Citation Nr: 1334534 Decision Date: 10/30/13 Archive Date: 11/06/13 DOCKET NO. 10-12 288 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Houston, Texas THE ISSUES 1. Whether new and material evidence has been submitted to reopen a claim of service connection for headaches. 2. Entitlement to service connection for asthma, claimed as residual of asbestos exposure. 3. Entitlement to service connection for inflammation of the right carpal ligament, to include as secondary to a service-connected right finger disability. 4. Entitlement to an increased rating for a right little finger disability, currently evaluated as 0 percent disabling. REPRESENTATION Appellant represented by: Disabled American Veterans WITNESS AT HEARING ON APPEAL The Veteran ATTORNEY FOR THE BOARD M. Sopko, Associate Counsel INTRODUCTION The Veteran had active service from August 1971 to May 1974. This matter comes before the Board of Veterans' Appeals (Board) on appeal from a June 2009 rating decision of the Department of Veterans Affairs (VA) Regional Office (RO) in Houston, Texas. The Veteran had a Travel Board hearing before the undersigned Veterans Law Judge in October 2012. A review of the Virtual VA paperless claims processing system does not reveal any additional documents pertinent to the present appeal. The issues of service connection for asthma, and whether new and material evidence has been received to reopen a claim for headaches are addressed in the REMAND portion of the decision below and are REMANDED to the RO via the Appeals Management Center (AMC), in Washington, DC. FINDINGS OF FACT 1. The Veteran is right-hand dominant (right handed), and his right finger disability affects his major hand. 2. The residuals of the right little finger disability are not shown to be productive of ascertainable functional impairment. 3. Apart from the residuals of a fracture of the right fifth metacarpal, the Veteran does not have any right hand disorder, to include carpal tunnel syndrome, that is related to service or to any other service-connected disorder. CONCLUSION OF LAW 1. The criteria for a compensable rating for a right little finger disability are not met. 38 U.S.C.A. § 1155 (West 2002); 38 C.F.R. §§ 3.321(b)(1), 4.2, 4.3, 4.7, 4.10, 4.14, 4.20, 4.21, 4.27, 4.40, 4.41, 4.45, 4.59, 4.69, 4.71a, Diagnostic Code 5230 (2013). 2. The criteria for the establishment of service connection for a right hand disorder to include carpal tunnel syndrome are not met. 38 U.S.C.A. §§ 1110, 1117 (West 2002); 38 C.F.R. §§ 3.2, 3.303, 3.317 (2013). REASONS AND BASES FOR FINDINGS AND CONCLUSION Introductory Matters In this decision, the Board will discuss the relevant law which it is required to apply. This includes statutes enacted by Congress and published in Title 38, United States Code ("38 U.S.C.A."); regulations promulgated by VA under the law and published in Title 38 of the Code of Federal Regulations ("38 C.F.R.") and the precedential rulings of the United States Court of Appeals for the Federal Circuit (Federal Circuit) (as noted by citations to "Fed. Cir.") and the United States Court of Appeals for Veterans Claims (Court) (as noted by citations to "Vet. App."). The Board is bound by statute to set forth specifically the issue under appellate consideration and its decision must also include separately stated findings of fact and conclusions of law on all material issues of fact and law presented on the record, and the reasons or bases for those findings and conclusions. 38 U.S.C.A. § 7104(d); see also 38 C.F.R. § 19.7 (implementing the cited statute); see also Vargas-Gonzalez v. West, 12 Vet. App. 321, 328 (1999); Gilbert v. Derwinski, 1 Vet. App. 49, 56-57 (1990) (the Board's statement of reasons and bases for its findings and conclusions on all material facts and law presented on the record must be sufficient to enable the claimant to understand the precise basis for the Board's decision, as well as to facilitate review of the decision by courts of competent appellate jurisdiction. The Board must also consider and discuss all applicable statutory and regulatory law, as well as the controlling decisions of the appellate courts). Duties to Notify and Assist 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. 2012); 38 C.F.R. §§ 3.102, 3.156(a), 3.159 and 3.326(a) (2012). Upon receipt of a complete or substantially complete application for benefits, VA is required to notify the Veteran and his representative, if any, of any information and medical or lay evidence that is necessary to substantiate the claim, and to indicate which information and evidence VA will obtain and which information and evidence the claimant is expected to provide. 