Lead Opinion
delivered the Opinion of the Court.
T1 We granted certiorari to consider whether an "unexplained" fall-fLe., a fall with a truly unknown cause or mechanism-satisfies the "arising out of" employment requirement of Colorado's Workers' Compensation Act, section 8-41-801(l)(c, C.R.S. (2013), and is thus compensable as a work-related injury. We also granted certiorari to decide whether an employer fails to meet its burden to modify an admission of lability under section 8-48-201(1), C.R.S. (20183), when it fails to prove that an employee's injuries did not "arise out of" employment.
T2 Respondent Helen Rodriguez injured herself after falling down a flight of stairs at work. While we agree with the court of appeals' holding that Rodriguez's unexplained fall was compensable, we disagree with its reasoning. The court of appeals erred when it endorsed Rodriguez's view that her injuries arose out of employment because "uncertainty about the cause of an injury cannot properly bar a workers' compensation claim if every one of the potential causes satisfie[d] the conditions of recovery." See Rodriguez v. ICAO,
T3 In addition, we hold that under section 8-43-201(1), a party seeking to modify an issue determined by a general or final admission, a summary order, or a full order has the burden to prove by a preponderance of the evidence that such a modification should be made. Here, Petitioners City of Brighton and the Colorado Intergovernmental Risk Sharing Agency (collectively "the City") initially admitted liability for Rodriguez's injuries but later sought to modify that admission. We affirm the court of appeals' holding that the City failed to meet the burden of proof to make this modification. See Rodriguez, 1 10.
I. Facts and Procedural History
T4 Rodriguez worked as a special events coordinator for the City of Brighton. On January 8, 2009, Rodriguez was walking to her office, which was located in the basement of the Brighton City Hall building ("City Hall"). She paused at the top of a flight of concrete stairs running along the outside of City Hall to greet two of her co-workers, Seott Miller and Dennis Williams, who were standing toward the bottom of the stairs. After a brief chat with Miller and Williams, she began to walk down the stairs, which were dry and unobstructed. All of a sudden, she tumbled forward. Rodriguez hit her head, lost consciousness, and did not remember precisely how she fell-for example, she did not know whether she tripped, slipped, lost her balance, or something else entirely. Prior to falling, Rodriguez was not experiencing a headache, neck pain, dizziness, or vision problems.
T5 After her fall, Rodriguez was taken by ambulance to a nearby emergency room. She underwent Computed Tomography ("CT") and Magnetic Resonance Angiogram ("MRA") seans, which revealed four unrup-tured aneurysms on the right side of her brain. A few weeks later, she underwent surgery for these aneurysms.
16 As a result of her fall, Rodriguez experienced head, neck, and back injuries. Twenty days after Rodriguez's fall, the City filed a general admission of lability ("CGAL") for these injuries. In late 2010, however, the City sought to modify that GAL (and effectively withdraw it entirely), arguing that the injuries resulting from Rodriguez's fall were not compensable because they did not "arise out of" her employment. Specifically, the City argued that either (1) her fall was caused by her brain aneurysms, or (2) her fall was "unexplained." A hearing on this matter was held before Administrative Law Judge Ted A. Krumreich ("the ALJ") in December of 2010.
7 Miller and Williams, the only witnesses to Rodriguez's fall, testified at this hearing. Both were located toward the bottom of the stairs when they paused to chat with Rodriguez. Neither knew why Rodriguez fell as she did. For example, neither saw her trip, slip, or lose her balance. Both testified that the stairs appeared to be dry and unobstructed. Specifically, Miller stated that Rodriguez took two-to-four steps, and then "all of a sudden just went forward." Williams testified that he observed Rodriguez descend a few steps prior to pitching forward, and that it appeared as if someone "just literally yanked a rug out from underneath her." Miller and Williams also testified that Rodriguez had been speaking and acting normally immediately prior to her fall.
18 At the hearing, the ALJ also heard testimony from Dr. Jeffrey Wunder, who had performed an independent medical examination of Rodriguez at the City's request. Dr. Wunder opined that the "most likely" cause of Rodriguez's fall was a fainting or dizziness episode caused by Rodriguez's brain aneurysms, although he could not state this conclusion with a "reasonable degree of medical probability." The ALJ also reviewed two opposing reports from Dr. Lynn Parry and Dr. Alexander Feldman. Both Dr. Parry and Dr. Feldman opined that Rodriguez's brain aneurysms were not the cause of her fall, as the aneurysms were asymptomatic prior to the fall.
T9 In his Order, the ALJ specifically discredited Dr. Wunder's testimony and credited the testimony of the two other doctors. The ALJ found that Rodriguez's fall was not precipitated by her brain aneurysms, nor was
T10 The court of appeals set aside the ICAO's order. Because the City initially admitted liability for Rodriguez's injuries and then later contested liability based on the "arising out of" requirement of the Act, the court of appeals held that the City was required to prove that Rodriguez's injuries did not "arise out of" her employment. Rodri-gues, 110 (citing § 8-48-201(1)) ("[A] party seeking to modify an issue determined by a general or final admission ... shall bear the burden of proof for any such modification."). Consequently, the court of appeals held that the City did not carry its burden because "the ALJ's finding-that the fall was unexplained-signal[ed] a failure of proof on [the City's] part." Id. Rodriguez's injuries were therefore held to be compensable under the Act. Although not central to its holding regarding compensability, the court of appeals also endorsed Rodriguez's argument that "uncertainty about the cause of an injury cannot properly bar a workers' compensation claim if every one of the potential causes satisfies the conditions of recovery." Id. at T 6. We granted certiorari.
II. Standard of Review
111 The determination of whether an employee's injuries arose out of employment is a question of fact for resolution by the ALJ. See In re Question Submitted by U.S. Court of Appeals for the Tenth Circuit,
$12 Unlike factual findings, this Court reviews an administrative agency's conclusions of law de novo. Colo. Dep't of Labor & Emp't v. Esser,
113 Specifically, this case requires us to determine the meaning of two sections of Colorado's Workers' Compensation Act ("the Act"). "To discern the legislative intent, we look first to the plain and ordinary meaning of the statutory language." People v. Madden,
III. Analysis
14 First, we review the well-established analytical categories that we have used to evaluate the three types of risks that cause injuries to employees in the workplace. We
{ 15 Second, we hold that under section 8-43-201(1), a party seeking to modify a general or final admission, a summary order, or a full order has the burden to prove by a preponderance of the evidence that such a modification should be made. We then apply this burden to the facts of Rodriguez's case and conclude that the City did not meet this burden to modify its GAL.
A. Rodriguez's Unexplained Fall Arose Out of Employment and Was Compen-sable Under the "But-For" Test
116 To recover benefits under the Act, an employee's injury must both occur "in the course of" employment and "aris[e] out of" employment. § 8-41-801(1)(c). The employee must meet this standard by a preponderance of the evidence. § 8-48-201(1). The parties in this case agree that Rodriguez's injury occurred "in the course of" her employment; thus, our analysis focuses on determining whether her unexplained fall "arose out of" her employment.
117 The term "arising out of" refers to the origin or cause of an employee's injury. - Horodyskyj v. Karanian,
118 Here, the City concedes that the activity causing Rodriguez's injury-walking down the stairs to her basement office-was sufficiently work-related to be considered part of Rodriguez's employment. It argues, however, that Rodriguez necessarily could not provide a sufficient causal connection between her work activities and her injuries because she could not provide evidence regarding the precise mechanism for her fall down the stairs (e.g., tripping, slipping, or losing her balance). We disagree.
