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BRENDA JOYCE HOLLEY,
Employee
v.
ACTS, INC.,
Employer,
LIBERTY MUTUAL INSURANCE COMPANY,
Carrier
Appeal pursuant to N.C.G.S. § 7A-30(2) from the
decision of a divided panel of the Court of Appeals, 152 N.C.
App. 369, 567 S.E.2d 457 (2002), remanding with instructions an
opinion and award entered 26 February 2001 by the North Carolina
Industrial Commission. Heard in the Supreme Court 13 March 2003.
Griffin, Smith, Caldwell, Helder & Helms, P.A., by
Annika M. Brock; The Law Offices of George W. Lennon,
by George W. Lennon; and Scudder & Hedrick, by
Samuel A. Scudder, for plaintiff-appellee.
Hedrick, Eatman, Gardner & Kincheloe, L.L.P., by
Terry L. Wallace and Neil P. Andrews, for defendant-
appellants.
Smith Moore LLP, by Jeri L. Whitfield and Caroline H.
Lock, on behalf of the North Carolina Association of
Defense Attorneys, amicus curiae.
LAKE, Chief Justice.
This case arises from proceedings before the North
Carolina Industrial Commission and raises the issue of whether
the Commission's findings of fact were supported by competent
evidence establishing causation between an employment-related
injury and the development of deep vein thrombosis (DVT), acondition caused by a blood clot in a deep vein which obstructs
blood flow and causes inflammation.
At the time of the incident, plaintiff was forty-nine
years old. She was on blood pressure medication to control her
hypertension and was under a doctor's care to lose weight. Since
1995, plaintiff had been taking the estrogen replacement drug
Premarin, which increases the risk of blood clots. Her medical
history also included treatment for benign breast tumors and
complaints of leg cramps. According to medical treatises relied
on by the Commission, some of the risk factors for DVT are: age
greater than forty; use of estrogen; history of tumors; and
preexisting conditions such as heart disease, obesity and
hypertension.
On 13 July 1996, while working as a certified nurses'
assistant for employer-defendant ACTS, Inc., a retirement
center/rest home facility, plaintiff twisted her leg on the
carpet and felt a sudden pain in her left calf. She reported the
injury immediately but finished working her shift, and
afterwards, went home to soak her injured leg. The next day,
plaintiff sought medical care for her sore leg at Presbyterian
Hospital, where she was examined by Dr. Jason Ratterree, an
emergency room physician. Dr. Ratterree diagnosed plaintiff with
a pulled calf muscle but wrote in his medical report that he
might have suspected DVT in etiology had not the patient told me
that there was sudden pain during slight traumatic episode.
Plaintiff was treated with anti-inflammatory and pain medications
for a pulled calf muscle, was sent home with a bandage andcrutches, and was ordered to stay off her left leg for three
days. As a preventive measure, Dr. Ratterree told plaintiff to
stop taking her estrogen replacement drug. If her pain
increased, plaintiff was told to return to the hospital for a
Doppler study of the leg to determine whether she might have a
blood clot. Plaintiff returned to work on 22 July 1996,
following a week of bed rest. Approximately five weeks later,
following a weekend in bed with a stomach virus, plaintiff awoke
with a painful, swollen leg. On 3 September 1996, she returned
to the emergency room for treatment. On that date, her doctor
ordered a Doppler study of her left leg, which revealed that
plaintiff had DVT. After her release from the hospital three
days later, plaintiff was seen regularly by internist Dr.
Dietlinde Zipkin until 16 November 1996 when she returned to
light-duty work. Plaintiff continued to experience leg pain and
was hospitalized again in June of 1997 for chronic DVT. She
returned to work on 11 July 1997.
When plaintiff filed a workers' compensation claim,
defendants denied payment on the grounds that plaintiff's medical
problems stemmed from a pre-existing condition that was not
aggravated or accelerated by a compensable accident or
occupational disease. On 31 August 1999, plaintiff filed a
request for a hearing before the Commission seeking: lost wages;
payment of medical expenses; payment for permanent partial
disability; and payment for permanent injury to internal organs
or parts of the body, which she claimed resulted from the
accident at work. On 22 March 2000, a deputy commissioner heardthe matter and, on 27 June 2000, filed an opinion and award
concluding that plaintiff's DVT was not the result of her injury
by accident to her left leg arising out of and in the course and
scope of her employment, and denying all claims. On 24 January
2001, the full Commission reviewed the case and, on 26 February
2001, filed its opinion and award concluding that plaintiff's DVT
was the result of a compensable injury at work and awarding
benefits. One commissioner dissented, maintaining that the
evidence failed to establish a causal connection between the
twisting injury and the DVT. Defendants gave notice of appeal to
the Court of Appeals.
On 20 August 2002, a divided panel of the Court of
Appeals held that competent evidence supported the full
Commission's determination that plaintiff's accident on 13 July
1996 caused her DVT. Holley v. ACTS, Inc., 152 N.C. App. 369,
567 S.E.2d 457 (2002). The dissenting judge held that plaintiff
had failed to establish a causal connection between the
compensable injury and her ensuing DVT and that the expert
testimony was mere speculation. Id. at 378-79, 567 S.E.2d at
463-64.
The specific issue before this Court is whether there
was competent evidence presented to establish a causal connection
between the original injury by accident to plaintiff's leg on 13
July 1996 and her diagnosis of DVT on 3 September 1996. The
Court of Appeals' majority determined that competent evidence was
presented sufficient to support the Commission's findings of fact
and conclusions of law. We disagree. In deciding an appeal from an award of the Industrial
Commission, appellate courts may set aside a finding of fact only
if it lacks evidentiary support. Saunders v. Edenton Ob/Gyn
Ctr., 352 N.C. 136, 140, 530 S.E.2d 62, 65 (2000); McRae v. Wall,
260 N.C. 576, 578, 133 S.E.2d 220, 222 (1963). Although the
Industrial Commission is the sole judge of the credibility and
the evidentiary weight to be given to witness testimony, Adams v.
AVX Corp., 349 N.C. 676, 680, 509 S.E.2d 411, 413 (1998), the
Commission's conclusions of law are fully reviewable, Lanning v.
Fieldcrest-Cannon, Inc., 352 N.C. 98, 106, 530 S.E.2d 54, 60
(2000). When the Commission acts under a misapprehension of the
law, the award must be set aside and the case remanded for a new
determination using the correct legal standard. Ballenger v.
ITT Grinnell Indus. Piping, Inc., 320 N.C. 155, 158, 357 S.E.2d
683, 685 (1987).
In a worker's compensation claim, the employee has the
burden of proving that his claim is compensable. Henry v. A.C.
Lawrence Leather Co., 231 N.C. 477, 479, 57 S.E.2d 760, 761
(1950). An injury is compensable as employment-related if 'any
reasonable relationship to employment exists.' Kiger v. Bahnson
Serv. Co., 260 N.C. 760, 762, 133 S.E.2d 702, 704 (1963) (quoting
Allred v. Allred-Gardner, Inc., 253 N.C. 554, 557, 117 S.E.2d
476, 479 (1960)). Although the employment-related accident need
not be the sole causative force to render an injury compensable,
Hansel v. Sherman Textiles, 304 N.C. 44, 52, 283 S.E.2d 101, 106
(1981), the plaintiff must prove that the accident was a causal
factor by a preponderance of the evidence, Ballenger, 320 N.C.at 158-59, 357 S.E.2d at 685. See also 1 Kenneth S. Broun,
Brandis and Broun on North Carolina Evidence § 41, at 137 (5th
ed. 1998).
In cases involving 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. Click v. Pilot Freight Carriers, Inc., 300
N.C. 164, 167, 265 S.E.2d 389, 391 (1980). However, when such
expert opinion testimony is based merely upon speculation and
conjecture, . . . it is not sufficiently reliable to qualify as
competent evidence on issues of medical causation. Young v.
Hickory Bus. Furn., 353 N.C. 227, 230, 538 S.E.2d 912, 915
(2000). [T]he evidence must be such as to take the case out of
the realm of conjecture and remote possibility, that is, there
must be sufficient competent evidence tending to show a proximate
causal relation. Gilmore v. Hoke Cty. Bd. of Educ., 222 N.C.
358, 365, 23 S.E.2d 292, 296 (1942) (discussing the standard for
compensability when a work-related accident results in death).
Treatises on evidence note that the standards for
admissibility of expert opinion testimony have been confused with
the standards for sufficiency of such testimony. See 1 Henry
Brandis, Jr., Brandis on North Carolina Evidence § 137, at 549
n.57 (2d rev. ed. 1982); Dale F. Stansbury, The North Carolina
Law of Evidence § 137, at 108 n.67a (Henry Brandis, Jr., 2d ed.
Supp. 1970). Prior to 1983, an expert was not allowed to testify
on causation with outright certainty since that would supposedly
invade the 'province of the jury.' Cherry v. Harrell, 84 N.C.App. 598, 603, 353 S.E.2d 433, 436, disc. rev. denied, 320 N.C.
167, 358 S.E.2d 49 (1987); see also N.C.G.S. § 8C-1, Rule 704
(2001) (not changed since its adoption in 1983). Therefore,
medical experts were asked only whether 'a particular event or
condition could or might have produced the result in question,
not whether it did produce such result.' Lockwood v. McCaskill,
262 N.C. 663, 668, 138 S.E.2d 541, 545 (1964) (quoting Stansbury,
North Carolina Evidence § 137, at 332 (2d ed. 1963)). With the
adoption of Rule 704 in 1983, experts were allowed to testify
more definitively as to causation. N.C.G.S. § 8C-1, Rule 704.
While the could or might question format circumvented the
admissibility problem, it led to confusion that such testimony
was sufficient to prove causation. See Alva v. Charlotte
Mecklenburg Hosp. Auth., 118 N.C. App. 76, 80-81, 453 S.E.2d 871,
874 (1995) (a case that erroneously relied on Lockwood, an
opinion on the admissibility of expert opinion testimony, to find
could or might testimony sufficient to prove causation).
Although expert testimony as to the possible cause of a medical
condition is admissible if helpful to the jury, Cherry, 84 N.C.
App. at 604-05, 353 S.E.2d at 437, it is insufficient to prove
causation, particularly when there is additional evidence or
testimony showing the expert's opinion to be a guess or mere
speculation, Young, 353 N.C. at 233, 538 S.E.2d at 916.
In the case sub judice, the Court of Appeals' majority
held that the Industrial Commission's findings of fact regarding
plaintiff's DVT were not based on speculative expert medical
testimony and were, therefore, competent to show that plaintiff'sDVT was a result of her 13 July 1996 accident at work. Holley,
152 N.C. App. at 376-77, 567 S.E.2d at 462. However, a review of
the expert testimony reveals that neither of plaintiff's
physicians could establish the required causal connection between
plaintiff's accident and her DVT.
In his deposition, Dr. Ratterree made a number of
comments that demonstrate the speculative nature of his opinion.
Dr. Ratterree testified that DVT is a consideration anytime a
patient has calf pain, but he thought it was a low possibility
in plaintiff's case given her sudden acute injury. Dr. Ratterree
said that by far 90 percent or greater of his DVT patients have
not suffered any injury. He testified that plaintiff could have
been developing a blood clot prior to the injury at work,
concluding: It's just a galaxy of possibilities. On cross-
examination, Dr. Ratterree responded to questioning as follows:
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 Ms. Holley was a
significant contributing factor in causing
DVT?
A. I can't say that, no.
Dr. Zipkin was equally uncertain about the etiology of
plaintiff's DVT. In her letter of 14 April 1997 to plaintiff's
attorney, Dr. Zipkin stated: I am unable to say with any degree
of certainty whether or not the above mentioned work injury is
related to the development of her DVT. (Emphasis added.)
During her deposition, Dr. Zipkin testified in part as follows:
Q. . . . what, in your opinion, could
or might have caused this DVT?
A. I don't really know what caused the
DVT.
Q. Is it fair to say that you can't
state to a reasonable degree of medical
certainty what caused the DVT in this
particular incident?
A. It is fair to state, yes.
The entirety of the expert testimony in the instant
case suggests that a causal connection between plaintiff's
accident and her DVT was possible, but unlikely. Doctors are
trained not to rule out medical possibilities no matter how
remote; however, mere possibility has never been legally
competent to prove causation. See, e.g., Young, 353 N.C. at 233,
538 S.E.2d at 916. Although medical certainty is not required,
an expert's speculation is insufficient to establish causation.
See id. As the foregoing testimony indicates, plaintiff's
doctors were unable to express an opinion to any degree of
medical certainty as to the cause of plaintiff's DVT.
When dealing with a complicated medical question such
as the genesis of DVT, expert medical testimony is necessary to
provide a proper foundation for the Commission's findings.
Reliance on Commission expertise is not justified where the
subject matter involves a complicated medical question. Click,
300 N.C. at 168, 265 S.E.2d at 391. Therefore, we hold that the
medical evidence as to causation in this case was insufficient to
support the Industrial Commission's findings of fact and
conclusions of law.
Finally, plaintiff argues that defendants failed to
prove that plaintiff's preexisting conditions were the sole causeof her DVT and that, to the contrary, no evidence was presented
that plaintiff's DVT was caused by anything other than her work-
related accident. This argument is unpersuasive. Plaintiff has
the burden to prove each element of compensability, Harvey v.
Raleigh Police Dep't, 96 N.C. App. 28, 35, 384 S.E.2d 549, 553,
disc. rev. denied, 325 N.C. 706, 388 S.E.2d 454 (1989); see also
Taylor v. Twin City Club, 260 N.C. 435, 437, 132 S.E.2d 865, 867
(1963). Furthermore, evidence of plaintiff's age and medical
history of hypertension, breast tumors, leg cramps, and estrogen
use suggests other potential causes of plaintiff's DVT.
We hold that the entirety of causation evidence before
the Commission failed to meet the reasonable degree of medical
certainty standard necessary to establish a causal link between
plaintiff's twisting injury and her DVT. The opinion of the
Court of Appeals, affirming the Industrial Commission's findings
of fact, is, therefore, reversed, and this case is remanded to
that court for further remand to the North Carolina Industrial
Commission for disposition in accordance with this opinion.
REVERSED AND REMANDED.
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