38 U.S.C.A. § 5103(a); 38 C.F.R. § 3.159(b); Quartuccio v. Principi, 16 Vet. App. 183 (2002). VA has satisfied its duty to notify by issuing a notice letter in November 2008. This letter advised the Veteran of what evidence was required to substantiate his claims, and of his and VA's respective duties for obtaining evidence. This letter provided notice informing the Veteran that to substantiate his increased evaluation claim, he needed to submit evidence that his service-connected disability had increased in severity and advised him of the general requirements to establish service connection for a disability. A further letter was provided to the Veteran in March 2009. The duty to assist provisions of the VCAA have been met. The claims file contains service treatment records (STRs), reports of post-service medical treatment, and a reports of VA compensation examinations in March and May 2009. The examination was adequate because it was based on a thorough examination, a description of the Veteran's pertinent medical history, and appropriate diagnostic tests. The Veteran had a VA Travel Board Hearing in October 2012 before the undersigned Veterans Law Judge (VLJ). In Bryant v. Shinseki, 23 Vet. App. 488 (2010), the Court held that the hearing officer's duties under section 3.103(c)(2) are twofold. First, the hearing officer must explain fully the issues still outstanding that are relevant and material to substantiating the claim by explicitly identifying them for the claimant. Id., at 496. Second, the hearing officer must suggest that a claimant submit evidence on an issue material to substantiating the claim when such evidence is missing from the record or when the testimony at the hearing raises an issue for which there is no evidence in the record. Id., at 496-97. During the hearing, the VLJ engaged in an appropriate colloquy with the Veteran on the issues presently decided. The Veteran did not raise any new issues pertaining to this claim during the course of the hearing. See Bryant, 23 Vet. App. at 497-98. Thus, the Board finds that the hearing officer's two-fold duty to inform the Veteran of the outstanding issues relevant and material to the claim and to suggest the submission of evidence when such evidence is missing or has been overlooked has been satisfied. See id. at 496-97. The Veteran has not alleged that there were any deficiencies in the conducting of that hearing related to the hearing officer's duties under section 3.103(c)(2). See Bryant, 23 Vet. App. at 497-98. The Veteran has not made the RO or the Board aware of any additional evidence that must be obtained in order to fairly decide the appeal. He has been given ample opportunity to present evidence and argument in support of his claim. Pursuant to 38 C.F.R. § 3.655, all relevant evidence necessary for an equitable disposition of the Veteran's appeal has been obtained and the case is ready for appellate review. General due process considerations have been complied with by VA. See 38 C.F.R. § 3.103 (2012). The Relevant Law Disability ratings are determined by applying the criteria established in VA's Schedule for Rating Disabilities, which is based upon the average impairment of earning capacity. Individual disabilities are assigned separate Diagnostic Codes. 38 U.S.C.A. § 1155 (West 2002); 38 C.F.R. §§ 4.1, 4.20 (2012). When a question arises as to which of two ratings applies under a particular Diagnostic Code, the higher evaluation is assigned if the disability more nearly approximates the criteria for the higher rating; otherwise, the lower rating will be assigned. 38 C.F.R. § 4.7. Consideration must be given to increased evaluations under other potentially applicable Diagnostic Codes. Schafrath v. Derwinski, 1 Vet. App. 589, 595 (1991). After careful consideration of the evidence, any reasonable doubt remaining is resolved in favor of the Veteran. 38 C.F.R. § 4.3. The Veteran's entire history is to be considered when making disability evaluations. 38 C.F.R. § 4.1. Where an increase in the disability rating is at issue, as is the case here, the present level of the Veteran's disability is the primary concern. Francisco v. Brown, 7 Vet. App. 55, 58 (1994). The standard of proof to be applied in decisions on claims for veterans' benefits is set forth in 38 U.S.C.A. § 5107 (West 2002). A claimant is entitled to the benefit of the doubt when there is an approximate balance of positive and negative evidence. See 38 C.F.R. § 3.102. When a claimant seeks benefits and the evidence is in relative equipoise, the claimant prevails. See Gilbert v. Derwinski, 1 Vet. App. 49 (1990). The preponderance of the evidence must be against the claim for benefits to be denied. See Alemany v. Brown, 9 Vet. App. 518 (1996). The Board must determine the value of all evidence submitted, including lay and medical evidence. Buchanan v. Nicholson, 451 F.3d 1331 (Fed. Cir. 2006). However, although an obligation to provide sufficient reasons and bases in support of an appellate decision exists, there is no need to discuss, in detail, all of the evidence submitted by the Veteran or on his or her behalf. See Gonzales v. West, 218 F.3d 1378, 1380-81 (Fed. Cir. 2000) (holding that the entire record must be reviewed, but each piece of evidence does not have to be discussed); Timberlake v. Gober, 14 Vet. App. 122 (2000) (noting that the law requires only that reasons for rejecting evidence favorable to the claimant be addressed). The evaluation of evidence generally involves a 3-step inquiry. First, the Board must determine whether the evidence comes from a "competent" source. The Board must then determine if the evidence is credible, or worthy of belief. Barr v. Nicholson, 21 Vet. App. 303, 308 (2007) (observing that once evidence is determined to be competent, the Board must determine whether such evidence is also credible). The third step of this inquiry requires the Board to weigh the probative value of the proffered evidence in light of the entirety of the record. Competent lay evidence means any evidence not requiring that the proponent have specialized education, training, or experience. Lay evidence is competent if it is provided by a person who has knowledge of facts or circumstances and conveys matters that can be observed and described by a lay person. 38 C.F.R. § 3.159. Pertinent to a claim for an increased rating, lay testimony is competent when it describes symptoms, which supports a later diagnosis by a medical professional. Jandreau v. Nicholson, 492 F. 3d 1372 (Fed. Cir. 2007); see Proscelle v. Derwinski, 2 Vet. App. 629 (1992) (holding that, in general, for the need for a VA examination to arise, a claimant would only need submit his competent testimony that symptoms, reasonably construed as related to the service-connected disability, have increased in severity since the last evaluation.). In ascertaining the competency of lay evidence, the Courts have generally held that a layperson is not capable of opining on matters requiring medical knowledge. Routen v. Brown, 10 Vet. App. 183 (1997). In certain instances, however, lay evidence has been found to be competent with regard to a disease with "unique and readily identifiable features" that is "capable of lay observation." See, e.g., Barr v. Nicholson, 21 Vet. App. 303 (2007) (concerning varicose veins); see also Jandreau v. Nicholson, 492 F.3d 1372 (Fed. Cir. 2007) (a dislocated shoulder); Charles v. Principi, 16 Vet. App. 370 (2002) (tinnitus); Falzone v. Brown, 8 Vet. App. 398 (1995) (flatfeet). Laypersons have also been found to not be competent to provide evidence in more complex medical situations. See Woehlaert v. Nicholson, 21 Vet. App. 456 (2007) (concerning rheumatic fever). Competent medical evidence is evidence provided by a person who is qualified through education, training, or experience to offer medical diagnoses, statements, or opinions. Competent medical evidence may also include statements conveying sound medical principles found in medical treatises. It also includes statements contained in authoritative writings, such as medical and scientific articles and research reports or analyses. 38 C.F.R. § 3.159(a)(1). After determining the competency and credibility of evidence, the Board must then weigh its probative value. In this function, the Board may properly consider internal inconsistency, facial plausibility, and consistency with other evidence submitted on behalf of the claimant. Caluza v. Brown, 7 Vet. App. 498, 511-512 (1995), aff'd, 78 F.3d 604 (Fed. Cir. 1996) (per curiam) (table); see Madden v. Brown, 125 F.3d 1447 (Fed Cir. 1997) (holding that the Board has the "authority to discount the weight and probative value of evidence in light of its inherent characteristics in its relationship to other items of evidence"). Right Little Finger Although the Veteran contends that his right little finger disability is more severe than reflected by his current disability rating, the preponderance of the evidence is against the claim and the appeal will be denied. Ratings for functional impairment of the upper extremities depend on which extremity is the major extremity, i.e., the one predominantly used by the individual. Only one extremity is considered to be major and a person is presumed to be right-handed, unless there is evidence of left-handedness. 38 C.F.R. § 4.69. VA examination reports reveal the Veteran is right-handed. Therefore, the rating for his right finger disability is to be made on the basis of the right upper extremity being the major extremity. The Veteran's service-connected right little finger disability has been rated under Diagnostic Code 5224, ankylosis of the thumb, since the grant of service connection in July 2003. See 38 C.F.R. § 4.71a. While the Veteran's finger disorder should be evaluated under Diagnostic Code 5230 pertaining to limitation of motion of the little finger, the evaluation for the disorder nonetheless remains as noncompensable and the claim will be denied. The assignment of a particular diagnostic code is "completely dependent on the facts of a particular case." One diagnostic code may be more appropriate than another based on such factors as an individual's relevant medical history, the diagnosis and demonstrated symptomatology. See Butts v. Brown, 5 Vet. App. 532 (1993). Upon review of the record, the Board finds the Veteran's disability is more appropriately rated under Diagnostic Code 5230, limitation of motion of the little finger because of the digit involved and that there is no ankylosis. The Board further finds the Veteran was not prejudiced by his previous rating under Diagnostic Code 5224 because he would not have warranted a compensable rating under either Diagnostic Code 5224 or 5230. Under Diagnostic Code 5230, a noncompensable rating is warranted for any limitation of motion of the ring or little finger on the major or minor hand. Id. There is no higher disability evaluation available under Diagnostic Code 5230. Id. A compensable rating for a little finger disability requires amputation. See 38 C.F.R. § 4.71a, Diagnostic Code 5156. Under Diagnostic Code 5156, amputation of the little finger, a 10 percent evaluation is warranted for amputation of the ring finger on the major or minor hand, without metacarpal resection, at the proximal interphalangeal (PIP) joint or proximal thereto. 38 C.F.R. § 4.71a. It is noted that single finger amputation ratings are the only applicable ratings for amputations of whole or part of single fingers. 38 C.F.R. § 4.71a, at Note. In order for ankylosis to be rated as amputation, the condition must manifest with extremely unfavorable ankylosis. See Note (3)(i) preceding 38 C.F.R. § 4.71a, Diagnostic Code 5216, unfavorable ankylosis of five digits of one hand. In other words, in order to be evaluated as amputation, there must be ankylosis of both the metacarpalphalangeal (MP) and PIP joints either in extension or full flexion or with rotation or angulation of a bone. Id. Note (3)(ii) explains that if both the MP and PIP joints of a digit were ankylosed, it should be evaluated as unfavorable ankylosis even if each joint was individually fixed in a favorable position. Id., at Note (3)(ii). Note (3)(iii) indicates that if only the MP or PIP joints were ankylosed and there was a gap of more than 2 inches (5.1 cm.) between the fingertips and the proximal transverse crease of the palm, with the fingers flexed to the extent possible, the condition should be evaluated as unfavorable ankylosis. Id., at Note (3)(iii). Because this disability is rated on the basis of the extent it causes limitation of motion, VA adjudicators must also consider whether there is evidence of pain, weakened movement, premature or excess fatigability, or incoordination and determine the level of associated functional loss in light of 38 C.F.R. § 4.40, which requires VA to regard as "seriously disabled" any part of the musculoskeletal system that becomes painful on use. DeLuca v. Brown, 8 Vet. App. 202 (1995). Although 38 C.F.R. § 4.40 does not require a separate rating for pain, it does provide guidance for determining ratings under other diagnostic codes assessing musculoskeletal function. Painful motion is an important factor of disability, and it is the intention of the Rating Schedule to recognize actually painful, unstable, or malaligned joints, due to healed injury, as entitled to at least the minimum compensable rating for the joint. See 38 C.F.R. § 4.59; Burton v. Shinseki, 25 Vet. App. 1 (2011) (holding that 38 C.F.R. 4.59 is not limited to arthritis). Functional loss due to pain is rated at the same level as functional loss where motion is impeded. See Schafrath v. Derwinski, 1 Vet. App. 589, 592 (1991). Pursuant to § 4.59, painful motion should be considered limited motion, even though a range of motion may be possible beyond the point when pain sets in. See Powell v. West, 13 Vet. App. 31, 34 (1999); Hicks v. Brown, 8 Vet. App. 417, 421 (1995). A finding of functional loss due to pain, however, must be supported by adequate pathology and evidenced by the visible behavior of the Veteran. 38 C.F.R. § 4.40; Johnston v. Brown, 10 Vet. App. 80, 85 (1997). Moreover, although pain may cause functional loss, pain itself does not constitute functional loss. Mitchell v. Shinseki, 25 Vet. App. 32, 33, 43 (2011). Rather, pain must affect some aspect of "the normal working movements of the body," such as "excursion, strength, speed, coordination, and endurance," in order to constitute functional loss. Id. at 38; see 38 C.F.R. § 4.40. Therefore, not all painful motion constitutes limited motion. The Veteran was afforded a VA examination in March 2009. During that examination, he stated his right hand was painful constantly - however as is noted below, the claim of service connection for bilateral carpal tunnel syndrome is presently denied. The examiner continued the diagnosis of "status post fracture head 5th metacarpal, right hand." The examiner did not find ankylosis of the finger. The examiner noted the Veteran could tie shoelaces, fasten buttons, and pick up a piece of paper without difficulty. The examiner further noted the right hand strength was "within normal limits." The examiner found there was flexion at the distal interphalangeal (DIP) joint at 70 degrees, flexion at the PIP joint at 110 degrees, and flexion at the MP joint at 90 degrees. The examiner also noted the right little finger was not "additionally limited by pain, fatigue, weakness, lack of endurance, or incoordination after repetitive use." The examiner concluded the "effect of the condition on the claimant's daily activity is minimal." The evidence shows that the Veteran does not have any ankylosis of the right little finger. Thus, his disability may not be rated as an amputation. 38 C.F.R. § 4.71, Note (3)(iii) preceding Diagnostic Code 5216. Thus, he is not entitled to a compensable evaluation under Diagnostic Codes 5156, 5227, or 5230. 38 C.F.R. § 4.71a, Diagnostic Codes 5155, 5227, 5230. Further, there is no evidence to show that the Veteran has limitation of motion of other digits due to his right little finger disability, or that it interferes with the overall function of his hand. Therefore, an additional evaluation is not warranted. 38 C.F.R. § 4.71a, Diagnostic Code 5227 at Note. The Board has considered whether an increased disability rating is warranted for his right little finger disability based on functional loss due to pain, weakness and flare-ups, pursuant to 38 C.F.R. §§ 4.40 and 4.45 and the Court's holding in DeLuca v. Brown, 8 Vet. App. 202 (1995). However, in Johnston v. Brown, 10 Vet. App. 80, 85 (1997), the Court determined that if a claimant is already receiving the maximum disability rating available based on symptomatology that includes limitation of motion, it is not necessary to consider whether 38 C.F.R. §§ 4.40 and 4.45 are applicable. In this case, the Veteran is receiving a noncompensable evaluation for his right little finger disability under either Diagnostic Code 5230. This is the maximum rating allowable. Accordingly, the aforementioned provisions of 38 C.F.R. § 4.40 and § 4.45 are not for consideration. The Veteran has not raised, and the evidence does not suggest that referral for an extra-schedular evaluation is warranted. The Veteran's symptoms are addressed by the rating criteria discussed above, and such a referral is appropriate where a service-connected disability presents an exceptional or unusual disability picture with marked interference with employment or frequent periods of hospitalization that render impractical the application of the regular schedular standards. Floyd v. Brown, 9 Vet. App. 88, 94 (1996). An exceptional or unusual disability picture occurs where the diagnostic criteria do not reasonably describe or contemplate the severity and symptomatology of the Veteran's service-connected disability. Thun v. Peake, 22 Vet. App. 111, 115 (2008). If there is an exceptional or unusual disability picture, then the Board must consider whether the disability picture exhibits other factors such as marked interference with employment and frequent periods of hospitalization. Id. at 115-116. When those two elements are met, the appeal must be referred for consideration of the assignment of an extraschedular rating. Otherwise, the schedular evaluation is adequate, and referral is not required. 