Citation Nr: 0636121 Decision Date: 11/20/06 Archive Date: 11/28/06 DOCKET NO. 04-04 908 ) DATE ) ) On appeal from the Department of Veterans Affairs Regional Office in Atlanta, Georgia THE ISSUES 1. Entitlement to an initial rating in excess of 10 percent for patella alta chondromalacia of the left knee, to include a claim of entitlement to a compensable rating prior to March 13, 2001. 2. Entitlement to an initial rating in excess of 10 percent for patella alta chondromalacia of the right knee, to include a claim of entitlement to a compensable rating prior to March 28, 2000. REPRESENTATION Appellant represented by: Disabled American Veterans WITNESS AT HEARING ON APPEAL Appellant ATTORNEY FOR THE BOARD Rebecca Feinberg, Associate Counsel INTRODUCTION The veteran had active service from July 1976 to November 1978. This matter comes to the Board of Veterans' Appeals (Board) on appeal from a February 2001 rating decision of the above Department of Veterans Affairs (VA) Regional Office (RO). In February 2002, the veteran testified before a Veterans Law Judge regarding his claim for service connection for the above-listed issues. A transcript of the hearing is of record. That Veterans Law Judge is no longer with the Board. In March 2005, the veteran testified before the undersigned Veterans Law Judge at a Travel Board hearing at the RO, regarding his claims for increased ratings. A transcript of the hearing is associated with the claims file. These claims were previously before the Board, and were remanded in July 2005. They are now properly before the Board. FINDINGS OF FACT 1. The veteran's left knee patella alta chondromalacia was characterized by no diagnosis other than patellofemoral pain prior to March 13, 2001. 2. Beginning on March 13, 2001, the veteran's left knee patella alta chondromalacia is characterized by a diagnosis of degenerative joint disease, subjective reports of giving way, the use of a brace, and flexion limited to 70 degrees after repetitive testing. 3. The veteran's right knee patella alta chondromalacia was characterized by diagnoses of mild degenerative changes, arthritis, and patellofemoral pain, prior to March 28, 2000. 4. Beginning June 1, 2000, the veteran's right knee patella alta chondromalacia is characterized by subjective complaints of pain and giving way, the use of a brace, and flexion limited to no more than 80 degrees, even when considering repetitive motion. CONCLUSIONS OF LAW 1. The criteria for an initial rating in excess of 10 percent for patella alta chondromalacia of the left knee, to include a claim of entitlement to a compensable rating prior to March 13, 2001, are not met. 38 U.S.C.A. § 1155 (West 2002 & Supp. 2006); 38 C.F.R. §§ 4.2, 4.7, 4.10, 4.71a, Diagnostic Codes 5003, 5256-5263 (2006). 2. The criteria for an initial rating in excess of 10 percent for patella alta chondromalacia of the right knee, to include a claim of entitlement to a compensable rating prior to March 28, 2000, are not met. 38 U.S.C.A. § 1155 (West 2002 & Supp. 2006); 38 C.F.R. §§ 4.2, 4.7, 4.10, 4.71a, Diagnostic Codes 5003, 5256-5263 (2006). REASONS AND BASES FOR FINDINGS AND CONCLUSIONS I. Duty 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. 2006); 38 C.F.R. §§ 3.102, 3.156(a), 3.159, 3.326(a) (2006). Upon receipt of a complete or substantially complete application for benefits, VA is required to notify the claimant and his representative of any information, and any medical or lay evidence, that is necessary to substantiate the claim. 38 U.S.C.A. § 5103(a); 38 C.F.R. § 3.159(b); 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) that the claimant is expected to provide; and (4) must ask the claimant to provide any evidence in 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 RO decision on a claim. Pelegrini v. Principi, 18 Vet. App. 112 (2004); see Mayfield v. Nicholson, 444 F.3d 1328 (Fed. Cir. 2006). In the present case, this was not done. Here, the Board finds that any defect with respect to the timing of the VCAA notice requirement was harmless error. Although the notice was provided to the veteran after the initial adjudication, the veteran has not been prejudiced thereby. The content of the notice provided to the veteran fully complied with the requirements of 38 U.S.C.A. § 5103(a) and 38 C.F.R. § 3.159(b) regarding VA's duty to notify. Not only has the veteran been provided with every opportunity to submit evidence and argument in support of his claim and to respond to VA notices, but the actions taken by VA have essentially cured the error in the timing of notice. Further, the Board finds that the purpose behind the notice requirement has been satisfied because the veteran has been afforded a meaningful opportunity to participate effectively in the processing of his claims. For these reasons, it is not prejudicial to the veteran for the Board to proceed to finally decide this appeal. In the Mayfield case, the U.S. Court of Appeals for the Federal Circuit addressed the meaning of prejudicial error (38 U.S.C.A. § 7261(b)), what burden each party bears with regard to the Court's taking due account of the rule of prejudicial error, and the application of prejudicial error in the context of the VCAA duty to notify (38 U.S.C.A. § 5103(a)). The Federal Circuit held, in effect, that the Board must specify what documents satisfy the duty to provide notice to a claimant, and that the Court of Appeals for Veterans Claims must, if a case is appealed to the Court, specifically review the Board's findings regarding such notice. Considering the decisions in Pelegrini and Mayfield, the Board finds that the requirements of the VCAA have been satisfied in this matter, as discussed below. In January 2003 and August 2005 letters, the RO informed the veteran of its duty to assist him in substantiating his claims under the VCAA, and the effect of this duty upon his claims. We therefore believe that appropriate notice has been given in this case. See Charles v. Principi, 16 Vet. App. 370, 373-74 (2002). As the Federal Circuit Court has stated, it is not required "that VCAA notification must always be contained in a single communication from the VA." Mayfield, supra, 444 F.3d at 1333. The Board concludes that the notifications received by the veteran adequately complied with the VCAA and subsequent interpretive authority, and that he has not been prejudiced in any way by the notice and assistance provided by the RO. Likewise, it appears that all obtainable evidence identified by the veteran relative to his claims has been obtained and associated with the claims file, and that neither he nor his representative has identified any other pertinent evidence, not already of record, which would need to be obtained for a fair disposition of this appeal. Thus, for these reasons, any failure in the timing or language of VCAA notice by the RO constituted harmless error. See also Conway v. Principi, 353 F.3d 1359, 1374 (2004), holding that the Court of Appeals for Veterans Claims must "take due account of the rule of prejudicial error." Accordingly, we find that VA has satisfied its duty to assist the veteran in apprising him as to the evidence needed, and in obtaining evidence pertaining to his claims, under both former law and the VCAA. The Board, therefore, finds that no useful purpose would be served in remanding this matter for yet more development. Such a remand would result in unnecessarily imposing additional burdens on VA, with no additional benefit flowing to the veteran. The Court of Appeals for Veterans Claims has held that such remands are to be avoided. See Winters v. West, 12 Vet. App. 203 (1999) (en banc), vacated on other grounds sub nom. Winters v. Gober, 219 F.3d 1375 (Fed. Cir. 2000); Soyini v. Derwinski, 1 Vet. App. 540, 546 (1991); Sabonis v. Brown, 6 Vet. App. 426, 430 (1994). See also Livesay v. Principi, 15 Vet. App. 165, 178 (2001) (en banc). In addition to the foregoing harmless-error analysis, to whatever extent the recent decision of the Court in Dingess v. Nicholson, 19 Vet. App. 473 (2006), requires more extensive notice in claims for compensation, e.g., as to potential downstream issues such as disability rating and effective date, the Board finds no prejudice to the veteran in proceeding with the present decision. Given the extensive communication between the RO and the veteran, the veteran's two Board hearings, and the highly qualified representation provided to the veteran, the Board finds no prejudice to the veteran in proceeding with this case. Furthermore, there is no indication that there are any outstanding records to obtain. It is the Board's responsibility to evaluate the entire record on appeal. See 38 U.S.C.A. § 7104(a). When there is an approximate balance in the evidence regarding the merits of an issue material to the determination of the matter, the benefit of the doubt in resolving each such issue shall be given to the claimant. 38 U.S.C.A. § 5107(b); 38 C.F.R. § 3.102. In Gilbert v. Derwinski, 1 Vet. App. 49, 53 (1990), the Court of Appeals for Veterans Claims held that an appellant need only demonstrate that there is an "approximate balance of positive and negative evidence" in order to prevail. The Court has also stated, "It is clear that to deny a claim on its merits, the evidence must preponderate against the claim." Alemany v. Brown, 9 Vet. App. 518, 519 (1996), citing Gilbert. II. Applicable Law Disability ratings are based upon schedular requirements that reflect the average impairment of earning capacity occasioned by the state of a disorder. 38 U.S.C.A. § 1155 (West 2002 & Supp. 2006). Separate rating codes identify the various disabilities. 38 C.F.R. Part 4 (2006). In determining the level of impairment, the disability must be considered in the context of the entire recorded history, including service medical records. 38 C.F.R. § 4.2. An evaluation of the level of disability present must also include consideration of the functional impairment of the veteran's ability to engage in ordinary activities, including employment. 38 C.F.R. § 4.10. Also, 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. The veteran's right and left knee disabilities are rated under the criteria of 38 C.F.R. § 4.71a, Diagnostic Code (DC) 5299-5003. The veteran's specific diagnoses are not listed in the Rating Schedule. Therefore, the RO assigned DC 5299 pursuant to 38 C.F.R. § 4.27, which provides that unlisted disabilities requiring rating by analogy will be coded first the numbers of the most closely related body part and "99." See 38 C.F.R. § 4.20. The RO determined that the most closely analogous diagnostic code is 38 C.F.R. § 4.71a, DC 5003, for degenerative arthritis. Under Diagnostic Code 5003, degenerative arthritis established by X-ray findings will be rated on the basis of limitation of motion under the appropriate diagnostic does for the specific joint or joints involved. When, however, the limitation of motion of the specific joint or joints involved is noncompensable under the appropriate diagnostic codes, a rating of 10 percent is for application for each such major joint or group of minor joints affected by limitation of motion, to be combined, not added. Id. In the absence of limitation of motion, a 20 percent disability rating is for application with X-ray evidence of involvement of two or more major joints or two or more minor joint groups, with occasional incapacitating exacerbations and a 10 percent evaluation is for application with x-ray evidence of involvement of two or more major joints or two or more minor joint groups. Id. Under Diagnostic Code 5260, flexion of the leg is rated noncompensable when limited to 60 degrees, 10 percent when limited to 45 degrees, 20 percent when limited to 30 degrees, and 30 percent when limited to 15 degrees. Under DC 5261, extension of the leg is rated noncompensable when limited to 5 degrees, 10 percent when limited to 10 degrees, 20 percent when limited to 15 degrees, 30 percent when limited to 20 degrees, 40 percent when limited to 30 degrees, and 50 percent when limited to 45 degrees. Under DC 5257, recurrent subluxation or lateral instability of the knee is rated 10 percent when slight, 20 percent when moderate, and 30 percent when severe. The Board notes that 38 C.F.R. §§ 4.40 and 4.45 and DeLuca v. Brown, 8 Vet. App. 202 (1995), require us to consider the veteran's pain, swelling, weakness, and excess fatigability when determining the appropriate disability evaluation for a disability using the limitation-of-motion diagnostic codes. Within this context, a finding of functional loss due to pain must be supported by adequate pathology, and evidenced by the visible behavior of the claimant. Johnston v. Brown, 10 Vet. App. 80, 85 (1997). However, under Spurgeon v. Brown, 10 Vet. App. 194 (1997), the Board is not required to assign a separate rating for pain. The Board here notes that this is a case in which the veteran has expressed continuing disagreement with the initial rating assignments. In general, when an increase in the disability rating is at issue, it is the present level of disability that is of primary concern. See Francisco v. Brown, 7 Vet. App. 55, 58 (1994). However, when the current appeal arose from the initially assigned rating, consideration must be given as to whether staged ratings should be assigned to reflect entitlement to a higher rating at any point during the pendency of the claim. Fenderson v. West, 12 Vet. App. 119 (1999). III. Left Knee The veteran's left knee disability is rated as noncompensable from April 22, 1999, and at10 percent from March 13, 2001. A July 1999 VA X-ray report of both knees shows no left knee diagnosis. A February 2000 VA outpatient treatment record shows the veteran complained of and was diagnosed with patellofemoral pain in his left knee. These are the only two medical records regarding the veteran's left knee dated prior to March 13, 2001. There is no documented diagnosis of degenerative joint disease during this time. Since the veteran was not diagnosed with arthritis until March 2001, the Board finds that his left knee disability does not warrant a compensable evaluation under Diagnostic Code 5003 prior to that date. The July 1999 X-ray report specifically shows a diagnosis of arthritis in the right knee and no diagnosis with regard to the left knee. Therefore, the Board finds that the veteran did not manifest this disorder prior to the March 13, 2001, treatment record. In addition, the veteran's disability does not warrant a compensable evaluation prior to March 13, 2001, under any other diagnostic code. No limited motion was noted, and there is no evidence of instability or subluxation of the left knee during the pertinent period. Patellofemoral pain was the only diagnosis offered regarding the left knee prior to March 13, 2001. Therefore, a compensable evaluation is not warranted for that time period. March 2001 VA outpatient records show the veteran complained of chronic pain in both knees. He was diagnosed with degenerative joint disease of the left knee. March and April 2001 VA records show the veteran received physical therapy for both of his knees. An April 2003 VA treatment record shows the veteran wore braces on both knees. In November 2003, he underwent VA examination. He said his knees sometimes gave way. His left knee pain was eight out of ten, and he stated they were weak and stiff. He used a brace on his knee. On examination, extension was to 0 degrees. Flexion was to 80 degrees, at which point there was pain. Drawer sign was negative. There was mild medial laxity. There were increased symptoms into the front of the knee with flexion and extension. This was exacerbated by applying pressure. X-rays showed evidence of minor osteoarthritis. The diagnosis was mild degenerative joint disease and femoropatellar pain syndrome of the left knee. February and June 2004 VA clinical records show the veteran complained of chronic pain in his knees. He used braces and a walking stick. His knee gave out. On examination, range of motion was restricted. A September 2004 VA treatment record shows the veteran complained of knee pain. On X-ray, he had marked narrowing of the medial compartment of the left knee. He was told to use a brace to prevent further damage. During his March 2005 Board hearing, the veteran described grinding in his knee joints, instability, and falling. He also experienced locking and popping in his knees. His knees were weak and gave way. The veteran recently got a brace for his left knee, which he wore all day. His knees swelled, and he used ice. In February 2006, the veteran again underwent VA examination. He stated he had increased intensity and frequency of pain. He complained of weakness and giving way, causing him to fall. On examination, the left knee extended to 0 degrees. It flexed to 85 degrees, at which point he stated he could go no further because of pain. Repetition was performed five times with increasing pain, fatigability, and lack of endurance demonstrated. On the fifth repetition, flexion was limited to 70 degrees with pain. There was negative McMurray and drawer sign. The knee was considered stable. The diagnosis was mild degenerative joint disease and patellofemoral pain syndrome of the left knee. With regard to the criteria associated with Diagnostic Code 5003, the evidence shows that in November 2003 the veteran's extension was to 0 degrees, and his flexion was to 80 degrees. He had pain at that point. The symptoms were increased with flexion, extension, and pressure. The February 2006 VA examination report shows the left knee had extension to 0 degrees and flexion to 85 degrees. Fatigability and lack of endurance did affect the veteran's range of motion. After repetition, the veteran could only flex to 70 degrees. In order to warrant an increase to a 20 percent disability evaluation, the veteran must demonstrate extension limited to 15 degrees or flexion limited to 30 degrees. Evaluating the record, the Board finds that, even considering the criteria associated with DeLuca v. Brown, supra, there is no evidence that the veteran ever demonstrated extension or flexion limited enough to warrant a 20 percent disability rating. In fact, even when the Board considers the effect of pain, fatigability, lack of endurance, and pain on motion, the veteran's left knee disability warrants a noncompensable rating under the criteria of DCs 5260 and 5261. In addition, under Diagnostic Code 5003, an increase to a 20 percent disability rating is not warranted because only the veteran's left knee is at issue. In order to warrant a 20 percent disability rating, the Board would have to rate the veteran's left and right knees together, resulting in the same level of benefits to the veteran. With regard to evaluating the veteran for instability, the veteran first mentioned that his knees sometimes gave way during his November 2003 VA examination. He stated that he had braces for both knees but did not wear them to the examination. There was a negative drawer sign, and the examiner noted mild medial laxity bilaterally. In a February 2004 VA outpatient record, the veteran indicated that his knee gave out, and he used a brace and a cane. A September 2004 outpatient record shows that he was given a brace to prevent further damage to his left knee. During his February 2006 VA examination, he indicated that he had weakness, and his knees gave way, causing him to fall. The examiner also noted the veteran had a negative drawer sign. The knee was considered stable. The veteran testified in March 2005 that his knees would give way and he would fall. Based upon the evidence of record, the Board finds that the evidence shows no more than slight lateral instability of the veteran's left knee. Only once was the veteran's instability diagnosed by a physician, and at that time, it was described as mild. While the veteran has reported that he experiences giving way of his knee, there is no evidence that this occurs with such frequency as to demonstrate moderate laxity of the left knee. Therefore, an increase is not warranted under the applicable diagnostic code. Furthermore, the veteran has never been diagnosed with ankylosis, dislocated cartilage, or nonunion or malunion of the tibia and fibula of his left knee. Therefore, an increased rating is not warranted under these rating criteria. Consequently, the Board finds that the evaluation assigned in this decision adequately reflects the clinically established impairment experienced by the veteran. As the evidence preponderates against the claim for a compensable rating prior to March 13, 2001, and a 10 percent rating thereafter, for the veteran's left knee patella alta chondromalacia, the benefit-of-the-doubt doctrine is inapplicable, and an increased rating must be denied. 38 U.S.C.A. § 5107(b); Gilbert, supra. IV. Right Knee The veteran's right knee patella alta with chondromalacia was rated as noncompensable from April 22, 1999, to March 27, 2000; 100 percent from March 28, 2000, to May 31, 2000 (a convalescence rating); and 10 percent from June 1, 2000. Since the veteran was rated 100 percent for a certain period of time, and that is the maximum disability evaluation, the Board will not evaluate the veteran's disability for that period. For the period of time prior to March 28, 2000, the evidence shows that July 1999 VA X-rays resulted in a diagnosis of mild degenerative changes of the right patella. There was no evidence of knee joint effusions or loose bodies. A February 2000 VA outpatient record shows the veteran had arthritis and patellofemoral pain syndrome of his knee. A March 20, 2000 X-ray report shows no evidence of fracture or dislocation of the right knee. The diagnosis was mild hypertrophic change within the tibial spines and posterior patella. Otherwise, the knee was within normal limits. For the time period between April 22, 1999, and March 27, 2000, the Board finds that the veteran's right knee disability does not warrant a compensable rating. Specifically, while the veteran has X-ray evidence of degenerative joint disease of the right knee, there is no evidence during that time period of any limitation of motion. In addition, the only joint involved in this discussion is the veteran's right knee. Therefore, he is not entitled to a 10 percent disability evaluation under Diagnostic Code 5003. In addition, during that time period, the veteran demonstrated no other diagnoses or symptoms related to his right knee disability. Therefore, a compensable evaluation is not warranted. The evidence of record beginning June 1, 2000, includes March and April 2001 VA outpatient and physical therapy reports showing pain and giving way of his right knee. He had advanced degenerative joint disease changes of the right knee. Upon November 2003 VA examination, he complained that his knees sometimes gave way. He complained of ongoing pain. Extension was to 0 degrees, and flexion was to 80 degrees, with pain. There was a negative drawer sign and mild medial laxity bilaterally. Symptoms were exacerbated with pressure. The diagnosis was mild degenerative joint disease and femoropatellar pain syndrome of the right knee. February, June, and September 2004 VA treatment records show the veteran complained of right knee pain and giving way. Range of motion was restricted, and he wore a knee brace. In February 2006, the veteran again underwent VA examination. He reported weakness, giving way, and daily flare-ups. On examination, the right knee extended to 0 and flexed to 95 degrees with pain. Repetition increased the pain. There were signs of fatigability, lack of endurance, and loss of motion. The last repetition was to 90 degrees. There was a negative drawer sign, and the knee was stable. The diagnosis was status post arthroscopic surgery, mild degenerative joint disease, and patellofemoral pain syndrome. In evaluating the veteran's disability for this time period, the Board finds that he is not entitled to a 20 percent disability evaluation under the criteria of DC 5003 because, as with the left knee, this particular issue does not involve two or more major joints or two or more minor joint groups. Since the veteran's left knee is evaluated separately, an increase is not warranted under this criterion. Under the criteria for limited motion, Diagnostic Codes 5260 and 5261, the Board also finds that an increase to a 20 percent disability rating is not warranted. The evidence has consistently shown that the veteran's extension is to 0 degrees in the right knee. In order to warrant a 20 percent disability evaluation, extension must be limited to 15 degrees. None of the evidence demonstrates this level of disability. In addition, for a 20 percent disability rating to be warranted for flexion, the veteran's right knee must demonstrate limitation to only 30 degrees. During this time period, the veteran's right knee flexion has never been shown to be more limited than to 80 degrees. Therefore, an increase to a 20 percent rating is not warranted. Even evaluating the veteran's extension and flexion in conjunction with the criteria associated with DeLuca v. Brown, supra, the veteran's flexion was shown to only be limited to 90 degrees during his February 2006 VA examination, and his extension was not shown to be further reduced during flare-ups. Therefore, an increased rating is not warranted under these criteria. With regard to instability, the Board notes the veteran's description of giving way of his knee, and also acknowledges that he wears a brace. However, on objective examination, only in November 2003 was the knee diagnosed with mild medial laxity. Otherwise, there is no objective evidence of instability of the right knee. The veteran's knee was described as having a negative drawer sign during both the November 2003 and February 2006 VA examinations. In addition, it was noted to be stable in February 2006. Therefore, while there is some evidence of instability of the veteran's right knee, the Board finds that there is not enough objective evidence to show that it is moderate, rather than slight. Therefore, an increased rating is not warranted for this time period under DC 5257. Furthermore, the veteran has never been diagnosed with ankylosis, dislocated cartilage, or nonunion or malunion of the tibia and fibula of his right knee. Therefore, an increased rating is not warranted under these rating criteria. Consequently, the Board finds that the evaluation assigned in this decision adequately reflects the clinically established impairment experienced by the veteran. As the evidence preponderates against the claim for a compensable rating prior to March 28, 2000, and a 10 percent rating from June 1, 2000, for the veteran's right knee patella alta chondromalacia, the benefit-of-the-doubt doctrine is inapplicable, and an increased rating must be denied. 38 U.S.C.A. § 5107(b); Gilbert, supra. V. Conclusion Finally, in view of the Court's holding in Fenderson, the Board has considered whether the veteran was entitled to a "staged" rating for his service-connected disabilities, as the Court indicated can be done in this type of case. However, upon reviewing the longitudinal record in this case, we find that at no time since the filing of the veteran's claims for service connection, in April 1999, have his left and right knee patella alta chondromalacia disabilities been more disabling than as currently rated under the present decision. ORDER An initial rating in excess of 10 percent for patella alta chondromalacia of the left knee, to include a claim of entitlement to a compensable rating prior to March 13, 2001, is denied. An initial rating in excess of 10 percent for patella alta chondromalacia of the right knee, to include a claim of entitlement to a compensable rating prior to March 28, 2000, is denied. _________________________ ANDREW J. MULLEN Veterans Law Judge, Board of Veterans' Appeals Department of Veterans Affairs