1. Workers' Compensation--withdrawal of counsel--pro se representation--decision
not arbitrary
The Industrial Commission did not act arbitrarily in permitting plaintiff's counsel to
withdraw and plaintiff to proceed pro se in an appeal to the full Commission where plaintiff
consented to counsel's withdrawal in writing, and plaintiff made no objection to counsel's
withdrawal.
2. Workers' Compensation--record on appeal--settlement--documents not introduced
The Industrial Commission's settlement of the record on appeal was not erroneous in
failing to include documents which plaintiff wished to be included but which were not
introduced into evidence at the hearing.
3. Workers' Compensation--causation--burden of proof
The Industrial Commission did not err by placing on plaintiff the burden to prove a
causal relation between a work-related incident and her medical condition.
4. Workers' Compensation--causation--work-related accident--failure of proof
Plaintiff failed to establish that her cervical disc injury was caused by a work-related
accident where she testified that she felt sharp plains radiating down her neck while operating a
computer at work and that a ruptured disc was discovered a month later, but no physician in the
case testified to a reasonable degree of medical certainty that plaintiff's ruptured disc was caused
by her work with defendant employer.
5. Workers' Compensation--grounds for reconsideration of evidence--failure to take
additional evidence--same findings and conclusions as hearing officer
The Industrial Commission did not err by denying plaintiff's request to present additional
evidence and reaching the same findings and conclusions as the deputy commissioner after
finding that plaintiff showed good grounds to reconsider the evidence.
6. Workers' Compensation--ex parte communication--portions of deposition--
exclusion
Only those portions of deposition testimony by plaintiff's treating physician which were
tainted by defense counsel's ex parte communication with the physician were required to be
excluded from evidence in a workers' compensation proceeding.
Appeal by plaintiff from an Opinion and Award entered 20
August 1997 by the North Carolina Industrial Commission. Heard
in the Court of Appeals 5 January 1999.
Law Offices of Kathleen G. Sumner, by Kathleen G. Sumner for
plaintiff-appellant.
Smith Helms Mulliss & Moore, L.L.P., by Jeri L. Whitfield
and Manning A. Connors, for defendant-appellee.
HUNTER, Judge.
Pursuant to Rule 18 of the North Carolina Rules of Appellate
Procedure, Linda C. Porter (plaintiff) appeals from the Opinion
and Award of the North Carolina Industrial Commission
(Commission) which denied plaintiff's claim for worker's
compensation. Evidence before the Commission tended to show that
plaintiff was hired as a financial assistant on 29 July 1994 by
Fieldcrest Cannon (defendant). While at work on 9 September
1994, plaintiff was typing at a conference room table and felt a
hot sensation with sharp pains radiating down her neck sometime
between the hours of 1:00 p.m. and 3:00 p.m. The computer work
station plaintiff worked on that particular day had some
ergonomic problems. Despite these problems and her pain,
plaintiff continued to work at the keyboard in order to complete
an assigned project, and worked full days beginning Saturday, 10
September 1994 through Thursday, 15 September 1994. On 15
September 1994, plaintiff reported to Dr. Stephen St. Clair, the
occupational physician on duty for defendant, that she was
experiencing pain in her left arm, shoulder and elbow and pain on
the top of her left hand.
Plaintiff saw Dr. Stephen Robinson on 4 October 1994,
complaining of discomfort in her left shoulder and left hand,
with discoloration of the fingers after movements of her hands. Dr. Robinson conducted a physical examination, which was normal,
and found no evidence of discoloration or a cervical disc
problem. Dr. Robinson recommended ergonomic changes in
plaintiff's work station and an MRI if the pain did not resolve.
An MRI conducted on 18 October 1994 revealed a herniated
disc at the C-5 level of plaintiff's spine and some spondylosis.
A cervical diskectomy and fusion at the C5-6 level was performed
on plaintiff on 28 October 1994 by Dr. Ernesto Botero.
Plaintiff returned to work with defendant on 9 January 1995.
Since her surgery, plaintiff has experienced other medical
problems including symptoms consistent with thoracic outlet
syndrome and fibromyalgia. An independent medical evaluation by
Dr. Scott Spillman assigned a fifteen percent (15%) permanent
partial disability rating to plaintiff's back as a result of her
herniated disc at C5-6.
The deputy commissioner denied plaintiff's claim for
workers' compensation benefits and plaintiff appealed to the full
Commission. By an opinion filed 20 August 1997, the Commission
affirmed the decision of the deputy commissioner. Plaintiff
appeals.
The standard of appellate review of an opinion and award of
the Industrial Commission is limited to a determination of (1)
whether the Commission's findings of fact are supported by any
competent evidence in the record; and (2) whether the
Commission's findings justify its legal conclusions. Aaron v.
New Fortis Homes, Inc., 127 N.C. App. 711, 714, 493 S.E.2d 305,
306 (1997) (citations omitted). The findings of fact by theIndustrial Commission are conclusive on appeal, if there is any
competent evidence to support them, and even if there is evidence
that would support contrary findings. Grantham v. R.G. Barry
Corp., 127 N.C. App. 529, 534, 491 S.E.2d 678, 681 (1997) (citing
Richards v. Town of Valdese, 92 N.C. App. 222, 225, 374 S.E.2d
116, 118 (1988), disc. review denied, 324 N.C. 337, 378 S.E.2d
799 (1989)). This Court's duty goes no further than to determine
whether the record contains any evidence tending to support the
finding of the Commission, and it does not have the right to
weigh the evidence and then decide the issue on the basis of its
weight. Adams v. AVX Corp., 349 N.C. 676, 509 S.E.2d 411 (1998).
Conclusions of law, including whether there has been a change of
condition, are reviewable de novo by this Court. See Richards at
225, 374 S.E.2d at 118; Lewis v. Craven Regional Medical Center,
122 N.C. App. 143, 149, 468 S.E.2d 269, 274 (1996).
[1]Plaintiff contends that the Commission committed
reversible error when it allowed plaintiff's prior counsel to
withdraw, allowing her to proceed pro se. Plaintiff argues that
the Commission erred by not protecting the rights of an injured
worker who proceeded pro se in a complicated and involved
workers' compensation appeal, who was
not aware that all the medical records were
not submitted as evidence, who was unaware
that the transcript of the evidence was not
complete, who was clearly unable to handle
the appeal competently, who was incapable of
assigning error appropriately, and who wasincapable of addressing the ex parte
communications between defense counsel and
the treating physician.
The determination of counsel's motion to withdraw is within the
discretion of the trial court, whose decision is reversible only
for abuse of discretion. Benton v. Mintz, 97 N.C. App. 583, 389
S.E.2d 410 (1990). The Industrial Commission possesses the
powers of a court. Sidney v. Raleigh Paving & Patching, 109 N.C.
App. 254, 257, 426 S.E.2d 424, 427 (1993) (citing Torain v.
Fordham Drug Co., 79 N.C. App. 572, 340 S.E.2d 111 (1986)). An
abuse of discretion occurs when the trial court's ruling 'is so
arbitrary that it could not have been the result of a reasoned
decision.' Chicora Country Club, Inc. v. Town of Erwin, 128
N.C. App. 101, 109, 493 S.E.2d 797, 802 (1997), disc. review
denied, 347 N.C. 670, 500 S.E.2d 84 (1998) (quoting White v.
White, 312 N.C. 770, 777, 324 S.E.2d 829, 833 (1985)). Plaintiff
has presented no authority in this state which supports the
proposition that the Commission had a duty to intervene ex mero
motu, preventing plaintiff from representing herself. The motion
to withdraw by plaintiff's former counsel was made on 26 March
1997 and was consented to at the same time, in writing, by the
plaintiff. At the hearing before the Commission, petitioner
fully participated and made no objection to her counsel's
withdrawal. As no objection was made, this issue is not properly
before this Court and we cannot further address plaintiffs'
assertion. See N.C.R. App. P. 10(b)(1). Nevertheless, it
appears that the Commission did not make an arbitrary decision in
allowing counsel to withdraw when plaintiff consented in writing,and never once objected when she appeared before the Commission.
[2]Plaintiff's next assignment of error concerns the
Commission's settlement of the record on appeal, which did not
include documents which were necessary to further the
assignments of error regarding the allowance of counsel to
withdraw. The Commission is vested with the authority to settle
the record on appeal. See N.C.R. App. P. 18. Settlement of the
record on appeal is the function of the trial tribunal, and not
the subject of appellate review absent manifest abuse of
discretion. State v. Little, 27 N.C. App. 467, 478, 219 S.E.2d
494, 501, disc. review denied, 288 N.C. 732, 220 S.E.2d 621
(1975). Documents which plaintiff wished to be included in the
record were not introduced into evidence at the hearing on the
matter. When settling the record on appeal, the Commissioner
sustained the majority of the defendant's objections, but did
allow certain documents propounded by the plaintiff. Plaintiff
fails to show any evidence of abuse of discretion, merely arguing
that [t]hese documents were in the file and were clearly allowed
to be a part of the record on appeal. Plaintiff fails to
substantiate this claim and, absent a showing of abuse of
discretion, this Court finds no error.
