Citation Nr: 1009502 Decision Date: 03/12/10 Archive Date: 03/17/10 DOCKET NO. 06-13 034 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Nashville, Tennessee THE ISSUE Entitlement to compensation under the provisions of 38 U.S.C.A. § 1151 for a disorder of the left fourth toe. (The claim of whether a decision of the Board of Veterans' Appeals, which declined to reopen the Veteran's claim of entitlement to service connection for residuals of a hysterectomy, should be revised or reversed on the grounds of clear and unmistakable error (CUE), will be the subject of a separate appellate decision). REPRESENTATION Appellant represented by: Veterans of Foreign Wars of the United States ATTORNEY FOR THE BOARD Jeanne Schlegel, Counsel INTRODUCTION The Veteran served on active duty with the United States Air Force from August 1970 to May 1972. This matter comes before the Board of Veterans' Appeals (Board) on appeal from a March 2005 rating decision of the Department of Veterans Affairs (VA) Regional Office (RO) in Nashville, Tennessee. This issue was previously before the Board in January 2009, at which time the Veteran's claim for compensation brought under the provisions of 38 U.S.C.A. § 1151 was remanded. The actions requested in that Remand have been undertaken and the claim has returned the Board for appellate consideration. FINDINGS OF FACT 1. On March 9, 2004, the Veteran underwent bilateral bunionectomy, exostectomy of the left fifth digit, and phalangeal head resection of the left fourth digit, due to clinical indications of bilateral hallux valgus, hypertrophied head of the proximal phalanx of the 4th left toe and exostosis of the left fifth toe. 2. The file contains an informed consent form which was signed by the Veteran and her treating VA physician on March 3, 2004, indicating that the Veteran understood that the nature and reasons for the medical procedure to be undertaken on March 9, 2004 and acknowledging that she was aware of the alternatives, possible risks, complications and benefits, associated with the surgery. 3. Residuals which were shown following the March 9, 2004 surgery, to include soft tissue deformity of the left 4th toe with pain, described by a medical professional as reasonably foreseeable residuals of the surgery. 4. The file contains a competent and informed medical opinion to the effect that there was no indication of deviation of the appropriate standard of care shown in conjunction with the surgery preformed by VA on March 9, 2004. CONCLUSION OF LAW The criteria for entitlement to compensation under the provisions of 38 U.S.C.A. § 1151 for additional disability of the left fourth claimed as resulting from treatment received from a Department of Veterans Affairs Medical Center/facility (VAMC) in March 2004, have not been met. 38 U.S.C.A. § 1151 (West 2002 & Supp. 2009); 38 C.F.R. §§ 3.361, 17.32 (2009). REASONS AND BASES FOR FINDINGS AND CONCLUSION Veterans Claims Assistance Act With respect to the Veteran's claim, VA has met all statutory and regulatory notice and duty to assist provisions. See 38 U.S.C.A. §§ 5100, 5102, 5103, 5103A, 5106, 5107, 5126; 38 C.F.R. §§ 3.102, 3.156(a), 3.159, 3.326. Under the law, when VA receives a complete or substantially complete application for benefits, it is required to notify the claimant and her representative, if any, of any information and medical or lay evidence that is necessary to substantiate the claim. 38 U.S.C.A. § 5103(a) (West 2002); 38 C.F.R. § 3.159(b) (2008); Quartuccio v. Principi, 16 Vet. App. 183 (2002). Title 38, United States Code, Section 1151 provides that where a veteran suffers an injury or aggravation of an injury resulting in additional disability by reason of VA medical or surgical treatment, compensation shall be awarded in the same manner as if such disability were service connected. See Anderson v. Principi, 18 Vet. App. 371, 376 (2004); see also Kilpatrick v. Principi, 16 Vet. App. 1, 3 (2002). The notice required by the VCAA can be divided into three elements. Specifically, VA must inform the claimant of any information and evidence not of record: (1) that is necessary to substantiate the claim; (2) that the claimant is to provide; and (3) that VA will attempt to obtain. Beverly v. Nicholson, 19 Vet. App. 394, 403 (2005) (outlining VCAA notice requirements). The Board observes that VCAA notice must be provided before the initial unfavorable determination by the RO. Pelegrini v. Principi, 18 Vet. App. 112, 120 (2004). In this case, the RO initially adjudicated the claim on appeal in March 2005. Review of the claims folder reveals compliance with the VCAA and the timing requirements. In letters dated in July 2004 and April 2005, the RO specifically advised the Veteran of the evidence needed to substantiate her claim brought under the provisions of 38 U.S.C.A. § 1151, including an explanation of what evidence VA was obligated to obtain or to assist the Veteran in obtaining and what evidence or information the Veteran was responsible to provide. In Dingess v. Nicholson, the United States Court of Appeals for Veterans Claims (Court) held that, upon receipt of an application for a service-connection claim, VA is required to review the evidence presented with the claim and to provide the Veteran with notice of what evidence not previously provided will help substantiate the claim. 19 Vet. App. 473 (2006); see also 38 U.S.C.A. § 5103(a); 38 C.F.R. § 3.159(b). Specifically, VA must notify the Veteran of what is required to establish service connection and that a disability rating and effective date for the award of benefits will be assigned if service connection is awarded. This notice was provided to the appellant in March 2006. Following both the aforementioned April 2005 and March 2006 notice, subsequent adjudication of the claims on appeal was undertaken in Supplemental Statements of the Case (SSOC) issued in June 2007 and January 2010. Prickett v. Nicholson, 20 Vet. App. 370, 377-78 (2006) (VA cured failure to afford statutory notice to claimant prior to initial rating decision by issuing notification letter after decision and readjudicating claim and notifying claimant of such readjudication in the statement of the case). In sum, the record indicates that the Veteran received appropriate notice pursuant to the VCAA. 38 U.S.C.A. § 5103(a). See Quartuccio v. Principi, 16 Vet. App. 183 (2002). With respect to the duty to assist, the RO has obtained the relevant VA and private medical records, specifically including all available clinical records relating to the March 2004 surgery. See 38 U.S.C.A. § 5103A(d). The Veteran has also submitted her own statements and contentions for the record. In addition, a VA medical examination and opinion was sought in this case which was provided in April 2009 with an addendum provided in November 2009. The Board finds that as to the claim being decided herein on appeal, all necessary development has been accomplished, and therefore appellate review may proceed without prejudice to the appellant. See Bernard v. Brown, 4 Vet. App. 384 (1993). Significantly, neither the Veteran nor his representative has identified, and the record does not otherwise indicate, any additional existing evidence that is necessary for a fair adjudication of the claims that has not been obtained. Hence, no further notice or assistance to the appellant is required to fulfill VA's duty to assist the appellant in the development of the claim. Smith v. Gober, 14 Vet. App. 227 (2000), aff'd 281 F.3d 1384 (Fed. Cir. 2002); Dela Cruz v. Principi, 15 Vet. App. 143 (2001); see also Quartuccio v. Principi, 16 Vet. App. 183 (2002). Factual Background The Veteran filed her original compensation claim brought under the provisions of 38 U.S.C. § 1151 in July 2004. She maintains that a disorder of the left fourth toe, described as deformity and pain of the toe, resulted from surgery performed on March 9, 2004, at which time she underwent bilateral bunionectomy, exostectomy of the left fifth digit and phalangeal head resection of the left fourth digit at the VA Medical Center (VAMC) in Mountain Home, Tennessee. A brief review of the medical history indicates that the Veteran was seen by VA in mid-February 2004, with complaints of painful bunions of the feet bilaterally and corns on the 4th and 5th toes on the left foot. It was also noted that she had requested surgery, as her feet were painful and hadn't responded to a change of shoes. Assessments of bilateral hallux valgus, hypertrophied head of the proximal phalanx of the 4th left toe and exostosis of the left fifth toe were made. The record indicated that the VA Chief of Podiatry had discussed surgical procedures of the left 4th and 5th toes to include explaining to the Veteran the expected results, possible complications, alternatives and convalescence. It was noted that the Veteran had the opportunity to ask questions and that operative procedures were scheduled for March 9, 2004. The file contains a consent form signed by the Veteran and her treating VA physician on March 3, 2004. The form describes the procedures to be undertaken on March 9, 2004 as injecting anesthesia and cutting bone from the big toe on the left and right feet with pin fixation and cutting bone from the 4th and 5th toes of the left foot. The form indicated that the indications, risks benefits and alternative treatment options had been explained to the Veteran and she had been given the opportunity to ask questions. The form indicated that the Veteran freely consented to undergoing the treatment without fraud, duress or coercion. VA records reflect that on March 9, 2004, the Veteran underwent bilateral bunionectomy, exostectomy of the left fifth digit, and phalangeal head resection of the left fourth digit. The pre and post-operative diagnoses consisted of: bilateral hallux valgus, hypertrophied head of the proximal phalanx of the 4th left toe and exostosis of the left fifth toe. The operative report indicated that a 4-5 K-wire was placed from the plantar medial to dorsal lateral through the head of the metatarsal and retracted until flush with the articulating surface. The K-wire was bent, cut and placed flush to the bone and the wound was flushed with copious amounts of normal sterile saline. A sterile dressing was applied and the report indicated that the Veteran was transferred to the PACU with stable vital signs and vascular status intact. A post-surgical noted dated on September 9, 2004 specifically indicated that there were no complications and that the patient tolerated the procedure well. The Veteran was instructed to return for a follow up in 6 days, keep the foot elevated and use a walker when ambulating. She was specifically instructed to contact the hospital if symptoms of significant swelling, redness, pain, nausea, vomiting, fever or chills occurred. VA records show that on March 10, 2004, the Veteran called in complaining of radiating left foot pain, and reporting that she was not having any right foot problems. She was seen on March 15, 2004, at which time she had no complaints of pain. Sutures were described as intact and there were no signs of erythema, drainage or infection. An assessment of satisfactory post-operative condition was made, the dressing was changed and the Veteran was instructed to return in a week. When seen by podiatry on March 22, 2004, the Veteran had complaints of left foot on walking. There was evidence of minimal edema. Later that day, the Veteran called in complaining of constant moderate to severe left foot pain for the past week. When seen on March 29, 2004 there was no edema or erythema and range of motion was good and without pain or crepitus. When seen on April 19, 2004, the Veteran reported that she as doing well overall, but continued to have pain when ambulating for long periods. She continued to complain of left foot and 4th toe swelling and believed that she would be ready to return to her normal working activities in a week. The file contains a medical statement of Dr. B. dated in April 2005 indicating that he had been asked by the Veteran to review her medical records and provide information pertaining to her claim. The doctor noted a history of left foot surgery done by VA in March 2004. He stated that examination of the left foot revealed a mal-positioning of the 4th toe, described as held at 30 degrees of dorsiflexion. The doctor stated the Veteran reported having pain in the left 4th toe following the surgery. In April 2006, color photographs of the Veteran's left foot were received which appear to show hyper-extension/elevation of the 4th left toe, compared to the other toes lying flat. A VA examination of the feet was conducted in April 2009 and the examination report reflects that the Veteran's medical records were reviewed. A history of foot surgery performed by VA with retained K-wire at the left foot operative site was noted. The Veteran's complaints included pain on standing and neuritic pain on palpation. X-ray films revealed excellent alignment of the first left toe with evidence of retained/buried/bent K-wire at the site of palpable pain in the area of a left foot scar. Cicatrix apparently due to K-wire pressure in the area of the scar was diagnosed and removal of the K-wire was suggested. In November 2009, an addendum was added to the original April 2009 VA examination report. It was clarified that X-ray film and photographs revealed a soft tissue deformity of the left 4th toe (reducible) with moderate dorsiflexion interfering with some footgear. It was also noted that the original operative site on the proximal interphalangeal joint of the left 4th toe was relatively rigid and is straight. The examiner opined that the current manifestations of the left 4th toe were more likely than not due to the March 2004 surgery, since the original deformity was corrected at the proximal interphalangeal joint. The examiner further opined that there was no indication of any deviation of the standard of care for the surgery and observed that the sequelae was relatively common from the original surgery, explaining that the original deforming force of the extensor digitorum longus on the proximal interphalangeal joint was transferred to the associated metatarsal phalangeal joint. Legal Analysis The Veteran maintains that surgery performed by the VAMC in Mountain Home, TN on March 9, 2004, caused pain and a deformity of the left 4th toe, described as the toe sticking up and not lying flat, as it reportedly did prior to the surgery. For the reasons that follow, the Board concludes that compensation under section 1151 is not warranted. Title 38, United States Code, Section 1151 provides that where a veteran suffers an injury or aggravation of an injury resulting in additional disability by reason of VA medical or surgical treatment, compensation shall be awarded in the same manner as if such disability were service connected. See Anderson v. Principi, 18 Vet. App. 371, 376 (2004); see also Kilpatrick v. Principi, 16 Vet. App. 1, 3 (2002). The Veteran does not contend, nor does the evidence reflect that consideration under any other theory of entitlement is warranted in conjunction with this appeal. Effective September 2, 2004, the regulations pertaining to claims for compensation pursuant to 38 U.S.C. § 1151 filed on or after October 1, 1997 were amended. See 69 Fed. Reg. 46,426 (Aug. 3, 2004). Those regulations implemented the provisions of 38 U.S.C. § 1151 and were codified at 38 C.F.R. § 3.361. The RO specifically provided notice of 38 C.F.R. § 3.361 to the Veteran in the Supplemental Statement of the Case issued in June 2007. Section 1151(a) grants compensation for qualifying disabilities to veterans in the same manner as if such disability were service-connected, under certain circumstances. See also 38 C.F.R. § 3.361 (2009). First, the disability must be caused by hospital care, medical or surgical treatment, or examination furnished the veteran by VA, and the proximate cause of the disability must be attributable to: (a) carelessness, negligence, lack of proper skill, error in judgment, or similar instance of fault on the part of VA in furnishing the hospital care, medical or surgical treatment, or examination; or (b) an event that was not reasonably foreseeable. 38 U.S.C.A. § 1151(a)(1); 38 C.F.R. § 3.361(d). To establish that carelessness, negligence, lack of proper skill, error in judgment, or similar instance of fault on VA's part in furnishing hospital care, medical or surgical treatment, or examination proximately caused a veteran's additional disability or death, it must be shown that the hospital care or medical or surgical treatment caused the veteran's additional disability or death; and (i) VA failed to exercise the degree of care that would be expected of a reasonable health care provider; or (ii) VA furnished the hospital care or medical or surgical treatment without the veteran's informed consent. See 38 C.F.R. § 3.361(d)(1) (2009). Whether the proximate cause of a veteran's additional disability or death was an event not reasonably foreseeable is in each claim to be determined based on what a reasonable health care provider would have foreseen. The event need not be completely unforeseeable or unimaginable but must be one that a reasonable health care provider would not have considered to be an ordinary risk of the treatment provided. In determining whether an event was reasonably foreseeable, VA will consider whether the risk of that event was the type of risk that a reasonable health care provider would have disclosed in connection with the informed consent procedures of 38 C.F.R. § 17.32. See 38 C.F.R. § 3.361(d)(2) (2009). Second, there must be evidence of additional disability, as shown by comparing the veteran's condition before and after the VA medical care in question. 38 C.F.R. § 3.361(b). In determining whether disability resulted from disease or injury or aggravation of an existing disease or injury suffered as a result of VA care, the evidence must show actual causation rather than coincidental occurrence. 38 C.F.R. § 3.361(c)(1). Finally, the disability must not be the result of willful misconduct. 38 U.S.C.A. § 1151(a); 38 C.F.R. § 3.301(c)(3). The Board must assess the credibility and weight of all evidence, including the medical evidence, to determine its probative value, accounting for evidence which it finds to be persuasive or unpersuasive, and providing reasons for rejecting any evidence favorable to the claimant. Equal weight is not accorded to each piece of evidence contained in the record; every item of evidence does not have the same probative value. When all the evidence is assembled, VA is responsible for determining whether the evidence supports the claim or is in relative equipoise, with the appellant prevailing in either event, or whether a preponderance of the evidence is against a claim, in which case, the claim is denied. Gilbert v. Derwinski, 1 Vet. App. 49 (1990). In this case, the medical evidence indicates that prior to the March 2004 surgery, hypertrophied head of the proximal phalanx of the left 4th toe was diagnosed. The surgical procedures which took place at a VAMC on March 9, 2004 included phalangeal head resection of the left 4th toe, intended to correct the original deformity/disability. Post surgery, X-ray films and photographs reveal evidence of a soft tissue deformity of the left 4th toe (reducible) with moderate dorsiflexion fixation, which has been causally attributed to the March 2009 surgery. To establish causation, the competent evidence must show that the hospital care, medical or surgical treatment, or examination resulted in the veteran's additional disability. Merely showing that a veteran received care, treatment, or examination, and that the veteran now has an additional disability does not establish a causal relationship between the two. See 69 Fed. Reg. 46,433-35, codified at 38 C.F.R. § 3.361(c)(1) (2009). The evidence in this case appears to show that a different deformity/disability of the 4th toe surfaced after and a result of the March 2004 surgery, replacing the original disability/deformity of the 4th left toe which existed prior to the surgery. As such, the currently claim deformity/disability of the left 4th toe does appear to represent additional disability which was the result of the VA treatment at issue. Accordingly, the critical inquiries involve the foreseeability of the additional disability and the standard of care provided by VA. Whether the proximate cause of a veteran's additional disability or death was an event not reasonably foreseeable is in each claim to be determined based on what a reasonable health care provider would have foreseen. The event need not be completely unforeseeable or unimaginable but must be one that a reasonable health care provider would not have considered to be an ordinary risk of the treatment provided. In determining whether an event was reasonably foreseeable, VA will consider whether the risk of that event was the type of risk that a reasonable health care provider would have disclosed in connection with the informed consent procedures of § 17.32 of this chapter. Under 38 C.F.R. § 17.32(b), except as otherwise provided, all patient care furnished under title 38 U.S.C. shall be carried out only with the full and informed consent of the patient or, in appropriate cases, a representative thereof. In order to give informed consent, the patient must have decision- making capacity and be able to communicate decisions concerning health care. Under 38 C.F.R. § 17.32(c), informed consent is the freely given consent that follows a careful explanation by the practitioner to the patient or the patient's surrogate of the proposed diagnostic or therapeutic procedure or course of treatment. The practitioner, who has primary responsibility for the patient or who will perform the particular procedure or provide the treatment, must explain in language understandable to the patient or surrogate the nature of a proposed procedure or treatment; the expected benefits; reasonably foreseeable associated risks, complications or side effects; reasonable and available alternatives; and anticipated results if nothing is done. The patient or surrogate must be given the opportunity to ask questions, to indicate comprehension of the information provided, and to grant permission freely without coercion. The practitioner must advise the patient or surrogate if the proposed treatment is novel or unorthodox. The patient or surrogate may withhold or revoke his or her consent at any time. Under 38 C.F.R. § 17.32(d), the informed consent process must be appropriately documented in the medical record. In addition, signature consent is required for all diagnostic and therapeutic treatments or procedures that require the use of sedation, anesthesia or narcotic analgesia; are considered to produce significant discomfort to the patient; have a significant risk of complication or morbidity; require injections of any substance into a joint space or body cavity; or involve testing for Human Immunodeficiency Virus (HIV). In this case, the most significant evidence pertaining to the matter of foreseeability consists of the opinion provided by a VA examiner in 2009, combined with documentation of the Veteran's informed consent to the surgery. In November 2009, a VA examiner explained the sequelae shown following the March 2004 surgery was relatively common from the original surgery, explaining that the original deforming force of the extensor digitorum longus on the proximal interphalangeal joint was transferred to the associated metatarsal phalangeal joint. This evidence indicates that the residuals which occurred after the March 2004 were reasonably foreseeable, as opposed to being unexpected. Further supporting a finding that the manifestations which occurred after the March 2009 were reasonably foreseeable is the consent form on file which was signed by the Veteran and her treating VA physician on March 3, 2004. This form indicated that the Veteran was made aware of the reasons for the surgery being undertaken, the alternatives in terms of care, the risks, and the benefits associated with the recommended care. This form indicated that the Veteran understood all of these elements and consented to the recommended procedure. While the specific risks and possible consequences/residuals of the surgery were not fully enumerated, the document certified that the Veteran's VA treatment provider(s) explained the treatment plan to the Veteran, including the nature of the treatment and the expected risks, benefits, and alternatives, and reflects that the Veteran understood and accepted the possible risks of the surgery as evidenced by her signature on the consent form. Thus in a general sense, she was made aware of the possibility that the surgery might not be entirely successful and that it was reasonably foreseeable that the surgery could result in some residual manifestations/symptoms. In addition, since a section 1151 claim is a claim for disability compensation, as with a claim for service connection, a veteran not only is required to establish that additional disability occurred following VA treatment but also must submit sufficient evidence of a causal nexus between that event and his or her current disability, i.e. that additional disability was due to negligent or otherwise substandard VA medical care, to be ultimately successful on the merits of the claim. See Wade v. West, 11 Vet. App. 302, 305 (1998); see also Jimison v. West, 13 Vet. App. 75, 77-78 (1999) (claim for benefits under 38 U.S.C. § 1151 must be supported by medical evidence of additional disability that resulted from VA hospitalization or medical or surgical treatment). In this case, the record is entirely negative for any competent medical evidence establishing or even suggesting fault or negligence on the part of VA in providing care to the Veteran in conjunction with the surgery performed on March 9, 2009. The Veteran maintains that the determination of VA treating personnel to leave a K-wire in her left foot in conjunction with the March 9, 2004 surgery, is indicative of fault, negligence or inadequate care. While the Veteran is correct in stating that the K-wire was retained in her foot following the surgery, there has been no competent medical evidence or opinion presented for the record which supports the Veteran's primary contention that the care provided by VA in March 2004 amounts to or was evidenced by carelessness, negligence, lack of proper skill, error in judgment, or a similar instance of fault. The file contains a medical opinion provided in November 2009 specifically addressing this matter, at which time a VA DPM (Doctor of Podiatric Medicine) reviewed the file and determined that there was no evidence of deviation from the standard of care for the March 2004 surgery shown in this case. The file contains no medical evidence or medical opinion to the contrary. In essence, the only evidence of record supporting the Veteran's contentions and claim with respect to the alleged inadequate standard of care by VA is her own lay opinion. The Veteran, however, has not been shown to possess the requisite medical training, expertise, or credentials needed to determine the appropriate standard of care or to assess the lack thereof. As such, this opinion lacks probative weight. In addition, the Veteran's opinion is not consistent with a medical opinion of record specifically sought to address the matter of whether there was any indication of fault, negligence or an inadequate standard of care in conjunction with the surgery undertaken by VA personnel in March 2004. As such, the November 2009 VA medical opinion is the most probative evidence as pertains to this issue. See Davidson v. Shinseki, 581 F.3d 1313, (Fed Cir. Sept. 14, 2009); Jandreau v. Nicholson, 492 F.3d 1372 1377 (Fed. Cir. 2007); Buchanan v. Nicholson, 451 F.3d 1331 (Fed. Cir. 2006). The Board finds that the preponderance of the evidence is against the Veteran's 38 U.S.C.A. § 1151 claim. Regardless of the question of causation, the Board observes that the current provisions of 38 U.S.C. § 1151 and 38 C.F.R. § 3.361, applicable in this case, require a showing of carelessness, negligence, lack of proper skill, error in judgment, or a similar instance of fault on the part of VA treatment providers. However, the record in this case contains no competent evidence or opinion which indicates or even suggests that the care provided by VA in March 2004 in conjunction with the surgical procedures of the feet undertaken at that time was in any way indicative of carelessness, negligence, lack of proper skill, error in judgment, or a similar instance of fault. Moreover, the record indicates that the occurrence of the additional disability claimed, was foreseeable. Consequently, the benefit-of- the-doubt rule does not apply, and the claim must be denied. 38 U.S.C.A. § 5107(b) (West 2002); Gilbert v. Derwinski, 1 Vet. App. 49, 55 (1990). [Continued on Next Page] ORDER Entitlement to compensation under the provisions of 38 U.S.C.A. § 1151 for a disorder of the left fourth toe, is denied. ____________________________________________ JONATHAN B. KRAMER Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs