Citation Nr: 1007388 Decision Date: 03/01/10 Archive Date: 03/11/10 DOCKET NO. 05-33 759 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Waco, Texas THE ISSUE Entitlement to an initial rating higher than 30 percent for posttraumatic stress disorder. REPRESENTATION Veteran represented by: Texas Veterans Commission WITNESSES AT HEARING ON APPEAL Veteran and D. F. ATTORNEY FOR THE BOARD Russell P. Veldenz, Associate Counsel INTRODUCTION The Veteran, who is the appellant, served on active duty from February 1968 to October 1969. This matter is before the Board of Veterans' Appeals (Board) on appeal of a rating decision in December 2004 of a Department of Veterans Affairs (VA) Regional Office (RO). In August 2008, the Veteran did not respond to the RO's request to clarify whether he was seeking service connection for loss of smell to include as due to exposure to Agent Orange and a claim of individual unemployability. The Veteran may still raise the claims at anytime. In December 2009, the Veteran appeared at a hearing before the undersigned Veterans Law Judge. A transcript of the hearing is in the record. FINDING OF FACT From the effective date of the award of service connection, posttraumatic stress disorder is manifested by a disability picture that equates to occupational and social impairment with occasional decrease in work efficiency and intermittent periods of inability to perform occupational tasks, although generally functioning satisfactorily with routine behavior, self-care, and conversation under the General Rating Formula for Mental Disorders ( General Rating Formula), including the symptoms associated with the diagnosis of posttraumatic stress disorder under the Diagnostic and Statistical Manual of Mental Disorders, Fourth Edition, (DSM-IV), of the American Psychiatric Association, which is referred to in 38 C.F.R. § 4.130 (rating mental disorders), but not covered in the General Rating Formula. CONCLUSION OF LAW The criteria for an initial rating higher than 30 percent for posttraumatic stress disorder have not been met. 38 U.S.C.A. §§ 1155, 5107(b) (West 2002); 38 C.F.R. § 4.130, Diagnostic Code 9411 (2008). The Veterans Claims Assistance Act of 2000 (VCAA) The VCAA, codified in part at 38 U.S.C.A. §§ 5103, 5103A, and implemented in part at 38 C.F.R § 3.159, amended VA's duties to notify and to assist a claimant in developing information and evidence necessary to substantiate a claim. Duty to Notify Under 38 U.S.C.A. § 5103(a) and 38 C.F.R. § 3.159(b), when VA receives a complete or substantially complete application for benefits, it will notify the claimant of the following: (1) any information and medical or lay evidence that is necessary to substantiate the claim, (2) what portion of the information and evidence VA will obtain, and (3) what portion of the information and evidence the claimant is to provide. The notification requirements are referred to as Type One, Type Two, and Type Three, respectively. Shinseki v. Sanders, 129 S. Ct. 1696, (2009). Also, the VCAA notice requirements apply to all five elements of a service connection claim. The five elements are: 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, 484-86 (2006). In a claim for increase, the VCAA notice requirements are the type of evidence needed to substantiate the claim, namely, evidence demonstrating a worsening or increase in severity of the disability and the effect that worsening has on employment. Vazquez-Flores v. Shinseki, 580 F.3d 1270 (Fed. Cir. 2009) (interpreting 38 U.S.C.A. § 5103(a) as requiring generic claim-specific notice and rejecting Veteran-specific notice as to effect on daily life and as to the assigned or a cross-referenced Diagnostic Code under which the disability is rated). The VCAA notice, as required by 38 U.S.C.A. § 5103(a), must be provided to a claimant before the initial unfavorable adjudication by the RO. Pelegrini v. Principi, 18 Vet. App. 112, 119 (2004). The RO provided pre-adjudication VCAA notice by letter, dated in August 2004, on the underlying claim of service connection. Where, as here, service connection has been granted and the initial rating has been assigned, the claim of service connection has been more than substantiated, the claim has been proven, thereby rendering 38 U.S.C.A. §5103(a) notice no longer required because the purpose that the notice was intended to serve has been fulfilled. Once the claim of service connection have been substantiated, the filing of a notice of disagreement with the RO's decision, rating the disability, does not trigger additional 38 U.S.C.A. § 5103(a) notice. Therefore, further VCAA notice under 38 U.S.C.A. § 5103(a) and § 3.159(b)(1) is no longer applicable in the claim for initial higher ratings. Dingess, 19 Vet. App. 473; Dunlap v. Nicholson, 21 Vet. App. 112, 116-117 (2007); Goodwin v. Peake, 22 Vet. App. 128, 136 (2008). Duty to Assist Under 38 U.S.C.A. § 5103A, VA must make reasonable efforts to assist the claimant in obtaining evidence necessary to substantiate a claim. The RO has obtained service records, VA records, and private medical records. The Veteran was afforded VA examinations in September 2005, in December 2006, and in September 2007. The Veteran has disputed the both the adequacy and the accuracy of the VA examinations. As for adequacy, the examinations cover the rating criteria and the examiners have set forth their rationale for their opinions. The Board finds that the VA examinations are therefore adequate for rating the disability. As for accuracy, the Board has considered the Veteran's statements and testimony as well as the reports of the VA examiners. At the hearing, the Veteran suggested that a new VA examination was warranted. A reexamination will be requested whenever there is a need to verify the current severity of a disability. 38 C.F.R. § 3.327(a). Generally, a reexamination is required if the evidence indicates that there has been a material change in a disability. As there is no objective evidence indicating that there has been a material change in the severity of the Veteran's service- connected disability since he was last examined, a reexamination is not warranted, and the Board is deciding the appeal on the current record. As the Veteran has not identified any additional evidence pertinent to the claim and as there are no additional records to obtain, the Board concludes that no further assistance to the Veteran in developing the facts pertinent to the claim is required to comply with the duty to assist. REASONS AND BASES FOR FINDING AND CONCLUSION General Rating Principles A disability rating is determined by the application of VA's Schedule for Rating Disabilities (Rating Schedule). The percentage ratings contained in the Rating Schedule represent, as far as can be practicably determined, the average impairment in earning capacity resulting from disease and injury incurred or aggravated during military service and the residual conditions in civil occupations. Separate Diagnostic Codes identify the various disabilities. 38 U.S.C.A. § 1155; 38 C.F.R. § 4.1. VA has a duty to acknowledge and consider all regulations that are potentially applicable through the assertions and issues raised in the record, and to explain the reasons and bases for its conclusions. Schafrath v. Derwinski, 1 Vet. App. 589, 592-93 (1991). Where there is a question as to which of two evaluations shall be applied, the higher evaluation will be assigned if the disability picture more nearly approximates the criteria for that rating. Otherwise, the lower rating will be assigned. 38 C.F.R. § 4.7. The Board will consider whether separate ratings may be assigned for separate periods of time based on facts found, a practice known as "staged ratings," whether it is an initial rating case or not. Fenderson v. West, 12 Vet. App. 119, 126-27 (1999); Hart v. Mansfield, 21 Vet. App. 505, 509-510 (2007). Posttraumatic stress disorder (PTSD) is rated under Diagnostic Code 9411 under the General Rating Formula for Mental Disorders. Ratings are assigned according to the manifestation of particular symptoms. The criteria for the next higher rating, 50 percent, are occupational and social impairment with reduced reliability and productivity due to such symptoms as: flattened affect; circumstantial, circumlocutory, or stereotyped speech; panic attacks (more than once a week); difficulty in understanding complex commands; impairment of short- and long-term memory (e.g., retention of only highly learned material, forgetting to complete tasks); impaired judgment; impaired abstract thinking; disturbances of motivation and mood; and difficulty in establishing and maintaining effective work and social relationships. The use of the phrase "such symptoms as," followed by a list of examples, provides guidance as to the severity of symptomatology contemplated for each rating. In particular, use of such terminology permits consideration of items listed as well as other symptoms and contemplates the effect of those symptoms on the claimant' s social and work situation. See Mauerhan v. Principi, 16 Vet. App. 436, 442 (2002). Accordingly, the evidence considered in determining the level of impairment from PTSD under 38 C.F.R. § 4.130 is not restricted to the symptoms provided in Diagnostic Code 9411. Instead, VA must consider all symptoms of a claimant's condition that affect the level of