Robert L. Stultz
Nancy
Tyler
Wilson & Bailey
Employment
Programs Litigation Unit
Weston, West Virginia
Charleston,
West Virginia
Attorney for the Appellant
Attorney
for the Appellee
JUSTICE DAVIS delivered the Opinion of the Court.
JUSTICES STARCHER AND MCGRAW dissent and reserve the right to file dissenting
opinions.
JUSTICE SCOTT concurs and reserves the right to file a concurring opinion.
1. 'The primary
object in construing a statute is to ascertain and give effect to the intent
of the legislature. Syllabus Point 1, Smith v. State Workmen's Compensation
Commissioner, 159 W. Va. 108, 219 S.E.2d 361 (1975).' Syllabus point
2, Anderson v. Wood, 204 W. Va. 558, 514 S.E.2d 408 (1999).
Syllabus point 2, Expedited Transportation Systems, Inc. v. Vieweg, ___
W. Va. ___, 529 S.E.2d 110 (2000).
2. ''Statutes in
pari materia, must be construed together and the legislative intention, as gathered
from the whole of the enactments, must be given effect.' Point 3., Syllabus,
State ex rel. Graney v. Sims, 144 W. Va. 72[, 105 S.E.2d 886 (1958)].
Syl. pt. 1, State ex rel. Slatton v. Boles, 147 W. Va. 674, 130
S.E.2d 192 (1963). Syl. pt. 1, Transamerica Com. Fin. v. Blueville
Bank, 190 W. Va. 474, 438 S.E.2d 817 (1993).' Syllabus point 2, Beckley
v. Kirk, 193 W. Va. 258, 455 S.E.2d 817 (1995). Syllabus point
3, Expedited Transportation Systems, Inc. v. Vieweg, ___ W. Va.
___, 529 S.E.2d 110 (2000).
3. When a party objects to
the findings and conclusion of the Occupational Pneumoconiosis Board, made in
connection with a Workers' Compensation claim for occupational pneumoconiosis benefits, and submits new medical evidence
in connection with the objection, W. Va. Code § 23-4-8c(d) (1993)
(Repl. Vol. 1998) requires the objecting party to bear the burden of questioning
the Occupational Pneumoconiosis Board regarding the new medical evidence at
the hearing therein required.
Davis, Justice:
In this appeal from a decision of the Workers' Compensation
Appeal Board, a Workers' Compensation claimant argues that his claim for benefits
for occupational pneumoconiosis was improperly denied. We find that when a party
objects to the findings and conclusion of the Occupational Pneumoconiosis Board,
made in connection with a Workers' Compensation claim for occupational pneumoconiosis
benefits, and submits new medical evidence in connection with the objection, W. Va.
Code § 23-4-8c(d) (1993) (Repl. Vol. 1998) requires the objecting party to
bear the burden of questioning the Occupational Pneumoconiosis Board regarding
the new medical evidence at the hearing therein required. Because this procedure
was not clearly established prior to this opinion, we reverse this case and remand
for additional proceedings.
Based upon the OP Board's failure to diagnose OP,
the Division, by order dated December 3, 1998, notified Mr. Rhodes that no award
of benefits was being granted. Thereafter, on January 28, 1999, Dr. Ray A. Harron
interpreted the OP Board's X-ray on behalf of Mr. Rhodes. Dr. Harron indicated
that the X-ray quality was grade one. His report also stated that the X-ray
revealed parenchymal abnormalities consistent with pneumoconiosis, but no pleural
abnormalities consistent with pneumoconiosis. Dr. Edward Aycoth also read the
OP Board's X-ray on behalf of Mr. Rhodes and reported the film quality as grade
one. Dr. Aycoth's report further stated:
The heart, mediastinum, bony thorax, costophrenic angles
and hemidiaphragms are within normal limits.
There are scattered rounded density opacities measuring
up to 3 mm. in diameter throughout both lungs. The lungs are well aerated and
free of active disease.
IMPRESSION:
Pneumoconiosis category 1/0, p/q.
Mr. Rhodes protested the Division's order granting
no award of benefits for OP, and the case was submitted to the Workers' Compensation
Office of Judges (hereinafter OOJ) for review. In support of his
protest, Mr. Rhodes submitted the reports of Drs. Harron and Aycoth. A hearing
for the purpose of adducing the testimony of members of the OP Board was then
held on August 11, 1999. The two page transcript from this hearing indicates
that counsel for Mr. Rhodes was the only attorney making an appearance. No one
appeared for the employer or on behalf of the Division. Counsel for Mr. Rhodes
failed to question any member of the OP Board. In a total of four lines of transcript,
the record simply notes the style of the case and the claim number, and states
that [t]he Claim will be submitted. Thereafter, by order dated October
8, 1999, the OOJ announced its decision affirming the Commission's order denying
benefits to Mr. Rhodes. The order stated in part:
The record evidence supports
the Division's Order granting the claimant no award for occupational pneumoconiosis.
The Board examined the claimant on September 24, 1998, and found that the chest
x-ray was within normal limits. This report is reliable and credible and supports
the Division's Order. The claimant has failed to show that the findings of the
Board are clearly wrong.
The claimant submitted the x-ray
report of Dr. Edward Aycoth who reviewed the x-rays taken by the Board and opined that the claimant
suffered from minimal pneumoconiosis. However, this report was not submitted
to the Board for review and comment as required in the procedures for occupational
pneumoconiosis cases. See 85 CSR [1,] § 20 et seq. At the
final hearing scheduled for this matter on August 11, 1999, the claim was submitted
on the existing record. Members of the Board were not requested to review the
evidence submitted by the claimant and discuss the reliability and credibility
of Dr. Aycoth's report. This procedure should not be circumvented. Accordingly,
the Division's Order is affirmed.
Mr. Rhodes then appealed his case to the Workers' Compensation
Appeal Board (hereinafter WCAB), seeking a statutory five percent
permanent partial disability award for OP without impairment pursuant to W. Va.
Code §§ 23-4-8c(b) (1993) (Repl. Vol. 1998)See
footnote 3 3 and 23-4-6a (1995) (Repl. Vol. 1998).See
footnote 4 4 By order dated April 27, 2000, the WCAB affirmed
the order of the OOJ, and incorporated the same, by reference, as its own findings
of fact and conclusions of law. The WCAB also indicated that its decision was based upon its conclusion that the Occupational Pneumoconiosis Board
has specifically found that it 'cannot make a diagnosis
of occupational pneumoconiosis.' (Emphasis added.) We firmly
believe that this finding is sufficient to rebut the non-conclusive presumption
found in West Virginia Code § 23-4-8c(b), and justifies the Division's
refusal of a 5% statutory award. Finally, the WCAB explained:
West Virginia Code § 23-4-6a mandates that the
office of judges shall affirm the decision of the Occupational Pneumoconiosis
Board made following hearing unless the decision is clearly wrong in view of
the reliable, probative and substantial evidence on the whole record.
We find nothing in the evidence to show that the Occupational Pneumoconiosis
Board was clearly wrong. To the contrary, we find that the record
as a whole, even without the statutory mandate of West Virginia Code §
23-4-6a, overwhelmingly, on strong and reliable evidence, supports the conclusion
that the claimant is not entitled to a presumptive 5% statutory award. Given
the deference which we are required by statute, and decisions of the West Virginia
Supreme Court of Appeals, to give to the findings of the Occupational Pneumoconiosis
Board and the Administrative Law Judge, we would be committing gross error to
find otherwise.
It is from this April 27, 2000, order of the WCAB that
Mr. Rhodes now appeals.
Finally, it is prudent to note that [w]hen the
Workers' Compensation Appeal Board reviews a ruling from the Workers' Compensation
Office of Judges it must do so under the standard of review set out in W. Va.
Code § 23-5-12(b) (1995), and failure to do so will be reversible error.
Syl. pt. 6, Conley. W. Va. Code § 23-5-12(b) (1995) (Repl.
