Nicholas Rowe, Respondent, vs. City of Minneapolis, Self-Insured, Relator
Jeffrey J. Lindquist, Anthony Gabor, Justine K. Wagner, Gries Lenhardt Allen, PLLP, Saint Michael, Minnesota, for relator.
Paul A. Merwin, Patricia Y. Beety, Saint Paul, Minnesota, for amicus curiae League of Minnesota Cities.
S Y L L A B U S
- Under the Workers’ Compensation Act,
Minn. Stat. § 176.011 , subd. 15(d)–(e), the most recently published edition of the Diagnostic and Statistical Manual of Mental Disorders (DSM) includes text revisions to the DSM; an independent psychological evaluation (IPE) is not the only way an employer can rebut the statutory presumption triggered by an employee’s post-traumatic stress disorder diagnosis; and acompensation judge is not barred from considering an employer’s IPE based on an outdated edition of the DSM. - The Workers’ Compensation Court of Appeals erred in setting aside the compensation judge’s finding that the employer rebutted the statutory presumption, because its decision to set aside the finding rested solely on the fact that the employer’s expert relied on an outdated edition of the DSM.
- Alternative arguments raised by the employee but not reached by the Workers’ Compensation Court of Appeals are remanded for its consideration.
Reversed and remanded.
O P I N I O N
PROCACCINI, Justice.
We are asked to determine whether the Workers’ Compensation Court of Appeals (WCCA) erred when it reversed a compensation judge’s determination that respondent Nicholas Rowe, a former Minneapolis police officer, was ineligible for workers’ compensation benefits for post-traumatic stress disorder (PTSD) under the Workers’ Compensation Act. To resolve this question we consider the ways in which an employer can rebut the statutory presumption that an employee’s PTSD diagnosis is an occupational disease “due to the nature of employment” under
Although the parties agree that Rowe was entitled to the statutory presumption, they dispute whether Rowe’s employer, relator City of Minneapolis, rebutted that presumption. See
Although we agree with the WCCA that the City’s expert relied on an outdated edition of the DSM, we do not agree that the only way for an employer to rebut the presumption is with an IPE, or that an employer’s IPE based on an outdated edition of the DSM cannot be considered as a matter of law. We hold that the WCCA erroneously set aside the compensation judge’s finding on this basis. Accordingly, we reverse the decision of the WCCA and remand to the WCCA for consideration of two alternative arguments raised by Rowe that the WCCA did not reach.
FACTS
Rowe served as a Minneapolis police officer for approximately 25 years. Before Rowe was hired, a psychologist conducted a pre-employment psychological examination and reported that Rowe exhibited no significant personality or emotional problems. Rowe testified that over the course of his career, he responded to five mass shootings, six
Rowe sought psychological treatment for the first time in October 2021. Rowe’s counselor noted that Rowe struggled with depression, anger, anxiety, lack of motivation, and intrusive thoughts. The counselor diagnosed Rowe with PTSD and recommended that he cease work as a police officer.1
Dr. Kasey Aleknavicius, a licensed psychologist, performed an IPE on Rowe in early 2022.2 Dr. Aleknavicius reviewed Rowe’s medical history, conducted a clinical interview, and administered various psychological tests, including the Clinician Administered PTSD Scale for DSM-5 (CAPS-5) and the Minnesota Multiphasic Personality Inventory-3 (MMPI-3). In a report dated March 25, 2022, Dr. Aleknavicius relied on the DSM-5 to diagnose Rowe with PTSD and major depressive disorder.3 Dr. Aleknavicius’s report did not mention the DSM-5-TR, a text revision to the DSM-5,
In April 2022, Dr. Aleknavicius filed a PERA (Public Employees Retirement Association) Disability Medical Report stating that Rowe was precluded from working as a police officer due to his PTSD, and Rowe stopped working. The City denied primary liability for Rowe’s alleged PTSD injury, stating that the City was unable to verify whether Rowe met the criteria for a PTSD diagnosis and that the statutory presumption did not apply. See
At the City’s request, Dr. Kenneth Young, a licensed psychologist, conducted an IPE on Rowe. Dr. Young reviewed Rowe’s medical records and administered the CAPS-5 and the MMPI-3. He then issued a report on November 17, 2022, describing his evaluation of Rowe and his perspective on Dr. Aleknavicius’s diagnosis. Dr. Young determined that Rowe did not meet the diagnostic criteria for PTSD in the DSM-5. He found “no clear and consistent evidence that Mr. Rowe meets, or has ever met, the criteria for PTSD,” and he determined that the evidence best supports a diagnosis of alcohol
Rowe had a follow-up psychological evaluation with Dr. Aleknavicius in February 2023, and Dr. Aleknavicius issued a second report on July 18, 2023. In her July 2023 report, Dr. Aleknavicius found that Rowe did not satisfy Criterion B—one of several criteria required for a PTSD diagnosis—which refers to intrusive symptoms associated with a traumatic event. See Am. Psychiatric Ass’n, Diagnostic and Statistical Manual of Mental Disorders, Text Revision 301–302 (5th ed. 2022). Despite the absence of this criterion, Dr. Aleknavicius diagnosed Rowe with PTSD, relying on the DSM-5-TR. Although Dr. Aleknavicius’s report does not explicitly state as much, Dr. Aleknavicius’s July 2023 PTSD diagnosis appears to be a so-called “lifetime” PTSD diagnosis.5
Rowe testified about his work as a police officer, the traumatic incidents he experienced, and his mental health symptoms. His wife corroborated his deteriorating mental health and noted marked changes in his personality.
Dr. Aleknavicius testified that although Rowe had met all criteria for a PTSD diagnosis when she initially diagnosed him in March 2022, her February 2023 follow-up evaluation under the DSM-5-TR showed that Rowe’s Criterion B symptoms “were not significant enough in the way that he described them in that previous month to meet the clinical threshold.” She cautioned that basing a PTSD diagnosis solely on past-month symptoms carries a “significant risk for misdiagnosis,” and she explained that the DSM-5-TR added a “lifetime diagnosis” to address this concern by requiring only that the criteria “must have been met at any time in the person’s life.” She opined that the DSM-5-TR clarifies that “if a person meets criteria and then they get a little bit better and now one symptom doesn’t meet all the criteria, it’s not a different diagnosis.” Rather, she
prior to the evaluation, it appears that Dr. Aleknavicius diagnosed Rowe with “lifetime” PTSD in her July 2023 report.
We were confronted with a similar “lifetime” PTSD diagnosis in Peterson v. City of Minneapolis, 23 N.W.3d 582, 589 (Minn. 2025). There, we expressly declined to “endorse any interpretation of the DSM,” because “[t]he standard of review [did] not allow us to substitute our judgment for the judgment of the compensation judge as to ‘which of the professional diagnoses [was] more credible and persuasive.’ ” Id. at 594 (quoting Tea v. Ramsey Cnty., 5 N.W.3d 114, 120 (Minn. 2024) (alteration in original)). Accordingly, we have not previously endorsed or rejected the validity of a “lifetime” PTSD diagnosis, and—as noted below—we decline to do so here.
Dr. Young testified that Rowe met the criteria for alcohol abuse disorder but not PTSD. He emphasized that many PTSD symptoms can also be explained by heavy alcohol consumption, and he criticized Dr. Aleknavicius for not sufficiently accounting for Rowe’s drinking or aligning her symptom timeline with Rowe’s self-reports of symptoms. Dr. Young also testified that the CAPS-5, which both he and Dr. Aleknavicius used to evaluate Rowe for PTSD, reflects the criteria in both the DSM-5 and the DSM-5-TR because the criteria are “exactly the same.” He explained that because the PTSD criteria are identical in the DSM-5 and the DSM-5-TR, there is no “CAPS-5-TR.” According to Dr. Young, the “text revision” contained in the DSM-5-TR relates to updates to the discussion area of each diagnosis and summarizes the state of the research in particular areas.
Dr. Young also directly addressed Dr. Aleknavicius’s second evaluation of Rowe and the concept of lifetime PTSD, testifying that “lifetime PTSD” is not a diagnosis of current PTSD. He opined that the text discussion of lifetime PTSD in the DSM-5-TR refers to research to help identify prevalence rates and that the “CAPS-5 (worst month)” is a research tool used to determine whether someone has ever met the criteria for PTSD
The compensation judge found that Rowe was entitled to the statutory presumption that he had work-related PTSD. But the compensation judge further found that the City had established substantial factors rebutting the presumption. In support, the compensation judge adopted Dr. Young’s opinion, finding it more persuasive than Dr. Aleknavicius’s opinion. The compensation judge explained that Dr. Young had identified several inconsistencies in Rowe’s assertions and personal history that led Dr. Young to diagnose Rowe with alcohol use disorder, rather than PTSD. The compensation judge also noted that Dr. Young had offered thorough findings and well-reasoned disagreements with Dr. Aleknavicius.
As to Dr. Young’s use of an outdated DSM-5 instead of the DSM-5-TR to diagnose Rowe’s condition, the compensation judge described this as a “red herring and irrelevant.” The compensation judge noted that Dr. Young had testified that the diagnostic criteria in the DSM-5 and DSM-5-TR were identical, that Dr. Aleknavicius also used the DSM-5 in her initial March 2022 report, and that Dr. Aleknavicius’s July 2023 report used the same diagnostic tool—the CAPS-5—which remained unchanged after the publication of the DSM-5-TR.
Rowe appealed,6 and the WCCA vacated the compensation judge’s order, determining that the compensation judge erred as a matter of law in accepting Dr. Young’s opinion.
The WCCA began its analysis by interpreting
The WCCA then analyzed the facts in light of its interpretation of the statute. See id. It concluded that Dr. Young’s failure to use the DSM-5-TR contravened the statute governing the PTSD presumption and that his entire opinion should not have been considered by the compensation judge. See id. Because Dr. Young’s opinion was the only evidence the City offered to rebut the presumption, the WCCA found that there was no evidence in the record to rebut the presumption and that the compensation judge’s denial of Rowe’s claim was manifestly contrary to the evidence. See id. As a result, the WCCA set aside the compensation judge’s finding that the City had rebutted the statutory presumption and made its own finding that the City had failed to rebut the presumption. See id. at *10.
The WCCA vacated the compensation judge’s order denying benefits and remanded the case for further consideration of issues not reached by the compensation judge, including an assessment of Rowe’s entitlement to penalties for a frivolous denial of Rowe’s claim under
ANALYSIS
The question before us is whether the WCCA erred in vacating the compensation judge’s determination that Rowe was ineligible for benefits. Under the Workers’ Compensation Act, a “mental impairment … arising out of and in the course of employment” is a compensable occupational disease.
For the purposes of this appeal, the parties, the compensation judge, and the WCCA all agree that Rowe is entitled to the presumption. Accordingly, the scope and applicability of the presumption is not at issue in this case.9 Rather, the dispute here is
The WCCA may set aside a compensation judge’s finding “only if there is no evidence in the record that a reasonable mind might accept as adequate to support the compensation judge’s finding.” Lagasse v. Horton, 982 N.W.2d 189, 202–03 (Minn. 2022). Only if the WCCA properly sets aside a finding, may it then make its own substitute finding. Id. at 202–03. Here, the WCCA found that the City’s evidence failed to rebut the presumption, reasoning that the compensation judge erred by considering Dr. Young’s opinion because Dr. Young relied on the DSM-5. The WCCA’s decision rests on its interpretation of
to the validity of a PTSD diagnosis itself. Accordingly, we do not take up this question. We note only that we have said that when a statutory presumption applies, an employer must “make a strong showing,” Linnell v. City of St. Louis Park, 305 N.W.2d 599, 601 (Minn. 1981), by introducing “substantial evidence to rebut the presumption,” Jerabek v. Teleprompter Corp., 255 N.W.2d 377, 380 (Minn. 1977). We have also explained that if there is a presumption, “the employer faces a higher burden than in a case in which no presumption applies.” Juntunen, 982 N.W.2d at 741. Although we indicated in Juntunen that the presumption applies to the PTSD diagnosis itself, not just causation, it is unclear whether the presumption also applies to the PTSD diagnosis such that an employer has a “higher burden” to rebut the diagnosis. See id. at 743. This open question may have significant implications for an employer attempting to refute a PTSD diagnosis. But because the parties do not dispute the applicability or scope of the presumption in this case, we need not address those issues here.
To resolve this dispute, we begin by determining whether the WCCA correctly interpreted the relevant statutory provisions. We hold that the WCCA correctly concluded that the DSM-5-TR is the most recent edition of the DSM. But we further hold that the WCCA erred when it concluded that an IPE based on the most recent DSM is the sole method of rebuttal and that a compensation judge cannot consider an employer’s IPE based on an outdated DSM. We then apply our interpretation of the statute to the facts in this case to determine whether the WCCA properly set aside the compensation judge’s finding. Ultimately, we hold that the WCCA erred when it set aside the compensation judge’s finding due to Dr. Young’s reliance on an outdated edition of the DSM. Finally, we turn to two alternative arguments raised by Rowe, and we conclude that we should remand those issues to the WCCA.
I.
Because the WCCA’s decision to set aside the compensation judge’s finding rests on its interpretation of
through an [IPE] using the most recently published edition of the DSM at the time of the IPE.” Rowe, 2024 WL 3973710, at *9.
A.
First, we evaluate what the Workers’ Compensation Act means when it refers to “the most recently published edition of the [DSM] by the American Psychiatric Association.”
The key question here is whether the phrase “the most recently published edition of the [DSM] by the American Psychiatric Association” refers only to the numeric edition
Because “edition” is not defined in the statute, we can look to its ordinary meaning to determine if its use in the statute is ambiguous. State v. Powers, 962 N.W.2d 853, 858 (Minn. 2021). “We do not read words in isolation[.]” Save Lake Calhoun v. Strommen, 943 N.W.2d 171, 177 (Minn. 2020). Rather, “the meaning of a word is informed by how it is used in the context of a statute.” Id.; see also State v. Balsley, 10 N.W.3d 671, 675 (Minn. 2024) (noting that we interpret undefined words “in light of the surrounding context” (citation omitted) (internal quotation marks omitted)).
Here, “edition” is used in the phrase “the most recently published edition of the [DSM] by the American Psychiatric Association.”
Considering dictionary definitions of “edition” within the context of the statute provides further support for this interpretation. See Poehler v. Cincinnati Ins. Co., 899 N.W.2d 135, 140–41 (Minn. 2017) (“In determining the plain and ordinary meaning of undefined words or phrases in a statute, we may consult the dictionary definitions of those words and apply them in the context of the statute.“); see also Lagasse, 982 N.W.2d at 197–98 (using dictionary definitions to determine the plain meaning of a phrase in the Workers’ Compensation Act). Dictionary definitions of “edition” reveal two themes—that
Based on the analysis above, we hold that “the most recently published edition of the [DSM]” unambiguously includes text-revision publications of the DSM and is not limited to the numeric edition. This means that at the time of Dr. Young’s IPE, the DSM-5-TR was “the most recently published edition of the [DSM]” and that Dr. Young relied on an outdated edition (the DSM-5).
B.
Second, we consider the WCCA’s contention that an IPE based on the most recent DSM is the only way for an employer to rebut the presumption. It is true that the statute makes clear that an employee seeking the presumption must—among other
Notes
a licensed police officer; a firefighter; a paramedic; an emergency medical technician; a licensed nurse employed to provide emergency medical services outside of a medical facility; a public safety dispatcher; a correctional officer or security counselor employed by the state or a political subdivision at a corrections, detention, or secure treatment facility; a sheriff or full-time deputy sheriff of any county; or a member of the Minnesota State Patrol.
First, the issue of whether Rowe triggered the presumption is not before us. Rather, we are asked to determine whether the WCCA properly set aside the compensation judge’s finding that the City had provided substantial factors to rebut the presumption.
Second, although the parties refer to this diagnosis timing issue in their briefs, neither party acknowledges or addresses the central statutory question—whether a diagnosis issued after the publication of a new DSM edition is based on “the most recently published edition of the DSM” when the underlying evaluation relied on the prior (but at the time most recent) DSM edition. See State Dep’t of Lab. & Indus. v. Wintz Parcel Drivers, Inc., 558 N.W.2d 480, 480 (Minn. 1997) (declining to reach issue in the absence of adequate briefing).
Accordingly, we decline to consider whether Dr. Aleknavicius’s March 2022 diagnosis properly relied on the most recently published edition of the DSM.
C.
Third, based on the analysis above, we also reject the WCCA’s determination that an employer’s IPE using an outdated DSM must be excluded from the compensation judge’s consideration as a matter of law. We agree with the City that the fact that an employer’s IPE is based on an outdated DSM goes to the IPE’s probative weight in rebutting the presumption, not its admissibility.16 By holding that a compensation judge cannot—as a matter of law—consider an employer’s IPE that relies on an outdated edition of the DSM, the WCCA limited the evidence to be considered by the compensation judge in a manner not mandated by the statute.
A compensation judge may consider an employer’s IPE based on an outdated DSM and assign it appropriate probative weight. In most cases, the probative value of an employer’s IPE for purposes of rebutting the presumption will turn on whether it meaningfully undermines the validity or credibility of the PTSD diagnosis that gave rise to the presumption. See Juntunen, 982 N.W.2d at 743 (explaining that the employer can rebut the presumption by demonstrating that “the employee’s diagnosis was invalid or not credible“). Permitting compensation judges to assess the probative value of an IPE based
Given this framework, an employer’s IPE based on an outdated DSM will generally have less probative value than an IPE based on the most recent DSM and, as a result, it is possible that such an IPE may not be sufficient to rebut the presumption.17 But the compensation judge must be permitted to consider the employer’s expert testimony and determine whether an IPE based on an outdated DSM meaningfully undermines the validity or credibility of the employee’s PTSD diagnosis that gave rise to the presumption. To be clear, we do not suggest that an IPE based on an outdated DSM will necessarily be sufficient to rebut the presumption or that it is advisable for an employer’s
By contrast, consider a scenario in which the employer’s IPE relies on an outdated DSM containing materially different diagnostic criteria from those in the most recent edition. In that scenario, the IPE may carry limited probative value because it would do little to undercut the validity or credibility of a PTSD diagnosis rendered under the updated, and materially different, criteria.
Accordingly, although we agree with the WCCA that the DSM-5-TR is the most recent edition of the DSM under the statute, we hold that an IPE is not the only way an employer can rebut the presumption, and a compensation judge is not barred from considering an employer’s IPE based on an outdated edition of the DSM.
II.
Having interpreted the relevant provisions of the Workers’ Compensation Act, we turn to whether the WCCA properly set aside the compensation judge’s finding that the City had rebutted the presumption.18 As noted above, the WCCA may set aside a compensation judge’s finding “only if there is no evidence in the record that a reasonable mind might accept as adequate to support the compensation judge’s finding.” Lagasse, 982 N.W.2d at 202–03.
Here, the WCCA applied its narrow interpretation of the statute and excluded Dr. Young’s opinion from the record because Dr. Young’s IPE relied on the DSM-5 instead of the DSM-5-TR. Although we agree that the DSM-5-TR is the most recent
Moreover, in focusing solely on Dr. Young’s IPE, the WCCA did not acknowledge other components of Dr. Young’s opinion in the record. In addition to the IPE, Dr. Young’s opinion also included his criticisms of Dr. Aleknavicius’s March 2022 diagnosis under the DSM-5 (set forth both in his report and testimony) and his testimony criticizing Dr. Aleknavicius’s July 2023 diagnosis under the DSM-5-TR. These additional components of Dr. Young’s opinion are significant because they serve to undermine the validity and credibility of Dr. Aleknavicius’s diagnoses. See Juntunen, 982 N.W.2d at 743. So long as there was adequate foundation for Dr. Young’s opinion, Dr. Young’s IPE—along with his critiques of Dr. Aleknavicius’s March 2022 and July 2023 diagnoses—amounts to evidence that a reasonable mind might accept as adequate to
III.
Finally, Rowe asks us to consider two issues that the WCCA did not reach: whether the compensation judge erred in finding that the City rebutted the presumption because Dr. Young’s opinion lacked adequate foundation, and whether the compensation judge erred by failing to award Rowe benefits from March 2022 through November 2022. Rowe raised both issues to the WCCA, but the WCCA did not address them because it disposed of the case on the grounds discussed above.
Second, the City contends that we should address a footnote in the WCCA’s decision in which the WCCA asserted that Rowe could be statutorily entitled to penalties for frivolous denial of benefits even if the compensation judge correctly determined that the City had rebutted the presumption. See Rowe, 2024 WL 3973710, at *10 n.12. At oral argument, Rowe’s counsel conceded that penalties for frivolous denial of benefits are limited to situations in which an employee is ultimately awarded compensation, because the penalty amount is a percentage of the compensation award. See
CONCLUSION
For the foregoing reasons, we reverse the decision of the WCCA and remand to the WCCA for consideration of Rowe’s two alternative arguments.
Reversed and remanded.