Plaintiff contends that the Commission committed reversible
error when it admitted and considered certain medical records of
the plaintiff prior to the incident in question. Plaintiff made
no objection to the records being admitted. As shown by the pre-
trial agreement executed by counsel for both parties, plaintiff
consented to the inclusion of all of the medical records. Because plaintiff did not preserve this issue for appeal, we
cannot address it further. See N.C.R. App. P. 10(b)(1).
[3]Plaintiff also argues that the Commission held her to an
improper burden of proof. Plaintiff first relies on Parsons v.
Pantry, Inc., 126 N.C. App. 540, 485 S.E.2d 867 (1997), for the
proposition that the Commission incorrectly placed the burden on
plaintiff to prove she sustained a compensable traumatic
incident. Plaintiff's reliance on Parsons is misplaced. It is
axiomatic that plaintiff has the burden of initially establishing
a causal relationship between a work-related incident and her
medical conditions. See Snead v. Mills, Inc., 8 N.C. App. 447,
451, 174 S.E.2d 699, 702 (1970) ([a] person claiming benefit of
compensation has the burden of showing that the injury complained
of resulted from the accident); Harvey v. Raleigh Police Dept.,
96 N.C. App. 28, 384 S.E.2d 549, disc. review denied, 325 N.C.
706, 388 S.E.2d 454 (1989).
Parsons concerned a separate set of facts and circumstances
not present in this case: the plaintiff was awarded her medical
expenses and future medical treatment by the Commission.
Subsequently, the defendants refused to continue to pay for
medical treatment beyond one visit to a neurologist. Another
hearing was held, and the Commission held that the injured worker
did not meet her burden to prove that the medical treatment was
causally related. Parsons, 126 N.C. App. at 541, 485 S.E.2d at
868. This Court reversed, finding that once the claim is
approved the burden shifts to the defendant to prove that the
medical treatment is not related. Id. at 542, 485 S.E.2d at 869. There is no such burden on the defendant in the present case as
the plaintiff's claim has not been approved by the Commission.
The Commission did not err in holding the plaintiff to the proper
burden of establishing a causal relationship.
[4]Secondly, plaintiff contends that causation in the case
at bar is simple and uncontradictory, and no expert testimony is
necessary to establish causation. Under workers' compensation
law in this state, [t]here must be competent evidence to support
the inference that the accident in question resulted in the
injury complained of, i.e., some evidence that the accident at
least might have or could have produced the particular disability
in question. Click v. Freight Carriers, 300 N.C. 164, 167, 265
S.E.2d 389, 391 (1980); see also Gillikin v. Burbage, 263 N.C.
317, 139 S.E.2d 753 (1965). There will be many instances in
which the facts in evidence are such that any layman of average
intelligence and experience would know what caused the injuries
complained of. Click, 300 N.C. at 167, 265 S.E.2d at 391
(citation omitted). Plaintiff failed to bring forth credible and
convincing testimony that establishes a causal relationship
between the alleged incident of pain on 9 September 1994, and the
cervical disc injury discovered on 18 October 1994. The North
Carolina Supreme Court has held
where the exact nature and probable genesis
of a particular type of injury involves
complicated medical questions far removed
from the ordinary experience and knowledge of
laymen, only an expert can give competent
opinion evidence as to the cause of the
injury.
Id. (citations omitted). In Click, the Court determined that thecausal relationship between a specific trauma and the rupture of
an intervertebral disc involved such complex questions that
medical expert testimony was required to establish causation.
Id. at 169, 265 S.E.2d at 392. No physician in the case sub
judice testified to a reasonable degree of medical certainty that
plaintiff's ruptured disc was caused by her work with defendant.
While the Court in Click did not rule out the possibility that a
disc injury case may arise in the future wherein the facts are so
simple, uncontradictory, and obvious as to permit a finding of a
causal relationship between an accident and the injury absent
expert opinion evidence, mere speculation and possible causal
relationship does not meet plaintiff's burden of proof. Id. at
168-69, 265 S.E.2d at 391-92. Accordingly, we find no error.
[5]Plaintiff argues that the Commission erred by denying
her request to present additional evidence and reaching the same
findings and conclusions as the deputy commissioner after finding
that she showed good grounds to reconsider the evidence .
Plaintiff concedes that the question of whether to reopen a case
for the taking of additional evidence rests in the sound
discretion of the Industrial Commission, and its decision will
not be disturbed on appeal in the absence of an abuse of
discretion. Schofield v. Tea Co., 299 N.C. 582, 596, 264 S.E.2d
56, 65 (1980); see also N.C. Gen. Stat. § 97-85 (1991). The
Commission shall review the award
and, if good ground be shown therefor,
reconsider the evidence, receive further
evidence, rehear the parties or their
representatives, and, if proper, amend the
award . . . .
N.C. Gen. Stat. § 97-85 (1991). The Commission's ruling on good
ground will not be reviewed absent a showing of manifest abuse
of discretion. See Thompson v. Burlington Industries, 59 N.C.
App. 539, 297 S.E.2d 122 (1982), cert. denied, 307 N.C. 582, 299
S.E.2d 650 (1983); Lynch v. Construction Co., 41 N.C. App. 127,
254 S.E.2d 236, disc. review denied, 298 N.C. 298, 259 S.E.2d 914
(1979). The Commission's power to receive additional evidence
is plenary power 'to be exercised in the sound discretion of the
Commission.' Moore v. Davis Auto Service, 118 N.C. App. 624,
456 S.E.2d 847 (1995) (quoting Lynch at 130, 254 S.E.2d at 238).
The ruling of the Commission in the present case states that
[t]he appealing party has shown good grounds to reconsider the
evidence. However, upon much detailed reconsideration of the
evidence, the undersigned reach the same facts and conclusions as
those reached by the Deputy Commissioner. Although the
Commission did reconsider the evidence considered by the deputy
commissioner, it determined, in its discretion, that there were
no good grounds to receive further evidence or to rehear the
parties. Plaintiff presents no precedent for the argument that
determining there are good grounds to reconsider the evidence by
the Commission requires it take additional evidence and overturn
the findings of fact and conclusions of law reached by the deputy
commissioner. Plaintiff has shown no abuse of discretion for the
Commission's decision and, therefore, this assignment of error is
overruled.
[6]Finally, plaintiff contends on appeal that the
Commission erred by failing to exclude tainted medicalevidence. On 13 June 1995, defense counsel sent a letter ex
parte to plaintiff's treating physician inquiring as to his
opinion regarding plaintiff's condition. Dr. Botero responded to
the letter, giving brief opinions, in his own handwriting, as to
the causation of plaintiff's condition and continuing problems.
Plaintiff argues that early in his deposition, Dr. Botero
testified that something happened recently for her to have the
problem in the left arm; however, once Dr. Botero was questioned
regarding the ex parte correspondence, his testimony became
contradictory and was unfavorable to plaintiff.
Our Supreme Court has held that defense counsel may not
interview plaintiff's treating physician privately without the
plaintiff's express consent in a medical malpractice case. Crist
v. Moffatt, 326 N.C. 326, 389 S.E.2d 41 (1990). In Salaam v.
N.C. Dept. of Transportation, 122 N.C. App. 83, 468 S.E.2d 536,
disc. review improvidently allowed, 345 N.C. 494, 450 S.E.2d 51
(1997), this Court applied Crist in the worker's compensation
context, holding that a doctor's deposition testimony must be
excluded if taken after defense counsel engaged in ex parte
contact with the doctor without the consent of plaintiff's
counsel. All of the evidence in the present case was considered
and the record closed prior to the Salaam decision, which was
filed 19 March 1996. The exclusion of any of Dr. Botero's
testimony was not mandated under precedent existing at that time.
Nevertheless, Salaam does apply to the present case. See Evans
v. Young-Hinkle Corp., 123 N.C. App. 693, 474 S.E.2d 152 (1996).
Salaam and Evans held that all of the deposition was tainted dueto prior ex parte communication with defense counsel. To the
contrary, plaintiff in the case sub judice contends that only
portions of Dr. Botero's deposition testimony are tainted, i.e.,
those responses to questions following mention of, and regarding,
the ex parte communication. We agree with plaintiff. While we
are bound by Salaam and Evans, neither case dealt with the issue
of deposition testimony being partially tainted by ex parte
communication with defense counsel. Apparently, the plaintiffs
in those cases never raised this issue. We hold that only those
portions of the deposition related to the ex parte communication
should be excluded. To hold otherwise could punish the plaintiff
for the improper conduct of the defendant, going against the
logic of the rule first enunciated in Crist -- considerations of
patient privacy, confidentiality, adequacy of formal discovery,
and the untenable position in which ex parte contacts place the
nonparty treating physician supersede defendant's interest in a
less expensive and more convenient method of discovery. Crist,
326 N.C. at 336, 389 S.E.2d at 47. Accordingly, we remand the
case to the Commission to review the deposition testimony and
exclude from consideration only those portions tainted by the ex
parte communication. The remainder of the deposition is
competent evidence and can be properly considered by the
Commission.
Affirmed in part; reversed and remanded in part.
Judges GREENE and JOHN concur.
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