Vol. 1998) also directs, in relevant part, that
[The WCAB] shall reverse, vacate or modify the order
or decision of the administrative law judge if the substantial rights of the
petitioner or petitioners have been prejudiced because the administrative law
judge's findings are:
(1) In violation of statutory
provisions; or
(2) In excess of the statutory
authority or jurisdiction of the administrative law judge; or
(3) Made upon unlawful procedures;
or
(4) Affected by other error
of law; or
(5) Clearly wrong in view of
the reliable, probative and substantial evidence on the whole record; or
(6) Arbitrary or capricious
or characterized by abuse of discretion or clearly unwarranted exercise of discretion.
With due regard for these standards, we now consider the issue raised on appeal.
As noted above, the OOJ affirmed the Division's award of no benefits. In reaching this decision, the OOJ concluded that Mr. Rhodes had failed to show that the findings of the OP Board were clearly wrong.See footnote 6 6 This decision of the OOJ, which was subsequently affirmed by the WCAB and incorporated into its own order, was based in significant part upon the fact that the [m]embers of the [OP] Board were not requested to review the evidence submitted by [Mr. Rhodes] and [to] discuss the reliability and credibility of Dr. Aycoth's report. Thus, the issue which must be addressed to resolve this appeal is whether the OP Board is required to review and comment on evidence submitted by a claimant protesting an adverse decision of the Division rendered in an OP claim after the OP Board has conducted its hearing/examination and submitted its findings and conclusions, and, if so, who bears the burden of advancing this procedure.
This is an issue of first impression for this Court. In
order to settle it, we look to the Workers' Compensation statutes. Because those
statutes do not expressly address the issue, we must endeavor to ascertain, from
the text provided, what procedure the legislature intended. 'The primary
object in construing a statute is to ascertain and give effect to the intent of
the legislature. Syllabus Point 1, Smith v. State Workmen's Compensation
Commissioner, 159 W. Va. 108, 219 S.E.2d 361 (1975).' Syllabus point
2, Anderson v. Wood, 204 W. Va. 558, 514 S.E.2d 408 (1999).
Syl. pt. 2, Expedited Transp. Sys., Inc. v. Vieweg, ___ W. Va. ___,
529 S.E.2d 110 (2000).
We find several of the Workers' Compensation statutes
instructive to our consideration of the instant question. Thus, in conducting
our analysis, we must consider together all the statutes related to this topic.
''Statutes in pari materia, must be construed together and the legislative
intention, as gathered from the whole of the enactments, must be given effect.'
Point 3., Syllabus, State ex rel. Graney v. Sims, 144 W. Va. 72[,
105 S.E.2d 886 (1958)]. Syl. pt. 1, State ex rel. Slatton v. Boles, 147
W. Va. 674, 130 S.E.2d 192 (1963). Syl. pt. 1, Transamerica Com.
Fin. v. Blueville Bank, 190 W. Va. 474, 438 S.E.2d 817 (1993).' Syllabus
point 2, Beckley v. Kirk, 193 W. Va. 258, 455 S.E.2d 817 (1995).
Syl. pt. 3, Expedited. See also Carvey v. West Virginia State
Bd. of Educ., 206 W. Va. 720, 731, 527 S.E.2d 831, 842 (1999) (Generally,
'[s]tatutes which relate to the same subject matter should be read and
applied together so that the Legislature's intention can be gathered from the whole
of the enactments. Syllabus Point 3, Smith v. State Workmen's Compensation
Comm'r, 159 W. Va. 108, 219 S.E.2d 361 (1975).' Syl. pt. 3, Boley
v. Miller, 187 W. Va. 242, 418 S.E.2d 352 (1992).).
First, we note that the OP Board plays an integral role in the decision of an OP claim: [t]he function of the board is to determine all medical questions relating to cases of compensation for occupational pneumoconiosis under the direction and supervision of the commissioner. W. Va. Code § 23-4-8a (1999)See footnote 7 7 (Supp. 2000) (emphasis added).See footnote 8 8
See also Newman v. Richardson, 186 W. Va. 66, 69-70, 410
S.E.2d 705, 708-09 (1991) (Because the Occupational Pneumoconiosis Board
is composed of doctors who have 'by special study or experience, or both, acquired
special knowledge of pulmonary diseases' (W. Va. Code, 23-4-8a, [1974]),
the Board is to determine all medical questions in an occupational pneumoconiosis
claim under the direction and supervision of the Commissioner. Ferguson v.
State Workmen's Compensation Commissioner, 152 W. Va. 366, 163 S.E.2d
465 (1968). (footnote omitted)).
Furthermore, the Division and the OOJ are mandated,
in W. Va. Code § 23- 4-6a (1995) (Repl. Vol. 1998), to give substantial
weight to the OP Board's determination of a claimant's degree of medical impairment:
If an employee is found to be
permanently disabled due to occupational pneumoconiosis, as defined in section
one [§ 23-4-1] of this article, the percentage of permanent disability
shall be determined by the degree of medical impairment that is found by the
occupational pneumoconiosis board. The division shall enter an order
setting forth the findings of the occupational pneumoconiosis board with regard
to whether the claimant has occupational pneumoconiosis and the degree of medical
impairment, if any, resulting therefrom. That order shall be the final decision of the division for purposes of section
one [§ 23-5-1], article five of this chapter. If such a decision is objected
to, the office of judges shall affirm the decision of the occupational
pneumoconiosis board made following hearing unless the decision is clearly
wrong in view of the reliable, probative and substantial evidence on the
whole record.
(Emphasis added). It is noteworthy that the above quoted provision repeatedly
utilizes the term shall.
The word shall is mandatory. See State
v. Allen, ___ W. Va. ___, ___, ___ S.E.2d ___, ___, slip op. at 14 (No.
25980 Nov. 17, 1999) (Generally, 'shall' commands a mandatory connotation
and denotes that the described behavior is directory, rather than discretionary.
(citations omitted)); Syl. pt. 1, E.H. v. Matin, 201 W. Va. 463,
498 S.E.2d 35 (1997) ('It is well established that the word shall,
in the absence of language in the statute showing a contrary intent on the part
of the Legislature, should be afforded a mandatory connotation.' (citation
omitted)).
Keplinger v. Virginia Elec. and Power Co., ___ W. Va. ___, ___, ___ S.E.2d
___, ___, slip op. at 24-25 (No. 27381 July 14, 2000).
Similarly, in a case where a claimant seeks a five
percent statutory award for OP without impairment, such determination is to
be made by the Division with the advice and recommendation of the OP Board:
[I]f it shall be determined by the division in accordance
with the facts in the case and with the advice and recommendation of the
occupational pneumoconiosis board that an employee has occupational pneumoconiosis,
but without measurable pulmonary impairment therefrom, such employee shall be awarded and paid twenty
weeks of benefits at the same benefit rate as hereinabove provided.
W. Va. Code § 23-4-6aSee footnote
9 9 (emphasis added).See
footnote 10 10
Having observed the considerable deference afforded
the OP Board, we now consider its procedural role in the processing of an OP
claim. Once a claimant is referred by the Commissioner to the OP Board, see
W. Va. Code § 23-4-8 (1990) (Repl. Vol. 1998) (If the compensation
claimed is for occupational pneumoconiosis, the commissioner shall have the
power, after due notice to the employer, and whenever in the commissioner's
opinion it shall be necessary, to order a claimant to appear for examination
before the occupational pneumoconiosis board hereinafter provided.),See
footnote 11 11 either the Commissioner or the OP Board must then notify the employee/claimantSee
footnote 12 12 to appear before the OP Board. W. Va. Code
§ 23-4-8b (1971) (Repl. Vol. 1998) (The occupational pneumoconiosis
board, upon reference to it by the commissioner of a case of occupational pneumoconiosis,
shall notify the employee, or in case he is dead, the claimant, and the employer,
to appear before such board at a time and place stated in the notice.).See
footnote 13 13 Where the employee asserting a claim for OP benefits
is living, he or she is then required to submit to an examination by, or on
behalf of, the OP Board. Id.See
footnote 14 14 In addition, the employee and the employer are required to provide the OP Board with all
reports of medical and X-ray examinations which may be in their respective possession
or control, showing the past or present condition of the employee. Id.
Accord 7A C.S.R. § 85-1- 20.3 (1986).
After completing its examination, the OP Board must
then submit a written report to the commissioner detailing its findings and
conclusions as to every medical question in controversy. W. Va. Code § 23-4-8c(a) (1993) (Repl.
Vol. 1998).See footnote 15 15
Accord 7A C.S.R. § 85-1-20.4. In addition, the OP Board must
file with the commissioner all evidence, including medical reports and X-ray
examinations, produced by or on behalf of an employee/claimant or employer.
Id.See footnote 16 16
Thereafter, if the employee/claimant or employer files any objections to
the findings and conclusions of the OP Board, then, pursuant to W. Va.
Code § 23-4-8c(d), the Commissioner or the OOJ must schedule a hearing. Accord 7A C.S.R. § 85-1-20.5. Specifically, W. Va.
Code § 23-4-8c(d) states in relevant part:
If objection has been filed to the findings and conclusions
of the board, notice thereof shall be given to the board, and the members
thereof joining in such findings and conclusions shall appear at the
time fixed by the commissioner or office of judges for the hearing to submit
to examination and cross-examination in respect to such findings and conclusions.
At such hearing, evidence to support or controvert the findings and conclusions
of the board shall be limited to examination and cross-examination of the members
of the board, and to the taking of testimony of other qualified physicians and
roentgenologists.
(Emphasis added). Use of the mandatory term shall demonstrates that
the OP Board is unequivocally required to appear at the hearing and must submit
to examination and cross- examination.
We are persuaded by the numerous provisions discussed
above that the Legislature intended that the OP Board comment on new medical
evidence submitted in connection with a party's objection(s) to the OP Board's
findings and conclusions. First, we note that upon the filing of objections
to the findings and conclusions of the OP Board, a hearing is required at which
the OP Board members must appear. The clear purpose of this hearing is to determine
whether the OP Board's findings and conclusions are clearly wrong, which is
the standard for reversing a decision of the commissioner thereupon based. Because
the OP Board is charged with determining all medical questions relating to OP cases, and because of the substantial deference afforded the OP Board
in connection with OP claims, when medical evidence challenging the accuracy
of the OP Board's report is submitted by a party objecting to that report, the
OP Board must be afforded the opportunity to review and comment on that evidence
and its reliability. The Legislature has provided this opportunity in the form
of the mandatory hearing. In addition, we believe the party challenging the
OP Board's findings should bear the burden of questioning the OP Board regarding
new medical evidence. In other words, the party challenging the OP Board's report
bears the burden of establishing that his/her new evidence is reliable and demonstrates
that the findings and conclusions of the OP Board are clearly wrong. Consequently,
we hold that when a party objects to the findings and conclusion of the Occupational
Pneumoconiosis Board, made in connection with a Workers' Compensation claim
for occupational pneumoconiosis benefits, and submits new medical evidence in
connection with the objection, W. Va. Code § 23-4-8c(d) (1993) (Repl.
Vol. 1998) requires the objecting party to bear the burden of questioning the
Occupational Pneumoconiosis Board regarding the new medical evidence at the
hearing therein required.
We note that, in reaching the foregoing holding, this
opinion does not take away the OOJ's statutory authority to examine the evidence
on the record, with due regard for the liberality rule, in reaching its decision
in any given case. Rather, this opinion assures that the statutory scheme of having the OP Board examine medical evidence
and comment thereon, so that the OOJ is provided a complete and adequate recordSee
footnote 17 17 upon which to base its decision, will be followed.
In the instant case, the OP Board found no OP and
Mr. Rhodes objected to its findings. Thereafter, a mandatory hearing was conducted
pursuant to W. Va. Code § 23-4-8c(d). However, Mr. Rhodes failed to
question the OP Board regarding the medical reports of Drs. Harron and Aycoth
that were submitted in support of his objection to the OP Board's findings and
conclusions. Because the procedure and burden set forth in this opinion were
not heretofore clearly established, we find it appropriate to reverse the final
order of the WCAB and remand this case for an additional hearing on Mr. Rhodes'
objection to the OP Board's report in order to afford Mr. Rhodes an opportunity
to meet his burden of questioning the OP Board with respect to the medical evidence
he submitted in support of his objections.See
footnote 18 18
1Mr. Rhodes was employed in Anchor's batch and tank department.
If it can be shown that the
claimant or deceased employee has been exposed to the hazard of inhaling minute
particles of dust in the course of and resulting from his or her employment
for a period of ten years during the fifteen years immediately preceding the
date of his or her last exposure to such hazard and that such claimant or deceased
employee has sustained a chronic respiratory disability, then it shall be presumed
that such claimant is suffering or such deceased employee was suffering at the
time of his or her death from occupational pneumoconiosis which arose out of
and in the course of his or her employment. This presumption shall not be conclusive.
(Emphasis added).
[I]f it shall be determined by the division in accordance with the facts in the case and with the advice and recommendation of the occupational pneumoconiosis board that an employee has occupational pneumoconiosis, but without measurable pulmonary impairment therefrom, such employee shall be awarded and paid twenty weeks of benefits at the same benefit rate as hereinabove provided.
[W]here the language of a statutory provision is plain, its terms should be applied as written and not construed. DeVane v. Kennedy, 205 W. Va. 519, 529, 519 S.E.2d 622, 632 (1999) (citations omitted). See also Syl. pt. 4, in part, Daily Gazette Co., Inc. v. West Virginia Dev. Office, 206 W. Va. 51, 521 S.E.2d 543 (1999) (A statutory provision which is clear and unambiguous and plainly expresses the legislative intent will not be interpreted by the courts but will be given full force and effect. (internal quotations and citations omitted)); Syl. pt. 5, in part, Walker v. West Virginia Ethics Comm'n, 201 W. Va. 108, 492 S.E.2d 167 [(1997)]
(Where the language of a statute is clear and without ambiguity the
plain meaning is to be accepted without resorting to the rules of interpretation.
(internal quotations and citations omitted)).
State ex rel. McGraw v. Combs Servs., 206 W. Va. 512, 519, 526 S.E.2d 34,
41 (1999).
Parker[ v. Workers' Comp. Comm'r], 174 W. Va. [181,] 183, 324 S.E.2d [142,] 144 [(1984)]; Syllabus, Godfrey v. State Workmen's Compensation Commissioner, 166 W. Va. 644, 276 S.E.2d 802 (1981); Syllabus Point 2, Meadows v. State Workmen's [Compensation] Commissioner, 157 W. Va. 140, 198 S.E.2d 137 (1973).).
If the employee be living, he shall appear before the board at the time and place specified and submit to such examination, including clinical and X-ray examinations, as the board may require. If a physician licensed to practice medicine in the State shall make affidavit that the employee is physically unable to appear at the time and place designated by the board, such board shall, on notice to the proper parties, change the place and time as may reasonably facilitate the hearing or
examination of the employee, or may appoint a qualified specialist in the
field of respiratory disease to examine the claimant on behalf of the board.
Where the employee is deceased, W. Va. Code §
23-4-8b directs:
If the employee be dead, the notice of the board shall further require that the claimant produce necessary consents and permits so that an autopsy may be performed, if the board shall so direct. When in the opinion of the board an autopsy is deemed necessary accurately and scientifically to ascertain and determine the cause of death, such autopsy examination shall be ordered by the board, which shall designate a duly licensed physician, a pathologist, or such other specialists as may be deemed necessary by the board, to make such examination and tests to determine the cause of death and certify his or their written findings, in triplicate, to the board, which findings shall be public records. In the event that a claimant for compensation for such death refuses to consent and permit such autopsy to be made, all rights for compensation shall thereupon be forfeited.
Though the general rule
in workmen's compensation cases is that the evidence will be construed liberally
in favor of the claimant, the rule does not relieve the claimant of the burden
of proving his claim and such rule can not take the place of proper and satisfactory
proof. Point 3, Syllabus, Staubs v. State Workmen's Compensation Commissioner,
153 W. Va. 337[, 168 S.E.2d 730 (1969)].
Syl. pt. 3, Clark v. State Workmen's Comp. Comm'r, 155 W. Va. 726, 187
S.E.2d 213 (1972).