Citation Nr: 0831346 Decision Date: 09/15/08 Archive Date: 09/22/08 DOCKET NO. 06-39 786 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Reno, Nevada THE ISSUES 1. Entitlement to a compensable disability evaluation for a thyroid nodule with dysphagia for the period prior to October 18, 2005. 2. Entitlement to a disability evaluation in excess of 30 percent thyroid lobectomy residuals with a history of a right thyroid nodule and dysphagia for the period from October 18, 2005, to April 6, 2006. 3. Entitlement to a disability evaluation in excess of 10 percent for thyroid lobectomy residuals with a history of a right thyroid nodule and dysphagia for the period prior to April 7, 2006, forward. 4. Entitlement to a temporary total disability evaluation for the veteran's thyroid lobectomy residuals with a history of a right thyroid nodule and dysphagia under the provisions of 38 C.F.R. § 4.30 based upon convalescence following an April 7, 2006, surgical procedure. REPRESENTATION Appellant represented by: Disabled American Veterans WITNESS AT HEARING ON APPEAL The veteran ATTORNEY FOR THE BOARD J. T. Hutcheson, Counsel INTRODUCTION The veteran had active service from November 1962 to August 1965. This matter came before the Board of Veterans' Appeals (Board) on appeal from a December 2004 rating decision of the Seattle, Washington, RO granted service connection for a right thyroid nodule with dysphagia; assigned a noncompensable evaluation for that disability; and effectuated the award as of April 26, 2002. In January 2005, the veteran submitted a NOD with the noncompensable evaluation assigned for his right thyroid disability. In August 2005, the RO issued a SOC to the veteran and his accredited representative which addressed the evaluation of the veteran's right thyroid disability. In September 2005, the veteran submitted an Appeal to the Board (VA Form 9) from the initial evaluation assigned for his right thyroid disability. In June 2006, the RO denied a temporary total disability evaluation for the veteran's right thyroid nodule with dysphagia under the provisions of 38 C.F.R. § 4.30 based upon convalescence following an April 7, 2006, surgical procedure. In June 2006, the veteran submitted a NOD with the adverse decision. In December 2006, the RO issued a SOC to the veteran and his accredited representative which addressed the issue of the veteran's entitlement to a temporary total disability evaluation for his right thyroid nodule with dysphagia under the provisions of 38 C.F.R. § 4.30. In December 2006, the veteran submitted an Appeal to the Board (VA Form 9) from the June 2006 rating decision. In December 2006, the Seattle, Washington, Regional Office recharacterized the veteran's right thyroid disability as thyroid lobectomy residuals with a history of a right nodule with dysphagia and assigned a 30 percent evaluation for the period from October 18, 2005, to April 6, 2006, and a 10 percent evaluation for the period on and after April 7, 2006. In December 2006, the veteran submitted a NOD with the effective date for the award of a 30 percent evaluation for the disorder. The veteran subsequently moved to Nevada and his claims files were transferred to the RO. In July 2007, the Reno, Nevada, RO issued a supplemental statement of the case (SSOC) to the veteran and his accredited representative which addressed the issue of an effective date prior to October 18, 2002, for the award of a 30 percent evaluation for the veteran's right thyroid disorder. In August 2007, the veteran submitted an Appeal to the Board (VA Form 9). In February 2008, the veteran was afforded a hearing before the undersigned Acting Veterans Law Judge sitting at the RO. The issues of entitlement to a disability evaluation in excess of 30 percent thyroid lobectomy residuals with a history of a right thyroid nodule and dysphagia for the period from October 18, 2005, to April 6, 2006, and entitlement to a disability evaluation in excess of 10 percent for thyroid lobectomy residuals with a history of a right thyroid nodule and dysphagia for the period prior to April 7, 2006, forward are addressed in the REMAND portion of the decision below and are REMANDED to the RO via the Appeals Management Center (AMC), in Washington, DC. (CONTINUED ON NEXT PAGE) FINDINGS OF FACT 1. Prior to October 18, 2005, the veteran's right thyroid disability was objectively shown to be manifested by a non-tender and freely movable hyperplastic right thyroid colloidal node and significant chronic dysphagia, which is was analogous to moderate esophageal stricture; however, severe esophageal stricture was not shown. 2. The record does not contain a report rendered at hospital discharge or clinical documentation otherwise approximate to the veteran's April 7, 2006, right thyroid surgery which reflects that the surgery would require at least one month's convalescence. CONCLUSIONS OF LAW 1. The criteria for a 30 percent evaluation, but not greater, for the veteran's thyroid lobectomy residuals with a history of a right thyroid node and dysphagia for the period prior to October 18, 2005, have been met. 38 U.S.C.A. §§ 1155, 5103, 5103A, 5107 (West 2002 & Supp. 2007); 38 C.F.R §§ 3.102, 3.159, 3.321(b)(1), 3.326(a), 4.20, 4.114, 4.119, Diagnostic Codes 7203, 7902 (2007). 2. The criteria for a temporary total disability evaluation under the provisions of 38 C.F.R. § 4.30 based upon convalescence following an April 7, 2006, surgical procedure have not been met. 38 U.S.C.A. §§ 1155, 5103, 5103A, 5107 (West 2002 & Supp. 2007); 38 C.F.R §§ 3.102, 3.159, 4.30 (2007). REASONS AND BASES FOR FINDINGS AND CONCLUSIONS I. Duty to Notify and Assist In Pelegrini v. Principi, 18 Vet. App. 112 (2004), the Court held that a Veterans Claims Assistance Act of 2000 (VCAA) notice, as required by 38 U.S.C.A. § 5103(a), 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 the Department of Veterans Affairs (VA) will seek to provide; and (3) inform the claimant about the information and evidence the claimant is expected to provide. The notice must be provided to a claimant before the initial unfavorable RO decision on a claim for VA benefits. In reviewing the evaluation of the veteran's right thyroid disability for the period prior to October 18, 2005, and his claim for a temporary total rating under the provisions of 38 C.F.R. § 4.30, the Board observes that the RO issued VCAA notices to the veteran in May 2002, December 2006, January 2007, and September 2007 which informed him of the evidence generally needed to support a claim of entitlement to service connection, a temporary total rating under the provisions of 38 C.F.R. § 4.30, and the assignment of an evaluation and effective date for an initial award of service connection; what actions he needed to undertake; and how the VA would assist him in developing his claims. See 38 U.S.C.A. § 5103(a); 38 C.F.R. § 3.159(b); and, Dingess/Hartman v. Nicholson, 19 Vet. App. 473 (2006). The May 2002 VCAA notice was issued prior to the July 2002 rating decision from which the instant appeal arises. The Board recognizes that certain aspects of the VCAA notice may not have been provided prior to the initial unfavorable AOJ decision. However, the Federal Circuit Court and Veterans Claims Court have since further clarified that the VA can provide additional necessary notice subsequent to the initial AOJ adjudication, and then go back and readjudicate the claim, such that the essential fairness of the adjudication - as a whole, is unaffected because the appellant is still provided a meaningful opportunity to participate effectively in the adjudication of the claim. See Mayfield v. Nicholson, 499 F.3d 1317, 1323 (Fed. Cir. 2007) (Mayfield IV). (where the Federal Circuit Court held that a SOC or supplemental SOC (SSOC) can constitute a "readjudication decision" that complies with all applicable due process and notification requirements if adequate VCAA notice is provided prior to the SOC or SSOC. As a matter of law, the provision of adequate VCAA notice prior to a readjudication "cures" any timing problem associated with inadequate notice or the lack of notice prior to an initial adjudication. See also Prickett v. Nicholson, 20 Vet. App. 370, 376 (2006). Here, after the May 2002, December 2006, January 2007, and September 2007 notices were provided to the veteran, the claim was readjudicated in a December 2007 SSOC. It therefore follows that a prejudicial error analysis by way of Sanders v. Nicholson, 487 F.3d 881 (Fed. Cir. 2007) is simply not warranted here. Furthermore, to the extent it could be argued that there was a timing error, overall, the veteran was afforded a meaningful opportunity to participate in the adjudication of her increased rating claim. Overton v. Nicholson, 20 Vet. App. 427, 435 (2006). The VA has secured or attempted to secure all relevant documentation to the extent possible. The veteran was afforded a VA examination for compensation purposes. The examination report is of record. The veteran was afforded a hearing before the undersigned Acting Veterans Law Judge sitting at the RO. The hearing transcript is of record. There remains no issue as to the substantial completeness of the veteran's claims. 38 U.S.C.A. §§ 5103, 5103A, 5107 (West 2002 & Supp. 2007); 38 C.F.R §§ 3.102, 3.159, 3.326(a) (2007 as amended). Any duty imposed on the VA, including the duty to assist and to provide notification, has been met to the extent possible. Quartuccio v. Principi, 16 Vet. App. 183 (2002); Mayfield v. Nicholson, 19 Vet. App. 103 (2005), rev'd on other grounds, No. 05-7157 (Fed. Cir. Apr. 5, 2006); Dingess/Hartman v. Nicholson, 19 Vet. App. 473 (2006); Sanders v. Nicholson, 487 F.3d 881 (Fed. Cir. 2007). II. Evaluation Disability evaluations are determined by comparing the veteran's current symptomatology with the criteria set forth in the Schedule For Rating Disabilities. 38 U.S.C.A. § 1155 (West 2002); 38 C.F.R. Part 4 (2007). The rating schedule does not specifically address either thyroid nodules and/or hyperplastic colloidal nodes. In such situations, it is permissible to evaluate the veteran's service-connected disability under provisions of the rating schedule which pertain to a closely-related disease or injury which is analogous in terms of the function affected, anatomical localization and symptomatology. 38 C.F.R. § 4.20 (2007). For the period prior to October 18, 2005, the Board finds that the veteran's service-connected right thyroid disability is most closely analogous to nontoxic adenoma of the thyroid gland as both disorders are manifested by similar symptomatologies and associated impairment. A noncompensable evaluation will be assigned for nontoxic adenoma of the thyroid gland without head or neck disfigurement. A 20 percent evaluation requires associated disfigurement of the head or neck. If there are symptoms due to pressure on adjacent organs such as the trachea, larynx, or esophagus, an evaluation will be assigned under the appropriate diagnostic code for the affected organ, if doing so would result in a higher evaluation. 38 C.F.R. § 4.119, Diagnostic Code 7902 (2007). A 30 percent evaluation is warranted of moderate stricture of the esophagus. A 50 percent evaluation requires severe stricture permitting the passage of liquids only. 38 C.F.R. § 4.114, Diagnostic Code 7203 (2007). Evaluations shall be based as far as practicable, upon the average impairments of earning capacity with the additional proviso that the Secretary shall from time to time readjust this schedule of ratings in accordance with experience. To accord justice, therefore, to the exceptional case where the schedular evaluations are found to be inadequate, the Under Secretary for Benefits or the Director, Compensation and Pension Service, upon field station submission, is authorized to approve on the basis of the criteria set forth in this paragraph an extra-schedular evaluation commensurate with the average earning capacity impairment due exclusively to the service-connected disability or disabilities. The governing norm in these exceptional cases is: A finding that the case presents such an exceptional or unusual disability picture with such related factors as marked interference with employment or frequent periods of hospitalization as to render impractical the application of the regular schedular standards. 38 C.F.R. § 3.321(b)(1) (2007). A March 2002 physical evaluation from Maria Rodebaugh, M.D., states that the veteran exhibited a "2 1/2 cm right thyroid nodule on ultrasound." The doctor reported that the veteran "had no dysphagia, dyspnea or hoarseness." On examination, the veteran exhibited a non-tender and moveable 2 1/2 centimeter nodularity on the right thyroid lobe. An assessment of a multinodular goiter with dominant lesions on the right lobe was advanced. An April 2002 treatment record from Dr. Rodebaugh relates that the veteran "continued to complain of dysphagia, which has been longstanding for several years." On physical evaluation, the veteran exhibited a non-tender and movable right thyroid lobe nodularity. Assessments of "thyroid nodule, status post non-diagnostic biopsy" and dysphagia were advanced. The doctor commented that the veteran was "inclined to have surgery anyway even if [the node] is benign because of his complaints of dysphagia." A November 2003 written statement from M. Paul Singh, M.D., reports that the veteran exhibited an enlarged thyroid (right thyroid nodule) and dysphagia (difficult swallowing)." At a November 2003 VA examination for compensation purposes, the veteran complained of persistent problems with swallowing. On examination, the veteran exhibited mild right thyroid gland fullness with a palpable well-defined nodule. No hyperthyroidism or hypothyroidism symptoms were observed. An impression of a benign right-sided complex thyroid cyst with "symptoms of ongoing difficulty in swallowing" was advanced. A March 2004 written statement from Dr. Bash notes that the veteran "still has persistent swallowing problems likely due to his bilateral thyroid masses." The Board has reviewed the probative evidence of record including the veteran's testimony and written statements on appeal. Prior to October 18, 2005, the veteran's pre-operative thyroid disability was objectively shown to be manifested by a moveable and non-tender right thyroid nodule and chronic dysphagia. The veteran's impaired ability to swallow directed him to seek surgical excision of the right thyroid nodule. Thus, providing all reasonable doubt in favor of the veteran, the Board finds that such impairment is analogous to at least moderate esophageal stricture. In the absence of objective findings of severe esophageal stricture permitting the passage of liquids only, the Board concludes that a 30 percent evaluation and no higher is warranted for the veteran's thyroid lobectomy residuals with a history of a right thyroid nodule and dysphagia for the period prior to October 18, 2005. Furthermore, as the veteran's right thyroid symptomatology falls squarely within the relevant diagnostic criteria, the Board finds that referral for an evaluation on an extra-schedular basis is not warranted. 38 C.F.R. § 3.321(b)(1) (2007). Hart v. Mansfield, 21 Vet. App. 505 (2007). III. 38 C.F.R. § 4.30 The veteran asserts that a temporary total rating for his thyroid lobectomy residuals is warranted under the provisions of 38 C.F.R. § 4.30 (2007) based upon convalescence following his April 7, 2006, right thyroid lobectomy. The provisions of 38 C.F.R. § 4.30 (2007) direct, in pertinent part, that: A total disability rating (100 percent) will be assigned without regard to other provisions of the rating schedule when it is established by report at hospital discharge (regular discharge or release to non-bed care) or outpatient release that entitlement is warranted under paragraph (a) (1), (2) or (3) of this section effective the date of hospital admission or outpatient treatment and continuing for a period of 1, 2, or 3 months from the first day of the month following such hospital discharge or outpatient release. The termination of these total ratings will not be subject to § 3.105(e) of this chapter. Such total rating will be followed by appropriate schedular evaluations. When the evidence is inadequate to assign a schedular evaluation, a physical examination will be scheduled and considered prior to the termination of a total rating under this section. (a) Total ratings will be assigned under this section if treatment of a service-connected disability resulted in: (1) Surgery necessitating at least one month of convalescence. (2) Surgery with severe postoperative residuals such as incompletely healed surgical wounds, stumps of recent amputations, therapeutic immobilization of one major joint or more, application of a body cast, or the necessity for house confinement, or the necessity for continued use of a wheelchair or crutches (regular weight-bearing prohibited). (3) Immobilization by cast, without surgery, of one major joint or more. An April 2006 Air Force hospital summary indicates that the veteran underwent a right thyroid lobectomy on April 7, 2006. He was discharged from the hospital on April 8, 2006. Upon discharged, he was prescribed a regular diet and "activity as tolerated." In a June 2006 written statement and his December 2006 Appeal to the Board (VA Form 9), the veteran indicated that his right thyroid surgery rendered him extremely fatigued. A VA physician told him that he might require two to six months to recover from the fatigue. A written statement from Dr. Singh dated "January 5, 2006" indicates that the veteran underwent an April 2006 thyroid lobectomy. The veteran was noted to have been experiencing fatigue at an examination in November 2006. Dr. Singh commented that "I believe that a convalescent period for [the veteran] should be whenever he returns to a time when he no longer suffers from fatigue." At the February 2008 hearing before the undersigned Acting Veterans Law Judge sitting at the RO, the veteran testified that he experienced extreme fatigue after his April 2006 surgery which lasted until December 2007. During this period, the veteran was incapable of working and doing many of his normal activities. He asserts that the cause of this fatigue was VA's error in not properly prescribing him a synthetic thyroid medication. He believed that a temporary total rating under the provisions of 38 C.F.R. § 4.30 was warranted due to his extreme fatigue. The clinical documentation associated with the veteran's April 7, 2006, thyroid surgery does not establish that the surgical procedure either necessitated at least one month of convalescence; resulted in severe postoperative residuals such as incompletely healed surgical wounds, stumps of recent amputations, therapeutic immobilization of one major joint or more, application of a body cast, or the necessity for house confinement, or the necessity for continued use of a wheelchair or crutches; or immobilization by cast, without surgery, of one major joint or more. Indeed, the clinical record makes no reference to any need for convalescence or physical restrictions. The "January 5, 2006," written statement from Dr. Singh notes that "a convalescent period for [the veteran] should be whenever he returns to a time when he no longer suffers from fatigue." Initially, the Board observes that it is unclear when the document was drafted. However, it appears to have been written at some point after November 2006, some seven months following the veteran's April 2006 thyroid surgery. In reviewing a claim for benefits under the provisions of 38 C.F.R. § 4.30, the Court has directed that: Entitlement to a [temporary total disability evaluation for convalescence] must be "established by report at hospital discharge ... or outpatient release." The preposition "at" means "on or close to the time of." WEBSTER'S NEW WORLD DICTIONARY 85 (3rd College ed. 1988). Therefore, the report must be temporally located near a discharge or release of the claimant. Obviously, the report must establish at a minimum that the claimant underwent surgery that would necessitate a convalescence. Convalescence is "the stage of recovery following an attack of disease, a surgical operation, or an injury." DORLAND'S ILLUSTRATED MEDICAL DICTIONARY 374 (28th ed. 1994). The word recovery means "the act of regaining or returning toward a normal or healthy state." WEBSTER'S MEDICAL DESK DICTIONARY 606 (1986). ... In sum, entitlement to a [temporary total disability rating for convalescence] requires that a report, rendered near the time of a hospital discharge or an outpatient release, indicate that a surgical procedure had been performed that would require at least one month for the veteran to return to a healthy state. It would be proper for a later medical opinion, issued close to the time of discharge or release, to explain how long a period of convalescence would have been needed. If a person underwent open heart surgery, a subsequent medical opinion could certainly establish if one or more months of "convalescence" would be needed to recover. Felden v. West, 11 Vet. App. 427, 430 (1998). Dr. Singh's written statement is not "temporally located near a discharge or release of" the veteran. The report does not establish that the veteran underwent surgery that would necessitate a period of convalescence. Therefore, the Board concludes that a temporary total disability evaluation for the veteran's thyroid lobectomy residuals with a history of a right thyroid nodule and dysphagia under the provisions of 38 C.F.R. § 4.30 based upon convalescence following an April 7, 2006, surgical procedure is not warranted. ORDER A 30 percent evaluation for the veteran's thyroid lobectomy residuals with a history of a right thyroid nodule and dysphagia for the period prior to October 18, 2005, is granted subject to the law and regulations governing the award of monetary benefits. A temporary total rating for the veteran's thyroid lobectomy residuals with a history of a right thyroid nodule and dysphagia under the provisions of 38 C.F.R. § 4.30 based upon convalescence following an April 7, 2006, surgical procedure is denied. REMAND In Fenderson v. West, 12 Vet. App. 119 (1999), the Court discussed the concept of the "staging" of ratings, finding that in cases where an initially assigned disability evaluation has been disagreed with, it was possible for a veteran to be awarded separate percentage evaluations for separate periods based on the facts found during the appeal period. The Board therefore finds that consideration must be given to the propriety of the staged ratings that were assigned to his thyroid disability. Moreover, it must be recognized that, where a claimant has filed a notice of disagreement as to an RO decision assigning a particular rating, as in the present case, a subsequent RO decision assigning a higher rating, but less than the maximum available benefit, does not abrogate the pending appeal. AB v. Brown, 6 Vet. App. 35 (1993). There is no indication here that the veteran has expressed satisfaction with the currently assigned ratings. As discussed above, the procedural history of this appeal shows service connection for a right thyroid nodule with dysphagia was granted in December 2004, that the veteran appealed the initial rating assigned, and that during the course of the appeal the rating assigned to his thyroid disability was increased to 30 percent for the period from October 18, 2005, to April 6, 2006, and to 10 percent for the period on and after April 7, 2006. Evidence (private and VA treatment received) has been received with regard to these issues. The RO has not considered that evidence or provided the veteran with a supplemental statement of the case. There is no indication that the veteran intends to waive RO consideration of the new evidence. This matter must therefore be remanded in accordance with 38 C.F.R. § 19.31 and 20.1304(c) (2007). See also 38 C.F.R. § 19.9 (2007). Accordingly, the case is REMANDED for the following action: 1. The veteran should be asked to identify any VA or non-VA health care provider that has treated him for thyroid disability since April 2006. If more than one non-VA health care provider is identified, the veteran should be asked to complete a separate VA Form 21-4142 (Authorization and Consent to Release Information to the Department of Veterans Affairs) for each health care provider. After securing the necessary release forms, the records should be obtained and associated with the claims file. Any negative development should be properly annotated in the record. 2. Following the completion of the foregoing, the RO should review the record to determine whether any additional development is warranted, to include conducting a VA examination. 3. Thereafter, the RO should readjudicate the issues entitlement to a disability evaluation in excess of 30 percent thyroid lobectomy residuals with a history of a right thyroid nodule and dysphagia for the period from October 18, 2005, to April 6, 2006, and entitlement to a disability evaluation in excess of 10 percent for thyroid lobectomy residuals with a history of a right thyroid nodule and dysphagia for the period prior to April 7, 2006, forward. If the issues remain denied, provide the veteran and his representative with a Supplemental Statement of the Case (SSOC). The SSOC must contain notice of all relevant actions taken on the claim, including the applicable legal authority (including the VCAA) as well as a summary of any evidence received since the issuance of the last SSOC in December 2006. Allow an appropriate period for response. The appellant has the right to submit additional evidence and argument on the matter or matters 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). ____________________________________________ MICHAEL A. HERMAN Acting Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs