Citation Nr: 9814330 Decision Date: 05/07/98 Archive Date: 05/20/98 DOCKET NO. 97-00 069A ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in St. Petersburg, Florida THE ISSUE Entitlement to an increased evaluation for post-traumatic spondylitis with disc space narrowing of the lumbosacral spine, currently evaluated as 40 percent disabling. REPRESENTATION Appellant represented by: American Ex-Prisoners of War, Inc. WITNESSES AT HEARING ON APPEAL Appellant and spouse ATTORNEY FOR THE BOARD Alice A. Booher, Counsel INTRODUCTION The veteran had active service from March 1943 to November 1945, and was Prisoner of War (POW) of the German Government from February 1944 to April 1945. The current appeal is brought from rating actions taken by the Department of Veterans Affairs (VA) Regional Office (RO) in St. Petersburg. The veteran and his wife provided testimony before a Hearing Officer at the RO in October 1995, a transcript of which is of record. [Tr.] Service connection is also in effect for history of irritable bowel syndrome and hemorrhoids, each evaluated as noncompensably disabling. The current appeal initially included the issue of entitlement to an increased rating for the veteran’s service- connected psychiatric disorder characterized as anxiety neurosis with post-traumatic stress disorder (PTSD). However, during the course of this appeal, the RO increased the rating assigned for the psychiatric disability from 30 to 100 percent, which is the maximum available. With respect to the issue presently on appeal, the RO also increased the rating assigned for post-traumatic spondylitis with disc space narrowing of the lumbosacral spine from 20 to 40 percent disabling which is not the maximum assignable. Accordingly, pursuant to AB v. Brown, 6 Vet. App. 35 (1993), and as identified on the front page of this decision, while the latter issue remains in appellate status, the former issue does not. The collateral then pending issue of entitlement to a total rating based on individual unemployability was rendered moot by the grant of the 100 percent schedular rating for his PTSD. At one point during the pending appeal, the veteran also raised the collateral issues of entitlement to educational benefits and entitlement to special monthly compensation based on the need for regular aid and attendance or housebound status. In the rating action by the RO in February 1996, in view of the grant of the increased ratings as noted above, the RO collaterally recognized the veteran’s eligibility for Chapter 35 benefits, and that issue is not on appeal. The veteran has not indicated any intention to pursue an appeal with regard to the special monthly compensation claim and it is not part of the current appeal. Nonetheless, the Board also notes that during the course of the appeal, the veteran raised various issues with regard to disabilities claimed to be a result of his POW experience including some which are included in the special revised regulations with regard to presumptive service connection (i.e., alleged ischemic heart disease as a result of beriberi, disabilities due to malnutrition, peripheral disabilities due to frostbite, etc.). These have been partially addressed in VA examination and RO adjudication although further adjudication appears to be necessary. Moreover, it remains unclear whether these are in any way related to current service-connected disabilities which are not part of the current appeal, i.e., the veteran’s gastrointestinal disability, in which case, increased evaluations might be warranted. In the event that any of these disorders, none of which are under current review on appeal, should also become service-connected, [and given the action taken by the Board herein with regard to an increased rating for his back disorder], there is a possibility that they, in coordination with the other already service- connected disabilities, would establish an entirely different picture with regard to entitlement to special monthly compensation benefits under one or more theories. Accordingly, although this is technically neither a part of the current appeal nor a component of the veteran’s issue on appeal, pursuant to Godfrey v. Brown, 7 Vet. App. 398 (1996), the Board refers these questions back to the RO for appropriate review and consideration in that and all other pertinent contexts and subject, of course, to subsequent and separate appellate review. On the Board’s own Motion, in March 1997, the Acting Chairman of the Board, pursuant to 38 U.S.C.A. § 7107(a)(2) (West 1991) and 38 C.F.R. § 20.900(c), (1997) advanced the case on the docket due to cause to include administrative error. The docket number now assigned restores the case, to the extent practicable, to the place it would have occupied on the docket had the administrative error not occurred. CONTENTIONS OF APPELLANT ON APPEAL In substance, it is argued that the veteran’s back disability is more severely disabling than reflected in the current rating. DECISION OF THE BOARD The Board, in accordance with the provisions of 38 U.S.C.A. § 7104 (West 1991 & Supp. 1997), has reviewed and considered all of the evidence and material of record in the veteran's claims file. Based on its review of the relevant evidence in this matter, and for the following reasons and bases, it is the decision of the Board that the evidence is in favor of an increased evaluation of 60 percent for post-traumatic spondylitis with disc space narrowing of the lumbosacral spine FINDING OF FACT Residuals of low back trauma are manifested by pronounced intervertebral disc syndrome. CONCLUSION OF LAW The criteria for an increased evaluation of 60 percent for post-traumatic spondylitis with disc space narrowing of the lumbosacral spine are met. 38 U.S.C.A. §§ 1155, 5107 (West 1991); 38 C.F.R. §§ 4.2, 4.7, 4.40, 4.45, 4.59, 4.71, Diagnostic Code 5293 (1997). REASONS AND BASES FOR FINDING AND CONCLUSION Criteria In general, a veteran's allegation of increased disability establishes a well-grounded claim. Proscelle v. Derwinski, 2 Vet. App. 269 (1992). During the appellate period, rating action has been taken by the RO which increased the rating assigned for the disability at issue. The Board now finds that the facts relevant to the issue on appeal have been sufficiently developed for an equitable disposition thereof; and, accordingly, the statutory obligation of VA to assist the veteran in the development of his claim has been satisfied in accordance with 38 U.S.C.A. § 5107(a). Disability evaluations are determined by the application of a schedule of ratings which is based on average impairment of earning capacity. 38 U.S.C.A. § 1155; 38 C.F.R. Part 4. Separate diagnostic codes identify the various disabilities. 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. Otherwise, the lower rating will be assigned. 38 C.F.R. § 4.7. With respect to conclusions reached on any given medical issue to include a determination with regard to such things as degree or extent of functional impairment of a disability, etc., the United States Court of Veterans Appeals (the Court) has repeatedly admonished that VA cannot substitute its own judgment or opinion for that of a medical expert. See, i.e., Colvin v. Derwinski, 1 Vet. App. 761 (1991). The Court has also held that a determination with regard to the assignment of specific ratings must be made upon a review of the entire evidentiary record including thorough and comprehensive examinations that are representative of the entire clinical picture. Brown v. Brown, 5 Vet. App. 413 (1993). The Board has also considered all regulatory provisions which are potentially applicable through the assertions and issues raised in the evidence of record as required by Schafrath v. Derwinski, 1 Vet. App. 589 (1991). Where entitlement to compensation has already been established and an increase in the disability rating is at issue, the present level of disability is of primary concern. Although a rating specialist is directed to review the recorded history of a disability in order to make a more accurate evaluation, see 38 C.F.R. § 4.2, the regulations do not give past medical reports precedence over current findings. Francisco v. Brown, 7 Vet. App. 55 (1994). The Court has held that when a diagnostic code provides for compensation based solely upon limitation of motion, the provisions of 38 C.F.R. §§ 4.40, 4.45 must be considered. The examinations upon which the rating decisions are based must adequately portray the extent of functional loss due to pain “on use or due to flare-ups.” DeLuca v. Brown, 8 Vet. App. 206 (1995). In pertinent part, 38 C.F.R. § 4.40 provides: Disability of the musculoskeletal system is primarily the inability due to damage or infection in parts of the system, to perform the normal working movements of the body with normal excursion, strength, speed, coordination and endurance. It is essential that the examination on which ratings are based adequately portray the anatomical damage, and the functional loss, with respect to all these elements. The functional loss may be due to absence of part, or all, of the necessary bones, joints and muscles, or associated structures, or to deformity, adhesions, defective innervation, or other pathology, or it may be due to pain, supported by adequate pathology and evidenced by the visible behavior of the claimant undertaking the motion. Weakness is as important as limitation of motion, and a part which becomes painful on use must be regarded as seriously disabled. A little used part of the musculoskeletal system may be expected to show evidence of disuse, either through atrophy, the condition of the skin, absence of normal callosity or the like. 38 C.F.R. § 4.45 provides: As regards the joints the factors of disability reside in reduction of their normal excursion of movements in different planes. Inquiry will be directed to these considerations: (a) Less movement than normal (due to ankylosis, limitation or blocking, adhesions, tendon-tie-up, contracted scars, etc.). (b) More movement than normal (from flail joint, resections, nonunion of fracture, relaxation of ligaments, etc.). (c) Weakened movement (due to muscle injury, disease or injury of peripheral nerves, divided or lengthened tendons, etc.). (d) Excess fatigability. (e) Incoordination, impaired ability to execute skilled movements smoothly. (f) Pain on movement, swelling, deformity or atrophy of disuse. Instability of station, disturbance of locomotion, interference with sitting, standing and weight-bearing are related considerations. For the purpose of rating disability from arthritis, the shoulder, elbow, wrist, hip, knee, and ankle are considered major joints; multiple involvement of the interphalangeal, metacarpal and carpal joints of the upper extremities, the interphalangeal, metatarsal and tarsal joints of the lower extremities, the cervical vertebrae, the dorsal vertebrae, and the lumbar vertebrae, are considered groups of minor joints, ratable on a parity with major joints. The lumbosacral articulation and both sacroiliac joints are considered to be a group of minor joints, ratable on disturbance of lumbar spine functions. The Court also held in Hicks v. Brown, 8 Vet. App. 417 (1995) that once degenerative arthritis is established by X-ray evidence, there are three circumstances under which compensation may be available for service-connected degenerative changes: (1) where limitation of motion of a joint or joints is objectively confirmed by findings such as swelling, muscle spasm or satisfactory evidence of painful motion, and that limitation of motion meets the criteria in the diagnostic code or codes applicable to the joint or joints involved, the corresponding rating will be assigned thereunder; (2) where the objectively confirmed limitation of motion is not of sufficient degree to warrant a compensable rating under the code or codes applicable to the joint or joints involved, a rating of 10 percent will be assigned for each major joint or joints affected “to be combined, not added”; and (3) where there is no limitation of motion, a rating of 10 percent or 20 percent, depending upon the degree of incapacity, may still be assigned if there is X-ray evidence of the involvement of 2 or more major joints or 2 or more minor joint groups. In addition, Diagnostic Code 5003 is to be read in conjunction with 38 C.F.R. § 4.59, and it is complemented by a separate regulation, 38 C.F.R. § 4.40, which relates to pain in the musculoskeletal system. Finally, the Court noted that “Diagnostic Code 5003 and 38 C.F.R. § 4.59 deem painful motion of a major joint or groups caused by degenerative arthritis that is established by X-ray evidence to be limited motion even though range of motion may be possible beyond the point when pain sets in”. Evaluations are assignable for lumbosacral strain at zero percent when there are subjective symptoms only; a 10 percent rating is assignable with characteristic pain on motion. A 20 percent rating is assignable when there is muscle spasm on extreme forward bending, loss of lateral spine motion, unilateral, in standing position. A 40 percent rating is assignable when severe, with listing of the whole spine to the opposite side, positive Goldthwait's sign, marked limitation of forward bending in standing position, loss of lateral motion with osteoarthritic changes or narrowing or irregularity of joint space, or some of the above with abnormal mobility on forced motion. 38 C.F.R. § 4.71a, Diagnostic Code 5295. Alternatively, a rating might be made on the basis of limitation of motion of the lumbar spine with the assignment of a 10 percent disabling when slight, 20 percent when moderate, or 40 percent when severe. 38 C.F.R. § 4.71a, Diagnostic Code 5292. Another alternative rating [under which the RO has assigned the current 20 percent rating] may be pursuant to Diagnostic Code 5293, intervertebral disc syndrome, when zero percent is warranted when postoperative cured; a 10 percent rating is assignable when mild; a 20 percent rating is assignable when moderate with recurring attacks; a 40 percent rating is assignable when severe with recurring attacks and intermittent relief; and a 60 percent rating is assignable when pronounced with persistent symptoms compatible with sciatic neuropathy with characteristic pain and demonstrable muscle spasm, absent ankle jerk or other neurological findings appropriate to the site of the diseased disc, with little intermittent relief. There appear to be no other potentially applicable Diagnostic Codes which would provide for a higher rating other than those which contemplate ankylosis. In that regard, under Diagnostic Code 5289, when there is favorable ankylosis of the lumbar spine, a 40 percent rating is assignable; when the ankylosis is unfavorable, a 50 percent rating is assignable. Further, under Diagnostic Code 5286, when there is complete bony fixation of the spine at a favorable angle, a 60 percent rating is assignable; or at an unfavorable angle with marked deformity and involvement of major joints (Marie-Strumpell type) or without other joint involvement (Bechterew type), a 100 percent rating is assignable. Under diagnostic code 5285 a 60 percent evaluation may be assigned for residuals of a fracture of the vertebra without cord involvement, abnormal mobility requiring neck brace (jury mast). A 100 percent evaluation may be assigned for residuals of a fracture of a vertebra with cord involvement, bedridden, or requiring long leg braces. A pertinent General Counsel Opinion [VAPGCPREC 36-97 (O.G.C. Prec. 36-97)] addressed the issue of applicability of 38 C.F.R. §§ 4.40, 4.45 and 3.321(B)(1) in rating disabilities under Diagnostic Code 5293. In essence, the opinion noted that it was essential in rating disabilities of the musculoskeletal system that the examination on which the ratings were based adequately portray any functional loss which may be due to pain. While § 4.40 did not require a separate rating for pain, the impact of pain on movement must be considered. See Spurgeon v Brown, 10 Vet. App. 194, 196 (1997). It further reflected upon the mandates of § 4.45. See also Johnson v. Brown, 9 Vet. App. 7, 11 (1996). The opinion concluded that under Code 5293, which involved loss of range of motion because the nerve defects and resulting pain associated with injury to the sciatic nerve may cause limitation of motion, pursuant to Johnson, the provisions of §§ 4.40 and 4.45 must be considered when a disability was evaluated thereunder. And when a veteran received less than the maximum under Code 5293, based upon symptomatology which included limitation of motion, consideration must be given to the extent of the disability under §§ 4.40 and 4.45 even though the rating corresponds to the maximum rating under another diagnostic code pertaining to limitation of motion. It further stated that § 3.321(b)(1) had to be considered when there was evidence of exceptional or unusual circumstances indicating that the rating schedule, including §§ 4.40, 4.45 and 4.71a might be inadequate to compensate for the average impairment of earning capacity due to intervertebral disc syndrome regardless of the act that the veteran may have received the maximum schedular rating under a Code based on limitation of motion. Factual Background The veteran’s back injury was a result of his airplane being shot down over Anzio, and his parachuting hard to the ground at which time he was taken as a POW and during which time he reportedly received no relevant treatment. Outpatient records are in the file showing that the veteran has been seen for various complaints, some of which relate to his back problems. A statement is of record dated in 1993 from the veteran’s wife with regard to his back and other disabilities as they have impacted on his life and work. At the time of a MRI evaluation of the lumbar spine in December 1993, the veteran was complaining of recently increased and severe pain. At the L-2/L-3 level the MRI showed a mild degree of spinal stenosis; facet degeneration of the ligamentum flavum hypertrophy; and circumferential disc bulging without significant thecal sac or nerve root compression. At the L-3/L-4 level, there was a central disc herniation into the vertebral body of L-3, consistent with a Schmorl’s node; no focal ventral disc herniation; and a mild degree of spinal stenosis. At the L-4/L-5 level, there was Grade I spondylolisthesis and posterior discogenic narrowing; ventral disc protrusion was shown, consistent with broad- based ventral disc herniation; there was moderately severe spinal stenosis with marked lateral and posterolateral narrowing of the thecal sac secondary to marked facet joint hypertrophy and ligamentum flavum hypertrophy. A trefoil configuration of the thecal sac was also noted at that level. On VA orthopedic examination in July 1994, the veteran reported having severe back pain which caused him to have a great deal of difficulty sleeping. On examination, he had severely limited range of motion of the lower portion of the spine. His muscles paraspinally to the lumbar spine were rigid and fixed, especially on the left side. The sacroiliac joint and ischial joint areas were not tender. He had positive Lasegue’s sign to 45 degrees. He had positive Ely’s sign. Babinski was not present. He had negative Fabere sign. He was unable to perform increased intraspinal pressure tests without creating excessive pain. The examiner noted that he had postural abnormalities and flat lumbar spine area, fixed deformities, with loss of normal lumbar curve. Range of motion was forward flexion to 45 degrees only; backward extension was to 15 degrees; lateral flexion to the left was 20 degrees while lateral flexion to the right was 15 degrees. Rotation to the left was 20 degrees and to the right was to 15 degrees. There was objective evidence of pain with facial grimacing on all spinal motions, even those motions of a minimal nature. Pertinent diagnoses include severe spinal stenosis of L-4/L- 5; degenerative changes in the lumbar spine; grade I spondylolisthesis; ventral and right lateral disc herniation of L-5/S-1; spinal stenosis, mild at L-2/L-4. When examined by VA in February 1995, the veteran complained of chronic severe low back pain syndrome. He walked to the examining room with a shuffle, and when asked to flex the lumbosacral spine, rotate or extend it, he was unable to do so and the examiner noted that one could not force the maneuvers. Another VA neurological examiner noted that there was tenderness of the lower back region with diminished extension ability in the hips. He had reflexes 1+, absent Achilles tendon and plantars were flexor. The gait was ataxic with poor tandem,. There was positive Romberg with diminution of gait with eyes closed. Certain physiologic neurological changes in other areas were also noted. Low back X-rays showed grade I spondylolisthesis of L-4 on L- 5 with associated bilateral pars defect of L-5 and loss of disc space at L-4/L-5. Further degenerative changes at L- 5/S-1 with loss of disc space were present and there was partial assimilation of L-5 onto the sacrum. Diagnoses were Grade I spondylolisthesis with bilateral spondylolysis at L- 4/L-5 with associated degenerative disease and loss of disc space at L-5/S-1. The veteran and his wife testified at a personal hearing at the RO in October 1995. They described his back problems in detail, stating that the back problems and pain had become unbearable. Tr. at 11. The veteran stated that he is now trying to do physical therapy for an hour or an hour and a half twice a week under medical supervision, but the only thing that really helped was laying on a huge heating pad before physical therapy for 20 minutes which helped relax, and that as soon as the pad was taken away, the pain came back. Tr. at 11. He had tried exercises along with the heat but was unable to do them and it had not done him much good. Tr. at 11-12. He had had a bad history with adverse impact from pain medications in that they made him drowsy and he could not get out in the sun, which was difficult in Florida, so he had reverted to Tylenol which did not help much. Tr. at 12. The veteran had also been using a back brace daily but this too had not been particularly helpful. Tr. at 12-13. He and his wife indicated that he was unable to walk, sit or do anything that required movement. They stated that they had been told that they had been given no hope for the situation ever being corrected, although they lived on hope. Tr. at 12-14. He stated that there were virtually no movements he could do, even when in bed and that on occasions when he had muscle spasms, he would have to quit no matter what he was doing. Tr. at 15-16. He described his prior employment and stated that he was now unable to work as a result of the limitations placed on him by his back. Tr. at 16. Analysis The evidence of record which includes extensive clinical evaluations, X-rays and MRI studies, as well as the veteran and his wife’s testimony, appear to provide the Board with an ample evidentiary basis for rating the veteran’s back disability. It is clear that the veteran’s inservice trauma to the low back and subsequent lack of care as a POW has had serious consequences. As for current findings, while the MRI, done at the time of increased pain in 1993, showed only mild spinal stenosis at several vertebral levels, there was also evidence of central and ventral herniations at multiple levels. And more importantly, at the L-4/L-5 level the spinal stenosis was significantly worse, of a moderately severe degree overall, with additional signs of marked lateral and posterolateral narrowing of the thecal sac secondary to marked facet joint and ligamentum flavum hypertrophy. These and the other MRI findings are entirely consistent with the X-ray findings on VA examinations in 1994 and 1995 reflective of both the stenosis and herniation. As for movements, the VA examination in 1994 did show some limited ability to undertake certain motions (i.e., forward flexion to 45 degrees, backward extension to 15 degrees; lateral flexion to the left of 20 degrees and to the right of 15 degrees, and rotation to the left was 20 degrees while rotation to the right was to 15 degrees). However, these were all done with facial grimacing reflecting of pain, which must, pursuant to the aforementioned regulations and judicial mandates, be considered in the rating equation. It is significant, therefore, to note that at the time of the subsequent VA 1995 examination, the capacity to render these motions, already minimal in nature, had diminished even further. The veteran and his wife’s testimony in that regard is helpful to delineating the actual impairment on a day to day basis. He also has demonstrable muscle spasm and other associated symptoms including collateral evidence of the neurological impact of this bony and muscular deterioration such as the confirmed absence of Achilles tendon reflexes. In assessing the veteran’s low back disability under the Code 5293, the Board finds that the veteran clearly has symptoms which are reflective of no less than pronounced symptomatology with symptoms compatible with sciatic neuropathy and characteristic pain and demonstrable muscle spasm, absent ankle jerk, and that there is little intermittent relief, thereby warranting assignment of the maximum schedular evaluation of 60 percent rating under Code 5293. The evidentiary record clearly shows that the veteran does not have complete bony fixation of the spine or residuals of a fracture of a vertebra with cord involvement which would warrant a grant of a 100 percent evaluation under diagnostic codes 5286 and 5285. The Board has also considered the criteria under 38 C.F.R. § 4.40, 4.45, and 4.59, as well as the tenets of the earlier cited General Counsel’s opinion; however, no clinical objective pathology of functional loss due to pain, limitation of motion, weakness, etc., has been presented upon which to predicate a grant of a rating in excess of the level of impairment contemplated in the 60 percent evaluation granted on appeal. 38 U.S.C.A. §§ 1155, 5107; 38 C.F.R. §§ 4.2, 4.7, 4.40, 4.45, 4.59, 4.71, Diagnostic Code 5293. ORDER An increased evaluation of 60 percent for is warranted for post-traumatic spondylitis with disc space narrowing, lumbosacral spine, subject to the regulatory criteria relating to the payment of monetary awards. RONALD R. BOSCH Member, Board of Veterans' Appeals NOTICE OF APPELLATE RIGHTS: Under 38 U.S.C.A. § 7266 (West 1991 & Supp. 1997), a decision of the Board of Veterans' Appeals granting less than the complete benefit, or benefits, sought on appeal is appealable to the United States Court of Veterans Appeals within 120 days from the date of mailing of notice of the decision, provided that a Notice of Disagreement concerning an issue which was before the Board was filed with the agency of original jurisdiction on or after November 18, 1988. Veterans' Judicial Review Act, Pub. L. No. 100-687, § 402, 102 Stat. 4105, 4122 (1988). The date which appears on the face of this decision constitutes the date of mailing and the copy of this decision which you have received is your notice of the action taken on your appeal by the Board of Veterans' Appeals. - 2 -