Appeal by defendants from opinion and award entered 26
February 2001 by the North Carolina Industrial Commission. Heard
in the Court of Appeals 20 May 2002.
Griffin, Smith, Caldwell, Helder & Lee, P.A., by Annika M.
Brock and R. Kenneth Helms, Jr., for plaintiff-appellee.
Hedrick, Eatman, Gardner & Kincheloe, L.L.P., by Neil P.
Andrews and Terry L. Wallace, for defendant-appellants.
McGEE, Judge.
ACTS, Inc. (defendant-employer) and its insurance carrier
Liberty Mutual Insurance Company (collectively defendants) appeal
from the opinion and award of the North Carolina Industrial
Commission (Industrial Commission) awarding workers' compensation
benefits to Brenda Joyce Holley (plaintiff). Plaintiff was hired
by defendant-employer in January 1996 to work at Plantation
Estates, a medical care facility, as a Certified Nurses Assistant
I.
Plaintiff was at Plantation Estates on 13 July 1996 when she
saw a patient on the floor. As plaintiff walked down the hall to
help lift the patient off the floor, plaintiff's foot became stuckon the carpet. She turned suddenly and injured her lower left leg
in the calf. Plaintiff testified she "could hardly walk" and her
left leg was in pain. Plaintiff returned to work on 14 July 1996.
The pain in her leg continued to worsen and she noticed some
swelling. She was examined by Dr. Jason Ratterree (Dr. Ratterree)
at Presbyterian Hospital Matthews. Dr. Ratterree diagnosed
plaintiff as suffering from muscle strain. He prescribed
medication, told plaintiff to wear an ace bandage and use crutches,
and ordered plaintiff to stay off her left leg for three days.
Plaintiff returned to work on 22 July 1996 and continued to
work for defendant-employer. On 3 September 1996, plaintiff went
to the doctor, and while at the doctor's office she experienced
acute pain and swelling in her left lower leg and had to be
hospitalized for three days. While at the hospital, plaintiff was
diagnosed with deep venous thrombosis (DVT), which is a disorder
involving a thrombus or blood clot in one of the deep veins of the
body, causing an obstruction of the blood flow and often resulting
in the pooling of blood in a lower extremity. Plaintiff saw Dr.
Dietlinde W. Zipkin (Dr. Zipkin) and plaintiff returned to work on
16 November 1996. Plaintiff continued to experience leg pain and
was hospitalized again on 16 June 1997 for chronic DVT.
Plaintiff's claim was heard before a deputy commissioner on 22
March 2000. The deputy commissioner filed an opinion and award
concluding that "plaintiff's DVT was not the result of the
plaintiff's injury by accident to her left leg arising out of and
in the course of her employment." Plaintiff appealed to theIndustrial Commission.
The Industrial Commission heard the matter on 24 January 2001
and issued an opinion and award concluding that "plaintiff's DVT
was the result of the plaintiff's injury by accident to her left
leg arising out of and in the course of her employment." The
Industrial Commission ordered defendants to pay to plaintiff
$20,000.00 plus interest pursuant to N.C. Gen. Stat. § 97-31(24),
and seventeen and one-seventh weeks of temporary total disability
at the rate of $162.40 per week plus interest. The Industrial
Commission also ordered defendants to pay plaintiff's attorneys
twenty-five percent of the compensation due plaintiff and to pay
plaintiff's medical expenses and expert witness fees. Commissioner
Laura Kranifeld Mavretic issued a dissenting opinion. Defendants
appeal from the Industrial Commission's opinion and award.
On an appeal from an opinion and award of the Industrial
Commission, the standard of review for this Court "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 conclusions of law." Goff v.
Foster Forbes Glass Div., 140 N.C. App. 130, 132-33, 535 S.E.2d
602, 604 (2000). The Industrial Commission's findings of fact are
binding on review if the record contains any competent evidence in
their support. Adams v. AVX Corp., 349 N.C. 676, 681, 509 S.E.2d
411, 414 (1998). This is true even when the record offers evidence
that would support findings to the contrary. Id. The Industrial
Commission's conclusions of law, however, are reviewable de novo. Lewis v. Craven Regional Medical Center, 122 N.C. App. 143, 149,
468 S.E.2d 269, 274 (1996).
I.
Defendants first argue that the Industrial Commission erred in
describing the circumstances surrounding plaintiff's alleged injury
by accident.
The parties entered into stipulations at the hearing before
the deputy commissioner which the Industrial Commission
incorporated as findings of fact and conclusions of law in its
opinion and award. Stipulation number five states that "[t]he
parties stipulated that the plaintiff injured her left lower leg in
the calf area when she turned suddenly while walking down the hall
at her place of employment with the defendant-employer on July 13,
1996."
The opinion and award additionally stated in finding number
four that
[o]n July 13, 1996, the plaintiff was working
for the defendant-employer as a floater. The
plaintiff was assigned to help lift a patient
off of the floor. As the plaintiff helped to
lift the patient, the plaintiff's foot became
stuck on the carpet as she turned suddenly and
she injured her lower left leg in the
calf. . . . The foot becoming stuck on the
carpet as she turned suddenly constituted an
accident and the resulting injury was an
injury by accident within the meaning of the
Workers' Compensation Act.
The Industrial Commission concluded in conclusion of law
number one that "[o]n July 13, 1996, the plaintiff sustained an
injury by accident to her left leg arising out of and in the course
of her employment with defendant-employer." Defendants argue on appeal that the sentence in finding of
fact number four that "as the Plaintiff helped to lift the patient,
Plaintiff's foot became stuck on the carpet as she turned
suddenly[,]" is not supported by competent evidence in the record.
They contend that "at the very least, [the opinion and award]
should be modified to the extent it is necessary for a decision in
this case."
At the hearing before the deputy commissioner, plaintiff
testified as follows:
Q: Do you remember on July 13, 1996?
A: Yes, I do.
Q: Why do you remember that, Ms. Holley?
A: I was working there, and I was on the
special care unit, which is the
Alzheimer['s] unit. I had [gone] over to
go to the bathroom, and Jan Waggey, the
nurse there, asked me to go down and
check with Ms. Bowman. She couldn't
understand -- which was a patient that --
I was a floater. I floated from both
sides. Asked me if I would check and see
what she was saying. She couldn't
understand her. At that time, I went
down and talked with Mrs. Bowles. And as
I was coming back up the hall to report
to Ms. Waggey what she had said, I [saw]
a patient on the floor. . . .
Q: What do you mean "on the floor"?
A: She had fallen. We're not to remove a
patient [] unless we get the nurse. So
Peggy Lee was a CNA, and Jan -- we went
down and picked her up. But as I hurried
up the hall, I turned to go back; and,
when I did, it was like my foot stuck to
the carpet. They had [] new carpet put
down; and, when I swerved around, I felt
a pull in my leg, and I told Peggy when
we got to the room -- I said, "I havepulled my leg."
Q: Can you tell us specifically where in
your leg?
A: In the calf of my leg.
Q: Which leg?
A: Left leg.
Q: All right. At that point, what did you
do?
A: Helped get the patient up off the floor,
and then I went back to special care. At
that time, I could hardly walk. My leg
was hurting[.]
The specific sentence defendants are challenging on appeal is
not supported by competent evidence in the record. However, even
if we set aside this sentence, there remains competent evidence in
the record to support the remainder of finding of fact number four;
namely, that plaintiff's foot became stuck on the carpet as she
turned suddenly, which was an accident and the resulting injury was
an injury by accident. Further, we note that both parties
stipulated, and the Industrial Commission additionally found as
fact that plaintiff "injured her left lower leg in the calf area
when she turned suddenly while walking down the hall at her place
of employment[.]" (emphasis added). This stipulation as
incorporated in the opinion and award is fully supported by
plaintiff's testimony and this stipulation supports conclusion of
law number one. Defendants do not dispute that plaintiff's injury
by accident arose out of and in the course of her employment with
employer-defendant. Defendants' assignments of error as to this
issue are overruled.
II.
Defendants next argue that the Industrial Commission erred in
finding and concluding that plaintiff's injury by accident caused
her DVT because the medical evidence in this case is insufficient
to establish a causal link between plaintiff's injury and her DVT.
To establish "a compensable claim for workers' compensation,
there must be proof of a causal relationship between the injury and
the employment."
Peagler v. Tyson Foods, 138 N.C. App. 593, 597,
532 S.E.2d 207, 210 (2000)(citing
Booker v. Medical Center, 297
N.C. 458, 475, 256 S.E.2d 189, 200 (1979)). An injury is therefore
compensable if "'it is fairly traceable to the employment' or 'any
reasonable relationship to the employment exists.'"
Rivera v.
Trapp, 135 N.C. App. 296, 301, 519 S.E.2d 777, 780 (1999) (quoting
Shaw v. Smith and Jennings, Inc., 130 N.C. App. 442, 445, 503
S.E.2d 113, 116,
disc. review denied, 349 N.C. 363, 525 S.E.2d 175
(1998)). The plaintiff has the burden of proving each element of
compensability.
Harvey v. Raleigh Police Dept., 96 N.C. App. 28,
35, 384 S.E.2d 549, 553,
disc. review denied, 325 N.C. 706, 388
S.E.2d 454 (1989).
In cases "'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. at 34, 384 S.E.2d at 552 (quoting
Click v.
Freight Carriers, 300 N.C. 164, 167, 265 S.E.2d 389, 391 (1980)).
"However, when such expert opinion testimony is based merely uponspeculation and conjecture, it can be of no more value than that of
a layman's opinion."
Young v. Hickory Bus. Furn., 353 N.C. 227,
230, 538 S.E.2d 912, 915 (2000).
The "expert testimony need not show that the work incident
caused the injury to a 'reasonable degree of medical certainty.'"
Peagler, 138 N.C. App. at 599, 532 S.E.2d at 211 (citation
omitted). "Rather, the competent evidence must provide 'some
evidence that the accident at least might have or could have
produced the particular disability in question.'"
Id., (quoting
Porter v. Fieldcrest Cannon, Inc., 133 N.C. App. 23, 28, 514 S.E.2d
517, 522 (1999)). Our Courts have "allowed 'could' or 'might'
expert testimony as probative and competent evidence to prove
causation."
Young, 353 N.C. at 233, 538 S.E.2d at 916. However,
"'could' or 'might' expert testimony [is] insufficient to support
a causal connection when there is additional evidence or testimony
showing the expert's opinion to be a guess or mere speculation."
Id. (citing
Maharias v. Weathers Bros. Moving & Storage Co., 257
N.C. 767, 767-68, 127 S.E.2d 548, 549 (1962)).
In the case before us, Dr. Ratterree testified as an expert in
emergency medicine and general medicine. Dr. Ratterree examined
plaintiff on 14 July 1996, the day following her accident at work.
In his deposition, the following exchange took place:
Q: Dr. Ratterree, based upon your
examination and the history related to
you by [plaintiff], could the DVT that
you found have been caused by the
incident that she related to you, that
is, the turning?
A: It's possible.
. . .
Q: And I think you had indicated that there
was a possibility, in your opinion, that
[plaintiff] suffered from DVT. What
symptoms specifically was it in your
examination that you felt indicated DVT?
A: Anytime somebody has had some injury as
she had and has some tenderness on exam,
you know, tenderness on the posterior
calf as she did, the possibility is
there, but the problem is that it's not
one of those things that develops over a
period of hours or minutes. . . .
. . .
Q: . . . Can you say to a reasonable degree
of medical certainty or a reasonable
degree of medical probability that the
incident related to you by [plaintiff]
was a significant contributing factor in
causing DVT?
A: I can't say that, no.
Q: It's just that it's a possibility?
A: It's a possibility. It's a possibility.
Q: Is it a reasonable possibility?
A: It's reasonable. . . .
Dr. Zipkin also testified as an expert witness in the field of
internal medicine and general medicine. Dr. Zipkin treated
plaintiff after her DVT was diagnosed and testified as follows:
Q: [D]o you have an opinion satisfactory to
yourself and to a reasonable degree of
medical certainty as to whether the
accident described in the reports from
Presbyterian Hospital and from Dr. Kaldy
on July 13, 1996 could or might have
caused the DVT?
. . .
A: I don't know if it caused the DVT or not.
Q: Do you have an opinion whether it could
or might have caused it?
A: It could have caused it or it could have
happened despite it.
. . .
Q: [I]f the evidence shows that [plaintiff]
was walking down a hall and she quickly
turned and experienced pain in her left
calf, and at that point obtained medical
treatment and a DVT was present -- if the
evidence should show that all that is
true, do you have an opinion satisfactory
to yourself whether or not that event
could or might have caused the DVT?
. . .
A: We have nothing showing that DVT was
present at the time of her injury, so
isn't this kind of a moot point?
Q: My question is, though, could those
events that I just described, could or
might that have caused the DVT to form?
A: It's possible that that scenario of
[plaintiff's] injury could have caused a
DVT to form, but I don't know that it
did.
Defendants argue that this evidence is insufficient to
establish a causal link between plaintiff's injury by accident and
her diagnosis of DVT because
the medical testimony was "couched in
terms of 'coulds' and 'mights' which was speculative in nature and
not competent evidence of causation." We disagree. In this case,
there is sufficient evidence that the accident might have or could
have caused plaintiff's DVT. Although DVT can arise from several
different causes, "[a]ll that is necessary is that [the] expert
express an opinion that a
particular cause was
capable of producing
the injurious result."
Buck v. Procter & Gamble, Co., 52 N.C. App.88, 95, 278 S.E.2d 268, 273 (1981). Both doctors testified as to
the multiple causes of DVT, but both also testified that
plaintiff's DVT could have been caused by her accident on 13 July
1996.
The Industrial Commission's finding of fact that plaintiff's
accident on 13 July 1996 caused her DVT is supported by competent
evidence in the record and is not based on mere speculation or
conjecture. Further, the Industrial Commission did not err in
concluding that plaintiff's DVT was a result of her 13 July 1996
accident. Defendants' assignments of error as to this issue are
overruled.
III.
Finally, defendants contend the Industrial Commission erred in
awarding plaintiff benefits under N.C. Gen. Stat. § 97-31(24). The
Industrial Commission found as fact and concluded as a matter of
law that "[d]amage to the innermost layer of the vein constitutes
permanent injury to an internal organ or part of the body for which
no compensation is payable under any other subdivision of N.C. Gen.
Stat. § 97-31(24)." The Industrial Commission awarded plaintiff
the full amount of compensation allowed in N.C. Gen. Stat. § 97-
31(24).
N.C. Gen. Stat. § 97-31(24) (1999) states that
[i]n case of the loss of or permanent injury
to any important external or internal organ or
part of the body for which no compensation is
payable under any other subdivision of this
section, the Industrial Commission may award
proper and equitable compensation not to
exceed twenty thousand dollars ($20,000).
"By employing the word 'may' in N.C.G.S. § 97-31(24) the
legislature intended to give the Industrial Commission discretion
whether to award compensation under that section."
Little v. Penn
Ventilator Co., 317 N.C. 206, 218, 345 S.E.2d 204, 212 (1986).
Thus, the Industrial Commission has discretion as to whether an
award under N.C. Gen. Stat. § 97-31(24) is warranted, and its
decision will not be overturned on appeal unless it "'is manifestly
unsupported by reason,'" or "'so arbitrary that it could not have
been the result of a reasoned decision.'"
Id. (quoting
White v.
White, 312 N.C. 770, 777, 324 S.E.2d 829, 833 (1985) and
State v.
Wilson, 313 N.C. 516, 538, 330 S.E.2d 450, 465 (1985)).
Defendants argue that because plaintiff was entitled to
compensation under N.C. Gen. Stat. § 97-31(15), which provides an
employee compensation for the loss of the use of her leg, the
Industrial Commission abused its discretion in awarding her
benefits under N.C. Gen. Stat. § 97-31(24). The language of N.C.
Gen. Stat. § 97-31(24) is clear that an award under this
subsection, although discretionary, is only permitted if "no
compensation is payable under any other subdivision" of N.C. Gen.
Stat. § 97-31 as a scheduled injury. It is not clear from the
record if the Industrial Commission considered whether an award to
plaintiff under N.C. Gen. Stat. § 97-31(15) for loss of the use of
her leg was not proper before it determined that an award under
G.S. § 97-31(24) was appropriate; we therefore cannot determine
whether the Industrial Commission abused its discretion in its
award to plaintiff under N.C. Gen. Stat. § 97-31(24). We remandthis case to the Industrial Commission in order that it first
consider whether plaintiff's injury is a scheduled injury under
N.C.G.S. § 97-31(15) before considering whether an award to
plaintiff is appropriate pursuant to N.C. Gen. Stat. § 97-31(24).
Remanded.
Chief Judge EAGLES concurs.
Judge TYSON concurs in part and dissents in part with a
separate opinion.
===================================
TYSON, Judge, concurring in part, dissenting in part.
I concur in parts I and III of the majority's opinion. I
respectfully dissent from part II. Plaintiff failed to introduce
competent evidence to establish a causal relationship between the
compensable injury by accident and the ensuing deep venous
thrombosis (DVT). The expert testimony was mere speculation and
possibility, and failed to establish the required causal
connection.
Plaintiff must produce competent evidence establishing a
causal relationship between the injury and the employment. Peagler
v. Tyson Foods, Inc., 138 N.C. App. 593, 597, 532 S.E.2d 207, 210
(2000). Testimony of an expert that is merely speculative or that
raises no more than a mere possibility is not admissible as to the
issue of causal relationship. Lockwood v. McCaskill, 262 N.C. 663,
669, 138 S.E.2d 541, 545-46 (1964); see also Ballenger v. Burris
Indus., Inc., 66 N.C. App. 556, 567, 311 S.E.2d 881, 887 (1984)(stating that an expert is not competent to testify regarding
causal relation based on mere speculation or possibility). Could
or might refers to probability and not mere possibility. See
Lockwood, 262 N.C. at 668, 138 S.E.2d at 545. Here, both experts
testified only as to possibility and not probability.
Our Supreme Court has previously allowed 'could' or 'might'
expert testimony as probative and competent evidence to prove
causation. Young v. Hickory Bus. Furniture, 353 N.C. 227, 233,
538 S.E.2d 912, 916 (2000) (citations omitted). However, 'could'
or 'might' expert testimony [is] insufficient to support a causal
connection when there is additional evidence or testimony showing
the expert's opinion to be a guess or mere speculation. Id.
(citing Maharias v. Weathers Bros. Moving & Storage Co., 257 N.C.
767, 767-68, 127 S.E.2d 548, 549 (1962)). Here, additional
testimony shows the experts' opinions to be mere guess and
speculation.
In addition to the testimony cited by the majority, Dr.
Ratterree also testified in response to a question of whether he
had an opinion as to whether the twisting injury on July 13, 1996
could or might have been a significant contributing factor to deep
venous thrombosis, that [i]n my opinion it probably is not, but
I cannot say, you know, beyond a shadow of a doubt. . . . and
[i]n my opinion it would be unlikely . . . . I
cannot say that she had turned and this had
been brewing even before that, because a lot
of DVTs are totally asymptomatic for a long
time . . . I know these clots take time to
develop, so I can't say that she wasn't
brewing something even before then. It's just
a galaxy of possibilities.
(Emphasis supplied).
The expert medical testimony does not show a causal
relationship between the injury by accident and the DVT. See
Harvey v. Raleigh Police Dept., 96 N.C. App. 28, 35, 384 S.E.2d
549, 553, disc. review denied, 325 N.C. 706, 388 S.E.2d 454 (1989)
(plaintiff has the burden of proving each element of
compensability). There is no competent evidence to support the
Industrial Commission's finding and conclusion that plaintiff's DVT
was causally related to her twisting injury. I would reverse the
Opinion and Award of the Commission. I respectfully dissent.
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