119 All risks that cause injury to employees can be placed within three well-established, overarching categories: (1) employment risks, which are directly tied to the work itself; (2) personal risks, which are inherently personal or private to the employee him- or herself; and (8) neutral risks, which are neither employment related nor personal. 1 Arthur Larson & Lex K. Larson, Larson's Workers' Compensation Law §§ 4.01-4.03, at 4-1 to -8 (2013) (hereinafter Larson), see also Horodyskyj,
120 The first category, employment risks, encompasses risks inherent to the work environment itself. Employment risks include, for example, a gas explosion at work that burns an employee's body, Rio Grande Motor Way v. De Merschman,
21 In contrast, the second category contains risks that are entirely personal or private to the employee him- or herself. See Horodyskyj,
122 These types of purely idiopathic or personal injuries are generally not compensable under the Act, unless an exception applies.
123 The third category includes injuries caused by so-called "neutral risks." Horodyskyj,
124 We hold that an unexplained fall necessarily constitutes a neutral risk. It is clear that Rodriguez's fall was not the result of an occupational hazard or a personal risk. Because the precise mechanism of her unexplained fall was neither occupational nor personal, by definition, such a fall is fundamentally similar to other neutral risks-like car thieves, lightning, murderous lunatics, and stray bullets-because none of these risks has a connection with the employee's work or with the employee him- or herself. See Larson, § 7.04[1][cl, at 7-31 ("[Where the neutral-risk concept has been accepted for other purposes, a lot of confusion, cireum-locutions, and fictions could be avoided in the unexplained-fall cases by merely accepting the proposition that what is unexplained is neutral.").
$25 Importantly, however, injuries stemming from neutral risks, whether such risks be an employer's dry and unobstructed stairs or stray bullets, "arise out of" employment because they would not have occurred but for employment. That is, the employment causally contributed to the injury because it obligated the employee to engage in employment-related functions, errands, or duties at the time of injury. See Horodys-kyj,
126 For over eighty years, this Court has consistently applied the "but-for" test (otherwise known as the "positional-risk" test) to injuries caused by neutral risks.
127 By applying the "but-for" test to unexplained falls, we reverse the court of appeals to the extent it held that an unexplained fall is compensable when "every one of the potential causes [of the fall} satisfies the conditions of recovery." Rodrigues, T1 6-7. Such a holding misses the mark because it introduces a kind of speculative fiction about all of the possible causes of a fall; such speculation is unhelpful when the evidence indicates that the cause of a fall is unknown. See Larson, § 7.04[1][c], at 7-31. This fiction is also entirely avoidable if a fall is properly categorized as arising from either an employment-related risk or a personal/idiopathic risk or a neutral risk. If a fall is the result of an employment-related risk, it very likely "arose out of" employment; if it is the result of a preexisting, idiopathic condition, it did not (unless an exception applies). If the cause of a fall is truly unknown, however, and the fall thus stems from a neutral risk, the "but-for" test is applied to determine whether the fall "arose out of" employment. - Specifically, the resulting injury "arises out of" employment if it would not have occurred but for the fact that the conditions and obligations of the employment placed the employee in the position where he or she was injured.
128 Moreover, some form of the "but-for" test appears to be the approach taken by the majority of states that have addressed unexplained falls.
129 Significantly, the "but-for" test does not relieve the employee of the burden of proving causation, nor does it suggest that all injuries that occur at work are compensated under workers' compensation law.
30 Demanding more precision about the exact mechanism of a fall is inconsistent with the spirit of a statute that is designed to compensate workers for workplace accidents regardless of fault. Sigala v. Atencio's Mkt.,
131 Additionally, a more demanding causation approach with regard to unexplained falls is inconsistent with our longstanding precedent regarding the compensability of injuries caused by neutral risks. For over eighty years, we have awarded benefits in cases involving neutral risks, which-by definition-are not connected to the employment itself. See, eg., Hunter,
[ 32 The City relies on Finn v. Industrial Commission,
We do not agree that a presumption exists that an employee found injured on his employer's premises is presumably injured from something arising out of his work, i.e., that the doctrine of [rles ipsa loquitur or some variation of it applies here. On the contrary, the burden of proof in these cases is on the claimant who must show a direct causal relationship between his employment and his injury.
Id. at 109,
1 33 In Finn, an employee was found lying unconscious on the floor of a brewery, "with blood running from his ears." Id. at 107,
34 Thus, while Finn's rationale is not a model of clarity, its central holding-that an injury due to a "mysterious innerbody malfunction" does not "arise out of" employment merely because that injury occurs at work-
135 We clarify here, however, that our statement in Finn that an employee must show a "direct causal relationship between his employment and his injury,"
11 36 In sum, it is clear that Rodriguez's fall "arose out of" her employment. The ALJ specifically found that her fall was not caused by an employment-related risk (e.g., slippery, obstructed, or otherwise dangerous stairs), nor by a personal, idiopathic risk (e.g., her aneurysms). - Rather, the cause was unknown, and thus her fall was unexplained. We hold that such an unexplained fall is necessarily caused by a neutral risk. Because Rodriguez's fall would not have occurred but for the fact that the conditions and obligations of her employment-namely, walking to her office during her work day-placed her on the stairs where she fell, her injury "arose out of" employment and is com-pensable.
B. A Preponderance Standard Applies When Parties Seek to Modify a General Admission of Liability
137 An employer must provide notice to an employee regarding whether it will contest or admit lability for a workplace injury within twenty days of being made aware of that injury. § 8-48-208(1)(a), C.R.S. (2018). When an employer decides not to contest liability and instead files an admission, the employer "has, in effect, admitted that the claimant has sustained the burden of proving entitlement" to benefits Rocky Min. Cardiology v. ICAO,
138 Section 8-48-201(1) does not specify what burden of proof governs the modifica
139 We hold that a party seeking to modify an issue determined by a general or final admission must prove that it is entitled to this modification by a preponderance of the evidence.
140 If the legislature wanted a higher burden of proof to apply to modifications of admissions, it would have specifically provided for such a burden. The legislature was clearly capable of instituting a higher burden if it felt so inclined, as evidenced by the use of a "clear and convincing" burden of proof elsewhere in the Act. See § 8-42-107(8)(b)(III), C.R.S. (2013) (providing that a finding regarding maximum and permanent medical improvement made by an independent medical examiner "may be overcome only by clear and convincing evidence"); cf. Well Augmentation Subdistrict of Cent. Colo. Water Conservancy Dist. v. City of Aurora,
141 In this case, the City sought to modify its GAL by withdrawing its admission of liability entirely. Consequently, the City had the burden to prove by a preponderance of the evidence that Rodriguez's injuries were not compensable because her claim failed to meet one or more of the requirements in section 8-41-301(1). The City's contention that it met its burden to modify its GAL turns on its erroneous legal conclusion that an unexplained fall cannot "arise out of" employment. We hold, however, that unexplained falls can be compensable under the "but-for" test; we also hold that Rodriguez's unexplained fall was compensable under that test. Because the ALJ specifically discredited the idiopathic explanation for Rodriguez's injury-and we are bound by that finding, see Metro Moving & Storage
IV. Conclusion
142 We hold that when the cause of an employee's fall is truly unknown, it necessarily arises from a neutral risk. Such an unexplained fall can be compensable as "arising out of" employment per section 8-41-301(1)(c) under the "but-for" test. This test provides that an injury "arises out of" employment if it would not have occurred but for the fact that the conditions and obligations of the employment placed the employee in the position where he or she was injured. Rodriguez's unexplained fall "arose out of" employment under this test; accordingly, we affirm the court of appeals' holding regarding the compensability of her injuries.
[ 43 We also hold that under section 8-48-201(1) a party seeking to modify an issue determined by a general or final admission, a summary order, or a full order has the burden to prove by a preponderance of the evidence that such a modification should be made. We affirm the court of appeals' holding that the City did not sustain its burden of proof to modify its general admission of liability under this preponderance standard.
Notes
. Specifically, we granted certiorari to resolve the following issues, which we reframed slightly for clarity:
1. Whether the court of appeals erred in finding that a fall that occurred during the course of an employee's employment, but whose exact cause/mechanism was unknown, satisfies the "arising out of' employment requirement of section 8-41-301(1)(c), and is compensable under the Workers' Compensation Act.
. Whether the court of appeals erred in finding that an employer, who initially admitted liability for the injuries of its employee, did not meet its burden under section 8-43-201(1), because it failed to prove that the employee's injuries did not "arise out of" the employee's employment.
. We have never explicitly defined "idiopathic." We have, however, used the term consistently with the leading treatise in the field:
Generally understood within the workers' compensation framework to mean "self-originated," [idiopathic] injuries usually spring from a personal risk of the claimant, e.g., heart disease, epilepsy, and the like. Such injuries are to be contrasted with those that are truly "unexplained." The latter generally are considered [to have arisen] from a neutral risk.... Idiopathic injuries are said to have arisen from a personal risk. Idiopathic injuries, therefore, often are not compensable.
Idiopathic injuries, Larson's Workers' Compensation Glossary, http://www .lexisnexis.com/ legalnewsroom/workers-compensation/b/worker-comp-glossary/archive/2012/1 1/1 1/larson-s-workers-compensation-glossary.aspx (last visited Jan. 30, 2014) (emphasis added).
. For example, when it comes to idiopathic injuries, the "special hazard" doctrine represents an important exception to the general rule of non-compensability. Under this doctrine, an injury is compensable even if the most direct cause of that injury is a preexisting idiopathic disease or condition so long as a special employment hazard also contributed to the injury. See, eg., Ramsdell v. Horn,
. See also, e.g., Indus. Comm'n of Colo. v. Pueblo Auto Co.,
. As we noted in In re Question, at least four other tests can be used in examining injuries caused by neutral risks, including the peculiar-risk doctrine, the increased-risk doctrine, the actual-risk doctrine, and the proximate cause test.
. See, eg., Circle K Store No. 1131 v. Indus. Comm'n,
. A few states, such as Oregon and Ohio, require an employee to affirmatively rule out any idiopathic causes for a fall, which permits an inference that a fall arose out of employment. See, e.g., Phil A. Livesley Co. v. Russ,
. As previously established, injuries caused by preexisting idiopathic conditions are generally not compensable (unless an exception applies), nor are injuries caused by purely "personal" risks arising solely from an employee's private, and not professional, life.
. We note that this analysis conflicts with the following unpublished court of appeals' decisions, which held that unexplained falls were noncompensable injuries: Colo. Springs Sch. Dist. v. ICAO, No. 11CA2283,
. - The City also points to the older, but similarly inapposite, case of Industrial Commission v. London & Lancashire Indemnity Co.,
. This preponderance standard necessarily also applies to a party seeking to modify an issue determined by a summary order or a full order. See § 8-43-201(1).
. The modification provision was added to the Act only four years ago; thus, the legislature was aware of the preponderance burden on the claimant. See Workers' Compensation Act of Colorado, ch. 184, see. 3, § 8-43-201, 2009 Colo. Sess. Laws 806, 807; see also Leonard v. McMorris,
Dissenting Opinion
dissenting.
T 44 To the majority, an unexplained injury that occurs at work is equivalent to being attacked by car thieves, struck by lightning, or hit by a stray bullet. Maj. op. 128-24. I disagree. The cause of such "neutral risks" in those cases is perfectly clear-that is, the car thieves, the lightning bolt, or the stray bullets. Such injuries are covered by workers compensation because work put the claimant in the position to be injured by the causal foree-that is, the thief, bolt, or bullet. Here, by contrast, the ALJ determined that the cause of Rodriguez's injury was unexplained, and therefore found the injury (correctly in my view) non-compensable. To put it differently, Rodriguez failed to prove that her injury "arose out of" her employment. By deeming such unexplained injuries com-pensable, the majority significantly expands the scope of workers' compensation coverage in Colorado. Because such decisions are, in my view, better left to the legislature, I respectfully dissent.
45 As the majority notes, before Rodriguez may recover for her injury under Colorado's Workers' Compensation Act, she must establish by a "preponderance of the evidence" that the injury occurred "in the course of" and "arising out of" her employment. - Maj. op. 116, citing §§ 8-4l-301(1)(c), 8-48-201(1), C.R.S. (2018). The "arising out of" test requires a claimant to prove "a causal connection between the work conditions and the injury." In re Question Submitted by the U.S. Court of Appeals for the Tenth Ciremit, T59 P.2d 17, 22 (Colo. 1988); see also Heinicke v. Indus. Claim Appeals Office,
1 46 In this case, as the majority observes, the ALJ did eliminate some potential causes of Rodriguez's injuries, finding that neither the condition of the stairs nor her preexisting brain aneurysms caused the fall. Maj. op. 119, 20, 22. But eliminating these two potential causes only shows two factors which did not cause the fall, and none that did. Without sufficient evidence to determine why Rodriguez fell, the ALJ ultimately concluded that the ecause of the fall was "unexplained." Maj. op. 19. Because the cause of the fall was unexplained, Rodriguez could not, and did not, establish causation, and thus she did not carry her burden to show by a preponderance of the evidence that her injuries arose out of employment. In my view, we should simply affirm the ALJ's determination in all respects.
147 The majority nevertheless breathes new life into Rodriguez's claim by placing her
{48 The majority's error, however, is to expand the concept of "neutral risks" to include injuries that occur at work where the cause is mot known. Such an unexplained injury is not categorically "neutral," as the majority would have it Rather, an unexplained injury defies categorization. It could have been caused by a neutral risk, but it could also be the result of an entirely personal risk of harm, or of an occupational hazard. In other words, "but for" the claimant's presence at work, the injury could have occurred anyway. Unlike an injury resulting from a known, neutral threat, an unexplained fall by definition does not establish causation, and therefore cannot satisfy the claimant's obligation to demonstrate that an injury arose out of employment.
T49 Significantly, the majority does not question the ALJ's conclusion that the cause of Rodriguez's injury could not be determined, or offer a cause of its own. Yet somehow, the majority finds it "clear" that "Rodriguez's fall was not the result of an occupational hazard, nor a personal risk." Maj. op. 124. In doing so, the majority extends the ALJ's ruling well beyond its purview. - Far from ruling out all occupational hazards or personal risks as potential causes of the injury, the ALJ held only that the fall was not precipitated by Rodriguez's brain aneurysms, or by her tripping or missing a step or by any dangerous condition on the stairs. Id., 19. After eliminating these potential causes-and only these potential causes-the ALJ then concluded that the fall was "unexplained." Id. Rather than extrapolating from this modest holding the broad conclusion that no occupational hazard or personal risk could have caused the injury, the majority should take the ALJ's determination for what it is: a testament to Rodriguez's failure to establish that her injuries arose out of her employment.
1 50 Compounding this error, the majority next implies that the ALJ required Rodriguez to prove the "precise mechanism" of her fall, and thus applied too strict of a causal test. Maj. op. 1% 18, 24. That simply is not the case. The ALJ applied the well-established "preponderance of the evidence" standard. By finding that the cause of the fall was unexplained, however, the ALJ correctly determined that Rodriguez could not meet the burden of proof required to establishing the cause of her injury. Thus, the ALJ's determination was not the result of Rodriguez being required to bear an excessive burden. The burden which the ALJ placed upon Rodriguez was correct; she simply failed to carry that burden.
1 51 More significantly, the majority's position extends the ability position to receive worker's compensation well beyond the seope prescribed by statute. The majority denies that its holding suggests "that all injuries that occur at work are compensated under workers' compensation law." Maj. op. 129. But by placing unexplained injuries on equal
I am authorized to state that Justice COATS joins in this dissent.
. - The majority also holds that the City, seeking to modify an issue previously determined by an admission, failed to meet its burden of proving by a preponderance of the evidence that such a modification should be made. Maj. op. 11 39-41. As the majority observes, however, this holding rests on the conclusion that unexplained falls can be compensable under the "but-for" test." Id., 141. As shown above, this premise is incorrect. I would hold instead that where the ALJ concluded that the cause of the fall was unexplained, the City met its burden.
