Citation Nr: 0814970 Decision Date: 05/06/08 Archive Date: 05/12/08 DOCKET NO. 91-43 910 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Los Angeles, California THE ISSUES 1. Entitlement to an increased rating for residuals of a shell fragment wound of the back with traumatic deformity at L1 and retained foreign bodies, currently evaluated as 20 percent disabling (low back disability). 2. Entitlement to an increased rating for chronic restrictive airway disease with retained foreign body, currently evaluated as 20 percent disabling, before January 22, 2003. 3. Entitlement to an increased rating for chronic restrictive airway disease with retained foreign body, currently evaluated as 20 percent disabling, from January 22, 2003. 4. Entitlement to a separate 10 percent for retained foreign bodies in the lung. REPRESENTATION Appellant represented by: Disabled American Veterans ATTORNEY FOR THE BOARD L. J. Vecchiollo, Counsel INTRODUCTION The veteran served on active duty from October 1966 to October 1968. This matter came before the Board of Veterans' Appeals (Board) on appeal from an August 1990 and subsequent rating decisions from the Los Angeles, California, Department of Veterans Affairs (VA) Regional Office (RO). The Board remanded the claim to the RO in November 1992 and January 1997 for further development and consideration. A December 2004 rating decision recharacterized the veteran's claim for an increased rating for residual, shrapnel wound, left axillary area, with history of pneumothorax, as chronic restrictive airway disease with retained foreign body; and granted an increased, 20 percent, rating, effective the date of claim, November 28, 1988. The veteran continues to appeal for a higher rating for this disability. See AB v. Brown, 6 Vet. App. 35 (1993). The issue of entitlement to an increased rating for low back disability is addressed in the REMAND portion of the decision below and is REMANDED to the RO via the Appeals Management Center (AMC), in Washington, DC. FINDINGS OF FACT 1. Before January 22, 2003, the veteran's chronic restrictive airway disease with retained foreign body was manifested by pain and was productive of no more than moderate disability. 2. From January 22, 2003, the veteran's chronic restrictive airway disease with retained foreign body is manifested by pain, is productive of no more than moderate disability, with an FEV 1 of 56 percent of predicated value. 3. The symptomatology due to the retained foreign bodies in the veteran's lung is included in old Diagnostic Code 6818 (prior to October 7, 1996) and new Diagnostic Code 6843 (from October 7 1996). CONCLUSIONS OF LAW 1. The criteria for a rating in excess of 20 percent for chronic restrictive airway disease with retained foreign body have not been met before January 22, 2003. 38 U.S.C.A. §§ 1155, 5103, 5103A, 5107 (West 2002 & Supp. 2007); 38 C.F.R. § 4.97, Diagnostic Code 6818 (prior to October 7, 1996); 38 C.F.R. §§ 4.14, 4.40, 4.56, 4.59, 4.73, Diagnostic Code 5321, 4.97, Diagnostic Code 6843 (2007). 2. The criteria for a 30 percent rating for chronic restrictive airway disease with retained foreign body have been met from January 22, 2003. 38 U.S.C.A. §§ 1155, 5103, 5103A, 5107 (West 2002 & Supp. 2007); 38 C.F.R. § 4.97, Diagnostic Code 6818 (prior to October 7, 1996); 38 C.F.R. §§ 4.14, 4.40, 4.56, 4.59, 4.73, Diagnostic Code 5321, 4.97, Diagnostic Code 6843 (2007). 3. Entitlement to a separate 10 percent for retained foreign bodies in the lung is denied. 38 U.S.C.A. §§ 1155, 5103, 5103A, 5107 (West 2002 & Supp. 2007); 38 C.F.R. § 4.97, Diagnostic Code 6818 (prior to October 7, 1996); 38 C.F.R. §§ 4.14, 4.40, 4.56, 4.59, 4.73, Diagnostic Code 5321, 4.97, Diagnostic Code 6843 (2007). REASONS AND BASES FOR FINDINGS AND CONCLUSIONS I. Duties to Notify and Assist Upon receipt of a complete or substantially complete application, VA must notify the claimant of the information and evidence not of record that is necessary to substantiate a claim, which information and evidence VA will obtain, and which information and evidence the claimant is expected to provide. 38 U.S.C.A. § 5103(a). VA must request that the claimant provide any evidence in the claimant's possession that pertains to a claim. 38 C.F.R. § 3.159. The notice requirements apply to all five elements of a service connection claim: 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. Dingess v. Nicholson, 19 Vet. App. 473 (2006). The notice requirements may be satisfied if any errors in the timing or content of such notice are not prejudicial to the claimant. Mayfield v. Nicholson, 19 Vet. App. 103 (2005), rev'd on other grounds, 444 F.3d 1328 (Fed. Cir. 2006). The notice must be provided to a claimant before the initial unfavorable adjudication by the RO. Pelegrini v. Principi, 18 Vet. App.112 (2004). This was not accomplished as the initial rating decision was made over a decade before enactment the law discussed above. However, the veteran received notice relating to assignment of an increased rating in June 2007. The notice did not adequately discuss the criteria for an increased rating, thus VA's duty to notify him of the information and evidence necessary to substantiate the claim has not been satisfied. See Quartuccio v. Principi, 16 Vet. App. 183 (2002); Vazquez- Flores v. Peake, 22 Vet. App. 37 (2008). Any error by VA in providing the notice required by 38 U.S.C. § 5103(a) and 38 C.F.R. § 3.159(b)(1) is presumed prejudicial, and once an error is identified as to any of the four notice elements the burden shifts to VA to demonstrate that the error was not prejudicial to the appellant. Sanders v. Nicholson, 487 F.3d 881 (Fed. Cir. 2007). Requiring an appellant to demonstrate prejudice because of any notice error is inconsistent with the purposes of both the VCAA and VA's uniquely pro-claimant benefits system. Id. Instead, all notice errors are presumed prejudicial and require reversal unless VA can show that the error did not affect the essential fairness of the adjudication. Id. To do this, VA must show that the purpose of the notice was not frustrated, such as by demonstrating: (1) that any defect was cured by actual knowledge on the part of the claimant; (2) that a reasonable person could be expected to understand from the notice what was needed; or (3) that a benefit could not have been awarded as a matter of law. Id. Some other possible circumstances that could demonstrate that VA error did not prejudice the claimant include 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 veteran was provided a statement of the case, and any notice errors did not affect the essential fairness of the adjudication as VA has obtained all relevant evidence, and as the appellant has demonstrated actual knowledge of what was necessary to substantiate the claim. Id., Vazquez-Flores, supra. As both actual knowledge of the veteran's procedural rights, and the evidence necessary to substantiate the claims, have been demonstrated and he, and those acting on his behalf, have had a meaningful opportunity to participate in the development of his claims, no prejudice to the veteran will result from proceeding with adjudication without additional notice or process. This notice requires VA to indicate which portion of that information and evidence is to be provided by the claimant and which portion VA will attempt to obtain on the claimant's behalf. See 38 U.S.C.A. §§ 5103, 5103A, 5107; 38 C.F.R. § 3.159. The notice must: (1) inform the claimant about the information and evidence not of record that is 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 or tell the claimant to provide any evidence in the claimant's possession that pertains to the claim, or something to the effect that the claimant should "give us everything you've got pertaining to your claim(s)." Pelegrini v. Principi, 18 Vet. App. 112 (2004). VA made all efforts to notify and to assist the appellant with regard to the evidence obtained, the evidence needed, the responsibilities of the parties in obtaining the evidence, and the general notice of the need for any evidence in the appellant's possession. Any defect with regard to the timing or content of the notice to the appellant is harmless because the appellant had a meaningful opportunity to participate effectively in the processing of the claims with an adjudication of the claims by the RO subsequent to receipt of the required notice. There has been no prejudice to the appellant, and any defect in the timing or content of the notices has not affected the fairness of the adjudication. See Mayfield v. Nicholson, 19 Vet. App. 103 (2005), rev'd on other grounds, 444 F.3d 1328 (Fed. Cir. 2006) (specifically declining to address harmless error doctrine); see also Dingess v. Nicholson, 19 Vet. App. 473 (2006). In addition, all relevant, identified, and available evidence has been obtained, and VA has notified the veteran of any evidence that could not be obtained. The appellant has not referred to any additional, unobtained, relevant evidence. VA has obtained several examinations. Thus, VA has satisfied both the notice and duty to assist provisions of the law. II. Analysis The veteran sustained multiple shrapnel wounds to the back and extremities, and a collapsed lung during service in Vietnam in August 1967. He was awarded the Purple Heart Medal, among other decorations. As pertinent here, he was awarded service connection for residuals of a shrapnel fragment wound of the left axillary area with a history of pneumothorax, under Diagnostic Code 5321, effective from separation from service in October 1968. 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. The evaluation assigned for a service-connected disability is established by comparing the manifestations indicated in the recent medical findings with the criteria in the VA's Schedule for Rating Disabilities. 38 C.F.R. Part 4. When there is a question as to which of two evaluations should 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. The evaluation of the same disability under various diagnoses, and the evaluation of the same manifestations under different diagnoses, are to be avoided. 