03a0081p.06

01-3019Court of Appeals for the Sixth Circuit19 de mar. de 2003

Abrir fonte

Texto completo

7KH +RQRUDEOH 'DYLG 0 /DZVRQ 8QLWHG 6WDWHV 'LVWULFW -XGJH IRU
WKH (DVWHUQ 'LVWULFW RI 0LFKLJDQ VLWWLQJ E\ GHVLJQDWLRQ

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21
3XUVXDQW WR 6L[WK &LUFXLW 5XOH
(/(&7521,& &,7$7,21 )(' $SS 3 WK &LU
)LOH 1DPH DS
81,7('67$7(6&28572)$33($/6
)257+(6,;7+&,5&8,7
BBBBBBBBBBBBBBBBB
(,6(10$11 &25325$7,21
3ODLQWLII$SSHOOHH
Y
6+((7 0(7$/ :25.(56
,17(51$7,21$/ $662&,$7,21
/2&$/ 12 $)/&,2
'HIHQGDQW$SSHOODQW
;!

1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH6RXWKHUQ'LVWULFWRI2KLRDW'D\WRQ
1R²6XVDQ-'ORWW'LVWULFW-XGJH
$UJXHG$SULO
'HFLGHGDQG)LOHG0DUFK
%HIRUH.583$16.<DQG%2**6&LUFXLW-XGJHV
/$:621'LVWULFW-XGJH

-- 1 of 10 --

(LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q
1R
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(' 0LFKDHO 7 $QGHUVRQ '$9,6 &2:(//
%2:(6DQ)UDQFLVFR&DOLIRUQLDIRU$SSHOODQW$ODQ6
.LQJ *$5'1(5 &$5721 '28*/$6 &KLFDJR
,OOLQRLVIRU$SSHOOHH21%5,()0LFKDHO7$QGHUVRQ
5LFKDUG*0F&UDFNHQ'$9,6&2:(// %2:(6DQ
)UDQFLVFR&DOLIRUQLD-HUU\$6SLFHU61<'(55$.$<
63,&(5 'D\WRQ 2KLR IRU $SSHOODQW $ODQ 6 .LQJ
*$5'1(5 &$5721 '28*/$6 &KLFDJR ,OOLQRLV
-DPHV $ 0LOOV '(1/,1*(5 526(17+$/
*5((1%(5*&2&LQFLQQDWL2KLRIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
'$9,' 0 /$:621 'LVWULFW -XGJH ,Q DQ
DUELWUDWLRQ SDQHO DZDUGHG WKH GHIHQGDQW XQLRQ ORFDO
PLOOLRQ DJDLQVW WKH SODLQWLII WKH JHQHUDO FRQWUDFWRU IRU D
*HQHUDO 0RWRUV SODQW UHQRYDWLRQ SURMHFW EHFDXVH WKH
FRQWUDFWRUYLRODWHGWKHWHUPVRID3URMHFW/DERU$JUHHPHQW
WKDW *HQHUDO 0RWRUV PDGH ZLWK VHYHQWHHQ XQLRQV RQ WKH
SURMHFWOLPLWLQJGHDOLQJVWRFRQWUDFWRUVZKRSD\WKHLUZRUNHUV
ZDJHV HTXDO WR XQLRQ VFDOH ,Q WKH HQVXLQJ OLWLJDWLRQ
FKDOOHQJLQJ DQG VHHNLQJ FRQILUPDWLRQ RI WKH DZDUG WKH
GLVWULFWFRXUWYDFDWHGWKHDUELWUDWLRQDZDUGEHFDXVHLWIRXQG
WKDW LW YLRODWHG SXEOLF SROLF\ E\ H[WHQGLQJ D FROOHFWLYH
EDUJDLQLQJ DJUHHPHQW WR ZRUNHUV ZKR KDG QRW FKRVHQ WKH
XQLRQ DV WKHLU EDUJDLQLQJ UHSUHVHQWDWLYH LQ YLRODWLRQ RI
6HFWLRQV I DQG D RIWKH1DWLRQDO/DERU5HODWLRQV$FW
2XUUHYLHZGLVFORVHVQRVXFKSROLF\YLRODWLRQZHILQGWKDW
WKHHIIHFWRIWKHDUELWUDWLRQDZDUGLVWRHQIRUFHWKHWHUPVRI
WKH3URMHFW/DERU$JUHHPHQWZKLFKUHTXLUHGFRQWUDFWRUVDQG
VXEFRQWUDFWRUVZKRSDUWLFLSDWHGLQFRQVWUXFWLRQDFWLYLWLHVRQ
WKH SURMHFW WR DELGH E\ XQLRQ VWDQGDUGV IRU DOO ZRUNHUV

-- 2 of 10 --

(LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q
1R
&
)LQDOO\ (LVHQPDQQ FRQWHQGV WKDW WKH PLOOLRQ
DUELWUDWLRQDZDUGGLGQRW³GHULYHLWVHVVHQFH´IURPWKHODERU
DJUHHPHQWVPDLQO\EHFDXVHWKHUHZDVLQVXIILFLHQWHYLGHQFH
EHIRUH WKH /-$% IURP ZKLFK WR FDOFXODWH GDPDJHV
0RUHRYHU(LVHQPDQQLQVLVWVWKDWVLQFHDJUHDWGHDORIWKHRII
VLWHZRUNZDVSHUIRUPHGDWLWVRZQSODQWWKHZRUNZDVQRW
DFWXDOO\³VXEFRQWUDFWHG´VRDVWRYLRODWHWKH$JUHHPHQW
%HFDXVHWKHGLVWULFWFRXUWIRXQGWKDWWKHDUELWUDWLRQDZDUG
YLRODWHGIHGHUDOODERUSROLF\LWQHYHUUHDFKHGWKLVLVVXH:H
EHOLHYH WKDW LW LV DQ LVVXH ZKLFK VKRXOG EH GHFLGHG E\ WKH
GLVWULFW FRXUW LQ WKH ILUVW LQVWDQFH XQGHU WKH DSSURSULDWH
VWDQGDUGV RI UHYLHZ RI DUELWUDO GHFLVLRQV GLVFXVVHG DERYH
6HH3HUH]Y$HWQD/LIH,QV&R)G WK&LU

,,,
%HFDXVHZHILQGWKDWWKHDUELWUDWLRQDZDUGLQWKLVFDVHGRHV
QRWYLRODWHDQ\RIWKHDSSOLFDEOHSURYLVLRQVRIWKH1DWLRQDO
/DERU 5HODWLRQV $FW ZH FRQFOXGH WKDW WKH GLVWULFW FRXUW¶V
FRQWUDU\FRQFOXVLRQLVHUURQHRXV:HWKHUHIRUH5(9(56(
WKHMXGJPHQWRIWKHGLVWULFWFRXUWDQG5(0$1'WKLVFDVHIRU
IXUWKHUSURFHHGLQJVFRQVLVWHQWZLWKWKLVRSLQLRQ
1R (LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q

FRQQHFWHGWRWKHSURMHFWERWKRQDQGRIIWKHMREVLWH:H
WKHUHIRUHUHYHUVHWKHMXGJPHQWRIWKHGLVWULFWFRXUW
,
7KHGLVSXWHLQWKLVFDVHDULVHVIURPWKHHQIRUFHPHQWRID
SURYLVLRQRIDORFDOFROOHFWLYHEDUJDLQLQJDJUHHPHQWEHWZHHQ
WKHGHIHQGDQW6KHHW0HWDO:RUNHUV,QWHUQDWLRQDO$VVRFLDWLRQ
/RFDO $)/&,2 ³/RFDO ´ DQG WKH 6KHHW 0HWDO
5RRILQJ&RQWUDFWRUV¶$VVRFLDWLRQRIWKH0LDPL9DOOH\2KLR
³/RFDO $JUHHPHQW´ DJDLQVW WKH SODLQWLII LQ WKLV FDVH
(LVHQPDQQ &RUSRUDWLRQ ZKR QHLWKHU VLJQHG WKH ORFDO
DJUHHPHQW QRU ZDV D PHPEHU RI WKH $VVRFLDWLRQ 7KH
SURYLVLRQREOLJDWHGFRQWUDFWRUVZKRRXWVRXUFHG ZRUNRQD
SURMHFW VXEMHFW WR WKH ORFDO DJUHHPHQW WR GHDO RQO\ ZLWK
³IDEULFDWRUV ZKR SD\ WKHLU HPSOR\HHV HQJDJHG LQ VXFK
IDEULFDWLRQQRWOHVVWKDQWKHSUHYDLOLQJZDJHIRUFRPSDUDEOH
VKHHWPHWDOIDEULFDWLRQDVHVWDEOLVKHGXQGHUWKHSURYLVLRQV
RI´WKH/RFDO$JUHHPHQW/RFDO$JUHHPHQWDUW,,†
,Q *HQHUDO 0RWRUV &RUSRUDWLRQ HPEDUNHG XSRQ D
SURMHFW WR UHYDPS LWV SDLQW IDFLOLWLHV DW LWV 0RUDLQH 2KLR
DVVHPEO\ SODQW ZKLFK PDQXIDFWXUHV VSRUW XWLOLW\ YHKLFOHV
%HIRUHZRUNRQWKHSURMHFWEHJDQ*0HQWHUHGLQWRD3URMHFW
/DERU $JUHHPHQW ZLWK VHYHQWHHQ ORFDO XQLRQV ZKR ZHUH
PHPEHUV RI WKH 'D\WRQ %XLOGLQJ &RQVWUXFWLRQ 7UDGHV
&RXQVHOLQFOXGLQJ6KHHW0HWDO:RUNHUV/RFDO,QWKH
3URMHFW/DERU$JUHHPHQWWKHXQLRQVSURPLVHGWRUHIUDLQIURP
DOOMREDFWLRQVVXFKDVVWULNHVVORZGRZQVDQGRWKHUZRUN
VWRSSDJHVDQGIXUWKHUWRUHIXVHWRKRQRUDQ\SLFNHWOLQHVRQ
WKH MRE VLWH ,Q UHWXUQ *0 DJUHHG WR ³FRQWUDFW ZLWK
FRQWUDFWRUVDQGVXEFRQWUDFWRUVZKRZLOOHPSOR\LQGLYLGXDOV
WRSHUIRUPFRQVWUXFWLRQZRUNZLWKLQWKHWUDGHZRUNXQGHUWKH
MXULVGLFWLRQRIWKH8QLRQ´3URMHFW/DERU$JUHHPHQWDUW,,
*0DOVRDJUHHGWKDWWKH³WHUPVDQGFRQGLWLRQVDQGUDWHVRI
SD\RIWKHDSSOLFDEOHORFDODQGQDWLRQDOUHFRJQL]HG&ROOHFWLYH
%DUJDLQLQJ$JUHHPHQWVVKDOODSSO\ZKHUHWKHUHLVQRFRQIOLFW
ZLWKWKLV$JUHHPHQW´,GDUW,/RFDO¶V/RFDO$JUHHPHQW
LQFOXGLQJ $UWLFOH ,, 6HFWLRQ TXRWHG DERYH ZDV WKXV

-- 3 of 10 --

(LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q
1R
LQFRUSRUDWHGLQWRWKH3URMHFW/DERU$JUHHPHQW)LQDOO\WKH
VLJQDWRULHV DJUHHG WR VXEPLW WKHLU GLVSXWHV WR ELQGLQJ
DUELWUDWLRQ,QWKHFDVHRIGLVSXWHVLQYROYLQJWKHVKHHWPHWDO
ZRUNHUV DUELWUDWLRQ ZDV WR EH FRQGXFWHG E\ D /RFDO -RLQW
$GMXVWPHQW %RDUG /-$% FRPSRVHG RI HTXDO QXPEHUV RI
UHSUHVHQWDWLYHVRIWKH8QLRQDQGWKH(PSOR\HUV¶$VVRFLDWLRQ
(LVHQPDQQ ZKLFK HQJLQHHUV DQG LQVWDOOV SDLQW ILQLVKLQJ
V\VWHPVEHFDPHWKHVXSHUYLVLQJFRQWUDFWRURQWKHSURMHFWRQ
0D\,WUHFHLYHGDSXUFKDVHRUGHUIURP*0GDWHG
0DUFK ZKLFK LQFRUSRUDWHG D PHPRUDQGXP GDWHG
0DUFK 7KDW PHPRUDQGXP LQ WXUQ VWDWHG WKDW
³>W@KHORFDOODERUDJUHHPHQW´ZDVDPRQJWKHLWHPVWKDW³VKDOO
EH FRQVLGHUHG SDUW RI WKH FRQWUDFW´ -$ DW 0D[
+HUKRO](LVHQPDQQ¶VSUHVLGHQWDFNQRZOHGJHGLQDQDIILGDYLW
WKDW (LVHQPDQQ UHFHLYHG D FRS\ RI WKH 3URMHFW /DERU
$JUHHPHQWEHIRUHFRPPHQFLQJZRUNRQWKHSURMHFW
)URPWKHEHJLQQLQJRILWVRSHUDWLRQVDWWKH0RUDLQHVLWH
ZKLFKVWDUWHGRQ-XQH(LVHQPDQQKDGIHZRILWVRZQ
HPSOR\HHV ZRUNLQJ RQ WKH SURMHFW FKRRVLQJ LQVWHDG WR
VXEFRQWUDFW DOO WKH ZRUN GRQH DW WKH MRE VLWH WR XQLRQL]HG
VXEFRQWUDFWRUV(LVHQPDQQ¶VRZQHPSOR\HHVDWWKHMREVLWH
VHUYHGLQPDQDJHULDODQGVXSHUYLVRU\FDSDFLWLHV/RFDO
PHPEHUVSHUIRUPHGWKHRQVLWHVKHHWPHWDOZRUN
+RZHYHUDVLJQLILFDQWSRUWLRQRIWKHIDEULFDWLRQZRUNZDV
GRQHRIIVLWH(LVHQPDQQIDEULFDWHGLQGXVWULDORYHQPRGXOHV
DQGRYHQKHDWHUER[HVDWLWV&U\VWDO/DNH,OOLQRLVIDFLOLW\DQG
FRQWUDFWHGZLWK,0),QFD7HQQHVVHHEDVHGFRPSDQ\WR
IDEULFDWHSUHWUHDWPHQWDQGULQVHKRXVLQJ PRGXOHV$OORI
WKHVHXQLWVZHUHWREHLQVWDOOHGDWWKH0RUDLQHMREVLWH1RQH
RI WKH ZRUNHUV LQYROYHG LQ WKLV RIIVLWH ZRUN ZHUH XQLRQ
PHPEHUV 0RUHRYHU ,0) HPSOR\HHV HDUQ DQ KRXU RQ
DYHUDJHZKHUHDVWKHEDVHZDJHIRUD/RFDOVKHHWPHWDO
ZRUNHULV
:KHQ /RFDO UHSUHVHQWDWLYHV OHDUQHG RI (LVHQPDQQ¶V
RXWVRXUFLQJWKHVKHHWPHWDOIDEULFDWLRQZRUNWKH\FRPSODLQHG
1R (LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q

HPSKDVL]HG WKH LPSRUWDQW JRDO RI PDLQWDLQLQJ LQGXVWULDO
SHDFHWKHWHFKQLFDOUXOHVRIFRPPHUFLDOFRQWUDFWODZQHHGQRW
EHVWULFWO\DSSOLHGWRODERUFRQWUDFWV´,G
7KHHYLGHQFHEHIRUHWKHGLVWULFWFRXUWTXLWHFRPSHOOLQJO\
SRLQWVWRWKHFRQFOXVLRQWKDW(LVHQPDQQLQWHQGHGWREHERXQG
E\WKH3URMHFW/DERU$JUHHPHQWZKLFK*0KDGQHJRWLDWHG
ZLWKWKHVHYHUDOXQLRQVLJQDWRULHVLQFOXGLQJ/RFDO*0¶V
SXUFKDVHRUGHUWR(LVHQPDQQVWDWHGWKDWWKH/DERU$JUHHPHQW
ZDV FRQVLGHUHG SDUW RI WKH FRQWUDFW DQG (LVHQPDQQ¶V
SUHVLGHQWDFNQRZOHGJHGWKDWKHUHFHLYHGWKH3URMHFW/DERU
$JUHHPHQW EHIRUH (LVHQPDQQ FRPPHQFHG ZRUN RQ WKH
SURMHFW%HFDXVHWKH$JUHHPHQWFRQWDLQHGVLJQLILFDQWWHUPV
HQVXULQJLQGXVWULDOSHDFHWKURXJKRXWWKHSURMHFWLWLVXQOLNHO\
WKDW*0ZRXOGKDYHDZDUGHGWKHFRQWUDFWWR(LVHQPDQQLIWKH
JHQHUDOFRQWUDFWRUKDGJLYHQDQ\LQGLFDWLRQWKDWLWLQWHQGHGWR
UHSXGLDWH WKH 3URMHFW /DERU $JUHHPHQW $V JHQHUDO
FRQWUDFWRU(LVHQPDQQEHQHILWWHGIURPWKHQRVWULNHQRZRUN
VORZGRZQSURYLVLRQVRIWKH$JUHHPHQWDQGLWDGPLWVWKDWLW
KRQRUHGWKH³VSLULW´RIWKHDJUHHPHQW³VRDVQRWWRFDXVHDQ\
GLVUXSWLRQ LQ RXU UHODWLRQVKLS ZLWK *0´ $II RI 0D[
+HUKRO]ˆ,QGHHGKDGLWDFWHGRWKHUZLVH (LVHQPDQQ
ZRXOGKDYHEHHQLQEUHDFKRILWVDJUHHPHQWZLWK*0
1RU DUH WKH DUELWUDWLRQ SURYLVLRQV LQ WKH 3URMHFW /DERU
$JUHHPHQWDQ\OHVVELQGLQJEHFDXVHWKHVXEMHFWPDWWHURIWKH
GLVSXWH LQFOXGHG WKH DSSOLFDWLRQ RI XQLRQ VWDQGDUGV LH
VWDQGDUGV IRU ZDJHV DQG EHQHILWV WR RIIVLWH ZRUNHUV $V
QRWHG DERYH WKH SURYLVLRQV RI WKH ODERU DJUHHPHQWV WKDW
IRUPHGWKHIRXQGDWLRQRIWKHGLVSXWHZHUHLQWHQGHGWRFUHDWH
MREVHFXULW\IRURQVLWHZRUNHUV7KHVXEMHFWPDWWHURIWKH
JULHYDQFHZDV(LVHQPDQQ¶VRQVLWHFRQGXFWEULQJLQJWRWKH
SURMHFWVLWHVKHHWPHWDOSURGXFWVWKDWZHUHSUHIDEULFDWHGE\
ZRUNHUVZKRZHUHQRWSDLGXQLRQVFDOHZDJHV
7KHGLVWULFWFRXUW¶VDVVXPSWLRQWKDW(LVHQPDQQZDVERXQG
E\WKHDUELWUDWLRQSURYLVLRQVRIWKH3URMHFW/DERU$JUHHPHQW
LV QRW XQGHUPLQHG E\ D GLVSXWHG LVVXH RI PDWHULDO IDFW
DFFRUGLQJWRRXUUHYLHZRIWKHORZHUFRXUWUHFRUG

-- 4 of 10 --

(LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q
1R
FRYHUHGE\WKHDJUHHPHQWQRWMXVWHPSOR\HHVRIWKHJHQHUDO
FRQWUDFWRU 6HH %HUPXGD &RQWDLQHU /LQH /WG Y ,QW¶O
/RQJVKRUHPHQ¶V$VV¶Q)G G&LU
7KHVKHHWPHWDOZRUNHUVZLWKLQ/RFDO¶VMXULVGLFWLRQRQWKH
*00RUDLQHSURMHFWZHUHHQWLWOHGWRWKHSURWHFWLRQZKLFKWKH
3URMHFW /DERU $JUHHPHQW SURYLGHV LQFOXGLQJ WKH ZRUN
SUHVHUYDWLRQ SURYLVLRQV GHVSLWH WKH IDFW WKDW WKH\ PD\ QRW
KDYHEHHQGLUHFWO\HPSOR\HGE\(LVHQPDQQ:HILQGWKDWWKH
GRPLQDQWPRWLYHDQGWKHSULPDU\HIIHFWRI$UWLFOH,,6HFWLRQ
ZDV WKH SUHVHUYDWLRQ RI RQVLWH ZRUN IRU VKHHW PHWDO
ZRUNHUVRQWKH*00RUDLQHSURMHFW7KDWVHFWLRQGRHVQRW
FRQVWLWXWHD³KRWFDUJR´DJUHHPHQW
:H KROG WKHUHIRUH WKDW WKH DUELWUDWLRQ DZDUG GLG QRW
YLRODWH6HFWLRQ D RU H RIWKH1DWLRQDO/DERU5HODWLRQV
$FW QRU GLG LW FRQWUDYHQH DQ\ ZHOOGHILQHG DQG GRPLQDQW
ODERUSROLF\7KHORZHUFRXUWRXJKWQRWWRKDYHYDFDWHGWKH
DUELWUDWLRQDZDUGRQWKHVHJURXQGV
%
(LVHQPDQQGLGQRWSDUWLFLSDWHLQWKHDUELWUDWLRQSURFHHGLQJV
EHFDXVHLWFRQWHQGHGWKDWLWQHYHUDJUHHGWRVXEPLWWKHGLVSXWH
WRDUELWUDWLRQ,WQRZPDLQWDLQVWKDWLWZDVQRWERXQGE\WKH
DUELWUDWLRQ SURYLVLRQV LQFRUSRUDWHG LQWR WKH 3URMHFW /DERU
$JUHHPHQWSDUWLFXODUO\ZLWKUHVSHFWWRGLVSXWHVUHODWLQJWR
RIIVLWH ZRUN EHFDXVH LW QHYHU PDQLIHVWHG DQ LQWHQW WR EH
ERXQG E\ WKH $JUHHPHQW 7KH GLVWULFW FRXUW GLG QRW GHDO
H[WHQVLYHO\ ZLWK WKLV DUJXPHQW EXW UDWKHU ³DVVXPHG´ WKDW
³(LVHQPDQQ ZDV D SDUW\ WR DQG WKHUHIRUH ERXQG E\ WKH
DJUHHPHQWV´-$DW
³>7@KHH[LVWHQFHRIDODERUFRQWUDFWμGRHVQRWGHSHQGRQLWV
UHGXFWLRQLQZULWLQJ¶LWFDQEHVKRZQE\FRQGXFWPDQLIHVWLQJ
DQLQWHQWLRQWRDELGHE\DJUHHGXSRQWHUPV´,QW¶O%KGRI
%RLOHUPDNHUV/RFDOY7UDQVXH :LOOLDPV&RUS
)G WK&LU TXRWLQJ%REELH%URRNV,QF
Y ,QW¶O /DGLHV¶ *DUPHQW :RUNHUV¶ 8QLRQ )G
WK &LU ³%HFDXVH IHGHUDO ODERU SROLF\ KDV
1R (LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q

WR (LVHQPDQQ DUJXLQJ WKDW WKH 3URMHFW /DERU $JUHHPHQW
UHTXLUHG WKDW WKH RIIVLWH ZRUN EH SHUIRUPHG E\ XQLRQL]HG
ZRUNHUV(LVHQPDQQFRQWHQGVWKDWDURXQGWKLVWLPHDORFDO
EUDQFK RI WKH 6KHHW 0HWDO :RUNHUV 8QLRQ KDQGHG RXW
UHFUXLWPHQWOLWHUDWXUHDWLWV&U\VWDO/DNHIDFLOLW\LQDQDWWHPSW
WRRUJDQL]HLWVZRUNHUV)XUWKHUPRUH(LVHQPDQQDOOHJHVWKDW
DW QR WLPH SULRU WR DUELWUDWLRQ GLG /RFDO ¶V FRPSODLQWV
LQFOXGH WKH LVVXH RI RIIVLWH ZRUNHUV QRW EHLQJ SDLG XQLRQ
VFDOH ZDJHV1RQHWKHOHVVZKHQ(LVHQPDQQDQG/RFDO
ZHUH XQDEOH WR UHVROYH WKHLU GLIIHUHQFHV WKH 8QLRQ ILOHG D
JULHYDQFH RQ )HEUXDU\ EHIRUH WKH /RFDO -RLQW
$GMXVWPHQW%RDUGFRQWHQGLQJWKDW(LVHQPDQQKDGIDLOHGWR
DELGHE\$UWLFOH,,6HFWLRQRIWKH/RFDO$JUHHPHQWLHWR
HQVXUHWKDWDOORIWKHZRUNZDVGRQHE\LQGLYLGXDOVUHFHLYLQJ
WKHSUHYDLOLQJZDJH
(LVHQPDQQ UHIXVHG WR SDUWLFLSDWH LQ WKH DUELWUDWLRQ
SURFHHGLQJV PDLQWDLQLQJ LQVWHDG LQ D OHWWHU E\ LWV FRXQVHO
GDWHG-XO\WKDWWKHERDUGODFNHGMXULVGLFWLRQRYHUWKH
PDWWHUDV(LVHQPDQQZDVQRWDVLJQDWRU\WRWKHYDULRXVODERU
DJUHHPHQWV ZKLFK UHTXLUHG DUELWUDWLRQ 7KH KHDULQJ
SURFHHGHGRQ-XO\DIWHUDRQHGD\GHOD\ IURPWKH
VFKHGXOHGGDWHZLWKRQO\/RFDOSUHVHQWLQJHYLGHQFH2Q
-XO\WKH/-$%UXOHGLQ/RFDO¶VIDYRUILQGLQJ
WKDW
(LVHQPDQQ&RUSRUDWLRQYLRODWHG$UWLFOH,DQG,,RIWKH
3URMHFW$JUHHPHQWDQG$UWLFOH,6HFWLRQDQG$UWLFOH,,
6HFWLRQRIWKH/RFDO1R/DERU$JUHHPHQW7KH
GLVSXWHG ZRUN SHUIRUPHG DQG VXEFRQWUDFWHG E\
(LVHQPDQQZDVZLWKLQWKHVFRSHRIZRUNFRYHUHGE\WKH
EDUJDLQLQJ DJUHHPHQWV DQG ZDV ZRUN UHJXODUO\
FXVWRPDULO\ DQG WUDGLWLRQDOO\ SHUIRUPHG E\ EDUJDLQLQJ
XQLWHPSOR\HHVDQGHPSOR\HUVDQGQHLWKHU(LVHQPDQQ
QRULWVVXEFRQWUDFWRU,0)SDLGWKHSUHYDLOLQJZDJHIRU
WKHSHUIRUPDQFHRIVXFKZRUN
-$ DW 7KH /-$% DVVHVVHG GDPDJHV DW PLOOLRQ
SUHVXPDEO\EDVHGRQHYLGHQFHRIDSXUSRUWHGSUHDUELWUDWLRQ

-- 5 of 10 --

(LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q
1R
FRQYHUVDWLRQEHWZHHQ+HUKRO]DQGXQLRQUHSUHVHQWDWLYHVLQ
ZKLFK+HUKRO]DOOHJHGO\VDLGWKDWWKLVZDVWKHDPRXQWRIRII
VLWH ZRUN LQYROYHG LQ WKH SURMHFW +HUKRO] GHQLHG WKDW KH
PDGHWKHVWDWHPHQW
2Q$XJXVW(LVHQPDQQDSSHDOHGWKHDUELWUDWLRQ
DZDUGWRWKH1DWLRQDO-RLQW$GMXVWPHQW%RDUG(LVHQPDQQ
PDGHFOHDUKRZHYHUWKDWLWZDVQRWZDLYLQJLWVFODLPWKDWWKH
DUELWUDWLRQ SDQHO ODFNHG MXULVGLFWLRQ RYHU WKH PDWWHU 2Q
1RYHPEHUWKH1-$%DIILUPHG,WKHOG
$IWHUFDUHIXOFRQVLGHUDWLRQRIWKHHYLGHQFHSUHVHQWHGWKH
SDQHOLVWVDJUHHGWKDWWKH(LVHQPDQQ&RUSRUDWLRQZDVRU
VKRXOGKDYHEHHQDZDUHRIWKHSURMHFWDJUHHPHQWZKLFK
UHIHUHQFHG WKH /RFDO &ROOHFWLYH %DUJDLQLQJ
$JUHHPHQW7KHSDQHOLVWVILQGDYLRODWLRQKDVRFFXUUHG
DQGILQGQRUHDVRQWRPRGLI\WKH/-$%GHFLVLRQ:H
IXUWKHUILQGWKDWDOOGDPDJHV VKRXOGEH
SDLGWR/RFDO-RLQW(GXFDWLRQ 7UDLQLQJ)XQG
-$DW
8QVDWLVILHG ZLWK WKLV UHVXOW (LVHQPDQQ FRPPHQFHG DQ
DFWLRQLQWKHGLVWULFWFRXUWFKDOOHQJLQJWKHDUELWUDWLRQDZDUG
ZKLFK LW FRQWHQGHG VKRXOG EH YDFDWHG EHFDXVH ³ D WKH
DUELWUDWLRQ SDQHO ODFNHG MXULVGLFWLRQ RYHU (LVHQPDQQ
E HQIRUFHPHQW RI WKH DZDUG ZRXOG EH LOOHJDO XQGHU WKH
1DWLRQDO /DERU 5HODWLRQV $FW DQG WKH 6KHUPDQ $FW DQG
DJDLQVWSXEOLFSROLF\DQG F WKHDZDUGLVQRWVXSSRUWHGE\
WKHHYLGHQFHSUHVHQWHGDWWKHKHDULQJDQGGRHVQRWμGUDZLWV
HVVHQFH¶IURPWKHUHOHYDQWDJUHHPHQWV´&RPSOˆ/RFDO
FRXQWHUFODLPHGVHHNLQJFRQILUPDWLRQRIWKHDZDUG7KH
SDUWLHV¶FURVVPRWLRQVIRUVXPPDU\MXGJPHQWZHUHUHIHUUHG
WRDPDJLVWUDWHMXGJHZKRUHFRPPHQGHGWKDWWKHDZDUGEH
YDFDWHGEHFDXVHRIKLVEHOLHIWKDWWKHDUELWUDWLRQDZDUGZDV
UHQGHUHGLQ³PDQLIHVWGLVUHJDUGRIWKHODZ´7KHGLVWULFWFRXUW
DGRSWHG WKH UHFRPPHQGDWLRQ 7KH FRXUW UHDVRQHG WKDW
DOWKRXJKWKHUHODWLRQVKLSEHWZHHQ/RFDODQG(LVHQPDQQ
FRQVWLWXWHGDYDOLG³SUHKLUH´DJUHHPHQWXQGHU6HFWLRQ I RI
1R (LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q

RUJDQL]DWLRQDQGDQHPSOR\HULQWKHFRQVWUXFWLRQLQGXVWU\
UHODWLQJWRWKHFRQWUDFWLQJRUVXEFRQWUDFWLQJRIZRUNWR
EH GRQH DW WKH VLWH RI WKH FRQVWUXFWLRQ DOWHUDWLRQ
SDLQWLQJRUUHSDLURIDEXLOGLQJVWUXFWXUHRURWKHUZRUN
86&† H HPSKDVLVDGGHG
7KH 6XSUHPH &RXUW KDV KHOG WKDW DOWKRXJK WKH OLWHUDO
ODQJXDJHRIWKLVVHFWLRQGRHVQRWGLVWLQJXLVKEHWZHHQSULPDU\
DQGVHFRQGDU\HIIHFWVLQHQDFWLQJ6HFWLRQ H ³&RQJUHVV
LQWHQGHGWRUHDFKRQO\DJUHHPHQWVZLWKVHFRQGDU\REMHFWLYHV´
1/5%Y,QW¶O/RQJVKRUHPHQ¶V$VVRFLDWLRQ$)/&,2
86 ³$VHFRQGDU\ER\FRWWLVGHVLJQHG
WR FRHUFH WKLUGSDUW\ FXVWRPHUV RU VXSSOLHUV WR ZLWKKROG
EXVLQHVVUHODWLRQVIURPDSULPDU\HPSOR\HU7KHGLVWLQFWLRQ
EHWZHHQSULPDU\DQGVHFRQGDU\DFWLYLW\IRFXVHVRQLQWHQW´
%HFNHU(OHF&RY,QW¶O%KGRI(OHF:RUNHUV)G
WK &LU SHU FXULDP 7KXV ZKHUH WKH
SULQFLSDOHIIHFWRIWKHSURYLVLRQLVWRGLVFRXUDJHHPSOR\HUV
IURP RXWVRXUFLQJ ZRUN QRUPDOO\ SHUIRUPHG E\ HPSOR\HHV
SURWHFWHGE\WKHDJUHHPHQWUDWKHUWKDQFRHUFLQJWKLUGSDUWLHV
WR XQLRQL]H IRU H[DPSOH 6HFWLRQ H LV QRW YLRODWHG
³:KHWKHU DQ DJUHHPHQW LV D ODZIXO ZRUN SUHVHUYDWLRQ
DJUHHPHQW GHSHQGV RQ ZKHWKHU XQGHU DOO WKH VXUURXQGLQJ
FLUFXPVWDQFHV WKH 8QLRQ¶V REMHFWLYH ZDV SUHVHUYDWLRQ RI
ZRUNIRUEDUJDLQLQJXQLWHPSOR\HHVRUZKHWKHUWKHDJUHHPHQW
ZDVWDFWLFDOO\FDOFXODWHGWRVDWLVI\XQLRQREMHFWLYHVHOVHZKHUH
7KHWRXFKVWRQHLVZKHWKHUWKHDJUHHPHQWRULWVPDLQWHQDQFH
LVDGGUHVVHGWRWKHODERUUHODWLRQVRIWKHFRQWUDFWLQJHPSOR\HU
YLVDYLVKLVRZQHPSOR\HHV´/RQJVKRUHPHQ86DW
TXRWLQJ1DW¶O:RRGZRUN0IUV$VV¶QY1/5%86

+HUH (LVHQPDQQ DUJXHV WKDW WKH SULPDU\ REMHFWLYH RI
$UWLFOH ,, 6HFWLRQ FDQQRW EH WKH SUHVHUYDWLRQ RI ZRUN
SHUIRUPHGE\LWVRQVLWHHPSOR\HHVVLQFHLWVRQVLWHSHUVRQQHO
FRQVLVWHGRQO\RIPDQDJHUVDQGVXSHUYLVRUVQRWVKHHWPHWDO
ZRUNHUV+RZHYHUWKLVDUJXPHQWLJQRUHVWKHSULQFLSOHWKDW
DSURMHFWODERUDJUHHPHQWPD\SURWHFWZRUNIRUDQ\ZRUNHU

-- 6 of 10 --

(LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q
1R
(LVHQPDQQEHOLHYHVWKDWZRUNSUHVHUYDWLRQFODXVHVVXFKDV
WKHRQHQRZEHIRUHWKHFRXUWDUHRQO\YDOLGLQWKHFRQWH[WRI
6HFWLRQ D EDUJDLQLQJ UHODWLRQVKLSV VLQFH 6HFWLRQ I
UHODWLRQVKLSVPD\QRWEHH[WHQGHGRIIVLWH,WLVWUXHWKDWDQ
HIIHFWRIDXQLRQVWDQGDUGVFODXVHLVWROLPLWWKHUDQJHRIRII
VLWHFRQWUDFWRUVZLWKZKRPDJHQHUDOFRQWUDFWRUPD\GHDOEXW
QRW EHFDXVH RI WKH XQLRQ VWDWXV RI WKRVH VXEFRQWUDFWRUV
5DWKHUWKHPDLQSXUSRVHRIZRUNSUHVHUYDWLRQFODXVHVLVWR
NHHSWKHZRUNRQVLWHE\UHPRYLQJHFRQRPLFLQFHQWLYHVIRU
WKHJHQHUDOFRQWUDFWRUWRVHQGLWHOVHZKHUH7KXV³XQGHUDQ
H[LVWLQJ I UHODWLRQVKLSWKHXQLRQSDUW\WRWKH I FRQWUDFW
LVWKHODZIXOUHSUHVHQWDWLYHRIWKHHPSOR\HHVFRYHUHGE\WKH
FRQWUDFW$VWKHLUUHSUHVHQWDWLYHVXFKXQLRQKDVDQLQWHUHVWLQ
UHVWULFWLQJ VXEFRQWUDFWLQJ LQ RUGHU WR SURWHFW FRQWLQXLW\ RI
ZRUNDQGIULQJHEHQHILWVIRUWKHHPSOR\HHVDQGWRLQVXUHPRUH
VWDEOHDQGKDUPRQLRXVMREVLWHUHODWLRQVWRWKHVDPHH[WHQWD
D UHSUHVHQWDWLYHKDV´/RV$QJHOHV%OGJ &RQVWU7UDGHV
&RXQFLO1/5%
(LVHQPDQQFRQWHQGVKRZHYHUWKDWE\HQIRUFLQJ$UWLFOH,,
6HFWLRQRIWKH$JUHHPHQWZKLFKSUHYHQWHGGHDOLQJVZLWK
RIIVLWHFRPSDQLHVWKDWGLGQRWSD\XQLRQVFDOHZDJHVWKH
/-$% DQG WKH 1-$% UDQ DIRXO RI 6HFWLRQ H RI WKH $FW
ZKLFKSURKLELWV³KRWFDUJR´DJUHHPHQWV6HFWLRQ H VWDWHV
H (QIRUFHDELOLW\RIFRQWUDFWRUDJUHHPHQWWRER\FRWWDQ\
RWKHUHPSOR\HUH[FHSWLRQ
,W VKDOO EH DQ XQIDLU ODERU SUDFWLFH IRU DQ\ ODERU
RUJDQL]DWLRQDQGDQ\HPSOR\HUWRHQWHULQWRDQ\FRQWUDFW
RU DJUHHPHQW H[SUHVV RU LPSOLHG ZKHUHE\ VXFK
HPSOR\HUFHDVHVRUUHIUDLQVRUDJUHHVWRFHDVHRUUHIUDLQ
IURPKDQGOLQJXVLQJVHOOLQJWUDQVSRUWLQJRURWKHUZLVH
GHDOLQJLQDQ\RIWKHSURGXFWVRIDQ\RWKHUHPSOR\HURU
WRFHDVHGRLQJEXVLQHVVZLWKDQ\RWKHUSHUVRQDQGDQ\
FRQWUDFWRUDJUHHPHQWHQWHUHGLQWRKHUHWRIRUHRUKHUHDIWHU
FRQWDLQLQJ VXFK DQ DJUHHPHQW VKDOO EH WR VXFK H[WHQW
XQHQIRUF>H@DEOHDQGYRLG3URYLGHGWKDWQRWKLQJLQWKLV
VXEVHFWLRQVKDOODSSO\WRDQDJUHHPHQWEHWZHHQDODERU
1R (LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q

WKH1/5$WKHDUELWUDWRUVXQODZIXOO\H[WHQGHGWKHDJUHHPHQW
³ZHOO EH\RQG LWV SHUPLVVLEOH OLPLWV E\ DSSO\LQJ LW WR
HPSOR\HHVZKRSHUIRUPHGVROHO\RIIVLWHZRUN´-$DW
$VDFRQVHTXHQFHWKHFRXUWFRQFOXGHGWKHDZDUGYLRODWHG
³DQH[SOLFLWSXEOLFSROLF\WKDWLVZHOOGHILQHGDQGGRPLQDQW´
LG WKDW LV WKDW H[FHSW LQ FDUHIXOO\ FLUFXPVFULEHG
FLUFXPVWDQFHVXQLRQUHSUHVHQWDWLRQPD\QRWEHLPSRVHGRQ
DZRUNIRUFHDEVHQWPDMRULW\VXSSRUW7KHORZHUFRXUWYDFDWHG
WKHDUELWUDWLRQDZDUG7KLVDSSHDOIROORZHG
,,
%\LWVYHU\QDWXUHDVXPPDU\MXGJPHQWGRHVQRWLQYROYH
WKH GHWHUPLQDWLRQ RI GLVSXWHG TXHVWLRQV RI IDFW EXW LV
FRQILQHG WR SXUHO\ OHJDO LVVXHV )HG 5 &LY 3 F
VXPPDU\ MXGJPHQW PD\ EH JUDQWHG RQO\ LI ³WKHUH LV QR
JHQXLQHLVVXHDVWRDQ\PDWHULDOIDFWDQGWKDWWKHPRYLQJSDUW\
LVHQWLWOHGWRDMXGJPHQWDVDPDWWHURIODZ´ &HORWH[&RUS
Y&DWUHWW86 :HUHYLHZWKHGLVWULFW
FRXUW¶VOHJDOFRQFOXVLRQVGHQRYR/DXWHUPLOFKY)LQGOD\
&LW\ 6FK )G WK &LU ,QW¶O 8QLRQ
8$:Y'DQD&RUS)G WK&LU
7KHVWDQGDUGRIUHYLHZIRUWKHGHFLVLRQVRIDUELWUDWRUVRQ
WKH RWKHU KDQG LV KLJKO\ GHIHUHQWLDO 6HH %HDFRQ -RXUQDO
3XEO¶J&RY$NURQ1HZVSDSHU*XLOG/RFDO1R)G
WK&LU ³7KH6XSUHPH&RXUWKDVPDGHFOHDU
WKDWFRXUWVPXVWDFFRUGDQDUELWUDWRU¶VGHFLVLRQVXEVWDQWLDO
GHIHUHQFH EHFDXVH LW LV WKH DUELWUDWRU¶V FRQVWUXFWLRQ RI WKH
DJUHHPHQWQRWWKHFRXUW¶VFRQVWUXFWLRQWRZKLFKWKHSDUWLHV
KDYHDJUHHG´ 7KH6XSUHPH&RXUWKDVWLJKWO\FLUFXPVFULEHG
WKHDXWKRULW\RIIHGHUDOFRXUWVWRRYHUWXUQDUELWUDWLRQDZDUGV
DQGKDVFRQVLVWHQWO\KHOGWKDWWKH\PD\QRWGRVR³>D@VORQJ
DVWKHDUELWUDWRU¶VDZDUGGUDZVLWVHVVHQFHIURPWKHFROOHFWLYH
EDUJDLQLQJ DJUHHPHQW DQG LV QRW PHUHO\ KLV RZQ EUDQG RI
LQGXVWULDO MXVWLFH´ 8QLWHG 3DSHUZRUNHUV ,QW O 8QLRQ Y
0LVFR ,QF 86 LQWHUQDO TXRWDWLRQV
RPLWWHG ³>,@IDQDUELWUDWRULVHYHQDUJXDEO\FRQVWUXLQJRU
DSSO\LQJ WKH FRQWUDFW DQG DFWLQJ ZLWKLQ WKH VFRSH RI KLV

-- 7 of 10 --

(LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q
1R
DXWKRULW\ WKH IDFW WKDW D FRXUW LV FRQYLQFHG KH FRPPLWWHG
VHULRXVHUURUGRHVQRWVXIILFHWRRYHUWXUQKLVGHFLVLRQ´0DMRU
/HDJXH%DVHEDOO3OD\HUV$VV¶QY*DUYH\86
LQWHUQDOTXRWDWLRQVRPLWWHG
:HKDYHLGHQWLILHGIRXUZD\VE\ZKLFKDQDUELWUDWRUPD\
VWUD\ IURP WKH ³HVVHQFH´ RI WKH FROOHFWLYH EDUJDLQLQJ
DJUHHPHQWDQDUELWUDWLRQDZDUGPD\EHGHFODUHGLQYDOLGDQG
YDFDWHG LI ³ LW FRQIOLFWV ZLWK H[SUHVV WHUPV RI WKH
DJUHHPHQW LW LPSRVHV DGGLWLRQDO UHTXLUHPHQWV QRW
H[SUHVVO\SURYLGHGIRULQWKHDJUHHPHQW LWLVQRWUDWLRQDOO\
VXSSRUWHGE\RUGHULYHGIURPWKHDJUHHPHQWRU LWLVEDVHG
RQJHQHUDOFRQVLGHUDWLRQVRIIDLUQHVVDQGHTXLW\LQVWHDGRIWKH
H[DFWWHUPVRIWKHDJUHHPHQW´,QW¶O8QLRQ)GDW
TXRWLQJ 0LG0LFKLJDQ 5HJ¶O 0HG &WU&ODUH Y 3URI¶O
(PSOR\HHV 'LY RI /RFDO )G WK &LU
,QDGGLWLRQFRXUWVPD\XSVHWDQDUELWUDWLRQDZDUGLI
LWLVUHQGHUHGLQ³PDQLIHVWGLVUHJDUGRIWKHODZ´VHH0HUULOO
/\QFK3LHUFH)HQQHU 6PLWK,QFY-DURV)G
WK&LU RULILWLVFRQWUDU\WRDZHOOGHILQHGDQG
GRPLQDQWSXEOLFSROLF\VHH(DVWHUQ$VVRFLDWHG&RDO&RUSY
8QLWHG 0LQH :RUNHUV RI $PHU 'LVW 86
)LQDOO\FHUWDLQ³JDWHZD\SURFHGXUDOGLVSXWHV´VXFK
DVTXHVWLRQVRIDUELWUDELOLW\LQFOXGLQJZKHWKHUSDUWLHVKDYH
DJUHHGWRVXEPLWWKHLUGLVSXWHWRDUELWUDWLRQDUHUHVHUYHGIRU
WKHFRXUWVWRGHFLGH6HH+RZVDPY'HDQ:LWWHU5H\QROGV
,QF6&W
2QDSSHDO(LVHQPDQQDUJXHVWKDWWKHDUELWUDWLRQDZDUGZDV
SURSHUO\YDFDWHGIRUWKUHHUHDVRQV)LUVWLWFRQWHQGVDVWKH
ORZHU FRXUW KHOG WKDW WKH DZDUG ZDV PDGH LQ YLRODWLRQ RI
H[SOLFLWODERUSROLF\EHFDXVHLWH[WHQGHGD6HFWLRQ I SUHKLUH
DJUHHPHQWWRRIIVLWHZRUNHUVFRQWUDU\WRWKHGRPLQDQWSROLF\
RI UHVHUYLQJ WKH SULYLOHJH RI XQLRQ UHSUHVHQWDWLRQ WR WKRVH
EDUJDLQLQJ HQWLWLHV ZKR KDYH JDUQHUHG PDMRULW\ VXSSRUW
6HFRQG (LVHQPDQQ DUJXHV WKDW LW ZDV QRW ERXQG E\ WKH
DUELWUDWLRQ SURYLVLRQV LQFRUSRUDWHG LQWR WKH 3URMHFW /DERU
$JUHHPHQWSDUWLFXODUO\ZLWKUHVSHFWWRGLVSXWHVUHODWLQJWR
RIIVLWH ZRUN EHFDXVH LW QHYHU PDQLIHVWHG DQ LQWHQW WR EH
1R (LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q

HQIRUFLQJDOHJLWLPDWHGLVLQFHQWLYHWRRXWVRXUFHZRUNZLWKLQ
/RFDO¶VMXULVGLFWLRQ
7KH LPSRUW RI $UWLFOH ,, 6HFWLRQ LV WKDW D SULPDU\
HPSOR\HU PD\ QRW VXEFRQWUDFW ZRUN WR DQRWKHU FRPSDQ\
XQOHVV WKDW FRPSDQ\¶V ZRUNHUV HQMR\ WKH VDPH RU JUHDWHU
ZDJHVDQGEHQHILWVDVWKHHPSOR\HHVRIWKHSULPDU\HPSOR\HU
$VVXFKLWLVQRWDXQLRQVLJQDWRU\FODXVHZKLFKZRXOGKDYH
UHTXLUHGWKHJHQHUDOFRQWUDFWRUWRGHDORQO\ZLWKRIIVLWHXQLRQ
HPSOR\HUVEXWUDWKHULWLVDXQLRQVWDQGDUGVFODXVHRIWKHVRUW
IRXQGYDOLGE\WKH'LVWULFWRI&ROXPELD&LUFXLWLQ0HDW
+LJKZD\'ULYHUV'RFNPHQ+HOSHUV 0LVF7UXFN7HUPLQDO
(PSOR\HHV /RFDO 8QLRQ 1R Y 1/5% )G
'&&LU
7RSURWHFWXQLWZRUNE\SDUWLDOO\GHWHUULQJVXFKHPSOR\HU
FRQGXFW WKLV FODXVH ZRXOG DW OHDVW UHPRYH IURP WKH
HPSOR\HU WKH WHPSWDWLRQ RI FKHDS ODERU WKURXJK
VXEVWDQGDUGFRQWUDFWRUV7KLVLVDXVXDOIXQFWLRQRID
VWDQGDUGV FODXVH :H QHHG QRW DVVXPH WKDW DQ
HPSOR\HUZRXOGXVHVXFKDWDFWLFDVKHUHGLVFXVVHGLWLV
HQRXJK WKDW WKH XQLRQ FRXOG IHDU LW DQG VHHN VXFK D
FODXVHWRSUHYHQWLW
,GDW7KH1DWLRQDO/DERU5HODWLRQV%RDUGKDVOLNHZLVH
IRXQGVXFKVWDQGDUGVFODXVHVWREHSURSHUZRUNSUHVHUYDWLRQ
SURYLVLRQV 6HH *HQ 7HDPVWHUV /RFDO &RQVWUXFWLRQ
0DWHULDOV7UXFNLQJ 1/5% ³$
XQLRQKDVDOHJLWLPDWHLQWHUHVWLQSUHYHQWLQJWKHXQGHUPLQLQJ
RIWKHZRUNRSSRUWXQLWLHVDQGVWDQGDUGVRIHPSOR\HHVLQD
FRQWUDFWXDO EDUJDLQLQJ XQLW E\ VXEFRQWUDFWRUV ZKR GR QRW
PHHW WKH SUHYDLOLQJ ZDJH VFDOHV DQG HPSOR\HH EHQHILWV
FRYHUHGE\WKHFRQWUDFW7KXVLWVFRQWUDFWZLWKDQHPSOR\HU
PD\UHTXLUHWKHHPSOR\HULILWVXEFRQWUDFWVWRVXEFRQWUDFWWR
DQRWKHUHPSOR\HUZKRDJUHHVWRREVHUYHμWKHHTXLYDOHQWRI
XQLRQ ZDJHV KRXUV DQG WKH OLNH¶ SURYLGHG IRU LQ WKH
EDUJDLQLQJDJUHHPHQW´

-- 8 of 10 --

(LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q
1R
ZLWKLQ WKH VFRSH RI 6HFWLRQ I LW ³SURYLG>HG@ IRU XQLRQ
UHFRJQLWLRQ FRPSXOVRU\ XQLRQ GXHV RU HTXLYDOHQWV DQG
PDQGDWRU\XVHRIXQLRQKLULQJKDOOVSULRUWRWKHKLULQJRIDQ\
HPSOR\HHV´%OGJ &RQVWU7UDGHV&RXQFLO86DW

7KHQ UHO\LQJ RQ )RUHVW &LW\'LOORQ7HFRQ 3DFLILF
1/5% DQG1/5%Y:/5LYHV&R)G
WK&LU WKHGLVWULFWFRXUWKHOGWKDWD6HFWLRQ
I DJUHHPHQWFRXOGQRWEHH[WHQGHGWRODERUHUVZKRZRUNHG
VROHO\RIIVLWH:HDJUHHZLWKWKLVFRQFOXVLRQ DVZHOO$
6HFWLRQ I UHODWLRQVKLSFDQQRWEHLPSRVHGRQZRUNHUVZKR
GRQRWSHUIRUPDQ\WDVNVRQWKHMREVLWHEXWLQVWHDGHQJDJHLQ
SUHIDEULFDWLRQ RIIVLWH 7KH UHDVRQV IRU WKLV OLPLWDWLRQ DUH
IRXQG LQ WKH WH[W RI WKH VWDWXWH LWVHOI (PSOR\HHV DW D
SUHIDEULFDWLRQ SODQW DUH QRW ³EXLOGLQJ DQG FRQVWUXFWLRQ
HPSOR\HHV´ EXW UDWKHU PDQXIDFWXULQJ HPSOR\HHV LQ WKH
WUDGLWLRQDOVHQVH7KH\DUHQRWKLUHGRQDSURMHFWE\SURMHFW
EDVLV DQG WKHUHIRUH WKHLU HPSOR\PHQW LV QRW WHPSRUDU\ RU
WUDQVLHQWVXFKWKDWWKHIHDVLELOLW\RIUHSUHVHQWDWLRQHOHFWLRQVLV
XQGHUPLQHG 7KHUH LV QR UHDVRQ WR DSSO\ 6HFWLRQ I ¶V
³H[FHSWLRQ´WRWKHJHQHUDOUXOHWKDWXQLRQUHSUHVHQWDWLRQPD\
EH YLYLILHG RQO\ E\ ³WKH YRLFH RI WKH PDMRULW\ RI WKH
HPSOR\HHVLQWKHXQLW´1/5%Y/RFDO8QLRQ1R,QW¶O
$VV¶QRI%ULGJH6WUXFWXUDO 2UQDPHQWDO,URQ:RUNHUV
86
)URPWKHVHSUHPLVHVWKHGLVWULFWFRXUWFRQFOXGHGWKDWWKH
/-$% DQG WKH 1-$% YLRODWHG HVWDEOLVKHG ODERU SROLF\ E\
UHQGHULQJ DQ DZDUG WKDW H[WHQGHG WKH 3URMHFW /DERU
$JUHHPHQWZKLFKLQFRUSRUDWHG$UWLFOH,,6HFWLRQRIWKH
/RFDO$JUHHPHQWWRWKHRIIVLWHHPSOR\HHVDW(LVHQPDQQ¶V
&U\VWDO/DNHSUHIDEULFDWLRQSODQWDQG,0),QF¶VHPSOR\HHV
DW LWV 7HQQHVVHH SODQW :H EHOLHYH WKLV FRQFOXVLRQ WR EH
HUURQHRXVEHFDXVHWKHDUELWUDWLRQDZDUGGLGQRWLPSRVHXQLRQ
UHSUHVHQWDWLRQ XSRQ RU H[WHQG WKH FRYHUDJH RI WKH 3URMHFW
/DERU $JUHHPHQW WR WKRVH RIIVLWH ZRUNHUV UDWKHU LW
SURWHFWHG WKH LQWHUHVWV RI /RFDO ¶V RQVLWH ZRUNHUV E\
1R (LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q

ERXQGEHWKH$JUHHPHQW7KLUG(LVHQPDQQFODLPVWKDWWKH
DUELWUDWLRQGHFLVLRQSDUWLFXODUO\WKHFDOFXODWLRQRIGDPDJHV
GLGQRWGUDZLWVHVVHQFHIURPWKHFRQWUDFW
$
7KH 1DWLRQDO /DERU 5HODWLRQV $FW FRQILUPV WKH ULJKW RI
ZRUNHUVWRRUJDQL]HDQGMRLQODERURUJDQL]DWLRQVWREDUJDLQ
FROOHFWLYHO\WKURXJKFKRVHQUHSUHVHQWDWLYHVDQG³WRUHIUDLQ
IURP DQ\ RU DOO VXFK DFWLYLWLHV´ 86& † $
ZRUNIRUFH¶V GHFLVLRQ WR RUJDQL]H DQG LWV FKRLFH RI D
UHSUHVHQWDWLYH DUH JRYHUQHG E\ PDMRULW\ UXOH 6HH 1/5$
† D 86& † ³5HSUHVHQWDWLYHV GHVLJQDWHG RU
VHOHFWHG IRU WKH SXUSRVH RI FROOHFWLYH EDUJDLQLQJ E\ WKH
PDMRULW\ RI WKH HPSOR\HHV LQ D XQLW DSSURSULDWH IRU VXFK
SXUSRVHV VKDOO EH WKH H[FOXVLYH UHSUHVHQWDWLYHV RI DOO WKH
HPSOR\HHV LQ VXFK XQLW IRU WKH SXUSRVH RI FROOHFWLYH
EDUJDLQLQJ´ 1/5%Y$OOLV&KDOPHUV0IJ&R86
KROGLQJWKDWPDMRULW\UXOHFRQFHSWLVDWWKH
FHQWHURIIHGHUDOODERUSROLF\ 0DMRULW\VWDWXVLVHVWDEOLVKHG
E\ DQ HOHFWLRQ FRQGXFWHG XQGHU WKH VXSHUYLVLRQ RI WKH
1DWLRQDO /DERU 5HODWLRQV %RDUG 1/5$ † F 86&
† F RUE\RWKHUPHDQVVHWIRUWKLQWKH$FW6HH1/5%
Y &DQWRQ 6LJQ &R )G WK &LU
*HQHUDOO\HPSOR\HUVZKRUHFRJQL]HDODERURUJDQL]DWLRQWKDW
GRHV QRW KDYH WKH PDMRULW\ VXSSRUW RI ZRUNHUV DQG ODERU
XQLRQVWKDWSXUSRUWWRUHSUHVHQWZRUNHUVDEVHQWVXFKPDMRULW\
VXSSRUWFRPPLWDQXQIDLUODERUSUDFWLFH6HH1/5$† D
E 86&† D E ,QW¶O/DGLHV¶*DUPHQW:RUNHUV¶
8QLRQY1/5%86 TXRWLQJ1/5%Y
3HQQ*UH\KRXQG/LQHV86 ³7KHODZ
KDVORQJEHHQVHWWOHGWKDWDJUDQWRIH[FOXVLYHUHFRJQLWLRQWR
DPLQRULW\XQLRQFRQVWLWXWHVXQODZIXOVXSSRUWLQYLRODWLRQRI
WKDWVHFWLRQEHFDXVHWKHXQLRQVRIDYRUHGLVJLYHQμDPDUNHG
DGYDQWDJH RYHU DQ\ RWKHU LQ VHFXULQJ WKH DGKHUHQFH RI
HPSOR\HHV>@¶´
%HFDXVHRIWKHOHQJWK\SURFHGXUHUHTXLUHGWRFDOOKROGDQG
FHUWLI\ UHSUHVHQWDWLRQ HOHFWLRQV WKH SURFHVV RUGDLQHG E\

-- 9 of 10 --

(LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q
1R
6HFWLRQKDVEHHQIRXQGWREHLPSUDFWLFDOLQLQGXVWULHVZKHUH
WKHUH LV D KLJK ODERU WXUQRYHU &RQJUHVV VSHFLILFDOO\ KDV
UHFRJQL]HG WKDW PDQGDWLQJ UHSUHVHQWDWLRQ HOHFWLRQV LQ WKH
FRQVWUXFWLRQ LQGXVWU\ ZRXOG HIIHFWLYHO\ SUHFOXGH XQLRQ
UHSUHVHQWDWLRQRIWKRVHZRUNHUV6HH65HS1RWK
&RQJ VW 6HVV 86 &RGH &RQJ
$GPLQ1HZVDW ³5HSUHVHQWDWLRQHOHFWLRQVLQDODUJH
VHJPHQW RI WKH >FRQVWUXFWLRQ@ LQGXVWU\ DUH QRW IHDVLEOH WR
GHPRQVWUDWHVXFKPDMRULW\VWDWXVGXHWRWKHVKRUWSHULRGVRI
DFWXDOHPSOR\PHQWE\VSHFLILFHPSOR\HUV´ 7KXVLQ
DQ H[FHSWLRQ ZDV FUHDWHG WR SHUPLW HPSOR\HUV LQ WKH
FRQVWUXFWLRQLQGXVWU\WREDUJDLQZLWKODERUXQLRQVSULRUWRWKH
HVWDEOLVKPHQWRIPDMRULW\VWDWXVWKURXJKHOHFWLRQV6HFWLRQ
I RIWKH15/$SURYLGHV
I $JUHHPHQWFRYHULQJHPSOR\HHVLQWKHEXLOGLQJDQG
FRQVWUXFWLRQLQGXVWU\
,WVKDOOQRWEHDQXQIDLUODERUSUDFWLFHXQGHUVXEVHFWLRQV
D DQG E RI WKLV VHFWLRQ IRU DQ HPSOR\HU HQJDJHG
SULPDULO\ LQ WKH EXLOGLQJ DQG FRQVWUXFWLRQ LQGXVWU\ WR
PDNH DQ DJUHHPHQW FRYHULQJ HPSOR\HHV HQJDJHG RU
ZKR XSRQ WKHLU HPSOR\PHQW ZLOO EH HQJDJHG LQ WKH
EXLOGLQJ DQG FRQVWUXFWLRQ LQGXVWU\ ZLWK D ODERU
RUJDQL]DWLRQ RI ZKLFK EXLOGLQJ DQG FRQVWUXFWLRQ
HPSOR\HHVDUHPHPEHUV QRWHVWDEOLVKHGPDLQWDLQHGRU
DVVLVWHGE\DQ\DFWLRQGHILQHGLQVXEVHFWLRQ D RIWKLV
VHFWLRQ DV DQ XQIDLU ODERU SUDFWLFH EHFDXVH WKH
PDMRULW\VWDWXVRIVXFKODERURUJDQL]DWLRQKDVQRWEHHQ
HVWDEOLVKHGXQGHUWKHSURYLVLRQVRIVHFWLRQRIWKLV
WLWOHSULRUWRWKHPDNLQJRIVXFKDJUHHPHQWRU VXFK
DJUHHPHQW UHTXLUHV DV D FRQGLWLRQ RI HPSOR\PHQW
PHPEHUVKLSLQVXFKODERURUJDQL]DWLRQDIWHUWKHVHYHQWK
GD\IROORZLQJWKHEHJLQQLQJRIVXFKHPSOR\PHQWRUWKH
HIIHFWLYH GDWH RI WKH DJUHHPHQW ZKLFKHYHU LV ODWHU RU
VXFKDJUHHPHQWUHTXLUHVWKHHPSOR\HUWRQRWLI\VXFK
ODERURUJDQL]DWLRQRIRSSRUWXQLWLHVIRUHPSOR\PHQWZLWK
VXFK HPSOR\HU RU JLYHV VXFK ODERU RUJDQL]DWLRQ DQ
RSSRUWXQLW\ WR UHIHU TXDOLILHG DSSOLFDQWV IRU VXFK
1R (LVHQPDQQ&RUSY6KHHW
0HWDO:RUNHUV,QW¶O$VV¶Q

HPSOR\PHQWRU VXFKDJUHHPHQWVSHFLILHVPLQLPXP
WUDLQLQJRUH[SHULHQFHTXDOLILFDWLRQVIRUHPSOR\PHQWRU
SURYLGHV IRU SULRULW\ LQ RSSRUWXQLWLHV IRU HPSOR\PHQW
EDVHGXSRQOHQJWKRIVHUYLFHZLWKVXFKHPSOR\HULQWKH
LQGXVWU\RULQWKHSDUWLFXODUJHRJUDSKLFDODUHD3URYLGHG
7KDWQRWKLQJLQWKLVVXEVHFWLRQVKDOOVHWDVLGHWKHILQDO
SURYLVR WR VXEVHFWLRQ D RI WKLV VHFWLRQ 3URYLGHG
IXUWKHU7KDWDQ\DJUHHPHQWZKLFKZRXOGEHLQYDOLGEXW
IRUFODXVH RIWKLVVXEVHFWLRQVKDOOQRWEHDEDUWRD
SHWLWLRQILOHGSXUVXDQWWRVHFWLRQ F RU H RIWKLV
WLWOH
86&† I VRPHHPSKDVLVDGGHG
$JUHHPHQWVPDGHSXUVXDQWWR6HFWLRQ I DUHFRPPRQO\
NQRZQDV³SUHKLUHDJUHHPHQWV´6HH%OGJ &RQVWU7UDGHV
&RXQFLOY$VVRFLDWHG%XLOGHUV &RQWUDFWRUVRI0DVV
86 7KXV ZH KDYH KHOG WKDW LQ WKH
FRQVWUXFWLRQLQGXVWU\WKHUHFDQEHWZRW\SHVRIEDUJDLQLQJ
UHODWLRQVKLSVXQGHUWKH1DWLRQDO/DERU5HODWLRQV$FWEHWZHHQ
ODERUXQLRQVDQGHPSOR\HUV³ DVHFWLRQ I UHODWLRQVKLS
ZKLFKLVHVWDEOLVKHGE\DμSUHKLUH¶DJUHHPHQWZKLFKUHVXOWV
IURPDFRQWUDFWRU¶VYROXQWDU\UHFRJQLWLRQRIDXQLRQDQG D
VHFWLRQ D UHODWLRQVKLSZKLFKUHVXOWVIURPFHUWLILFDWLRQRI
WKHXQLRQIROORZLQJD%RDUGFRQGXFWHGHOHFWLRQLQZKLFKE\
PDMRULW\ YRWH WKH HPSOR\HHV VHOHFW WKH XQLRQ DV WKHLU
EDUJDLQLQJUHSUHVHQWDWLYH´1/5%Y:HKU&RQVWUXFWRUV,QF
)GQ WK&LU
7KH ORZHU FRXUW KHOG WKDW WKH 3URMHFW /DERU $JUHHPHQW
FRQVWLWXWHG D YDOLG SUHKLUH DJUHHPHQW XQGHU 6HFWLRQ I
EHWZHHQ(LVHQPDQQDVJHQHUDOFRQWUDFWRURQWKHSURMHFWDQG
/RFDODFRQFOXVLRQZKLFKQHLWKHUSDUW\GLVSXWHVRQDSSHDO
:H EHOLHYH WKLV KROGLQJ LV FRUUHFW $OO RI WKH HOHPHQWV
UHTXLUHGE\ 6HFWLRQ I ZHUHSUHVHQW(LVHQPDQQZDVDQ
HPSOR\HU³HQJDJHGSULPDULO\LQWKHEXLOGLQJDQGFRQVWUXFWLRQ
LQGXVWU\´DQG/RFDOZDVDODERURUJDQL]DWLRQ³RIZKLFK
EXLOGLQJ DQG FRQVWUXFWLRQ HPSOR\HHV DUH PHPEHUV´
86&† I 7KHVXEMHFWPDWWHURIWKH$JUHHPHQWZDV

-- 10 of 10 --

Continue sua pesquisa no ChatGPT ou Claude

Conecte o Omnilex para pesquisar o corpus jurídico pelo seu assistente de IA.