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1. Workers' Compensation--expert testimony--causation
The Industrial Commission did not err in a workers' compensation case by concluding that
the medical evidence established a causal connection between plaintiff's shoulder injury on 3
January 1996 and his cervical spine condition based on a doctor's testimony stating he believed it
was likely, because: (1) our Supreme Court has found expert testimony that an accident likely caused
a subsequent injury to be competent evidence to support a finding of causation; (2) although other
medical experts testified plaintiff's injury could or might have been the result of his workplace
accident, where the evidence is conflicting, the Commission's findings of fact are conclusive on
appeal; and (3) the evidence tending to support plaintiff's claim is viewed in the light most favorable
to plaintiff, and plaintiff is entitled to the benefit of every reasonable inference to be drawn from the
evidence.
2. Workers' Compensation--expert testimony--findings of fact--consideration--credibility-
-relevancy
The Industrial Commission did not err in a workers' compensation case by allegedly failing
to make any findings of fact with regard to the consideration, credibility, and relevancy of the
testimony of a board certified orthopedist, because: (1) the extensive findings of fact regarding the
orthopedist's evaluations of plaintiff show the Commission did consider and evaluate the evidence
presented by the orthopedist; and (2) as long as it is clear from the record that the Commission did
consider conflicting expert testimony, the Court of Appeals will not question its acceptance of one
theory over another.
3. Workers' Compensation--findings of fact--failure to inform initial treating physicians
of injury
The Industrial Commission did not err in a workers' compensation case by failing to make
any findings of fact with regard to the consideration, credibility and relevancy of plaintiff's failure
to inform his initial treating physicians of his alleged cervical spine injury, because: (1) although
plaintiff failed to complain of neck pain between 3 January 1996 and 20 March 1996, plaintiff did
make continuous complaints of severe and persistent shoulder pain; (2) two doctors testified that
pain medication and the rotator cuff tear in plaintiff's shoulder might have masked the symptoms
of plaintiff's neck injury during that period of time, and another doctor testified that shoulder and
neck symptoms overlap quite a bit; (3) all of plaintiff's treating physicians testified plaintiff's neck
pain could have been or was likely caused by his 3 January 1996 accident; and (4) the Commission
did consider plaintiff's failure to complain specifically of neck pain between January and March
1996, yet still determined the January accident likely caused plaintiff's neck injury.
Appeal by defendants from decision entered 17 February 2005 by
the North Carolina Industrial Commission. Heard in the Court of
Appeals 23 January 2006.
Edwards & Ricci, P.A., by Brian M. Ricci, for plaintiff-
appellee.
Teague, Campbell, Dennis & Gorham, L.L.P., by John A. Tomei
and Kathryn Deiter-Maradei, for defendant-appellants.
MARTIN, Chief Judge.
Defendants appeal from an order of the North Carolina
Industrial Commission (Commission) awarding plaintiff (1)
temporary total disability for time missed from work, (2) costs for
medical treatment related to his injury, and (3) attorneys' fees.
For the reasons which follow, we affirm.
The evidence before the Commission tended to show that
plaintiff, who had a high school education, began working as a
mechanic for defendant Phelps Chevrolet (Phelps) in 1987. On 3
January 1996, plaintiff fell backwards while stepping off of a
stool, striking his back and right shoulder on a concrete block.
Plaintiff felt major pain in his neck and shoulder as soon as he
fell, and he could not move his shoulder. He received immediate
medical attention at Med Center One where x-rays were taken and
his shoulder was put in a sling. Plaintiff continued to return to
Med Center One for six months where he received physical therapy
and a steroid shot in his right shoulder. When he failed to
improve, he was recommended to Dr. Steven L. Wooten, a board-
certified orthopaedist.
Dr. Wooten first saw plaintiff in March of 1996. At that
time, Dr. Wooten stated plaintiff had good motion in his shoulder.
His muscle strength was good, but due to his persistent pain I[recommended] an MRI scan of his shoulder. Plaintiff scheduled an
appointment for the MRI, but he was too large to fit into the MRI
scan. Instead, Dr. Wooten obtained an arthrogram to determine if
plaintiff had a tear of his rotator cuff. The arthrogram indicated
a large tear of the rotator cuff, which Dr. Wooten recommended
plaintiff undergo surgery to repair. In April 1996, the injury to
plaintiff's right shoulder was accepted as compensable, and he was
paid temporary total disability beginning 30 April 1996.
Plaintiff's rotator cuff surgery took place on 23 April 1996.
After surgery, plaintiff testified that when he turned his neck, he
felt like it was pulling the shoulder in two. Dr. Wooten
continued to send plaintiff to therapy, and he recommended
plaintiff not use his right hand and keep his right arm in a sling
while at work. When Dr. Wooten saw plaintiff on 24 May 1996,
plaintiff continued to have tightness over his neck in that same
area, but it was improving. A month later, Dr. Wooten found
plaintiff's neurologic exam to be normal. However, plaintiff
continued to have pain in the right side of his neck and down his
arm into his hand. Dr. Wooten believed the pain was a result of
either (1) the nerve block administered to plaintiff during
surgery, (2) a herniated cervical disk in plaintiff's neck, or (3)
continued pain from the rotator cuff tear.
A subsequent arthrogram indicated plaintiff had a persistent
or recurrent rotator cuff tear. However, Dr. Wooten stated that
[m]ost people with a rotator cuff tear won't have neck pain or
pain below the elbow, leading him to believe that an additional
cause of plaintiff's pain might be a herniated cervical disk. Dr.Wooten first considered the possibility that a herniated disk was
the cause of plaintiff's pain in August of 1996, seven months after
plaintiff's accident. Although he stated that symptoms of a
cervical disk herniation generally appear sooner than seven months
after an injury takes place, he believed it was possible the
injury caused the cervical disk herniation.
Dr. Wooten recommended plaintiff see Dr. William J. Mallon, an
expert in the field of orthopedic surgeries with a sub-specialty in
shoulder and elbow surgery. Dr. Mallon treated plaintiff between
19 June 1997 and 12 June 2001 and performed two surgeries on
plaintiff's shoulder. The first surgery was to repair his rotator
cuff, after which plaintiff improved briefly. However, because
plaintiff continued to have pain, Dr. Mallon performed a second
surgery on 15 January 1999. During this surgery, Dr. Mallon
removed a portion of plaintiff's distal clavicle, or collar bone,
at the joint where the collar bone meets the shoulder blade.
Plaintiff again improved briefly then later regressed. In May of
1999, plaintiff told Dr. Mallon he was 50 percent better than
before . . . but not normal yet and [his injury] continued to hurt
him a fair amount.
On 26 May 1999, plaintiff was pulling on an air conditioning
part at work when he lost his grip and developed a sharp shooting
pain in his shoulder. Dr. Mallon indicated he thought plaintiff
had intrinsic tendonopathy, meaning his tendon was intact but
weaker than normal, and some activities that were not previously
painful now caused pain in the tendon. Dr. Mallon restricted
plaintiff from raising his right arm above shoulder level, liftingmore than ten pounds, and standing on ladders or unrestricted
heights. When Dr. Mallon saw plaintiff on 6 November 2000,
plaintiff was complaining of pain radiating up into his neck
muscles. At that point, Dr. Mallon felt the best course of action
for plaintiff was to go to a pain clinic. On 12 June 2001, Dr.
Mallon referred plaintiff to Dr. Lynn Johnson at the Greenville
Pain Clinic.
Dr. Johnson practices in pain management and is board-
certified in anesthesiology and pain medicine. He first saw
plaintiff on 1 October 2001, at which time plaintiff complained of
neck, shoulder, and arm pain in his right side. Dr. Johnson
observed the following symptoms in plaintiff: (1) limited right
shoulder range of motion; (2) pain and tenderness of the right
shoulder; (3) nerve root irritation of the wrist and elbow; (4)
tenderness in the neck; and (5) tenderness and decreased
sensitivity to light touch in his right arm. Dr. Johnson
recommended plaintiff have an EMG, which is a nerve conduction
study of the arm, and a cervical MRI scan of his neck. Having lost
a significant amount of weight since 1996, plaintiff was able to
obtain the MRI scan. The MRI indicated multilevel disk protrusions
between the C3 and C7 disks, a potential herniation at C7-T1, and
a herniation at C5-6. The EMG revealed some problem with the
nerves in plaintiff's right wrist and arm, but it did not indicate
a nerve root irritation. Despite this, Dr. Johnson believed there
was nerve root irritation, stating that EMGs are relatively
insensitive to the wide spectrum of nerve problems and do not pick
up small or sensory nerve problems readily. Dr. Johnson prescribedpain medication and performed a nerve root block of the C6 nerve on
plaintiff's right side, but when plaintiff did not improve, he
referred him to Dr. Kurt Voos, an expert in the field of
orthopaedic surgery.
Dr. Voos first saw plaintiff on 11 March 2002. At that time,
plaintiff complained of [s]hooting pain into the right shoulder,
forearm, thumb, index finger, along with numbness and tingling.
Plaintiff described his pain as an eight on a scale of one to ten.
Dr. Voos reviewed plaintiff's MRI, which revealed a herniated disk
at C5-6 and C6-7. He recommended plaintiff receive a cervical
epidural steroid injection, which Dr. Johnson's associate performed
on 17 June 2002. When asked whether he believed the disk
herniation could or might have been caused by the 3 January 1996
injury, he replied, I think it could have been, yes. Upon
reviewing Dr. Wooten's records indicating plaintiff had symptoms of
disk herniation in August of 1996, Dr. Voos stated that the
herniation was likely to be related to the injury. (Emphasis
added). Dr. Voos further stated it was very likely plaintiff's
pain from the rotator cuff tear had initially masked the symptoms
he would have had from a herniated disk in his neck.
A hearing before a deputy commissioner was held to determine
if plaintiff's cervical spine problems were related to his
compensable injury of 3 January 1996. The majority of the medical
testimony indicated plaintiff could or might have a cervical
spine condition as a result of his 3 January 1996 fall, which the
deputy commissioner found to be insufficient to establish a causalrelationship between the incident and his current condition. He
made, inter alia, the following relevant findings:
14. Dr. Wooten, an orthopedic surgeon, was
certainly in the best position to given [sic]
an opinion regarding the genesis of
plaintiff's cervical spine problem insofar as
it might relate to the injury because he
treated plaintiff during the year following
the injury and during the time the first
possibly related symptoms manifested
themselves. He testified in essence that a
causal relationship was possible but was not
likely and that he would have expected
radicular symptoms to have developed sooner
than seven months after the injury. In over
twenty-two years as a Deputy Commissioner, the
undersigned cannot remember another case where
a treating physician related a herniated disc
to an injury where there was such a long delay
in the development of symptoms. Consequently,
the cervical spine condition with which
plaintiff was diagnosed in approximately March
2002 was not proven by the greater weight of
the credible evidence to have been a proximate
result of the January 3, 1996 injury by
accident.
15. In addition, the May 26, 1999 injury by
accident was not proven to have caused or
aggravated the cervical spine condition at
issue.
The deputy commissioner therefore concluded as a matter of law that
plaintiff was not entitled to benefits under the Workers'
Compensation Act for his cervical spine condition.
The full Industrial Commission reversed the holding of the
deputy commissioner, finding Plaintiff's cervical disc problems
are causally related to his January 3, 1996 injury by accident.
In its Finding of Fact No. 22, the Commission stated:
22. When asked whether Plaintiff's cervical
disc herniations could or might have been
caused by the January 3, 1996 injury, Dr. Voos
replied, I think it could have been, yes. Based on Plaintiff's medical records, Dr. Voos
opined that it was likely that Plaintiff's
cervical conditions are related to his January
3, 1996 injury.
(Emphasis added). The Commission then made the following
conclusions of law:
1. On or about January 3, 1996, Plaintiff
sustained a compensable injury by accident to
his right shoulder. On or about May 26, 1999,
Plaintiff sustained a compensable injury by
accident and/or aggravation of a pre-existing
condition to his arm and shoulder as set forth
in the Form 18 filed by Plaintiff on August
31, 1999 and the Form 60 filed by Defendant-
Employers on June 27, 2001. N.C. Gen. Stat. §
97-2(6).
2. Plaintiff's cervical spine herniations are
causally related to his compensable injury by
accident of January 3, 1996 and May 26, 1999
aggravation of his injury.
3. Defendants are obligated to pay
Plaintiff's medical expenses resulting from
his compensable injury by accident, including
treatment for his neck injuries, for so long
as such treatment may be reasonably required
to effect a cure, provide relief, or lessen
the period of disability. N.C. Gen. Stat. §§
97-2(19), 97-25.
4. Plaintiff is entitled to be rated for any
permanent partial disability he may have
sustained to his cervical spine.
The Commission awarded plaintiff (1) temporary total disability
compensation at the rate of $465.40 per week for any days missed
from work as a result of his cervical disc herniations and related
cervical conditions, (2) medical expenses incurred or to be
incurred by Plaintiff as a result of his compensable cervical disc
condition so long as such evaluations, treatments and examinations
may reasonably be required to effect a cure, give relief and/orlessen Plaintiff's period of disability, and (3) attorneys' fees
in the amount of 25% of the compensation due Plaintiff pursuant to
this award. Defendants appeal.
19. An MRI taken in March 2002 revealed
cervical herniated discs at C5-6 and C6-7. When asked during his deposition whether
Plaintiff's compensable injury on January 3,
1996 caused the herniated cervical discs, Dr.
Mallon responded, I guess it could have.
These extensive findings of fact regarding Dr. Mallon's evaluations
of plaintiff make it clear the Commission did consider and
evaluate the evidence presented by Dr. Mallon as required in
Gutierrez. Gutierrez, 169 N.C. App. at 176, 609 S.E.2d at 448.
Plaintiff's argument in this respect has no merit.
Defendants further argue under Gutierrez the Commission erred
by fail[ing] to make a finding of fact with regard to why Dr.
Mallon's deposition testimony was given no weight as compared to
the testimony of Dr. Voos. Defendants incorrectly interpret
Gutierrez as requiring this Court to reverse the Commission where
it gave one expert's opinion greater weight than another's. The
commission is the sole judge of the credibility of the witnesses
and the weight to be given their testimony. Adams v. AVX Corp.,
349 N.C. 676, 680, 509 S.E.2d 411, 413 (1998) (citation omitted).
As we previously noted, where the evidence is conflicting, the
Commission's findings of fact are conclusive on appeal. Id. at
682, 509 S.E.2d at 414. Therefore, as long as it is clear from the
record the Commission did consider conflicting expert testimony, we
will not question its acceptance of one theory over another.
[T]his Court 'does not have the right to weigh the evidence and
decide the issue on the basis of its weight. The court's duty goes
no further than to determine whether the record contains any
evidence tending to support the finding.' Id. at 681, 509 S.E.2dat 414 (citation omitted). Therefore, defendant's second argument
is overruled.
[3] Defendants' final argument is that the opinion and award
of the Commission should be reversed because the Commission failed
to make any findings of fact with regard to the consideration,
credibility and relevancy of plaintiff's failure to inform his
initial treating physicians of his alleged cervical spine injury.
Defendants again rely on Gutierrez, where this Court concluded the
Commission erred by not entering findings of fact regarding
plaintiff's failure to report her back injury to a physician
treating her for unrelated medical problems. We determined her
failure to mention her back pain to the physician treating her for
menstrual problems and headaches was material evidence indicating
her back injury may have resolved, and the Commission therefore
should have entered a finding of fact regarding the consideration,
credibility, or relevancy of this conflicting evidence.
Gutierrez, 169 N.C. App. at 176, 609 S.E.2d at 448.
In the present case, defendants contend plaintiff failed to
complain of neck pain between 3 January 1996 and 20 March 1996.
Plaintiff did, however, make continuous complaints of severe and
persistent shoulder pain. First, we note both Dr. Wooten and Dr.
Voos testified that pain medication and the rotator cuff tear in
plaintiff's shoulder might have masked the symptoms of plaintiff's
neck injury during that period of time, and Dr. Mallon testified
that shoulder and neck symptoms overlap quite a bit. Also, in
Gutierrez, the Commission failed to enter any findings of factregarding the testimony of a treating physician whose testimony
constituted material evidence that plaintiff might have recovered
from her injury. Here, in contrast, the Commission did make
findings of fact indicating plaintiff did not complain of neck pain
until 3 May 1996, four months after his accident. It also made
findings, however, that all of plaintiff's treating physicians
testified plaintiff's neck pain could have been or was likely
caused by his 3 January 1996 accident. Therefore, it is clear the
Commission did consider plaintiff's failure to complain
specifically of neck pain between January and March of 1996 yet
still determined the January accident likely caused his neck
injury. We cannot find, as in Gutierrez, that the Commission
failed to consider conflicting evidence.
Defendants also argue the Commission's findings do not address
plaintiff's failure to complain of neck pain to Dr. Mallon even
though he testified at the hearing his neck had never stopped
hurting since 3 January 1996. We listed the Commission's findings
of fact regarding Dr. Mallon's testimony above, including the
following: (1) [o]n October 14, 1997, Plaintiff did not complain
about neck pain to Dr. Mallon; (2) [o]n November 25, 1997,
Plaintiff complained of neck pain but stated that his neck was not
hurting like it did previously; (3) [p]laintiff continued to
complain of pain in his neck and shoulder; (4) Dr. Mallon
performed a functional capacity examination which revealed a
positive impingement sign and pain in plaintiff's neck muscles; (5)
Dr. Mallon believed plaintiff had a nerve problem; and (6) Dr.Mallon stated plaintiff's accident could have caused the
herniated cervical discs. These findings indicate the Commission
fully considered plaintiff's initial failure to report neck pain to
Dr. Mallon. It is not this Court's role to weigh the credibility
of the evidence. Adams v. AVX Corp., 349 N.C. at 680-81, 509
S.E.2d at 413-14; see also Gutierrez, 169 N.C. App. at 176, 609
S.E.2d at 448. We have already concluded there was competent
evidence to support the Commission's decision that plaintiff's
accident caused his cervical disc herniation. Therefore, having
determined the Commission fully weighed conflicting evidence, we
must overrule defendants' third and final argument and affirm the
decision of the Commission.
Affirmed.
Judges McGEE and STEELMAN concur.
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