Citation Nr: 1013167 Decision Date: 04/07/10 Archive Date: 04/14/10 DOCKET NO. 09-00 217 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Winston- Salem, North Carolina THE ISSUES 1. Entitlement to an increased disability rating for degenerative joint disease, lumbar spine, currently evaluated as 40 percent disabling. 2. Entitlement to a total disability evaluation based on individual unemployability due to service-connected disabilities (TDIU). ATTORNEY FOR THE BOARD F. Yankey, Associate Counsel INTRODUCTION The Veteran served on active duty from February 1978 to July 1996. This case comes before the Board of Veterans' Appeals (Board) on appeal of an October 2007 rating decision of the Department of Veterans Affairs (VA) Regional Office (RO) in Winston-Salem, North Carolina. The Board notes that in December 2009, prior to certification of the appeal to the Board, the North Carolina Division of Veterans Affairs revoked its representation of the Veteran. The issue of entitlement to a TDIU is addressed in the REMAND portion of the decision below and is REMANDED to the RO via the Appeals Management Center (AMC), in Washington, DC. FINDING OF FACT The Veteran's low back disability is manifested by forward flexion of the lumbar spine to 20 degrees with consideration of functional factors; there is no evidence of ankylosis. CONCLUSION OF LAW The criteria for a rating in excess of 40 percent for degenerative joint disease, lumbar spine have not been met. 38 U.S.C.A. § 1155 (West 2002); 38 C.F.R §§ 4.7, 4.71a, Diagnostic Code 5237, 5242, 5243 (2009). REASONS AND BASES FOR FINDING AND CONCLUSION The Veterans Claims Assistance Act of 2000 (VCAA), Pub. L. No. 106-475, 114 Stat. 2096 (Nov. 9, 2000) (codified at 38 U.S.C.A. §§ 5100, 5102, 5103, 5103A, 5106, 5107, 5126 (West 2002 & Supp. 2009) defined VA's duty to assist a Veteran in the development of a claim. VA regulations for the implementation of the VCAA were codified as amended at 38 C.F.R. §§ 3.102, 3.156(a), 3.159, 3.326(a) (2009). Under the VCAA, VA 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. Pelegrini v. Principi (Pelegrini II), 18 Vet. App. 112, 120-21 (2004), see 38 U.S.C.A. § 5103(a); 38 C.F.R. § 3.159(b). The United States Court of Appeals for Veterans Claims (Court) has also held that the VCAA notice requirements of 38 U.S.C.A. § 5103(a) and 38 C.F.R. § 3.159(b) apply to all five elements of a service connection claim. Those five elements include: 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/Hartman v. Nicholson, 19 Vet. App. 473 (2006). The Court had held that at a minimum, adequate VCAA notice in an increased rating claim required that VA notify the claimant that, to substantiate such a claim: (1) the claimant must provide, or ask VA to obtain, medical or lay evidence demonstrating a worsening or increase in severity of the disability and the effect that worsening has on the claimant's employment and daily life; (2) if the diagnostic code under which the claimant is rated contains criteria necessary for entitlement to a higher disability rating that would not be satisfied by the claimant demonstrating a noticeable worsening or increase in severity of the disability and the effect of that worsening has on the claimant's employment and daily life (such as a specific measurement or test result), the Secretary must provide at least general notice of that requirement to the claimant; (3) the claimant must be notified that, should an increase in disability be found, a disability rating will be determined by applying relevant diagnostic codes; and (4) the notice must also provide examples of the types of medical and lay evidence that the claimant may submit (or ask VA to obtain) that are relevant to establishing entitlement to increased compensation. Vazques-Flores v. Peake, 22 Vet. App. 37 (2008). The Federal Circuit has overturned the requirement that VA provide notice that the claim could be substantiated by evidence of a disability's impact on daily life and that VA provide notice with regard to potential diagnostic code criteria (element 2). Vazquez-Flores v. Shinseki, No. 08- 7150 (Fed. Cir. Sep. 4, 2009). In a June 2007 letter, issued prior to the initial adjudication of the claim, the RO or AMC notified the Veteran of the evidence needed to substantiate his claim for an increased rating. The letter told the Veteran that he could substantiate the claim with evidence that the disability had worsened. It satisfied the second and third elements of the duty to notify by informing the Veteran that VA would try to obtain medical records, employment records, or records held by other Federal agencies, but that he was nevertheless responsible for providing any necessary releases and enough information about the records to enable VA to request them from the person or agency that had them. The Veteran has substantiated his status as a Veteran. He was notified of all elements of the Dingess notice, and the surviving elements of Vazquez-Flores notice, including the disability-rating and effective-date elements of the claims, by the June 2007 and November 2008 letters. VCAA notice should be provided to a claimant before the initial unfavorable decision on a claim. Pelegrini v. Principi, 18 Vet. App. 112 (2004); see also Disabled American Veterans v. Secretary of Veterans Affairs, 327 F.3d 1339 (Fed. Cir. 2003). However, VA's notice requirements may, nonetheless, be satisfied if any errors in the timing or content of such notice are not prejudicial to the claimant. Id. There was a timing deficiency in that the November 2008 letter was sent after the initial adjudication of the claim. Mayfield v. Nicholson, 444 F.3d 1328 (Fed. Cir. 2006). The timing deficiency was cured by readjudication of the claim in a supplemental statements of the case issued in December 2008. Mayfield v. Nicholson, 499 F.3d 1317 (Fed. Cir. 2007). The Duty to Assist The VCAA also requires VA to make reasonable efforts to help a claimant obtain evidence necessary to substantiate his claim. 38 U.S.C.A. § 5103A; 38 C.F.R. § 3.159(c), (d). This "duty to assist" contemplates that VA will help a claimant obtain records relevant to his claim, whether or not the records are in Federal custody, and that VA will provide a medical examination or obtain an opinion when necessary to make a decision on the claim. 38 C.F.R. § 3.159(c)(4). VA has obtained records of treatment reported by the Veteran, including service treatment records and VA treatment records. Additionally, the Veteran was provided a VA examination in June 2007 for his low back disability. Although the examiner did not have access to the claims folder, the examination report contained the history and findings necessary to rate the disability under the criteria contained in the rating schedule. For the reasons set forth above, the Board finds that VA has complied with the VCAA's notification and assistance requirements. The appeal is thus ready to be considered on the merits. Legal Criteria Disability evaluations are determined by the application of VA's Schedule for Rating Disabilities (Rating Schedule), 38 C.F.R. Part 4 (2009). The percentage ratings contained 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; 38 C.F.R. § 4.1 (2009). Each disability must be considered from the point of view of the Veteran working or seeking work. 38 C.F.R. § 4.2 (2009). 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 required for that rating. Otherwise, the lower rating will be assigned. 38 C.F.R. § 4.7. In view of the number of atypical instances it is not expected, especially with the more fully described grades of disabilities, that all cases will show all the findings specified. Findings sufficiently characteristic to identify the disease and the disability therefrom, and above all, coordination of rating with impairment of function will, however, be expected in all instances. 38 C.F.R. § 4.21 (2009). Where entitlement to compensation already has been established and an increase in the disability rating is at issue, it is the present level of disability that is of primary concern. Francisco v. Brown, 7 Vet. App. 55, 58 (1994). Although a rating specialist is directed to review the recorded history of a disability in order to make a more accurate evaluation, see 38 C.F.R. § 4.2, the regulations do not give past medical reports precedence over current findings. Nevertheless, the Board acknowledges that a claimant may experience multiple distinct degrees of disability that might result in different levels of compensation from the time the increased rating claim was filed until a final decision is made. Hart v. Mansfield, 21 Vet. App. 505 (2007). The analysis in the following decision is therefore undertaken with consideration of the possibility that different ratings may be warranted for different time periods. Under the General Rating Formula for Diseases and Injuries of the Spine, with or without symptoms such as pain, whether or not it radiates, stiffness, or aching in the area of the spine affected by the residuals of injury or disease, a 10 percent evaluation is warranted for disability of the thoracolumbar spine when there is forward flexion of the thoracolumbar spine greater than 60 degrees but not greater than 85 degrees; or, combined range of motion of the thoracolumbar spine greater than 120 degrees but not greater than 235 degrees; or, muscle spasm, guarding, or localized tenderness not resulting in abnormal gait or abnormal spinal contour; or, vertebral body fracture with loss of 50 percent or more of the height. A 20 percent evaluation is warranted for disability of the thoracolumbar spine when there is forward flexion of the thoracolumbar spine greater than 30 degrees but not greater than 60 degrees; or, the combined range of motion of the thoracolumbar spine not greater than 120 degrees; or, muscle spasm or guarding severe enough to result in an abnormal gait or abnormal spinal contour such as scoliosis, reversed lordosis, or abnormal kyphosis. A 40 percent evaluation is warranted for disability of the thoracolumbar spine when there is forward flexion of the thoracolumbar spine to 30 degrees or less, or favorable ankylosis of the entire thoracolumbar spine. Unfavorable ankylosis of the entire thoracolumbar spine is evaluated as 50 percent disabling, and unfavorable ankylosis of the entire spine is evaluated as 100 percent disabling. 38 C.F.R. § 4.71a, Diagnostic Codes 5235-5237. The following notes accompany the General Rating Formula: Note (1): Evaluate any associated objective neurologic abnormalities, including, but not limited to, bowel or bladder impairment, separately, under an appropriate diagnostic code. Note (2): (See also Plate V.) For VA compensation purposes, normal forward flexion of the cervical spine is zero to 45 degrees, extension is zero to 45 degrees, left and right lateral flexion are zero to 45 degrees, and left and right lateral rotation are zero to 80 degrees. Normal forward flexion of the thoracolumbar spine is zero to 90 degrees, extension is zero to 30 degrees, left and right lateral flexion are zero to 30 degrees, and left and right lateral rotation are zero to 30 degrees. The combined range of motion refers to the sum of the range of forward flexion, extension, left and right lateral flexion, and left and right rotation. The normal combined range of motion of the cervical spine is 340 degrees and of the thoracolumbar spine is 240 degrees. The normal ranges of motion for each component of spinal motion provided in this note are the maximum that can be used for calculation of the combined range of motion. Note (3): In exceptional cases, an examiner may state that because of age, body habitus, neurologic disease, or other factors not the result of disease or injury of the spine, the range of motion of the spine in a particular individual should be considered normal for that individual, even though it does not conform to the normal range of motion stated in Note (2). Provided that the examiner supplies an explanation, the examiner's assessment that the range of motion is normal for that individual will be accepted. Note (4): Round each range of motion measurement to the nearest five degrees. Note (5): For VA compensation purposes, unfavorable ankylosis is a condition in which the entire cervical spine, the entire thoracolumbar spine, or the entire spine is fixed in flexion or extension, and the ankylosis results in one or more of the following: difficulty walking because of a limited line of vision; restricted opening of the mouth and chewing; breathing limited to diaphragmatic respiration; gastrointestinal symptoms due to pressure of the costal margin on the abdomen; dyspnea or dysphagia; atlantoaxial or cervical subluxation or dislocation; or neurologic symptoms due to nerve root stretching. Fixation of a spinal segment in neutral position (zero degrees) always represents favorable ankylosis. Note (6): Separately evaluate disability of the thoracolumbar and cervical spine segments, except when there is unfavorable ankylosis of both segments, which will be rated as a single disability. Id. Intervertebral disc syndrome is to be evaluated either under the general rating formula for diseases and injuries of the spine or under the formula for rating intervertebral disc syndrome based on incapacitating episodes, whichever method results in the higher evaluation when all disabilities are combined under 38 C.F.R. § 4.25. For intervertebral disc syndrome manifested by incapacitating episodes having a total duration of at least six weeks during the past 12 months, a 60 percent evaluation is warranted; with incapacitating episodes having a total duration of at least four weeks but less than six weeks during the past 12 months, a 40 percent evaluation is warranted; and with incapacitating episodes having a total duration of at least two weeks but less than four weeks during the past 12 months, a 20 percent evaluation is warranted. Note one states that an incapacitating episode is a period of acute signs and symptoms due to intervertebral disc syndrome that requires bed rest prescribed by a physician and treatment by a physician. See 38 C.F.R. § 4.71a, Diagnostic Code 5243. For disabilities evaluated on the basis of limitation of motion, VA is required to apply the provisions of 38 C.F.R. §§ 4.40, 4.45, pertaining to functional impairment. The Court has instructed that in applying these regulations VA should obtain examinations in which the examiner determined whether the disability was manifested by weakened movement, excess fatigability, incoordination, or pain. Such inquiry is not to be limited to muscles or nerves. These determinations are, if feasible, be expressed in terms of the degree of additional range-of-motion loss due to any weakened movement, excess fatigability, incoordination, flare-ups, or pain. DeLuca v. Brown, 8 Vet. App. 202 (1995); see also Johnston v. Brown, 10 Vet.App. 80, 84-5 (1997); 38 C.F.R. § 4.59 (2006). Factual Background In a February 1998 rating decision, the RO granted service connection for low back strain, and a 10 percent evaluation under Diagnostic Code 5295, effective August 1, 1996. In a January 1999 rating decision, the RO continued the 10 percent evaluation for his low back disability. In June 2007, the Veteran filed a claim for an increased rating for his service-connected low back disability, contending that the disability had gotten worse since his last rating. In response to his claim, the Veteran was afforded his most current VA examination later in June 2007. The examiner noted the Veteran's complaints of low back pain that had been so bad he was not able to bend due to back spasms. The Veteran also reported that he had stopped working in 2006 due to severe low back pain and that the VA was supposed to be issuing him a back brace. He indicated that his back pain did not radiate and the examiner noted that there was a history of falls, but no history of numbness, paresthesias, leg or foot weakness, unsteadiness or dizziness. The Veteran also complained of fatigue, decreased motion, stiffness, weakness, spasms and pain. He reported weekly flare-ups which lasted for 1-2 days, which were precipitated by certain movements and alleviated by rest and medication. The Veteran did not report any additional limitation of motion or other functional impairment during flare-ups. He did not use any devices or aids and he reported that he was able to walk 1/4 mile. As mentioned above, the Veteran reported that he had a back spasm so severe in December 2006 that he fell and had to go to the emergency room due to back pain. On physical examination, there was no spasm, atrophy or weakness. There was evidence of right and left guarding, tenderness and pain with motion. However, there was no abnormal gait or abnormal spinal contour. Muscle tone was normal and there was no muscle atrophy. Motor examination, sensory examination and reflex examination were all normal. There was no evidence of thoracolumbar spine ankylosis. Range of motion testing revealed flexion from 0 to 20 degrees; extension from 0 to 10 degrees; right lateral flexion from 0 to 10 degrees; left lateral flexion from 0 to 20 degrees; right rotation from 0 to 30 degrees; and left rotation from 0 to 20 degrees. There examiner noted that there was no additional limitation of motion on repetitive use. X-ray results revealed joint space narrowing and vacuum disc of L5/S1. On neurologic testing, the Veteran's motor strength, reflexes and sensation were normal. No neurologic abnormality was reported. The examiner's diagnosis was degenerative joint disease of the lumbar spine, and he noted that the disability had a severe effect on the Veteran's usual daily activities such as chores, shopping, exercise, recreation and traveling, a moderate effect on bathing, dressing, toileting and grooming, and a mild effect on feeding. The examiner also noted that the Veteran indicated that he was unemployed due to his retirement in 1996. Although the Veteran was eligible for retirement due to his age or duration of work; he reported that he retired from his full- time job as a driver due to low back pain. Based on the results of the June 2007 VA examination, the Veteran was granted an increased rating of 40 percent for degenerative joint disease of the lumbar spine, under Diagnostic Code 5237, effective June 6, 2007 In his April 2008 notice of disagreement, the Veteran argued that the assigned 40 percent rating did not consider functional loss due to pain on movement or the effect of his treating medication. VA outpatient treatment records from the VA Medical Center in Fayetteville, North Carolina dated from February 2007 to November 2007 show that the Veteran was fitted for lumbar supports in June 2007; that he requested a brace for occasional back pain in July 2007; and that he was issued a cane in October 2007. Analysis In order for the Veteran to receive a higher rating under the General Rating Formula for Diseases and Injuries of the Spine, there must be evidence of unfavorable ankylosis of the entire thoracolumbar spine or separately ratable neurologic disability. There was no evidence of ankylosis of the thoracolumbar spine on VA examination in June 2007 and treatment records from the VA Medical Center in Fayetteville, North Carolina are also negative for any evidence of ankylosis of the thoracolumbar spine. In addition, the Veteran has not reported ankylosis. The provisions of 38 C.F.R. §§ 4.40, 4.45 are not for consideration where the Veteran is in receipt of the highest rating based on limitation of motion and a higher rating requires ankylosis. Johnston v. Brown, 10 Vet. App. 80, 84- 5 (1997). The Veteran does not have ankylosis of the thoracolumbar spine, inasmuch as he retains the ability to move the spine and it has not been shown to be fixed. There is no other basis for a higher schedular rating for the orthopedic manifestations of the low back disability. Accordingly, the Board finds that a rating in excess of 40 percent is not warranted under the general criteria for rating injuries of the spine. The clinical and examination records also contain no evidence of neurologic impairment and the Veteran has not otherwise reported neurologic symptoms. Higher ratings are not available under the formula for rating intervertebral disc syndrome based on incapacitating episodes, as the Veteran denied any episodes of physician- prescribed bed rest, and there is no other evidence of prescribed bed rest. See 38 C.F.R. § 4.71a, Diagnostic Code 5243. Extra-schedular consideration Pursuant to § 3.321(b)(1), the Under Secretary for Benefits or the Director, Compensation and Pension Service, is authorized to approve an extraschedular evaluation if the case "presents such an exceptional or unusual disability picture with such related factors as marked interference with employment or frequent periods of hospitalization as to render impractical the application of the regular schedular standards." 38 C.F.R. § 3.321(b)(1) (2009). The question of an extraschedular rating is a component of a claim for an increased rating. See Bagwell v. Brown, 9 Vet. App. 337, 339 (1996). Although the Board may not assign an extraschedular rating in the first instance, it must specifically adjudicate whether to refer a case for extraschedular evaluation when the issue either is raised by the claimant or is reasonably raised by the evidence of record. Barringer v. Peake, 22 Vet. App. 242 (2008). If the evidence raises the question of entitlement to an extraschedular rating, the threshold factor for extraschedular consideration is a finding that the evidence before VA presents such an exceptional disability picture that the available schedular evaluations for that service- connected disability are inadequate. Therefore, initially, there must be a comparison between the level of severity and symptomatology of the claimant's service-connected disability with the established criteria found in the rating schedule for that disability. Thun v. Peake, 22 Vet. App. 111 (2008). Under the approach prescribed by VA, if the criteria reasonably describe the claimant's disability level and symptomatology, then the claimant's disability picture is contemplated by the rating schedule, the assigned schedular evaluation is, therefore, adequate, and no referral is required. In the second step of the inquiry, however, if the schedular evaluation does not contemplate the claimant's level of disability and symptomatology and is found inadequate, the RO or Board must determine whether the claimant's exceptional disability picture exhibits other related factors such as those provided by the regulation as "governing norms." 38 C.F.R. 3.321(b)(1) (related factors include "marked interference with employment" and "frequent periods of hospitalization"). The Veteran's disability, as discussed above, is manifested by symptomatology contemplated by the rating criteria, namely pain, and other functional impairment resulting in limitation of motion. Hence, referral for consideration of an extraschedular rating is not warranted. The weight of the evidence is against a finding that the Veteran's disability approximates the criteria for a higher rating and to the increased rating claim, apart from the TDIU claim discussed below, is denied. 38 U.S.C.A. § 5107(b); 38 C.F.R. §§ 4.7, 4.21 (2009). ORDER A rating in excess of 40 percent for degenerative joint disease, lumbar spine is denied. REMAND The Court has held that TDIU is an element of all appeals of an initial or increased rating. Rice v. Shinseki, 22 Vet. App. 447 (2009). TDIU is granted where a Veteran's service connected disabilities are rated less than total, but they prevent him from obtaining or maintaining all gainful employment for which his education and occupational experience would otherwise qualify him. 38 C.F.R. § 4.16 (2009). Where a Veteran: (1) submits evidence of a medical disability; (2) makes a claim for the highest rating possible; and (3) submits evidence of unemployability, the requirement in 38 C.F.R. § 3.155(a) (2001) that an informal claim "identify the benefit sought" has been satisfied and VA must consider whether the Veteran is entitled to a total rating for compensation purposes based on individual unemployability (TDIU). Roberson v. Principi, 251 F.3d 1378 (Fed. Cir. 2001). In this case the Veteran has satisfied each of these requirements. The Veteran has reported during VA outpatient treatment and on VA examination in June 2007 that he has been unemployed since 2006, and during the June 2007 examination, the Veteran reported that the unemployment was attributable to his low back disability. The Court has held that in the case of a claim for TDIU, the duty to assist requires that VA obtaining an examination which includes an opinion on what effect the appellant's service- connected disability has on his ability to work. Friscia v. Brown, 7 Vet. App. 294, 297 (1994). The most recent examiner recorded the Veteran's reports and opined that the degenerative joint disease of the lumbar spine does not prevent employment. However, the examiner did not give a rationale for his opinion. In addition, the Board notes that the Veteran's claims file and medical records were not reviewed by the examiner because they were not requested by the VA RO. Such a review would be helpful in assessing the Veteran's work history and his ability to maintain gainful employment. Accordingly, the case is REMANDED for the following action: 1. The examiner who provided the June 2007 VA examination should review the claims folder and provide an opinion as to whether the Veteran's back disability, together with his other service connected disabilities (sinusitis, hypertension, epididymitis, and headaches) would as likely as not (50 percent probability or more) prevent the Veteran from obtaining or retaining gainful employment for which he would otherwise be qualified. The examiner should provide a rationale for this opinion. If the examiner is not available, or otherwise unable to provide the necessary opinion, the Veteran should be afforded a VA examination so that the opinion can be obtained. 2. If there is evidence that the service connected disabilities preclude gainful employment, the case should be referred to the Director of VA's Compensation and Pension Service in accordance with 38 C.F.R. § 4.16(b) (2009). 3. If entitlement to TDIU remains denied, a supplemental statement of the case should be issued. The case should then be returned to the Board, if otherwise in order. The appellant has the right to submit additional evidence and argument on the matter or matters the Board has remanded. Kutscherousky v. West, 12 Vet. App. 369 (1999). This claim must be afforded expeditious treatment. The law requires that all claims that are remanded by the Board of Veterans' Appeals or by the United States Court of Appeals for Veterans Claims for additional development or other appropriate action must be handled in an expeditious manner. See 38 U.S.C.A. §§ 5109B, 7112 (West Supp. 2009). ______________________________________________ Mark D. Hindin Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs