Citation Nr: 0604813 Decision Date: 02/21/06 Archive Date: 02/28/06 DOCKET NO. 03-22 467 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in St. Petersburg, Florida THE ISSUE Entitlement to an earlier effective date before January 12, 1998 for a 100 percent rating for constrictive pericarditis with Dressler's syndrome, for purposes of accrued benefits. REPRESENTATION Appellant represented by: Disabled American Veterans WITNESSES AT HEARING ON APPEAL Appellant and her daughter ATTORNEY FOR THE BOARD M. Vavrina, Counsel INTRODUCTION The veteran served on active duty from January 1969 to January 1971. He died in December 1998. The appellant is the veteran's surviving spouse. In a May 1999 rating decision, the Department of Veterans Affairs (VA) granted her claim for service connection for the cause of veteran's death. During his lifetime, the veteran filed a notice of disagreement (NOD) with the initial 60 percent rating assigned for constrictive pericarditis with Dressler's syndrome, which was assigned, in a November 1996 rating decision. He died before this appeal was completed. This matter comes before the Board of Veteran's Appeals (Board) on appeal from a September 2002 rating decision issued in October 2002 by the VA Regional Office (RO) in St. Petersburg, Florida, which, in pertinent part, assigned a 100 percent rating for constrictive pericarditis with Dressler's syndrome, effective January 12, 1998, for purposes of accrued benefits only. In September 2005, the appellant and her daughter testified at a Travel Board hearing before the undersigned Veterans Law Judge at the RO. A copy of the transcript is associated with the record. The appellant disagreed with the effective date chosen for the 100 percent rating for constrictive pericarditis with Dressler's syndrome, indicating, in a March 2003 VA Form 21- 4138, that the effective date should be retroactive to the date that the government knew the correlation of Agent Orange to Hodgkin's lymphoma. In that same statement, the appellant asserted that when VA finally recognized the veteran's disability (Hodgkin's lymphoma and associated disabilities), the RO made a clear and unmistakable error (CUE) in not granting him a 100 disability rating. In an April 2003 letter to the appellant, the RO informed her that a valid CUE claim must meet certain criteria and that, in the absence of a valid claim, the RO declined to review her claim under the provisions of 38 C.F.R. § 3.105(a) (2005). Thus, this issue is not in appellate status and will not be discussed further in this decision. FINDINGS OF FACT 1. VA amended its regulations to establish presumptive service connection for Hodgkin's disease based on exposure to herbicides, effective February 3, 1994. 2. On July 18, 1990, VA received the veteran's request to reopen claim his previously denied claim for Hodgkin's lymphoma and its residuals. In a December 1994 rating decision, VA awarded service connection for Hodgkin's disease on a presumptive basis due to exposure to herbicides and for residuals of a splenectomy, assigning initial noncompensable and 30 percent ratings, effective February 3, 1994. 3. On March 7, 1994, VA received the veteran's claim for service connection for heart disease claimed as secondary to his Hodgkin's lymphoma. In a November 1996 rating decision, VA awarded service connection for constrictive pericarditis with Dressler's syndrome (heart disease) as secondary to the veteran's service-connected Hodgkin's lymphoma and assigned an initial 60 percent rating, effective February 3, 1994. 4. In May 1997, the veteran filed an NOD with the initial rating assigned for his heart disease in a November 1996 rating action. 5. At the time of his death, on December [redacted], 1998, his increased rating claim was still pending. 6. In a May 1999 rating decision, VA granted the appellant's claim for service connection for the cause of veteran's death. 7. In a September 2002 rating decision, the RO assigned a 100 percent rating for constrictive pericarditis with Dressler's syndrome, effective January 12, 1998, for purposes of accrued benefits only. 8. The evidence of record shows that, before and after March 7, 1994, the veteran's service-connected heart disease was manifested either by dyspnea on slight exertion, angina, and other definite signs of congestive heart failure, congestive heart failure, or an estimated workload of metabolic equivalents (METs) of 1.7. CONCLUSION OF LAW The criteria for an effective date of February 3, 1994, for a 100 percent rating for constrictive pericarditis with Dressler's syndrome, for accrued benefits purposes, have been met. 38 U.S.C.A. §§ 1155, 5107, 5121 (West 2002 & Supp. 2005); 38 C.F.R. §§ 3.102, 3.114, 3.1000, 4.1-4.10, 4.104, Diagnostic Codes 7000, 7002 (1997, 2005). REASONS AND BASES FOR FINDINGS AND CONCLUSION The Veterans Claims Assistance Act of 2000 (VCAA) describes VA's duty to notify and assist claimants in substantiating a claim for VA benefits. 38 U.S.C.A. §§ 5100, 5102, 5103, 5103A, 5107, 5126 (West 2002 & Supp. 2005); 38 C.F.R. §§ 3.102, 3.156(a), 3.159 and 3.326(a) (2005). Upon receipt of a complete or substantially complete application for benefits, VA is required to notify the claimant and his or her representative, if any, of any information, and any medical or lay evidence, that is necessary to substantiate the claim. 38 U.S.C.A. § 5103(a); 38 C.F.R. § 3.159(b); Quartuccio v. Principi, 16 Vet. App. 183 (2002). Proper VCAA notice must inform the claimant of any information and evidence not of record (1) that is necessary to substantiate the claim; (2) that VA will seek to provide; (3) that the claimant is expected to provide; and (4) must ask the claimant to provide any evidence in her or his possession that pertains to the claim in accordance with 38 C.F.R. § 3.159(b)(1). VCAA notice should be provided to a claimant before the initial unfavorable agency of original jurisdiction (AOJ) decision on a claim. Pelegrini v. Principi, 18 Vet. App. 112 (2004); see also Mayfield v. Nicholson, 19 Vet. App. 103 (2005). Initially, the Board notes that the VA General Counsel has held that the notice and duty to assist provisions of the VCAA are not applicable to a claim, where that claim cannot be substantiated because there is no legal basis for the claim or because undisputed facts render the claimant ineligible for the claimed benefit. See VAOPGCPREC 5-2004. In this case, there is no possibility that any evidence could be obtained that would be relevant to the legal question involved. Because this is an accrued benefits claim, the decision must be based on the evidence of record already in the claims file at the time of the veteran's death. Moreover, there is, by law, no additional relevant evidence to be obtained with a claim for an earlier effective date involving an award of a secondary service connection for heart disability based on presumption of service connection for Hodgkin's disease due to herbicide exposure, as the effective date can be no earlier than the effective date of the regulatory change establishing a presumption of service connection for Hodgkin's disease due to herbicide exposure, if the claim is received within one year from such date. 38 C.F.R. § 3.114 (2005). To the extent that there may be any deficiency of notice or assistance, there is no prejudice to the appellant in proceeding with the issue of entitlement to an earlier effective date for a 100 percent rating, for accrued benefits purposes, given the favorable nature of the Board's decision. See Conway v. Principi, 353 F.3d 1369 (Fed. Cir. 2004); Sutton v. Brown, 9 Vet. App. 553 (1996); Bernard v. Brown, 4 Vet. App. 384 (1993). Analysis The appellant contends, in essence, that the veteran should have been rated 100 percent disabled due to his service- connected disabilities retroactive to the date that the government knew of the correlation of Agent Orange to Hodgkin's disease. At the September 2005 Travel Board hearing, the appellant and her daughter testified that the veteran filed his first claim in the early 1970s for service connection due to exposure to Agent Orange, because she claims he was diagnosed with Hodgkin's disease within a year of service; that his Hodgkin's disease eventually created the heart condition diagnosed in 1992, which prevented him from working and led to his demise; and that the veteran stopped working in the Spring of 1993. They also indicated that, when the veteran moved from New York to Florida in 1996, he was hospitalized within one week; that, during his last year, he had plural taps every several months to eliminate fluid in his lungs, secondary to congestive failure; and that the veteran was not rated 100 percent until after his death, when VA awarded a 100 percent rating, for accrued benefits purposes, effective from January 12, 1998. Effective Date for Service Connection for Heart Disability, for Accrued Benefits Purposes At the time of his death, the veteran had an ongoing claim with regard to entitlement to an initial rating in excess of 60 percent for his service-connected heart disability, which was secondary to his Hodgkin's disease. When a veteran had a claim pending at the time of his death, his surviving spouse may be paid periodic monetary benefits to which he was entitled at the time of his death, and which were due and unpaid for a period not to exceed two years, based on existing ratings or decisions or other evidence that was on file when he died. 38 U.S.C.A. § 5121 (West 2002 & Supp. 2005); 38 C.F.R. § 3.1000 (2005); Jones v. West, 136 F.3d 1296 (Fed. Cir. 1998). Although the appellant's claim for accrued benefits is separate from the claim that the veteran appealed prior to his death, the accrued benefits claim is "derivative of" the veteran's claim and the appellant takes the veteran's claim as it stood on the date of his death. Zevalkink v. Brown, 102 F.3d 1236 (Fed. Cir. 1996). The Board notes that Congress recently amended 38 U.S.C.A. § 5121 to repeal the two-year limit on accrued benefits so that a veteran's survivor may receive the full amount of award for accrued benefits. This change applies only to deaths occurring on or after the date of enactment, December 16, 2003. Because the veteran died before the date of enactment, on December [redacted], 1998, this change does not apply in this case and is noted only for information purposes. See Veterans Benefits Act of 2003, Pub. L. No. 108-183, 117 Stat. 2651 (2003) (codified at 38 U.S.C. § 5121(a) (West Supp. 2005)). Unless specifically provided otherwise, the effective date for an award of compensation based on an original claim shall be fixed in accordance with the facts found, but shall not be earlier than the date of receipt of the application thereof. 38 U.S.C.A. § 5110(a) (West 2002). Regulations provide that the effective date for compensation will be the date of receipt of the claim or date entitlement arose, whichever is later. 38 C.F.R. § 3.400 (2005). In February 1991, the Agent Orange Act of 1991, Public Law 102-4, 105 Stat. 11 (1991) was enacted. It added a new section (§ 1116) to title 38 of the United States Code establishing a scientific-evidence review process for the establishment of presumptions of service connection for diseases associated with exposure to certain herbicide agents. See 38 U.S.C.A. § 1116 (West 2002 & Supp. 2005). Pursuant to 38 U.S.C.A. § 1116, in February 1994, VA published notice of a final rule in the Federal Register amending 38 C.F.R. § 3.309(e) to allow presumptive service connection for Hodgkin's disease with an effective date of February 3, 1994. See 59 Fed. Reg. 5,106-07 (Feb. 3, 1994). Where pension, compensation, or dependency and indemnity compensation is awarded or increased pursuant to a liberalizing VA issue approved by the Secretary or by the Secretary's direction, the effective date of such award or increase shall be fixed in accordance with the facts found, but shall not be earlier than the effective date of the act or administrative issue. 38 C.F.R. §§ 3.114(a), 3.400(p) (2005). Ordinarily, under those provisions, awards based on presumptions of service connection established under the Agent Orange Act of 1991 can be made effective no earlier than the date VA issued the regulation authorizing the presumption. An earlier effective date was warranted, however, in this case for service connection for Hodgkin's disease under the Nehmer II Stipulation and Order because the provisions of that Order applied to the veteran's claim. In May 1989, the United States District Court for the Northern District of California (district court) voided all denials of Agent Orange claims based on the regulations that became effective on September 25, 1985. Nehmer v. United States Veterans' Administration, 712 F. Supp. 1404, 1409 (N.D. Cal. 1989) (Nehmer I). The district court later clarified its ruling, holding that the covered claims were those in which the disease or cause of death was later found to be service connected under valid VA regulations. Nehmer v. United States Veterans' Administration, 32 F. Supp. 2d 1175, 1183 (N.D. Cal. 1999) (Nehmer II). In May 1991, the United States government and the plaintiffs in the Nehmer litigation entered into a stipulation according to which VA would readjudicate claims, the denials of which were voided by Nehmer I. Nehmer v. United States Veterans' Administration, No. CV-86-6160 (TEH) (N.D. Cal. May 17, 1991) (Nehmer Stipulation). The effective date of any resulting award of benefits would be based on the filing date of the original claim, for claims originally filed before May 3, 1989 (Stipulation 1), or on the later of the filing date of the claim or the date of disability or death of the veteran, for claims filed after May 3, 1989 (Stipulation 2). See Williams v. Principi, 310 F.3d 1374, 1375-76 (Fed. Cir. 2002). The Nehmer stipulations were later incorporated into a final regulation that became effective on September 24, 2003. See 68 Fed. Reg. 50,966 (Aug. 25, 2003) (codified at 38 C.F.R. § 3.816 (2005)). That regulation defines a "Nehmer class member" to include a Vietnam veteran who had covered herbicide disease, to include Hodgkin's disease. Id. at 50,970. The regulation further provides that where a "Nehmer class member" is entitled to compensation from a covered herbicide disease, and the class member's claim for disability compensation for the covered herbicide disease was either pending before VA on May 3, 1989, or was received by VA between that date and the effective date of the statute or regulations establishing a presumption of service connection for the covered disease, the effective date of the award will be the later of the date such claim was received by VA or the date the disability arose. Id. at 50,971. In this case, the veteran's reopened claim for service connection for Hodgkin's lymphoma was received on July 18, 1990, falling within the scope of the Nehmer Stipulation 2, as set forth in the regulation, and warranting an effective date of July 18, 1990, for service connection for Hodgkin's lymphoma and residuals of a splenectomy, as both were present in the 1970s. In July 1990, the veteran had not yet been diagnosed with any heart disorder. Because the veteran's claim for heart disease secondary to his Hodgkin's lymphoma was received on March 7, 1994, and the appellant's original claim for the cause of the veteran's death from heart disease and for accrued benefits was received on January 19, 1999, the issue on appeal does not fall within the scope of the Nehmer Stipulation 1 or the scope of the Nehmer Stipulation 2, as set forth in the regulation. Where these requirements are not met, the regulation provides that the effective date of the award "shall be determined in accordance with" 38 C.F.R. §§ 3.114 and 3.400. 68 Fed. Reg. 50,966, at 50,971 (Aug. 25, 2003) (codified at 38 C.F.R. § 3.816(d)(4)). Where pension, compensation, or dependency and indemnity compensation is awarded or increased pursuant to a liberalizing law or VA issue which became effective on or after the date of its enactment or issuance, in order for a claimant to be eligible for a retroactive payment under the provisions of this paragraph the evidence must show that the claimant met all eligibility criteria for the liberalized benefit on the effective date of the liberalizing law or VA issue and that such eligibility existed continuously from that date to the date of claim or administrative determination of entitlement. The provisions of this paragraph are applicable to original and reopened claims as well as claims for increase. If a claim is reviewed on the initiative of VA within 1 year from the effective date of the law or VA issue, or at the request of a claimant received within 1 year from that date, benefits may be authorized from the effective date of the law or VA issue. 38 C.F.R. § 3.114(a)(1). As noted above, under 38 C.F.R. § 3.400, the effective date of service connection based on an original claim is the date of receipt of the claim (March 7, 1994), or the date entitlement arose, whichever is later. See 38 U.S.C.A. § 5110(a). In this case, the record shows that the veteran was diagnosed with coronary artery disease (CAD) and exertional angina in December 1992, and with mild congestive heart failure, Dressler's syndrome, pleural effusions, and recurrent pericarditis in February 1993. December 1992 hospital records reflect that there were intrapericardial adhesions, probably a reflection of radiation treatment; May 