                                                                                               FILED
                                                                                            Jun 24, 2019
                                                                                            01:05 PM(CT)
                                                                                             TENNESSEE
                                                                                       WORKERS' COMPENSATION
                               APPEALS BOARD

              7(11(66((%85($82):25.(56¶&203(16$7,21
                   :25.(56¶&203(16$7,21$33($/6%2$5'
                                                      
)UHG7UDYLV,,,                                       'RFNHW1R
                                                       
Y                                                      6WDWH)LOH1R
                                                       
&DUWHU([SUHVV,QFHWDO                           
                                                       
                                                       
$SSHDOIURPWKH&RXUWRI:RUNHUV¶                      
&RPSHQVDWLRQ&ODLPV                                    
3DPHOD%-RKQVRQ-XGJH
       
                                      9DFDWHGDQG5HPDQGHG

,QWKLVVHFRQGLQWHUORFXWRU\DSSHDOLQWKLVFDVHLQYROYLQJDQDZDUGRIDWWRUQH\¶VIHHVWKH
HPSOR\HUDUJXHVWKHWULDOFRXUWHUUHGLQRUGHULQJLWWRSD\WKHHPSOR\HH¶VDWWRUQH\¶VIHHV
DWDQLQWHUORFXWRU\VWDJHRIWKHFDVHEDVHGRQWKHHPSOR\HU¶VSXUSRUWHGZURQJIXOGHQLDORI
WKH FODLP DQGRU LWV HUURQHRXV IDLOXUH WR WLPHO\ LQLWLDWH ZRUNHUV¶ FRPSHQVDWLRQ EHQHILWV
8SRQFDUHIXOFRQVLGHUDWLRQRIWKHUHFRUGDQGWKHSDUWLFXODUFLUFXPVWDQFHVRIWKLVFDVHZH
FRQFOXGHWKHWULDOFRXUWDEXVHGLWVGLVFUHWLRQLQDZDUGLQJDWWRUQH\¶VIHHVDWWKLVVWDJHRI
WKHFDVH:HWKHUHIRUHYDFDWHWKHDZDUGRIDWWRUQH\¶VIHHVDQGUHPDQGWKHFDVH

-XGJH7LPRWK\:&RQQHUGHOLYHUHGWKHRSLQLRQRIWKH$SSHDOV%RDUGLQZKLFK3UHVLGLQJ
-XGJH0DUVKDOO/'DYLGVRQ,,,DQG-XGJH'DYLG)+HQVOH\MRLQHG

-$OOHQ%URZQ1DVKYLOOH7HQQHVVHHIRUWKHHPSOR\HUDSSHOODQW&DUWHU([SUHVV,QF

%UDG&%XUQHWW&OLQWRQ7HQQHVVHHIRUWKHHPSOR\HHDSSHOOHH)UHG7UDYLV,,,

                              )DFWXDODQG3URFHGXUDO%DFNJURXQG
                                                      
        )UHG 7UDYLV ,,, ³(PSOR\HH´  D \HDUROG UHVLGHQW RI $QGHUVRQ &RXQW\
7HQQHVVHH ZRUNHG DV D WUXFN GULYHU IRU &DUWHU ([SUHVV ,QF ³(PSOR\HU´   ,Q HDUO\
1RYHPEHU  ZKLOH RQ D PXOWLVWDWH GHOLYHU\ URXWH RULJLQDWLQJ DQG WHUPLQDWLQJ LQ
$QGHUVRQYLOOH7HQQHVVHH(PSOR\HHUHSRUWHGH[SHULHQFLQJSDLQDQGRWKHUV\PSWRPVLQ
KLV ULJKW VKRXOGHU  ,QLWLDOO\ KH ZDV XQDEOH WR LGHQWLI\ D SDUWLFXODU HYHQW RU DFFLGHQW
FDXVLQJKLVV\PSWRPV/DWHUKHGHVFULEHGDQLQFLGHQWRFFXUULQJRQ1RYHPEHU
LQ ZKLFK KH IHOW VWLIIQHVV DQG D GXOO SDLQ LQ KLV ULJKW VKRXOGHU DIWHU FOLPELQJ XQGHU WKH
WUXFN DQG WUDLOHU WR PDNH VXUH D FRQQHFWLQJ SLQ ZDV ORFNHG  +H GHVFULEHG D VHFRQG

                                                               

LQFLGHQWLQWKHHDUO\PRUQLQJKRXUVRI1RYHPEHULQZKLFKKHIHOWDVKDUSSDLQLQ
KLVULJKWVKRXOGHUDVKHRSHQHGOLIWHGDQGVZXQJDWUDLOHUGRRUEDFNWRSLQLWDJDLQVWWKH
VLGH RI WKH WUDLOHU  +H IXUWKHU DOOHJHG KLV V\PSWRPV ZRUVHQHGGXULQJ WKH FRXUVH RI WKH
WULSLQ$UNDQVDVDQG7HQQHVVHH+HUHSRUWHGKLVFRQGLWLRQWRKLVHPSOR\HURQ1RYHPEHU
DQGVRXJKWPHGLFDOWUHDWPHQWWKDWGD\+HGLGQRWUHWXUQWRZRUNIRU(PSOR\HU
        
        $W DQ H[SHGLWHG KHDULQJ (PSOR\HU PDLQWDLQHG LW GLG QRW RZH ZRUNHUV¶
FRPSHQVDWLRQEHQHILWVLQ7HQQHVVHH)LUVWLWDVVHUWHG(PSOR\HHKDGZDLYHGKLVULJKWWR
SXUVXHZRUNHUV¶FRPSHQVDWLRQEHQHILWVLQ7HQQHVVHHE\YROXQWDULO\VLJQLQJDQDJUHHPHQW
LQ  DV D FRQGLWLRQ RI KLV HPSOR\PHQW HQWLWOHG ³$JUHHPHQW DV WR -XULVGLFWLRQ DQG
1RWLFHDVWR,QGLDQD:RUNHUV¶&RPSHQVDWLRQ/DZ´7KLVDJUHHPHQWVWDWHGWKDW³DQ\DQG
DOO ZRUNHUV¶ FRPSHQVDWLRQ FODLPV WKDW \RX PD\ KDYH DULVLQJ RXW RI WKLV
HPSOR\PHQWZLOOEHJRYHUQHGH[FOXVLYHO\E\WKHODZRIWKH6WDWHRI,QGLDQD´
        
        ,QDGGLWLRQ(PSOR\HUDUJXHG(PSOR\HHIDLOHGWRDOOHJHDVSHFLILFLQFLGHQWRUVHW
RILQFLGHQWVUHVXOWLQJLQDQLQMXU\DVLVUHTXLUHGE\7HQQHVVHH&RGH$QQRWDWHGVHFWLRQ
    ,Q VXSSRUW RI WKLV DUJXPHQW LW UHOLHG RQ VHYHUDO LQMXU\ UHSRUWV FRQWDLQLQJ
YDU\LQJ GHVFULSWLRQV RI WKH DOOHJHG LQFLGHQWV DV ZHOO DV D 1RYHPEHU   PHGLFDO
UHFRUGIURP)DVW3DFH8UJHQW&DUH&OLQLFLQZKLFK(PSOR\HHDOOHJHGO\WROGWKHPHGLFDO
SURYLGHU KH ZDV ³QRW VXUH ZKDW KH KD>G@ GRQH´  ,Q WKDW UHFRUG WKH PHGLFDO SURYLGHU
QRWHGWKHUHZDV³QRNQRZQLQMXU\EXW>SDWLHQW@VWDWHVKHGULYHVDQZKHHOHUORFDOO\DQG
WKLQNV WKLV PD\ EH UHODWHG WR JHWWLQJ LQ DQG RXW RI WKH FDE RIWKH WUXFN RU ORDGLQJ >WKH@
WUXFN´  /DWHU ZKHQ (PSOR\HH VDZ DQ RUWKRSHGLF SK\VLFLDQ 'U 6HDQ *UDFH RQ
'HFHPEHUKHWROG'U*UDFHKH³IHOWDVKDUSSDLQLQKLVXSSHUDUPDQGVKRXOGHU
DUHD´DIWHU³OLIWLQJWKHWUDLOHUGRRU´RQ1RYHPEHUDQGUHSRUWHG³QRSULRUKLVWRU\
RI VLJQLILFDQW ULJKW VKRXOGHU LQMXU\ LQ WKH SDVW´  (PSOR\HU DVVHUWHG (PSOR\HH¶V
DOOHJDWLRQVODFNHGFUHGLELOLW\EHFDXVHKHJDYHYDU\LQJGHVFULSWLRQVRIKRZWKHLQMXU\WRRN
SODFHDQGEHFDXVHKHIDLOHGWRLQIRUPKLVPHGLFDOSURYLGHUVRIDSULRUVKRXOGHULQMXU\LQ
ZKHQKHZDVZRUNLQJIRUDQRWKHUHPSOR\HU
        
        )ROORZLQJ WKH ILUVW DSSHDO LQ WKLV FDVH ZH FRQFOXGHG DV DQ LVVXH RI ILUVW
LPSUHVVLRQ WKDW D SURVSHFWLYH IRUXP VHOHFWLRQ FODXVH ZDV XQHQIRUFHDEOH LQ ZRUNHUV¶
FRPSHQVDWLRQ FDVHV LQ OLJKW RI 7HQQHVVHH &RGH $QQRWDWHG VHFWLRQ   :H DOVR
FRQFOXGHG WKH WULDO FRXUW SURSHUO\ RUGHUHG WKH SD\PHQW RI PHGLFDO DQG WHPSRUDU\
GLVDELOLW\EHQHILWV+RZHYHUZHYDFDWHGWKDWSDUWRIWKHWULDOFRXUW¶VRUGHUGHWHUPLQLQJ
(PSOR\HHZDVHQWLWOHGWRDWWRUQH\¶VIHHVSXUVXDQWWR7HQQHVVHH&RGH$QQRWDWHGVHFWLRQ
 G  % DQGZHUHPDQGHGWKHFDVHIRUWKHWULDOFRXUWWRUHFRQVLGHUWKHLVVXHLQ
OLJKWRIWKHIUDPHZRUNVHWRXWLQThompson v. Comcast Corp.1R
71:UN&RPS$SS%G/(;,6 7HQQ:RUNHUV¶&RPS$SS%G-DQ 




     See Travis v. Carter Express, Inc. 1R   71 :UN &RPS $SS %G /(;,6  DW
      7HQQ:RUNHUV¶&RPS$SS%G'HF 

                                                        

        8SRQUHPDQGWKHWULDOFRXUWFRQGXFWHGVHYHUDOKHDULQJVGXULQJZKLFKWKHSDUWLHV
GLVFXVVHG WKH DWWRUQH\¶V IHH LVVXH DQG SUHVHQWHG WKHLU UHVSHFWLYH DUJXPHQWV  7KH WULDO
FRXUW WKHQ LVVXHG DQ RUGHU GHWHUPLQLQJ (PSOR\HU¶V IDLOXUH WR LQLWLDWH ZRUNHUV¶
FRPSHQVDWLRQEHQHILWVLQ7HQQHVVHHZDV³LQFRUUHFWHUURQHRXVDQGLQFRQVLVWHQWZLWKWKH
ODZ RU IDFWV´ IRU IRXU UHDVRQV   WKH IRUXP VHOHFWLRQ FODXVH VLJQHG E\ (PSOR\HH ZDV
³YRLG IURP WKH RXWVHW´   (PSOR\HH QHYHU PDGH D NQRZLQJ DQG ZLOOIXO HOHFWLRQ RI
UHPHGLHV WR SXUVXH EHQHILWV XQGHU ,QGLDQD ODZ   (PSOR\HH WLPHO\ UHSRUWHG D ZRUN
DFFLGHQWEXW(PSOR\HUIDLOHGWRDXWKRUL]HPHGLFDOFDUHHYHQDIWHUUHFHLYLQJDFDXVDWLRQ
RSLQLRQ IURP 'U *UDFH DQG   (PSOR\HU IDLOHG WR DFFRPPRGDWH (PSOR\HH¶V
UHVWULFWLRQVWRDOORZKLPWRUHWXUQWRZRUN7KHWULDOFRXUWWKHQGHWHUPLQHGWKLVFDVHIHOO
ZLWKLQ WKH ³H[WUHPHO\ OLPLWHG FLUFXPVWDQFHV´ GHVFULEHG LQ Thompson WR VXSSRUW DQ
LQWHUORFXWRU\ DZDUG RI DWWRUQH\¶V IHHV  7KH FRXUW UHDVRQHG WKDW (PSOR\HU UHIXVHG WR
LQLWLDWHEHQHILWV³EDVHGRQLWVRZQLQWHUSUHWDWLRQWKDW>(PSOR\HH¶V@UHSRUWVRILQMXU\ZHUH
LQFRQVLVWHQWDQGZLWKRXWVHHNLQJDQH[SHUWRSLQLRQWRUHEXW'U*UDFH¶VFDXVDWLRQRSLQLRQ
DQGVXSSRUWLWVGHQLDO´7KHFRXUWIXUWKHUFRQFOXGHG(PSOR\HU³WRRNVWHSVDWHYHU\VWDJH
WR GHOD\ >(PSOR\HH¶V@ FODLP´ UHDVRQLQJ WKDW ³DQ HPSOR\HU FDQQRW EH DOORZHG WR GHQ\
EHQHILWVDQGGHOD\UHFRYHU\ZLWKRXWFDXVHUHO\LQJVROHO\XSRQLWVRZQLQWHUSUHWDWLRQ
RI WKH HPSOR\HH¶V GHVFULSWLRQ RI LQMXU\ DQG PHGLFDO UHFRUGV´  )LQDOO\ WKH WULDO FRXUW
FRQFOXGHG³>W@KHSXUSRVHRIWKHVWDWXWHLVGHIHDWHGLIDQLQMXUHGHPSOR\HHPXVWZDLWXQWLO
D>F@RPSHQVDWLRQ>K@HDULQJWRUHFRYHUDWWRUQH\¶VIHHVLQFXUUHGIRUUHFRYHULQJWHPSRUDU\
GLVDELOLW\ DQG PHGLFDO EHQHILWV´  ,W DZDUGHG (PSOR\HH  LQ DWWRUQH\¶V IHHV
(PSOR\HUKDVDSSHDOHG
                                                   
                                       6WDQGDUGRI5HYLHZ
                                                   
        7KH VWDQGDUG ZH DSSO\ LQ UHYLHZLQJ D WULDO FRXUW¶V GHFLVLRQ SUHVXPHV WKDW WKH
FRXUW¶VIDFWXDOILQGLQJVDUHFRUUHFWXQOHVVWKHSUHSRQGHUDQFHRIWKHHYLGHQFHLVRWKHUZLVH
See 7HQQ &RGH $QQ   F      :KHQ WKH WULDO MXGJH KDV KDG WKH
RSSRUWXQLW\ WR REVHUYH D ZLWQHVV¶V GHPHDQRU DQG WR KHDU LQFRXUW WHVWLPRQ\ ZH JLYH
FRQVLGHUDEOH GHIHUHQFH WR IDFWXDO ILQGLQJV PDGH E\ WKH WULDO FRXUW  Madden v. Holland
Grp. of Tenn., Inc.  6:G   7HQQ    +RZHYHU ³>Q@R VLPLODU
GHIHUHQFHQHHGEHDIIRUGHGWKHWULDOFRXUW¶VILQGLQJVEDVHGXSRQGRFXPHQWDU\HYLGHQFH´
Goodman v. Schwarz Paper Co.1R:6&5:&7HQQ/(;,6DW
   7HQQ :RUNHUV¶ &RPS 3DQHO -DQ     6LPLODUO\ WKH LQWHUSUHWDWLRQ DQG
DSSOLFDWLRQRIVWDWXWHVDQGUHJXODWLRQVDUHTXHVWLRQVRIODZWKDWDUHUHYLHZHGde novoZLWK
QR SUHVXPSWLRQ RI FRUUHFWQHVV DIIRUGHG WKH WULDO FRXUW¶V FRQFOXVLRQV  See Mansell v.
Bridgestone Firestone N. Am. Tire, LLC  6:G   7HQQ    :H DUH
DOVR PLQGIXO RI RXU REOLJDWLRQ WR FRQVWUXH WKH ZRUNHUV¶ FRPSHQVDWLRQ VWDWXWHV ³IDLUO\
LPSDUWLDOO\ DQG LQ DFFRUGDQFH ZLWK EDVLF SULQFLSOHV RI VWDWXWRU\ FRQVWUXFWLRQ´ DQG LQ D
ZD\WKDWGRHVQRWIDYRUHLWKHUWKHHPSOR\HHRUWKHHPSOR\HU7HQQ&RGH$QQ
  



                                                 

                                               $QDO\VLV

       7KH GHWHUPLQDWLYH LVVXH LQ WKLV FDVH LV ZKHWKHU WKHVH IDFWV IDOO ZLWKLQ WKH
³H[WUHPHO\OLPLWHGFLUFXPVWDQFHV´VXSSRUWLQJDQLQWHUORFXWRU\DZDUGRIDWWRUQH\¶VIHHV
$VDSUHIDFHWRRXUDQDO\VLVRIWKLVLVVXHVRPHKLVWRULFDOSHUVSHFWLYHLVKHOSIXO

       7HQQHVVHH KDV ORQJ IROORZHG WKH $PHULFDQ 5XOH ZLWK UHJDUG WR DWWRUQH\¶V IHHV
Eberbach v. Eberbach6:G 7HQQ 7KLVUXOHSURYLGHVWKDWHDFK
SDUW\ WR OLWLJDWLRQ SD\V LWV RZQ DWWRUQH\¶V IHHV XQOHVV ³   D FRQWUDFWXDO RU VWDWXWRU\
SURYLVLRQ FUHDWHV D ULJKW WR UHFRYHU DWWRUQH\>¶V@ IHHV RU   VRPH RWKHU UHFRJQL]HG
H[FHSWLRQ WR WKH $PHULFDQ UXOH DSSOLHV´  Cracker Barrel Old Country Store, Inc. v.
Epperson6:G 7HQQ 

        7KLVUXOHKDVORQJEHHQDSSOLHGLQZRUNHUV¶FRPSHQVDWLRQFDVHV7HQQHVVHH&RGH
$QQRWDWHGVHFWLRQ D  SURYLGHVWKDWDWWRUQH\¶VIHHVLQZRUNHUV¶FRPSHQVDWLRQ
FDVHVDUHVXEMHFWWRWKHDSSURYDORIWKHWULDOFRXUWDQG³QRIHHVKDOOEHLQH[FHVVRIWZHQW\
SHUFHQW  RIWKHDPRXQWRIWKHUHFRYHU\RUDZDUGto be paid by the party employing
the attorney´  7HQQ &RGH $QQ   D     HPSKDVLV DGGHG   7KLV
ODQJXDJH KDV EHHQ LQ SODFH VLQFH WKH ILUVW YHUVLRQ RI WKH VWDWXWH SDVVHG LQ  DQG
UHPDLQVLQWKHVWDWXWHWRGD\7KXVHPSOR\HHV¶DWWRUQH\VKDYHWUDGLWLRQDOO\EHHQUHTXLUHG
WR ZDLW XQWLO DQ HPSOR\HH REWDLQHG D UHFRYHU\ WR UHFHLYH D IHH  ,Q PRVW FDVHV WKDW
KDSSHQVDWWKHWLPHRIVHWWOHPHQWRUIROORZLQJDWULDO7RUHFRYHUIHHVRWKHUWKDQWKRVH
WUDGLWLRQDOO\ DZDUGHG DW WKH HQG RI D FDVH WKHUH PXVW EH D VWDWXWRU\ SURYLVLRQ DOORZLQJ
VXFKDQDZDUG
        
        ,Q  WKH 7HQQHVVHH *HQHUDO $VVHPEO\ DPHQGHG WKH :RUNHUV¶ &RPSHQVDWLRQ
/DZWRSURYLGHIRUDZDUGVRIDWWRUQH\¶VIHHVRWKHUWKDQWKHIHHVGHVFULEHGLQVHFWLRQ
 D    6SHFLILFDOO\ 7HQQHVVHH &RGH $QQRWDWHG VHFWLRQ  G   VWDWHG LQ
SHUWLQHQWSDUW

        ,Q DGGLWLRQ WR DWWRUQH\V¶ IHHV SURYLGHG IRU LQ WKLV VHFWLRQ WKH FRXUW RI
        ZRUNHUV¶ FRPSHQVDWLRQ FODLPV PD\ DZDUG UHDVRQDEOH DWWRUQH\V¶ IHHV DQG
        UHDVRQDEOH FRVWV LQFOXGLQJ EXW QRW OLPLWHG WR UHDVRQDEOH DQG QHFHVVDU\
        FRXUW UHSRUWHU H[SHQVHV DQG H[SHUW ZLWQHVV IHHV IRU GHSRVLWLRQV DQG WULDOV
        LQFXUUHGZKHQWKHHPSOR\HU
        
        
                 
                   %  Wrongfully denies a claim by timely filing a notice of
                 denial, or fails to timely initiate any of the benefits to which
                 the employee is entitled under this chapterLQFOXGLQJPHGLFDO
                 EHQHILWVXQGHURUWHPSRUDU\RUGLVDELOLW\EHQHILWV
                 XQGHULIWKHZRUNHUV¶FRPSHQVDWLRQMXGJHPDNHV

                                                  

                 DILQGLQJWKDWWKHEHQHILWVZHUHRZHGDWDQH[SHGLWHGKHDULQJ
                 RUFRPSHQVDWLRQKHDULQJ
                 
7HQQ&RGH$QQ G     HPSKDVLVDGGHG 

         :H KDYH SUHYLRXVO\ DGGUHVVHG WKH LVVXH RI DWWRUQH\¶V IHHV DZDUGHG SULRU WR WKH
FRQFOXVLRQRIWKHFDVH,QThompsonZHQRWHGWKDWWKHZRUG³ZURQJIXOO\´DVXVHGLQ
WKHYHUVLRQRIWKHVWDWXWHFLWHGDERYHDSSOLHGRQO\WRWKHGHQLDORIDFODLPDQGQRW
WR WKH IDLOXUH WR WLPHO\ LQLWLDWH EHQHILWV  Thompson  71 :UN &RPS $SS %G
/(;,6DW :HWKHQQRWHG³WKHVWDWXWHGRHVQRWH[SOLFLWO\VWDWHZKHQLQWKHFRXUVH
RI OLWLJDWLRQ DQ DZDUG RI DWWRUQH\V¶ IHHV DQG FRVWV FDQ EH PDGH´  Id. DW   :H
FRQFOXGHG³DGHFLVLRQWRDZDUGDWWRUQH\V¶IHHVDQGH[SHQVHVDWDQLQWHUORFXWRU\VWDJHRID
FDVH VKRXOG EH PDGH RQO\ LQ extremely limited circumstances´  Id. DW  HPSKDVLV
DGGHG 1HYHUWKHOHVVZHDIILUPHGWKHWULDOFRXUW¶VLQWHUORFXWRU\DZDUGRIDWWRUQH\¶VIHHV
EDVHGRQWKHSDUWLFXODUFLUFXPVWDQFHVRIWKDWFDVH6SHFLILFDOO\ZHQRWHGWKHHPSOR\HULQ
WKDW FDVH GHFOLQHG WR DXWKRUL]H PHGLFDO WUHDWPHQW UHFRPPHQGHG E\ DQ DXWKRUL]HG
SK\VLFLDQ ³EDVHG VROHO\ RQ LWV RZQ LQWHUSUHWDWLRQ RI WKH PHGLFDO UHFRUGV DQG ZLWKRXW
VHHNLQJDQH[SHUWPHGLFDORSLQLRQWRVXSSRUWLWVGHQLDO´Id.DW 2YHUWKHFRXUVHRI
DSSUR[LPDWHO\ ILYH PRQWKV WKH HPSOR\HU DQG LWV LQVXUHU GLVUHJDUGHG H[SHUW PHGLFDO
RSLQLRQVRIFDXVDWLRQUHIXVHGWRUHFRQVLGHUWKHLUGHFLVLRQDIWHUDPHGLFDOGHSRVLWLRQZDV
FRPSOHWHRSWHGQRWWRVHHNXWLOL]DWLRQUHYLHZRIUHFRPPHQGHGWUHDWPHQWGLGQRWUHTXHVW
DQ HPSOR\HU¶V PHGLFDO H[DPLQDWLRQ DQG GLG QRW UHTXHVW DQ LQGHSHQGHQW PHGLFDO
HYDOXDWLRQ E\ DQ H[SHUW GHVLJQDWHG E\ WKH FRXUW  Id. DW   7KHVH IDFWRUV OHG WR RXU
FRQFOXVLRQWKDWWKHFDVH³H[HPSOLILHVRQHRIWKHH[WUHPHO\OLPLWHGVHWRIFLUFXPVWDQFHV
ZKHUHDQDZDUGRIUHDVRQDEOHDWWRUQH\V¶IHHVDQGFRVWVLVDSSURSULDWHDWDQLQWHUORFXWRU\
VWDJHRIWKHFDVH´Id.DW 
         
         7KHUHDIWHULQAndrews v. Yates Services, LLC1R71:UN
&RPS $SS %G /(;,6  7HQQ :RUNHUV¶ &RPS $SS %G 0D\    ZH QRWHG
WKDWWKHWHUP³ZURQJIXOO\´DVXVHGLQVHFWLRQ G  %   GLGQRWLQFOXGHD
³ODFNRIJRRGFDXVH´EXWUHTXLUHGDILQGLQJWKDWWKHHPSOR\HU¶VDFWLRQVZHUH³HUURQHRXV
LQFRUUHFWRURWKHUZLVHLQFRQVLVWHQWZLWKWKHODZRUIDFWVWRVXSSRUWDFODLPIRUUHDVRQDEOH
DWWRUQH\¶V IHHV DQG H[SHQVHV´  Id. DW   :H DOVR FRQFOXGHG WKDW ³D WULDO FRXUW PD\



  7KLVVWDWXWHZDVDPHQGHGDJDLQHIIHFWLYH$SULOEXWWKDWDPHQGPHQWDSSOLHVWRFDVHVLQZKLFK
WKHGDWHRILQMXU\ZDVRQRUDIWHUWKDWGDWHDQGLVWKHUHIRUHQRWDSSOLFDEOHWRWKHSUHVHQWFDVH


   :H DOVR REVHUYHG DV ZH GLG LQ D SULRU FDVH WKDW ³>J@LYHQ WKH WZLVWV DQG WXUQV LQKHUHQW LQ
OLWLJDWLRQWKHEHWWHUSUDFWLFHLVWRUHVROYH>DWWRUQH\¶VIHHGLVSXWHV@DIWHUWKHOLWLJDWLRQKDVUXQLWVFRXUVH
DQG WKH SDUWLHV DQG WKH FRXUW QR ORQJHU IDFH XQFHUWDLQWLHV RYHU IXWXUH GHYHORSPHQWV DV RSSRVHG WR
DGMXGLFDWLQJ >VXFK GLVSXWHV@ LQ SLHFHPHDO IDVKLRQ DV WKH FDVH ZLQGV LWV ZD\ WKURXJK WKH OLWLJDWLRQ
SURFHVV´  Thompson  71 :UN &RPS $SS %G /(;,6  DW  TXRWLQJ Andrews v. Yates
Servs., LLC1R71:UN&RPS$SS%G/(;,6DW  7HQQ:RUNHUV¶&RPS
$SS%G0D\ :HUHLWHUDWHWKDWREVHUYDWLRQWRGD\

                                                         

FRQVLGHU ZKHWKHU DQ HPSOR\HU¶V GHFLVLRQ WR GHQ\ D FODLP ZDV HUURQHRXV LQFRUUHFW RU
RWKHUZLVH LQFRQVLVWHQW ZLWK WKH ODZ RU IDFWV at the time the denial decision was made´
Id.DW  HPSKDVLVLQRULJLQDO :LWKUHVSHFWWRWKLVLVVXHZHH[SODLQHG
         
         >,@WLVZLWKLQDWULDOFRXUW¶VGLVFUHWLRQWRFRQVLGHUDQHPSOR\HU¶VGHFLVLRQWR
         GHQ\DFODLPLQOLJKWRIHYLGHQFHRURWKHULQIRUPDWLRQUHDVRQDEO\DYDLODEOH
         WR WKH HPSOR\HU DW WKH WLPH WKH FODLP ZDV GHQLHG  0RUHRYHU VXFK D
         GHWHUPLQDWLRQLVIDFWGHSHQGHQWDQGZHGRQRWLQWHQGWRVXJJHVWWKHUHLVD
         EULJKWOLQHWHVWGHILQLQJWKHSDUDPHWHUVRIVXFKDGHFLVLRQ,QVWHDGDWULDO
         FRXUW PD\FRQVLGHU WKH IDFWV DQG FLUFXPVWDQFHV RI HDFK LQGLYLGXDO FDVH WR
         DVVHVV ZKHWKHU DQ HPSOR\HU¶V GHFLVLRQ WR GHQ\ D FODLP ZDV LQFRUUHFW
         HUURQHRXV RU RWKHUZLVH LQFRQVLVWHQW ZLWK WKH ODZ RU IDFWV DW WKH WLPH WKH
         GHFLVLRQZDVPDGH
         
Id. DW   ,Q FRQVLGHULQJ ZKHWKHU D WULDO FRXUW KDV DEXVHG LWV GLVFUHWLRQ ZH DUH
UHTXLUHG WR DVVHVV ZKHWKHU WKH FRXUW ³DSSOLHG DQ LQFRUUHFW OHJDO VWDQGDUG RU UHDFKHG D
GHFLVLRQ ZKLFK LV DJDLQVW ORJLF RU UHDVRQLQJ WKDW FDXVHG LQMXVWLFH WR WKH SDUW\
FRPSODLQLQJ´  State v. Farrell  6:G   7HQQ    7KH DEXVH RI
GLVFUHWLRQ VWDQGDUG RI UHYLHZ GRHV QRW LPPXQL]H D ORZHU FRXUW¶V GHFLVLRQ IURP
PHDQLQJIXO DSSHOODWH VFUXWLQ\ KRZHYHU DV GLVFUHWLRQDU\ GHFLVLRQV ³UHTXLUH D
FRQVFLHQWLRXV MXGJPHQW FRQVLVWHQW ZLWK WKH IDFWV WKDW WDNHV LQWRDFFRXQW WKH DSSOLFDEOH
ODZ´White v. Beeks6:G 7HQQ 

         0RUHRYHUDOWKRXJKDILQGLQJRIZURQJIXOQHVVPD\XOWLPDWHO\VXSSRUWDQDZDUGRI
UHDVRQDEOHDWWRUQH\¶VIHHVDQGFRVWVLQDFFRUGDQFHZLWKVHFWLRQ G  % LWGRHV
QRW VWDQGLQJ DORQH VXSSRUW DQ DZDUG RI DWWRUQH\¶V IHHV DQG FRVWV at an interlocutory
stage of the case  ,Q RUGHU WR DZDUG DWWRUQH\¶V IHHV DQG FRVWV LQ FLUFXPVWDQFHV ZKHUH
GLVFRYHU\PHGLFDOWUHDWPHQWDQGRUWKHGHYHORSPHQWRIH[SHUWSURRIDUHLQSUHOLPLQDU\
VWDJHV RU DUH RQJRLQJ DV LQ WKH SUHVHQW FDVH WKH WULDO FRXUW PXVW FRQVLGHU ZKHWKHU WKH
FDVHILWVZLWKLQWKH³KLJKO\XQXVXDOFLUFXPVWDQFHV´VXFKDVWKRVHGLVFXVVHGLQThompson
)RU H[DPSOH LQ FLUFXPVWDQFHV ZKHUH DQ HPSOR\HU UHOLHV RQ LWV RZQ LQWHUSUHWDWLRQ RI
PHGLFDOHYLGHQFHZLWKRXWVHHNLQJDQH[SHUWPHGLFDORSLQLRQWRVXSSRUWLWVLQWHUSUHWDWLRQ
IDLOV WR WDNH UHDVRQDEOH VWHSV WR LQYHVWLJDWH D FODLP EHIRUH GHQ\LQJ LW IDLOV WR FRQVLGHU
HYLGHQFHLQIDYRURIWKHLQMXUHGZRUNHUDQGRUGHFOLQHVWRUHFRQVLGHULWVGHQLDORIDFODLP
LQWKHIDFH RIQHZO\GLVFRYHUHGFRXQWHUYDLOLQJHYLGHQFHDQLQWHUORFXWRU\DZDUGRIIHHV
PD\EHDSSURSULDWH
         



 :HGRQRWPHDQWRVXJJHVWWKDWDQDZDUGRIDWWRUQH\¶VIHHVDQGFRVWVLVQHFHVVDULO\DSSURSULDWHLQVXFK
FLUFXPVWDQFHVEXWUDWKHUPD\EHDSSURSULDWHGHSHQGLQJRQWKHFLUFXPVWDQFHVLQFOXGLQJWKHRXWFRPHRI
WKHFDVH)RULQVWDQFHDQDZDUGRIDWWRUQH\¶VIHHVDQGFRVWVDJDLQVWDSUHYDLOLQJSDUW\LQIDYRURIDSDUW\
XOWLPDWHO\ GHWHUPLQHG QRW WR KDYH D OHJDOO\ PHULWRULRXV FODLP ZRXOG OLNHO\ EH FKDOOHQJHG DV
IXQGDPHQWDOO\XQIDLU

                                                     

         2QWKHRWKHUKDQGZKHQDQHPSOR\HUGHQLHVDFODLPRUUHIXVHVWRLQLWLDWHEHQHILWV
EDVHGRQDQXQVHWWOHGLVVXHRIODZRURQDUHDVRQDEOHLQWHUSUHWDWLRQRIWKHIDFWVDYDLODEOH
WRLWDWWKHWLPHWKHFODLPLVGHQLHGHYHQLIWKDWGHQLDOLVODWHUIRXQGWREHZURQJIXOWKH
FRXUWVKRXOGGHOD\DQDZDUGRIDWWRUQH\¶VIHHVXQWLOWKHOLWLJDWLRQKDVUXQLWVFRXUVHDQG
WKHUH LV QR ORQJHU D TXHVWLRQ DV WR WKH FRPSHQVDELOLW\ RI WKH FODLP RU ZKHWKHU WKH
HPSOR\HHLVRZHGZRUNHUV¶FRPSHQVDWLRQEHQHILWV7KLVDSSURDFKVHUYHVWZRLPSRUWDQW
REMHFWLYHV)LUVWLWKHOSVDYRLGPXOWLSOHDSSHDOVLQYROYLQJGLVSXWHVRYHUDWWRUQH\¶VIHHV
DQG H[SHQVHV DQG LQ WXUQ UHVXOWV LQ D TXLFNHU UHVROXWLRQ RI WKH FDVH RQ LWV PHULWV
6HFRQG WKLV DSSURDFK KHOSV DYRLG WKH DQRPDO\ RI D SUHYDLOLQJ SDUW\ KDYLQJ WR SD\
VLJQLILFDQWOLWLJDWLRQFRVWV LQDGGLWLRQWRLWVRZQ RIDSDUW\WKDWLVXOWLPDWHO\GHWHUPLQHG
QRWWRKDYHKDGDFRPSHQVDEOHFODLPLQWKHILUVWSODFH
         
         ,WLVZLWKLQWKLVFRQWH[WWKDWZHPXVWHYDOXDWHWKHSUHVHQWFDVH(PSOR\HHDOOHJHG
KH LQMXUHGKLV VKRXOGHU RQRU DERXW 1RYHPEHU    :KHQ KHILUVW UHSRUWHG WR )DVW
3DFH 8UJHQW &DUH &OLQLF WKH IROORZLQJ GD\ WKH WULDJH QRWH LQGLFDWHG KH ZDV ³QRW VXUH
ZKDWKHKDVGRQH´+HGHVFULEHGWLJKWQHVVLQKLVULJKWVKRXOGHUWKDWZDV³MXVWDGLIIHUHQW
IHHOLQJ´  ,Q WKH ³+LVWRU\ RI 3UHVHQW ,OOQHVV´ WKH QXUVH SUDFWLWLRQHU QRWHG ³QR NQRZQ
LQMXU\EXWVWDWHVKHGULYHVDQZKHHOHUORFDOO\DQGWKLQNVWKLVPD\EHUHODWHGWRJHWWLQJ
LQDQGRXWRIWKHFDERIWKHWUXFNRUORDGLQJ>WKH@WUXFN´
         
         2Q D 1RYHPEHU   ,QGLDQD )LUVW 5HSRUW RI (PSOR\HH ,QMXU\ IRUP
(PSOR\HU¶V 6DIHW\ 'LUHFWRU QRWHG ³GULYHU GRHV QRW NQRZ KRZ WKH LQMXU\ PD\ KDYH
RFFXUUHG´  2Q D VHSDUDWH )LUVW 5HSRUW RI ,QMXU\ IRUP (PSOR\HH DOOHJHGO\ UHSRUWHG KH
VXIIHUHGSDLQLQKLVVKRXOGHUGXHWR³HQWHULQJDQGH[LWLQJWUXFN´2QDQRWKHU5HSRUWRI
,QMXU\IRUPVLJQHGE\(PSOR\HH(PSOR\HHZURWHKHZDV³FOLPELQJLQWRWUXFNRUWUDLOHU´
ZKHQKHH[SHULHQFHGWKHV\PSWRPV)LQDOO\RQDIRXUWKLQMXU\UHSRUWIRUP(PSOR\HH
ZURWHKHZDV³HQWHULQJRUH[LWLQJWUXFNRUWUDLOHURUWLJKWHQLQJVWUDSV´ZKHQKHIHOWSDLQ
         
         'XULQJ WKH LQLWLDO H[SHGLWHG KHDULQJ (PSOR\HH WHVWLILHG KH IHOW D ³VOLJKW GXOO
VWLIIQHVV´LQKLVULJKWVKRXOGHUDVKHFOLPEHGLQWRKLVWUXFNWRVWDUWKLVZRUNUHODWHGWULSRQ
1RYHPEHU    'XULQJ WKH ILUVW SDUW RI WKH WULS KH FRQWLQXHG WR H[SHULHQFH D
³VWLIIGXOO SDLQ´ LQ KLV VKRXOGHU  /DWHU ZKLOH DW D VWRS LQ :\QQH $UNDQVDV KH
WHVWLILHGKHZDVRSHQLQJWKHWUDLOHUGRRUDQGDWWHPSWLQJWRVZLQJDQGSLQLWWRWKHVLGHRI
WKHWUDLOHUZKHQKHIHOW³PRUHRIDVKDUSSDLQWKDQEHIRUH´$IWHUWKDWVWRSKHGHVFULEHG
KLV RYHUDOO VKRXOGHU FRQGLWLRQ DV ³D OLWWOH ELW ZRUVH´  $W KLV QH[W VWRS LQ 2VFHROD
$UNDQVDV WKH VDPH ZRUN DFWLYLWLHV DV WKH SUHYLRXV VWRS FDXVHG ³D OLWWOH ELW RI
FRQVLGHUDEO\KLJKHUSDLQ´+HDOVRUHSRUWHGWKDWFOLPELQJEDFNLQWRWKHWUXFNDIWHUWKDW
VWRSFDXVHGWKHZRUVWSDLQ:KHQDVNHGGXULQJWKHH[SHGLWHGKHDULQJZKHWKHUKHFRXOG
SLQSRLQW ³WKH H[DFW SRLQW LQ WLPH ZKHQ >KH@ VXIIHUHG DQ LQMXU\ WR >KLV@ VKRXOGHU´ KH
UHSOLHG³>Q@RWWRWKHEHVWRIP\NQRZOHGJH1R´
         
         2Q 1RYHPEHU   DQG DJDLQ RQ 'HFHPEHU   (PSOR\HU ILOHG IRUPV
ZLWK WKH ,QGLDQD :RUNHUV¶ &RPSHQVDWLRQ %RDUG VHHNLQJ DGGLWLRQDO WLPH ³VR ZH FDQ

                                                 

GHWHUPLQHFRPSHQVDELOLW\´2QWKHILUVWRIWKRVHIRUPV(PSOR\HUQRWHG³FODLPDQWGRHV
QRWNQRZKRZKHVWUDLQHGKLVVKRXOGHU´
        
        2Q 'HFHPEHU   (PSOR\HH ZDV VHHQ E\ DQ RUWKRSHGLVW 'U 6HDQ *UDFH
'U*UDFH¶VUHSRUWUHIOHFWV(PSOR\HHFRPSODLQHGRIULJKWVKRXOGHUSDLQFDXVHGE\³OLIWLQJ
WKH WUDLOHU GRRU LQ WKH EDFN´ ZKLFK UHVXOWHG LQ D ³VKDUS SDLQ LQ KLV XSSHU DUP DQG
VKRXOGHUDUHD´,QKLVSHWLWLRQIRUEHQHILWVVLJQHGRQ-DQXDU\(PSOR\HHVWDWHG
³(PSOR\HU GHQLHG FODLP´  7KXV WKH UHFRUG UHIOHFWV WKDW (PSOR\HU¶V GHFLVLRQ WR GHQ\
(PSOR\HH¶VFODLPRFFXUUHGVRPHWLPHEHWZHHQ'HFHPEHUDQG-DQXDU\
,WLVZLWKLQWKLVWLPHIUDPHZHZLOODVVHVVZKHWKHU(PSOR\HU¶VGHFLVLRQWRGHQ\WKHFODLP
ZDVHUURQHRXVLQFRUUHFWRURWKHUZLVHLQFRQVLVWHQWZLWKWKHODZRUIDFWV

       7KHWULDOFRXUWFRQFOXGHG(PSOR\HUZDVLQFRUUHFWLQ³UHO\LQJVROHO\XSRQLWV
RZQ LQWHUSUHWDWLRQ RI >(PSOR\HH¶V@ GHVFULSWLRQ RI LQMXU\ DQG PHGLFDO UHFRUGV´  :H
UHVSHFWIXOO\GLVDJUHHZLWKWKHWULDOFRXUW¶VFKDUDFWHUL]DWLRQRIWKHDSSOLFDEOHWHVWDQGRXU
SULRURSLQLRQV:KLOHZHDJUHHDQHPSOR\HURULQVXUHUFDQQRWUHO\RQLWVRZQPHGLFDO
RSLQLRQV RU LWV RZQ LQWHUSUHWDWLRQ RI H[SHUW PHGLFDO HYLGHQFH WR VXSSRUW D GHQLDO see,
e.g.Lurz v. International Paper Co.1R71:UN&RPS$SS%G
/(;,6  DW  7HQQ :RUNHUV¶ &RPS $SS %G )HE    DQ HPSOR\HU FDQ
UHYLHZ DQG FRQVLGHU WKH IDFWV RI D FDVH LQFOXGLQJ DQ HPSOR\HH¶V GHVFULSWLRQ RI WKH
DOOHJHGLQMXU\LQGHFLGLQJZKHWKHUWRDFFHSWRUGHQ\WKHFODLP

       ,Q WKH SUHVHQW FDVH DW WKH WLPH RI WKH GHQLDO RI WKH FODLP LQ 'HFHPEHU  RU
-DQXDU\  (PSOR\HU KDG DYDLODEOH WR LW QXPHURXV DQG YDULHG GHVFULSWLRQV RI WKH
DOOHJHGDFFLGHQWRUDFFLGHQWVIURP(PSOR\HHLQFOXGLQJ  D1RYHPEHU5HSRUW
RI,QMXU\VWDWLQJ³FOLPELQJLQWRWUXFNRUWUDLOHU´DQG³QRUPDOMREGXW\´DVWKHFDXVHRIWKH
DFFLGHQW  D1RYHPEHU³VW5HSRUWRI,QMXU\´VWDWLQJ³HQWHULQJRUH[LWLQJWUXFN
RUWUDLOHURUWLJKWHQLQJVWUDSV´DVWKHGHVFULSWLRQRIWKHDFFLGHQW  D1RYHPEHU
,QGLDQD )LUVW 5HSRUW RI (PSOR\HH ,QMXU\ VWDWLQJ ³GULYHU GRHV QRW NQRZ KRZ WKH LQMXU\
PD\ KDYH RFFXUUHG´ DQG   DQ ,$,$%& )LUVW 5HSRUW RI ,QMXU\ IRUP VWDWLQJ ³FODLPDQW
ZDVHLWKHUHQWHULQJ>RU@H[LWLQJWUXFNDQGVSUDLQHGULJKWVKRXOGHU´,QDGGLWLRQ(PSOR\HU
QRWHG RQ LWV 5HTXHVW IRU $GGLWLRQDO 7LPH IRUP ILOHG ZLWK WKH ,QGLDQD :RUNHUV¶
&RPSHQVDWLRQ%RDUGZKLFKZDVVLJQHGRQ1RYHPEHUWKDW³FODLPDQWGRHVQRW
NQRZKRZKHVWUDLQHGKLVVKRXOGHU´

       0RUHRYHUZKHQ(PSOR\HHVDZ'U*UDFHRQ'HFHPEHUKHUHSRUWHGIRU
WKHILUVWWLPHWKDW³KHZDVOLIWLQJWKHWUDLOHUGRRULQWKHEDFNDQGIHOWDVKDUSSDLQLQKLV
XSSHU DUP DQG VKRXOGHU DUHD´  7KLV GHVFULSWLRQ RI WKH ZRUN DFFLGHQW ZDV LQFRQVLVWHQW
ZLWKHYHU\RWKHUGHVFULSWLRQ(PSOR\HHKDGRIIHUHGWRWKDWSRLQW7KHIDFWWKDW(PSOR\HH
PD\ KDYH PHW KLV EXUGHQ RI SURRI DW DQ H[SHGLWHG KHDULQJ HLJKW PRQWKV ODWHU GRHV QRW
FRPSHO D ILQGLQJ WKDW (PSOR\HU¶V HDUOLHU GHQLDO RI WKH FODLP VXSSRUWV DQ LQWHUORFXWRU\
DZDUGRIDWWRUQH\¶VIHHV0RUHRYHUWKHSRVWXUHRIWKLVFDVHLVVLJQLILFDQWO\GLIIHUHQWWKDQ
LQ Thompson ZKHUH ZH FRQFOXGHG DQ LQWHUORFXWRU\ DZDUG RI DWWRUQH\¶V IHHV ZDV

                                                  

DSSURSULDWH  +HUH PHGLFDO HYDOXDWLRQV DQG WUHDWPHQW DUH RQJRLQJ QR PHGLFDO
GHSRVLWLRQV KDYH RFFXUUHG DQG GLVFRYHU\ KDV \HW WR WDNH SODFH  7KH GHYHORSPHQW RI
GLVFRYHU\DQGH[SHUWSURRIPD\KDYHDGLUHFWLPSDFWRQ(PSOR\HH¶VFODLPIRUDGGLWLRQDO
ZRUNHUV¶FRPSHQVDWLRQEHQHILWVZKLFKLVDIDFWRUWREHFRQVLGHUHGLQDVVHVVLQJDFODLP
IRU DWWRUQH\¶V IHHV  See 7HQQ 6XS &W 5  53&   :H IXUWKHU QRWH WKDW WKLV FDVH
LQYROYHG DQXQVHWWOHG SRLQWRI ODZ WKHYDOLGLW\RI D IRUXP VHOHFWLRQ DJUHHPHQW  8QGHU
WKHVHFLUFXPVWDQFHVZHFRQFOXGHWKHWULDOFRXUWDEXVHGLWVGLVFUHWLRQLQGHWHUPLQLQJWKLV
FDVHIDOOVZLWKLQWKH³H[WUHPHO\OLPLWHGFLUFXPVWDQFHV´VXSSRUWLQJDQLQWHUORFXWRU\DZDUG
RIDWWRUQH\¶VIHHV

       ,Q YDFDWLQJ WKH WULDO FRXUW¶V LQWHUORFXWRU\ DZDUG RI DWWRUQH\¶V IHHV DW WKLV HDUO\
VWDJH RI WKH FDVH ZH H[SUHVV QR RSLQLRQ RQ ZKHWKHU DQ DZDUG RI UHDVRQDEOH DWWRUQH\¶V
IHHVDQGFRVWVZLOOXOWLPDWHO\EHSURSHUSXUVXDQWWR7HQQHVVHH&RGH$QQRWDWHGVHFWLRQ
 G  %   ,QVWHDG DV ZH KDYH VXJJHVWHG SUHYLRXVO\ ³>U@HVROYLQJ OLWLJDWLRQ LQ
SLHFHPHDO IDVKLRQ GHOD\V D ILQDO UHVROXWLRQ RI WKH FDVH UDUHO\ VHUYHV WKH LQWHUHVWV RI
MXGLFLDOHFRQRP\DGGVFRVWVIRUDOOFRQFHUQHGDQGGHSULYHVZRUNHUVDQGEXVLQHVVHVDOLNH
RI PXFK QHHGHG ILQDOLW\ DQG WKH DELOLW\ WR PRYH RQ 7KXV DEVHQW KLJKO\ XQXVXDO
FLUFXPVWDQFHV D FDVH VKRXOG EH SHUPLWWHG WR ODUJHO\ UXQ LWV FRXUVH XQHQFXPEHUHG E\
XQFHUWDLQWLHV RYHU IXWXUH GHYHORSPHQWV DQG WKH WZLVWV DQG WXUQV LQKHUHQW LQ OLWLJDWLRQ
EHIRUHDQDZDUGRIDWWRUQH\¶VIHHVDQGFRVWVLVPDGH´Thompson71:UN&RPS
$SS%G/(;,6DW  'DYLGVRQ-FRQFXUULQJ 

                                             &RQFOXVLRQ
                                                     
       )RU WKH IRUHJRLQJ UHDVRQV ZH YDFDWH WKH WULDO FRXUW¶V LQWHUORFXWRU\ DZDUG RI
DWWRUQH\¶VIHHVDQGUHPDQGWKHFDVH






  7KH SDUWLHV GLVDJUHH DV WR ZK\ DQ 05, RUGHUHG E\ 'U *UDFH KDG QRW EHHQ FRPSOHWHG EXW WKH IDFW
UHPDLQV WKDW WKHUH ZDV QR GHILQLWLYH PHGLFDO GLDJQRVLV LQ WKLV FDVH DV RI WKH GDWH RI WKH PRVW UHFHQW
H[SHGLWHGKHDULQJ

                                                          

                   7(11(66((%85($82):25.(56¶&203(16$7,21
                         :25.(56¶&203(16$7,21$33($/6%2$5'

)UHG7UDYLV,,,                                                    'RFNHW1R
                                                                
Y                                                                  6WDWH)LOH1R

&DUWHU([SUHVV,QFHWDO                                     
                                                                
                                                                
$SSHDOIURPWKH&RXUWRI:RUNHUV¶                               
&RPSHQVDWLRQ&ODLPV                                             
3DPHOD%-RKQVRQ-XGJH                                        

                                       &(57,),&$7(2)6(59,&(

, KHUHE\ FHUWLI\ WKDW D WUXH DQG FRUUHFW FRS\ RI WKH $SSHDOV %RDUG¶V GHFLVLRQ LQ WKH
UHIHUHQFHGFDVHZDVVHQWWRWKHIROORZLQJUHFLSLHQWVE\WKHIROORZLQJPHWKRGVRIVHUYLFH
RQWKLVWKHWKGD\RI-XQH

 1DPH                               &HUWLILHG   )LUVW   9LD      )D[      9LD     6HQWWR
                                     0DLO        &ODVV   )D[      1XPEHU   (PDLO
                                                  0DLO
 %UDG&%XUQHWWH                                                           ;     EUDGEXUQHWWH#Io[DQGIDUOH\ODZFRP
 -$OOHQ%URZQ                                                              ;     DOOHQ#MDOOHQEURZQSOOFFRP
 3DPHOD%-RKQVRQ-XGJH                                                   ;     9LD(OHFWURQLF0DLO
 .HQQHWK06ZLW]HU&KLHI-XGJH                                           ;     9LD(OHFWURQLF0DLO
 3HQQ\6KUXP&OHUN&RXUWRI                                               ;     SHQQ\SDWWHUVRQVKUXP#WQJRY
 :RUNHUV¶&RPSHQVDWLRQ&ODLPV




-HDQHWWH%DLUG
-HDQHWWH%DLUG
'HSXW\&OHUN:RUNHUV¶&RPSHQVDWLRQ$SSHDOV%RDUG
)UHQFK/DQGLQJ'U6WH%
1DVKYLOOH71
7HOHSKRQH
(OHFWURQLF0DLO:&$SSHDOV&OHUN#WQJRY
