Citation Nr: 0814796 Decision Date: 05/05/08 Archive Date: 05/12/08 DOCKET NO. 06-08 068 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Muskogee, Oklahoma THE ISSUE Entitlement to an evaluation greater than 20 percent for arthroscopy of the right knee with partial right lateral meniscectomy and anterior cruciate ligament reconstruction. ATTORNEY FOR THE BOARD Christopher Murray, Associate Counsel INTRODUCTION The veteran had active military service from June 1988 to May 1997. This case comes before the Board of Veterans' Appeals (Board) on appeal of a September 2005 rating decision of the Department of Veterans Affairs (VA) Regional Office (RO) in Muskogee, Oklahoma. FINDINGS OF FACT 1. The veteran's right knee disability, arthroscopy with partial right lateral meniscectomy and anterior cruciate ligament reconstruction, is manifested by moderate lateral instability. There is no evidence of compensable limitation of motion; ankylosis; subluxation or more than slight laxity; or impairment to the tibia or fibula. 2. The veteran has arthritis of the right knee, established by x-ray findings, related to his service connected right knee disability, with objective evidence of painful motion. CONCLUSIONS OF LAW 1. The criteria for a rating in excess of 20 percent for arthroscopy of the right knee with partial right lateral meniscectomy and anterior cruciate ligament reconstruction have not been met. 38 U.S.C.A. § 1155 (West 2002); 38 C.F.R. §§ 4.10, 4.40, 4.45, 4.59, 4.71a, Diagnostic Code 5257 (2007). 2. The criteria for a separate rating of 10 percent for arthritis of the right knee have been met. 38 U.S.C.A. § 1155 (West 2002); 38 C.F.R. §§ 4.10, 4.40, 4.45, 4.59, 4.71a, Diagnostic Code 5003 (2007). REASONS AND BASES FOR FINDINGS AND CONCLUSIONS VA's Duties to Notify and Assist Under the Veterans Claims Assistance Act (VCAA), when VA receives a complete or substantially complete application for benefits, it must (1) notify the claimant of the information and evidence not of record that is necessary to substantiate a claim, (2) which information and evidence VA will obtain, (3) and which information and evidence the claimant is expected to provide. 38 U.S.C.A. § 5103(a) (West 2002). (4) VA must also request that the claimant provide any evidence in the claimant's possession that pertains to a claim. 38 C.F.R. § 3.159 (2007). See also Pelegrini v. Principi, 18 Vet. App. 112, 120-21 (2004) (Pelegrini II). Regarding VCAA notice elements two through four, the Board finds that March and July 2005 notice letters fully satisfied these duty to notify provisions. 38 U.S.C.A. § 5103(a); 38 C.F.R. § 3.159(b)(1); Quartuccio v. Principi, 16 Vet. App. 183, 187 (2002). In this regard, these notice letters requested that the veteran provide enough information for the RO to request records from any sources of information and evidence identified by the veteran. He was also expressly advised of the need to submit any evidence in his possession that pertains to the claim decided herein. Finally, these letters advised the veteran what information and evidence would be obtained by VA, namely, records like medical records, employment records, and records from other Federal agencies. During the pendency of this appeal, the Court of Appeals for Veterans Claims (Court) issued a decision in Vazquez-Flores v. Peake, 22 Vet. App. 37 (2008), which held that, for an increased compensation claim, section 5103(a) requires first element notice which, at a minimum, notifies the claimant that he must provide, or ask the Secretary to obtain, medical or lay evidence demonstrating a worsening or increase in severity of the disability and the effect that worsening has on his employment and daily life. Further, if the diagnostic code under which the claimant is rated contains criteria necessary for entitlement to a higher disability rating that would not be satisfied by the claimant demonstrating a noticeable worsening or increase in severity of the disability and the effect that worsening has on the claimant's employment and daily life (such as a specific measurement or test result), the Secretary must provide at least general notice of that requirement to the claimant. Additionally, the claimant must be notified that, should an increase in disability be found, a disability rating will be determined by applying relevant diagnostic codes, which typically provide for a range in severity of a particular disability from noncompensable to as much as 100 percent (depending on the disability involved), based on the nature of the symptoms of the condition for which disability compensation is being sought, their severity and duration, and their impact upon employment and daily life. The notice must also provide examples of the types of medical and lay evidence that the claimant may submit (or ask the Secretary to obtain) that are relevant to establishing entitlement to increased compensation - e.g., competent lay statements describing symptoms, medical and hospitalization records, medical statements, employer statements, job application rejections, and any other evidence showing an increase in the disability or exceptional circumstances relating to the disability. Vazquez-Flores, 22 Vet. App. at 41. In the instant case, the veteran was provided pertinent information in the March and July 2005 VCAA notice letters. Specifically, these letters informed the veteran of the need to provide on his own, or by VA, medical or lay evidence demonstrating a worsening or increase in severity of the disability. The Board acknowledges that the March and July 2005 letters did not make reference to specific diagnostic codes or applicable criteria necessary to warrant an increased rating which might not be evident from demonstrating a noticeable worsening or increase in severity of the disability and the effect of that worsening on his employment and daily life. However, the veteran was provided notice of applicable rating criteria involving specific measurements or testing results, namely, range of motion testing, in the January 2006 statement of the case. The Board also acknowledges the March and July 2006 letters did not specifically inform the veteran that he must provide evidence demonstrating the effect any worsening of his service-connected disability has on his daily life. However, the Board concludes that the veteran demonstrated actual knowledge of the need to submit evidence regarding the impact of his disability on his daily life at an August 2007 VA examination, in which the veteran stated that after strenuous activity, like a gym workout, he will have swelling of the knee that he treats with elevation, rest and ice. Under these circumstances, the Board finds that any VCAA notice error with respect to this provision of first element notice is non-prejudicial to the veteran, and that the Board may proceed with its decision. See Sanders v. Nicholson, 487 F.3d 881 (Fed. Cir. 2007) (all VCAA notice errors are presumed prejudicial and require reversal unless the VA can show that the error did not affect the essential fairness of the adjudication, such as by demonstrating that any defect was cured by actual knowledge on the part of the claimant, that a reasonable person could be expected to understand from the notice what was needed, that a benefit could not have been awarded as a matter of law, or perhaps where the claimant has stated that he or she has no further evidence to submit, or where the record reflects that VA has obtained all relevant evidence). The Board notes that the January 2006 statement of the case was sent subsequent to the initial unfavorable agency decision in September 2005. However, the Board finds that any timing defect with regard to VCAA notice was harmless error. See Pelegrini v. Principi, 18 Vet. App. 112 (2004); Mayfield v. Nicholson, 20 Vet. App. 537 (2006). In this regard, the information provided to the veteran by this statement of the case fully complied with the requirements of 38 U.S.C. § 5103(a) and 38 C.F.R. § 3.159(b), and, after the notice was provided, the case was readjudicated and April and November 2007 supplemental statements of the case were provided to the veteran. See Mayfield v. Nicholson, 19 Vet. App. 103, 121 (2005); rev'd on other grounds, Mayfield v. Nicholson, 444 F. 3d 1328 (Fed. Cir. 2006) (a (supplemental) statement of the case that complies with all applicable due process and notification requirements constitutes a readjudication decision). In Vazquez-Flores, supra, the Court stated that "[n]othing in law or common sense supports a conclusion that the Court should put on blinders and ignore [the 'extensive administrative appellate process'] or a conclusion that a notice error prior to the initial decision by the Secretary could not be rendered non-prejudicial when the full panoply of administrative appellate procedures established by Congress are provided to the claimant. It is well settled that a remand is not warranted when no benefit would flow to the claimant." Id. See also Bernard v. Brown, 4 Vet. App. 384, 394 (1993); Sabonis v. Brown, 6 Vet. App. 426, 430 (1994) (remands which would only result in unnecessarily imposing additional burdens on VA with no benefit flowing to the veteran are to be avoided). As a final matter, the Board notes that the veteran was not provided notice regarding the evidence and information necessary to establish a disability rating and effective date in accordance with Dingess v. Nicholson, 19 Vet. App. 473, 484 (2006). However, the Board has concluded that the preponderance of the evidence is against the veteran's claim for an increased evaluation based on lateral instability. Therefore, any questions as to the appropriate disability rating or effective date to be assigned have been rendered moot, and the absence of notice regarding these elements should not prevent a Board decision on this issue. With respect to a separate evaluation for degenerative arthritis of the right knee, the Board has rendered a decision fully favorable to the veteran. As such, any question as to the disability rating to be assigned has been rendered moot. As for the appropriate effective date to be assigned, lack of notice on this element is non-prejudicial to the veteran, as he may appeal the effective date assigned by the RO should he disagree and be provided with notice at that time. In light of the above, the Board finds that nearly all notice required by VCAA and implementing regulations was furnished to the veteran. For those elements of notice that the veteran was not specifically informed, the Board has demonstrated that any defective predecisional notice error is non-prejudicial in terms of the essential fairness of the adjudication. and that no useful purpose would be served by delaying appellate review to send out additional VCAA notice letters. VA must also make reasonable efforts to assist the appellant in obtaining evidence necessary to substantiate the claim for the benefit sought, unless no reasonable possibility exists that such assistance would aid in substantiating the claim. 38 U.S.C.A. § 5103A; 38 C.F.R. § 3.159 (2007). Service medical records are associated with the claims file. Post-service treatment records and reports from the Oklahoma City VA Medical Center (VAMC) have also been obtained. The veteran has supplied treatment records from Oklahoma Sports Science and Orthopaedics (OSSO), Regeneration Physical Therapy (RPT) and Dr. Fanning of Oklahoma City, Oklahoma. The appellant has not identified any additional medical records that should be obtained. The veteran was afforded two VA examinations for the purpose of rating his level of disability. See 38 U.S.C.A. § 5103A(d); see also 38 C.F.R. § 3.159 (c)(4) (2007); Wells v. Principi, 327 F. 3d 1339, 1341 (Fed. Cir. 2002). In light of the foregoing, the Board is satisfied that all relevant facts have been adequately developed to the extent possible; no further assistance to the appellant in developing the facts pertinent to the issue on appeal is required to comply with the duty to assist. 38 U.S.C.A. §§ 5103 and 5103A; 38 C.F.R. § 3.159. Analysis Under 38 U.S.C. § 7104, Board decisions must be based on the entire record, with consideration of all the evidence. In Timberlake v. Gober, 14 Vet. App. 122 (2000), the Court held, in pertinent part, that the law requires only that the Board address its reasons for rejecting evidence favorable to the claimant. The Federal Circuit has also held that the Board must review the entire record, but does not have to discuss each piece of evidence. Gonzales v. West, 218 F.3d 1378, 1380-81 (Fed. Cir. 2000). Disability evaluations are determined by applying the criteria set forth in the VA Schedule for Rating Disabilities (Rating Schedule), found in 38 C.F.R. Part 4. The Board attempts to determine the extent to which the veteran's service-connected disability adversely affects his ability to function under the ordinary conditions of daily life, and the assigned rating is based, as far as practicable, upon the average impairment of earning capacity in civil occupations. 38 U.S.C.A. § 1155 (West 2002); 38 C.F.R. §§ 4.1, 4.10 (2007). Regulations require that where there is a question as to which of two evaluations is to 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. This evaluation is not an initial rating. Therefore, the rule from Francisco v. Brown, 7 Vet. App. 55, 58 (1994), that the present level of disability is of primary importance is applicable. Further, the Board must evaluate the medical evidence of record since the filing of the claim for increased rating and consider the appropriateness of a "staged rating" (i.e., assignment of different ratings for distinct periods of time, based on the facts). See Hart v. Mansfield, 21 Vet. App. 505 (2007). The veteran is currently service-connected for arthroscopy of the right knee with partial right lateral meniscectomy and anterior cruciate ligament reconstruction, evaluated as 20 percent disabling pursuant to 38 C.F.R. § 4.71a, Diagnostic Code 5257 (2007). The veteran contends that his right knee disability is currently characterized by instability and limitation of motion due to pain. As such, he contends that he is entitled to a disability rating in excess of 20 percent for his service-connected right knee disability. Disability of the musculoskeletal system is primarily the inability, due to damage or infection in the 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 visible behavior of the claimant undertaking the motion. Weakness is as important as limitation of motion, and a part that becomes painful on use must be regarded as seriously disabled. 38 C.F.R. §§ 4.40, 4.45, see also DeLuca v. Brown, 8 Vet. App. 202, 206-07 (1995). Painful, unstable, or malaligned joints, due to healed injury, are entitled to at least the minimum compensable rating for the joint. 38 C.F.R. § 4.59. The factors involved in evaluating, and rating, disabilities of the joints include weakness; fatigability; incoordination; restricted or excess movement of the joint, or pain on movement. 38 C.F.R. § 4.45. VA's General Counsel has held that when a knee disorder is rated under 38 C.F.R. § 4.71a, Diagnostic Code 5257 and a veteran also has limitation of knee motion which at least meets the criteria for a noncompensable evaluation under 38 C.F.R. § 4.71a, Diagnostic Code 5260 or 5261, separate evaluations may be assigned for arthritis with limitation of motion and for instability. If a veteran does not meet the criteria for a noncompensable rating under either Diagnostic Code 5260 or Diagnostic Code 5261, there is no additional disability for which a separate rating for arthritis may be assigned. VAOPGCPREC 23-97 (July 1, 1997), published at 62 Fed. Reg. 63,604 (1997). However, if a rating is assigned under the provisions for other knee impairment (38 C.F.R. § 4.71a, Diagnostic Code 5257) a separate 10 percent rating may be assigned where there is X-ray evidence of arthritis and evidence of painful motion. See VAOPGCPREC 9-98 (August 14, 1998), published at 63 Fed. Reg. 56,704 (1998); 38 C.F.R. § 3.59. In the present case, the veteran's right knee disability is currently rated under Diagnostic Code 5257 for moderate lateral instability. The veteran is not, however, separately rated under Diagnostic Codes 5260 or 5261 for limitation of motion of the knee. Under such circumstances, the Board will therefore consider (1) whether the veteran is entitled to a rating in excess of 20 percent for any instability of the right knee, and (2) whether the veteran is entitled to a compensable rating for any limitation of motion of the right knee for the appropriate period. With regards to the second issue, the Board will consider whether the veteran is entitled to a higher rating under Diagnostic Code 5003 or Diagnostic Codes 5260 and/or 5261. The veteran's left knee disability, as manifested by degenerative changes, may be assigned separate ratings under Diagnostic Codes 5260 and 5261. See VAOPGCPREC 9-2004. The veteran's claim for increase for his right knee disability in this case was received on November 30, 2004. As such, the rating period for consideration on appeal stems from November 30, 2003. 38 C.F.R. § 3.400 (o)(2) (2007). I. Increased Evaluation Based on Instability of the Left Knee As noted above, the veteran's right knee disability is currently rated as 20 percent disabling pursuant to 38 C.F.R. § 4.71a, Diagnostic Code 5257 (2007). Diagnostic Code 5257 provides for a 20 percent evaluation is where there is moderate recurrent subluxation or lateral instability. A 30 percent evaluation is assigned where there is severe recurrent subluxation or lateral instability. 38 C.F.R. § 4.71a, Diagnostic Code 5257 (2007). The Board finds an evaluation in excess of 20 percent under Diagnostic Code 5257 is not warranted for the right knee, as the veteran's complaints of severe instability of the right knee are not supported by the objective clinical findings. The veteran demonstrated a normal Drawer and McMurray's test at his February 2005 VA examination. An August 2007 VA examination report indicates slight laxity with anterior drawer. A Lachman's test performed during the August 2007 VA examination indicated laxity of the anterior cruciate ligament. At this examination, the veteran reported two instances of his knee giving way since discharge from active service in 1997. The examiner classified the veteran's right knee instability as mild. The Board places significantly more weight on the objective clinical findings reported on examination than the veteran's own subjective statements in support of his claim. See Smith v. Derwinski, 1 Vet. App. 235, 237 (1991) (determining the credibility of evidence is a function for the Board). Since the clinical evidence shows no more than moderate instability of the right knee, the Board finds that the preponderance of the evidence is against an evaluation in excess of 20 percent under Diagnostic Code 5257 due to recurrent subluxation or lateral instability. II Entitlement to a Separate Evaluation Based on Limitation of Motion The veteran's right knee disability is not currently separately rated for limitation of motion. Under 38 C.F.R. § 4.71a, Diagnostic Code 5003, arthritis established by X-ray findings will be rated on the basis of limitation of motion under the appropriate diagnostic code(s) for the specific joint involved. The normal range of knee motion is 140 degrees of flexion and zero degrees of extension. 38 C.F.R. § 4.71, Plate II (2007). Limitation of motion of the knee is contemplated in 38 C.F.R. § 4.71a, Diagnostic Codes 5260 and 5261 (2007). Diagnostic Code 5260 provides for a zero percent evaluation where flexion of the leg is only limited to 60 degrees. For a 10 percent evaluation, flexion must be limited to 45 degrees. A 20 percent evaluation is warranted where flexion is limited to 30 degrees. A 30 percent evaluation may be assigned where flexion is limited to 15 degrees. 38 C.F.R. § 4.71a, Diagnostic Code 5260. Diagnostic Code 5261 provides for a zero percent evaluation where extension of the leg is limited to five degrees. A 10 percent evaluation requires extension limited to 10 degrees. A 20 percent evaluation is warranted where extension is limited to 15 degrees. A 30 percent evaluation may be assigned where the evidence shows extension limited to 20 degrees. For a 40 percent evaluation, extension must be limited to 30 degrees. And finally, where extension is limited to 45 degrees, a 50 percent evaluation may be assigned. 38 C.F.R. § 4.71a, Diagnostic Code 5261. Separate ratings under Diagnostic Code 5260 (limitation of flexion of the leg) and Diagnostic Code 5261 (limitation of extension of the leg) may be assigned for disability of the same joint. VAOPGCPREC 9-04 (September 17, 2004), published at 69 Fed. Reg. 59,990 (2004). Specifically, where a veteran has both a limitation of flexion and a limitation of extension of the same leg, the limitations must be rated separately to adequately compensate for functional loss associated with injury to the leg. Id. April 2006 VA treatment records indicate the veteran has been diagnosed with mild osteoarthritis, established by x-ray evidence and the Board concludes that the record supports a finding that the arthritis is as likely as not related to the veteran's service connected right knee disability. VA treatment records also provide objective assessment of painful motion. As such, the Board finds that the veteran is entitled to a separate evaluation under Diagnostic Code 5003 because there is X-ray evidence of degenerative arthritis and objective evidence of painful motion. However, as was previously discussed, in considering the veteran's limitation of motion of his right knee disability, the Board must consider whether he is entitled to a higher disability rating under Diagnostic Code 5003 or Diagnostic Codes 5260 and/or 5261. As noted above, the Board will also consider whether a higher rating is in order given consideration of the DeLuca factors. After careful review of the record, the Board finds that the competent medical evidence of record does not support a separate evaluation in excess of 10 percent. In this regard, a February 2005 VA examination report indicates that the veteran's right knee had full flexion to 140 degrees and full extension to 0 degrees, with no limitation due to main, fatigue, weakness, lack of endurance or incoordination after repetitive use. In addition, an April 2006 VA treatment record indicates the veteran has full range of motion of the right knee and "no trouble with the functioning of the knee." Finally, an August 2007 VA examination report indicates full flexion to 140 degrees and full extension to 0 degrees without pain. The Board notes that neither of the veteran's examinations nor any other evidence of record reveals flexion limited to 60 degrees or extension limited to 5 degrees. Thus, the Board finds that the veteran is not entitled to a separate compensable rating under the schedular criteria of Diagnostic Codes 5260 or 5261. The evidence of record does, however, demonstrate that there is x-ray evidence of arthritis in the right knee and objective evidence of pain. In light of the evidence above, the Board finds that the veteran is entitled to a separate evaluation of 10 percent, but not greater, under Diagnostic Code 5003. III. Additional Considerations The Board has considered the applicability of additional diagnostic codes potentially applicable to the veteran's service-connected left knee disability. However, no higher or separate evaluation is warranted under any of these diagnostic codes. In this regard, the Board observes that Diagnostic Codes 5258 and 5259 do not apply to the veteran's current disability because there is no evidence of semilunar dislocated cartilage or removal of the semilunar cartilage. In addition, as the evidence of record fails to demonstrate ankylosis or impairment of the tibia or fibula, the veteran is not entitled to a separate or higher rating under Diagnostic Codes 5256 or 5262. Finally, the Board has considered the potential application of various provisions of Title 38 of the Code of Federal Regulations, but the 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) (2007). In this regard, the Board finds that there has been no showing by the veteran that his service-connected right knee disability has resulted in marked interference with employment or necessitated frequent periods of hospitalization. The Board observes that the veteran is employed as a systems administrator. Under these circumstances, the Board finds that the veteran has not demonstrated marked interference with employment so as to render impractical the application of the regular rating schedule standards. In the absence of such factors, the Board finds that criteria for submission for assignment of an extraschedular rating pursuant to 38 C.F.R. § 3.321(b)(1) are not met. See Bagwell, 9 Vet. App. 337 (1996); Shipwash v. Brown, 8 Vet. App. 218, 227 (1996). The Board acknowledges the veteran's statements that his right knee disability is worse than the assigned 20 percent rating for lateral instability. However, in determining the actual degree of disability, an objective examination is more probative of the degree of the veteran's impairment. Furthermore, the opinions and observations of the veteran alone cannot meet the burden imposed by the rating criteria under 38 C.F.R. § 4.71a with respect to determining the severity of his service-connected right knee disability. See Moray v. Brown, 2 Vet. App. 211, 214 (1993); see also Espiritu v. Derwinski, 2 Vet. App. 492 (1992); 38 C.F.R. § 3.159(a)(1) and (2) (2007). As a preponderance of the evidence is against the assignment of an evaluation in excess of 20 percent for lateral instability of the right knee, the benefit-of-the-doubt rule does not apply, and this portion of the veteran's claim must be denied. 38 U.S.C.A. § 5107(b) (West 2002); Gilbert v. Derwinski, 1 Vet. App. 49, 55 (1990). However, as noted above, the evidence of record includes a diagnosis of degenerative arthritis, established by x-ray evidence, as well as objective findings of painful motion. As such, the Board finds that a separate evaluation of 10 percent is warranted pursuant to 38 C.F.R. § 4.71a, Diagnostic Code 5003. ORDER An increased evaluation in excess of 20 percent for lateral instability due to arthroscopy of the right knee with partial right lateral meniscectomy and anterior cruciate ligament reconstruction, is denied. A separate evaluation of 10 percent, but not greater, for arthritis of the right knee is granted, subject to laws and regulations governing the payment of monetary benefits. ____________________________________________ MILO H. HAWLEY Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs