| Cause of Injury-Standard of Proof |
See also Cause of Injury by .H.L. Graham, atty. for analysis of ECABS on how much the
work needs to contribute to the condition to be compensable. |
| IMEs Independent Medical Examinations |
The
Employees' Compensation Appeals Board (the Board) has said that where there exists a
conflict of medical evidence and the case is referred to an impartial specialist for the
purpose of resolving the conflict, the opinion of such specialist, if sufficiently
well-rationalized and based on a proper factual background, is given special weight. Rose
J. Gadley, 34 ECAB When
a case is referred to an impartial, medical specialist for the purpose of resolving a
conflict in medical opinion evidence, the opinion of such specialist, if sufficiently
well-rationalized and based on a proper medical background, must be given special weight.
Louis G. Psyras, 39 ECAB ___(1987) Marlene G. Owens, 39 ECAB___ (1988) |
| Fact of Injury |
Appellant
has the burden of establishing by weight of reliable, probative, and substantial evidence
that he sustained an injury in the performance of duty at the time, place and manner
alleged. An injury does not have to be confirmed by eyewitnesses to establish the fact
that the injury occurred as alleged, but the employees statements must be consistent
with the surrounding facts and circumstances and his subsequent course of action. an
employee has not met this burden where there are inconsistencies in the evidence
sufficient to cast serious doubt upon the validity of the claim. Sylvester W. Bolden, 32
ECAB 731 (1981); Manuel A. Rodrequez, 32 ECAB 943 (1981) Where a claim is based on a specific
accidental injury, the employee claiming compensation benefits has the burden of
establishing the fact of injury by proof of an accident or fortuitous event having
relative definiteness with respect to time, place and circumstances, and of an impairment
causally related to such injury. The mere occurrence of an episode of pain during the work
day is not proof of an injury having occurred at work, nor does it warrant an inference of
causal relationship. Max Haber, 19 ECAB 243 (1967)
To establish a right to
compensation, it is not sufficient for appellant merely to show the occurrence of an
injury in the performance of duty; he must also establish by weight of the reliable,
probative, and substantial evidence that the condition for which compensation is sought
was the result of an employment injury. Forrest L. Hibson, 13 ECAB (1961)
The claimant has the burden of
establishing that she sustained an injury at the time, place and in the manner alleged.
While it is not necessary that an injury be witnessed in order to establish its
occurrence, the claimant's allegations must be consistent with surrounding facts and
circumstances. George Hoffman, 17 ECAB 456
The employees statement
alleging that an injury occurred at a given time and in a given manner is of great
probative value and will stand unless it is refuted by substantial evidence. Michael
Hunter, 34 ECAB 1252
While it is not necessary that an
injury be witnessed in order to establish its occurrence, the claimant's allegations must
be consistent with surrounding facts and circumstances. In meeting this burden, a
claimant's statement alleging that an injury occurred at a given time and in a certain
manner is of great probative value and will stand unless refuted by substantial
evidence.1/ Where interested persons such as witnesses or supervisors state that they are
unsure whether the incident in question occurred as alleged, such statements are
insufficient to refute the claimant's allegations.2/ Only where "sufficient
inconsistencies" exist between the facts and circumstances and the allegations may
the Office find that the fact of injury did not exist.3/ 1/Ruth Jackson, 30 ECAB 918;
2/Larry Bell, 29 ECAB 753; 3/William Rollins, 17 ECAB 451 |
| Fitness for duty |
Based on
a recent revision to the Office's procedures (issued by FECA Transmittal No. 94-7,
December 3, 1993), Dr. Theodoulou's report may not be considered a second opinion report
for purposes of creating a conflict in medical evidence. Paragraph 9b of Chapter
2-810 of the Federal (FECA) Procedure Manual currently states that a report obtained as
the result of a contract between an employing agency and a physician (such as a fitness
for duty evaluation) may not be considered a second opinion report for purposes of
creating a conflict in medical evidence or for reducing or terminating benefits on the
basis that the weight of medical evidence rests with that report. The procedure manual
states: "Such a report must receive due consideration, however, and if its findings
or conclusions differ materially from those of the treating physician, the CE should make
an immediate second opinion referral." Minnie Cherry, OWCP File No. A9-378966 --
Deborah Koenig, Hearings Representative/OWCP, February 10, 1994 |
| Medical evidence in general |
Medical
opinion is of little probative value where it is equivocal and not supported by medical
rationale, and its accuracy and completeness could not be tested because the history of
the working conditions upon which is was predicated were not recited. George S. Wolpert,
17 ECAB 298 Under
the Federal Employees' Compensation Act, the claimant has the burden of establishing by
the weight of the reliable, probative and substantial evidence that his condition was
caused or materially adversely affected by his employment. As part of this burden he must
submit rationalized medical opinion evidence, based on a complete factual and medical
background, showing causal relation. Merely because a condition manifests itself during a
period of employment does not raise an inference that there is a caused relationship
between the two. Neither the claimant's belief that the condition was caused or aggravated
by employment conditions nor the manifestation of a
condition during the period of employment is sufficient to establish causal relation.
Birger Areskog, 30 ECAB 571
Entitlement to compensation
benefits under the Federal Employees' Compensation Act is not based solely on a finding
that an employee is disabled for employment. Under the Act, entitlement to compensation
benefits is based on a finding, as supported by medical evidence, that the disability is
causally related to factors or incidents of the employee's federal employment. The Act
provides for payment of compensation only for so long as there exists a proven physical or
related impairment attributable to employment
factors or incidents. John A. Ceresoli, Docket No. 88-1565 (1988)
The fundamental prerequisite to
compensation under the Federal Employees' Compensation Act is that there be a causal
connection, established by reliable, probative and substantial evidence, between the
employment and a personal injury sustained in-the performance of duty or disease
proximately caused by the employment. The claimant's own assertion of an employment
relationship is not proof of fact. Proof must include supporting rationalized opinion of
qualified medical experts, based on Complete and accurate factual and medical backgrounds,
establishing that the implicated incidents caused or materially adversely affected the
ailments producing the work disablement. Margaret A. Donnelly, 15 ECAB 40
The opinions of physicians who have
training and knowledge in a specialized medical field have greater probative value
concerning medical questions peculiar to that field than the opinions of other physicians.
Elmer L. Fields, 20 ECAB 250 (1969)
The claimant has the burden of
establishing that the condition for which compensation is sought is causally related to a
specific employment incident or to specific conditions of the employment. As part of this
burden, the claimant must present rationalized medical evidence, based upon a complete and
accurate factual and medical background, establishing causal relationship. Brian E.
Flescher, 40 ECAB 532, 536 (1989); Ronald K. White, 37 ECAB 176, 178 (1985)
In assessing medical evidence, the
number of physicians supporting one position or another is not controlling; the weight of
such evidence is determined by its reliability, its probative value, and its convincing
quality. The opportunity for and thoroughness of examination, the accuracy and
completeness of the physicians knowledge of the facts and medical history, the care
of analysis manifested, and the medical rationale expressed in support of the
physicians opinion are factors which enter into this evaluation. Connie Johns, 44
ECAB (Docket No. 91-1226, issued March 9, 1993)
A physicians opinion on
causal relation that consists only of checking yes to the forms question
of whether appellants condition was related to the history as given, without any
explanation or rationale, has little probative value and is insufficient to establish
causal relation. Debra S. King, 44 ECAB _ (Docket No. 92-414, issued November 4, 1992);
Robert J. Krstyen, 44 ECAB _ (Docket No. 92-666, issued November 16, 1992); Geraldine H.
Johnson, 44 ECAB (Docket No. 92-1611, issued June 9, 1993)-
One of the essential elements of a
claim is that the claimant specify factors of his employment which he believes have caused
an injury, such as an emotional condition. Appellant had failed to furnish detailed
information, of the type requested by the Office, with respect to the specific incidents
and factors in his employment which he believed were stressful and adversely affected his
emotional and gastrointestinal conditions. The mere fact that a claimant is employed as an
Air Traffic Control Specialist and develops or has an aggravation of an emotional and
gastrointestinal condition does not free him from the responsibility of describing in
detail the employment factors which he believes caused or
aggravated his conditions. Gary A. King, 30 ECAB 253
The opinion of a physician that a
condition is causally related to an employment injury because the employee was
asymptomatic before the employment injury is insufficient, without supporting medical
rationale, to establish causal relation. Thomas D. Petrylak, 39 ECAB 276 (1987)
A physicians opinion
supporting causal relationship between a claimants disability and a specific
employment incident or factors of employment is not dispositive on the issue of causal
relationship simply because it is rendered by a physician. To be of probative value to an
employees claim, the physician must provide rationale for the opinion reached. Where
no such rationale is present the medical opinion is of diminished probative value. Michael
Stockert, 39 ECAB 1186 |
| Non-adversarial
Relationship |
"Proceedings
under the FECA are not adversary in nature nor is the office a disinterested arbiter.
While the claimant has the burden to establish entitlement to compensation, the office
shares responsibility in the development of the evidence." William Cantrell, 34 ECAB
1233 The Board has
long held that proceedings under the Act are not adversary in nature nor is OWCP a
disinterested arbiter. While the claimant has the burden to establish entitlement
to compensation, OWCP shares responsibility in the development of the evidence, and has
the obligation to see that justice is done. Gertrude E. Evans (Wesley W. Evans), 26 ECAB
195, 1974
As noted by Larson in his treatise
Workmens Compensation Law, the ultimate social philosophy behind compensation
liability is to provide, in the most efficient and dignified manner, financial and medical
benefits for victims of work-connected injuries. Section 2,20. Workmens compensation
statutes are remedial legislation and should be liberally construed in favor of the
employee. Pearl Phillips Parker (George Tom Parker), 9 ECAB 200 (1956) U.S. Department of
Labor/Employees Compensation Appeal Board/Washington, DC 20210/The Boards
Function, p.1 |
| Occupational Illness |
To
establish that an injury was sustained in the performance of duty in an occupational
disease claim, the claimant must submit the following: (1) medical evidence establishing
the presence or existence of the disease or condition for which compensation is claimed;
(2) a factual statement identifying employment factor alleged to have caused or
contributed to the presence or occurrence of the disease or condition; and (3) medical
evidence establishing that the employment factors identified by the claimant were the
proximate cause of the condition for which compensation is claimed or, stated differently,
medical evidence establishing that the diagnosed condition is causally related to the
employment factors identified by the claimant. The medical evidence required to establish
a causal relationship, generally, is rationalized medical opinion evidence. Rationalized
medical opinion evidence is medical evidence which includes a physicians
rationalized opinion on the issue of whether there is a causal relationship between the
claimants diagnosed condition and the implicated employment factors. The opinion of
the physician must be based on a complete factual and medical background of the claimant,
must be one of reasonable medical certainty, and must be supported by medical rationale
explaining the nature of the relationship between the diagnosed condition and the specific
employment factors identified by the claimant. Victor J. Woodhams, ECAB Docket 89-1717 |
| Recurrences |
(Parts
highlighted in red deal with changes in work assignment that result in recurrence of
disability, as opposed to recurrence of medical condition) The Appeals Board has consistently held that
once an employee returns to work, with respect to the alleged periods of disability
thereafter, he has the burden of establishing by the weight of reliable, probative and
substantial evidence that the disability was caused or adversely affected by the
employment injury.1 This burden is met when the preponderance of the evidence shows that
the employee is disabled, and that such disability is the result of an employment injury
or injuries.2 1/Nicolea Brushy 33 ECAB 1138; 2/ William H. Burress, 34 ECAB
When an employee, who is disabled
from the job he or she held when injured on account of employment- related residuals,
returns to a light-duty position or the medical evidence establishes that the employee can
perform the light-duty position, the employee has the burden to establish by weight of the
reliable, probative, and substantial evidence, a recurrence of total disability and to
show that he or she cannot perform such light duty. As part of this burden, the employee
must show a change in the nature and extent of the injury-related condition or a change in the nature and extent of the
light-duty job requirements. George
DePasquale, 39 ECAB (1987); Jackie Wilson 39 ECAB (1988)
Under the Federal Employees
Compensation Act, when the recurrence of disability is alleged, appellant has the burden
of establishing by weight of the reliable, probative, and substantial evidence that her
current disability was causally related to her 4/20/72 work injury. Garland Gargus, 30
ECAB 1018
When a recurrence is claimed in
occupational disease cases where the claimant has returned to a light duty position within
the medical restrictions imposed by the accepted condition, the evidence must demonstrate
that the claimant can no longer carry out the requirements of the position. As part of
this requirement, the claimant must show that a) a material change in the condition has
occurred which justifies his inability to perform the restricted work, and that this
change is causally related to the previously accepted employment factors; or b) that the light duty job requirements have
changed. Terry R. Hedman, ECAB Docket
No. 86-1418 (1986) (a synopsis)
When an employee, who is disabled
from the job he held when injured on account of employment related residuals, returns to a
light-duty position, or the medical evidence of record establishes that he can perform the
light-duty position, the employee has the burden to establish by weight of reliable,
probative, and substantial evidence a recurrence of total disability and show that he
cannot perform such light duty. As part of this burden, the employee must show a change in
the nature and extent of the injury-related condition or a change in the nature and extent of the light-duty job requirements. Appellant, here, worked in a light-duty status and
stopped on July 13, 1982 claiming a recurrence of total disability due to the employment
injury. The medical evidence submitted by appellant was insufficient to meet her burden of
establishing that she was totally disabled due to her employment injury. Terry R. Hedman,
38 ECAB 222 (1986)
Appellant has the burden of
establishing by reliable, probative and substantial evidence that the recurrence of a
disabling condition for which he seeks compensation was causally related to his employment
injury. As part of such burden of proof, rationalized medical evidence showing causal
relation must be submitted. Henry L. Kent, 34 ECAB 361 (1982); Dennis F. Twardzik, 34 ECAB
536 (1983); Merria L. Bell, 34 ECAB 1507 (1983)
Where an employee claims a
recurrence of disability due to an accepted employment-related injury, he or she has the
burden of establishing by the weight of the substantial, reliable and probative evidence
that the recurrence of the disabling condition for which compensation is sought is
causally related to the accepted employment injury. As part of this burden, the employee
must submit rationalized medical evidence based on a complete and accurate factual and
medical background showing a causal relationship between the current disabling condition
and the accepted employment-related condition. Kevin J. McGrath, 42 ECAB Docket No.
90-1207, issued October 2, 1990; Herman W. Thornton, 39 ECAB 975 (1988)
The medical evidence failed to
establish that appellants recurrence of disability after September 1980 was causally
related to his June 27, 1980 employment injury. There was no rationalized medical evidence
of record which established that a causal relationship existed between appellants
disability after September 1980 and the June 27, 1980 employment injury. Appellant failed
to meet his burden of proof. Dennis F. Twardzik, 34 ECAB 536 (1983)
As part of this burden, he or she
must submit rationalized medical opinion evidence based on a complete factual and medical
background showing a causal relationship between the current disabling condition and the
accepted employment injury. Steven J. Wagner, 32 ECAB 1446 |
| Reconsideration |
Office
properly refused to reopen the case for review on the merits. The additional evidence
submitted by appellant was prima facie insufficient to warrant review. Material which is
repetitious or duplicative of that already in the case record, or which has no relevancy
to the issue involved, is of no evidentiary value in establishing a claim. Lawrence Ellis
Myers, 27 ECAB 262 (1976) To
require the Office to reopen a case for reconsideration, a claimant must submit relevant
evidence not previously of record or advance legal contentions not previously considered.
Daisy M. Tharp, 27 ECAB 277, (1976) |
| Scope of Employment |
Although
the conflict which led to the alleged assault involved a nonwork topic (one of the parties
wishing to be introduced by the other party to a male employee for the purposes of a
date), the altercation and ensuing alleged assault of appellant ...is
nevertheless compensable because the employment brought appellant and [her coworker]
together and created the conditions which resulted in the altercation. The fact that the
lack of introduction was not relevant to the work did not disconnect it from the
employment, nor from the injurious consequences of the alleged assault. Appellants
employment necessitated daily contact with [her co-worker] and the introduction dispute
leading to the alleged assault was merely the culmination of the daily work contact
pressure. Shirley I. Griffin, 43 ECAB 573 (1992) The Board has held that assaults arising out of the
employment or having their origins at work are compensable. However, when animosity or a
dispute which culminates in an assault is imported into the employment from a
claimants domestic or private life, the assault does not arise out of the
employment. George A. Fenske, Jr., 11 ECAB 471 (1960)
Assaults arise out of the
employment if the reason for the assault was a quarrel having its origin in the work.
Thus, if the altercation occurred because of a dispute over work-related matters, such as
the practice of shooting rubber bands in the work-place, it is covered as arising out of
the employment. Eric J. Koke, 43 ECAB 638 (1992)
At the time of the accident
appellant had left the employing establishment, gotten into her car parked in the basement
of the building, and proceeded to an adjacent area neither owned nor controlled by the
federal government. Her status at that time was that of a fixed premises
employee with fixed hours of work coming from work. She was therefore subject to the
going and coming rule generally applicable to such employees and her injury
was not compensable. Marie W Rogers, 36 ECAB 562
Appellant, a rural mail carrier
sustained injury in a motor vehicle accident while driving to a fixed work station at
which she had arranged for a limited-duty assignment that date. Appellants injury
was not sustained in the performance of duty as the accident occurred before she reached
the employing establishment premises. On the date of injury appellant was assigned to
limited duty with fixed hours and a fixed work site and her employment duties that date
did not require her to travel on the highways. Appellants injury arose from
nonemployment hazards shared by all travelers. Betty R. Rutherford, 40 ECAB 496 (1989)
When it is clear that the origin of
the assault is purely private and personal, and that the employment contributed nothing to
the episode, whether by engendering or exacerbating the quarrel or facilitating the
assault, the assault should be held noncompensable. An assault, to be compensable, must
either arise in the course of employment, or if it does not, must be directed at the
employee because of his employment. Bruce Wright, 43 ECAB 284 (1991) |
| Stress Related Disability
See separate page summarizing Cutler Rule-Mcduen eceptions |
The
employing establishments administrative action of dismissal of [the employee] was
based on its investigation of his conduct on the job; the action, which the Merit Systems
Protection Board ruled was proper, was based on his willful misconduct. [The
employees] resulting emotional upset must therefore be considered self-generated and
not arising out of or in the course of his federal employment. Walter Asberry, Jr., 36
ECAB 686 (1985) Fear
of a reduction in force or frustration from not being permitted to work in a particular
environment or hold a particular position are not factors of employment. Anna J. Backman,
30 ECAB 118 (1978)
[The employees] fear of a reduction in force and fear of a possible reassignment...are
not compensable [employment factors] under the principles enunciated in Cutler. Janice
Balan, 37 ECAB 485 (1986)
[A change in the employee's] status
in the bargaining unit and the impending transfer of his office to a new location [are not
factors of employment; however] disagreement with another employee over a technical
procedure in connection with work and a subsequent confrontation with his supervisor
concerning the incident [are factors of employment]. Jerry D. Campbell, 32 ECAB 1959
(1981)
[The employee] did not report for
duty and subsequently experienced a panic attack upon his receipt of an employing
establishment advisory letter noting that he was absent without leave and that his
continued failure to comply with applicable regulations for requesting leave could result
in employment termination. [This] panic attack and alleged emotional disability did not
constitute an injury sustained in the performance of duty. [The employees] emotional
condition was related to agency actions on personnel matters and had no relationship to
his assigned duties or requirements imposed by his employment. Joseph C. De Donato,
39 ECAB 1260 (1988)
The situations enumerated by [the
employee] which would be deemed conditions of employment as enunciated in Cutler were his
emotional reaction to the circumstances of his performance rating; his assignment to [a
special] project and its subsequent cancellation; the legal action taken against him by
his subordinate for failure to select the subordinate for a promotion and the employing
establishment's alleged failure to arrange for [his] defense in the ensuing lawsuit...;
and confrontations with his supervisor involving criticism and other verbal altercations
concerning his performance. Factors enumerated by the employee which would not be
compensable are: distress over the reduction-in-force and the appeals process which
followed; distress over failure of being promoted; distress over the newly created
position and the national advertisement of that position; and distress over the assignment
of one of his subordinates as his acting supervisor [emphasis supplied]. George Derderian,
33 ECAB 1910
The detail assignment to Chicago
constitutes specially assigned work duty within the language of Cutler. A disability
arising out of an emotional reaction to a detail assignment or the working conditions
involved in a detail assignment would therefore be within the coverage of the FECA. Brenda
Getz, 39 ECAB 245 (1987)
[A] letter from the employing
establishment proposing to remove [the employee] from his position due to failure to meet
certain performance requirements of that position did not constitute an injury sustained
in the performance of duty. Although [the employees] disabling emotional reaction
did have some connection to his employment, it was not a reaction to his day-to-day duties
or to fear or anxiety concerning his ability to perform his employment duties, but to what
he perceived as a sudden loss of his career. Allen C. Godfrey, 37 ECAB 334
(1986)
[The employee] alleged an emotional
condition which he attributed to discrimination in his employment as he sought time off
for religious purposes. The...emotional condition was due to symptoms caused by his
distress over not being able to fulfill his religious responsibilities and obligations,
which are not factors of employment. Robert Gray, 39 ECAB 1239 (1988)
[The employees] emotional
reaction to the denial of reimbursement of travel vouchers constituted an injury sustained
in performance of duty. The procedure for claiming these expenses is a requirement imposed
by the employing establishment and relates to the duties [the employee] was required to
perform. Robert E. Green, 37 ECAB 145 (1985)
[The employee] did not cite any
duties or special requirements imposed by his position as a mail handler which can be
related to his emotional condition, [but] attributed his condition to alleged
mismanagement of his claim by OWCP. The factors he listed are not employment factors and
are actions of OWCP, not the employing establishment. Virgil M. Hilton, 37 ECAB 806 (1986)
The fear of recurrence of [an
emotional condition] if the employee returns to work does not constitute a valid claim for
compensation. Herbert H. Kiehn, 31 ECAB 488 (1980)
The sexual harassment claims made
against [the employee] did not arise out of [his] day-to-day regular duties or out of any
specially assigned duties imposed by the employment. Rather, the complaints arose out of
[the employees] own behavior toward certain coemployees. Wilbert Kimbrough, 39 ECAB
425 (1988)
In this case, the medical evidence
establishes more than [the employees] feeling of job insecurity: It establishes that
[the employees] episode of severe depression and impaired function was directly
precipitated by what [he] regarded as an unsatisfactory performance appraisal. The Board
finds that [the employees] emotional reaction bears a direct relationship to his
regular or especially assigned duties and constitutes an injury in the performance of duty
within the meaning of the [FECA]. Thomas D. McEuen, 41 ECAB 387
[The employees] emotional
condition resulted from her reaction to the knowledge of the shootings [of postal workers
in Edmund, OK] and to the subsequent revelation that her husband was among the dead...[and
not to her] day-to-day duties, specially assigned duties, or any other requirement imposed
by her employment. Carla E. Phillips, 39 ECAB 1040 (1988) |
| Temporary Aggravation |
Further,
where employment factors cause an aggravation of an underlying
physical condition, the employee is entitled to compensation for periods of disability
related to the aggravation. However, where the aggravation is temporary and leaves no
permanent residuals, compensation is not payable for periods after the aggravation has
ceased. This is true even though the periods after the employee is found medically
disqualified continue in such employment because of the effect which the employment
factors might have on the underlying condition. Under such circumstances, his
disqualification for continued employment is due to the underlying condition, without any
contribution by the employment. James Hearn, 29 ECAB 278 |
| Terminating compensation |
Once the
Office accepts a claim, it has the burden of justifying termination
or modification of compensation. After it has determined that an employee has disability
causally related to his employment, the Office may not terminate compensation without
establishing that the disability had ceased or that it was no longer related to the
employment. Thus, the burden of proof is on the Office rather than on the claimant with
respect to the period subsequent to the date when compensation is terminated or modified.
Anna M. Blaine, 26 ECAB 351 5
U.S.C. 8106(c) (2) provides that a partially disabled employee who refuses or neglects to
work after suitable work is offered to, procured by, or secured for the employee is not
entitled to compensation. To justify a termination of compensation pursuant to this
section on the grounds that an individual refused to accept an offer of suitable work, the Office must show that the work offered was
suitable. Harry B. Topping, 33 ECAB 341; Robert Bledsoe, 34 ECAB 144
Once the Office determines that an
employee has disability causally related to his employment and pays compensation for such
disability, it has the burden of proving that his disability has ceased or lessened in
order to justify termination or modification of compensation. John R. White, 27 ECAB 236 |
| (Some
of the above cited summaries are selected from an unofficial union page at http://pages.prodigy.com/ENCX08A/ecab1.htm
for which we thank Kathy Higgins, Mr. Bert Doyle, Mr. Steve Burt, and the NALC
Postal Record. Please note the page disclaimer.) |
|