Citation Nr: 1009150 Decision Date: 03/10/10 Archive Date: 03/17/10 DOCKET NO. 08-02 534 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in St. Petersburg, Florida THE ISSUE 1. Entitlement to a compensable evaluation for asbestosis, on appeal from an initial grant of service connection. 2. Entitlement to service connection for chronic obstructive pulmonary disease (COPD). REPRESENTATION Appellant represented by: The American Legion ATTORNEY FOR THE BOARD Patrick J. Costello, Counsel INTRODUCTION The appellant had active military service in the United States Navy from July 1952 to August 1955. This case comes before the Board of Veterans' Appeals (Board) on appeal from an August 2007 rating decision of the Department of Veterans Affairs (VA), Regional Office (RO), located in St. Petersburg, Florida. In April 2009, the Board requested an opinion from a medical expert of the Veterans Health Administration (VHA) as to this claim. See 38 U.S.C.A. § 7109 (West 2002); 38 C.F.R. § 20.901 (2009). The opinion was obtained and included in the claims folder, the appellant has been provided with a copy of that opinion, and no additional evidence has been submitted by the appellant in response to that medical opinion. After the Board obtained the VHA medical opinion, the Board remanded the claim in August 2009 to the RO via the Appeals Management Center (AMC), in Washington, DC, for the purpose of obtaining additional medical information. The requested information was obtained and the claim has since been returned to the Board for review. It should be noted that when the claim originally came before the Board, there were two issues on appeal. The first issue involved an increased rating for asbestosis; the second issue on appeal was entitlement to service connection for chronic obstructive pulmonary disease (COPD). In a document received in January 2010, the appellant withdrew his claim involving COPD. Please note this appeal has been advanced on the Board's docket pursuant to 38 C.F.R. § 20.900(c) (2009). 38 U.S.C.A. § 7107(a)(2) (West 2002). FINDINGS OF FACT 1. Although the appellant is diagnosed as having pleural plaque asbestosis, he does not demonstrate objective manifestations of disability as a result of the condition. 2. On January 4th, 2010, prior to the promulgation of a decision in the appeal, the VA received notification from the appellant that he was withdrawing his appeal on the issue of entitlement to service connection for COPD. CONCLUSIONS OF LAW 1. The criteria for an initial, compensable rating for asbestosis have not been met. 38 U.S.C.A. §§ 1155, 5103, 5103A, 5107 (West 2002 & Supp. 2009); 38 C.F.R. §§ 3.102, 3.159, 3.321(b), 4.1, 4.2, 4.7, 4.31, 4.96, 4.97, Diagnostic Code 6833 (2009). 2. The criteria for withdrawal of a Substantive Appeal by the appellant with respect to the issue of entitlement to service connection for chronic obstructive pulmonary disease have been met. 38 U.S.C.A. § 7105(b)(2), (d)(5) (West 2002 & Supp. 2009); 38 C.F.R. §§ 20.202, 20.204(b), (c) (2009). REASONS AND BASES FOR FINDINGS AND CONCLUSIONS I. Increased Evaluation - Asbestosis The Veterans Claims Assistance Act of 2000 (VCAA) 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 (West 2002 & Supp. 2009); 38 C.F.R. §§ 3.102, 3.156(a), 3.159 and 3.326(a) (2009). 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) (West 2002 & Supp. 2009); 38 C.F.R. § 3.159(b) (2009); 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) must ask the claimant to provide any evidence in her or his possession that pertains to the claim in accordance with 38 C.F.R. § 3.159(b)(1). VCAA notice should be provided to a claimant before the initial unfavorable agency of original jurisdiction (AOJ) decision on a claim. Pelegrini v. Principi, 18 Vet. App. 112 (2004) (Pelegrini II); see also Mayfield v. Nicholson, 19 Vet. App. 103 (2005), rev'd on other grounds, 444 F. 3d 1328 (Fed. Cir. 2006). Notice which informs the veteran of how VA determines disability ratings and effective dates should also be provided. See Dingess/Hartman v. Nicholson, 19 Vet. App. 473 (2006) In this case the appellant's request for an increased rating stems from the initial grant of service connection. Courts have held that once service connection is granted the claim is substantiated; additional notice is not required; and any defect in the notice is not prejudicial. Hartman v. Nicholson, 483 F.3d 1311 (Fed. Cir. 2007); Dunlap v. Nicholson, 21 Vet. App. 112 (2007). The Board finds that the AOJ has satisfied the duty to assist as required by the VCAA. The appellant's service treatment records, VA medical records, private medical treatment records, and VA examination reports are all of record. There is no indication that there is any outstanding evidence that should be obtained. Additionally, the Board finds there has been substantial compliance with its August 2009 remand instructions. The Board notes that the United States Court of Appeals for Veterans Claims, hereinafter the Court, has noted that "only substantial compliance with the terms of the Board's engagement letter would be required, not strict compliance." D'Aries v. Peake, 22 Vet. App. 97, 105 (2008); see also Dyment v. West, 13 Vet. App. 141, 146-47 (1999) (holding that there was no Stegall violation when the examiner made the ultimate determination required by the Board's remand, because such determination "more than substantially complied with the Board's remand order"). The record indicates that the AMC scheduled the appellant for a medical examination and the appellant attended that examination. The examiner reviewed the claims folder prior to examining the appellant and provided additional comments in the form of an addendum when the AMC concluded that not enough information was contained in the examination report. [As an aside, the Board finds that the examination report is adequate for rating purposes as a physical examination with testing was performed, the examiner took into account the history and reviewed the claims folder, and an opinion with rationale was provided. See Barr v. Nicholson, 21 Vet. App. 303, 311 (affirming that a medical opinion is adequate if it provides sufficient detail so that the Board can perform a fully informed evaluation of the claim).] The results were then returned to the AMC and the AMC issued a rating in the form of a Supplemental Statement of the Case (SSOC) after reviewing the results of that examination. Based on the foregoing, the Board finds that the AMC substantially complied with the mandates of its remand. See Stegall v. West, 11 Vet. App. 268, 271 (1998) (finding that a remand by the Board confers on the appellant the right to compliance with the remand orders). Disability evaluations are determined by the application of a schedule of ratings that is based on the average impairment of earning capacity. 38 U.S.C.A. § 1155 (West 2002); 38 C.F.R., Part 4 (2009). Separate diagnostic codes identify the various disabilities. 38 C.F.R. § 4.1 (2009) requires that each disability be viewed in relation to its history and that there be emphasis upon the limitation of activity imposed by the disabling condition. 38 C.F.R. § 4.2 (2009) requires that medical reports be interpreted in light of the whole recorded history, and that each disability must be considered from the point of view of the veteran working or seeking work. 38 C.F.R. § 4.7 (2009) provides that, where there is a question as to which of two disability evaluations shall be applied, the higher evaluation is to be assigned if the disability picture more nearly approximates the criteria required for that rating. Otherwise, the lower rating is to be assigned. This appeal stems from the appellant's disagreement with the assignment of a noncompensable rating following an original grant of service connection, and the potential for the assignment of separate, or "staged" ratings for separate periods of time, based on the facts found, are for consideration. Fenderson v. West, 12 Vet. App. 119 (1999). An evaluation of the level of disability present also includes consideration of the functional impairment of the service member's ability to engage in ordinary activities, including employment. 38 C.F.R. § 4.10 (2009). In August 2007, the RO granted service connection for asbestosis and assigned a noncompensable evaluation. The noncompensable evaluation was assigned in accordance with 38 C.F.R. Part 4, Diagnostic Code 6833 (2009). The noncompensable evaluation was assigned based upon private and VA medical records. With respect to the private medical reports of record, these records revealed diagnoses of restrictive lung disease, asbestos pleural plaques, and COPD. In January 2005, a private physician noted that the Veteran was a cigarette smoker and diagnosed COPD. Although the physician advised that a pulmonary function test (PFT) should be performed, there is no record that any tests were immediately obtained. In December 2005, an X-ray showed concern for lobulated area of pleuaral thickening in the right upper lobe laterally. Changes of COPD and prior granulomatous disease noted. Chronic basilar interstitial changes were also suspected. A computed tomography scan performed later that month showed multiple focal areas of pleural thickening bilaterally, the majority of which were noncalcified, and likely represented pleural plaques. Mild subsegmental atelectasis or minimal consolidation along the medial aspect of the right middle lobe was also found. In January 2006, a private consulting physician noted that the Veteran had a 53 pack-year history of smoking cigarettes and that the Veteran denied any knowledge of asbestos exposure. The physician reviewed the X-ray and computed tomography studies and diagnosed asbestos pleural plaques and COPD. A pulmonary function test and another computed tomography scan were performed in May 2006. The PFT interpretation was that of a moderate restrictive ventilatory defect. In August 2006, the physician noted a review of the results of the scan and PFT and noted that the Veteran denied any chest pain or shortness of breath. However, citing the test results, the physician diagnosed asbestos pleural plaques, restrictive lung disease, and COPD. In March 2007, the physician noted the Veteran's reports of occasional cough and some dyspnea on exertion but no fevers or chest pains. He continued the previous diagnoses. In April 2007, a VA physician noted a review of the claims file including the previous private examinations and tests. He noted that computed tomography scans in 2005 and 2006 showed multiple areas of calcified pleural based masses related to previous asbestos disease. On respiratory examination, the physician noted no obvious chest wall deformity, no restrictive movements, good air entry at the base, no basal rales, rhonchi, or wheezing, and no central or peripheral cyanosis. The physician diagnosed COPD, restrictive lung disease, and pleural plaquing with post asbestosis exposure, all with residuals. He stated that the restrictive lung disease is at least as likely as not caused by exposure to asbestos but that COPD was not caused by asbestos exposure but rather by the history of cigarette smoking. In a June 2007 addendum, the physician reviewed the test results and modified his diagnoses. The diagnoses were asbestosis without objective evidence of residuals on pulmonary function testing and COPD. The examiner noted that the pulmonary function tests indicated that the appellant was suffering from "moderate obstructive lung defect with significant response to bronchodilator." The examiner further concluded that there was no objective evidence of restrictive lung disease (respiratory residuals of asbestosis) nor were there objective residuals on the pulmonary function testing of asbestosis. Finally, the examiner attributed the diagnosed chronic obstructive lung disease to a non-asbestosis related condition. In December 2007, the private consulting physician noted a review of X-rays obtained the previous March that showed hyperinflated lungs with no infiltrates or adenopathy. He noted the Veteran's reports of dyspnea on exertion but no cough or chest pain. On examination, he noted that the lungs were clear to auscultation and percussion. He referred to a pulmonary function test on an unspecified date and stated that the results showed moderate restrictive ventilatory impairment and mild obstructive ventilatory impairment. This assessment is the same as he made in August 2006 after review of May 2006 pulmonary function tests. In a letter the same month, the physician stated that computed tomography scans revealed the presence of asbestos pleural plaques and noted that the pulmonary function tests showed an FEV-1 of 47 percent. Also in the claims folder is a pulmonary function test result from September 2008. The record indicates that the testing was ordered by the appellant's doctor in conjunction with the appellant's COPD. It was not obtained as a result of the appellant's service-connected asbestosis. Upon completion of the testing, the test provider indicated that the appellant was experiencing mild obstructive pulmonary impairment. As reported above, the appellant's records were reviewed by a board-certified VHA pulmonologist in May 2009. In his analysis, the pulmonologist concluded that while the appellant may have been diagnosed as having pleural plaques, this was not indicative of interstitial or restrictive lung disease, as pleural plaques are only indicative of previous exposure to asbestos. The physician further stated that a high resolution CT did not show evidence of interstitial lung disease and pulmonary function testing was inconclusive. However, the high resolution CT would be considered the "gold standard" for the diagnosis of asbestos, therefore, the likelihood that valid pulmonary function testing would change the above opinion was considered very unlikely. It was the physician's opinion that more likely than not, the Veteran did not have asbestos-related interstitial lung disease. After receiving the response from VHA, the Board then remanded the claim to the AMC so that another VA Pulmonary Examination could be accomplished. The purpose of the examination was to discover and document the severity of the appellant's asbestosis disorder. Said examination was performed in November 2009. It is noted that the examiner reviewed the appellant's claims folder. During the questioning mode of the examination, the appellant stated that he suffered from respiratory problems or flare- ups every one to two months for a few days. He complained of dyspnea with exertion, including talking "too much". He reported that he used a nebulizer and other medications for respiratory relief. When examined, the examiner noted that that the appellant's respirations were regular and rhythmic, and his lungs were "clear without wheezes". There were no gross varicosities or venous flushing found, and the appellant was negative for stasis dermatitis, pretibial edemia, or pallor. Peripheral pulses were palpable and bilaterally equal. Pulmonary function test (PFT) results were inadequate to define his lung volumes; however, the examiner attributed the poor results to the appellant's nonservice-connected emphysema/COPD. She specifically wrote that the decrease in lung diffusion capacity was "not caused by or related to asbestos exposure." It was further written that while the appellant had pleural-based plaques, there was no residual restrictive lung defect, there was no evidence of mesothelioma, and there were no findings of interstitial lung changes. It was also noted in the November 2009 report and addendum that any clinically significant interstitial fibrosis would cause a restrictive lung defect, therefore, further testing such as a high-resolution CT was a moot point. The VA medical care provider proffered an addendum to the November 2009 examination report shortly after the original examination. The examiner wrote the following: The veteran does not have a restrictive lung defect, and therefore, it is not caused by, related to or aggravated by asbestos exposure or any other aspect of service. The veteran[']s obstructive lung defect (Emphysema or COPD) is not caused by, related to or aggravated by asbestos exposure or any other aspect of service. .... The veteran does not have an interstitial lung disease of any kind, including asbestos-related. . . . As such there are no representative impairments by imaging, functions tests or other findings. . . . As previously indicated, the appellant's asbestosis has been assigned a noncompensable evaluation in accordance with rating criteria found at 38 C.F.R. Part 4, Diagnostic Code 6833 (2009). Under this code, asbestosis is to be rated under the General Rating Formula for Interstitial Lung Disease. This Formula states that a 10 percent evaluation is warranted for FVC of 75- to 80-percent predicted value, or; DLCO by the Single Breath Method (DLCO (SB)) of 66- to 80- percent predicted. A 30 percent evaluation is warranted for FVC of 65- to 74-percent predicted, or; DLCO (SB) of 56- to 65- percent predicted. A 60 percent evaluation is warranted for FVC of 50- to 64-percent predicted, or; DLCO (SB) of 40- to 55-percent predicted, or; maximum exercise capacity of 15 to 20 ml/kg/min oxygen consumption with cardiorespiratory limitation. A 100 percent evaluation is warranted for FVC less than 50 percent of predicted value, or; DLCO (SB) less than 40-percent predicted, or; maximum exercise capacity less than 15 ml/kg/min oxygen consumption with cardiorespiratory limitation, or; cor pulmonale (right heart failure) or pulmonary hypertension, or; requires outpatient oxygen therapy. 38 C.F.R. § 4.96 (d) (2009) enumerates special provisions for the application of evaluation criteria for Diagnostic Codes 6600, 6603, 6604, 6825-6833, and 6840-6845. (1) Pulmonary function tests (PFT's) are generally required to evaluate these conditions. (2) If the DLCO (SB) test is not of record, evaluate based on alternative criteria as long as the examiner states why the test would not be useful or valid in a particular case. (3) When PFT's are not consistent with clinical findings, evaluate based on the based on the PFT's unless the examiner states why they were not a valid indication of respiratory functional impairment in a particular case. (4) Post-bronchodilator studies are required when PFT's are done for disability evaluation purposes, except when the results of pre-bronchodilator pulmonary function tests are normal or when the examiner determines that post- bronchodilator studies should not be done and states why. (5) When evaluating based on PFT's, use post-bronchodilator results in applying the evaluation criteria in the rating schedule unless post-bronchodilator results were poorer than the pre- bronchodilator results. In that case, use the pre-bronchodilator values for rating purposes. (6) When there is a disparity between the results of different PFT's so that the level of evaluation would differ depending on which test result is used, use the test result that the examiner states most accurately reflect the level of disability. 38 C.F.R. § 4.96 (d) (2009). In every instance where the schedule does not provide a noncompensable (zero percent) rating for a diagnostic code, a zero percent rating shall be assigned when the requirements for a compensable rating are not met. 38 C.F.R. § 4.31 (2009). In order to meet the criteria for the minimum, compensable rating of 10 percent under 38 C.F.R. Part 4, Diagnostic Code 6833 (2009), a FVC of 75 to 80, or a DLCO (SB) of 66 to 80 predicted is required. Here, however, while the appellant is service-connected for asbestosis based on the presence of pleural plaques, the preponderance of the evidence is against finding that there are objective manifestations of the service-connected disability. As such, he does not meet the requirements for a compensable rating under 38 C.F.R. Part 4, Diagnostic Code 6833 (2009) or any other potentially applicable code provision. As such, it logically follows that no higher rating under this diagnostic code is warranted nor can it be assigned. The appellant's private physician diagnosed asbestos pleural plaques and a moderate restrictive ventilatory defect. The VA examiner's June 2007 addendum indicated that a PFT showed "moderate obstructive lung defect," and that there was no objective evidence of restrictive lung disease (respiratory residuals of asbestosis). The VA pulmonary specialist opined that the Veteran did have pleural plaques but this was only indicative of exposure to asbestos and there was no evidence of interstitial lung disease, which would be based on functional studies of the lung, PFTs, and DLCO testing. This opinion which is supported by a rationale and which is based on a review of the claims folder is entitled to great probative weight. The November 2009 VA examiner indicates that while the appellant did have pleural-based plaques there was no residual restrictive lung defect, evidence of mesothelioma or findings of interestitial lung changes. This examination was based on a review of the claims folder, an examination of the appellant, to include testing, and the opinion was supported by a rationale. Moreover, the examiner explained in the addendum that the presence of a restrictive defect shown on PFT does not provide for a diagnosis of asbestos-related disease and that the absence of a restrictive lung defect does not rule out an asbestos-related condition. Moreover, both the pulmonary specialist and the VA examiner opined that the appellant does not have interstitial lung disease. The Board finds that the VA examiners' opinions that the appellant does not have disability resulting from the pleural plaque asbestosis are entitled to great probative weigh. Therefore, the preponderance of the evidence is against finding that the service-connected asbestosis has produced residual disability that may be assigned a compensable disability rating. The appellant has argued that the various examinations support his assertions that he should be assigned a higher disability evaluation. However, as discussed above, the record indicates the respiratory symptoms experienced by the appellant are unrelated to his service-connected pleural plaques, i.e., asbestosis, but instead are caused by nonservice-connected COPD. Moreover, while the appellant is competent to report his symptoms, he is not shown to have the medical expertise required for a determination in this case. More specifically, although he is competent to report that he experiences shortness of breath, the Board finds that his opinion alone does not provide a sufficient basis upon which to make a determination as to the degree of impairment due to his symptoms that happen not to be related to or caused by his service-connected disorder. In this case, the Board has accorded more probative value to the competent medical evidence supported by clinical results. See Espiritu v. Derwinski, 2 Vet. App. 492, 494- 95 (1992); Buchanan v. Nicholson, 451 F.3d 1331 (Fed. Cir. 2006); Washington v. Nicholson, 19 Vet. App. 362, 368-69 (2005); Jandreau v. Nicholson, 492 F.3d 1372 (Fed. Cir. 2007). In determining whether an increased evaluation is warranted, the VA must determine whether the evidence supports the claim or is in relative equipoise, with the Veteran prevailing in either event, or whether the preponderance of the evidence is against the claim, in which case an increased rating must be denied. Gilbert v. Derwinski, 1 Vet. App. 49 (1990). The Board finds that a compensable evaluation is not warranted for the appellant's service-connected asbestosis. The medical evidence of record does not show that the appellant's condition is presently under evaluated. The Board has also considered all potentially applicable provisions of 38 C.F.R. Parts 3 and 4 (2009), whether or not they have been raised by the appellant or his representative, as required by Schafrath v. Derwinski, 1 Vet. App. 589 (1991). However, in the instant case, the Board finds no other provision upon which to assign a compensable evaluation. The Board has also contemplated whether the appellant is entitled to an extraschedular evaluation for the disability. Ordinarily, the VA Schedule will apply unless there are exceptional or unusual factors which would render application of the schedule impractical. See Fisher v. Principi, 4 Vet. App. 57, 60 (1993). According to the regulation, an extraschedular disability rating is warranted based upon 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 that would render impractical the application of the regular schedular standards. See 38 C.F.R. § 3.321(b)(1) (2009). An exceptional case is said to include such factors as marked interference with employment or frequent periods of hospitalization as to render impracticable the application of the regular schedular standards. See Fanning v. Brown, 4 Vet. App. 225, 229 (1993). Under Thun v. Peake, 22 Vet App 111 (2008), there is a three- step inquiry for determining whether an appellant is entitled to an extraschedular rating. First, the Board must first determine whether the evidence presents such an exceptional disability picture that the available schedular evaluations for that service-connected disability are inadequate. Second, if the schedular evaluation does not contemplate the claimant's level of disability and symptomatology and is found inadequate, the Board must determine whether the claimant's disability picture exhibits other related factors such as those provided by the regulation as "governing norms." Third, if the rating schedule is inadequate to evaluate a appellant's disability picture and that picture has attendant thereto related factors such as marked interference with employment or frequent periods of hospitalization, then the case must be referred to the Under Secretary for Benefits or the Director of the Compensation and Pension Service to determine whether, to accord justice, the appellant's disability picture requires the assignment of an extraschedular rating. With respect to the first prong of Thun, the evidence in this case does not show such an exceptional disability picture that the available schedular evaluation for the service- connected asbestosis is inadequate. A comparison between the level of severity and symptomatology of the appellant's disorder with the established criteria found in the rating schedule for interstitial lung disorders shows that the rating criteria for a noncompensable rating reasonably describes the appellant's disability level and symptomatology. The Board further finds that, even if the available schedular evaluation for the disability is inadequate (which it manifestly is not), the appellant does not exhibit other related factors such as those provided by the regulation as "governing norms." The record does not show that the appellant has required frequent hospitalizations for his asbestosis condition. Indeed, it does not appear from the record that he has been recently hospitalized at all for this disorder. Additionally, there is not shown to be evidence of marked interference with employment solely due to the asbestosis. There is nothing in the record which suggests that the service-connected disability has markedly impacted his ability to perform a job. Moreover, there is no evidence in the medical records of an exceptional or unusual clinical picture. In short, there is nothing in the record to indicate that this service-connected disability on appeal causes impairment with employment over and above that which is contemplated in the assigned schedular rating. See Van Hoose v. Brown, 4 Vet. App. 361, 363 (1993) [noting that the disability rating itself is recognition that industrial capabilities are impaired]. The Board therefore has determined that referral of this case for extraschedular consideration pursuant to 38 C.F.R. 3.321(b)(1) (2009) is not warranted. II. Service Connection - COPD Under 38 U.S.C.A. § 7105 (West 2002 & Supp. 2009), the Board may dismiss any appeal that fails to allege specific error of fact or law in the determination being appealed. A Substantive Appeal may be withdrawn in writing at any time before the Board promulgates a decision. 38 C.F.R. §§ 20.202, 20.204(b) (2009). Withdrawal may be made by the appellant or by his or his authorized representative, except that a representative may not withdraw a Substantive Appeal filed by the appellant personally without the express written consent of the appellant. 38 C.F.R. § 20.204(c) (2009). In December 2009, the appellant submitted notice to the VA that he was withdrawing his appeal with respect to the issue involving COPD. As the appellant has withdrawn this appeal, there remain no allegations of errors of fact or law for appellate consideration. Accordingly, the Board does not have jurisdiction to review the appellate issue and it is dismissed. ORDER 1. Entitlement to a compensable evaluation for asbestosis, on appeal from an initial grant of service connection, is denied. 2. Entitlement to service connection for COPD is dismissed. ____________________________________________ S. S. TOTH Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs