Lead Opinion
Metals USA (employer) and American Home Assurance/AIG Claims Services, Inc. (carrier), collectively defendants, appeal an opinion and award of the Full Commission granting plaintiff temporary total disability benefits.
At the time of the hearing before the deputy commissioner, plaintiff, a married forty-seven-year old father of two children had a work history as a laborer. Plaintiff had worked for the defendant-employer as a truck loader since October 1995.
On 1 October 2000, after loading a truck with steel, plaintiff slipped while climbing down a ladder on the truck. Moisture on the bottom of his shoes and on the steps of the ladder caused him to slip and fall. Plaintiff testified at the hearing before the deputy commis
Plaintiff mentioned the fall to his co-worker, Corey Wiseman who was the punch press operator that evening. Corey Wiseman testified at the hearing that plaintiff told her that he fell off the ladder and showed her the scrapes on his arm.
Even though plaintiff minimized the injury, he reported the incident to Larry Mallotte, the lead man on the third shift, and showed Mallotte the abrasions on his arm because he thought he was supposed to tell someone in case the injury became more serious. Plaintiff testified that at the time he reported the injury to Mallotte, his arms were hurting and he felt like he bruised his hip.
Michael Wiseman, another co-worker, testified during his deposition that during a shift change on or about 1 October 2000, plaintiff told him that he had fallen down a ladder. Michael Wiseman asked plaintiff if he had reported the injury to Mallotte. Michael Wiseman testified that an employee is supposed to report an injury to whomever is in charge. Plaintiff indicated to Michael Wiseman that he had told Mallotte about the fall.
Mallotte testified at the hearing that plaintiff told him he slipped and fell. Mallotte testified that he remembered this conversation occurring on or about 1 October 2000. Mallotte testified that he is supposed to report an injury to the supervisor if an incident was reported to him, but that he did not complete an injury report because plaintiff did not indicate he was seriously injured.
Plaintiff did not seek medical treatment immediately following the injury. He continued to perform his regular job; however, he noticed an increase of pain and discomfort in his hip, leg and foot. He thought the problem was related to years of walking on cement floors.
On 18 January 2001, plaintiff sought medical treatment at White Oak Family Physicians from Dr. Robert B. Scott due to severe back pain. Plaintiff stated he could hardly walk and his left foot was going numb. Plaintiff could not recall a specific injury. Dr. Scott diagnosed plaintiff with substantial sciatica and noted that a disc herniation was suspected. Plaintiff was taken out of work for two weeks.
On 29 January 2001, plaintiff returned to White Oak Family Physicians for follow-up care of his back pain. Plaintiff stated he was doing better and was no longer having pain during rest; however, he would hurt when he had been up and about for a very long time. Plaintiff also stated that the drive to the doctor’s office had caused a slight flare up in the pain. Dr. Scott continued plaintiff’s out-of-work status and prescribed Decadron.
Plaintiff was eventually referred to Randleman Medical Center by the defendant-employer, and was seen there on 30 January 2001, for his back pain. Plaintiff reported he had fallen off a ladder and that the pain had really started bothering him. Plaintiff was prescribed 200 mg of Celebrex.
On 1 February 2001, plaintiff returned to Randleman Medical Center for follow-up care of his back pain. An MRI was requested of plaintiff’s lumbar spine and the MRI was approved by Stafford and defendant-appellant. On 7 February 2001, plaintiff had an MRI at Southeastern Radiology, which showed that he had degenerative disc disease at L4-L5 and L5-S1. The MRI also showed a dominant finding of a “large leftward disc protrusion/extrusion with moderate to marked neutral neural encroachment.”
On 22 February 2001, plaintiff returned to Randleman Medical Center for a follow-up of his back pain. Plaintiff, stating that his back pain was still intense, was referred to Dr. Henry Poole at Microneurosurgical Specialist of Central Carolina.
On 13 March 2001, Dr. Randy O. Kritzer saw plaintiff at Microneurosurgical Specialist. Plaintiff was being evaluated for left
On 6 April 2001, plaintiff underwent a lumbar microdiskectomy performed by Drs. Kritzer and Poole. On 9 May 2001, three weeks following surgery, plaintiff was seen at Microneurosurgical Specialist by Dr. Kritzer. Dr. Kritzer noted that plaintiff was doing well and that most of his pre-operative pain had resolved. Plaintiff stated that he was walking a few miles daily without difficulty. Dr. Kritzer stated that he would see plaintiff back in three weeks, and hopefully release him to return to work at that time.
On 6 June 2001, plaintiff complained to Dr. Kritzer that his pains were worsening again. Dr. Kritzer recommended an MRI scan. On 7 June 2001, plaintiff returned to Dr. Kritzer to follow-up on the lumbar scan. Dr. Kritzer stated that his latest scan showed excellent disk removal and no evidence of neural compression. Dr. Kritzer recommended two epidural steroid shots.
On 25 July 2001, plaintiff returned to Dr. Kritzer after receiving two epidural steroid shots, which did not provide any relief. Dr. Kritzer recommended Elavil and planned to see plaintiff back in a month. On 27 August 2001, plaintiff returned to Dr. Kritzer without receiving much relief after taking the Elavil. Dr. Kritzer stated that plaintiff had reached maximum medical improvement, and he would return plaintiff to work in approximately ten days with some lifting limitations and that he would see him in the future on an as-needed basis. During his deposition, Dr. Kritzer indicated he assigned plaintiff an eleven percent (11%) permanent partial disability rating to his back.
On 13 December 2001, plaintiff was presented to Johnson Neurological Clinic by referral from Dr. Scott to be evaluated by Dr. Victor D. Freund. Plaintiff stated that he had done well for roughly one month following the surgery and then had a recurrence of symptoms. Plaintiff also stated that his leg pain had worsened progressively despite having a repeat MRI scan in June 2001, which showed
This matter came for hearing before a deputy commissioner, and by order filed 30 August 2002, plaintiff’s claim for benefits was denied. The deputy commissioner found that plaintiff continued to perform his normal job duties after the 1 October 2000 incident and failed to report any alleged back injury to his supervisors, coworkers, or the human resources manager; plaintiff did not seek medical treatment until three and one-half months after the alleged accident; and plaintiffs claim to Dr. Kritzer, that he suffered back and leg pain since 1 October 2000, was not corroborated by the other credible evidence. Based upon all of these facts, the deputy commissioner found that plaintiff suffered no back injury as a result of the 1 October 2000 fall and denied his claim for benefits. Plaintiff appealed to the Full Commission.
On review, the Full Commission, like the deputy commissioner, found that plaintiff did not immediately seek medical attention after the 1 October 2000 incident and that he continued to perform his normal job duties. The Full Commission, however, found that during this time plaintiff suffered increasing pain in his hip, leg, and foot. The Full Commission then concluded that plaintiffs testimony was credible and that he suffered a compensable injury by accident on 1 October 2000. The Full Commission reversed the opinion and award of the deputy commissioner and granted plaintiffs claim for benefits.
The issues on appeal are whether: (I) the decision of the Full Commission should be reversed because there was insufficient evidence of causation; and (II) plaintiff presented sufficient evidence to prove ongoing disability.
Standard of Review
Opinions and awards of the Commission are reviewed to determine whether competent evidence exists to support the Commission’s findings of fact, and whether the findings of fact support the Commission’s conclusions of law. See Deese v. Champion Int’l Corp.,
I
First, defendants argue that the decision of the Full Commission should be reversed because there did not exist any competent evidence to support the conclusion that plaintiff’s injury was caused by his employment. Specifically, defendants seek to undermine plaintiff’s evidence by: (1) arguing that Dr. Kritzer did not testify to a reasonable degree of medical certainty, and (2) suggesting that the evidence merely establishes that plaintiff’s condition is possibly related to his work injuries and is speculative at best.
The claimant in a workers’ compensation case bears the burden of initially proving “each and every element of compensability,” including a causal relationship between the injury and his employment. Whitfield v. Lab. Corp. of Amer.,
It is permissible, but not compulsory for a fact-finder to infer causation where a medical expert offers a qualified opinion as to causation, along with an accepted medical explanation as to how such a condition occurs, and where there is additional evidence tending to establish a causal nexus. Johnson v. Piggly Wiggly of Pinetops, Inc.,
“[The Supreme] Court has allowed ‘could’ or ‘might’ expert testimony as probative and competent evidence to prove causation.” Young v. Hickory Bus. Furniture,
In Holley, our Supreme Court discussed expert testimony which it found insufficient to establish causation because such testimony suggested “that a causal connection between plaintiff’s accident and her [injury] was possible, but unlikely.” Holley, at 233-34,
Following Holley, this Court decided the case of Hodgin, which involved a carpet layer who alleged that he suffered a para-esophageal hernia as a direct result of lifting an unusually heavy chest of drawers while at work. Hodgin,
In the instant case, the only medical deposition testimony offered into evidence was the testimony of Dr. Kritzer taken on 7 March 2002. Dr. Kritzer’s deposition transcript on direct examination reads in pertinent part:
Q. Now, Dr. Kritzer, did you have an occasion to treat [plaintiff]?
A. Yes, I did.
Q. And did you see [plaintiff] for the first time on March the 13th, 2001?
A. I did.
Q. And did you take a history from [plaintiff] at that time?
A. I did.
Q. And what history did you take from him, sir?
A. He reported falling off a ladder at work approximately six months prior to that, to the date given, was around October 1st of 2000. Fell off a ladder at work and hurting his back at that time.
Q. And what were his subjective complaints during that visit?
A. Pain in his left buttock, hip, and leg, with numbness and tingling.
Q. Okay. And did he bring an MRI with him [to] you or an MRI report with him?
A. Yes, he did.
Q. Okay. Did you have an opportunity to review that MRI report?
A. Yes.
Q. And what were your—
A. I didn’t review the report, I reviewed the films.
Q. Okay. And what were your—
A. And it showed a large disk herniation at L5-S1 on his left side.
*479 Q. Okay. And would that L5-S1 disk herniation be consistent wit the leg numbness and complaints that [plaintiff] presented to you on March 13th, 2001?
A. Yes — yes, it would be.
Q. And just as a general background, what type of symptoms manifest themselves from an L5-S1 disk herniation?
A. Pain in the buttock, hip, and leg, with numbness and tingling, just like [plaintiff] had.
Q. Now, in your treatment of [plaintiff] would it be important to your treatment that before falling off the ladder on October 1st, 200[0] he didn’t have any back or leg pain?
A. Yes, it would be important that he did not have a previous history.
Q. And would it be significant to your treatment that after October 1st, 2000 that [plaintiff] did start complaining of leg and hip numbness and tingling and pain and discomfort?
A. Yes.
Q. Now, Dr. Kritzer, if the Industrial Commission were to find that [plaintiff] fell off a ladder on October 1st, 2000 and landed on his back, do you have an opinion whether that incident caused his disk herniation at L5-S1?'
[Dr. Kritzer]: The — all you can say is that his symptoms started then, and that’s really the main issue, temporally speaking. And he don’t have to fall [off] a ladder to rupture a disk. People can do it in their sleep, can do it emptying a dishwasher. It does not have to be some sort of big event. But if he was asymptomatic before he fell off and then developed symptoms after he fell off, then I would certainly believe that the falling off the ladder was the cause of his difficulty.
(emphasis added).
Dr. Kritzer’s deposition transcript on cross-examination reads in pertinent part:
*480 Q. . . .Would you expect pain to occur at the time of a disk herniation?
A. No, do not have to.
Q. Okay. What about some of symptoms, radicular pain, radicular symptoms—
A. Not necessarily. When someone comes in and they have a ruptured disk and they say they’ve had a problem for three weeks, that doesn’t mean that three weeks earlier from that date is when that disk came popping out. You can have a disk rupture — I always kind of make the analogy of walking around with a knife in your pocket, okay. I can have a knife in my pocket and not have any problems from it, but if somehow I twisted or banged into a wall or fell down and that knife stabs me, then I start to have difficulty. So you cannot necessarily equate the weight of symptoms with the exact date of herniation ....
Q. Okay. If you’ll assume for a moment — can coughing and sneezing cause a herniated disk?
A. It can.
Q. Can everyday activities cause a herniated disk?
A. Yes.
Q. Have you seen cases in which you cannot point to a specific traumatic event as the cause of a herniated disk?
A. Yes, very many.
Q. Your opinion you stated regarding causation was based upon the temporal nature of the complaint and the fall?
A. Yes.
Q. His history he gave to you was that he had these pain[s] and symptoms after he fell, correct?
A. Correct.
Q. Was it your understanding that he had it immediately after he fell?
A. Well, he said he had it minor for about two or three months and then it started to get a lot worse. That was the original history that he gave me.
*481 Q. Okay.
A. But he did have some difficulty immediately after [the fall].
Q. I’m sorry. If you’ll assume for a moment that in October— and again just assume that the Commission finds these facts.
A. Okay.
Q. That in October of 2000 [plaintiff] slipped from a low rung of a ladder and scraped his arms; that he did not complain of any symptoms in his back, no pain or radiculopathy, continued working for three and half months in his normal job, during which he never asked to see a doctor, never told his supervisors that he was having any problems with his back; the first time he saw a doctor was in mid-January of 2001, three and half months after the fall from the low rung on the ladder, at which time he was sneezing and coughing because he was sick.
If you’ll assume those facts, would you [be] able to tell us, to a reasonable degree of medical certainty, that falling a couple of feet from the ladder caused the herniated disk?
A. No, I would not be able to say that with reasonable medical certainty.
Q. Okay. And I guess the opinion you gave previously was based upon the temporal nature of the pain and the fall?
A. That’s correct.
Dr. Kritzer’s deposition transcript on redirect reads in pertinent part:
Q. Now, Doctor, just one or two follow-up questions. Was there any indication in your treatment of [plaintiff] that sneezing or coughing or everyday activities caused his disk herniation at L5-S1?
A. No.
Q. And would it be significant as well that after October 1st, 2000, [plaintiff] complained of problems going down his leg into his feet?
A. I’m sorry, repeat that question.
*482 Q. Excuse me. Would it be significant that after his fall on October 1st, 2000 that [plaintiff] complained of having problems going down his leg and into his feet?
A. [Dr. Kritzer]: That would be significant.
Q. Your opinion on causation is based upon the history given to you in this case, correct?
A. Correct.
The record shows that plaintiff complained of pain in his left hip and leg, and numbness and tingling in his feet — which evidence is consistent with the testimony of Dr. Kritzer that a left herniation would cause problems on the left side down into the legs. The medical records in evidence objectively verify a disk herniation, based an MRI scan as of 7 February 2001. In addition, Dr. Kritzer testified he relied on the medical records in rendering his decision. See N.C.G.S. § 8C-1, Rule 703 (2003) (“The facts or data in the particular case upon which an expert bases an opinion or inference may be those perceived by or made known to him at or before the hearing. If of a type reasonably relied upon by experts in the particular field in forming opinions or inferences upon the subject, the facts or data need not be admissible in evidence.”).
In the instant case, the evidence was sufficient to allow the Commission to determine that the accident at work caused plaintiffs injury. Although Dr. Kritzer testified that he could not opine to a reasonable degree of medical certainty whether the fall from the ladder caused plaintiffs back injury, testimony attesting “medical certainty is not required.” Holley,
II
Second, defendants argue that there existed insufficient evidence to prove ongoing disability.
Disability under the Workers’ Compensation Act is defined as “incapacity because of injury to earn the wages which the employee was receiving at the time of injury in the same or any other employment.” N.C.G.S. § 97-2(9) (2003). The burden of proving the extent and degree of disability lies with the plaintiff. Simmons v. Kroger Co.,
(1) the production of medical evidence that he is physically or mentally, as a consequence of the work related injury, incapable of work in any employment; (2) the production of evidence that he is capable of some work, but that he has, after a reasonable effort on his part, been unsuccessful in his effort to obtain employment; (3) the production of evidence that he is capable of some work but that it would be futile because of preexisting conditions, i.e., age, inexperience, lack of education, to seek other employment; or (4) the production of evidence that he has*484 obtained other employment at a wage less than that earned prior to the injury.
Russell v. Lowes Product Distribution,
In the instant case, plaintiff testified that he was released from Dr. Kritzer’s care with a permanent partial disability rating of eleven percent (11%) as to his back, and a lifting restriction of fifty pounds. At the time plaintiff was released to return to work, defendant-employer had terminated his position. Moreover, defendant-employer never offered plaintiff any light duty work or vocational rehabilitation assistance.
From the evidence presented, it appears plaintiff was still currently disabled as he had not yet regained his pre-injury wage capacity. Radica v. Carolina Mills,
Affirmed.
Notes
. “[C]ases involving . . . ruptured discs . . . remain ‘the anathema of the orthopedic and neurosurgeon,’ not only because of the difficulties of treatment but also because ‘[i]t is . . . extremely difficult at times to sort out the complaints due to injury from those of nontraumatic origin.’ ” Click,
. Moreover, the causal relationship must be established by evidence “such as to take the case out of the realm of conjecture and remote possibility.” Holley,
Dissenting Opinion
dissenting.
The majority’s opinion holds that Dr. Kritzer’s testimony sufficiently established causation to affirm the Commission’s award. I respectfully dissent.
“Plaintiff has the burden to prove each element of compensability.” Holley v. ACTS, Inc.,
“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). “The 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)....
Holley,
In Holley, our Supreme Court clarified the employee’s burden and the required standard of proof to establish causation and stated, “[although expert testimony as to the possible cause of a medical condition is.admissible if helpful to the jury, 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.’ ”
Here, Dr. Kritzer was the only medical expert whose testimony was considered by the Commission. He testified that plaintiff’s injury could have been caused by “emptying a dishwasher,” “in [his] sleep,” or “coughing and sneezing.” Dr. Kritzer also stated he could not testify to a “reasonable degree of medical certainty” that plaintiff’s “falling a couple of feet from the ladder caused the herniated disk.” Further, Dr. Kritzer did not review “any previous medical history” from plaintiff, other than plaintiff’s “account” of the accident and an MRI film. Dr. Kritzer’s only basis for causation was admittedly based on “the temporal nature of the pain and the fall.” The “entirety of causation evidence” fails to establish plaintiff’s fall off the ladder caused his back injury. Id.
Dr. Kritzer’s deposition and testimony show that numerous possible causes of plaintiff’s injury exist. His opinion regarding the cause of plaintiff’s injury was based on the “history” given to him regarding plaintiff’s injury and the “temporal nature of the complaint and the fall.” Although Dr. Kritzer’s testimony may be admissible, it was based on “mere speculation” and is “insufficient to prove causation.” Id. at 233,
To support its holding that plaintiff presented sufficient evidence regarding causation, the majority’s opinion relies in part on Johnson v. Piggly Wiggly of Pinetops, Inc.,
Even accepting the majority’s interpretation of Holley that expert testimony to a “reasonable degree of medical certainty” is not required to prove causation, no competent evidence exists to support the Commission’s finding that “plaintiff’s [injury] was causally related to liis October 1, 2000[,] fall from the ladder.” Dr. Kritzer, the sole
Without competent evidence to support a finding of fact to prove the required element of causation, the Commission’s conclusion of law that “Plaintiff suffered a compensable injury” cannot be supported. The Opinion and Award should be reversed. I respectfully dissent.
