Citation Nr: 0300292 Decision Date: 01/07/03 Archive Date: 01/15/03 DOCKET NO. 99-12 223 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in St. Petersburg, Florida THE ISSUES 1. Entitlement to a rating in excess of 10 percent for chondromalacia, left knee. 2. Entitlement to an extension of a temporary total disability rating for a period of convalescence based on left knee surgery after January 31, 2000, pursuant to 38 C.F.R. § 4.30. 3. Entitlement to service connection for a low back disorder, claimed as secondary to a service-connected left knee disability. (The issue of entitlement to service connection for a right knee disorder is undergoing additional development at the Board and will be the subject of a later decision.) REPRESENTATION Appellant represented by: Disabled American Veterans ATTORNEY FOR THE BOARD L. Anne Howell, Counsel INTRODUCTION The veteran served on active duty from January 1972 to November 1982. This matter comes before the Board of Veterans' Appeals (Board) on appeal from a rating decision of the Department of Veterans Affairs (VA) Regional Office (RO) in St. Petersburg, Florida. The issues of an increased rating for a left knee disability and an extension of a temporary total rating were remanded by the Board in November 2000 for further development, which has been completed to the extent possible. As such, the issues are now ready for appellate review. The Board is undertaking additional development on the issue of entitlement to service connection for a right knee disorder pursuant to authority granted by 38 C.F.R. § 19.9(a)(2). When it is completed, the Board will provide notice of the development as required by Rule of Practice 903. (67 Fed. Reg. 3,099, 3,105 (Jan. 23, 2002) (codified at 38 C.F.R. § 20.903.) After giving the notice and reviewing your response to the notice, the Board will prepare a separate decision addressing this issue. FINDINGS OF FACT 1. VA has made all reasonable efforts to assist the veteran in the development of his claims on appeal and has notified him of the information and evidence necessary to substantiate the claims. 2. The veteran's left knee disability is currently manifested by subjective complaints of pain, instability, and decreased endurance; and objective findings of limitation of motion and a history of "mild" effusion. No more than slight instability is shown. 3. The veteran has osteoarthritis of the left knee, which results in pain and some functional impairment. 4. The veteran underwent an arthroscopy, partial medial meniscectomy and debridement of the left knee on December 17, 1999. 5. The follow-up treatment note dated on February 9, 2000, shows that the veteran required four additional weeks of convalescence. 6. The weight of the medical evidence reflects that the veteran's low back disorder is not related in any way to his service-connected left knee disability. CONCLUSIONS OF LAW 1. The criteria for a rating in excess of 10 percent for chondromalacia, left knee, have not been met. 38 U.S.C.A. §§ 1155, 5103(a), 5103A (West 1991 & Supp. 2002); 38 C.F.R. §§ 4.1, 4.2, 4.3, 4.7, 4.10, 4.40, 4.45, 4.59, 4.71, 4.71a, Diagnostic Codes (DCs) 5256, 5257, 5258, 5259, 5260, 5261 (2002). 2. A separate schedular evaluation of 10 percent for arthritis of the left knee is warranted. 38 U.S.C.A. §§ 1155, 5103(a), 5103A (West 1991 & Supp. 2002); 38 C.F.R. §§ 4.59, 4.71, 4.71a, DCs 5003-5010 (2002); VAOPGCPREC 23-97 and VAOPGCPREC 9-98. 3. Entitlement to extension of a temporary total disability rating for a period of convalescence based on left knee surgery is granted for the period from February 1, 2000, until March 8, 2000. 38 U.S.C.A. §§ 5103(a), 5103A (West 1991 & Supp. 2002); 38 C.F.R. § 4.30 (2002). 4. A low back disorder is not shown to be proximately due to a service-connected left knee disability. 38 U.S.C.A. §§ 5103(a), 5103A (West 1991 & Supp. 2002); 38 C.F.R. § 3.310 (2002); Allen v. Brown, 7 Vet. App. 439 (1995). REASONS AND BASES FOR FINDINGS AND CONCLUSIONS I. Entitlement to a Rating in Excess of 10 Percent for Chondromalacia, Left Knee The Board notes that disability evaluations are determined by the application of a schedule of ratings which is based on average impairment of earning capacity. Generally, the degrees of disability specified are considered adequate to compensate for considerable loss of working time from exacerbations or illnesses proportionate to the severity of the several grades of disability. 38 C.F.R. § 4.1 (2002). Separate diagnostic codes identify the various disabilities. 38 U.S.C.A. § 1155 (West 1991 & Supp. 2002); 38 C.F.R. Part 4 (2001). However, the Board will consider only those factors contained wholly in the rating criteria. See Massey v. Brown, 7 Vet. App. 204, 208 (1994). Where there is a question as to which of two evaluations shall be applied, the higher evaluations will be assigned if the disability more closely approximates the criteria required for that rating. Otherwise, the lower rating will be assigned. 38 C.F.R. § 4.7 (2002). When, after careful consideration of all procurable and assembled data, a reasonable doubt arises regarding the degree of disability, such doubt will be resolved in favor of the veteran. 38 C.F.R. § 4.3 (2002). Disability evaluations are determined by the application of a schedule of ratings which is based on average impairment of earning capacity. Generally, the degrees of disability specified are considered adequate to compensate for considerable loss of working time from exacerbations or illnesses proportionate to the severity of the several grades of disability. 38 C.F.R. § 4.1 (2002). Separate diagnostic codes identify the various disabilities. 38 U.S.C.A. § 1155 (West 1991 & Supp. 2002); 38 C.F.R. Part 4 (2002). However, the Board can only those factors contained wholly in the rating criteria. See Massey v. Brown, 7 Vet. App. 204, 208 (1994). Where there is a question as to which of two evaluations shall be applied, the higher evaluations will be assigned if the disability more closely approximates the criteria required for that rating. Otherwise, the lower rating will be assigned. 38 C.F.R. § 4.7 (2002). When, after careful consideration of all procurable and assembled data, a reasonable doubt arises regarding the degree of disability, such doubt will be resolved in favor of the veteran. 38 C.F.R. § 4.3 (2002). Moreover, VA General Counsel, in a precedential opinion (VAOPGCPREC 23-97), held that a claimant who has arthritis and instability of the knee may be rated separately under DCs 5003 and 5257. The General Counsel stated that when a knee disorder was already rated under DC 5257, the veteran must also have limitation of motion which at least meets the criteria for a zero-percent rating under DC 5260 (flexion limited to 60 degrees or less) or 5261 (extension limited to 5 degrees or more) in order to obtain a separate rating for arthritis. The General Counsel subsequently held in VAOPGCPREC 9-98 that a separate rating for arthritis could also be based on X-ray findings and painful motion under 38 C.F.R. § 4.59; see also Degmetich v. Brown, 104 F.3d 1328, 1331 (Fed. Cir. 1997). Where additionally disability is shown, a veteran rated under DC 5257 can also be compensated under DC 5003 and vice versa. A rating decision dated in January 2001 reflects that the RO has rated the veteran's left knee disability as 10 percent disabling under DC 5257 for slight impairment of the knee. It is noted that the RO in a rating decision of January 2000 had changed the diagnostic code for the left knee disability from DC 5257 to DC 5010-5260. The Board will consider DCs 5003, 5010, 5256, 5257, 5258, 5259, 5260, and 5261 for degenerative arthritis, knee ankylosis, dislocation and removal of semilunar cartilage, subluxation or instability, and limitation of motion. Arthritis due to trauma under DC 5010 substantiated by X- ray findings is rated as degenerative arthritis under 5003. Under DC 5003, degenerative arthritis established by X-ray findings will be rated on the basis of limitation of motion under the appropriate diagnostic code for the specific joint or joints involved. When, however, the limitation of motion of the specific joint or joints involved is noncompensable under the appropriate DC, a rating of 10 percent is warranted for each major joint or groups of joints affected by limitation of motion, to be combined, not added under DC 5003. Under DC 5256, favorable ankylosis of the knee, in full extension or in slight flexion between 0 degrees and 10 degrees, warrants a 30 percent evaluation; ankylosis in flexion between 10 degrees and 20 degrees warrants a 40 percent evaluation; ankylosis in flexion between 20 degrees and 45 degrees warrants a 50 percent evaluation; and extremely unfavorable ankylosis in flexion at an angle of 45 degrees or more warrants a 60 percent evaluation. Under DC 5257, when there is impairment of the knee, including recurrent subluxation or lateral instability, a 10 percent evaluation will be assigned where the disability is slight; a 20 percent will be assigned for moderate disability; and 30 percent warranted for severe disability. Under DC 5258, an evaluation of 20 percent is assigned where the semilunar cartilage is dislocated, with frequent episodes of locking, pain, and effusion. Under DC 5259, a 10 percent evaluation is assigned for removal of the semilunar cartilage, symptomatic. Limitations of flexion under DC 5260 are assigned a 10 percent evaluation when flexion is limited to 45 degrees; and a 20 percent evaluation when flexion is limited to 30 degrees. A 30 percent evaluation is assigned under this code when flexion is limited to 15 degrees. Limitations of extension under DC 5261 are assigned a 10 percent evaluation when extension is limited to 10 degrees; and a 20 percent evaluation when extension is limited to 15 degrees. A 30 percent evaluation is assigned under this code when extension is limited to 20 degrees, a 40 percent when extension is limited to 30 degrees, and a 50 percent when extension is limited to 45 degrees. Based on the above evidence, the Board finds that the objective findings of the veteran's left knee disability do not warrant more than a 10 percent evaluation at this time based upon subluxation or instability under DC 5257. There is no evidence of more than a "slight" disability due to recurrent subluxation or lateral instability. The most recent VA examiner specifically found no evidence of lateral instability of the knee. Further, in a December 1998 VA examination, the veteran denied locking and reported only one episode of giving away of the left knee. Therefore, despite the veteran's subjective complaints, the Board can find no objective medical evidence on which to assign a higher than 10 percent evaluation under DC 5257 for lateral instability or recurrent subluxation at this time. The Board notes that the recent clinical findings do not disclose that the veteran has ankylosis of the left knee. Ankylosis is defined as stiffening or fixation of a joint. While it is evidence that the veteran has reported pain on movement and some limitation of motion was noted in December 1998 (110 degrees of flexion/140 degrees), December 1999 (0-80 degrees, just prior to surgery), and January 2000 (120 degrees of flexion/140 degrees) outpatient treatment records, there is no indication of a fixed deformity of the knee. Further, the most recent VA examination report dated in November 2001 and the December 1998 VA examination both noted "full" range of motion of the left knee. Therefore, the Board can find no basis under DC 5256 to grant the veteran a higher disability rating for left knee ankylosis. Turning to the criteria for a higher rating under DC 5258, the Board notes that there is no current evidence of cartilage dislocation with frequent episodes of locking, pain, and effusion into the joint on which to base a rating of 20 percent under DC 5258. While the veteran has reported on-going pain, the medical records are negative for complaints of locking. Further, he denied locking of the knee in a December 1998 VA examination. Moreover, while a "mild" effusion was noted in a December 1998 outpatient treatment record and "mild" fluid accumulation was noted in a December 1998 MRI, the evidence does not support a higher rating under DC 5258 for "frequent locking, pain, and effusion." With respect to DC 5259, the currently-assigned 10 percent rating is the highest available, regardless of the level of disability. Next, in evaluating the veteran's left knee disability under DC 5260 and DC 5261 for limitation of motion, the Board notes that the most recent examination reflected a "full" range of motion (with 0-140 degrees as anatomically normal). Outpatient treatment records shows the most severe limitation of motion reported as 0-80 degrees in December 1999, right before the veteran underwent surgery on his left knee. As noted in the regulations, a higher rating would require flexion limited to 30 degrees and extension limited to 15 degrees. Even considering the highest limitation of motion shown in the record, the Board can find no basis on which to assign a higher rating under either DC 5260 (limitation of flexion) or DC 5261 (limitation of extension). Nonetheless, after reviewing the evidence on file, the Board finds that, in addition to the current 10 percent evaluation for a knee impairment based on slight instability, the veteran is also entitled to a separate 10 percent rating for arthritis of the left knee with limitation of motion. Specifically, there is evidence in the VA joints examination report of patellofemoral arthritic changes in the left knee. This finding is supported by additional outpatient treatment records reflecting a history of arthritis in the left knee and multiple other X-rays. Accordingly, the veteran has clear X-ray evidence of degenerative arthritis of the left knee. As noted above, the General Counsel has held that a claimant who has arthritis and instability of the knee may be rated separately under DCs 5003 and 5257. Accordingly, a separate evaluation is warranted for the left knee arthritis. The rating for arthritis is based upon limitation of motion. The most recent range of motion of the left knee was reported as "full;" however, motion has been reported as limited from 0-80 degrees, which would not warrant a compensable rating under DC 5260 or DC 5261. Accordingly, the Board finds that a separate rating of 10 percent is warranted for impairment based on arthritis with limitation of motion. It is noted that in assigning this separate rating, the Board has contemplated the complaints of weakness and pain as described by the veteran. In reaching this conclusion, the Board notes that VA has a duty to acknowledge and consider all regulations which are potentially applicable based upon the assertions and issues raised in the record and to explain the reasons used to support the conclusion. Schafrath v. Derwinski, 1 Vet. App. 589 (1991). These regulations include, but are not limited to, 38 C.F.R. § 4.1, that requires that each disability be viewed in relation to its history and that there be an emphasis placed upon the limitation of activity imposed by the disabling condition, and 38 C.F.R. § 4.2 which requires that medical reports be interpreted in light of the whole recorded history, and that each disability must be considered from the point of view of the veteran's working or seeking work. Moreover, 38 C.F.R. § 4.10 states that, in cases of functional impairment, evaluations are to be based upon lack of usefulness, and medical examiners must furnish, in addition to etiological, anatomical, pathological, laboratory and prognostic data required for ordinary medical classification, full description of the effects of the disability upon a person's ordinary activity. This evaluation includes functional disability due to pain under the provisions of 38 C.F.R. § 4.40. Special consideration is given to factors affecting function in joint disabilities under 38 C.F.R. § 4.45. These requirements for the consideration of the complete medical history of the claimant's condition operate to protect claimants against adverse decisions based upon a single, incomplete or inaccurate report and to enable the VA to make a more precise evaluation of the level of disability and any changes in the condition. The Board has considered these provisions, taking into consideration the objective findings as well as the subjective statements of the veteran, and finds that his left knee disability warrants separate ratings of 10 percent under DC 5257 and 10 percent under DC 5003, but no more. The Board finds that the separate ratings contemplate the veteran's demonstrated complaints of pain and the limitation of motion and functional loss due to pain. However, even considering the standards outlined in DeLuca v. Brown, 8 Vet. App. 202 (1995) and the provisions of 38 C.F.R. § 4.40 et seq., there is no basis on which to assign a higher rating at this time. II. Entitlement to an Extension of a Temporary Total Disability Rating for a Period of Convalescence Based on Left Knee Surgery Under the provisions of 38 C.F.R. § 4.30, a total rating may be granted following hospital discharge, when it is established by report at hospital discharge, that entitlement is warranted effective from the date of hospital admission, and continuing for a period of one, two, or three months from the first day of the month following such hospital discharge if the hospital treatment of the service-connected disability results in: (1) surgery necessitating post hospital convalescence; the initial grant of a total rating will be limited to one month with one or two extensions of periods of one month each in exceptional cases; (2) surgery with severe postoperative residuals shown at hospital discharge, such as incompletely healed surgical wounds, stumps of recent amputations, therapeutic immobilization of one major joint or more, application of a body cast, or the necessity for house confinement, or the necessity for continued use of a wheelchair or crutches (regular weight bearing prohibited). Initial grants may be for one, two or three months; (3) immobilization by cast, without surgery, of one major joint or more shown at hospital discharge or performed on an outpatient basis with initial grants of one, two or three months. The United States Court of Appeals for Veterans Claims (formerly the United States Court of Veterans Appeal) (the Veterans Claims Court) has determined that the inability to return to any employment would, in fact, show a need for continuing convalescence under 38 C.F.R. § 4.30. Seals v. Brown, 8 Vet. App. 291, 296-297 (1995). Medical records reveal that the veteran underwent an arthroscopy, partial medial meniscectomy and debridement of his service-connected left knee on December 17, 1999. The following day, the incision was healing and the sutures were removed. He was to report back to the clinic in three weeks and ordered to have "one month convalescence for s.c. injury." In a February 9, 2000, follow-up treatment note, the examiner determined to "extend s.c. convalescence X 4 more wks." While the RO granted convalescence from December 17, 1999, to January 31, 2000, the Board finds that the veteran is entitled to a temporary total rating for an additional four weeks from February 9, 2000, as ordered by his treating physician. Specifically, the Board gives great weight to the February 2000 follow-up treatment note that additional convalescence was needed, particularly in light of the evidence which reflects that the veteran was to undergo physical therapy for quad/hamstring strength. However, there is no evidence that any additional periods of convalescence are warranted. First, there is no evidence of further post-operative treatment of the veteran's left knee disability in subsequent outpatient treatment records dated throughout 2000. In addition, there is no mention in any outpatient treatment records reflecting a need for any extended convalescence time. Thus, the Board finds that an additional four week period of convalescence is warranted, but no more. Finally, it appears that the veteran was employed prior to and after surgery. Accordingly, there is no basis to grant further convalescence based on an inability to return to work. III. Entitlement to Service Connection for a Low Back Disorder, Claimed as Secondary to a Service-Connected Left Knee Disability The veteran maintains that his low back symptoms are related to his service-connected left knee disability. The regulations provide that service connection is warranted for a disability which is aggravated by, proximately due to, or the result of a service-connected disease or injury. 38 C.F.R. § 3.310 (2002). Any additional impairment of earning capacity resulting from an already service-connected condition, regardless of whether or not the additional impairment is itself a separate disease or injury caused by the service-connected condition, should also be compensated. Allen v. Brown, 7 Vet. App. 439 (1995). When service connection is thus established for a secondary condition, the secondary condition shall be considered a part of the original condition. Id. The Board must determine whether the evidence supports the claim or is in relative equipoise, with the veteran prevailing in either case, or whether the preponderance of the evidence is against the claim, in which case, service connection must be denied. Gilbert v. Derwinski, 1 Vet. App. 49 (1990). As an initial matter, the Board finds that the veteran has not claimed entitlement to service connection for a low back disorder on a direct basis (which has previously been denied); rather, he asserts that he is entitled to secondary service connection for a low back disorder due to a service-connected left knee disability. After a review of the evidence, the Board finds that the weight of the medical evidence is against the claim for service connection for a low back disorder on a secondary basis. The Board places significant probative value on a November 2000 VA examination, undertaken specifically for the purpose of addressing the veteran's secondary claim. At that time, the examiner outlined the veteran's subjective complaints related to his back and knees. After a physical examination, the clinical impression was bilateral patellofemoral arthritis and degenerative disc disease of L5-S1. The examiner concluded that the symptoms associated with the veteran's lower back were not in any way related to his knee condition. In assigning probative value to this report, the Board notes that the examiner had the claims file for review, specifically discussed some of the findings in the claims file, obtained a reported history from the veteran, and conducted a complete physical examination. There is no indication that the VA examiner was not fully aware of the veteran's past medical history or that he misstated any relevant fact. Therefore, the Board finds the VA examiner's opinion to be of great probative value. Next, the Board notes that no other examiners or treating physicians have directly addressed the issue of whether the veteran's low back complaints were related to his service-connected left knee disability. The mere contention of the veteran, no matter how well-meaning, without supporting medical evidence that would etiologically relate his current low back complaints with his service-connected disability cannot support a claim for service-connection. Caluza v. Brown, 7 Vet. App. 498 (1995); Lathan v. Brown, 7 Vet. App. 359 (1995); Rabideau v. Derwinski, 2 Vet. App. 141, 144 (1994); King v. Brown, 5 Vet. App. 19 (1993). In sum, the Board has carefully weighed the evidence of record, the veteran's statements, the VA outpatient treatment records, and the VA examination reports and medical opinion, in light of the applicable law, and finds that equipoise is not shown and the benefit of the doubt rule does not apply. As the weight of medical evidence fails to support the veteran's claim for secondary service-connection, the Board is unable to grant the benefit sought. Finally, in reviewing the veteran's claims, the Board has considered the Veterans Claims Assistance Act of 2000 (VCAA), which, among other things, redefined the obligations of VA with respect to the duty to assist and included an enhanced duty to notify a claimant as to the information and evidence necessary to substantiate a claim for VA benefits. The law also eliminated the concept of well-groundedness and is applicable to all claims filed on or after the date of enactment or those filed before the date of enactment but not yet final as of that date. See 38 U.S.C.A. § 5103A (West 2002). Additionally, in August 2001, VA issued regulations implementing the provisions of VCAA "to establish clear guidelines consistent with the intent of Congress regarding the timing and the scope of assistance VA will provide to a claimant who files a substantially complete application for VA benefits." In this case, VA's duties have been fulfilled to the extent possible with regard to the issue decided in this decision. First, VA must now notify the veteran of evidence and information necessary to substantiate his claims and inform him whether he or VA bears the burden of producing or obtaining that evidence or information. 38 U.S.C.A. § 5103(a) (West Supp. 2002); 38 C.F.R. § 3.159; Quartuccio v. Principi, 16 Vet. App. 183 (2002). By virtue of the information contained in the statement and supplemental statements of the case issued during the pendency of the appeal, the veteran and his representative were given notice of the information, medical evidence, or lay evidence necessary to substantiate the claims. Next, VA has a duty to assist the veteran in obtaining evidence necessary to substantiate the claim. 38 U.S.C.A. § 5103A (West Supp. 2002). To that end, it appears that all medical records identified by the veteran have been associated with the claims file. Further, he was notified by letter dated in January 2001 that if had any additional medical evidence he should inform VA and they would assist him in obtaining the evidence. He responded that he had received treatment at a VA outpatient clinic and those records were associated with the claims file. In addition, the issues of an increased rating for a left knee disability and an extension of a temporary total rating were the subject of a Board remand in November 2000. As a result, the veteran underwent recent VA examinations specifically to address the issue related to a left knee disability. Moreover, inasmuch as the Board is allowing an extension of a temporary total rating for the four additional weeks as requested by the veteran, he will not be prejudiced by the Board's decision even if the notice and duty to assist provisions contained in the new law have not been completely satisfied. Therefore, no further action is necessary under the mandate of the VCAA as to this issue. As such, the Board finds that the record as it stands is sufficient to decide the claims and no additional development is needed. Therefore, the Board finds that the mandates of the VCAA have been satisfied and decisions on the merits is not prejudicial to the veteran under Bernard v. Brown, 4 Vet. App. 384 (1993). ORDER The claim for entitlement to a rating in excess of 10 percent for chondromalacia, left knee, is denied. A separate 10 percent evaluation for arthritis of the left knee is granted, subject to the law and regulations governing the payment of monetary benefits. Entitlement to a temporary total disability rating for a period of convalescence based on left knee surgery pursuant to 38 C.F.R. § 4.30, is granted for the period from February 1, 2000, to March 8, 2000. The claim for entitlement to service connection for a low back disorder, claimed as secondary to a service-connected left knee disability, is denied. Gary L. Gick Member, Board of Veterans' Appeals IMPORTANT NOTICE: We have attached a VA Form 4597 that tells you what steps you can take if you disagree with our decision. We are in the process of updating the form to reflect changes in the law effective on December 27, 2001. See the Veterans Education and Benefits Expansion Act of 2001, Pub. L. No. 107-103, 115 Stat. 976 (2001). In the meanwhile, please note these important corrections to the advice in the form: ? These changes apply to the section entitled "Appeal to the United States Court of Appeals for Veterans Claims." (1) A "Notice of Disagreement filed on or after November 18, 1988" is no longer required to appeal to the Court. (2) You are no longer required to file a copy of your Notice of Appeal with VA's General Counsel. ? In the section entitled "Representation before VA," filing a "Notice of Disagreement with respect to the claim on or after November 18, 1988" is no longer a condition for an attorney-at-law or a VA accredited agent to charge you a fee for representing you