Citation Nr: 1003607 Decision Date: 01/25/10 Archive Date: 02/01/10 DOCKET NO. 03-23 762 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Philadelphia, Pennsylvania THE ISSUES 1. Entitlement to an initial rating in excess of 10 percent prior to March 14, 2003. 2. Entitlement to a rating in excess of 30 percent from March 14, 2003 to March 28, 2006, for proliferative diabetic retinopathy with cataract of the right eye as secondary to diabetes. 2. Entitlement to a rating in excess of 40 percent from March 28, 2006, for proliferative diabetic retinopathy with cataract of the right eye as secondary to diabetes. REPRESENTATION Appellant represented by: The American Legion WITNESSES AT HEARINGS ON APPEAL Appellant and his wife ATTORNEY FOR THE BOARD K. R. Fletcher, Counsel INTRODUCTION The appellant is a veteran who had active service from June 1956 to September 1970. Thereafter, he had service in the Army Reserve. These matters are before the Board of Veterans' Appeals (Board) on appeal from an August 2002 rating decision of the Department of Veterans Affairs (VA) Regional Office (RO) in Philadelphia, Pennsylvania. The Veteran testified at a travel Board hearing before the undersigned in November 2009; a transcript of this hearing is of record. The issue of entitlement to a rating in excess of 40 percent from March 28, 2006, for proliferative diabetic retinopathy with cataract of the right eye as secondary to diabetes is REMANDED to the RO via the Appeals Management Center (AMC), in Washington, DC. VA will notify the appellant if further action is required. FINDINGS OF FACT 1. For the period from March 15, 1999, through November 12, 2002, the evidence demonstrates the Veteran's eye disability was manifested by proliferative diabetic retinopathy with corrected visual acuity no worse than 20/50 bilaterally. 2. For the period from November 13, 2002, through March 27, 2006, the evidence demonstrates that the Veteran's eye disability was manifested by proliferative diabetic retinopathy with corrected visual acuity no worse than corrected visual acuity of 20/70 in the right eye and 20/100 in the left eye; 20/70 bilaterally; or 20/200 in the right eye and 20/50 in the left eye. CONCLUSIONS OF LAW 1. The criteria for an initial rating in excess of 10 percent from March 15, 1999, through November 12, 2002, for proliferative diabetic retinopathy are not met. 38 U.S.C.A. §§ 1155, 5107 (West 2002 & Supp. 2009); 38 C.F.R. §§ 4.7, 4.71a, 4.75, 4.83, 4.84a, Diagnostic Codes 6006, 6078 (as in effect prior to December 10, 2008). 2. The criteria for a 30 percent rating (but no higher) from November 13, 2002, through March 27, 2006, for proliferative diabetic retinopathy are met. 38 U.S.C.A. §§ 1155, 5107 (West 2002 & Supp. 2009); 38 C.F.R. §§ 4.7, 4.71a, 4.75, 4.83, 4.84a, Diagnostic Codes 6006, 6076, 6078 (as in effect prior to December 10, 2008). REASONS AND BASES FOR FINDINGS AND CONCLUSIONS Veterans Claims Assistance Act of 2000 (VCAA) The VCAA, in part, 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; 38 C.F.R. §§ 3.102, 3.156(a), 3.159, 3.326(a). 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; and (3) that the claimant is expected to provide. 38 C.F.R. § 3.159(b)(1) (including as amended effective May 30, 2008, 73 Fed. Reg. 23353 (Apr. 30, 2008)). VCAA notice should be provided to a claimant before the initial unfavorable agency of original jurisdiction decision on a claim. Pelegrini v. Principi, 18 Vet. App. 112 (2004). For the eye issue decided herein, the appeal is from the initial rating assigned with the grant of service connection. The statutory scheme contemplates that once a decision awarding service connection, a disability rating, and an effective date has been made, statutory notice has served its purpose, and its application is no longer required because the claim has already been substantiated. See Dingess/Hartman v. Nicholson, 19 Vet. App. 473, 490-91 (2006). The Veteran is exercising his right to appeal the rating assigned. Regardless, a statement of the case (SOC) issued in July 2003, and October 2005 and September 2009 supplemental SOCs (SSOCs) properly provided the Veteran notice of the criteria for rating eye disabilities, as well as further notice on the downstream issue of an increased initial rating, including of what the evidence showed, and why the current staged ratings were assigned. The Veteran has had ample opportunity to respond/supplement the record. He is not prejudiced by this process; notably, he does not allege that notice in this case was less than adequate or that he is prejudiced by any notice deficiency. See Mayfield v. Nicholson, 444 F.3d 1328 (Fed. Cir. 2006); Goodwin v. Peake, 22 Vet. App. 128 (2008). Regarding VA's duty to assist, all appropriate development to obtain the Veteran's pertinent medical records has been completed. He did not identify any pertinent, outstanding treatment records. The RO arranged for a VA examination in 2002and 2005. Evidentiary development is complete. VA's duties to notify and assist are met. Accordingly, the Board will address the merits of the claim. Law and Regulations - Increased Rating Claim Disability evaluations are determined by the application of the VA's Schedule for Rating Disabilities (Rating Schedule), 38 C.F.R. Part 4. The percentage ratings in the Rating Schedule represent, as far as can be practicably determined, the average impairment in earning capacity resulting from diseases and injuries incurred or aggravated during military service and their residual conditions in civil occupations. 38 U.S.C.A. § 1155 (West 2002); 38 C.F.R. § 4.1 (2009). When a question arises as to which of two ratings applies under a particular code, the higher rating is assigned if the disability more closely approximates the criteria for the higher rating. 38 C.F.R. § 4.7. After careful consideration of the evidence, any reasonable doubt remaining is resolved in favor of the veteran. 38 U.S.C.A. § 5107; 38 C.F.R. §§ 3.102, 4.3 (2009); Gilbert v. Derwinski, 1 Vet. App. 49, 55 (1990). Where (as here) the rating appealed is the initial rating assigned with a grant of service connection, the entire appeal period is for consideration, and separate ratings may be assigned for separate periods of time based on facts found, a practice known as "staged ratings." See Fenderson v. West, 12 Vet. App. 119 (1999). It is the responsibility of the rating specialist to interpret reports of examination in the light of the whole recorded history, reconciling the various reports into a consistent picture so that the current rating may accurately reflect the elements of disability present. 38 C.F.R. § 4.2 (2009). Consideration of factors wholly outside the rating criteria constitutes error as a matter of law. Massey v. Brown, 7 Vet. App. 204, 207-08 (1994). Evaluation of disabilities based upon manifestations not resulting from service- connected disease or injury and the pyramiding of ratings for the same disability under various diagnoses is prohibited. 38 C.F.R. § 4.14 (2009). It is the policy of VA to administer the law under a broad interpretation, consistent with the facts in each case with all reasonable doubt to be resolved in favor of the claimant; however, the reasonable doubt rule is not a means for reconciling actual conflict or a contradiction in the evidence. 38 C.F.R. § 4.3 (2009). During the rating period on appeal, VA amended its regulations for rating disabilities of the eye. 73 Fed. Reg. 66,543 (Nov. 10, 2008). It is indicated in the Federal Register that these amendments shall apply to all applications for benefits received by VA on or after December 10, 2008. As the Veteran's claim was received many years prior to December 10, 2008, the amended provisions are not for application here. Retinopathy is defined as any noninflammatory disease of the retina. More specifically, diabetic retinopathy is defined as retinopathy associated with diabetes mellitus, which may be of the background type, progressively characterized by microaneurysms, intraretinal punctuate hemorrhages, yellow, waxy exudates, cotton-wool patches, and macular edema, or of the proliferative type, characterized by neovascularization of the retina and optic disc, which may project into the vitreous, proliferization of fibrous tissue, vitreous hemorrhage, and retinal detachment. Diabetic retinopathy is called also diabetic retinitis. See Dorland's Illustrated Medical Dictionary 1622 (30th ed. 2003). Therefore, the disability at issue may be evaluated under Diagnostic Code 6006, reinopathy. As set forth under 38 C.F.R. § 4.84a, retinitis is to be rated from 10 to 100 percent under the criteria for impairment of visual acuity or field loss, pain, rest- requirements or episodic incapacity, combining an additional rating of 10 percent during continuance of active pathology, with 10 percent being the minimum rating during active pathology. 38 C.F.R. § 4.84a, Diagnostic Code 6006 (as in effect prior to December 10, 2008). Levels of visual acuity are evaluated according to the indices found at Table V, 38 C.F.R. § 4.84a, Diagnostic Codes 6061 to 6079. Visual acuity is rated based upon the best distant vision obtainable after correction by glasses. 38 C.F.R. § 4.75 (as in effect prior to December 10, 2008). (CONTINUED ON NEXT PAGE) 84a - Table V - Ratings for Central Visual Acuity Impairment [With Diagnostic Code 20/40 (6/12 ) 20/50 (6/15 ) 20/70 (6/21 ) 20/10 0 (6/30 ) AL* 20/20 0 (6/60 ) 15/20 0 (45/6 0) 10/20 0 (3/60 ) 5/200 (15/6 0) LPO** Vision in one eye 20/40 (6/12) 0 20/50 (6/15) 1 0 (6079 ) 1 0 (6078 ) 20/70 (6/21) 1 0 (6079 ) 2 0 (6078 ) 3 0 (6078 ) 20/100 (6/30) 1 0 (6079 ) 2 0 (6078 ) 3 0 (6078 ) 5 0 (6078 ) 20/200 (6/60) 2 0 (6077 ) 3 0 6076) 4 0 (6076 ) 6 0 (6076 ) 7 0 (6075 ) 15/200 (45/60) 2 0 (6077 ) 3 0 (6076 ) 4 0 (6076 ) 6 0 (6076 ) 7 0 (6075 ) 8 0 (6075 ) 10/200 (3/60) 3 0 (6077 ) 4 0 (6076 ) 5 0 (6076 ) 6 0 (6076 ) 7 0 (6075 ) 8 0 (6075 ) 9 0 (6075 ) 5/200 (15/60) 3 0 (6074 ) 4 0 (6073 ) 5 0 (6073 ) 6 0 (6073 ) 7 0 (6072 ) 8 0 (6072 ) 9 0 (6072 ) 1005 (6071 ) LPO** 3 05 (6070 ) 4 05 (6069 ) 5 05 (6069 ) 6 05 (6069 ) 7 05 (6068 ) 8 05 (6068 ) 9 05 (6068 ) 1 005 (6067 ) 1 005 (6062 ) AL* of one eye 4 06 (6066 ) 5 06 (6065 ) 6 06 (6065 ) 6 06 (6065 ) 7 06 (6064 ) 8 06 (6064 ) 9 06 (6064 ) 1 005 (6063 ) 1 005 (6061 ) 5Also entitled to special monthly compensation. 6Add 10 percent if artificial eye cannot be worn; also entitled to special monthly compensation. * AL = anatomical loss ** LPO = light perception only 38 C.F.R. § 4.84a Combined ratings for disabilities of the same eye should not exceed the amount for total loss of vision of that eye unless there is an enucleation or a serious cosmetic defect added to the total loss of vision. 38 C.F.R. § 4.80 (as in effect prior to December 10, 2008). A 10 percent disability rating is warranted for impairment of central visual acuity in the following situations: (1) when vision in one eye is correctable to 20/40 and vision in the other eye is correctable to 20/50; (2) when vision in one eye is correctable to 20/40 and vision in the other eye is correctable to 20/70; (3) when vision in one eye is correctable to 20/40 and vision in the other eye is correctable to 20/100; or (4) when vision in both eyes is correctable to 20/50. 38 C.F.R. § 4.84a, Diagnostic Codes 6078, 6079 (as in effect prior to December 10, 2008). A 20 percent disability rating is warranted for impairment of central visual acuity in the following situations: (1) when vision in one eye is correctable to 20/70 and vision in the other eye is correctable to 20/50; (2) when vision in one eye is correctable to 20/100 and vision in the other eye is correctable to 20/50; (3) when vision in one eye is correctable to 20/200 and vision in the other eye is correctable to 20/40; or (4) when vision in one eye is correctable to 15/200 and vision in the other eye is correctable to 20/40. 38 C.F.R. § 4.84a, Diagnostic Codes 6077, 6078 (as in effect prior to December 10, 2008). A 30 percent disability rating is warranted for impairment of central visual acuity in the following situations: (1) when vision in both eyes is correctable to 20/70; (2) when vision in one eye is correctable to 20/100 and vision in the other eye is correctable to 20/70; (3) when vision in one eye is correctable to 20/200 and vision in the other eye is correctable to 20/50; (4) when vision in one eye is correctable to 15/200 and vision in the other eye is correctable to 20/50; (5) when vision in one eye is correctable to 10/200 and vision in the other eye is correctable to 20/40; or (6) when vision in one eye is correctable to 5/200 and vision in the other eye is correctable to 20/40. 38 C.F.R. § 4.84a, Diagnostic Codes 6074, 6076, 6077, 6078 (as in effect prior to December 10, 2008). A 40 percent disability rating is warranted for impairment of central visual acuity in the following situations: (1) when vision in one eye is correctable to 20/200 and vision in the other eye is correctable to 20/70; (2) when vision in one eye is correctable to 15/200 and vision in the other eye is correctable to 20/70; (3) when vision in one eye is correctable to 10/200 and vision in the other eye is correctable to 20/50; or (4) when vision in one eye is correctable to 5/200 and vision in the other eye is correctable to 20/50. 38 C.F.R. § 4.84a, Diagnostic Codes 6073, 6076 (as in effect prior to December 10, 2008). In applying the ratings for impairment of visual acuity, a person not having the ability to read at any one of the scheduled steps or distances, but reading at the next scheduled step or distance, is to be rated as reading at this latter step or distance. That is, a person who can read at 20/100 but cannot read at 20/70 should be rating as seeing at 20/100. 38 C.F.R. § 4.83 (as in effect prior to December 10, 2008). When all the evidence is assembled, the determination must be made as to whether the evidence supports the claim or is in relative equipoise, with the Veteran prevailing in either event, or whether a preponderance of the evidence is against the claim, in which case the claim is denied. See Gilbert v. Derwinski, 1 Vet. App. 49, 55 (1990). Factual Background and Analysis The Board notes that it has reviewed all of the evidence in the Veteran's claims file, with an emphasis on the evidence relevant to this appeal. Although the Board has an obligation to provide reasons and bases supporting its decision, there is no need to discuss, in detail, every piece of evidence of record. Gonzales v. West, 218 F.3d 1378, 1380-81 (Fed. Cir. 2000) (holding that VA must review the entire record, but does not have to discuss each piece of evidence). Hence, the Board will summarize the relevant evidence where appropriate and the Board's analysis below will focus specifically on what the evidence shows, or fails to show, as to the claim. The Veteran submitted a claim for service connection for (in pertinent part) and eye disability in March 1999. A September 2001 VA diabetes examination report notes the Veteran's history of Type II diabetes mellitus with retinopathy. A July 2002 VA examination report notes findings of bilateral proliferative diabetic retinopathy with full concentric fields and corrected visual acuity of 20/50 bilaterally. By rating decision dated in August 2002, the RO granted service connection for proliferative diabetic retinopathy. A 10 percent rating was assigned effective March 15, 1999. A November 13, 2002 private treatment record notes that corrected visual acuity was 20/60 in the right eye and 20/100 in the left eye. In December 2002, the Veteran failed to report for a VA eye examination. A March 13, 2003 VA eye examination report notes the Veteran's history of right eye retinal laser surgery in 2003. On examination, corrected visual acuity was 20/60 bilaterally. By rating decision dated in June 2003, the Veteran was awarded a 30 percent rating for proliferative diabetic retinopathy as secondary to diabetes, effective March 14, 2003. In a December 2004 letter, Dr. HJN noted that the Veteran was seven weeks post-operative left cataract implant surgery. An acrylic lens had been implanted. Surgery on the right eye was deferred because the cataract was not so dense. A September 2005 VA examination report notes that visual acuity was 20/150 in the right eye and 20/50 in the left eye. March 15, 1999, through November 12, 2002 For the period from March 15, 1999, through November 12, 2002, the Veteran's eye disability is rated 10 percent. In order to warrant the next higher (20 percent rating), the evidence needs to show impairment of central visual acuity in the following situations: (1) when vision in one eye is correctable to 20/70 and vision in the other eye is correctable to 20/50; (2) when vision in one eye is correctable to 20/100 and vision in the other eye is correctable to 20/50; (3) when vision in one eye is correctable to 20/200 and vision in the other eye is correctable to 20/40; or (4) when vision in one eye is correctable to 15/200 and vision in the other eye is correctable to 20/40. 38 C.F.R. § 4.84a, Diagnostic Codes 6077, 6078. This is not shown. The evidence for the time period at issue shows corrected visual acuity of 20/50 bilaterally. See July 2002 VA examination report. These findings warrant no more than a 10 percent rating under Diagnostic Code 6078. Therefore, an increased rating is not warranted for the period from March 15, 1999, through November 12, 2002. November 13, 2002, through March 27, 2006 Beginning November 13, 2002, the Veteran's eye disability warrants a 30 percent rating. Specifically, findings noted November 13, 2002 (corrected visual acuity of 20/60 in the right eye and 20/100 in the left eye) and in March 2003 (corrected visual acuity of 20/70 bilaterally) warrant a 30 percent rating under Diagnostic Code 6078. However, a rating greater than 30 percent is not warranted. In order to warrant the next higher (40 percent rating), the evidence needs to show impairment of central visual acuity in the following situations: (1) when vision in one eye is correctable to 20/200 and vision in the other eye is correctable to 20/70; (2) when vision in one eye is correctable to 15/200 and vision in the other eye is correctable to 20/70; (3) when vision in one eye is correctable to 10/200 and vision in the other eye is correctable to 20/50; or (4) when vision in one eye is correctable to 5/200 and vision in the other eye is correctable to 20/50. 38 C.F.R. § 4.84a, Diagnostic Codes 6073, 6076. This is not shown. In addition to the evidence noted above, a September 2005 VA examination report notes that visual acuity was 20/150 in the right eye and 20/50 in the left eye, which warrants a 30 percent rating under Diagnostic Code 6076. Therefore, a 30 percent rating, but no higher, is warranted for the period from November 13, 2002, through March 27, 2006. ORDER An initial rating in excess of 10 percent from March 15, 1999, through November 12, 2002, for proliferative diabetic retinopathy with cataract of the right eye as secondary to diabetes is denied. A 30 percent rating November 13, 2002, through March 27, 2006, for proliferative diabetic retinopathy with cataract of the right eye as secondary to diabetes is granted, subject to the regulations governing payment of monetary awards. REMAND With regard to the issue of entitlement to a rating in excess of 40 percent for the Veteran's eye disability, the Veteran was afforded a VA eye examination in July 2008, and a disability rating of 40 percent was affirmed in a September 2009 supplemental statement of the case (SSOC). During the November 2009 travel Board hearing, the Veteran' testified that his condition had worsened and, therefore, another VA examination is warranted to determine the current level of severity of his disability. VA's statutory duty to assist the Veteran includes the duty to conduct a thorough and contemporaneous examination so that the evaluation of the claimed disability will be a fully informed one. See Green v. Derwinski, 1 Vet. App. 121, 124 (1991); see also Snuffer v. Gober, 10 Vet. App. 400 (1997). Accordingly, the AMC/RO should arrange for the Veteran to undergo a VA examination by an ophthalmologist at an appropriate VA medical facility to determine the severity of his service- connected eye disability. The AMC/RO should also obtain and associate with the claims file all outstanding VA and private treatment records. The Veteran testified that he received medical treatment from the Philadelphia VA Medical Center (VAMC) as recently as September 2009; however, as the claims file only includes records from that facility dated up to May 2008, any additional records from that facility should be obtained. See Dunn v. West, 11 Vet. App. 462, 466-67 (1998); Bell v. Derwinski, 2 Vet. App. 611, 613 (1992). Moreover, the Veteran testified that he had received private treatment from several facilities, and had surgery scheduled for November 2009. On remand, the AMC/RO should obtain all appropriate releases from the Veteran in order to obtain all outstanding private records. Accordingly, the case is REMANDED for the following action: 1. The AMC/RO should contact the Veteran and obtain the names, addresses and approximate dates of treatment for all medical care providers, VA and non-VA, that treated the Veteran for his service- connected eye disability since March 2006. Of particular interest are any outstanding VA records from the Philadelphia VAMC for the period from May 2008 to the present; private treatment records for the period from March 2006 to the present; and surgical records from November 2009. After the Veteran has signed the appropriate releases, those records not already associated with the claims folder, should be obtained and associated with the claims folder. All attempts to procure records should be documented in the file. If the AMC/RO cannot obtain records identified by the Veteran, a notation to that effect should be inserted in the file. The Veteran and his representative are to be notified of unsuccessful efforts in this regard, in order to allow the Veteran the opportunity to obtain and submit those records for VA review. 2. Once the foregoing development has been accomplished to the extent possible, the AMC/RO should schedule the Veteran for a VA examination by an ophthalmologist to determine the current severity of his service-connected eye disability. Prior to any scheduled examination, the claims folder and a copy of this remand must be made available and reviewed by to the physician conducting the examination for review of the case. A notation to the effect that this record review took place should be included in the report of the examiner. Adequate reasons and bases are to be provided for any opinion rendered. 3. The Veteran must be given adequate notice of the date and place of any requested examination. A copy of all notifications, including the address where the notice was sent must be associated with the claims file. The Veteran is to be advised that failure to report for a scheduled VA examination without good cause shown may have adverse effects on his claim. 4. After completion of the above and any additional development deemed necessary, the issue on appeal should be reviewed with consideration of all applicable laws and regulations. If the benefit sought on appeal remains denied, the Veteran and his representative should be furnished an appropriate supplemental statement of the case and be afforded the opportunity to respond. Thereafter, the case should be returned to the Board for appellate review. The appellant has the right to submit additional evidence and argument on the matter that 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 for additional development or other appropriate action must be handled in an expeditious manner. See 38 U.S.C.A. §§ 5109B, 7112 (West Supp. 2009). ______________________________________________ RENÉE M. PELLETIER Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs