McGraw v. Holland

Opinion

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

7,1$s2 0$< 0&*5$: ; 3HWLWLRQHU$SSHOODQW    1R Y  !  s2< +2//$1'  5HVSRQGHQW$SSHOOHH  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW'HWURLW 1Rn%HUQDUG$)ULHGPDQ'LVWULFWsXGJH $UJXHG0DUFK 'HFLGHGDQG)LOHGsXO\ %HIRUH0(55,771(/621DQG68+5+(,15,&+ &LUFXLWsXGJHV BBBBBBBBBBBBBBBBB &2816(/ $5*8('  ) 0DUWLQ 7LHEHU 67$7( $33(//$7( '()(1'(5 2)),&( /DQVLQJ 0LFKLJDQ IRU $SSHOODQW 5DLQD , .RUEDNLV 2)),&( 2) 7+( $77251(< *(1(5$//DQVLQJ0LFKLJDQIRU$SSHOOHH21%5,() ) 0DUWLQ 7LHEHU 67$7( $33(//$7( '()(1'(5 2)),&( /DQVLQJ 0LFKLJDQ IRU $SSHOODQW  9LQFHQW s

  0F*UDZY+ROODQG 1R

/HRQH2)),&(2)7+($77251(<*(1(5$//DQVLQJ 0LFKLJDQIRU$SSHOOHH BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB '$9,' $ 1(/621 &LUFXLW sXGJH  7KLV LV DQ DSSHDO IURPDMXGJPHQWGHQ\LQJKDEHDVFRUSXVUHOLHIWRD\HDUROG JLUOZKRZDVFRQYLFWHGE\D0LFKLJDQMXU\RQDFKDUJHDULVLQJ RXWRIKHUDVVLVWDQFHLQWKHSHUSHWUDWLRQRIDJDQJUDSH7KH WULDOHYLGHQFHLQFOXGHGDFRQIHVVLRQJLYHQE\WKHSHWLWLRQHU GXULQJ D FXVWRGLDO LQWHUURJDWLRQ FRQGXFWHG E\ D SROLFH GHWHFWLYHLQWKHSUHVHQFHRIWKHSHWLWLRQHUj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jVGHFLVLRQmZDVFRQWUDU\ WR RU LQYROYHG DQ XQUHDVRQDEOH DSSOLFDWLRQ RI FOHDUO\ HVWDEOLVKHG)HGHUDOODZDVGHWHUPLQHGE\WKH6XSUHPH&RXUW RIWKH8QLWHG6WDWHVl6HH86&†GDVDPHQGHG E\WKH $QWLWHUURULVPDQG(IIHFWLYH'HDWK3HQDOW\$FW 6WDW 7KHGLVWULFWFRXUWFRQFOXGHGWKDWWKHGHFLVLRQUHDFKHGE\ WKH0LFKLJDQFRXUWZDVDSHUPLVVLEOHRQHXQGHUWKHVWDQGDUG SUHVFULEHGE\WKHVWDWXWH:HGLVDJUHH7KHMXGJPHQWHQWHUHG E\ WKH GLVWULFW FRXUW ZLOO EH UHYHUVHG DQG WKH FDVH ZLOO EH UHPDQGHG ZLWK LQVWUXFWLRQV WR JUDQW WKH ZULW XQOHVV WKH SHWLWLRQHULVJLYHQDQHZWULDO 1R 0F*UDZY+ROODQG 

, $ 2QWKHQLJKWRI)HEUXDU\WKHSHWLWLRQHU7LQDMR 7LQD0D\0F*UDZZDVRQHRIDJURXSRIHLJKWRUVRSHRSOH ZKR ZHUH mSDUW\LQJl DW D KRXVH LQ 6DJLQDZ 0LFKLJDQ $OWKRXJK7LQDZDVQRW\HW\HDUVROGVKHGLGQRWDWWHQG VFKRRODQGZDVDOUHDG\WKHPRWKHURID\RXQJVRQWKHER\ ZDV QRW ZLWK KHU RQ WKH QLJKW LQ TXHVWLRQ DOWKRXJK DQ XQUHODWHG FKLOG ZDV LQ WKH URRP ZKHQ WKH UDSH RFFXUUHG 'XULQJWKHHDUO\PRUQLQJKRXUVRI6DWXUGD\)HEUXDU\RQH RIWKHSDUW\JRHUVD\HDUROGZRPDQZKRDOOHJHGO\mNHSW WDONLQjDERXWVRPHFUDFNlDQGZLWKZKRP7LQDKDGHQJDJHG LQDILVWILJKWHDUOLHULQWKHHYHQLQJZDVEHDWHQDQGUDSHGE\ VHYHUDORIWKHPDOHJXHVWV7KHSROLFHZHUHFDOOHGDWDERXW DP:KHQSROLFHRIILFHUVDUULYHGDWWKHKRXVHWKHYLFWLP WROG WKHP WKDW VKH KDG EHHQ KHOG GRZQ GXULQJ WKH UDSH E\ 7LQDDQGWKHODWWHUjVIULHQG&DURO\Q6LPRQV 7LQDZDVDUUHVWHGDWWKHVFHQHDQGWDNHQLQWRFXVWRG\7KH SROLFHVXPPRQHG7LQDjVPRWKHUWRWKHSROLFHVWDWLRQDQGD GHWHFWLYH7DPLH5HLQNHWRRN7LQDDQGKHUPRWKHULQWRDQ LQWHUYLHZURRPDWDERXWDP7KHUH7LQDZDVDGYLVHGRI KHU0LUDQGDULJKWVERWKRUDOO\DQGLQZULWLQJDQGVKHVLJQHG D ZULWWHQ ZDLYHU IRUP DV GLG WKH PRWKHU HYLGHQFLQJ KHU XQGHUVWDQGLQJRIKHUULJKWWRUHPDLQVLOHQWDQGKHUULJKWWRDQ DWWRUQH\ 'HWHFWLYH 5HLQNH EHJDQ D IRUPDO LQWHUURJDWLRQ DW DSSUR[LPDWHO\  DP 7KH LQWHUYLHZ ZKLFK ZDV WDSH UHFRUGHGHQGHGDWDERXWDP $WUDQVFULSWRIWKHWDSHGLVFORVHVWKDW7LQDZDVUHOXFWDQWWR WDONDERXWWKHGHWDLOVRIWKHUDSH$FNQRZOHGJLQJWKDWmEDG WKLQJV WKDW KDSSHQ DUH DOZD\V KDUG WR WDON DERXWl WKH GHWHFWLYH WROG 7LQD WKDW m\RX QHHG WR WHOO PH ZKDW ZDV KDSSHQLQJ DWWKHKRXVHl7LQDWKHQDVNHGLIWKHLQWHUYLHZ FRXOGEHSRVWSRQHGm&DQZHMXVWWDONDERXWWKLVODWHUlVKH DVNHG7LQDjVPRWKHUDQGWKHGHWHFWLYHERWKUHSOLHGLQWKH QHJDWLYHWKHGHWHFWLYHH[SODLQLQJWKDWmZHQHHGWRWDONDERXW  0F*UDZY+ROODQG 1R 1R 0F*UDZY+ROODQG 

LWQRZEHFDXVH

,QHHGWRLQYHVWLJDWHLWWRGHFLGHZKDWjV QRW ZKHWKHU WKH FRXUWjV GHFLVLRQ LQYROYHG DQ XQUHDVRQDEOH JRQQDKDSSHQZLWKSHRSOHl DSSOLFDWLRQ RI WKH &RQVWLWXWLRQ DV ZULWWHQ  7KH TXHVWLRQ EHIRUHXVUDWKHULVWKLV'LGWKHWULDOFRXUWjVGHFLVLRQLQYROYH 7LQDLQLWLDOO\GHQLHGKDYLQJUHVWUDLQHGWKHYLFWLPGXULQJWKH DQXQUHDVRQDEOHDSSOLFDWLRQRIFOHDUO\HVWDEOLVKHGIHGHUDOODZ UDSH  m, GLGQjW WRXFK WKH JLUOl VKH UHSHDWHGO\ GHFODUHG m, DVGHWHUPLQHGLQ0LUDQGDDQGLWV6XSUHPH&RXUWSURJHQ\" WULHGWRKHOSKHUl7KHGHWHFWLYHHYHQWXDOO\VDLGWKDWVKHGLG 7KHDQVZHUWRWKDWTXHVWLRQDVZHKDYHH[SODLQHGLVm\HVl QRWWKLQN7LQDZDVEHLQJKRQHVWDERXWZKDWKDGKDSSHQHG SHUKDSVEHFDXVHVKHZDVDIUDLGRIZKDW&DURO\QDQGWKHRWKHU $FFRUGLQJO\DQGEHFDXVHWKHVWDWHGRHVQRWFRQWHQGDQG SDUWLFLSDQWVZRXOGGRWRKHULIVKHWROGWKHWUXWK FRXOGQRWUHDVRQDEO\FRQWHQGWKDWWKHKDUPOHVVHUURUUXOHKDV DQ\ UROH WR SOD\ LQ WKLV FDVH WKH MXGJPHQW HQWHUHG E\ WKH $IWHUDVKRUWEUHDNWKHGHWHFWLYHUHQHZHGKHUUHTXHVWIRUDQ GLVWULFW FRXUW LV 5(9(56('  7KH FDVH LV 5(0$1'(' KRQHVW DFFRXQW RI ZKDW KDG WUDQVSLUHG  7LQD PXPEOHG ZLWKLQVWUXFWLRQVWRLVVXHDZULWRIKDEHDVFRUSXVXQOHVV7LQD VRPHWKLQJ WKDW ZDV QRW IXOO\ DXGLEOH DQG WKHQ WROG WKH LVJUDQWHGDQHZWULDOZLWKLQDWLPHWREHIL[HGE\WKHGLVWULFW GHWHFWLYHWKLVm,GRQjWZDQWWRWDONDERXWLW,GRQjWZDQWWR FRXUW UHPHPEHULWlsXVWmGRZKDW\RXKDYHWRGRZLWKPHl 7LQDFRQWLQXHGm,GLGQjWZDQWWRWDONDERXWl 7KHGHWHFWLYHDFNQRZOHGJHGDJDLQWKDWGLVFORVXUHZRXOGEH GLIILFXOWEXWDVNHGLI7LQDZDQWHGRWKHUSHRSOHWRJHWDZD\ ZLWK ZKDW WKH\ KDG GRQH E\ EODPLQJ HYHU\WKLQJ RQ KHU 7LQDjV PRWKHU OLNHZLVH XUJHG WKH JLUO WR WHOO ZKDW KDG KDSSHQHG  7LQD KRZHYHU PDGH NQRZQ KHU ODFN RI HQWKXVLDVPIRUmPHWU\LQjWRZDONWKHVWUHHWVDQGJHWWLQjVKRW DQGNLOOHGIRUWHOOLQjl7KLVWKHPHUHFXUUHGDWVHYHUDO SRLQWVLQWKHHQVXLQJGLVFXVVLRQDVGLGDVVXUDQFHVWKDWWKH RWKHUVZRXOGEHORFNHGXSDQGWKDW7LQDFRXOGKHOSKHUVHOIE\ FRRSHUDWLQJ 6WLOO7LQDUHVLVWHGm,FDQjWWKLQNDERXWLWlVKHVDLGm, GRQjW ZDQWl VKH FRQWLQXHG DW ZKLFK SRLQW WKH GHWHFWLYH LQWHUUXSWHG WR WDNH 7LQDjV KDQG ZKLOH KHU PRWKHU VSRNH RI PRYLQJWRDQRWKHUWRZQZKHUHQRRQHZRXOGWKLQNWRORRNIRU 6HH 'LFNHUVRQ  86 DW  6FDOLD s GLVVHQWLQJ KHU  %HFDXVH 'LFNHUVRQ ZDV QRW GHFLGHG XQWLO VHYHUDO \HDUV DIWHU 7LQDjV FRQIHVVLRQ ZDV XVHG DJDLQVW KHU DW WULDO WKH VWDWH PLJKW FRQFHLYDEO\ KDYH $IWHUDGLVFXVVLRQRIKRZ7LQDKDGEHHQSLVWROZKLSSHGD 0LUDQGD DUJXHG WKDW DW WKH WLPH RI WULDO WKH DSSOLFDELOLW\ RI DQG LWV SURJHQ\ PRQWKHDUOLHUDQGKDGH[DFWHGUHYHQJHZLWK&DURO\QjVKHOS WR VWDWH FRXUW SURFHHGLQJV KDG QRW EHHQ mFOHDUO\l HVWDEOLVKHG E\ WKH WKHGHWHFWLYHVWHHUHGWKHFRQYHUVDWLRQEDFNWRWKHHYHQWVRI 8QLWHG 6WDWHV 6XSUHPH &RXUW 1R VXFK DUJXPHQW KDV EHHQ SUHVHQWHG WR WKDWPRUQLQJm+RZPDQ\JX\VGLG\RXVHHUDSHKHUlWKH XV KRZHYHU SHUKDSV EHFDXVH 0LUDQGD LWVHOI LQYROYHG VWDWH FRXUW GHWHFWLYHDVNHGm+RZPDQ\RIjHP"l SURFHHGLQJV DQG EHFDXVH WKH 6XSUHPH &RXUW DV WKH PDMRULW\ RSLQLRQ LQ 'LFNHUVRQ QRWHV  86 DW  KDV mFRQVLVWHQWO\ DSSOLHG 0LUDQGD jV UXOH WR SURVHFXWLRQV DULVLQJ LQ VWDWH FRXUWVl 7KH LVVXH QRW KDYLQJ EHHQ UDLVHG LQ DQ\ HYHQW ZH QHHG QRW XQGHUWDNH WR GHFLGH LW  0F*UDZY+ROODQG 1R 1R 0F*UDZY+ROODQG 

ZKLFKWKHGHWHFWLYHKDGLQVLVWHGLQUHVSRQVHWR7LQDjVVD\LQJ m,GRQjWZDQQDWDONDERXWLWl7LQDUHSOLHGm:HKDYHWR m,GRQjWZDQQDWDONDERXWLWlWKDWm>Z@HKDYHWRWDONDERXWLW WDONDERXWLWlWKHGHWHFWLYHLQVLVWHGm:HKDYHWRJHWWKLV :HKDYHWRJHWWKLVFOHDUHGXS7KHKHDULQJjVDWRQHWKLUW\l FOHDUHGXS7KHKHDULQJjVDWRQHWKLUW\l 7KH WLPLQJ RI WKLV H[SOLFLW UHMHFWLRQ RI DQ XQDPELJXRXV UHTXHVWWRUHPDLQVLOHQWFOHDUO\UHIXWHVWKHVWDWHjVSURIIHUHG 7LQDWKHQVXJJHVWHGWKDWVKHZRXOGMXVWJRDKHDGDQGWDNH UHDVRQIRUWKHUHMHFWLRQ DOOWKHEODPH'HWHFWLYH5HLQNHZRXOGQRWDFFHSWWKDWDVNLQJ mGLG\RXDQG&DURO\QKROGWKHJLUOjV>VLF@GRZQEHFDXVHWKH :HQRWHILQDOO\WKDWLQGHQ\LQJWKHPRWLRQWRVXSSUHVVWKH JX\VWROG\RXWR"l7KHPRWKHUUHSHDWHGWKHTXHVWLRQDQGWKH FRQIHVVLRQ WKH VWDWH WULDO FRXUW WRRN LQWR DFFRXQW QRW RQO\ GHWHFWLYHVDLGm7LQD,NQRZ\RXWRXFKHGWKHJLUOl 7LQDjV GHPHDQRU DV UHIOHFWHG LQ WKH WDSH UHFRUGLQJ EXW 'HWHFWLYH5HLQNHjVGHPHDQRUDQGDWWLWXGHWRZDUG7LQDDIWHU 2QFHDJDLQ7LQDUHVSRQGHGZLWKWKHZRUGVm,GRQjWZDQW WKH ODWWHUjV VWDWHPHQWV DERXW QRW ZDQWLQJ WR WDON  7KH WRWDONDERXWLWl+HUPRWKHUWROGKHUVKHKDGWRWDONDERXWLW PDJLVWUDWH MXGJH ZKR DOVR OLVWHQHG WR WKH WDSH UHFRUGLQJ DQGFRXOGQRWWDNHWKHUDSIRUDmKH>D@WK>H@QlOLNH&DURO\Qm, IRXQGQRWKLQJWRDOWHUWKHFRQFOXVLRQWRZKLFKDUHDGLQJRIWKH GRQjWZDQQDWDONDERXWLWl7LQDUHSHDWHGm,MXVWGRQjWZDQQD WUDQVFULSWZRXOGSRLQW1HLWKHUGRZH WDONDERXWLWlVKHVDLGIRUWKHHLJKWKRUQLQWKWLPH ,W LV WUXH WR EH VXUH WKDW WKH GHWHFWLYHjV DWWLWXGH WRZDUG 5HIXVLQJWRWDNHQRIRUDQDQVZHUWKHGHWHFWLYHNHSWXUJLQJ 7LQDZDVYHU\V\PSDWKHWLF7KHGHWHFWLYHREYLRXVO\EHOLHYHG IXOOGLVFORVXUH7LQDZDVROGHQRXJKWREHWULHGDVDQDGXOW WKDWVKHFRXOGFDWFKPRUHIOLHVZLWKKRQH\WKDQZLWKYLQHJDU WKHGHWHFWLYHWROGKHUDQGZDVIDFLQJDOLIHVHQWHQFHLQSULVRQ 1RWKLQJ UHVHPEOLQJ WKH UDFN DQG WKH WKXPEVFUHZ ZDV m,I,WHOO\RXZKDWKDSSHQHGl7LQDILQDOO\UHVSRQGHGm,jOOJR HPSOR\HGLQWKLVFDVH7LQDjVZLOOGRHVQRWVHHPWRKDYHEHHQ IUHH ULJKW"l  7KH GHWHFWLYH UHSOLHG WKDW VKH FRXOG SURPLVH RYHUERUQHDQGoDVVXPLQJWKDWKHUVZDVQRWmDFRQIHVVLRQ QRWKLQJmULJKWQRZlDQGZHQWRQWRVD\WKDWm\RXKDYHWREH IRUFHGIURPWKHPLQGE\WKHIODWWHU\ RIKRSHlVHH.LQJY KRQHVWZLWKPHILUVWDQGWKHQZHFDQWDONDERXWZKDWZHjUH 3DUUDWW&DU 3(QJ5HS13DV JRQQDGRZLWK\RXl TXRWHGLQ'LFNHUVRQ86DWoWKHFRQIHVVLRQDSSHDUV WREHWUXVWZRUWK\ 6XFFXPELQJDWODVW7LQDWKHQJDYHDGHWDLOHGFRQIHVVLRQ 6KHH[SODLQHGWKDWVKHKDGKHOGRQHRIWKHYLFWLPjVDUPVDQG 3HUKDSVWKHWULDOFRXUWjVGHFLVLRQWRDGPLWWKHFRQIHVVLRQLQ &DURO\QKDGKHOGWKHRWKHUZKLOHmWKHJX\VlDSSDUHQWO\WKUHH HYLGHQFH ZDV QRW DQ XQUHDVRQDEOH DSSOLFDWLRQ RI WKH LQQXPEHUHQJDJHGLQRUDODQGYDJLQDOVH[ZLWKWKHYLFWLP &RQVWLWXWLRQDVZULWWHQ %XWWKHTXHVWLRQEHIRUHXVKHUHLV DQGKLWDQGNLFNHGKHU$FKLOGZKRZDVDERXWHLJKW\HDUVROG ZDWFKHGDOOWKLVm+HZDVMXVWVLWWLQjWKHUHODXJKLQjl7LQD VDLG  :KDW WKH &RQVWLWXWLRQ LWVHOI H[FOXGHV IURP WULDO DV sXVWLFH 6FDOLD QRWHG  86 DW  LQ GLVVHQWLQJ IURP WKH PDMRULW\ RSLQLRQ LQ % 'LFNHUVRQ  LV mFRPSHOOHG FRQIHVVLRQVl o ZKLFK 7LQDjV FRQIHVVLRQ RQH ,WZDVGHFLGHGWKDW7LQDVKRXOGEHWULHGDVDQDGXOW$IWHU FRXOG UHDVRQDEO\ FRQFOXGH ZDVQjW S@UHYHQWLQJ IRROLVK UDWKHU WKDQ FRPSHOOHG FRQIHVVLRQV    l  0F*UDZY+ROODQG 1R 1R 0F*UDZY+ROODQG 

m,DPDEVROXWHO\FRQYLQFHGWKDWZKHQWKHGHIHQGDQWVDLG FLUFXPVWDQFHVWKHUHDVRQDEOHQHVVRI0LFKLJDQjVDSSOLFDWLRQ µ,GRQjWZDQWWRWDONDERXWLWjVKHGLGQRWPHDQWKDWVKH RI 0LUDQGD LV WR VWDQG RU IDOO RQ WKH UHDVRQLQJ RI WKH WULDO ZDQWHGWRVWRSWKHLQWHUYLHZ6KHQHYHUGHPDQGHGRU FRXUWLWREYLRXVO\IDOOV UHTXHVWHGWRWHUPLQDWHWKHLQWHUYLHZl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jV KDVWROGXVWKDWWKHUHTXHVWPXVWEHPDGHmXQDPELJXRXVO\l FRXQVHO PDLQWDLQHG WKDW WKH FRQIHVVLRQ VKRXOG KDYH EHHQ 6HH'DYLVY8QLWHG6WDWHV867LQDjV VXSSUHVVHG ERWK EHFDXVH LW ZDV mFRHUFHG E\ SURPLVHV RI ODZ\HUGRHVQRWGHQ\WKDWDQLQYRFDWLRQRIWKHULJKWWRVLOHQFH OHQLHQF\l DQG EHFDXVH LW ZDV mH[WUDFWHG LQ GLVUHJDUG RI LILWLVWREHHIIHFWLYHPXVWEHXQDPELJXRXVDVZHOO$VIDU FRQWLQXHGUHTXHVWVWRVWRSWKHLQWHUYLHZl7KHFRXUWRI DVZHFDQVHHKRZHYHUWKHUHZDVQRWKLQJDPELJXRXVDERXW DSSHDOV DIILUPHG WKH FRQYLFWLRQ FRQFOXGLQJ WKDW WKH 7LQDjVUHSHDWHGLQVLVWHQFHVKHGLGQRWZDQWWRWDONDERXWWKH FRQIHVVLRQKDGEHHQJLYHQYROXQWDULO\7KHFRXUWQRWHGWKDW UDSH:KHQ7LQDNHSWVD\LQJZLWKRXWTXDOLILFDWLRQWKDWVKH 7LQD DQG KHU PRWKHU KDG mERWK VLJQHG D IRUP ZDLYLQJ MXVW GLG QRW ZDQW WR WDON DERXW WKH VXEMHFW o PDNLQJ WKHVH GHIHQGDQWjV0LUDQGDULJKWVlDQGKDGWROGWKHGHWHFWLYHWKDW GHFODUDWLRQVDIWHUVKHKDGEHHQIRUPDOO\DGYLVHGRIKHUULJKW WKH\NQRZLQJO\ZDLYHGWKHVHULJKWVDQGZLVKHGWRWDON7KH RI VLOHQFH o LW ZRXOG VLPSO\ QRW EH UHDVRQDEOH WR WDNH KHU FRXUWGLGQRWDGYHUWWR7LQDj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jV UHWDOLDWLRQ VWDWHPHQWV WKDW VKH GLG QRW ZDQW WR WDON DERXW WKH UDSH mXQFOHDU DQG DPELJXRXVl  ,Q FRQWH[W WKH GLVWULFW FRXUW 7KHVWDWHDUJXHVWKDWZKHQ'HWHFWLYH5HLQNHUHMHFWHG7LQDjV VXJJHVWHG D UHDVRQDEOH SROLFH RIILFHU FRXOG KDYH EHOLHYHG UHTXHVWV WR UHPDLQ VLOHQW RQ WKH VXEMHFW RI WKH UDSH WKH WKDW7LQDZDVPHUHO\LQGLFDWLQJmDKHVLWDQF\GXHWRDIHDURI GHWHFWLYH ZDV PHUHO\ GHFOLQLQJ WR OHW 7LQD WDNH VROH UHWDOLDWLRQIURPWKHRWKHUVXVSHFWVl UHVSRQVLELOLW\IRUWKHFULPH%XW7LQDjVVXJJHVWLRQWKDWm,jOO MXVWJRDKHDGDQGWDNH>DOO@WKHEODPHlFDPHDIWHUWKHSRLQWDW  0F*UDZY+ROODQG 1R 1R 0F*UDZY+ROODQG 

,IWKHUHZDVHYHUDQ\GRXEWWKDW0LUDQGDJLYHVDVXVSHFWWKH ,QGLVPLVVLQJ7LQDjVKDEHDVFDVHWKHGLVWULFWFRXUWLVVXHG ULJKWWRFRQWUROWKHVXEMHFWVGLVFXVVHGDWDSROLFHLQWHUYLHZDV DFHUWLILFDWHRIDSSHDODELOLW\SXUVXDQWWR86&†F ZHOO DV WKH ULJKW WR GHWHUPLQH ZKHWKHU WKH LQWHUYLHZ ZLOO 7KH FHUWLILFDWH ZDV OLPLWHG WR WKH DGPLVVLELOLW\ RI WKH SURFHHG DW DOO WKDW GRXEW ZDV UHPRYHG DV ZH VHH LW E\ FRQIHVVLRQLQOLJKWRIWKHFODLPmWKDWSHWLWLRQHUjVVWDWHPHQW 0LFKLJDQY0RVOH\m7KURXJKWKHH[HUFLVHRIKLVRSWLRQWR ZDVH[WUDFWHGLQGLVUHJDUGRIFRQWLQXHGUHTXHVWVWRVWRS WHUPLQDWHTXHVWLRQLQJlWKH6XSUHPH&RXUWGHFODUHGLQWKDW WKH LQWHUYLHZ DQG FRHUFHG E\ SURPLVHV RI OHQLHQF\l  2XU FDVHWKHVXVSHFWmFDQFRQWUROWKHWLPHDWZKLFKTXHVWLRQLQJ SDQHOKDVMXULVGLFWLRQWRGHFLGHERWKEUDQFKHVRIWKLVFODLPD RFFXUV WKH VXEMHFWV GLVFXVVHG DQG WKH GXUDWLRQ RI WKH WLPHO\ QRWLFH RI DSSHDO KDYLQJ EHHQ ILOHG EXW ZH ILQG LW LQWHUURJDWLRQl  0RVOH\  86 DW  HPSKDVLV XQQHFHVVDU\WRUHDFKWKHFRQWHQWLRQWKDWWKHFRQIHVVLRQZDV VXSSOLHG mFRHUFHGE\SURPLVHVRIOHQLHQF\l ,WLVWUXHWKDW7LQDGLGQRWVD\WRWKHGHWHFWLYHLQVRPDQ\ ,, ZRUGV m, ZDQW WR H[HUFLVH P\ RSWLRQ WR WHUPLQDWH WKLV LQWHUYLHZDOWRJHWKHULI,ZLOORWKHUZLVHKDYHWRWDONDERXWWKH 7KH$QWLWHUURULVPDQG(IIHFWLYH'HDWK3HQDOW\$FWRI UDSHl  %XW WKH 6XSUHPH &RXUW KDV ORQJ KHOG WKDW mQR SURYLGHVDPRQJRWKHUWKLQJVDVIROORZV ULWXDOLVWLFIRUPXODRUWDOLVPDQLFSKUDVHLVHVVHQWLDOLQRUGHUWR LQYRNHWKHSULYLOHJHDJDLQVWVHOILQFULPLQDWLRQl6HH(PVSDN m$QDSSOLFDWLRQIRUDZULWRIKDEHDVFRUSXVRQEHKDOIRI Y8QLWHG6WDWHV86$Q\UHDVRQDEOH DSHUVRQLQFXVWRG\SXUVXDQWWRWKHMXGJPHQWRID6WDWH SROLFHRIILFHUNQRZLQJWKDWH[HUFLVHRIWKHULJKWWRVLOHQFH FRXUWVKDOOQRWEHJUDQWHGZLWKUHVSHFWWRDQ\FODLPWKDW PXVWEHmVFUXSXORXVO\KRQRUHGlZRXOGKDYHXQGHUVWRRGWKDW ZDVDGMXGLFDWHGRQWKHPHULWVLQ6WDWHFRXUWSURFHHGLQJV ZKHQ7LQDUHSHDWHGO\VDLGVKHGLGQRWZDQWWRWDONDERXWWKH XQOHVVWKHDGMXGLFDWLRQRIWKHFODLPo UDSHVKHVKRXOGQRWKDYHEHHQWROGWKDWVKHKDGWRWDONDERXW LW)RUWKHVWDWHWULDOFRXUWWRKROGRWKHUZLVHZHEHOLHYHZDV  UHVXOWHG LQ D GHFLVLRQ WKDW ZDV FRQWUDU\ WR RU REMHFWLYHO\XQUHDVRQDEOH LQYROYHG DQ XQUHDVRQDEOH DSSOLFDWLRQ RI FOHDUO\ HVWDEOLVKHG )HGHUDO ODZ DV GHWHUPLQHG E\ WKH 8QOLNHWKHVWDWHWULDOFRXUWWKH0LFKLJDQ&RXUWRI$SSHDOV 6XSUHPH&RXUWRIWKH8QLWHG6WDWHVRU FRQILQHGLWVHOIWRWKHLVVXHRIZKHWKHUWKHFRQIHVVLRQKDGEHHQ JLYHQYROXQWDULO\7KHDSSHOODWHFRXUWVLPSO\GLGQRWDGGUHVV  UHVXOWHG LQ D GHFLVLRQ WKDW ZDV EDVHG RQ DQ WKH TXHVWLRQ ZKHWKHU WKH FRQIHVVLRQ ZDV LQDGPLVVLEOH E\ XQUHDVRQDEOHGHWHUPLQDWLRQRIWKHIDFWVLQOLJKWRI UHDVRQRILWVKDYLQJEHHQJLYHQDIWHU7LQDLQYRNHGKHUULJKWRI WKH HYLGHQFH SUHVHQWHG LQ WKH 6WDWH FRXUW VLOHQFH ZLWK UHVSHFW WR WKH UDSH  7KDW EHLQJ VR DQG WKH SURFHHGLQJl86&†G 0LFKLJDQ6XSUHPH&RXUWQRWKDYLQJVSRNHQWRWKHTXHVWLRQ HLWKHU WKH UDWLRQDOH JLYHQ E\ WKH WULDO FRXUW UHSUHVHQWV WKH 7LQD0F*UDZFODLPVWKDWKHUFRQIHVVLRQZDVLQDGPLVVLEOH VWDWHjV ILQDO ZRUG RQ WKH VXEMHFW  ,I XQGHU WKHVH XQGHU 0LUDQGD Y $UL]RQD  86   DQG LWV SURJHQ\7KLVFODLPZDVDGMXGLFDWHGRQWKHPHULWVLQWKHVWDWH FRXUWSURFHHGLQJV8QOHVVRQHRIWKHVWDWXWRU\FRQGLWLRQVZDV  PHWWKHUHIRUHWKHGLVWULFWFRXUWDFWHGFRUUHFWO\LQGHQ\LQJWKH ,W ZLOO EH UHFDOOHG WKDW 7LQD DVNHG WKH GHWHFWLYH QHDU WKH RXWVHW DSSOLFDWLRQIRUDZULWRIKDEHDVFRUSXV ZKHWKHU WKH LQWHUYLHZ FRXOG EH SRVWSRQHG 7KH VLJQLILFDQFH RI WKLV TXHVWLRQ QHHG QRW FRQFHUQ XV KHUH JLYHQ RXU FRQFOXVLRQ WKDW 7LQD 7LQDGRHVQRWFRQWHQGWKDWWKHVWDWHFRXUWjVGHFLVLRQZDV HIIHFWLYHO\ LQYRNHG KHU ULJKW WR VLOHQFH RQ WKH VXEMHFW RI WKH UDSH E\ VD\LQJ WKDW VKH GLG QRW ZDQW WR WDON DERXW LW EDVHG RQ DQ XQUHDVRQDEOH GHWHUPLQDWLRQ RI WKH IDFWV  6KH  0F*UDZY+ROODQG 1R 1R 0F*UDZY+ROODQG 