38 C.F.R. § 4.14. A claimant may not be compensated twice for the same symptomatology as "such a result would overcompensate the claimant for the actual impairment of his earning capacity." Brady v. Brown, 4 Vet. App. 203, 206 (1993). This would result in pyramiding, contrary to the provisions of 38 C.F.R. § 4.14. On November 28, 1988, the veteran requested an increased rating for the condition. The veteran contends that his service-connected residuals of collapsed lung due to his shrapnel wound are more disabling than currently evaluated. A July 1990 VA pulmonary examination reported moderately severe airway disease, which the examiner attributed to his cigarette smoking, rather than his service-connected wounds. Pulmonary function tests revealed an FVC of 88 percent of predicted value, an FEV 1 of 75 percent of predicated value, and FEV1/FVC of 73 percent of predicted value. On July 1993 fee basis pulmonary examination, the veteran gave a history of difficulty breathing intermittently for a period of three years. He also denied chest pressure, pain, fever, chills, coughing up blood or general coughing. His 20-year history of smoking was noted, but he had quit smoking five years ago. Chest x-ray noted no active cardiopulmonary disease. The examiner, based on the examination and pulmonary function test stated that there was no restrictive lung disease present. The examiner also stated that the veteran did not appear to have any permanent residual damage from the shrapnel wound to the left axillary area, although the pneumothorax he had in the past could cause restrictive lung disease. A July 1998 fee basis pulmonary examination reported mild obstruction, no evidence of any restrictive lung disease, an FVC of 94 percent of predicted value, an FEV 1 of 83 percent of predicated value, and FEV1/FVC of 85 percent of predicted value. A January 22, 2003, fee basis pulmonary examination reported moderate restrictive and obstructive lung disorder, an FVC of 59 percent of predicted value, an FEV 1 of 56 percent of predicated value, and FEV1/FVC of 75 percent of predicted value. The veteran's service connected disability was originally rated as 10 percent disabling under Diagnostic Code 5321. That diagnostic code governs injuries to Muscle Group XXI, which encompasses muscles of respiration, including the thoracic muscles. A noncompensable rating is assigned for slight muscle injury. A 10 percent rating is assigned where there is moderate impairment. A December 2004 rating decision recharacterized the veteran's claim for an increased rating for residual, shrapnel wound, left axillary area, with history of pneumothorax, as chronic restrictive airway disease with retained foreign body; and granted an increased, 20 percent, rating, effective the date of claim, November 29, 1988, pursuant to Diagnostic Code 6818. The veteran is already receiving a 20 percent rating under Diagnostic Code 6818, and 20 percent is the highest permissible rating under Diagnostic Code 5321, there is no basis for assigning a higher rating under Diagnostic Code 5321. Diagnostic Code 6818 pertains to pleural cavity, injuries, residuals of, including gunshot wounds. Where severe; with tachycardia, dyspnea or cyanosis on slight exertion, adhesions of diaphragm or pericardium with marked restriction of excursion, or poor response to exercise, a 60 percent rating will be assigned. Where moderately severe; with pain in chest and dyspnea on moderate exertion (exercise tolerance test), adhesions of diaphragm, with excursions restricted, moderate myocardial deficiency, and one or more of the following: thickened pleura, restricted expansion of lower chest, compensating contralateral emphysema, deformity of chest, scoliosis, hemoptysis at intervals, a 40 percent rating will be assigned. Where moderate; with bullet or missile retained in lung, with pain or discomfort on exertion; or with scattered rales or some limitation of excursion of diaphragm or of lower chest expansion, a 20 percent rating will be assigned. Pursuant to note (1) under this code, disabling injuries of shoulder girdle muscles (Groups I to IV) will be separately rated for combination. Note (2) relates that disability persists in penetrating chest wounds, with or without retained missile, in proportion to interference with respiration and circulation, which may become apparent after slight exertion or only under extra stress. Records of examination, both before and after exertion, controlled with fluoroscopic and proper blood pressure determination, are essential for proper evaluation of disability. Exercise tolerance tests should have regard both to dyspnea on exertion and to continued acceleration of pulse rate beyond physiological limits. Involvement of Muscle Group XXI (Diagnostic Code 5321) will not be separately rated and combined with ratings for respiratory involvement assigned under Diagnostic Code 6818 because damage to Muscle Group XXI, the muscles of respiration, is contemplated by the rating assigned under Diagnostic Code 6818. See 38 C.F.R. § 4.14 (the evaluation of the same disability under various diagnoses is to be avoided). Changes to the rating schedule affecting the respiratory system, effective in October 1996, resulted in the elimination of Diagnostic Code 6818; traumatic chest injuries are now evaluated under Diagnostic Code 6843. The veteran gets the benefit of having the old regulation considered throughout the appeal period, the new regulation considered for the period after the change was made, and the application of the more favorable version. The revised rating criteria pertaining to respiratory disorders now include 38 C.F.R. § 4.97, Diagnostic Code 6843, pertaining to traumatic chest wall defect, pneumothorax, hernia, etc. Under this code, a traumatic chest wall defect is rated as 30 percent disabling with forced expiratory volume in one second (FEV-1) of 56 to 70 percent of that predicted; or the ratio of FEV-1 to forced vital capacity (FEV-1/FVC) of 56 to 70 percent; or diffusion capacity of the lung for carbon monoxide by the single breath method (DLCO(SB)) which is 56 to 65 percent of that predicted. Supplementary information published with promulgation of the rating criteria indicates that post-bronchodilator findings are the standard in pulmonary assessment. 61 Fed. Reg. 46,723 (1996). See 61 Fed. Reg. 46,720, 46,723 (Sept. 5, 1996) (VA assesses pulmonary function after bronchodilation). Gunshot wounds of the pleural cavity with bullet or missile retained in lung, pain or discomfort on exertion, or with scattered rales or some limitation of excursion of diaphragm or of lower chest expansion shall be rated at least 20 percent disabling. Disabling injuries of shoulder girdle muscles (Groups I to IV) shall be separately rated and combined with ratings for respiratory involvement. Involvement of Muscle Group XXI (Diagnostic Code 5321) however, will not be separately rated. 38 C.F.R. § 4.97, Diagnostic Code 6843, Note (3). A higher evaluation is not warranted before January 22, 2003, as the veteran did not approximate the requirements under either the old or new diagnostic criteria. The requirements for entitlement to a 40 percent rating under old Diagnostic Code 6818, pain in chest and dyspnea on moderate exertion (exercise tolerance test), adhesions of diaphragm, with excursions restricted, moderate myocardial deficiency, and one or more of the following: thickened pleura, restricted expansion of lower chest, compensating contralateral emphysema, deformity of chest, scoliosis, hemoptysis at intervals, have not been shown. In addition, the pulmonary function test results from this period of time does not satisfy the requirements for an increased rating under Diagnostic Code 6843. The preponderance of the evidence is against the claim during this period; there is no doubt to be resolved; and an increased rating is not warranted. A higher evaluation is warranted under Diagnostic Code 6843 as the January 2003 VA examination included a pulmonary function test which indicated a post-bronchodilation FEV 1 of 56 percent of predicated value. Therefore, a 30 percent rating under that Diagnostic Code is warranted from January 22, 2003, but no earlier. See Hart v. Mansfield, 21 Vet. App. 505 (2007) (a claimant may experience multiple distinct degrees of disability, resulting in different levels of compensation, from the time the increased rating claim is filed to the time a final decision is made). Again, the veteran does not demonstrate The requirements for entitlement to a 40 percent rating under old Diagnostic Code 6818, pain in chest and dyspnea on moderate exertion (exercise tolerance test), adhesions of diaphragm, with excursions restricted, moderate myocardial deficiency, and one or more of the following: thickened pleura, restricted expansion of lower chest, compensating contralateral emphysema, deformity of chest, scoliosis, hemoptysis at intervals, have not been shown Regarding entitlement to a separate 10 percent rating for retained foreign bodies in the lung, as noted above the symptomatology arising from such foreign bodies are considered in old Diagnostic Code 6818 (prior to October 7, 1996) and new Diagnostic Code 6843 (from October 7 1996). Therefore, assignment of a separate 10 percent rating would violate the law of pyramiding and is prohibited. See 38 C.F.R. § 4.14, Brady, supra. The preponderance of the evidence is against the claim; there is no doubt to be resolved; and a separate 10 percent rating is not warranted. ORDER An increased rating for chronic restrictive airway disease with retained foreign body, before January 22, 2003, is denied. An increased, 30 percent, rating for chronic restrictive airway disease with retained foreign body, from January 22, 2003, is granted. Entitlement to a separate 10 percent rating for retained foreign bodies in the lung is denied. REMAND The veteran is seeking entitlement to a disability rating in excess of 20 percent for his service-connected low back disability, currently evaluated under former Diagnostic Code 5295-5292 for lumbosacral strain and limitation of motion of the lumbar spine. Effective September 23, 2002, VA revised the criteria for evaluating intervertebral disc syndrome under 38 C.F.R. § 4.71a, Diagnostic Code 5293. See 67 Fed. Reg. 54,345-349 (August 22, 2002) (codified at 38 C.F.R. § 4.71a, Diagnostic Code 5293 (2003)). Thereafter, effective September 26, 2003, the rating schedule for evaluation of that portion of the musculoskeletal system that addresses disabilities of the spine was revised. See 68 Fed. Reg. 51,454-458 (Aug. 27, 2003) (codified at 38 C.F.R. § 4.71a, Diagnostic Codes 5235- 5243 (2006)). Under these provisions, intervertebral disc syndrome (preoperatively or postoperatively) is evaluated either on the total duration of incapacitating episodes over the past 12 months or by combining under § 4.25 separate evaluations of its chronic orthopedic and neurological manifestations along with evaluations for all other disabilities, whichever method results in the higher evaluation. Id. The veteran was last examined for his low back disability in December 2005 as part of a cervical spine examination. However, the examiner did not have access to the veteran's medical records. In addition, the examinations of record are inadequate to evaluate the veteran's condition under "old" Diagnostic Codes 5293 and 5295. Finally, a more definitive opinion regarding the existence of any functional loss due to pain, weakened movement, excess fatigability, incoordination, and painful motion or pain with use of the knees is needed. Therefore, another examination would be appropriate so that the veteran's service-connected low back disability can be properly evaluated in terms pertinent to these regulatory criteria. Accordingly, the case is REMANDED for the following action: 1. Review the claims file and ensure that all required notification and development action is completed. In particular, ensure that the new notification requirements and development procedures contained in 38 U.S.C.A. §§ 5102, 5103, 5103A, and 5107 are fully satisfied. 2. Schedule the veteran for a VA examination to ascertain the nature, extent, and current severity of his low back disability. The claims folder must be made available to and reviewed by the examiner pursuant to conduction and completion of the examination. The examiner should indicate whether the veteran has listing of whole spine to opposite side, positive Goldthwaite's sign, marked limitation of forward bending in standing position, loss of lateral motion with osteo-arthritic changes, narrowing or irregularity of joint space, or abnormal mobility on forced motion. The examiner should identify the existence, and frequency or extent, as appropriate, of all neurological symptoms associated with the veteran's low back disability- to include any sciatic neuropathy with characteristic pain, demonstrable muscle spasm, and/or absent ankle jerk. The examiner should opine whether the veteran's intervertebral disc syndrome is mild, moderate, severe or pronounced. The examiner should also offer an opinion as to whether the veteran has any separately ratable neurological disability (in addition to orthopedic disability) as a manifestation of the service-connected low back disability. The examiner should conduct range of motion testing of the veteran's lumbar spine. The physician should render specific findings as to whether, during the examination, there is objective evidence of pain on motion, weakness, excess fatigability, and/or incoordination associated with the lumbar spine. If pain on motion is observed, the point at which pain begins must be noted. The examiner should indicate whether, and to what extent, the veteran experiences likely functional loss of the lumbar spine due to pain and/or any of the other symptoms noted above during flare-ups and/or with repeated use; to the extent possible, the examiner should express such functional loss in terms of additional degrees of limited motion. The examiner should determine whether, over the last 12-month period, the veteran's incapacitating episodes had a total duration of (a) at least two weeks but less than four weeks; (b) at least four weeks but less than six weeks; or (c) at least six weeks. 3. Then readjudicate the claim, considering the old and new diagnostic criteria. If the claim continues to be denied, send the veteran and his representative a supplemental statement of the case and give them time to respond. The appellant has the right to submit additional evidence and argument on the matter the Board has remanded. Kutscherousky v. West, 12 Vet. App. 369 (1999). This claim must be afforded expeditious treatment. The law requires that all claims that are remanded by the Board of Veterans' Appeals or by the United States Court of Appeals for Veterans Claims for additional development or other appropriate action must be handled in an expeditious manner. See 38 U.S.C.A. §§ 5109B, 7112 (West Supp. 2007). ____________________________________________ RONALD W. SCHOLZ Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs