Norton v. Workers' Compensation Appeals Board
Norton v. Workers' Compensation Appeals Board
Opinion of the Court
Opinion
Petitioner Robert B. Norton (hereinafter alsc applicant) contends that respondent Workers’ Compensation Appeals Board (Board) should have issued a combined permanent disability rating for all of his industrial injuries rather than issuing, as the Board did, two separate permanent disability awards. We agree with petitioner. Accordingly, we annul the Board’s decision and remand the matter to the Board for further proceedings as directed herein.
Norton was employed by respondent County of Santa Barbara (County) as a deputy sheriff from July 22, 1968, through November 9, 1977. In the proceedings under review, Norton was found to have sustained five separate industrial injuries while employed by County: a specific back injury
The workers’ compensation judge initially issued a single set of permanent disability rating instructions with the following factors of
The Board granted County’s petition for reconsideration and issued two separate rating instructions; one for the back disability and one for the gastrointestinal disability. The Board also found that the back disability should be reduced by the level of the gastrointestinal disability pursuant to the principle of “overlapping disabilities.”
The Board’s rating instructions for the gastrointestinal disability were as follows: “[Disability to esophagus and stomach precluding applicant from heavy work and necessity to avoid stressful work.”
This was a 40 standard rating which adjusted to 37 percent permanent disability (162.75 weeks of payments at $70 per week, for a total of $11,392.50, and no life pension).
The Board’s rating instructions for the back disability were as follows: “[B]ack disability limiting applicant to semi-sedentary work. [1Í] Please consider, applicant has a disability to esophagus and stomach
The back disability was a 60 standard rating which adjusted to 66 percent. The Board subtracted the “overlapping” part of the stomach disability (27-1/2 percent) for a net back disability rating of 38-1/2 percent (171.25 weeks of payments of $70 per week, for a total of $12,025.50, and no life pension).
Thus, the judge’s rating instructions would result in Norton’s receiving weekly payments of $70 per week totaling $33,547:50 and thereafter a life pension of $35.94 per week. In contrast, the Board’s method has resulted in a total of only $23,418 and no life pension.
Discussion
At the outset we observe that no party denies that all four of Norton’s back injuries (the three specific back injuries and the cumulative back injury) should be rated together. Where, as here, successive injuries to the same part of the body become permanent and stationary
The dispute herein is whether the combined back injuries and the cumulative esophagus and stomach injury should be rated together,
The judge’s method is an application of the Supreme Court decision in Hegglin v. Workmen’s Comp. App. Bd. (1971) 4 Cal.3d 162 [93 Cal.Rptr. 15, 480 P.2d 967]. In Hegglin the court held that where multiple independent factors of disability to different parts of the body result from a single industrial injury, the proper method of rating is to include all factors of disability in the rating instructions and then achieve an overall rating by use of the multiple disabilities table. (Id. at p. 174; see also, Morgan v. Workers’ Comp. Appeals Bd., supra, 85 Cal.App.3d 710; Mihesuah v. Workers’ Comp. Appeals Bd., supra, 55 Cal.App.3d 720.)
In contrast the Board’s rating is an application of the Supreme Court decisions in State Compensation Ins. Fund v. Industrial Acc. Com. (Hutchinson) (1963) 59 Cal.2d 45 [27 Cal.Rptr. 702, 377 P.2d 902] and Mercier v. Workers’ Comp. Appeals Bd. (1976) 16 Cal.3d 711 [129 Cal.Rptr. 161, 548 P.2d 361]. Hutchinson and Mercier established the principle of apportionment of successive “overlapping disabilities.” Under this principle where an injured worker sustains successive injuries (i.e., a preexisting disability followed by an industrial injury) the permanent disability from the subsequent industrial injury is only compensated to the extent the injured worker’s ability to compete in the open labor market Is decreased beyond that due to the preexisting disability. (Mercier, supra, 16 Cal.3d at pp. 714-716; Hutchinson, supra, 59 Cal.2d at pp. 52-56; see also, Aliano v. Workers’ Comp. Appeals Bd. (1979) 100 Cal.App.3d 341, 374 [161 Cal.Rptr. 190]; Johns-Manville Products Corp. v. Workers’ Comp. Appeals Bd. (Carey) (1978) 87 Cal.App.3d 740 [151 Cal.Rptr. 215]; State Comp. Ins. Fund v. Workers’ Comp. Appeals Bd. (Gaba) (1977) 72 Cal.App.3d 13, 15-17 [139 Cal.Rptr. 802].) “Thus, if prior to the industrial injury the injured has a permanent disability there is apportionment to the extent the industrial injury does not decrease his earning capacity or ability to compete. This rule of apportionment of ‘overlapping disabilities’ applies even if the industrial injury involves a different part of the body than the preexisting disability.” (Aliano, supra, 100 Cal.App.3d at p. 374.)
Here, however, the injurious employment for the back was from July 22, 1968, through November 9, 1977, while the injurious employment for the esophagus and stomach was only 1974 to November 1977. Thus, only the ending periods of the injurious employments are contemporaneous.
On the other hand, the cumulative back injury and the cumulative injury to the esophagus and stomach cannot be said to be successive injuries. In order for injuries to be successive, one injury must predate the other. A cumulative injury occurs as a result of “repetitive mentally or physically traumatic activities extending over a period of time, the combined effect of which causes any disability or need for medical treatment.” (Lab. Code, § 3208.1.) No cumulative injury can occur until there is “compensable disability,” which consists of disability and/or need for medical treatment. This is because, regardless of the dates of injurious employment, the claimant has no cause of action and no rights accrue to him until that point in time when the cumulative effects of his disease result in compensable disability. (Van Voorhis v. Workmen’s Comp. Appeals Bd. (1974) 37 Cal.App.3d 81, 86-87 [112 Cal.Rptr. 208]; Hooker v. Workmen’s Comp. Appeals Bd. (1974) 36 Cal.App.3d 698, 704-707 [111 Cal.Rptr. 766]; Aetna Cas. & Surety Co. v. Work
Here, there is no medical evidence supporting the conclusion that prior to applicant’s last date of employment he was disabled or sought medical treatment as the result of the cumulative back injury (as opposed to the specific back injuries).
Norton’s stomach and esophagus began troubling him in early 1975. Norton did not seek formal medical treatment until July 1976. Since obtaining formal medical care he has, on more than one occasion, been off work because of this problem.
We are now left with the application of two principles to the rating of Norton’s permanent disability. First, the Wilkinson rule that requires that the three specific back injuries and the cumulative back injury be rated together. Secondly, the principle, by application of Hegglin, supra, and Hurley, supra, that the cumulative back injury and the cumulative esophagus and stomach injury be rated together. The manner in which the Board has rated the disability does violence to the latter principle. The inescapable conclusion is, therefore, that the only way these two principles can both be applied is by rating together all of the back injuries and the cumulative esophagus and stomach injuries; that is, rating the permanent disability as if only one injury were involved.
Disposition
The Board’s present permanent disability rating is annulled. The matter is remanded to the Board with directions to issue permanent disability rating instructions in accordance with this opinion. The new rating instructions should also comply with the discussion of this court in Morgan v. Workers’ Comp. Appeals Bd., supra, 85 Cal.App.3d 710, 722-726, concerning the rating of multiple factors of disability from a single injury. On remand the Board may also conduct any further proceedings it deems appropriate.
Allport, J., and Potter, J., concurred.
‘An injury may be either: (a) ‘specific,’ occurring as the result of one incident or exposure which causes disability or need for medical treatment; or '(b) ‘cumulative,’ occurring as repetitive mentally or physically traumatic activities extending over a period of time, the combined effect of which causes any disability or need for medical treatment....” (Lab. Code, § 3208.1.)
The application of Labor Code section 5500.5 has no impact upon the permanent disability rating problem herein presented.
The Board has found the cumulative back injury occurred during the entire period of employment. In contrast, the cumulative esophagus and stomach injury occurred only during 1974 to November 1977, and thus Norton’s prior employment was noncontributory.
The period of injury found by the Board is not the result of the application of Labor Code section 5500.5. “Section 5500.5 was enacted in 1951 to codify the rule announced in Colonial Ins. Co. v. Industrial Acc. Com. (1946) 29 Cal.2d 79, 82 [172 P.2d 884], that an employee disabled by a progressive occupational 'disease may obtain an award for his entire disability against any one or more of his successive employers or insurance carriers and that those held liable have the burden of seeking apportionment. (See Tidewater Oil Co. v. Workers’ Comp. Appeals Bd. (1977) 67 Cal.App.3d 950, 956-957 [137 Cal.Rptr. 36]; Harrison v. Workmen’s Comp. Appeals Bd., supra, 44 Cal.App.3d [197] at p. 199 [118 Cal.Rptr. 508]; Swezey, Disease as Industrial Injury in California (1967) 7 Santa Clara Law. 205, 220-221.) Originally, section 5500.5 was limited by its express language to occupational disease claims, but its procedures were applied by analogy to cumulative injury claims as well. (See Royal Globe Ins. Co. v. Industrial Acc. Com. (1965) 63 Cal.2d 60, 63 [45 Cal.Rptr. 1, 403 P.2d 129]; Raischell & Cottrell, Inc. v. Workmen's Comp. App. Bd. (1967) 249 Cal.App.2d 991, 995 [58 Cal.Rptr. 159]; Swezey, Repetitive Trauma as Industrial Injury in California (1970) 21 Hastings L.J. 631, 642.) In 1973, section 5500.5 was amended to expressly cover cumulative injury as well as occupational disease claims. (Stats. 1973, ch. 1024, § 4, p. 2032.)” (Flesher v. Workers’ Comp. Appeals Bd. (1979) 23 Cal.3d 322, 327 [152 Cal.Rptr. 459, 590 P.2d 35].)
Also under the 1973 amendments, section 5500.5, subdivision (a) “permits an employee claiming liability for occupational disease or cumulative injury to proceed only against the employers who employed him during a period of five years immediately preceding either the date of injury or the last date on which the employee was employed in an occupation exposing him to the hazards of such occupational disease or
In 1977, section 5500.5 was amended so as to reduce annually the five-year period so that commencing in 1981 and thereafter the liability period of section 5500.5 for cumulative trauma and occupational disease claims will only be one year. The 1977 amendments also eliminated the one employer rule of subdivision (d). (Stats. 1977, ch. 360, § 1, p. 1334; Flesher, supra, 23 Cal.3d at p. 327; City of Los Angeles v. Workers’ Comp. Appeals Bd. (Calvert) (1978) 88 Cal.App.3d 19, 26 [151 Cal.Rptr. 679].) The 1977 amendments apply only to claims “filed or asserted” on or after their effective date. (Rountree v. Time D.C. (WCAB en banc opn. 1979) 44 Cal.Comp.Cases 223.)
As concerns Norton’s injuries, County was insured by State Compensation Insurance Fund (State Fund) from July 22, 1968, through June 30, 1971. Since July 1, 1971, County has been permissibly self-insured. (Lab. Code, § 3700.)
Norton filed his application for adjudication of the esophagus and stomach cumulative injury in November 1977. Accordingly, the 1973 amendments to Labor Code section 5500.5, including the “one-employer rule” of subdivision (d) apply. (Rountree v. Time D.C., supra, 44 Cal.Comp.Cases 223.) The cumulative esophagus and stomach injury occurred from 1974 to November 1977. Therefore, State Fund is not liable upon this claim.
The cumulative back injury claim was not “asserted” by Norton until February 1978 when he amended a claim previously filed in 1977, which alleged specific back injuries, to one alleging the cumulative back injury. Accordingly, the 1977 amendments apply to the cumulative back injury claim and therefore, Labor Code section 5500.5 subdivision (a) limited liability to the last four years of employment. (Rountree v. Time D.C., supra, 44 Cal.Comp.Cases at p. 231.)
In the cumulative back injury claim the last four years of employment were November 9, 1973, to November 9, 1977. State Fund, therefore, again has no liability upon the cumulative back injury claim and the Board has accordingly limited liability to County in its capacity as a permissibly self-insured. Notwithstanding the liability limitations of Labor Code section 5500.5, Norton correctly alleged and the Board correctly found cumulative back injury during Norton’s entire period of employment at County. This is because the intent of Labor Code section 5500.5 is “to limit the number of employers and insurance carriers which may be held liable but not to limit the extent of exposure for which a worker may recover.” (Cal. Workmen’s Compensation Practice
“A disability is considered permanent after the employee has reached maximum improvement, or his condition has been stationary for a reasonable period of time, as may be determined by the Appeals Board or a [workers’ compensation judge].” (WCAB Rules Pract. and Proc. (Cal. Admin. Code, tit. 8, ch. 4.5, subch. 2) § 10900.)
The Wilkinson rule has its origins in the Board’s opinions in Bauer, supra, 34 Cal.Comp.Cases 594 and Revere Copper & Brass, Inc. v. WCAB (Dunlap) (1969) 34 Cal.
Where Labor Code section 5500.5 results in different liability periods for injuries to separate parts of the body, the question of whether procedurally separate claim applications, as here, or a single claim application should be filed is best left to the Board’s consideration. (See Cal. Workmen’s Compensation Practice (Cont.Ed.Bar Supp. 1980) § 5.14, p. 55-57.)
Norton did seek medical treatment and was temporarily disabled following each of the specific back injuries.
While Norton technically should have filed separate cumulative stomach and esophagus claims for each separate period of disability and need for medical treatment interspersed within the entire period of injurious employment (City of Los Angeles v.
Case-law data current through December 31, 2025. Source: CourtListener bulk data.