SOUTH COAST FRAMING, INC., et al., Petitioners, v. WORKERS’ COMPENSATION APPEALS BOARD, JOVELYN CLARK et al., Respondents.
No. S215637
Supreme Court of California
May 28, 2015
291
Bradford & Barthel and Louis A. Larres for Petitioners.
Law Offices of Allweiss & McMurty and Michael A. Marks for California Workers’ Compensation Institute as Amicus Curiae on behalf of Petitioners.
Law Offices of O‘Mara & Hampton and Daniel J. Palasciano for Respondent Jovelyn Clark.
Smith & Baltaxe, Bernhard D. Baltaxe; Law Offices of Robert W. Willyard and Robert E. Willyard for California Applicants’ Attorneys Association as Amicus Curiae on behalf of Respondent Jovelyn Clark.
OPINION
CORRIGAN, J.-The family of Brandon Clark was awarded workers’ compensation death benefits after Clark died from the combination of drugs prescribed following a fall at work. The Court of Appeal overturned the аward, reasoning there was insufficient evidence that the drugs prescribed for the work injury contributed to the death. We reverse the Court of Appeal‘s judgment.
I. BACKGROUND
In September 2008, the 36-year-old Clark fell eight to 10 feet while working as a carpenter for South Coast Framing, Inc. (hereafter the employer). He suffered neck and back injuries as well as a concussion. Clark‘s workers’ compensation doctor prescribed various drugs to treat these injuries, including Elavil (an antidepressant), Neurontin (a neuronal pain reliever), and Vicodin (a codeine-based pain reliever). In January 2009, Clark‘s personal doctor additionally prescribed Xanax (an antianxiety medicine) and Ambien (a sleep aid).
On thе morning of July 20, 2009, Clark‘s wife was unable to rouse him and he was pronounced dead at the scene. At the time of his death, Clark had Elavil, Neurontin, Xanax, and Ambien in his blood. Vicodin was detected in his urine.1 The autopsy surgeon concluded the death was accidental and “is best attributed to the combined toxic effects of the four sedating drugs detected in his blood with associated early pneumonia.” The first two medications were prescribed by the workers’ compensation physician. There was no dispute that Clark died as a result of the combined effects of some of the drugs he took. The dispute centered around which drugs played a role, how big that role was, and why the drugs were prescribed.
Dr. Daniel J. Bressler concluded Clark died of an accidental drug overdose. His supplemental report stated that “[t]he specific combination of medicines he was on, which included Xanax, Ambien, Flexeril, Neurontin, [Elavil], and [Vicodin], all separately and in combination had the capacity to induce respiratory depression, and even respiratory arrest.” Bressler also found that Clark‘s reports to his wife and brother of “altered states of consciousness” were “probably . . . warning episodes of untoward synеrgistic respiratory depression and/or central nervous system depression prior to the date of death.”
The parties agreed upon Dr. Thomas C. Bruff as a qualified medical examiner. Bruff reported that Neurontin “did not have a role in this particular case” and Elavil “was prescribed in such low dose, and blood levels show that the medication was likely taken as prescribed.” Bruff concluded: “However, [Ambien] and [Xanax] [prescribed by Clark‘s personal physician] [were] found in excess of what would be normally considered peripheral blood concentrations. Both these medications work in a similar fashion and would be considered at least additive in their effects. It is my opinion . . . that it is just this additive effect of [Ambien] and [Xanax] that caused sedation significant enough to result in the events leading to [Clark‘s] death.” Thus, Bruff‘s report concluded that Clark‘s overdose was caused solely by medications prescribed by his personal doctor and not his workers’ compensation physician.
Dr. Bruff‘s subsequent deposition testimony retreated somewhat from his report. Bruff maintained that Neurontin played no role in Clark‘s death. However, he testified that Elavil “may have had a small role at the levels found.” Although he believed Ambien and Xanax had “more weight,” he could not “absolutely slam the door and say [Elavil] had no effect.” Clark‘s Elavil level was elevated for his prescription level but insufficient to be fatаl as the sole or predominant cause of death. When asked if Elavil, in
There was conflicting evidence as to why Clark‘s physician prescribed Ambien. His wife testified he had taken Tylenol PM before the accident to help him sleep, but after the fall the Tylenol PM was not working. The physician noted, however, that Clark was not in pain when he had trouble sleeping.
The workers’ compensation judge (WCJ) awarded death benefits to the family, finding Clark‘s death resulted “due to the medications he was taking for his industrial admitted injury.” The WCJ explained, “it is clear that the [Elavil] prescribed by the doctors for the industrial injury as well as the [Vicodin] acted as concurring causes such that, even without the liberal construction of
The employer petitioned the Workers’ Compensation Appeals Board (Board) for reconsideration, arguing no substantial evidence supported the WCJ‘s causation finding. The WCJ issued a report recommending the petition
II. DISCUSSION
The question here is the required nature and strength of the cаusal link between the industrial injury and death. Tort law and the workers’ compensation system are significantly different. One result of the difference is the role and application of causation principles. “[A]lthough
Legal causation in tort law has traditionally required two elements: cause in fact and proximate cause. “An act is a cause in fact if it is a necessary antecedent of an event.” (PPG Industries, Inc. v. Transamerica Ins. Co. (1999) 20 Cal.4th 310, 315.) This has traditionally been expressed as the “‘but for‘” test, i.e., if the injury “would have happened anyway, whether the defendant was negligent or not, then his or her negligence was not a cause in fact.” (6 Witkin, Summary of Cal. Law (10th ed. 2005) Torts, § 1185, p. 552; see Viner v. Sweet (2003) 30 Cal.4th 1232, 1239-1240.) “California has definitively adopted the substantial factor test of the Restatement Second of Torts for cause-in-fact determinations. [Citation.] Under that standard, a cause in fact is something that is a substantial factor in bringing about the injury.” (Rutherford v. Owens-Illinois, Inc. (1997) 16 Cal.4th 953, 968-969.) “[T]he ‘substantial factor’ test subsumes the ‘but for’ test.” (Mitchell v. Gonzales (1991) 54 Cal.3d 1041, 1052; see Viner, at p. 1240.) “The substantial factor standard is a relatively broad one, requiring only that the contribution of the individual cause be more than negligible or theoretical.’ [Citation.] Thus, ‘a force which plays only an “infinitesimal” or “theoretical” part in bringing about injury, damage, or loss is not a substantial factor’ [citation], but a very minor force that does cause harm is a substantial factor [citation]. This rule honors the principle of comparative fault.” (Bockrath v. Aldrich Chemical Co. (1999) 21 Cal.4th 71, 79; see 6 Witkin, Summary of Cal. Law, supra, Torts, § 1193, p. 568.)
On the other hand, the workers’ compensation system is not based upon fault. “It seeks (1) to ensure that the cost of industrial injuries will be part of the cost of goods rather than a burden on society, (2) to guarantee prompt, limited compensation for an employee‘s work injuries, regardless of fault, as an inevitable cost of production, (3) to spur increased industrial safety, and (4) in return, to insulate the employer from tort liability for his employees’ injuries.” (S. G. Borello & Sons, Inc. v. Department of Industrial Relations (1989) 48 Cal.3d 341, 354; see
The Court of Appеal reversed the WCJ‘s factual finding of proximate cause here, concluding no substantial evidence supported the finding. The court reasoned that Dr. Bruff‘s deposition testimony, even if considered a change of opinion from his earlier report, “was largely based on surmise, speculation, conjecture and guess,” noting that he could not place a percentage figure approximating the level of causation attributable to the “industrially prescribed” medications. The Court of Appeal reasoned: “Here, Dr. Bruff admitted that it is difficult to make a ‘reasonable medical analysis’ regarding [Elavil‘s] precise contribution to Brandon‘s death. He also stated that making that kind of dеtermination ‘really gets to be speculative.’ Liberally construing Dr. Bruff‘s testimony and report in its totality, we conclude the evidence did not establish industrial causation. Rather, the evidence demonstrates that if [Elavil] played a role at all, it was not significant such that it constituted a material factor contributing to Brandon‘s death.” (Italics added.)
The Court of Appeal thus concluded that, although Elavil “played a role” in Clark‘s death, it was insufficient to prove proximate causation because it was not sufficiently “significant” or a “material factor.” This analysis fails to honor the difference between tort law principles and the application of the workers’ compensation scheme. Tort liability only attaches if the defendant‘s negligence was a significant or substantial factor in causing injury. In the workers’ compensation system, the industrial injury need only be a contributing cause to the disability.
In states that permit it, tort law mitigates liability by recognizing comparative fault. A defendant‘s liability may be reduced by the degree to which a plaintiff‘s own negligence contributed to the injury. Under workers’ compensation, generally, liability is mitigated by apportioning monetary compensation to the degree that an industrial injury contributed to the disability. However, as we discuss later, apportionment is not applied in death claims.
We have recognized the contributing cause standard since the very beginning of the workers’ compensation scheme. In Kimbol v. Industrial Acc. Commission (1916) 173 Cal. 351, we adopted the definition of “‘arising out of thе employment‘” given by the Supreme Judicial Court of Massachusetts: ““[The injury] arises out of the employment when there is apparent to the rational mind, upon consideration of all the circumstances, a causal connection between the conditions under which the work is required to be performed and the resulting injury. Under this test, if the injury can be
Contributing proximate cause within the meaning of Kimbol has been applied more broadly in the workers’ compensation context than in tort law. Death attributable to both industrial and nonindustrial causes may support a death claim, and industrial causation has been shown in an array of scenarios where a work injury contributes to a subsequent nonindustrial injury. An employee is entitled to compensation if a new or aggravated injury results from medical or surgical treatment for an industrial injury. (Fitzpatrick v. Fidelity & Casualty Co. (1936) 7 Cal.2d 230, 233-234; Georgia Casualty Co. v. Indus. Acc. Com. (1927) 87 Cal.App. 333, 334-335 [death from anesthetic]; see Maher, supra, 33 Cal.3d at pp. 735-738 [adverse drug reaction when treatment was required for employment]; Ballard v. Workmen‘s Comp. App. Bd. (1971) 3 Cal.3d 832, 837-839 (Ballard) [drug addiction to prescribed pain medication].) Cаusation may also be shown if an industrial injury contributes to a later nonindustrial accident or injury. (See Lundberg v. Workmen‘s Comp. App. Bd. (1968) 69 Cal.2d 436, 439-441 [industrial back injury contributed to later ruptured disc]; Ferreira v. Workmen‘s Comp. Appeals Bd. (1974) 38 Cal.App.3d 120, 124-126 (Ferreira) [hernia suffered at work contributed to later hernia suffered at home]; State Comp. Ins. Fund v. Ind. Acc. Com. (1959) 176 Cal.App.2d 10, 13-21 (State Comp. Ins. Fund) [carpenter‘s industrial eye injury contributed to later nonindustrial accident while using a saw at home].) Indeed, even a worker‘s suicide may be compensable if an industrial injury contributed to it. (See Chu v. Workers’ Comp. Appeals Bd. (1996) 49 Cal.App.4th 1176, 1181-1185; Burnight v. Industrial Acc. Com. (1960) 181 Cal.App.2d 816, 820-829.)
A corollary of the no-fault principles of workers’ compensation is that “an employer takes the employee as he finds him at the time of the employment.” (Ballard, supra, 3 Cal.3d at p. 837; Maher, supra, 33 Cal.3d at p. 734; G. L. Eastman Co. v. Industrial Acc. Com. (1921) 186 Cal. 587, 597 (Eastman Co.).) Thus, “an employee may not be denied compensation merely because his physical condition was such that he sustainеd a disability which a person of stronger constitution or in better health would not have suffered.” (Duthie v. Workers’ Comp. Appeals Bd. (1978) 86 Cal.App.3d 721, 727; see Maher, at p. 734.)
In Ballard, a secretary suffered a back injury at work and wаs prescribed pain medication. Having a “low tolerance for pain of any kind,” she took more than her prescribed dosages and became addicted. (Ballard, supra, 3 Cal.3d at p. 835.) Further, she sought out illegal drugs and became addicted to those as well. The referee denied her workers’ compensation claim, concluding that ” ‘[t]he most likely cause of her addiction is the obvious life-long neurotic personality problems and the injury simply serves to provide a rationalization for her recourse to drugs.’ ” (Id. at p. 837.) Ballard
Whether an industrial injury proximately causes a later injury or death within the meaning of section 3600 is a question of fact. (See Head Drilling Co. v. Industrial Acc. Com. (1918) 177 Cal. 194, 197; Smith v. Workers’ Comp. Appeals Bd. (1981) 123 Cal.App.3d 763, 773.) “Judicial review of the Board‘s decision on factual matters is limited to determining whether the decision, based on the entire record, is supportеd by substantial evidence.” (Guerra v. Workers’ Comp. Appeals Bd. (1985) 168 Cal.App.3d 195, 199; see State Comp. Ins. Fund, supra, 176 Cal.App.2d at pp. 13-14.) In this context, judicial review has been expressly limited by statute to whether the award “was not supported by substantial evidence” and the factual findings “support the . . . award.”
The WCJ‘s findings of fact, and the Board‘s adoption of them, “are final and conclusive and not subject to appellate review if supported by substantial evidence in light of the entire record. [Citations.] Substantial evidence must be reasonable in nature, credible, and of solid value such that a reasonable mind might accept it as adequate to support a conclusion. [Citation.] In examining the entire record, this court ‘may not simply isolate evidence which supports or disapproves the board‘s conclusions and ignore other relevant facts which rebut or explain the supporting evidence. . . .‘” (County of Kern v. Workers’ Comp. Appeals Bd. (2011) 200 Cal.App.4th 509, 516-517; see Braewood Convalescent Hospital v. Workers’ Comp. Appeals Bd. (1983) 34 Cal.3d 159, 164.)
Substantial evidence supported the WCJ‘s finding that Elavil and Vicodin, prescribed for Clark‘s industrial injury, contributed to his death. While the level of Elavil could not have been independently fatal, Dr. Bruff testified that it had a contributory effect. As noted, Bruff testified Elavil “may have had a small role at the levels found,” “could be an incremental contributor,” and was “additive.” Although he сould not assign an exact percentage of contribution, Bruff affirmed “[i]t‘s not zero . . . .” He further agreed with plaintiffs’ counsel‘s statement that “[w]e can‘t rule out that the [Elavil] might have been what just put it over the edge to cause this poor man‘s death at thirty-[six] years old.” Even if it was possible that Clark might have died from an overdose of Xanax and Ambien alone, there also existed a reasonable probability that the Elavil made Clark‘s death more likely. Similarly with respect to Vicodin, Dr. Bressler stated in his report that the “specific combination of medicines” Clark had ingested, including Vicodin, “all separately and in combination had the capacity to induce respiratory depression, and even respiratory arrest.” Bressler further reasoned that Clark‘s reports of blacking out showed these drugs caused “untoward synergistic respiratory depression and/or central nervous system depression prior to the date of death.” Thus, Bressler not only concluded that the drugs could have caused Clark‘s death, but contributed to a respiratory or nervous system condition that ultimately led to his demise. Bruff testified Vicodin was “potentially a cause” and stated “it‘s like you have a big twelve inch pie and a couple little crumbs off the crust are due to the Vicodin.” This testimony referenced Bruff‘s earlier statements concerning the causation “pie” and appeared to concede that Vicodin was, in fact, part of that “pie.”
This situation is analogous to that of the cigarette-smoking firefighter in McAllister and the addiction-prone secretary in Ballard. In light of the
As noted, in concluding there was no substantial evidence of causation, the Court of Appeal rеasoned that if Elavil “played a role at all, it was not significant such that it constituted a material factor contributing to Brandon‘s death.” In support of its application of a “material factor” standard, the Court of Appeal cited only a single practice guide. In describing the necessary proof of causation in a death case, the practice guide stated: “[T]he industrial injury need not be the sole cause of the employee‘s death to qualify the employee‘s dependents for death benefits. So long as the industrial injury and employment generally constituted material factors in contributing to the employee‘s death, the proximate cause test of
Pacific Gas & Elec. lends no support for a material factor standard that is different from, or more stringent than, the contributing cause standard often articulated in our precedents. Indeed, PG&E did not involve a question of causation at all, and at no time employed the term “material.” In that case, the worker, who had a preexisting nonindustrial carcinoma, suffered a back injury at work. The worker later died and his family was awarded a death benefit. The evidence established that “while the industrial injury brought about the death sooner than it would otherwisе have occurred, and was thus one of the proximate causes of death, if there had been no injury the carcinoma would of itself probably have resulted in the employee‘s death within a year after its actual occurrence.” (Pacific Gas & Elec., supra, 56 Cal.2d at p. 221.) The employer did not “question the finding that the industrial injury was a proximate cause of the death or that the dependents were for that reason entitled to an award of death benefits” (ibid.), and the sole issue was whether the death benefits must be apportioned between the industrial and nonindustrial causes. Pacific Gas & Elec. concluded death benefits were not apportionable.
None of these cases expressly considered or decided the issue of what causation standard applied and, thus, cannot be read as creating a higher causation level than the long-established contributing cause test of Kimbol. The Court of Appeal reasoned that even if Elavil “plаyed a role” in Clark‘s death, the evidence of causation was insubstantial because “it was not significant such that it constituted a material factor contributing” to his death. In doing so, it appeared to use the term “material” as a further substantive hurdle in determining whether a work injury was a contributing cause of death. No authority supports such use.4
The Court of Appeal‘s analysis emphasized Dr. Bruff‘s inability to offer a precise percentage figure for Elavil‘s contribution to Clark‘s death. In rejecting a similar argument, McAllister reasoned: “Of course, such a detailed
That standard was met here. The autopsy and Dr. Bressler‘s report both attributed the cause of Clark‘s death to the combination of all sedative drugs in Clark‘s system. Bressler concluded that all of these drugs “separately and in combination had the capacity to induce respirаtory depression, and even respiratory arrest.” Even while repeatedly minimizing Elavil‘s contribution to the death, Dr. Bruff also repeatedly agreed that it could have combined with the effects of the other drugs to cause death. Under these circumstances, Bruff‘s failure to provide a precise percentage for Elavil‘s contribution did not render evidence of causation insubstantial. As discussed, substantial evidence reflected that both Elavil and Vicodin contributed to Clark‘s death.
The WCJ alternatively found industrial causation because Clark‘s personal doctor prescribed Ambien to address his inability to sleep due to the pain from his work injury. There is no dispute that Ambien contributed to Clark‘s death. Dr. Bruff rеported that the Ambien level in Clark‘s body was “10 to 15 times higher than normal dosage levels” and concluded that “this additive effect of [Ambien] and [Xanax] . . . caused sedation significant enough to result in the events leading to his death.” Clark‘s wife testified Clark took Ambien because he had trouble sleeping. Before receiving his Ambien prescription, Clark told his workers’ compensation doctor that he “uses the pain medication mostly at night to help him get comfortable for sleep.” It is undisputed that Clark continued to experience pain, ultimately receiving two epidural injections in an attempt to mitigate these symptoms. Those injections caused “blacking out,” which Dr. Bressler described as probablе warning episodes of “untoward synergistic respiratory depression.”
Substantial evidence supported this alternative finding as well. As noted, injury or death resulting from medical treatment of a work injury is compensable, and “[t]his rule applies whether the treatment is provided by a physician selected by the employee or by the employer or the employer‘s compensation carrier.” (1 Hanna, Cal. Law of Employee Injuries and Workers’ Compensation (rev. 2d ed. 2015) Injuries From Employer‘s Medical Treatment, § 4.66[1][a], p. 4-88 (rel. 75-4/2012).) Again, the evidence is open to interpretation. However, on the present record, the WCJ could reasonably
In conclusion, our Constitution vests the Legislature “with plenary power . . . to create, and enforce a complete system of workers’ compensation.” (
III. DISPOSITION
We reverse the Court of Appeal‘s judgment.
Cantil-Sakauye, C. J., Werdegar, J., Chin, J., Liu, J., Cuéllar, J., and Kruger, J., concurred.