1995 hospital records attribute the veteran's pericarditis to radiation therapy for Hodgkin's lymphoma; and a November 1996 VA examiner opined, after a review of the medical records, that the veteran's cardiac condition probably was related to radiation treatment for his Hodgkin's disease. However, because the regulation adding Hodgkin's disease to the list of presumptive diseases due to exposure of Vietnam Era veterans to Agent Orange was a liberalizing regulation, the effective date in this case is based on 38 C.F.R. § 3.114. Under 38 C.F.R. § 3.114, where compensation is awarded pursuant to a liberalizing law or VA issue, and the claim that is reviewed at the request of the claimant is received within one year after the effective date of the law or VA issue, benefits may be authorized from the effective date of the law or VA issue. 38 C.F.R. § 3.114(a)(1). In this case, that date is February 3, 1994, the effective date for service connection established by the RO. The Board thus concludes that, in this case, the RO established the earliest effective date permitted under the law for the grant of compensation (service-connection) benefits for heart disability on a secondary basis. Disability Rating for Accrued Benefits Purposes Disability ratings are determined by applying the criteria set forth in VA's Schedule for Rating Disabilities (Rating Schedule), which is based on the average impairment of earning capacity. Individual disabilities are assigned separate diagnostic codes. 38 U.S.C.A. § 1155 (West 2002); 38 C.F.R. § 4.1 (2005). If two evaluations are potentially applicable, 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. If there is disagreement with the initial rating assigned following a grant of service connection, separate ratings can be assigned for separate periods of time, based on the facts found. Fenderson v. West, 12 Vet. App. 119, 126 (1999). See AB v. Brown, 6 Vet. App. 35 (1993) (a claim for an original or an increased rating remains in controversy when less than the maximum available benefit is awarded). Reasonable doubt as to the degree of disability will be resolved in the veteran's favor. 38 C.F.R. § 4.3. Since the criteria for rating heart disabilities were revised during the pendency of the veteran's appeal for a higher initial rating prior to his death in December 1998, the appellant is entitled to the application of the version of the regulations that would have been more favorable to the veteran from the effective date of the new criteria, but only the former criteria are to be applied for the period prior to the effective date of the new criteria, January 12, 1998. VAOPGCPREC 3-2000; see also Rodriguez v. Nicholson, 19 Vet. App. 275, 288 (2005) ("Absent clearly expressed intent to the contrary, statutes and regulations are presumed not to have retroactive effect." (citing Durr v. Nicholson, 400 F.3d 1375, 1380 (Fed. Cir. 2005)). Prior to January 12, 1998, Diagnostic Code 7002 provided that constrictive pericarditis was evaluated as rheumatic heart disease under the provisions of Diagnostic Code 7000. Diagnostic Code 7000 provided a maximum 100 percent evaluation for inactive rheumatic heart disease substantiated by clinical and roentgenogram confirmation of definite enlargement of the heart; dyspnea on slight exertion, rales, pretibial pitting at the end of the day, or other definite signs of beginning congestive failure; and preclusion of more than sedentary labor. A 60 percent evaluation required severe dyspnea on exertion, elevation of systolic blood pressure, or such arrhythmias as paroxysmal auricular fibrillation or flutter or paroxysmal tachycardia, and preclusion of more than light manual labor. See 38 C.F.R. § 4.104, Diagnostic Codes 7000, 7002 (1997). Effective January 12, 1998 the Rating Schedule provides that a maximum 100 percent evaluation is warranted for pericarditis for three months following cessation of therapy for active infection with cardiac involvement or thereafter, with documented pericarditis resulting in chronic congestive heart failure, or; when a workload of 3 METs or less results in dyspnea, fatigue, angina, dizziness, or syncope, or; left ventricular dysfunction with an ejection fracture of less than 30 percent. A 60 percent evaluation is warranted for pericarditis resulting in more than one episode of acute congestive heart failure in the past year, or; when a 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 fracture of less than 30 to 50 percent. See 38 C.F.R. § 4.104, Diagnostic Code 7002 (2005). The revised criteria contain objective measurements of the level of physical activity, expressed numerically in METs at which cardiac symptoms develop; METs generally are measured by means of a treadmill test, but also may be estimated. An estimation by a medical examiner of the level of activity expressed in METs should be supported by specific examples, such as slow stair climbing or shoveling snow) that results in dyspnea, fatigue, angina, dizziness, or syncope may be used. 38 C.F.R. § 4.104, Note 2 (2005). One 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. After a review of the evidence of record, resolving the doubt in the appellant's favor, the Board concludes that an initial 100 percent rating was warranted for the veteran's service- connected heart disease from February 3, 1994 under the regulations in effect prior to January 12, 1998 and those in effect after January 12, 1998. 38 C.F.R. § 3.102 (2005). This is so because a December 1992 hospital report showed the presence of an enlarged heart and dyspnea (shortness of breath) and intermittent chest and neck tightness with exertion; a February 1993 hospital report reflected mild heart failure, and an August 1993 cardiac catheterization report from the Mount Sinai Hospital revealed congestive heart failure characterized by orthopnea, paroxysmal nocturnal dyspnea, dyspnea on exertion and fatigue. Moreover, a June 1995 Presbyterian Hospital clinic note reflected that the veteran was unemployed and had a long and slow recovery following his December 1992 coronary artery bypass surgery; that, in August 1993, the veteran underwent a right heart catheterization because of congestive heart failure and symptoms of orthopnea, paroxysmal nocturnal dyspnea, dyspnea on exertion and fatigue, consistent with pericardial constriction or restrictive cardiomyopathy; and that, after an examination, a June 1995 impression included chronic constrictive pericarditis with some obstruction to the flow, particularly of the right internal jugular vein and/or superior vena cava with drainage of the left superior vena cava into the coronary sinus with lower pressures in the right atrium, otherwise there might be some type of intrathoracic obstruction, either related to scarring or to his lymphoma. The above described symptomatology approximates a 100 percent evaluation under the rating criteria in effect prior to January 12, 1998, because it revealed dyspnea on slight exertion, other definite signs of beginning congestive failure, and congestive heart failure. Moreover, the appellant testified that the veteran had not worked since the Spring of 1993 because of his heart condition and a SHARE printout indicated that the Social Security Administration had found the veteran disabled as of April 28, 1994, thus precluding more than sedentary labor. As the RO noted in a September 2002 rating decision, private hospital records also reflected that the veteran underwent an exercise stress test on May 23, 1995, which showed that he achieved a workload of 1.7 METs, meeting the criteria for 100 percent under the revised rating criteria. As a result, the Board finds that an effective date of February 3, 1994 for a 100 percent rating for the veteran's heart disability, for purposes of accrued benefits, is warranted. The Board observes that, in Sharp v. Nicholson, 403 F.3d 1324, 1327 (Fed. Cir. 2005), the United States Court of Appeals for the Federal Circuit (Federal Circuit Court) held that 38 U.S.C.A. § 5121(a) does not limit a survivor's recovery of accrued benefits to those benefits accrued in the two-year period immediately prior to a veteran's death. See also Terry v. Principi, 367 F.3d 1291, 1296 (Fed. Cir. 2004) (holding that "38 U.S.C. § 5121(a) only limits a survivor's recovery of accrued veteran's benefits to a maximum two-year period of benefits accrued.") ORDER Subject to the laws and regulations governing the payment of monetary benefits, an effective date of February 3, 1994 for a 100 percent rating for constrictive pericarditis with Dressler's syndrome, for purposes of accrued benefits, is granted. ____________________________________________ JOAQUIN AGUAYO-PERELES Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs