FILED Aug 03, 2018 01:49 PM(CT) TENNESSEE WORKERS' COMPENSATION APPEALS BOARD 7(11(66((%85($82):25.(56¶&203(16$7,21 :25.(56¶&203(16$7,21$33($/6%2$5' .HLWK4XDUOHV 'RFNHW1R Y 6WDWH)LOH1R )HG([*URXQG $SSHDOIURPWKH&RXUWRI:RUNHUV¶ &RPSHQVDWLRQ&ODLPV 'HDQD&6H\PRXU-XGJH $IILUPHGDQG5HPDQGHG)LOHG$XJXVW 7KH HPSOR\HH DOOHJHV VXIIHULQJ JUDGXDO LQMXULHV WR KLV OHIW NQHH ULJKW DQNOH DQG ULJKW VKRXOGHUZKLOHZRUNLQJDVDSDFNDJHKDQGOHUIRUWKHHPSOR\HU7KHHPSOR\HUGHQLHGWKH FODLPDVVHUWLQJWKHHPSOR\HH¶VLQMXULHVZHUHSUHH[LVWLQJDQGGLGQRWDULVHSULPDULO\RXW RIWKHHPSOR\PHQW)ROORZLQJDQH[SHGLWHGKHDULQJWKHWULDOFRXUWGHQLHGWKHUHTXHVWHG EHQHILWV FRQFOXGLQJ WKH HPSOR\HH IDLOHG WR SUHVHQW VXIILFLHQW PHGLFDO HYLGHQFH WR HVWDEOLVKKHZRXOGOLNHO\SUHYDLODWWULDOLQSURYLQJDFRPSHQVDEOHLQMXU\7KHHPSOR\HH KDVDSSHDOHG+DYLQJFDUHIXOO\UHYLHZHGWKHUHFRUGZHDIILUPWKHWULDOFRXUW¶VGHFLVLRQ DQGUHPDQGWKHFDVH -XGJH'DYLG)+HQVOH\GHOLYHUHGWKHRSLQLRQRIWKH$SSHDOV%RDUGLQZKLFK3UHVLGLQJ -XGJH0DUVKDOO/'DYLGVRQ,,,DQG-XGJH7LPRWK\:&RQQHUMRLQHG .HLWK&4XDUOHV0HPSKLV7HQQHVVHHHPSOR\HHDSSHOODQWSURVH %\URQ./LQGEHUJ1DVKYLOOH7HQQHVVHHIRUWKHHPSOR\HUDSSHOOHH)HG([*URXQG )DFWXDODQG3URFHGXUDO%DFNJURXQG .HLWK 4XDUOHV ³(PSOR\HH´ D ILIW\WKUHH\HDUROG UHVLGHQW RI 6KHOE\ &RXQW\ 7HQQHVVHH EHJDQ ZRUNLQJ DV D SDFNDJH KDQGOHU IRU )HG([ *URXQG ³(PSOR\HU´ LQ )HEUXDU\,Q0D\KHJDYHQRWLFHWR(PSOR\HURIKDYLQJVXVWDLQHGJUDGXDO LQMXULHVWRKLVOHIWNQHHULJKWDQNOHDQGULJKWVKRXOGHUDVDUHVXOWRIKLVZRUNDFWLYLWLHV (PSOR\HULVYDULRXVO\UHIHUUHGWRLQWKHUHFRUGDV³)HG([´³)HG([*URXQG3DFNDJH6\VWHP,QF´DQG ³)HG([*URXQG´)RUFRQVLVWHQF\ZHUHIHUWR(PSOR\HUDV³)HG([*URXQG´DVGLGWKHWULDOFRXUW +HWHVWLILHGKHGLGQRWH[SHULHQFHDVSHFLILFZRUNLQFLGHQWUHVXOWLQJLQKLVLQMXULHV+H VWDWHG KH KDG EHJXQ PHGLFDO WUHDWPHQW LQ )HEUXDU\ IRU V\PSWRPV KH ZDV H[SHULHQFLQJEXWGLGQRWUHDOL]HZHUHZRUNUHODWHGXQWLOGLVFXVVLQJWKHPZLWKKLVGRFWRU (PSOR\HUGHQLHGWKDW(PSOR\HH¶VLQMXULHVDURVHSULPDULO\RXWRIWKHHPSOR\PHQW$VD UHVXOW RI (PSOR\HU¶V GHQLDO RI EHQHILWV (PSOR\HH ILOHG D SHWLWLRQ VHHNLQJ PHGLFDO DQG WHPSRUDU\GLVDELOLW\EHQHILWV (PSOR\HH DFNQRZOHGJHG KDYLQJ D KLVWRU\ RI SULRU LQMXULHV WR KLV OHIW NQHH ULJKW DQNOH DQGULJKW VKRXOGHU +H DGPLWWHG WKDW KH ZDV LQYROYHG LQZKDW KHGHVFULEHG DV D ³PLQRU´ PRWRU YHKLFOH DFFLGHQW LQ 2FWREHU DQG WKDW KH VRXJKW WUHDWPHQW LQ -XO\ IRUKLVOHIWNQHHDQGULJKWVKRXOGHUWKDWKHDWWULEXWHGWRWKHDFFLGHQW+HDOVR DGPLWWHG REWDLQLQJ PHGLFDO FDUHLQ 2FWREHU DQG UHSRUWLQJ WKDW KLV ULJKW DQNOH KDG EHHQ VZHOOLQJ VLQFH WKH PRWRU YHKLFOH DFFLGHQW WKH SUHYLRXV \HDU ZKHQ KH MDPPHG KLV IRRW E\ KLWWLQJ WKH EUDNH SHGDO ,Q DGGLWLRQ KH WHVWLILHG KH ZDV GLDJQRVHG ZLWK RVWHRDUWKULWLVLQKLVULJKWVKRXOGHUIRUD³GHJHQHUDWLYHFRQGLWLRQ´VWHPPLQJIURPD ZRUNUHODWHG LQMXU\ DQG KH DGPLWWHG KDYLQJ KDG NQHH WURXEOH WKDW KH DWWULEXWHG WR KLV ³DWKOHWLFEDFNJURXQG´+HZDVGLDJQRVHGZLWKOHIWNQHHRVWHRDUWKULWLVLQ1RYHPEHU E\'U5LFKDUG$+LOOHVKHLPDQRUWKRSHGLFVXUJHRQ(PSOR\HHDVVHUWHGKLVUHSHWLWLYH ZRUNXQORDGLQJWUXFNVIRU(PSOR\HUDJJUDYDWHGKLVNQHHDQNOHDQGVKRXOGHUDQGZKHQ KHVWRSSHGXQORDGLQJWUXFNVKH³VORZO\VWDUWHGIHHOLQJEHWWHU´ ,Q 2FWREHU (PSOR\HH VXEPLWWHG D ³6WDQGDUG )RUP 0HGLFDO 5HSRUW IRU ,QGXVWULDO ,QMXULHV´ ³)RUP &´ WR 'U +LOOHVKHLP DQG UHTXHVWHG WKDW WKH GRFWRU FRPSOHWHWKHIRUP,QFRPSOHWLQJWKH)RUP&'U+LOOHVKHLPLQGLFDWHGKHZDVDQ ³(YDOXDWLQJ3K\VLFLDQ´DQGKHSURYLGHGWKHIROORZLQJQDUUDWLYHVXPPDU\RIKLVFRXUVH RI WUHDWPHQW ³/HIW NQHH GHJHQHUDWLYH RVWHRDUWKULWLV RVWHRSK\WH IRUPDWLRQ RQ SDWHOOD SDLQIXOOHIWNQHH´DGGLQJWKDW³>W@UHDWPHQWLQFOXGHVPHGLFDWLRQ>DQG@VWHURLGLQMHFWLRQV´ 7KH)RUP&GLGQRWDGGUHVV(PSOR\HH¶VDOOHJHGULJKWDQNOHRUULJKWVKRXOGHULQMXULHV DQG 'U +LOOHVKHLP LGHQWLILHG WKH LQMXU\ RQ WKH )RUP & DV ³>O@HIW NQHH GHJHQHUDWLYH RVWHRDUWKULWLV´ 'U +LOOHVKHLP DOVR SURYLGHG WKH IROORZLQJ RSLQLRQV RQ WKH IRUP WKHUH was not D VSHFLILF LQFLGHQW RU VHULHV RI LQFLGHQWV LGHQWLILHG WKDW EURXJKW DERXW WKH LQMXU\ WKHLQMXU\UHVXOWHGLQDQHHGIRUWUHDWPHQW WKHHPSOR\PHQWDFWLYLW\PRUH OLNHO\WKDQQRWZDVSULPDULO\UHVSRQVLEOHIRUWKHLQMXU\RUSULPDULO\UHVSRQVLEOHIRUWKH QHHGIRUWUHDWPHQW WKHLQMXU\did notLQYROYHWKHDJJUDYDWLRQRIDSUHH[LVWLQJLQMXU\ DQG WKH HPSOR\PHQW DFWLYLW\ ZDV SULPDULO\ UHVSRQVLEOH IRU WKH SUHVHQW QHHG IRU WUHDWPHQWRIWKHSUHH[LVWLQJGLVHDVHFRQGLWLRQRUDLOPHQW 7HQQHVVHH &RGH $QQRWDWHG VHFWLRQ F SURYLGHV WKDW ³>D@Q\ SDUW\ PD\ LQWURGXFH GLUHFW WHVWLPRQ\ IURP D SK\VLFLDQ WKURXJK D ZULWWHQ PHGLFDO UHSRUW RQ D IRUP HVWDEOLVKHG E\ WKH DGPLQLVWUDWRU >RI WKH %XUHDX RI :RUNHUV¶ &RPSHQVDWLRQ@ $Q\ ZULWWHQ PHGLFDO UHSRUW VRXJKW WR EH LQWURGXFHG DV HYLGHQFH VKDOO EH VLJQHG E\ WKH SK\VLFLDQ PDNLQJ WKH UHSRUW EHDULQJ DQ RULJLQDO VLJQDWXUH>DQG@ VKDOO LQFOXGH ZLWKLQ WKH ERG\ RI WKH UHSRUW RU DV DQ DWWDFKPHQW D VWDWHPHQW RI TXDOLILFDWLRQVRIWKHSHUVRQPDNLQJWKHUHSRUW´ $W DQ H[SHGLWHG KHDULQJ WKH SDUWLHV DJUHHG WR LQWURGXFH D YROXPLQRXV VHW RI PHGLFDOUHFRUGVLQWRHYLGHQFHLQFOXGLQJUHFRUGVIURP5HJLRQDO2QH+HDOWKLQ0HPSKLV 7HQQHVVHH 7KH 5HJLRQDO 2QH +HDOWK UHFRUGV LQGLFDWH (PSOR\HH ZDV VHHQ DW YDULRXV WLPHVE\GLIIHUHQWSK\VLFLDQVVRPHRIZKRPDUHLGHQWLILHGDV³875HVLGHQW´SK\VLFLDQV LQFOXGLQJ 'U +LOOHVKHLP 7KRVH UHFRUGV LQGLFDWH WKDW DW YDULRXV YLVLWV (PSOR\HH UHSRUWHGV\PSWRPVLQYROYLQJKLVOHIWNQHHULJKWDQNOHDQGULJKWVKRXOGHU)RUH[DPSOH D-XO\UHFRUGQRWHGD³ORQJVWDQGLQJKLVWRU\RIULJKWVKRXOGHUSDLQIROORZLQJVXUJHU\ LQ WRUHPRYHDERQHVSXU´DQGVWDWHG(PSOR\HH¶VSDLQKDGEHHQZRUVHLQWKHODVW IHZ PRQWKV ³HVSHFLDOO\ IROORZLQJ D FDU DFFLGHQW LQ ´ $Q 2FWREHU UHSRUWQRWHGWKDW(PSOR\HHUHSRUWHGKLVULJKWDQNOHZDV³VZROOHQDQGSDLQIXO´DQGKDG EHHQVZHOOLQJ³RIIDQGRQVLQFHDFFLGHQW´ 7KH SULPDU\ LVVXH DW WKH H[SHGLWHG KHDULQJ ZDV ZKHWKHU (PSOR\HH SURGXFHG VXIILFLHQWHYLGHQFHWRVKRZKHZRXOGOLNHO\SUHYDLODWWULDOLQHVWDEOLVKLQJKLVHQWLWOHPHQW WR PHGLFDO DQG GLVDELOLW\ EHQHILWV 7KH WULDO FRXUW IRXQG (PSOR\HH¶V SURRI ZDV LQVXIILFLHQWVWDWLQJWKDWEHFDXVH(PSOR\HHGLGQRWLGHQWLI\DVSHFLILFLQFLGHQWRUVHULHVRI LQFLGHQWV E\ WLPH DQG SODFH RI RFFXUUHQFH WKH FRXUW ³ORRNV WR WKH PHGLFDO HYLGHQFH WR GHWHUPLQH ZKHWKHU >(PSOR\HH@ VXVWDLQHG D FRPSHQVDEOH DJJUDYDWLRQ´ 1RWLQJ WKDW WKH RQO\ FDXVDWLRQ RSLQLRQV ZHUH LQFOXGHG LQ WKH )RUP & VLJQHG E\ 'U +LOOHVKHLP WKH WULDO FRXUW VWDWHG LW ³JLYHV OLWWOH ZHLJKW´ WR 'U +LOOHVKHLP¶V RSLQLRQV DQG ³UHMHFWV >KLV@ SURIIHUHG RSLQLRQV´ 7KH WULDO FRXUW VWDWHG WKDW EHFDXVH (PSOR\HH GLG QRW VXEPLW WKH GRFWRU¶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¶V GHFLVLRQ SUHVXPHV WKDW WKH FRXUW¶VIDFWXDOILQGLQJVDUHFRUUHFWXQOHVVWKHSUHSRQGHUDQFHRIWKHHYLGHQFHLVRWKHUZLVH See 7HQQ &RGH $QQ F :KHQ WKH WULDO MXGJH KDV KDG WKH RSSRUWXQLW\ WR REVHUYH D ZLWQHVV¶V GHPHDQRU DQG WR KHDU LQFRXUW WHVWLPRQ\ ZH JLYH FRQVLGHUDEOH GHIHUHQFH WR IDFWXDO ILQGLQJV PDGH E\ WKH WULDO FRXUW Madden v. Holland Grp. of Tenn., Inc. 6:G 7HQQ +RZHYHU ³>Q@R VLPLODU GHIHUHQFHQHHGEHDIIRUGHGWKHWULDOFRXUW¶VILQGLQJVEDVHGXSRQGRFXPHQWDU\HYLGHQFH´ Goodman v. Schwarz Paper Co.1R: 6&5:&7HQQ/(;,6DW 7HQQ :RUNHUV¶ &RPS 3DQHO -DQ 6LPLODUO\ WKH LQWHUSUHWDWLRQ DQG DSSOLFDWLRQRIVWDWXWHVDQGUHJXODWLRQVDUHTXHVWLRQVRIODZWKDWDUHUHYLHZHGde novoZLWK QR SUHVXPSWLRQ RI FRUUHFWQHVV DIIRUGHG WKH WULDO FRXUW¶V FRQFOXVLRQV See Mansell v. Bridgestone Firestone N. Am. Tire, LLC 6:G 7HQQ :H DUH DOVR PLQGIXO RI RXU REOLJDWLRQ WR FRQVWUXH WKH ZRUNHUV¶ FRPSHQVDWLRQ VWDWXWHV ³IDLUO\ LPSDUWLDOO\ DQG LQ DFFRUGDQFH ZLWK EDVLF SULQFLSOHV RI VWDWXWRU\ FRQVWUXFWLRQ´ DQG LQ D ZD\WKDWGRHVQRWIDYRUHLWKHUWKHHPSOR\HHRUWKHHPSOR\HU7HQQ&RGH$QQ $QDO\VLV (PSOR\HH DVVHUWV WKH WULDO FRXUW HUUHG LQ FRQFOXGLQJ KLV PHGLFDO HYLGHQFH ZDV LQVXIILFLHQWWRVXSSRUWDGHWHUPLQDWLRQWKDWKHZRXOGOLNHO\SUHYDLODWWULDOLQHVWDEOLVKLQJ WKHFRPSHQVDELOLW\RIKLVFODLP:HGLVDJUHH $QLQMXUHGZRUNHUKDVWKHEXUGHQRISURRIRQHYHU\HVVHQWLDOHOHPHQWRIKLVRUKHU FODLPSee7HQQ&RGH$QQ F see alsoBuchanan v. Carlex Glass Co. 1R 71 :UN &RPS $SS %G /(;,6 DW 7HQQ :RUNHUV¶ &RPS$SS%G6HSW +RZHYHUDWDQH[SHGLWHGKHDULQJDQHPSOR\HHLVDEOH WR PHHW WKLV EXUGHQ E\ SUHVHQWLQJ VXIILFLHQW HYLGHQFH IURP ZKLFK WKH WULDO FRXUW FDQ GHWHUPLQH WKH HPSOR\HH LV OLNHO\ WR SUHYDLO DW D KHDULQJ RQ WKH PHULWV FRQVLVWHQW ZLWK 7HQQHVVHH &RGH $QQRWDWHG VHFWLRQ G McCord v. Advantage Human Resourcing1R71:UN&RPS$SS%G/(;,6DW 7HQQ :RUNHUV¶ &RPS $SS %G 0DU 7KLV OHVVHU HYLGHQWLDU\ VWDQGDUG ³GRHV QRW UHOLHYH DQ HPSOR\HH RI WKH EXUGHQ RI SURGXFLQJ HYLGHQFH RI DQ LQMXU\ E\ DFFLGHQW WKDW DURVH SULPDULO\ RXW RI DQG LQ WKH FRXUVH DQG VFRSH RI HPSOR\PHQW DW DQ H[SHGLWHG KHDULQJEXWDOORZVVRPHUHOLHIWREHJUDQWHGLIWKDWHYLGHQFHGRHVQRWULVHWRWKHOHYHORI DµSUHSRQGHUDQFHRIWKHHYLGHQFH¶´Buchanan71:UN&RPS$SS%G/(;,6 DW ,Q UHYLHZLQJ D WULDO FRXUW¶V GHWHUPLQDWLRQ WKDW WKH HYLGHQFH SUHVHQWHG DW DQ H[SHGLWHG KHDULQJ LV QRW VXIILFLHQW WR ILQG DQ HPSOR\HH LV OLNHO\ WR SUHYDLO DW WULDO ZH PXVW GHWHUPLQH ZKHWKHU WKH SUHSRQGHUDQFH RI WKH HYLGHQFH VXSSRUWV WKH WULDO FRXUW¶V FRQFOXVLRQSee7HQQ&RGH$QQ F *HQHUDOO\ WR EH FRPSHQVDEOH DQ LQMXU\ PXVW DULVH SULPDULO\ RXW RI DQG LQ WKH FRXUVH DQG VFRSH RI HPSOR\PHQW DQG PXVW FDXVH GHDWK GLVDEOHPHQW RU WKH QHHG IRU PHGLFDO WUHDWPHQW RI WKH HPSOR\HH 7HQQ &RGH $QQ $Q ³DFFLGHQWDOLQMXU\´LVRQHWKDWLV³FDXVHGE\DVSHFLILFLQFLGHQWRUVHWRILQFLGHQWV´DQGLV ³LGHQWLILDEOH E\ WLPH DQG SODFH RI RFFXUUHQFH´ 7HQQ &RGH $QQ $ )XUWKHUPRUH ³>D@Q LQMXU\ µDULVHV SULPDULO\ RXW RI DQG LQ WKH FRXUVH DQG VFRSH RI HPSOR\PHQW¶ RQO\ LI LW KDV EHHQ VKRZQ E\ D SUHSRQGHUDQFH RI WKH HYLGHQFH WKDW WKH HPSOR\PHQWFRQWULEXWHGPRUHWKDQILIW\SHUFHQW LQFDXVLQJWKHLQMXU\FRQVLGHULQJ DOOFDXVHV´7HQQ&RGH$QQ % $Q³DFFLGHQWDO´LQMXU\JHQHUDOO\GRHV QRW LQFOXGH WKH DJJUDYDWLRQ RI D SUHH[LVWLQJ FRQGLWLRQ ³XQOHVV LW FDQ EH VKRZQ WR D UHDVRQDEOHGHJUHHRIPHGLFDOFHUWDLQW\WKDWWKHDJJUDYDWLRQDURVHSULPDULO\RXWRIDQGLQ WKHFRXUVHDQGVFRSHRIHPSOR\PHQW´7HQQ&RGH$QQ $ $Q HPSOR\HH KDV WKH EXUGHQ RI SURYLQJ WR D UHDVRQDEOH GHJUHH RI PHGLFDO FHUWDLQW\ WKDW WKH ZRUN DFFLGHQW ³FRQWULEXWHG PRUH WKDQ ILIW\ SHUFHQW LQ FDXVLQJWKHQHHGIRUPHGLFDOWUHDWPHQWFRQVLGHULQJDOOFDXVHV´7HQQ&RGH$QQ & ,Q DGGLWLRQ WKH SKUDVH ³VKRZQ WR D UHDVRQDEOH GHJUHH RI PHGLFDO FHUWDLQW\´LVGHILQHGWRUHTXLUHWKH³RSLQLRQRIWKHSK\VLFLDQ´WREH³PRUHOLNHO\WKDQQRW FRQVLGHULQJDOOFDXVHV´7HQQ&RGH$QQ ' see alsoMiller v. Lowe’s Home Centers, Inc. 1R 71 :UN &RPS $SS %G /(;,6 DW 7HQQ :RUNHUV¶ &RPS $SS %G 2FW ³>$@Q HPSOR\HH FDQ VDWLVI\ WKH EXUGHQRISURYLQJDFRPSHQVDEOHDJJUDYDWLRQLI WKHUHLVH[SHUWPHGLFDOSURRIWKDWWKH ZRUN DFFLGHQW µFRQWULEXWHG PRUH WKDQ ILIW\ SHUFHQW ¶ LQ FDXVLQJ WKH DJJUDYDWLRQ DQG WKH ZRUN DFFLGHQW ZDV WKH FDXVH RI WKH DJJUDYDWLRQ µPRUH OLNHO\ WKDQ QRW FRQVLGHULQJDOOFDXVHV¶´ ,IDQHPSOR\HHVDWLVILHVWKHEXUGHQRISURYLQJDFRPSHQVDEOH DJJUDYDWLRQ WKH HPSOR\HU PXVW SURYLGH PHGLFDO WUHDWPHQW ³PDGH UHDVRQDEO\ QHFHVVDU\ E\>WKH@DFFLGHQW´7HQQ&RGH$QQ D $ ,Q WKH SUHVHQW FDVH (PSOR\HH LQWURGXFHG QXPHURXV PHGLFDO UHFRUGV DW WKH H[SHGLWHG KHDULQJ +RZHYHU WKH RQO\ PHGLFDO HYLGHQFH DGGUHVVLQJ FDXVDWLRQ ZDV WKH )RUP&VLJQHGE\'U+LOOHVKHLP,QLWLDOO\ZHQRWHWKDWWKHRSLQLRQVH[SUHVVHGLQWKH )RUP&ZHUHOLPLWHGWR(PSOR\HH¶VFODLPHGOHIWNQHHLQMXU\1HLWKHUWKH)RUP& QRU DQ\ RWKHU PHGLFDO UHSRUW LQ WKH UHFRUG LQFOXGHV D PHGLFDO RSLQLRQ DGGUHVVLQJ WKH FDXVHRI(PSOR\HH¶VULJKWDQNOHFRQGLWLRQRUKLVULJKWVKRXOGHUFRQGLWLRQ$OWKRXJK'U +LOOHVKHLPLQGLFDWHG³WKHHPSOR\PHQWDFWLYLW\>ZDV@SULPDULO\UHVSRQVLEOHIRUWKHSUHVHQW QHHGIRUWUHDWPHQWRIWKHSUHH[LVWLQJ>OHIWNQHH@GLVHDVH´KHGHVFULEHG(PSOR\HH¶VOHIW NQHHFRQGLWLRQDV³GHJHQHUDWLYHRVWHRDUWKULWLV´DQGKHLQGLFDWHGWKDW(PSOR\HH¶VLQMXU\ GLGQRWLQYROYHWKHDJJUDYDWLRQRIDSUHH[LVWLQJFRQGLWLRQ 0RUHRYHUZHDJUHHZLWKWKHWULDOFRXUWWKDWWKH)RUP&GLGQRWFRPSO\ZLWK 7HQQHVVHH&RGH$QQRWDWHGVHFWLRQ F ZKLFKUHTXLUHV³>D@Q\PHGLFDOUHSRUW VRXJKWWREHLQWURGXFHGLQWRHYLGHQFH>WR@LQFOXGHZLWKLQWKHERG\RIWKHUHSRUWRUDVDQ DWWDFKPHQW D VWDWHPHQW RI TXDOLILFDWLRQV RI WKH SHUVRQ PDNLQJ WKH UHSRUW´ 7HQQ &RGH $QQ F 1RQHWKHOHVVWKHWULDOFRXUWDGPLWWHGWKH)RUP&LQWRHYLGHQFH DWWKHH[SHGLWHGKHDULQJRYHU(PSOR\HU¶VREMHFWLRQEDVHGXSRQ7HQQ&RPS5 5HJV ZKLFK SURYLGHV WKDW ³OHWWHUV RU ZULWWHQ VWDWHPHQWV DGGUHVVLQJ PHGLFDOFDXVDWLRQWKDWKDYHEHHQVLJQHGE\DGRFWRUVKDOOEHDGPLVVLEOHHYLGHQFHDWDQ H[SHGLWHG KHDULQJ´ +RZHYHU KDYLQJ DGPLWWHG WKH )RUP & LQWR HYLGHQFH WKH WULDO FRXUW VWDWHG LQ LWV RUGHU GHQ\LQJ EHQHILWV WKDW LW ³JLYHV OLWWOH ZHLJKW WR 'U +LOOHVKHLP¶V RSLQLRQV´ DQG ³UHMHFWV 'U +LOOHVKHLP¶V SURIIHUHG RSLQLRQV DW WKLV WLPH´ *HQHUDOO\ TXHVWLRQVUHJDUGLQJWKHDGPLVVLELOLW\TXDOLILFDWLRQVUHOHYDQF\DQGFRPSHWHQF\RIH[SHUW 7KHUHJXODWLRQDGGLWLRQDOO\VWDWHVWKDW³>W@KLVUXOHVKDOOKDYHQRHIIHFWRQWKHDGPLVVLELOLW\RIIRUP& ZKHQSURSHUO\SUHVHQWHGDWDQ\SURFHHGLQJ´7HQQ5 5HJV %HFDXVHZHFRQFOXGH WKHSUHSRQGHUDQFHRIWKHHYLGHQFHVXSSRUWVWKHWULDOFRXUW¶VGHWHUPLQDWLRQWKDW(PSOR\HH¶VPHGLFDOSURRI ZDV LQVXIILFLHQW WR GHWHUPLQH (PSOR\HH ZRXOG OLNHO\SUHYDLO DW WULDO ZH H[SUHVV QR RSLQLRQ DGGUHVVLQJ ZKHWKHUWKHWULDOFRXUWHUUHGLQDGPLWWLQJWKH)RUP&LQWRHYLGHQFH WHVWLPRQ\DUH OHIW WR WKHGLVFUHWLRQRI WKH WULDO FRXUW DQG D WULDO FRXUW¶V UXOLQJ LQ WKLV UHJDUG PD\ RQO\ EH RYHUWXUQHG LI WKHGLVFUHWLRQLV DUELWUDULO\H[HUFLVHG RU DEXVHG McDaniel v. CSX Transp., Inc. 6:G 7HQQ &RQVLGHULQJDOO RIWKHHYLGHQFHSUHVHQWHGDWWKHH[SHGLWHGKHDULQJZHFDQQRWVD\WKHWULDOFRXUWDEXVHG LWVGLVFUHWLRQLQUHMHFWLQJ'U+LOOHVKHLP¶VFDXVDWLRQRSLQLRQ &RQFOXVLRQ 7KHWULDOFRXUWFRQFOXGHG(PSOR\HH¶VHYLGHQFHZDVLQVXIILFLHQWWRGHPRQVWUDWHKH ZRXOG OLNHO\ SUHYDLO DW WULDO LQ HVWDEOLVKLQJ WKH FRPSHQVDELOLW\ RI KLV FODLP +DYLQJ FDUHIXOO\ FRQVLGHUHG WKH HYLGHQFH SUHVHQWHG ZH KROG WKDW WKH HYLGHQFH GRHV QRW SUHSRQGHUDWH DJDLQVW WKH WULDO FRXUW¶V GHWHUPLQDWLRQ $FFRUGLQJO\ WKH WULDO FRXUW¶V GHFLVLRQLVDIILUPHGDQGWKHFDVHLVUHPDQGHG 7(11(66((%85($82):25.(56¶&203(16$7,21 :25.(56¶&203(16$7,21$33($/6%2$5' .HLWK4XDUOHV 'RFNHW1R Y 6WDWH)LOH1R )HG([*URXQG $SSHDOIURPWKH&RXUWRI:RUNHUV¶ &RPSHQVDWLRQ&ODLPV 'HDQD&6H\PRXU-XGJH &(57,),&$7(2)6(59,&( , KHUHE\ FHUWLI\ WKDW D WUXH DQG FRUUHFW FRS\ RI WKH $SSHDOV %RDUG¶V GHFLVLRQ LQ WKH UHIHUHQFHGFDVHZDVVHQWWRWKHIROORZLQJUHFLSLHQWVE\WKHIROORZLQJPHWKRGVRIVHUYLFH RQWKLVWKHUGGD\RI$XJXVW 1DPH &HUWLILHG )LUVW &ODVV 9LD )D[ 9LD 6HQWWR 0DLO 0DLO )D[ 1XPEHU (PDLO .HLWK4XDUOHV ; ; 1/DXGHUGDOH 0HPSKLV71 NFT#QHW]HURQHW %\URQ/LQGEHUJ ; EOLQGEHUJ#KDOOERRWKVPLWKFRP WWKRPSVRQ#KDOOERRWKVPLWKFRP 'HDQD&6H\PRXU-XGJH ; 9LD(OHFWURQLF0DLO .HQQHWK06ZLW]HU&KLHI-XGJH ; 9LD(OHFWURQLF0DLO 3HQQ\6KUXP&OHUN&RXUWRI ; 3HQQ\3DWWHUVRQ6KUXP#WQJRY :RUNHUV¶&RPSHQVDWLRQ&ODLPV -HDQHWWH%DLUG -HDQHWWH%DLUG 'HSXW\&OHUN:RUNHUV¶&RPSHQVDWLRQ$SSHDOV%RDUG )UHQFK/DQGLQJ'U6WH% 1DVKYLOOH71 7HOHSKRQH (OHFWURQLF0DLO :&$SSHDOV&OHUN#WQJRY