occupational and social impairment, including, if applicable, those identified in the DSM-IV (American Psychiatric Association: Diagnostic and Statistical Manual of Mental Disorders (4th ed. 1994)). The Global Assessment of Functioning (GAF) score is a scale reflecting the psychological, social, and occupational functioning on a hypothetical continuum of mental-health illness. Richard v. Brown, 9 Vet. App. 266, 267 (1996), citing the Diagnostic and Statistical Manual of Mental Disorders (4th ed. 1994). GAF scores ranging from 41 to 50 reflect serious symptoms (e.g. suicidal ideation or severe obsessional rituals), or any other serious impairment in social or occupational functioning. GAF score from 51 to 60 represents moderate symptoms (e.g., flat affect and circumstantial speech, occasional panic attacks) or moderate difficulty in social, occupational, or school functioning (e.g., few friends, conflicts with peers or co- workers). A score from 61 to 70 represents mild symptoms (e.g., depressed mood and mild insomnia) or some difficulty in social, occupational, or school functioning (e.g., occasional truancy, or theft within the household), but generally functioning pretty well, has some meaningful interpersonal relationships. While the GAF score is relevant evidence, the GAF score alone is neither statutorily nor regulatory controlling in rating a psychiatric disorder, rather the rating is determined by the application of the Rating Schedule, 38 C.F.R. Part 4, as explained above. Facts VA record show that in June 2004 the Veteran described ruminations on the Iraq war, survivor's guilt related to Vietnam, decreased energy, and a lack of motivation. He also complained of disruptive sleep patterns and nightmares. He described symptoms of mistrust, social isolation, irritability, and hypervigilance. The Global Assessment of Functioning (GAF) score was 45 to 50. In October 2004, the Veteran related that medication was helping with sleep, but he had increased anxiety due to news about the Iraq war, inducing memories of Vietnam. It was noted that the Veteran was unemployed due to a back injury and the loss of his driver's license. On VA examination in September 2005, the Veteran complained of feelings of helplessness and hopelessness because of his inability to drive or to work because of his back. He stated that he excessively watched the coverage of the Iraq war and of Hurricane Katrina. He also stated that he felt guilty that he did not do enough while serving in Vietnam. He described feelings of alienation, social isolation, insomnia, hypervigilance, guilt feelings, emotional distress, startle response, and problems with concentration. It was noted that the Veteran had worked in carpentry and, until he lost his license, truck driving, but his back prevented him from employment. He also stated that his posttraumatic stress disorder prevented him from obtaining work because it scared potential employers. It was noted that he lived off and on with his two adult children, that he enjoyed his grandchildren, that he had one close friend, who was a Vietnam veteran, but the relationship had recently deteriorated, and that he enjoyed watching car races. The examiner noted that the Veteran had been able to function at work and in his family until his divorce which is also when he began experiencing intrusive memories. The Veteran presented as a friendly, verbal, neatly groomed man with an anxious mood but normal range of affect. His manner was open and cooperative and he appeared honest and straightforward. There was no evidence of delusional thinking, hallucinations, suicidal or homicidal ideation. He was oriented, his short term memory was good, and his attention and concentration were fair, although he complained of losing his train of thought. The Veteran was somewhat impulsive in answering memory questions. There was no evidence of psychosis, thought disorder, or any significant impairment of the thought process or communication. The GAF score was 55. In January 2006, the Veteran sought help from VA because he was homeless and unable to live with his son. He complained that some VA staff minimized the importance of his anxiety. After making an official complaint, his regular treating VA psychiatrist noted that the Veteran had a clear pattern of "catastrophizing and venting in writing" and then appearing for appointments in a much calmer fashion. In March 2006, while part of a VA treatment program, the Veteran missed appointments for therapy and mandatory urinalysis. The Veteran stated that he started drugs again and did so because he was frustrated with services at VA. He had been told to make appointments, but insisted on going to VA for treatment as a walk-in. It was noted the Veteran was very pleasant, but he could become angry and demanding. In March 2006, the Veteran was discharged from a Salvation Army program because he threatened a staff member and he refused to follow the guidelines of the substance abuse policy. In April 2006, the Veteran was admitted to a VA in-patient rehabilitation program and on admission the GAF score was 45 to 50. In May 2006, the Veteran was discharged from the program because he tested positive in a drug screen. A therapist noted the Veteran was capable of describing experiences that enhanced his application for disability. In another note in May 2006, the Veteran stated that VA was focused on substance abuse and not posttraumatic stress disorder and that the focus should be the other way around. He stated posttraumatic stress disorder caused his relapse to substance abuse. On VA examination in December 2006, the VA examiner noted the Veteran used rationalizations in his answers and it was very difficult to get a direct answer from the Veteran. The Veteran was very solicitous and friendly to the examiner at first but became argumentative when the examiner would not agree that the Veteran's drug addiction was an effect of posttraumatic stress disorder. The Veteran complained of nightmares about Vietnam. He described symptoms of anxiety, depression, panic attacks, paranoia, appetite disturbance, crying spells, anhedonia, and guilt. The Veteran stated that he has been unable to physically work since 2001 because of a bad back and a bad mind. Besides sleep problems and nightmares, the Veteran stated he could not get along with people and was easily agitated. He also asserted he never had any extensive positive social relationships even though he had been married, stating he had a good wife and they divorced because they grew apart. He stated that he had anger control problems, visual hallucinations, and homicidal ideas. The examiner noted that the Veteran was able to engage in activities of daily living and enjoyed motor sports. He presented as a hyperactive and joking with an unusual sense of humor. As noted above, the Veteran was solicitous until the VA examiner would not agree with the Veteran's diagnosis and then turned argumentative. His thought process was logical, coherent, relevant, and he was overall mentally intact. He is articulate, well groomed and dressed. He was uncooperative during portions of the interview. The examiner stated he had the capacity for good social skills, but seemed somewhat antisocial. The Veteran seemed intelligent and his speech was well understood and he was well oriented. His affect was one of excitation but he had good reasoning. His judgment, however, was poor. He did not exhibit any psychomotor slowing or agitation. His verbal comprehension and concentration were good. He indicated a problem with short term memory. The examiner stated the Veteran's behavior problems were do to the Veteran's narcissism and antisocial personality, which caused him to exaggerate and to be manipulative, and that the Veteran's antisocial personality and drug dependency mainly affected his social and occupational functioning and that posttraumatic stress disorder minimally played a role. The VA examiner stated that it was impossible to distinguish the symptoms of PTSD from his antisocial personality, but the symptoms of PTSD had not worsened since the last VA examination. The Veteran was administered the Weschler Adult Intelligence Scale III and the Minnesota Multiphasic Personality Inventory-II, which showed that he had a superior to very superior intelligence, but his responses were extremely exaggerated, indicative of malingering. The overall GAF score was 60. After the Veteran's complaints about the VA examination in December 2006, VA conducted an internal review in June 2007. The VA reviewer found no inadequacy in the examination in December 2006. The reviewer reported that the Veteran was hostile and manipulative with the examiner, which the examiner would not allow. On VA examination in September 2007, the VA examiner summarized not only the results of the examination in December 2006, but also noted VA records throughout 2007. The Veteran stated he had a hard time dealing with the war in Iraq and thought about Vietnam every day. He complained of nightmares and that his symptoms have worsened over the last three years. He described recurrent and intrusive distressing recollections of military trauma. The Veteran complained of diminished interest and participation in significant activities, feelings of detachment, difficulty sleeping, irritability, outbursts of anger, difficulty concentrating, and hypervigilance. He stated that he recently restarted on one of his medications and felt less tired, less depressed, and less apathetic. He stated that VA was making it too hard for him to receive the treatment that he deserved. The Veteran stated that he was still not working because his psychiatric symptoms made him unsuitable for work. It was noted that the Veteran lived with his adult child and family, that he did not engage in socialization, but he had some interest in motor sports, and that he spent most of his time thinking about the world's problems. On mental status examination, the Veteran had good eye contact, his grooming and hygiene were good. The Veteran was friendly, pleasant, and jovial. He maintained a normal rate, rhythm, tone, and volume of speech and communication. His thought processes were clear, logical, goal directed, and coherent. He exhibited no inappropriate behavior or a history of delusions or hallucinations. He reported that his mood was somewhat depressed but his affect was broad and mostly bright. He denied suicidal or homicidal ideation. He was oriented. He had minor difficulties with attention and concentration, but no difficulties in remote or recent memory. His level of abstract reasoning was intact and he seemed to understand appropriate social convention. There were no detrimental effects of the Veteran's thought processes or communication in social and occupational functioning. His insight into his symptoms was quite limited. Psychologoical testing reflected an extreme exaggeration of symptoms and the results were uninterpretable and raised significant questions about the Veteran's credibility and the validity of the symptoms that he reported. The examiner expressed the opinion that due to questionable credibility, assessing the Veteran's symptoms was very difficult. The diagnosis was adult antisocial behavior along with chronic PTSD, which, more likely than not, was of mild severity. The GAF score was 55. The VA examiner expressed the opinion that neither the drug dependence nor the adult antisocial behavior was related to the Veteran's service. The VA examiner concluded that the Veteran's PTSD symptoms had not worsened at any time since the VA examinations in September 2005 and in December 2006. In reports in July 2008 and in August 2008, a private psychologist reported that the Veteran's cooperation was good. He was attentive, responsive, and followed suggestions and instructions. He had a neat casual appearance and good hygiene. His cognitive functioning was normal and he did not report any delusions or hallucinations. His mood was depressed and his affect was flat. His abstract reasoning was normal. His recent memory was normal when not focused on the past and remote memory was intact. He was oriented. The GAF scores were 55 and 55. The private psychologist did not agree with VA's diagnoses of narcissism and anti-social personality disorder, rather the symptoms were components of PTSD. The Veteran has submitted several statements detailing how his service in Vietnam and the effect of PTSD on his life. In December 2009, the Veteran testified about nightmares and that he was currently living with his son but because of his nightmares he had to sleep in a room over a work shop, which was separated from the house. He testified that he was unable to complete a task and he had no patience with others. He indicated that his grandchildren were his only social life and he had lost interest in motor sports. His son testified also as to the Veteran's' nightmares and that his father could not work and that the Veteran's temper made him disagreeable. Analysis Reconciling the various reports into a consistent disability picture, two elements of the present disability emerge. First, the Veteran has symptomatology that is associated with the rating criteria and symptomatology not covered in the rating criteria, but is associated with the diagnosis of posttraumatic stress disorder under the DSM-IV, which is referred to in 38 C.F.R. Part 4, § 4.130 (rating mental disorders). And two, while there has been some fluctuation in the symptoms of posttraumatic stress disorder, a material change in the overall severity of the disorder has not been demonstrated. As for occupational impairment, the Veteran last worked as a truck driver due to a back injury and the loss of his driver's license, not because of posttraumatic stress disorder. As for social impairment, except for his relationships with his adult children and his grandchildren, the Veteran is socially isolated and he is divorced. While socially impaired, the Veteran has maintained a relationship with his family. Under Diagnostic Code 9411, the current degree of impairment due to symptoms of sleep impairment, suspiciousness, depression, panic attacks, and mild memory loss are encompassed in the 30 percent rating. Although there is evidence of occupational and social and impairment, symptoms of flattened affect, circumstantial, circumlocutory, or stereotyped speech, difficulty in understanding complex commands, impairment of short- and long-term memory and impaired abstract thinking, symptoms indicative of the criteria for the next higher rating have not been shown. While there is evidence of disturbances of motivation and mood and difficulty in establishing and maintaining effective work and social relationships, symptoms, which are indicative of the criteria for the next higher, there is also objective evidence by psychological testing on VA examinations in 2006 and in 2007 that the Veteran exaggerates his symptoms, which the VA examiners report raise significant questions about the Veteran's credibility and the validity of the severity of the symptoms that the Veteran describes. As there is objective evidence that the Veteran exaggerates his symptoms, the Board finds that the Veteran's description of his symptoms lacks credibility and the Board places less weight on the Veteran's statements and testimony, than the reports of the VA examiners and the private psychologist, who although disagree as to whether or not the diagnoses of narcissism and anti-social personality disorder are related to PTSD, are nevertheless consistent in finding that the overall effect of the constellation of symptoms result in moderate symptoms as evidenced by GAF scores in the range of 55 to 60. The GAF scores are also consistent with the conclusions of the VA examiners of mild to moderate symptoms (VA examination in September 2005); posttraumatic stress disorder played a minimal role in occupational and social impairment (VA examination in December 2006); and mild PTSD (VA examination in September 2007). As for symptoms associated with the diagnosis of PTSD in DSM- IV, but not listed in Diagnostic Code 9411, such as nightmares, intrusive thoughts, startle response, hypervigilance, irritability, survivor's guilt, the findings do not more nearly approximate or equate to occupational and social impairment with reduced reliability and productivity for the next higher rating again as evidenced by the conclusions of the VA examiners of mild to moderate symptoms (VA examination in September 2005); posttraumatic stress disorder played a minimal role in occupational and social impairment (VA examination in December 2006); and mild PTSD (VA examination in September 2007). As this is an initial rating case, consideration has been given to "staged ratings" for the condition over the period of time since service connection became effective, but the evidence does not support a finding of a disability picture greater than 30 percent at any time during the appeal period. For the above reasons, the preponderance of the evidence is against an initial rating higher than 30 percent for posttraumatic stress disorder, and the benefit-of-the-doubt standard of proof does not apply. 38 U.S.C.A. § 5107(b). Extraschedular Consideration Although the Board is precluded by regulation from assigning an extraschedular rating under 38 C.F.R. § 3.321(b)(1) in the first instance, the Board is not precluded from considering whether the case should be referred to the Director of VA's Compensation and Pension Service for a rating. The threshold factor for extraschedular consideration is a finding that the evidence presents such an exceptional disability picture that the available schedular ratings for the service-connected disability are inadequate. This is accomplished by comparing the level of severity and symptomatology of the service-connected disability with the established criteria. If the criteria reasonably describe a disability level and symptomatology, then the disability picture is contemplated by the Rating Schedule, and the assigned schedular evaluation is, therefore, adequate and referral for an extraschedular rating is not required. Thun v. Peake, 22 Vet. App. 111, 115 (2008). Comparing the current disability level and symptomatology to the Rating Schedule, the current degree of disability is contemplated by the Rating Schedule and the assigned schedule rating is, therefore, adequate and no referral to an extraschedular rating is required under 38 C.F.R. § 3.321(b)(1). (The Order follows on the next page.). ORDER An initial rating higher than 30 percent for posttraumatic stress disorder is denied ____________________________________________ George E. Guido Jr. Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs