Lead Opinion
Juliet T. Tagupa, surviving spouse of Luis T. Tagupa, appeals through. counsel from an August 2, 2011, Board of Veterans’ Appeals (Board) decision that denied her VA benefits because her husband did not have qualifying military service to establish status as a veteran of the U.S. Armed Forces. The Court previously affirmed the Board’s decision denying benefits in a May 31, 2013, single judge decision. Tagupa v. Shinseki, No. 11-3575, 2013 U.S. Vet.App. LEXIS 863 (May 31, 2013) (mem. dec.). However, the Cqurt granted Mrs. Tagupa’s motion for reconsideration and submitted the appeal to a panel of the Court to determine whether the National Personnel Records Center (NPRC) constitutes a service department for purposes of verifying service under 38 C.F.R. § 3.203(c) (2014). Tagupa v. Shin-seki No. 11-3575, 2013 U.S. Vet.App. 1223 (July 25, 2013) (order).
For the following reasons, the Court will deny Mrs. Tagupa’s motion for leave to submit supplemental evidence, and will withdraw its May 31, 2013, decision and issue this panel decision in its. stead. The Court holds that it cannot determine, on the record as submitted, whether the Department of the Army has delegated the authority to make service decisions to the National Archives and Records Administration (NARA), or its agency, the NPRC, for purposes of verifying service under § 3.203(c). Therefore, absent evidence of a statutorily delegated duty, the plain meaning of VA’s regulation requires verification of service from the relevant service department. Accordingly, the Court will set aside the August 2011 Board decision
I. BACKGROUND
Mr. Tagupa died in 1993. In December 2008, Mrs. Tagupa filed an application for VA benefits based on her late husband’s World War II military service. Because Mr. Tagupa’s name was not on the “Reconstructed Recognized Guerrilla Roster,” the Manila, Philippines, regional office (RO) requested verification of his service from the NPRC,
In her Notice of Disagreement (NOD) to the June 2009 RO decision, Mrs. Tagupa submitted evidence of her husband’s service, including an identification card from the “Anderson Fil-American Guerrillas,” issued to Luis Tabac Tagupa, with the number “147020” on the front of the card. R. at 114. This card states that Mr. Tagu-pa actively participated in the anti-Japanese resistance movement in the Philippines from March 4,1942, until September 27, 1945, when he was honorably discharged. R. at 115. In addition to this document, Mrs. Tagupa submitted affidavits from two of her husband’s comrades, who attested to his service, and a certificate recognizing and thanking Mr. Tagupa for his service “in the Armed Forces of the United States,” which bears the signature of President Barack Obama. R. at 87.
VA continued to deny Mrs. Tagupa benefits in a February 2010 Statement of the Case (SOC) and a March 2010 Supplemental SOC because her husband had no qualifying military service. After filing an appeal to the Board, Mrs. Tagupa informed the RO that its requests for verification from NPRC used the number “47020” rather than “147020.” R. at 50. On October 13, 2010, the RO submitted a third request for service verification to NPRC using number “147020,” and also included the Anderson Fil-American Guerrillas identification card and the affidavits from Mr. Tagupa’s comrades attesting to his service. On October 20, 2010, Mrs. Tagu-pa sought information from NARA about her late husband’s military service by completing a form and noting that her husband separated from service in September 1945 at “Army Forces 48 LGF, Luzon Guerilla.” R. at 42. VA received a copy of Mrs. Tagupa’s completed NARA form on November 22, 2010-10 days after NPRC responded to VA’s third verification request — by indicating the submitted information did not warrant a change in its prior negative verification. R. at 48.
II. ARGUMENTS OF THE PARTIES
Mrs. Tagupa argues that VA failed to comply with 38 C.F.R. § 3.203(c), when it sought verification of Mr. Tagupa’s service as a guerrilla working with the U.S. Armed Forces in the Philippines from the NPRC rather than the service department. She asserts that the NPRC does not have
In response, the Secretary asserts that NPRC operates as an agent of the Department of the Army, maintains the relevant Philippine records, and has the authority to make service department determinations. As support for NPRC’s authority to make service department determinations, the Secretary submitted a 1998 memorandum of agreement (MOA) between the Department of the Army and NARA, a document not before the Board in August 2011. In this agreement, the Department of the Army purported to transfer “responsibility for providing reference services on the collection of Philippine Army files and archives holdings” to NARA indefinitely. See Secretary’s (Sec.) Response (Resp.) to Court’s July 2013 Order, Exhibit A.
In response to the MOA, Mrs. Tagupa filed a motion for leave to submit supplemental evidence should the Court take judicial notice of the MOA. The supplemental information Mrs. Tagupa sought to admit was a July 9, 2013, White House blog posting entitled “Recognizing the Extraordinary Contribution of Filipino Veterans.” This blog article discussed the work of the Filipino Veterans Equity Compensation Fund Interagency Working Group-comprising VA, the Department of Defense, and NARA-and contained statements on the duties of the NPRC. Specifically, the blog stated that the NPRC does not make service determinations. See Appellant’s Motion for Leave to Submit Supplemental Evidence at 6.
Mrs. Tagupa also contends that the Board should have found veteran status under 38 C.F.R. § 3.203(a), because the Anderson Fil-American Guerrillas identification card identifies her husband by name and states on its face that his military group is recognized by the “U.S.A. government.” R. 114. She furthermore asserts that the Board violated Capellán, supra note 1, by failing to submit another request to NPRC after she provided her husband’s place of separation from service. She also contends that the Board erred in relying on negative responses from the NPRC because these responses did not address whether Mr. Tagupa’s guerrilla service could have been with unrecognized guerrillas.
III. ANALYSIS
“Generally, ‘[i]n order to qualify for VA benefits, a claimant ... or the party upon whose service the claimant predicates the claim ... [must be] a “veteran.” ’ ” Donnellan v. Shinseki,
The “interpretation of a statute or regulation is a question of law,” Lane v. Principi,
At issue is the language of 38 C.F.R. § 3.203, the evidentiary regulation for proving service, which provides in pertinent part:
(a) Evidence submitted by a claimant,. For the purpose of establishing entitlement to ... dependency and indemnity compensation or burial benefits the Department of Veterans Affairs may accept evidence of service submitted by a claimant (or sent directly to the Department of Veterans Affairs- by the service department), such as a DD Form 214, Certifícate 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. A copy of an original document is acceptable if the copy was issued by the service department or if the copy was issued by a public custodian of records who certifies that it' is a true and exact copy of the document in the custodian’s custody or, if the copy was submitted by an accredited agent, attorney or service organization representative who has successfully completed VA-prescribed training on military records, and who certifies that it is a true and exact copy of either an original document or of a copy issued by the service department or a public custodian of records; and
(2) The document contains needed information as to length, time and character of service; and
(3) In the opinion of the Department of Veterans Affairs the document is genuine and the information contained in it is accurate.
(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.
38 C.F.R. § 3.203.
Subsection (a) of the regulation uses the term “may” and thus gives VA discretion to determine whether the evidence submitted to establish service is itself sufficient, without additional service department verification. See Willis v. Brown,
Although each service department is charged with making binding service department determinations, Congress permits some Government officials to authorize the “Archivist to certify to facts and to make administrative determinations on the basis of records transferred to the Archivist, notwithstanding any other law.” 44 U.S.C. § 3104; see also 44 U.S.C. § 4102 (establishing NARA and placing it under the supervision of “the Archivist”). After the promulgation of § 3.203 and Duro and Soria, the Department of the Army executed the 1998 MOA with NARA that assigned the responsibility of “providing reference service on the collection of Philippine Army files and archival holdings.” Sec. Resp. to Court’s July 2013 Order, Exhibit A, at 1. As previously stated, the Secretary submitted this MOA directly to the Court as proof that the Department of the Army has delegated its authority to make service department determinations to NARA. Because the MOA was not in evidence in the proceedings before VA, the Court must first determine whether it may take judicial notice of the document.
Generally, the Court is precluded from considering evidentiary material that is not contained in the record on appeal, see Kyhn v. Shinseki,
The Court will take judicial notice of the existence of the MOA between the Department of the Army and NARA. See FedR.Evid. 201(b); see also United States
The ambiguous language of the MOA precludes the Court from finding that the Department of the Army delegated its duty to make administrative determinations verifying service to NARA, or its agency, NPRC. Absent evidence of delegation to NPRC of the service department’s authority to determine qualifying service, the plain mandatory language of VA’s regulation controls. That language clearly states that, when VA has determined that evidence of service does not comply with subsection (a), VA “shall request verification of service from the service department.” 38 C.F.R. § 3.203(c) (emphasis added); See Tropf
The Court declines to take judicial notice of Government websites referenced by the parties, or of the White House blog referenced by Mrs. Tagupa that stated that the NPRC does not make service determinations. This information was not before the Board and contains potentially conflicting information as to whether NPRC can act as an agent of the service department for the purpose of making service determinations, and raises questions concerning the records in the Philippine archives housed at NPRC. See FED. R. EVID. 201 (allowing a court to take judicial notice of a fact not subject to reasonable dispute).
B. Duty To Assist
In addition to VA’s duty to seek verification from the service department under § 3.203, VA also has a duty to assist a claimant in obtaining evidence necessary to substantiate a claim, including establishing veteran status. 38 U.S.C. § 5103A(a)(l); Canlas v. Nicholson,
Consistent with VA’s duty to assist, the Federal Circuit has held that to establish service the service department must review and consider the documentary evidence submitted. Capellan,
In Canlas, the Court expressly left open the question whether VA’s duty to assist requires VA to obtain records where the NPRC had already provided a negative service verification.
C. Reasons or Bases for Rejecting Evidence of Service
In attempting to prove her husband’s service with the U.S. Armed Forces during World War II, Mrs. Tagupa submitted an Anderson Fil-American Guerrillas identification card bearing the number “14720” and containing the notation that this group was “[rjecognized by the “U.S.A. Government.” R. at 114. The identification card lists Mr. Luis T. Tagupa’s rank as sergeant with the 11th Sampta Regiment, Division I, and certifies that he actively participated in the anti-Japanese resistance movement in the Philippines, enlisting in March 4, 1942 and receiving an honorable discharge on September 27, 1945. R. at 84. Mrs. Tagupa also submits an affidavit from Angel Fagel, who states that he served with her husband when they actively participated in the anti-Japanese resistance movement, and an affidavit from Rodolfo de leon Soriano, who attests that Mr.
Although the documents offered as evidence of Mr. Tagupa’s service do not qualify as a DD Form 214, a Certificate of Release or Discharge from Active Duty, or an original Certificate of Discharge, as set forth in subsection (a) of the regulation, Mrs. Tagupa argues that the identification card constitutes a U.S. service document because it was issued by the Anderson Fil— American Guerrillas, a group that identified itself as recognized by the U.S. government. And, the identification card on its face provides the time, length, and character of Mr. Tagupa’s service.
The Board noted the documents Mrs. Tagupa submitted and tersely stated that “the information and evidence submitted ... may not be accepted as verification ... that [Mr. Tagupa] had active service.” R. at 8. Although VA exercised its regulatory discretion to reject Mrs. Tagupa’s documents purporting to establish her husband’s service, it provided no reasons for rejecting evidence that, on its face, appears to be evidence supporting service. Thompson v. Gober,
D. Capellán Violation
Mrs. Tagupa- also argues that the Board erred in failing to submit another request for verification from NPRC after she submitted information regarding her husband’s place of separation from service. In Capellán the Federal Circuit held “that a claimant’s new evidence [must] be submitted and considered in connection with a Verification of service request from the service department.’”
E. Unrecognized Guerrilla Service
The Board denied Mrs. Tagupa’s benefits based on NPRC’s-reply to VA’s multiple requests for information stating that Mr. Tagupa had “no service as a member of the Philippine Commonwealth Army, including the recognized guerrillas, in the service of the United States Armed Forces.” R. at 48,155,159. However, VA received no information from NPRC about whether Mr. Tagupa served as a member of an unrecognized guerrilla group. See
In its decision, the Board mentioned that service department certifications may establish unrecognized guerrilla service, which is qualifying service for VA compensation benefits. R. at 5 (noting that § 3.40(d)(2) includes unrecognized guerrilla service and that this is service “under a recognized commissioned officer, who was a former member of the U.S. Armed Forces or the Commonwealth Army”). However, the Board’s analysis failed to address the possibility that Mr. Tagupa served in an unrecognized guerrilla unit during World War II. Therefore, the Board provided an inadequate statement of reasons or bases for its decision, which frustrates judicial review and necessitates remand. Allday and Tucker, both supra.
IV. CONCLUSION
For the reasons stated above, the Court WITHDRAWS its May 31, 2013, decision, DENIES Mrs. Tagupa’s motion for leave to submit supplemental evidence, SETS ASIDE the Board’s August 2, 2011, decision, and REMANDS the matter for VA to seek verification of service from the Department of the Army.
Notes
. NPRC is a part of NARA, “and receives and stores records of various types concerning persons who served in the Armed Forces.” Capellan v. Peake,
Concurrence Opinion
concurring in part and dissenting in part:
I fully agree that remand is warranted so that the Secretary can seek verification of Mr. Tagupa’s service from the Department of the Army, as required by his regulation. I note, however, that I find the MOA clear in that the NPRC provides a reference service only; it may certify service department determinations in the record, but it lacks the authority to issue a service department determination that is not otherwise contained in the records it maintains. I also agree that the Board provided an inadequate statement of reasons or bases regarding whether Mr. Ta-gupa served in an unrecognized guerrilla unit during World War II.
I do not, however, agree with the majority’s determination that the Board provided no reasons for rejecting the documents submitted by Mrs. Tagupa for purposes of verifying service under 38 C.F.R. § 3.203(a). To the contrary, the Board addressed the documents Mrs. Tagupa submitted as support that her husband served with the U.S. military and found that none of the documents were official service department documents that meet the requirements of 38 C.F.R. § 3.203(a). Based on the record of proceedings, the Board’s finding is plausible and not clearly erroneous. See Gilbert v. Derwinski,
