THIS OPINION IS DESIGNA TED "NO T TO BE PUBLISHED." PURSUANT TO THE RULES OF CI VI_ L PR OCED URE PR OMUL GA TED B Y THE SUPREME COURT, CR 76.28 (4) (c), THIS OPINION IS NOT TO BE PUBLISHED AND SHALL NOT BE CITED OR USED AS A UTHORITY IN ANY OTHER
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IMPOR7'ANTNQ7l~~
NOT TO BE PUBLISHED OPINION
THIS OPINION IS DESIGNA TED "NOT TO BE
PUBLISHED." PURSUANT TO THE RULES OF
CIVI_L PROCED URE PROMUL GA TED BY THE
SUPREME COURT, CR 76.28 (4) (c), THIS OPINION
IS NOT TO BE PUBLISHED AND SHALL NOT BE
CITED OR USED AS A UTHORITY INANY OTHER
CASE INANY COURT OF THIS STA TE.
RENDERED : October 20, 2005
NOT TO BE PUBLISHED
,Sui reme (~ourf of Jkre
2005-SC-0168-WC
CALVIN BLACK
V.
APPELLANT
APPEAL FROM COURT OF APPEALS
2004-CA-1079-WC
WORKERS' COMPENSATION BOARD NO . 02-1755
CMT TRUCKING ; ELMER KINCAID, JR., D/B/A
ELMER KINCAID JR TRUCKING; AND HON .
J . LANDON OVERFIELD, ADMINISTRATIVE LAW
JUDGE ; AND WORKERS' COMPENSATION BOARD
APPELLEES
MEMORANDUM OPINION OF THE COURT
AFFIRMING
In 1991, an Administrative Law Judge (ALJ) determined that the claimant
suffered from category 1 pneumoconiosis and awarded a retraining incentive benefit.
Appealing from the decision in a 2002 claim against a subsequent employer, the
claimant asserts that the 1991 finding precluded a subsequent finding that he did not
suffer from pneumoconiosis . The Workers' Compensation Board (Board) and the Court
of Appeals have affirmed . We affirm .
In his 1991 claim against Nally & Hamilton, Inc ., the claimant alleged that he was
last exposed to coal dust on December 23, 1989, and suffered from coal workers'
pneumoconiosis . Relying on Drs . Anderson, Baker, and Myers, who reported category
1 /1 pneumoconiosis, an ALJ determined on December 6, 1991, that the claimant
suffered from category 1 disease without respiratory impairment . In 1992, he returned
to work with a different employer, hauling gravel . He began working for the defendant-
employer in September, 1999, as a coal truck driver and loader operator. His last
exposure occurred on March 23, 2002, and he has not worked since then .
On September 10, 2002, the claimant had a chest x-ray, which was forwarded to
Dr. Vuskovich, a certified B-reader . Dr. Vuskovich reported that the film was Quality 1
and revealed pneumoconiosis, category 2/1, q/q, affecting all six lung zones . On
October 14, 2002, the claimant filed an application for benefits and submitted the x-ray
and report.
The employer responded by filing a report from Dr. Dahhan, who evaluated an xray taken on April 22, 2003. He reported that the x-ray was Quality 1 and was negative
for coal workers' pneumoconiosis . He also reported that the x-ray was negative for any
other respiratory disease .
The employer filed the claimant's medical records from Pineville Community
Hospital for the period from March, 2001, through April, 2002 . They documented the
presence of pulmonary emphysema but no other acute infiltration or congestion. Also
filed were pulmonary studies from January 5, 2003, .which revealed a FVC of 102% of
the predicted normal value and an FEV1 of 82% of the predicted normal.
The claimant also filed a Form 108 report from Dr. Baker, a certified B-reader,
who conducted a pulmonary evaluation on June 18, 2003. The Form 108 indicated that
a June 18, 2003, x-ray revealed category 1/0 pneumoconiosis. Pre-bronchodilator
spirometric testing yielded an FVC of 110% of the predicted normal value and an FEV1
of 71 % of the predicted normal . Post-bronchodilator values were 99% (FVC) and 67%
(FEV1) of the predicted normal values. He diagnosed chronic obstructive airways
disease and a mild ventilatory defect and attributed the conditions as well as the
category 1/0 disease to the claimant's exposure to coal dust.
The Commissioner of the Department of Workers' Claims certified that there was
no consensus . The x-rays were then submitted to a consensus panel of certified Breaders, including a board-certified radiologist (Dr. West) and two board-certified
pulmonary specialists (Drs . Pope and Powell . Their reports were as follows :
Physician
Dr. Pope
Dr. Powell
Dr. West
X-ray Date
B
B
Unknown
Quality
2
1
1
Category
0/1, p/p
1/1, s/t*
0/0
* Dr. Powell also found evidence of borderline
blunting on the right cp angle .
On August 6, 2003, the Commissioner notified the parties that the reports were in
consensus and indicated that the claimant did not suffer from pneumoconiosis .
Attempting to rebut the consensus, the claimant re-submitted Dr. Baker's Form
108 together with the x-ray to which it referred and deposed Dr. Pope. Dr. Pope
explained the phenomenon of intra-observer error and acknowledged that although he
had characterized x-ray B as category 0/1, he might well have characterized it as
category 1 /0 on a different day. He also testified, however, that an x-ray with poor
contrast between the dark and light areas is graded Quality 2. He explained that such
an x-ray can mimic pneumoconiosis or exaggerate the appearance of it and might
cause a physician to slightly over-read the film.
The ALJ determined that there was no clear and convincing evidence to rebut the
consensus classification and concluded that the claimant did not have coal workers'
pneumoconiosis. Appealing the decision, the claimant asserted that the doctrine of res
Iudicata precluded a finding that he suffered from less than category 1 disease . He also
asserted that Dr. Vuskovich's report was clear and convincing evidence that his
condition had progressed from category 1 to category 2 and that the ALJ was required
to rely upon it.
Like a final judgment in a civil action, a final workers' compensation award is
enforceable as a judgment in circuit court. KRS 342.305 ; see also , Godbey v.
University Hospital of the Albert B. Chandler Medical Center, Inc. , 975 S.W.2d 104, 105
(Ky. App. 1998) . Although KRS 342 .125 permits the reopening of an otherwise final
award under specified circumstances, the doctrine of res iudicata applies to final
workers' compensation decisions . See Slone v. R & S Mining, Inc. , 74 S.W .3d 259 (Ky.
2002). As explained in Yeoman v. Com ., Health Policy Board , 983 S .W.2d 459, 464
(Ky. 1998), res iudicata is the Latin term for "a matter adjudged ." It stands for the
principle that a final judgment is conclusive of causes of action and facts or issues
thereby litigated . Two aspects of the doctrine are claim preclusion and issue preclusion,
which is also referred to as collateral estoppel . Claim preclusion bars a party from
relitigating a previously-adjudicated cause of action ; whereas, issue preclusion bars a
party to a judgment from relitigating an issue that is identical to an issue that was
previously litigated, finally decided, and essential to the previous judgment . Issue
preclusion may be used both offensively and defensively . It may be used against a
party to an action by one who was not a party to preclude the relitigation of a matter that
was fully litigated and finally decided . See Moore v. Commonwealth, Cabinet for
Human Resources , 954 S .W .2d 317 (Ky. 1997) ; Godbey , supra , at 105. However, a
party to an earlier judgment may not use it against one who was not a party to the
action and, therefore, did not have a full and fair opportunity to litigate the issue. Id .
The claimant attempts to use the 1991 finding to rebut the consensus in his
present claim, but the defendant-employer was not a party to the 1991 claim and,
therefore, was not bound by the finding that the claimant suffered from category 1
disease . In contrast, the claimant was a party to the 1991 judgment that he suffered
from category 1 disease . The finding that he suffered from category 1 disease in 1991
bound him in the present claim to the extent that his burden was to show that his
exposure while working for the defendant-employer caused a subsequent harmful
change in the human organism, i.e. , a higher disease category or respiratory
impairment . The consensus classification did not support such a finding . Although Dr.
Vuskovich reported category 2/1 disease, Dr . Baker reported category 1/0, and Dr.
Pope testified about intra-observer error, the ALJ was not convinced that there was
clear and convincing evidence to rebut the consensus classification . Nor are we
convinced that the evidence in the claimant's favor was so overwhelming that it
compelled a favorable finding as a matter of law.
The decision of the Court of Appeals is affirmed .
All concur.
COUNSEL FOR APPELLANT :
Johnnie Turner
Susan Turner Landis
114 S . 1 St Street
P.O. Box 351
Harlan, KY 40831
COUNSEL FOR APPELLEE:
W . Barry Lewis
Lewis and Lewis Law Offices
151 East Main Street, Ste . 100
P .O. Box 800
Hazard, KY 41702-0800
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