DocketNumber: H044300
Judges: Bamattre, Manoukian
Filed Date: 1/30/2018
Status: Precedential
Modified Date: 10/19/2024
*799I. INTRODUCTION
*508Respondent Jose A. Guzman, a construction laborer, was operating a compactor when he was injured. The compactor, which is used to pack down soil, hit a rock while Guzman was working on a hillside with a 45-degree slope. The compactor rose in the air, caused Guzman to fall backwards, and then fell on top of him. The workers' compensation judge (WCJ) determined that Guzman sustained an injury to his back and psyche, and that the *800psychiatric injury was caused by a "sudden and extraordinary employment condition." ( Lab. Code, § 3208.3, subd, (d).)
SCIF filed a petition for writ of review. SCIF contends that Guzman failed to meet his burden of proving that his psychiatric injury was caused by a "sudden and extraordinary employment condition." ( § 3208.3, subd. (d).)
For reasons that we will explain, we agree with SCIF. Accordingly, we will annul the Board's order denying reconsideration.
II. BACKGROUND
A. Facts
Guzman, who was the only witness at the hearing before the WCJ, testified that he had been employed by Carmel Valley Construction as a laborer for a little less than six months before he was injured on the job. His normal job duties included digging, compacting, and moving materials around the construction site. A compactor, which is used to pack down soil, has a bar around it, and Guzman would hold on to the bar while operating it. The compactor that Guzman used at the time of the accident weighed 95 pounds. He had been using that compactor for most of the week before the accident.
Guzman had worked as a construction laborer for approximately 12 years before he started working Carmel Valley Construction. In his prior work, he used a compactor approximately every week.
On May 2, 2008, Guzman used the compactor for most of the day on a flat surface. About a half hour before the accident, he began using the compactor on a hillside. There had been digging on the hillside, and pipe was laid down. Guzman used the compactor to pack the dirt covering the pipe. He had only worked on flat surfaces previously.
The slope was approximately seven feet long and he "was working on a 45-degree angle." The accident occurred after he had been working on the slope for about half an hour. He had been using the compactor *509for approximately four feet of the slope and was approximately half-way up the slope.
The compactor struck a rock in the soil. The compactor rose in the air and caused Guzman to fall backwards. The compactor then fell on top of him.
*801Guzman sustained a back injury and had two back surgeries. He also sustained a psychiatric injury for which he sought treatment.
Guzman had used compactors for approximately 12 years. He never thought there was any risk of injury while using the compactor, and he never felt he was in danger of having a compactor fall on him before the accident. He had not had a prior accident or any "close calls" involving potential injury while using a compactor. He had never heard of a compactor falling on top of someone. He had never previously lost control of a compactor, and he never had any work injuries before this accident.
B. The WCJ's Findings and Award
The WCJ determined that Guzman sustained an injury to his back and psyche arising out of his employment, and that the psychiatric injury was caused by a sudden and extraordinary employment condition. In reaching this determination, the WCJ referred to the following evidence: Guzman had never been injured by having a compactor fall on him, he had never experienced such an incident before, there was no evidence that this type of injury had occurred in a similar fashion before, Guzman never had any close calls involving an injury when using a compactor, he never had an accident using a compactor before, and he never thought there was any risk of injury while using the compactor. The WCJ concluded that "having a compactor fall on top of an employee is not something that would reasonably be expected to occur. This type of injury is not a frequent, regular, or routine part of the job. In fact, there is no evidence that having a compactor fall on an employee had ever occurred before. For this reason, it is reasonable to find that this injury was not something that could have been anticipated. This was not the type of injury that would be foreseeable." The WCJ made an award in favor of Guzman for all medical treatment reasonably required to cure or relieve the effects of the injury, including medical treatment for the psychiatric injury.
C. SCIF's Petition for Reconsideration
SCIF petitioned for reconsideration, arguing that Guzman failed to meet his burden of proving that his psychiatric injury was caused by a sudden and extraordinary employment event. SCIF contended that Guzman's injury was caused by the compactor striking a rock in the soil, which was a "typical hazard" in construction. SCIF argued that it was "foreseeable" that soil will contain rocks, that a compactor will recoil when contacting rocks, and that a construction worker will sustain injury under these circumstances. SCIF contended that Guzman's injury-free 12-year work history did "not transform his injury into something extraordinary."
Guzman filed an answer to the petition. He contended that it was SCIF's burden to prove that he was injured by an obvious hazard. Guzman argued *802that there was undisputed evidence that operating a compactor on a steep slope and having it fall on top of the worker was not a common, usual, or expected condition of employment. He also contended that foreseeability of the risk was not the proper standard, and that there was no evidence to support SCIF's argument that the manner in which he was injured was foreseeable. *510D. The WCJ's Report and Recommendation
The WCJ issued a report recommending that SCIF's petition for reconsideration be denied. The WCJ stated that Guzman sustained a back injury from the accident, and that an agreed medical examiner concluded that Guzman suffered from depression that was predominantly caused by the work injury.
The WCJ explained that, based on Guzman's "credible and uncontradicted testimony," his psychiatric injury was caused by a sudden and extraordinary employment condition. Regarding the suddenness of the condition, the WCJ stated that Guzman's "unrebutted testimony" established that "the compactor struck a rock causing the compactor to rise up in the air and to fall on top of [him] and that this type of event had never occurred before." Regarding the extraordinariness of the condition, the WCJ stated that Guzman's "uncontradicted trial testimony" was that (1) he had never heard of a compactor falling on anyone before this accident, and (2) he had never lost control of a compactor before the accident. The WCJ stated that, although SCIF contended the injury was a typical hazard of Guzman's occupation, there was no evidence to support that allegation.
The WCJ also stated that SCIF presented a "flawed" argument concerning foreseeability because it presented no evidence to support its theory that a compactor will recoil when contacting rocks, and that a construction worker using a compactor will sustain an injury when the compactor strikes a rock in the soil. The WCJ further determined that unforeseeability was not a prerequisite for a workplace event or condition to qualify as a sudden and extraordinary employment condition.
E. The Board's Order
On December 6, 2016, the Board filed an opinion and order adopting the WCJ's report and denying reconsideration. The Board stated that it had given the WCJ's credibility determination "great weight" because the WCJ had the opportunity to observe the demeanor of Guzman. Further, the Board concluded there was "no evidence of considerable substantiality that would warrant rejecting the WCJ's credibility determination."
*803SCIF filed a petition for writ of review.
III. DISCUSSION
A. The Parties' Contentions
SCIF contends, as it did below, that Guzman failed to meet his burden of proving that his psychiatric injury was caused by a "sudden and extraordinary employment condition." ( § 3208.3, subd. (d).) It argues that the incident was not an uncommon, unusual, and totally unexpected event, and that instead, Guzman encountered an ordinary, foreseeable occupational hazard. SCIF argues that "[l]oose soil at construction sites is bound to have rocks, gravel, rough spots, and other loose or uneven materials as a matter of ordinary, routine conditions," and that the "risks of tilting, falling, or losing balance while operating the heavy machine on a 45-degree slope were all reasonably foreseeable risks." SCIF also contends that the Board erroneously placed the burden of proof on SCIF.
Guzman again contends that his uncontradicted testimony provides substantial evidence to support the determination that *511his injury was caused by a sudden and extraordinary event. He points to (1) the testimony that he was operating a heavy soil compactor on a steep slope when the compactor fell on top of him, and (2) the testimony regarding his prior experience with compactors. Guzman also contends that foreseeability, as urged by SCIF, is not the correct legal standard, and that there is no evidence to support the contention that the manner in which he was injured was foreseeable. Lastly, Guzman requests that the matter be remanded to the Board for an award of attorney's fees pursuant to section 5801.
The Board, like Guzman, contends that whether an event is a foreseeable occupational hazard is not the correct standard for determining whether the event is extraordinary within the meaning of section 3208.3, subdivision (d). The Board likewise argues that there is no evidence that using a soil compactor on a steep incline and having it fall on the operator is an ordinary, foreseeable occupational hazard at a construction site. The Board contends that substantial evidence establishes that the employment condition causing Guzman's injury was uncommon and unusual, and not a regular or routine event.
*804B. General Legal Principles Regarding Workers' Compensation Awards and the Standard of Review
An employee has the burden of proving, by a preponderance of the evidence, that he or she has sustained a compensable injury within the workers' compensation system. ( Matea v. Workers' Comp. Appeals Bd. (2006)
"Once an injured worker is awarded compensation for an industrial injury and that award is affirmed by the Board, our review of that decision is limited. As to findings of fact, we defer to the Board's findings if supported by substantial evidence. [Citation.]" ( Department of Rehabilitation v. Workers' Comp. Appeals Bd. (2003)
In contrast, " '[t]he interpretation of a labor statute is a legal question which we review independently from the determination of the [Board]. [Citation.] Nonetheless, we generally defer to the [Board's] interpretation of labor statutes, unless the interpretation is clearly erroneous. [Citation.]' [Citations.] ' "An erroneous interpretation or application of law by the [Board] is a ground for annulment of [its] decision. [Citations.]" [Citations.]' [Citation.]" ( Matea , supra , 144 Cal.App.4th at p. 1444,
In construing a statute, our " 'first task ... is to ascertain the intent of the Legislature so as to effectuate the purpose of the law. In determining such intent, a court must look first to the words of the statute themselves, giving to the language its usual, ordinary import and according significance, if possible, *805to every word, phrase and sentence in pursuance of the legislative purpose.' [Citations.] 'The words of the statute must be construed in context, keeping in mind the statutory purpose, and statutes or statutory sections relating to the same subject must be harmonized, both internally and with each other, to the extent possible. [Citations.] Where uncertainty exists consideration should be given to the consequences that will flow from a particular interpretation. [Citation.] Both the legislative history of the statute and the wider historical circumstances of its enactment may be considered in ascertaining the legislative intent.' [Citation.]" ( Matea , supra , 144 Cal.App.4th at pp. 1444-1445,
C. Section 3208.3
Section 3208.3 sets forth certain requirements in order for a psychiatric injury to be compensable. Subdivision (d) of section 3208.3 states that "no compensation shall be paid ... for a psychiatric injury related to a claim against an employer unless the employee has been employed by that employer for at least six months. ... This subdivision shall not apply if the psychiatric injury is caused by a sudden and extraordinary employment condition." (Italics added.)
Section 3208.3, which was enacted in 1989, was designed to address public and legislative concerns about workers' compensation, "particularly the proliferation of workers' compensation cases with claims of psychiatric injuries." ( Hansen v. Workers' Compensation Appeals Bd. (1993)
In 1991, two years after section 3208.3 was enacted, the Legislature amended the statute to require that an employee be employed at least six months in order to receive compensation for a psychiatric injury, unless the psychiatric injury was caused by a sudden and extraordinary employment condition. ( § 3208.3, subd. (d) ; Stats. 1991, ch. 115, §§ 4 & 6; Matea , supra , 144 Cal.App.4th at p. 1446,
Section 3208.3 was further amended, and "the statute [now] imposes restrictions on claims for injury to the psyche that are filed after the employee is fired or laid off ( § 3208.3, subd. (e) ) and prohibits compensation for injury caused by a 'lawful, nondiscriminatory, good faith personnel action' ( [id. ], subd. (h))." ( Wal-Mart Stores v. Workers' Comp. Appeals Bd. (2003)
In sum, "the language and legislative history of section 3208.3 instruct that the Legislature's public policy goals should be considered when determining whether an award of benefits is warranted. The Legislature made quite clear that it intended to limit claims for psychiatric benefits due to their proliferation and their potential for fraud and abuse. Therefore, any interpretation of the section that would lead to more or broader claims should be examined closely to avoid violating express legislative intent. [Citation.]" ( Pacific Gas & Electric Co. v. Workers' Comp. Appeals Bd. (2004)
D. Sudden and Extraordinary Employment Condition
In Matea , this court determined that a compensable psychiatric injury caused by a "sudden and extraordinary employment condition" under section 3208.3, subdivision (d) means an employment event that is not "regular or routine." ( Matea , supra , 144 Cal.App.4th at p. 1448,
This court concluded in Matea that "if an employee carries his or her burden of showing by a preponderance of the evidence that the event or occurrence that caused the alleged psychiatric injury was *514something other than a regular and routine employment event or condition , that is, that the event was uncommon, unusual, and occurred unexpectedly , the injury may be compensable." ( Matea , supra , 144 Cal.App.4th at p. 1449,
Three appellate opinions have addressed whether a psychiatric injury was caused by an extraordinary employment condition, including this court's opinion in Matea .
1. Matea : being struck by rack of falling lumber in a store aisle is extraordinary
In Matea , this court determined that a rack of lumber falling on an employee of The Home Depot was "a sudden and extraordinary employment condition" within the meaning of section 3208.3, subdivision (d). ( Matea , supra , 144 Cal.App.4th at pp. 1439, 1450,
After Matea , two appellate courts determined that the circumstances in those cases were not extraordinary. We consider those cases next.
2. Garcia : falling from ladder is not extraordinary
In State Compensation Ins. Fund v. Workers' Comp. Appeals Bd. (Garcia ) (2012)
*515In contrast, in the case before it, the Garcia court explained that the employee's injury "did not occur in a public area or in an area shielded from the typical hazards of his occupation. To the contrary, the injury occurred in the avocado grove where [the employee] and his coworkers were picking fruit from high trees while standing on tall ladders. A fall under these circumstances cannot be described as an uncommon, unusual and totally unexpected occurrence." ( Garcia , supra , 204 Cal.App.4th at p. 773,
The Garcia court distinguished the circumstance of "an ordinary occupational event" that becomes "extraordinary." ( Garcia , supra , 204 Cal.App.4th at p. 774,
The Garcia court determined that such "extremely unusual circumstances" were not present in the circumstances of an employee falling from a ladder while picking avocados. ( Garcia , supra , 204 Cal.App.4th at p. 774,
3. Dreher : falling on rain-slicked concrete is not extraordinary
In Travelers Casualty & Surety Co. v. Workers' Comp. Appeals Bd. (Dreher ) (2016)
*810E. Analysis
In this case, Guzman suffered injuries while operating a compactor. The compactor struck a rock while he was working on a slope, the compactor rose in the air causing him to fall backwards, and the compactor fell on top of him. Guzman had the burden to show that this event was sudden and extraordinary ( § 3208.3, subd. (d) ), that is, the event was uncommon, unusual, and unexpected, rather than a regular and routine employment event or condition. ( Matea , supra , 144 Cal.App.4th at p. 1449,
Guzman testified that he used a compactor approximately every week in his 12 years as a construction laborer although not on a slope. He stated that he had never previously lost control of the compactor or had an accident. Guzman also had never heard of a compactor falling on someone. He never thought there was any risk of injury while using the compactor, and he never felt he was in danger of having a compactor fall on him.
Guzman failed to meet his burden of proving that a "sudden and extraordinary employment condition" caused his injury. ( § 3208.3, subd. (d).) Guzman did not provide any evidence establishing that it is "uncommon, unusual, and totally unexpected" for a rock to be in soil, for a compactor to rise when striking a rock, or for an operator to become unbalanced and to fall when the compactor rises on a 45-degree hillside. ( Matea , supra , 144 Cal.App.4th at p. 1450,
Guzman contends that using a compactor on a slope is itself an uncommon, unusual, and unexpected event because he had never previously worked on a slope, and that therefore the event causing his injury was extraordinary.
We are not persuaded by Guzman's argument. First, Guzman describes the event *517causing his injury too narrowly. Guzman's injury was not caused solely *811due to the slope. As the WCJ stated in the report recommending denial of the petition for reconsideration-which report was adopted by the Board-the event underlying Guzman's injury included "the compactor str[iking] a rock causing the compactor to rise up in the air and to fall on top of" the employee.
Second, assuming Guzman's injury was solely due to the slope, there was no evidence establishing that it was uncommon, unusual, and unexpected for a person employed by Carmel Valley Construction to operate a compactor on a slope. The record reflects that Guzman's testimony was limited to his lack of experience of working on a slope during his short tenure with the company and with other employers.
Third, assuming it was extraordinary for Guzman to operate a compactor on a slope while working for Carmel Valley Constructions, his employment condition of working on a slope was not "sudden." ( § 3208.3, subd. (d).) Guzman had been using the compactor on the slope with a 45-degree angle for approximately half an hour, and he had worked about half-way up the seven-foot slope before the accident occurred. There was no evidence that Guzman was unaware that he was working on a slope. Given the angle of the slope, and the time and distance he had been working on the slope, the circumstance of Guzman working on the slope cannot be described as a "sudden" employment condition. ( § 3208.3, subd. (d) ; Matea , supra , 144 Cal.App.4th at p. 1448,
In sum, Guzman had the "burden of showing that [his] psychiatric injury did not 'derive[ ] from the effects of a[ ] ... routine physical injury' [citation], and was not the result of the routine type of ... employment event that all employees who work for the same employer may experience or expect within the first six months of their employment [citations]." ( Matea , supra , 144 Cal.App.4th at p. 1450,
*812IV. DISPOSITION
The Board's December 6, 2016 opinion and order denying reconsideration is annulled, and the matter is remanded to the Board with directions to deny Guzman's claim for psychiatric injury.
WE CONCUR:
ELIA, ACTING P.J.
MIHARA, J.
All further statutory references are to the Labor Code.
We granted the application of California Workers' Compensation Institute to file an amicus curiae brief in support of SCIF.
Section 5801 provides in part: "In the event the injured employee ... prevails in any petition by the employer for a writ of review from an award of the appeals board and the reviewing court finds that there is no reasonable basis for the petition, it shall remand the cause to the appeals board for the purpose of making a supplemental award awarding to the injured employee or his attorney ... a reasonable attorney's fee for services rendered in connection with the petition for writ of review."