38 C.F.R. § 3.321(b)(1); Thun, 22 Vet. App. at 116. In this case, the schedular evaluation is not inadequate. Evaluations in excess of those assigned are provided for certain manifestations of the service-connected disability at issue, but the medical evidence reflects that those manifestations are not present in this case. Additionally, the diagnostic criteria adequately describe the severity and symptomatology of the Veteran's service-connected disabilities. Service Connection for a Right Hand Disorder, Claimed as Carpal Tunnel Ligament Inflammation The Veteran essentially argues that his service-connected right little finger fracture has caused or aggravated his now diagnosed right carpal tunnel disorder. The preponderance of the evidence is against the claim and the appeal will be denied. To establish service connection, the record must contain: (1) medical evidence of a current disability, (2) medical evidence, or in certain circumstances, lay testimony of an in-service incurrence or aggravation of an injury or disease, and (3) medical evidence of a nexus between the current disability and the in-service disease or injury. Pond v. West, 12 Vet.App. 341 (1999); Caluza v. Brown, 7 Vet.App. 498 (1995). In order to establish service connection for a claimed disability on a secondary basis, the same criteria under prongs 1 and 2 apply - however as to the "nexus" requirement, there must be medical evidence of a nexus between the service-connected disease or injury and the current disability. Wallin v. West, 11 Vet.App. 509 (1998). VA is also require to consider whether the service-connected disorder aggravated, or permanently worsened, the disorder for which the veteran seeks service connection. There is no competent evidence of such a connection linking, either causally or by aggravation, the Veteran's service-connected little finger fracture to his carpal tunnel disorder. The Veteran was provided a VA examination in May 2009. After a review of all of the evidence, and being asked whether there was any such causal or aggravational linkage, the examiner found that there was "no connection" between the disorders in question. Instead, the examiner found that the Veteran's carpal ligament disorder was caused by "repetitive action." There is no competent evidence against this finding. The Veteran has no medical training, and the question of such a linkage is one that is quintessentially one that requires medical evidence. Although the Veteran through his representative argued during the October 2012 hearing that the examination results are unclear and contradictory, the Board's reading of the examination report indicates no inconsistency. The preponderance of the evidence is against the claim, and the appeal is denied. ORDER A higher (compensable) rating for the service-connected right little finger disability is denied. Service connection for a right hand disorder claimed as right carpal ligament inflammation is denied. REMAND The Veteran testified during the October 2012 Travel Board Hearing that he had recently been treated for his headache disorder at a VA facility and that he is receiving benefits from the Social Security Administration (SSA). VA must obtain and consider these records. As to the claim of service connection for asthma, the Veteran indicated in October 2012 that he was about to obtain a medical opinion which linked his disorder to service. Accordingly, the case is REMANDED for the following action: 1. The RO/AMC must obtain the Veteran's SSA records pertaining to disability and associate them with the electronic and or paper claims file. 2. Ascertain if the Veteran has any further lay or medical evidence in support of his claims of service connection for a headache disorder or service connection for asthma. Provide the Veteran with an opportunity to submit any such evidence. Ask the Veteran to identify all records of VA and non-VA health care providers who have treated him for headaches. (a) After obtaining any appropriate authorizations for release of any private medical information, the RO/AMC must seek to obtain records from each private health care provider the Veteran identifies. (b) In addition, any recent, relevant VA treatment records must be secured. Specifically, all treatment records from the San Antonio VA Medical Center, dated between March 2006 and January 2008, and from December 2008 to present must be obtained. (c) The Veteran must also be advised that with respect to private medical evidence he may alternatively obtain the records on his own and submit them to the RO/AMC. 3. Readjudicate the claims, and consider whether further medical development is required. If the claims remain denied, provide the Veteran and his representative with a supplemental statement of the case and allow an appropriate time for response. 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. 2012). ______________________________________________ Vito A. Clementi Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs