Citation Nr: 0711771 Decision Date: 04/20/07 Archive Date: 05/01/07 DOCKET NO. 04-12 887 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Muskogee, Oklahoma THE ISSUE Entitlement to an initial rating in excess of 10 percent for supraventricular tachycardia (SVT). REPRESENTATION Appellant represented by: Oklahoma Department of Veterans Affairs WITNESS AT HEARING ON APPEAL The veteran ATTORNEY FOR THE BOARD Barbara C. Morton, Associate Counsel INTRODUCTION The veteran served on active duty from May 2000 to December 2000. This matter is before the Board of Veterans' Appeals (Board) from an October 2002 decision by the Department of Veterans Affairs (VA) Regional Office (RO) in Muskogee, Oklahoma, which granted service connection for SVT and evaluated it at 10 percent, effective from December 23, 2000, the first day following the veteran's service discharge. The veteran was afforded a personal hearing at the RO before the undersigned Acting Veterans Law Judge in April 2005. A transcript of this hearing is associated with the claims file. On appeal in August 2005 the Board remanded the case for further development, to include providing a comprehensive VA cardiovascular examination by an appropriate specialist and obtaining additional relevant medical reports. The Appeals Management Center (AMC) issued a Supplemental Statement of the Case (SSOC) in September 2006. The Board finds that the AMC complied with the August 2005 Remand directives, and therefore the Board may proceed with its review of the appeal. See Stegall v. West, 11 Vet. App. 268, 271 (1998) (noting Board's duty to "insure [the RO's] compliance" with the terms of its remand orders). FINDINGS OF FACT The veteran's heart disability is manifested by a workload of 10.40 METs and fatigue and dizziness but not by a workload greater than 5 METs but not greater than 7 METs or syncope, cardiac hypertrophy or dilatation on an electrocardiogram (ECG), echocardiogram (ECHO) or X-ray. CONCLUSION OF LAW An initial rating in excess of 10 percent for SVT is not warranted. 38 U.S.C.A. §§ 1155, 5103, 5103A, 5107 (West 2002 & Supp. 2005); 38 C.F.R. §§ 3.102, 3.159, 3.321, 4.3, 4.7, 4.104, Diagnostic Codes 7010, 7111 (2006). REASONS AND BASES FOR FINDINGS AND CONCLUSION I. Veterans Claims Assistance Act of 2000 (VCAA) The enactment of the VCAA, codified at 38 U.S.C.A. §§ 5102, 5103, 5103A, 5107 (West 2002), significantly changed the law prior to the pendency of this claim. VA has issued final regulations to implement these statutory changes. See 38 C.F.R. §§ 3.102, 3.156(a), 3.159, 3.326(a) (2006). The VCAA provisions include an enhanced duty to notify a claimant as to the information and evidence necessary to substantiate a claim for VA benefits, and they redefine the obligations of VA with respect to the duty to assist the veteran with the claim. In the instant case, the Board finds that VA fulfilled its duties to the veteran under the VCAA. a. Duty to Notify VA has a duty to notify the veteran of any information and evidence needed to substantiate and complete a claim. 38 U.S.C.A. §§ 5102, 5103. The Board concludes that the September 2005 letter sent to the veteran by the AMC adequately apprised her of the information and evidence needed to substantiate the claim. The AMC thus complied with VCAA's notification requirements. In order to meet the requirements of 38 U.S.C. § 5103(a) and 38 C.F.R. § 3.159(b), VCAA notice must: (1) inform the claimant about the information and evidence necessary to substantiate the claim; (2) inform the claimant about the information and evidence that VA will seek to provide; (3) inform the claimant about the information and evidence the claimant is expected to provide; and (4) request that the claimant provide any evidence in his possession that pertains to the claim. Beverly v. Nicholson, 19 Vet. App. 394, 403 (2005) (outlining VCAA notice requirements). Additionally, during the pendency of this appeal, on March 3, 2006, the Court of Appeals for Veterans' Claims (Court) issued a decision in Dingess v. Nicholson, 19 Vet. App. 473, 484, 486 (2006), which held that the VCAA notice requirements of 38 U.S.C.A. § 5103(a) and 38 C.F.R. § 3.159(b) apply to all five elements of a service connection claim. Those five elements include: (1) veteran status; (2) existence of a disability; (3) a connection between the veteran's service and the disability; (4) degree of disability; and (5) effective date of the disability. The Court held that upon receipt of an application for a service-connection claim, 38 U.S.C.A. § 5103(a) and 38 C.F.R. § 3.159(b) require VA to review the information and the evidence presented with the claim and to provide the claimant with notice of what information and evidence not previously provided, if any, will assist in substantiating or is necessary to substantiate the elements of the claim as reasonably contemplated by the application. Id., at 486. This notice must also inform the veteran that a disability rating and an effective date for the award of benefits will be assigned if service connection is granted. Id. The September 2005 letter from the AMC satisfies these mandates. It informed the veteran about the type of evidence needed to support her claim, namely, proof that her service connected atrial fibrillation had increased in severity. This correspondence clearly disclosed VA's duty to obtain certain evidence for the veteran, such as medical records, employment records and records held by any Federal agency, provided the veteran gave consent and supplied enough information to enable their attainment. It made clear that although VA could assist the veteran in obtaining these records, she carried the ultimate burden of ensuring that VA received all such records. This letter additionally apprised the veteran that VA would schedule a medical examination or obtain a medical opinion for her if the AMC determined such to be necessary to make a decision on the claim. It also specifically asked the veteran to provide VA with any other supporting evidence or information in her possession. The Board thus finds that the veteran was effectively informed to submit all relevant evidence in her possession, and that she received notice of the evidence needed to substantiate her claim, the avenues by which she might obtain such evidence, and the allocation of responsibilities between herself and VA in obtaining such evidence. See Beverly, 19 Vet. App. at 403; see also Mayfield v. Nicholson, 19 Vet. App. 103, 109-12 (2005), rev'd on other grounds, 444 F.3d 1328 (Fed. Cir. 2006). With respect to the Dingess requirements, the veteran was provided with notice of what type of information and evidence was needed to substantiate the claim, but she was not provided with notice of the type of evidence necessary to establish a rating or effective date for the rating in the September 2005 letter. Despite the inadequate notice provided to the veteran on these latter two elements, the Board finds no prejudice to her in proceeding with the issuance of this decision. See Bernard v. Brown, 4 Vet. App. 384, 394 (1993) (where the Board addresses a question that has not been addressed by the agency of original jurisdiction, the Board must consider whether the veteran has been prejudiced thereby). This is because the Board's determination that a preponderance of the evidence weighs against her claim for a higher rating renders moot any question about a different disability rating and effective date. The Board also recognizes that, according to Pelegrini v. Principi, 18 Vet. App. 112, 119-20 (2004), proper VCAA notice must "precede an initial unfavorable [agency of original jurisdiction (AOJ)] decision on a service-connection claim." VA did not provide such notice to the veteran prior to the October 2002 RO decision that is the subject of this appeal in the September 2005 letter. Notwithstanding this belated notice, the Board determines that the AMC cured this defect by providing this complete VCAA notice together with readjudication of the claim, as demonstrated by the September 2006 SSOC. Prickett v. Nicholson, 20 Vet. App. 370, 376-78 (2006) (validating the remedial measures of issuing fully compliant VCAA notification and readjudicating the claim in the form of an SOC to cure timing of notification defect). The veteran thus was not prejudiced by any defect in timing, as "the purpose behind the notice has been satisfied . . . that is, affording a claimant a meaningful opportunity to participate effectively in the processing of [the] claim. . . ." Mayfield, 19 Vet. App. at 128. b. Duty to Assist VA also has a duty to assist the veteran in obtaining evidence necessary to substantiate the claim. 38 U.S.C.A. § 5103A(a) ("The Secretary shall make reasonable efforts to assist a claimant in obtaining evidence necessary to substantiate the . . . claim"). This duty includes assisting the veteran in obtaining records and providing medical examinations or obtaining medical opinions when such are necessary to make a decision on the claim. 38 U.S.C.A. § 5103A(b), (c), (d) (setting forth Secretary's various duties to claimant). VA informed the veteran of its duty to assist in obtaining records and supportive evidence, and the veteran in fact did receive an August 2006 VA examination, which was thorough in nature and adequate for the purposes of deciding this claim. The Board finds that the medical evidence of record is sufficient to resolve this appeal, and the VA has no further duty to provide an examination or opinion. 38 U.S.C.A. § 5103A(d); 38 C.F.R. § 3.159(c)(4). Based on the foregoing, the Board finds that the VA fulfilled its VCAA duties to notify and to assist the veteran, and thus, no additional assistance or notification was required. The veteran has suffered no prejudice that would warrant a remand, and her procedural rights have not been abridged. See Bernard, 4 Vet. App. at 392-94. II. Law & Regulations a. Calculation of Disability Ratings 38 U.S.C.A. § 1155 sets forth provisions governing disability ratings, and it directs the Secretary to "adopt and apply a schedule of ratings of reductions in earning capacity from specific injuries or combination of injuries." The schedule of ratings must provide for ten grades of disability, and no more, ranging from 10 percent to 100 percent in 10 percent intervals, upon which the payments of compensation shall be based. 38 U.S.C.A. § 1155. In addition, "the Secretary shall from time to time readjust this schedule of ratings in accordance with experience." 38 U.S.C.A. § 1155. To this end, the Secretary promulgated 38 C.F.R. § 3.321(a), which requires the use of a "Schedule for Rating Disabilities . . . for evaluating the degree of disabilities in claims for disability compensation . . . and in eligibility determinations." The provisions contained in the rating schedule approximate the average impairment in earning capacity in civil occupations resulting from a disability. 38 C.F.R. § 3.321(a); accord 38 U.S.C.A. § 1155 ("The ratings shall be based, as far as practicable, upon average impairments of earning capacity resulting from such injuries in civil occupations"). Separate diagnostic codes pertain to the various disabilities. See 38 U.S.C.A. § 1155; 38 C.F.R. Part 4. Additionally, the Board comments that where, as here, "there is no clearly expressed intent [by the veteran] to limit the appeal to entitlement to a specific disability rating for the service-connected condition, the . . . BVA [is] required to consider entitlement to all available ratings for that condition." AB v. Brown, 6 Vet. App. 35, 39 (1993). With respect to diseases of the heart, 38 C.F.R. § 4.104 sets forth the pertinent rating criteria. Relevant to the instant case, 38 C.F.R. § 4.104, Diagnostic Code 7010, which addresses supraventricular arrhythmias, provides that a veteran will receive a 10 percent evaluation for permanent atrial fibrillation (lone atrial fibrillation); or one to four episodes per year of paroxysmal atrial fibrillation or other supraventricular tachycardia (SVT) documented by electrocardiogram (ECG) or Holter monitor. A veteran will garner a maximum 30 percent rating for paroxysmal atrial fibrillation or other SVT, with more than four episodes per year documented by an ECG or Holter monitor. 38 C.F.R. § 4.104, Diagnostic Code 7010. In addition and also pertinent to the instant case, 38 C.F.R. § 4.104, Diagnostic Code 7011, addressing ventricular arrhythmias (sustained), provides for a 10 percent evaluation when a workload of greater than 7 METs (metabolic equivalents) but not greater than 10 METs resulting in dyspnea, fatigue, angina, dizziness, or syncope; or when continuous medication is required. The next higher rating of 30 percent is warranted for workload of greater than 5 METs, but not greater than 7 METs, resulting in dyspnea, fatigue, angina, dizziness, or syncope; or when there is evidence of cardiac hypertrophy or dilatation on an ECG, ECHO, or X-ray. 38 C.F.R. § 4.104, Diagnostic Code 7011. A 60 percent rating is warranted when there is more than one episode of acute congestive heart failure in the past year; or, workload of greater than 3 METs but not greater than 5 METs results in dyspnea, fatigue, angina, dizziness, or syncope; or, left ventricular dysfunction with an ejection fraction of 30 to 50 percent. A rating of 100 percent is assigned for chronic congestive heart failure; or workload of 3 METs or less results in dyspnea, fatigue, angina, dizziness, or syncope; or left ventricular dysfunction with an ejection fraction of less than 30 percent. 38 C.F.R. § 4.104, Diagnostic Code 7011. One metabolic equivalent, or MET, is the energy cost of standing quietly at rest and represents an oxygen uptake of 3.5 milliliters per kilogram of body weight per minute. When the level of METs at which dyspnea, fatigue, angina, dizziness, or syncope develops is required for evaluation, and a laboratory determination of METs by exercise testing cannot be done for medical reasons, an estimation by a medical examiner of the level of activity (expressed in METs and supported by specific examples, such as slow stair climbing) that results in dyspnea, fatigue, angina, dizziness, or syncope may be used. See 38 C.F.R. § 4.104, Note (2). b. Fenderson Appeal In the instant case, the veteran has challenged the initial disability rating for her atrial fibrillation, as opposed to having filed a claim for an increased rating. Fenderson v. West, 12 Vet. App. 119, 125-26 (1999) (noting distinction between claims stemming from an original rating versus increased rating). The veteran thus seeks appellate review of the RO's initial disability rating because of her dissatisfaction with it and objects to it as being too low. See id. In a Fenderson appeal, separate ratings may be assigned for separate periods of time based on the facts found, a practice known as "staged" rating. Id., at 126. The Board further notes that the rule that "the present level of disability is of primary importance," does not apply to a Fenderson appeal. Id. (recognizing that this rule "is not applicable to the assignment of an initial rating for a disability following an initial award of service connection for that disability") (internal quotation marks omitted); cf. Francisco v. Brown, 7 Vet. App. 55, 58 (1994) (applying rule in increased rating case). Instead, the Board gives consideration to all the evidence of record from the date of the veteran's claim. See Fenderson, supra, at 126, 127. Additionally, "[w]hen 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. "Where there is a question as to which of two evaluations shall be applied, the higher evaluation will be assigned if the disability picture more nearly approximates the criteria required for that rating." 38 C.F.R. § 4.7. c. Standard of Proof 38 U.S.C.A. § 5107 sets forth the standard of proof applied in decisions on claims for veterans' benefits. A veteran will receive the benefit of the doubt when an approximate balance of positive and negative evidence exists. 38 U.S.C.A. § 5107; 38 C.F.R. § 3.102. Thus, when a veteran seeks benefits and the evidence is in relative equipoise, the veteran prevails. Wells v. Principi, 18 Vet. App. 33, 36 (2004); Gilbert v. Derwinski, 1 Vet. App. 49, 54 (1990). A claim will be denied only if a preponderance of the evidence is against the claim. See Alemany v. Brown, 9 Vet. App. 518, 519-20 (1996). III. Analysis a. Factual Background A May 2002 ECG report reflects a normal sinus rhythm, and an accompanying May 2002 VA medical examination report indicates that the veteran complained of having heart palpitations, which caused her to feel faint. She had never lost consciousness, however, and she reported that the verapamil medication that she took for this heart disorder relieved the palpitations. The physician noted that X-rays of the chest and an EKG disclosed normal results without any significant abnormalities, but diagnosed her with palpitations and suspect SVT based on the veteran's history and medication. The veteran submitted to an ECHO in September 2002, which, as noted in an October 2002 private medical report, revealed a normal left ventricular size and systolic function as well as structurally normal valves and no mitral valve prolapse. She had a sinus rhythm of 85 bpm. The cardiologist suspected the presence of a slow murmur on physical examination and offered his impression that the ECG was a normal study. A December 2003 VA medical report notes the veteran's diagnosis of SVT as well as her complaints of chest pain. The veteran further conveyed that she developed palpitations spontaneously, productive of chest pain and shortness of breath for only a few minutes. This medical note discloses that the veteran's heart had a regular rate and rhythm, without murmur, gallop or rub. First heart sound (S1) and second heart sound (S2) were normal. A January 2004 VA medical note discloses that the veteran complained of sharp chest pain and reported having a history of SVT. At this time, her heart had a regular rhythm without significant murmur. February 2004 and June 2004 VA medical reports indicate that the veteran complained of recurrent SVT. She reported having one to two episodes per week, which caused her to feel exhausted and occasionally dizzy with no other symptoms. She was diagnosed with cardiac dysrhythmia. An April 2004 VA medical note discussing cardiac arrhythmia procedure results indicates that the veteran had undergone an event monitor and sent five transmissions, including a baseline test. Four of her transmissions reflected sinus rhythm rates of 77 to 110 beats per minute (bpm), and one transmission showed a rate of 150 bpm, although patient movement was noted on this latter transmission. A November 2004 VA medical record indicates that the veteran had palpitations for a few minutes at a time, and an August 2005 VA medical report notes the veteran's paroxysmal SVT diagnosis in 2001. She complained of shortness of breath and chest pain lasting a few minutes per episode. A December 2004 VA medical report noted the veteran's diagnosis of paroxysmal SVT. At this time, she had a regular heart rhythm, with no gallop, murmur or edema. She was assessed as having SVT. At her April 2005 videoconference hearing, the veteran testified that the last ECG she had occurred in June 2004. Hearing Transcript at 3. She also described having such symptoms as light-headedness, dizziness, chest pains, restricted breathing, tiredness, and racing heart. Hearing Transcript at 3. The veteran conveyed that she had not had any episodes of acute congestive heart failure, hospitalizations or other emergencies due to her heart disability in the previous year. Hearing Transcript at 3. She further indicated that on at least one occasion, she experienced tingling and numbing in the hands during an episode of chest pain, but by the time she arrived at the emergency room, this sensation had ceased. Hearing Transcript at 4. The veteran indicated that she had taken various medications for her heart disorder, to include verapamil and metoprolol. Hearing Transcript at 4. She stated that outside activities, cleaning or other such very rigorous activity caused her heart to beat fast, thus requiring her to sit down and rest. Hearing Transcript at 5. The veteran testified that she deserved a higher rating because her heart disability limits her in various ways. Hearing Transcript at 8. August 2005 VA medical reports indicate that the veteran had continuous SVT and that she was symptomatic at that time. The veteran indicated that she experienced daily or weekly symptoms, lasting up to 30 minutes at a time. She denied having chest pain, and a cardiovascular review of systems revealed a regular heart rhythm, without gallop, murmur or edema. In August 2006 the veteran submitted to a VA cardiovascular examination. She reported having had heart palpitations off and on since 2000, which was treated with medications for a time, but then had to discontinue such treatment due to becoming pregnant. At the time of the VA examination, therefore, the veteran was not taking any oral medications for her heart disability. The veteran indicated that she experienced heart palpitations daily or every other day and that a significant prolonged episode of frequency occurred one per week, lasting for about 1/2 hour, which was triggered by stress or heavy activity. She also conveyed that she had occasional blackout spells and occasional sharp chest pains. A physical examination revealed stable, asymptomatic vital signs with 128/60 blood pressure, and a regular heart rate of 114. Cardiovascularly, the veteran displayed no junctional tachycardia (JV) distention, thyromegaly, or ankle edema. Cardiac auscultation was normal without click or murmur. The VA examiner detected no evidence of prolapse of the mitral valve, idiopathic hypertrophic subaortic stenosis (IHSS), or mitral stenosis. An ECG revealed sinus rhythm at a rate of 91 bpm, with normal QT intervals and other intervals. The VA physician additionally commented that a review of the claims file did not disclose any actual documented tracings of cardiac dysrhythmia, although he noted a March 2004 event monitor conducted with rates up to 150 bpm on one transmission as well as the mention of paroxysmal SVT. On a stress test, the veteran reported having sharp chest pain at Stage III, and the limiting symptom was fatigue. Chest pains resolved upon recovery, and no ventricular ectopic beats were noted. Her maximum workload amounted to 10.40 METs, and the physician stated that there were no specific ST/T (sinus tachycardia) changes and no evidence of ischemia. The VA physician noted that he had reviewed the claims folder, but had found no actual tracings of SVT or atrial fibrillation, although he acknowledged the previous the mention of SVT and increased heart rate of 150 bpm. He also observed that the veteran had a diagnosis of paroxysmal SVT, not atrial fibrillation, and that during the stress test, she did not have cardiac dysrhythmia. Instead, she had chest pain, shortness of breath, fatigue with exertion, and stress- related palpitations at times lasting up to one hour. The VA physician further determined that he viewed no evidence of left ventricular systolic function or hypertrophy documented anywhere or on any prior left ventricular angiogram or ECHO. Based on these data, the VA examiner concluded that the veteran had a history suggestive of paroxysmal SVT. A Holter monitor dated July 2006 revealed sinus rhythm, with very rare ventricular ectopic beats (only two in a 24-hour period), 37 isolated ventricular ectopic beats with three atrial couplets and four beat run at 78 bpm, three beat run fast test at 100 bpm, which the physician found no to be significant. The maximum heart rate of 165 bpm was noted once and could reflect SVT or marked sinus tachycardia. The clinician again noted that he was unable to see documentation of ventricular tachycardia or atrial fibrillation. b. Discussion The Board determines that the evidence preponderates against the veteran's higher rating claim under both Diagnostic Code 7010 and 7011. Specifically, the record does not reflect that the veteran has experienced paroxysmal atrial fibrillation or other SVT, with more than four episodes per year documented by ECG or Holter monitor, as would characterize a 30 percent evaluation under Diagnostic Code 7010. Instead, numerous medical records, to include the May 2002 ECG, September 2002 ECHO, and the December 2003, January 2004, December 2004 and August 2005 VA medical notes, have reflected a normal sinus rhythm and regular heart rate and rhythm. While the Board acknowledges the veteran's subjective complaints of daily or weekly palpitations, as well as the single April 2004 transmission reflecting a rapid heart rate of 150 bpm and the single July 2006 Holter monitor reading of 165 bpm, such evidence does not satisfy the criteria required for a 30 percent rating under Diagnostic Code 7010, namely, more than four episodes yearly as documented by an ECG or Holter monitor. In addition, turning to an analysis under Diagnostic Code 7011, the Board determines that the evidence does not reflect that the veteran has had a workload between 5 METs and 7 METs, as would typify a 30 percent evaluation under this Code. Instead, the August 2006 VA medical examination report demonstrates that the veteran exhibited 10.40 METs, which weighs against a higher evaluation and in favor of the current 10 percent rating under this Code. Moreover, although the veteran reportedly experienced fatigue and dizziness during her palpitations, which could support either a 10 percent or 30 percent rating under Diagnostic Code 7011, she has not displayed evidence of cardiac hypertrophy or dilatation on an ECG, ECHO or X-ray, as would characterize a 30 percent rating; the August 2006 VA examiner specifically found no evidence of hypertrophy. The Board further comments that the evidence of record does not weigh in favor of a 60 percent or 100 percent evaluation under Diagnostic Code 7011, as the veteran has not been diagnosed with congestive heart failure, has not displayed left ventricular dysfunction with ejection fractions of less than 50 percent, and has not generated less than 5 METs, any of which criterion could characterize these higher ratings. Thus, in view of the above evidence, the Board must deny the veteran's claim. Extraschedular Ratings As required by Schafrath v. Derwinski, 1 Vet. App. 589, 593 (1991), the Board has considered the potential application of various provisions of Title 38 of the Code of Federal Regulations, whether or not the veteran raised them, including § 3.321(b)(1), which governs extraschedular ratings. The Board finds that the evidence of record does not present such "an exceptional or unusual disability picture as to render impractical the application of the regular rating schedule standards." 38 C.F.R. § 3.321(b)(1) (2006). There has been no showing by the veteran that his service-connected heart disability has necessitated frequent hospitalizations beyond that contemplated by the rating schedule or has caused a marked interference with employment. In the absence of such factors, the criteria for submission for assignment of an extraschedular rating for her heart disability pursuant to 38 C.F.R. § 3.321(b)(1) are not satisfied. See Bagwell v. Brown, 9 Vet. App. 337 (1996); Shipwash v. Brown, 8 Vet. App. 218, 227 (1995). IV. Conclusion For the reasons stated above, the Board finds that an initial higher rating for the veteran's service connected heart disability is not warranted. As the preponderance of the evidence is against the claim, the benefit of the doubt doctrine does not apply to the instant case. Ortiz v. Principi, 274 F.3d 1361, 1364, 1365 (Fed. Cir. 2001) (holding that "the benefit of the doubt rule is inapplicable when the preponderance of the evidence is found to be against the claimant"); Gilbert, 1 Vet. App. at 56. ORDER An initial rating in excess of 10 percent for atrial fibrillation is denied. ____________________________________________ MICHAEL A. HERMAN Acting Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs