At the threshold, the government challenges our jurisdiction of this appeal.
Jurisdiction
Pursuant to
law or of any statute or regulation . . . or any interpretation thereof . . . that was relied on
The Secretary of Veterans Affairs (herein “the VA“) argues that this court does not have jurisdiction to consider any aspect of this appeal, stating that Mrs. Capellan is simply seeking review of a factual determination concerning Mr. Capellan‘s military service. Mrs. Capellan argues that the decision of the Veterans Court was based on an incorrect interpretation of certain statutes and regulations. The issues she raises primarily concern
BACKGROUND
Before and during World War II the Commonwealth of the Philippines was a territory of the United States.2 On July 26, 1941 President Roosevelt placed the military forces of the Philippines in the service of the United States Armed Forces in the Far East (USAFFE). See Military Order, 6 Fed. Reg. 3825 (July 26, 1941). The United States duly provided that members of the Philippine military forces who fought the Japanese invasion, or Philippine persons who fought as guerrillas during the Japanese occupation, and their survivors, were eligible for certain benefits from the United States. See
The activity relevant to this appeal is focused on documentation from the Philippine military authorities that Mrs. Capellan received in 1997 with respect to her husband‘s service and death at Bataan. A document dated December 9, 1997, signed by Records Officer Romeo L. Soriben and Captain Narciso S. Erna, Assistant Adjutant General of the Armed Forces of the Philippines, certified that Private Santiago Capellan served in the “B Co 1st Bn 1st Regt,” and described his service as:
Beleaguered status fr 19 Dec 41 to 28 Fed 42; Died at Bagac, Bataan Phils on 28 Fed 42; Termination of casualty status on 23 Oct 44 (RPD dtd 20 Nov 47)
while a member of the Commonwealth Army of the Philippines in the service of the USAFFE/GRLA.
Admin. Rec. at 16. These documents were submitted in January 1998 to the VA Regional Office in Manila. In October 1999 the Regional Office wrote Mrs. Capellan that it was unable to locate the relevant claims files and requested additional information. The Regional Office letter stated:
So that proper adjudicative action may be taken on your claim, you must furnish the following:
- VA Form 21-534. Please fill out every blank which applies to you.
- VA Form 21-4138. Please explain why your benefits were terminated in July 1950.
- Copies of Notices of Award and Disallowance to include all available previous VA correspondence.
- A copy of the veteran‘s death certificate.
- A copy of your marriage certificate.
Admin. Rec. at 24. Mrs. Capellan responded in December 1999, providing both requested VA forms and stating that she had not received a death certificate because her husband‘s “body was unrecovered and no document was issued to us by proper authorities. I hope that this military service record will serve as his death certificate.” She included a copy of her marriage certificate, and explained that her copies of the Notices of Awards and Disallowances were misplaced or lost and could not be provided. She explained that Mr. Capellan‘s father had received a letter from the VA in July 1950 asking for Mr. Capellan‘s military service record but that “[w]e were not able to submit the document needed because of improper guidance,” and referred to a February 1951
The Regional Office requested a search for Mr. Capellan‘s military records from the National Personnel Records Center (NPRC) in Missouri. The NPRC is part of the United States National Archives and Records Administration, and receives and stores records of various types concerning persons who served in the Armed Forces. The NPRC provided the Regional Office with the 1948 U.S. Army report, which stated that Mr. Capellan had served with the Philippine Commonwealth Army in the service of the United States Armed Forces from December 23, 1941 through February 28, 1942 when he was killed in action. The Regional Office then wrote the NPRC that it had “reason to believe that there may have been a subsequent (1950) re-certification that revoked the 1948 report.” The NPRC then provided the 1950 Army Report, the NPRC stating that “the determination of that date (8/17/50) stands.” The record provided on this appeal does not reflect that the VA provided the Philippine military records, or any of Mrs. Capellan‘s other evidence, to the NPRC for verification of service.
The Regional Office then denied Mrs. Capellan‘s claim, stating that under
Mrs. Capellan submitted a Notice of Disagreement, attaching some previously submitted documentation from various Philippine authorities, including a document dated March 5, 2002 from the Philippine Veterans Affairs Office stating that it certified that Santiago Capellan “is a veteran of World War II/Philippine Revolution who served with 1st Reg. Div. PA with the grade/rank Pvt,” that his service was in the USAFFE, and that an Old Age Pension for his widow Fortunata Capellan based on his service was approved on June 20, 1991. Mrs. Capellan also refiled an October 25, 1955 affidavit of Major Jose M. Javier, the commanding officer of the “B” Company, 1st Battalion, 1st Infantry Regiment Division, which included the following:
5. That I know officially and personally the late veteran, SANTIAGO CAPELLAN, a reservist who reported to active duty in the Philippine Army and was inducted into the USAFFE on or about 18 December 1941, at Camp Murphy, by an American Officer, and was assigned to my unit (“B” Co, 1st Bn, 1st Reg Div) as filler when my unit suffered casualties after the fierce fighting against the enemy at Mauban, Quezon; that said veteran, Santiago Capellan, was inducted into the USAFFE as Private;
6. That the late Pvt. Santiago Capellan had rendered continuous service and had seen actions in Bataan where he was killed in action during the enemy bombing of our line of resistance at Bagac, Bataan, on or about 15 February 1942, and died instantly;
Admin. Rec. at 77.
Other evidence submitted in 2002 included a Philippine Veterans Affairs Office list of veterans including Mr. Capellan who were entitled to shares of the Philippine Veterans Bank, and a stock certificate from the Philippine Veterans Bank showing Mrs.
Santiago Capellan, a Reservist Private who left this municipality of Lopez, province of Tayabas, for active Military Service on December 19, 1941, and from that time to the present time [August 18, 1946], said Reservist, Santiago Capellan had not returned to his family.
Admin. Rec. at 78. Also resubmitted was the March 20, 1969 affidavit of two military comrades of Mr. Capellan, Vicente Pilarca and Inocencio Anacion, who stated that they served with Santiago Capellan in the Philippine Army at Bataan and saw him hit by enemy bullets and killed. The affidavit states:
That we both personally know one, SANTIAGO CAPELLAN, a boyhood friend and townmate whom we met in Bataan somewhere in Abucay, and who told us, he was in uniform, that he was inducted into the USAFFE at Lucena, Quezon (Tayabas) as private in “B” Co., 1st Inf. under Lt. Cuaresma;
That in the main Japanese Offensive at Balanga, we met the said veteran and in the haste of retreat, we chanced to be together and that while together, he was hit by enemy bullets causing his death, his body having been unrecovered;
That the late Private SANTIAGO CAPELLAN died in action on or about the month of February, the date we could not recall at present, in the year 1942;
That we know the above facts because the said veteran was with us during the critical days of the battle at Bataan and we personally saw him hit and died of enemy bullets;
Admin. Rec. at 100.
The Regional Office held a hearing in Manila on September 10, 2002. In addition to the documentary records, Mrs. Capellan and two family members testified that her husband was killed in action while serving in the USAFFE. They provided a photograph of Mr. Capellan in military uniform, and a group photo with his battalion. The Regional
Mrs. Capellan appealed to the Board of Veterans Appeals, which held that the duties to notify and to assist should be applied, and remanded “to obtain additional development and full compliance with the VA‘s due process requirements.” On March 5, 2004 the VA Appeals Management Center wrote to Mrs. Capellan and asked her to “Please provide us with any evidence or information you may have pertaining to your appeal. Provide medical evidence (that you have not already submitted) that will show that the deceased had valid military service.” The letter stated that the VA was responsible for retrieving “[r]elevant records from any Federal agency,” and would make reasonable efforts to get “[r]elevant records not held by a Federal agency.” Mrs. Capellan was instructed to “give us enough information about your records so that we can request them from the person or agency that has them.” The letter also stated: “It‘s your responsibility to make sure that we receive all requested records that aren‘t in the possession of a Federal department or agency.”
On April 24, 2004 Mrs. Capellan replied to the Appeals Management Center and referred to the evidence in her file, pointing to the affidavits from persons who knew Mr. Capellan and witnessed his military service and saw his death in action at Bataan. She stated that his body was never recovered, and that there was thus no medical evidence of his death. The Appeals Management Center then denied her claim, stating that “[t]he
Mrs. Capellan appealed to the Board, and summarized the material she had submitted as follows:
It is not only the Affidavits of Lucia V. Almacha and Natividad C. Escobido [relatives] that were submitted. But many other documents that substantiated my claim and considered as New and Material Evidences.
Some of the material evidences are as follows:
- Affidavit of Mr. Vicente Pilarca. An eyewitness that my husband in Uniform as a USAFFE participated in the Battle of Bataan.
- Inocencio Anacion Comrades-in-arms and eyewitness that my husband in uniform of the USAFFE was killed in action in Bataan.
- Masterlists of the Shareholders of Stock Certificate of the Philippine Veterans Bank, owned by the World War II Veterans.
- Certification of Military Service from the Non-Current Branch Office Division, Gen. Headquarters, AFP, Camp Gen. Emilio Aguinaldo, Quezon City, Philippines.
- Certification of Salaries and Allowances received during the World War II, as a Backpay from the Gen. Headquarters, Camp Gen. Emilio Aguinaldo, Quezon City, Philippines.
- Certification from the Phil. Veterans Affairs Office of my husband‘s Military Service during World War II.
- Affidavit of Mr. Jose M. Javier, during their Defense of Bataan, together with my husband.
- Picture of my husband during their USAFFE training in Port Area, Manila, Philippines, in uniform. His picture is with a check.
Admin. Rec. at 159-160.
With her appeal to the Veterans Court, Mrs. Capellan again pointed to the evidence from the Philippine military authorities and others attesting to her husband‘s military service and to his death at Bataan. She stated that a thorough investigation by the Philippine Judge Advocate General‘s Office in 1947 had determined that Mr. Capellan had served and was killed in action, and provided the additional information that had been before the Board. She stated that it was known that Philippine military personnel were not fully recorded in the NPRC archives, citing specific examples, and that these records were especially deficient as to Philippine personnel killed in the war.
In the Veterans Court, the VA acknowledged Mrs. Capellan‘s evidence, including the certification of her husband‘s military status from the Philippine Armed Forces, but argued that there was a “plausible basis” for the Board‘s decision in light of the evidentiary requirements of
DISCUSSION
The record does not show any request by any VA authority for service department review of any of the documents provided by Mrs. Capellan as she proceeded, over the years, in the Regional Office and the Board of Veterans Appeals and the Veterans Court - although
38 C.F.R. §3.203 Service records as evidence of service and character of discharge.(a) Evidence submitted by a claimant. For the purpose of establishing entitlement to pension, compensation, dependency and indemnity compensation or burial benefits the Department of Veterans Affairs may accept evidence of service submitted by the claimant (or sent directly to the Department of Veterans Affairs by the service department), such as a DD Form 214, Certificate of Release or Discharge from Active Duty, or original Certificate of Discharge, without verification from the appropriate service department if the evidence meets the following conditions:
(1) The evidence is a document issued by the service department....
. . .
(c) Verification from the service department. When the claimant does not submit evidence of service or the evidence submitted does not meet the requirements of paragraph (a) of this section (and paragraph (b) of this section in pension claims), the Department of Veterans Affairs shall request verification of service from the service department. . . .
. . .
Section 3.203 is a general evidentiary rule; it contains no special provisions concerning Philippine military service as recognized under
The “duty to assist,”
The “duty to assist” statute and regulations apply to all evidence needed to substantiate a claim. The VA‘s obligation includes assisting the claimant in developing
The “benefit of the doubt” statute,
VACATED AND REMANDED
The court holds that the Department of Veterans Affairs (“VA“) failed to comply with the duty to assist because it did not furnish the Department of the Army with the material provided by Mrs. Capellan in support of her claim and did not request from the service department, pursuant to
38 C.F.R. §3.203 requires that Mr. Capellan‘s military service be determined based on all relevant evidence, with due application of the duty to assist,38 U.S.C. §5103A ;38 C.F.R. §3.159 , and the statutory and regulatory requirements to consider “all information and lay . . . evidence of record,”38 U.S.C. §5107(b) ; see also38 C.F.R. 3.102 . The VA erred in denying Mrs. Capellan‘s claim based on the archival 1950 Army Report, while obtaining no review of the subsequent evidence by the service department. We vacate the decision of the Veterans Court, and remand for determination, on the entirety of the evidence, of Mr. Capellan‘s military service.
