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Summary of Opinion: Burrows v. State Industrial Accident Commission (Oregon Supreme Court)

Citation context: Oregon Supreme Court; submitted on briefs January 8, 1957; affirmed January 30, 1957. Opinion by Kester, J., in banc. Appeal from Benton County Circuit Court (Judge Fred McHenry).

Factual and Procedural Background

On August 18, 1955, plaintiff (Burrows) injured his back while working at Plywood Products Corporation's mill at Camp Adair during an enlargement project. He was lifting the end of a heavy I-beam with other employees when, standing on miscellaneous material (crated machine parts) with his feet at different levels ("one foot was down and the other foot was up"), he experienced a sudden "kink" or "shock" in his lower back while turning to set the beam onto a dolly. Plaintiff's testimony described either his foot or something under his foot "giving way" and the weight being thrown to one side as he twisted; a fellow workman did not see a specific mishap; no medical testimony was offered as to the cause of the disability.

Before the State Industrial Accident Commission (the Commission) plaintiff described the cause as "lifting parts for dryer" and later "Helping several men lift I-beam and put kink in back." On the printed accident form he encircled "bend over" and "straighten up" and did not select "slip." Plaintiff filed an application for rehearing with the Commission describing that he stood on uneven crates, became off-balance in an awkward position and lifted an I-beam, suffering an immediate tearing sensation in his lower back.

In the circuit court plaintiff sued the Commission. The complaint (as amended during trial over defendant objection) alleged plaintiff became off-balance while lifting and inadvertently strained his back. Defendant demurred orally, moved for nonsuit at the close of plaintiff's case (denied), rested and then moved for a directed verdict (denied). The case was submitted to a jury on a special verdict question asking whether plaintiff sustained personal injury by accident arising out of and in the course of his employment (the jury form omitted the phrase "by violent or external means"). The jury answered "yes." Judgment was entered referring the claim back to the Commission to allow the claim. On defendant's subsequent motion the trial court vacated that judgment and granted judgment notwithstanding the verdict (n.o.v.) for the defendant. The Supreme Court affirmed the judgment n.o.v.

Legal Issues Presented

  1. Whether the pleadings and proof were sufficient to establish that plaintiff sustained a "personal injury by accident ... caused by violent or external means" within the meaning of the Workmen's Compensation Law (ORS 656.152, 656.202).
  2. Whether the amendment to the complaint (adding language suggesting a slip while lifting) improperly altered the theory presented to the Commission and thus was barred under the rehearing and appeal provisions of the Workmen's Compensation Law (ORS 656.284 and ORS 656.288).

Arguments of the Parties

Appellant's Arguments

  • Plaintiff (appellant) defended the trial amendment that added bracketed words as merely an amplification of how he initially became off-balance (i.e., clarifying that a slip or giving way occurred while lifting), rather than a change in the theory previously presented to the Commission.
  • Plaintiff relied on his testimony and the descriptions in his claim and rehearing application to support recovery under the Workmen's Compensation Law.

Respondent's Arguments

  • Defendant (respondent) objected to the amendment to the complaint as a substantial change in the theory of the case and demurred that the original complaint failed to state a cause of action.
  • Respondent contended the evidence and pleadings did not establish an "injury by accident ... caused by violent or external means" and sought judgment notwithstanding the verdict after the jury verdict and initial judgment in plaintiff's favor.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Ramsey v. S.I.A.C., 159 Or. 43, 77 P.2d 1109 That a finding of "violent or external means" is essential to a recovery under the Workmen's Compensation Law (ORS 656.202). The court invoked Ramsey to note that "violent or external means" is an essential element for compensability and to caution about the form of the special verdict (which omitted that language).
Gottfried v. S.I.A.C., 168 Or. 65, 120 P.2d 970 The settled rule that an unexpected result from an intentional act is not an "injury by accident ... caused by violent or external means." Cited as authority for the proposition that where the alleged cause is a deliberate act (lifting while unbalanced) producing an unexpected injury, such an injury is not compensable as an accident under the statute.
Chalfant v. Arens, 167 Or. 649, 120 P.2d 219 Same proposition: unexpected result of an intentional act is not compensable as an accidental injury by violent or external means. Used with Gottfried and Demagalski to support the conclusion that plaintiff's originally alleged theory (deliberate lifting while unbalanced) did not allege a compensable accident.
Demagalski v. S.I.A.C., 151 Or. 251, 47 P.2d 947 Same general rule regarding non-compensability of an unintended result of an intentional act. Applied with the other cases to conclude the pleadings, as originally presented, failed to allege an "injury by accident ... caused by violent or external means."
White v. S.I.A.C., 163 Or. 476, 96 P.2d 772, 98 P.2d 955 Under ORS 656.284 and 656.288 a claimant on appeal is limited to the same theory presented to the Commission; an amendment substantially changing that theory is improper as it circumvents the Commission's jurisdiction. The court relied on White to hold that an amendment altering the theory advanced to the Commission would be improper and the trial court lacked power to allow such an amendment that raised new issues not presented to the Commission.
McKay v. S.I.A.C., 161 Or. 191, 87 P.2d 202 Supports the principle that where competing explanations are equally possible and the record does not make one more probable than the other, there is a failure of proof. The court cited McKay to justify granting judgment n.o.v. because the testimony left the cause speculative (either plaintiff's foot gave way or something under him gave way) and nothing made the latter hypothesis more probable than the former.

Court's Reasoning and Analysis

The court's analysis proceeded in two principal steps.

First, the court examined the pleadings and the theory presented to the Commission. The application for rehearing and the original complaint (before the late trial amendment) alleged a two-part factual sequence: (1) the plaintiff became off-balance while standing on uneven material and (2) while thus off-balance he deliberately lifted on the I-beam and strained his back. The court treated that presentation as establishing the asserted cause of injury to be the plaintiff's intentional act of lifting while unbalanced. Under Oregon precedent (Gottfried, Chalfant, Demagalski), an unintended or unexpected injury resulting from a deliberate act is not an "injury by accident ... caused by violent or external means" and therefore is not compensable under the Workmen's Compensation Law (ORS 656.152, 656.202). The court also observed that the special verdict form omitted the phrase "by violent or external means" (deemed immaterial in this case but noted as a caution for future practice).

The court then applied statutory restrictions on the scope of appeals from the Commission. ORS 656.284 requires an application for rehearing before appeal that sets forth the grounds and a general statement of facts, and ORS 656.288 limits the plaintiff on appeal to issues properly included in that application. Citing White v. S.I.A.C., the court concluded a party on appeal is limited to the same theory presented to the Commission, and an amendment that substantially changes that theory (e.g., now alleging a slip while lifting as the operative cause) would be improper because it would circumvent the Commission's jurisdiction.

The court then analyzed the evidence actually introduced at trial. Plaintiff's testimony was equivocal and left the cause speculative: he testified either his foot gave way or something under his foot gave way, but there was no direct evidence of a slip or of any external object failing. The court reasoned that if the record had shown an external object gave way and directly caused the strain, that might have been a compensable accident; however, such a theory was not within the issues presented to the Commission or to the court. Conversely, if plaintiff's own foot simply gave way, that scenario fell within the category of an unintended result of an intentional act and was not compensable. Because the testimony did not make the external-cause hypothesis more probable than the self-caused hypothesis, the court concluded there was a failure of proof (citing McKay) and that judgment n.o.v. for defendant was proper.

Holding and Implications

Holding: The Oregon Supreme Court affirmed the trial court's judgment granting judgment notwithstanding the verdict for the defendant State Industrial Accident Commission.

Implications:

  • The court rejected plaintiff's recovery because (1) the pleadings as presented to the Commission and originally to the court alleged a deliberate act (lifting while unbalanced) producing an unexpected injury, which under established Oregon law is not an compensable "injury by accident ... caused by violent or external means," and (2) the evidence at trial was speculative and failed to show an external cause more likely than the alternative that plaintiff's own foot gave way.
  • The court reaffirmed statutory limits (ORS 656.284 and ORS 656.288) that confine appellate review to the theory presented to the Commission and barred an amendment that would substantially change that theory presented on rehearing.
  • Direct effect: the jury verdict in favor of plaintiff was set aside and the defendant was granted judgment n.o.v.; plaintiff's claim was not sustained. The opinion applied existing precedent and statutory law; it did not announce a new rule beyond the application of those authorities.

BURROWS v. STATE INDUSTRIAL ACCIDENT COMMISSION

IN BANC

KESTER, J.

This is an appeal by the plaintiff from an order of the circuit court setting aside a verdict for plaintiff and granting judgment for the defendant State Industrial Accident Commission notwithstanding the verdict. The questions presented are whether the pleadings and proof are sufficient to support a finding that plaintiff sustained a "personal injury by accident * * * caused by violent or external means" within the meaning of the Workmen's Compensation Law (ORS 656.152, 656.202).

Plaintiff's injury occurred on August 18, 1955, at which time he was working on a project involving enlargement of the plant facilities at the mill of Plywood Products Corporation at Camp Adair. While engaged in lifting the end of a heavy I-beam, he injured his back. At the time of the injury he was standing on "other material," which apparently consisted of crated machine parts, and "one foot was down and the other foot was up." The only evidence with respect to the occurrence of the injury was plaintiff's testimony as follows:

"A Well, when I picked it up, when I got ahold of it by the end, I went to turn around to get in a position so I could go across this other material to set it onto the dolly. Well, whatever was under this foot or whatever it was that I was standing on — because other material was there, I couldn't recall, it was different parts, you know, what was laying there on the ground — well, as I went to go around the end of the beam that we were carrying, why it was either this foot gave way with me, something gave under me.

"* * * * *

"That throwed the weight all onto one side. In other words, when I was in a twist why this whatever it was, when I turned, why something gave way and it throwed out the weight on this one leg and it acted similar to me just like you throw your head back real quick and you get a snap.

"* * * * *

"That's when I got the shock in my back, and while I was in there trying to turn around to face forward to carry it over to the dolly.

"* * * * *

"A Well, it throwed the weight onto the one side and I felt a kink in my back, and I managed to get over to the dolly, and then I didn't lift any more. There was another man —."

Plaintiff's fellow workman, carrying the other end of the beam, did not see anything happen to plaintiff, although he knew plaintiff was hurt because of his actions shortly afterward. No medical testimony was produced with respect to the cause of plaintiff's disability.

In his claim to the State Industrial Accident Commission plaintiff described the cause of the accident as: "lifting parts for dryer." In response to a request for more detailed information he said: "Helping several men lift I-beam and put kink in back. * * * In lifting evidently strained or slipped disc out of place." One of the questions on the printed form submitted to him was:

"Encircle below the words that correctly describe the circumstances:

"* * * * *

"b. Did you: Fall . . . slip . . . reach up . . . bend over . . . straighten up?"

Plaintiff encircled the words "bend over" and "straighten up" and inserted in longhand the words hereinafter italicized, so that as completed the form read: "(bend over) and lifted Putting kink in back while (straighten up)?" He did not encircle the word "slip."

The application for rehearing before the Commission, a certified copy of which has been made a part of the record herein, under ORS 656.288 (4), described the incident as follows:

"* * * That claimant was standing out on the loading dock of the plant and was standing on different material with his feet on uneven surfaces and giving out a great deal of strength in handling and lifting these `i' beams, and that while he was in this awkward position with one leg on one box or crate and the other leg on another box or crate at a different level he became off balance and while he was thus off balance and in an awkward position he lifted on one of the `i' beams and suffered an immediate tearing sensation in his lower back."

The complaint, as amended, alleges:

"That on the 18th day of August, 1955, plaintiff was employed in assisting in the installation of additional drying equipment to enlarge the capacity of the plant and that plaintiff and other employees were working in the handling of long steel `I' beams to get them through the door and into position for installation in the new section being added to the dryer in the plant. That plaintiff was standing out on the loading dock and was standing on material lying on the dock with his feet on uneven surfaces and was putting forth a great deal of strength in handling these `I' beams and while he was in this awkward position with one leg on a crate or box and the other on another crate or box at a different level he [slipped and] became off balance [while lifting] and while thus off balance and in an awkward position plaintiff lifted on one of the `I' beams and inadvertently strained himself and suffered an immediate tearing sensation in the lower back."

The words above bracketed were inserted by amendment, over defendant's objection, after the trial had begun and after defendant had orally demurred and objected to the introduction of any evidence on the ground that the complaint failed to state a cause of action. At the conclusion of plaintiff's case defendant moved for a nonsuit, and upon denial of the motion defendant rested and moved for a directed verdict. That motion being denied, the cause was submitted to the jury upon a special verdict for an answer to the single question:

"Did plaintiff sustain personal injury by accident arising out of and in the course of his employment by Plywood Products Corporation on August 18, 1955, resulting in his disability?"

We note in passing that the form of special verdict submitted to the jury omitted the language "by violent or external means." A finding of "violent or external means" is essential to a recovery by plaintiff. Ramsey v. S.I.A.C., 159 Or. 43, 77 P.2d 1109; ORS 656.202. While in the view we take of the case the error was immaterial, we mention it lest the form of verdict above quoted be taken as a model in other cases.

The jury answered the question in the affirmative, and judgment was entered referring the claim back to the Commission with directions to allow the claim and make further orders with reference to payment of compensation. Thereafter, on motion of defendant, the trial court vacated the judgment and granted judgment for the defendant notwithstanding the verdict. In our opinion, the trial court was correct in granting judgment notwithstanding the verdict.

First: The complaint, even as amended, did not allege a compensable accident. Both the application for rehearing before the Commission and the original complaint in this case alleged a two-fold occurrence: (1) that plaintiff became off-balance, and (2) that while thus off-balance and in an awkward position, he lifted on the beam and injured his back. Under this allegation the cause of the injury was the deliberate act of lifting while in an unbalanced position. There was no claim at that stage of any "mischance, slip or mishap in doing the act itself." As presented to the Commission, and as originally presented to the circuit court, it was simply a case of an unexpected result from an intentional act, which, under the settled law of this state, is not an "injury by accident * * * caused by violent or external means." Gottfried v. S.I.A.C., 168 Or. 65, 120 P.2d 970; Chalfant v. Arens, 167 Or. 649, 120 P.2d 219; Demagalski v. S.I.A.C., 151 Or. 251, 47 P.2d 947.

The Workmen's Compensation Law provides, in ORS 656.284:

"(1) Any claimant aggrieved by any order, decision or award under ORS 656.282 must, before he appeals to the courts, file with the commission an application for rehearing within 60 days from the day on which the copy of such order, decision or award was mailed to the claimant.
"(2) The application shall set forth in full detail the grounds upon which the claimant considers such order, decision or award is unjust or unlawful, and shall include every issue to be considered by the commission. The application must contain a general statement of the facts upon which the claimant relies in support thereof.
"(3) The claimant shall be deemed to have waived all objections, irregularities and illegalities concerning the matter upon which the rehearing is sought other than those specifically set forth in such application for rehearing."

and in ORS 656.288:

"(1) Upon such appeal the plaintiff may raise only such issues of law or facts as were properly included in his application for rehearing."

Under these statutes, on an appeal to the courts, the claimant is limited to the same theory of the case as that which has been presented to the Commission, and an amendment substantially changing that theory would be improper. To hold otherwise would be to circumvent the original jurisdiction of the Commission. White v. S.I.A.C., 163 Or. 476, 96 P.2d 772, 98 P.2d 955.

If the amendment, adding the bracketed words, as follows:

"* * * he [slipped and] became off balance [while lifting] and while thus off balance and in an awkward position plaintiff lifted on one of the `I' beams and inadvertently strained himself."

be construed as alleging that the slip while lifting was itself the cause of the injury, then there was a substantial change in the issues presented to the Commission, and the court was without power to allow the amendment. If, however, the amendment be construed as merely amplifying the manner in which plaintiff initially became off-balance (and this is the ground on which plaintiff defends the amendment), then the complaint remains subject to the objection that it alleges merely the unexpected result of an intentional act.

Second: Plaintiff's testimony as to the occurrence of the injury did not conform to either the application for rehearing, the original complaint, or the amended complaint, and it left the cause of the injury completely speculative. The essence of his testimony was that: (1) either his foot gave way, or (2) something gave way under him; and when the weight was thrown on one side he felt a kink in his back. There was no evidence of any slip, nor of what it was that "gave way" if not his own foot.

Assuming that it would have been a compensable accident if the object on which he was standing had broken or otherwise given way under him, and that had directly caused the strain, such a theory is not open under either the pleadings in this case or the proceedings before the Commission. The other possibility — that his own foot gave way with him — excludes the idea of an accident caused by violent or external means. Even if the alternative that something gave way under him were available under the issues made, there is nothing to make that appear more probable than the alternative that his own foot gave way, and there was a failure of proof. McKay v. S.I.A.C., 161 Or. 191, 87 P.2d 202.

The judgment for defendant n.o.v. must, therefore, be affirmed.

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BURROWS v. STATE IND. ACC. COM
(Jan 30, 1957)