GRHV FRQWHQG KRZHYHU WKDW WKH GHFLVLRQ WR DGPLW WKH 7KH 0LUDQGD &RXUW PDGH LW FU\VWDO FOHDU WKDW JLYLQJ WKH FRQIHVVLRQFDPHZLWKLQ86&†G DVmDGHFLVLRQ SUHVFULEHGZDUQLQJVEHIRUHWKHFRPPHQFHPHQWRITXHVWLRQLQJ WKDWZDVFRQWUDU\WRRULQYROYHGDQXQUHDVRQDEOHDSSOLFDWLRQ GRHV QRW SUHFOXGH LQYRFDWLRQ RI WKH ULJKW WR VLOHQFH GXULQJ RI FOHDUO\ HVWDEOLVKHG )HGHUDO /DZ DV GHWHUPLQHG E\ WKH TXHVWLRQLQJ 6XSUHPH&RXUWRIWKH8QLWHG6WDWHVl m2QFH ZDUQLQJV KDYH EHHQ JLYHQ WKH VXEVHTXHQW :H DUH SHUVXDGHG WKDW WKH VWDWH FRXUW DSSOLHG FOHDUO\ SURFHGXUH LV FOHDU  ,I WKH LQGLYLGXDO LQGLFDWHV LQ DQ\ HVWDEOLVKHGHOHPHQWVRIWKH0LUDQGDUXOHWRWKHIDFWVRI7LQDjV PDQQHUDWDQ\WLPHSULRUWRRUGXULQJTXHVWLRQLQJWKDW FDVHmXQUHDVRQDEO\l,IZHDUHFRUUHFWLQWKLVZHDUHIUHHWR KHZLVKHVWRUHPDLQVLOHQWWKHLQWHUURJDWLRQPXVWFHDVHl FRQFOXGHDVZHGRWKDWWKHVWDWHFRXUWGHFLVLRQIDOOVZLWKLQ ,GDWHPSKDVLVVXSSOLHG  86& † G  DQG WKDW WKH JHQHUDO SURKLELWLRQ DJDLQVW JUDQWLQJ KDEHDV UHOLHI ZLWK UHVSHFW WR FODLPV $VWKH6XSUHPH&RXUWVXEVHTXHQWO\H[SODLQHGLQ0LFKLJDQY DGMXGLFDWHGRQWKHPHULWVE\DVWDWHFRXUWKDVQRDSSOLFDWLRQ 0RVOH\86m>D@UHDVRQDEOHDQGIDLWKIXO KHUH  6HH :LOOLDPV Y 7D\ORU  86    LQWHUSUHWDWLRQ RI WKH 0LUDQGD RSLQLRQ PXVW UHVW RQ WKH KROGLQJ WKDW mZKHQ D VWDWHFRXUW GHFLVLRQ XQUHDVRQDEO\ LQWHQWLRQRIWKH&RXUWLQWKDWFDVHWRDGRSWµIXOO\HIIHFWLYH DSSOLHVWKHODZRIWKLV&RXUWWRWKHIDFWVRIDSULVRQHUjVFDVH PHDQVWRQRWLI\WKHSHUVRQRIKLVULJKWWRVLOHQFHDQGWR DIHGHUDOFRXUWDSSO\LQJ†G PD\FRQFOXGHWKDWWKH DVVXUH WKDW WKH H[HUFLVH RI WKH ULJKW ZLOO EH VFUXSXORXVO\ VWDWHFRXUWGHFLVLRQIDOOVZLWKLQWKDWSURYLVLRQjVµXQUHDVRQDEOH KRQRUHG    jl  4XRWLQJ 0LUDQGD  86 DW  DSSOLFDWLRQjFODXVHl6HHDOVR)ORULGDY7KRPDV6&W (PSKDVLVVXSSOLHG DQG'RDQY%ULJDQR)GWK &LU 7KH6XSUHPH&RXUWKDVUHFHQWO\GHFOLQHGWRRYHUUXOHWKH 0LUDQGDGHFLVLRQ6HH'LFNHUVRQY8QLWHG6WDWHV86 ,Q WKH 0LUDQGD GHFLVLRQ LWVHOI WKH 6XSUHPH &RXUW &KDUDFWHUL]LQJ0LUDQGDDVDmFRQVWLWXWLRQDO H[SODLQHGLWVKROGLQJLQWKHIROORZLQJWHUPVmWKHSURVHFXWLRQ GHFLVLRQl PRUHRYHU WKH &RXUW KHOG LQ 'LFNHUVRQ WKDW PD\ QRW XVH VWDWHPHQWV    VWHPPLQJ IURP FXVWRGLDO 0LUDQGD DQG LWV 6XSUHPH &RXUW SURJHQ\ mJRYHUQ WKH LQWHUURJDWLRQRIWKHGHIHQGDQWXQOHVVLWGHPRQVWUDWHVWKHXVH DGPLVVLELOLW\ RI VWDWHPHQWV PDGH GXULQJ FXVWRGLDO RI SURFHGXUDO VDIHJXDUGV HIIHFWLYH WR VHFXUH WKH SULYLOHJH LQWHUURJDWLRQLQERWKVWDWHDQGIHGHUDOFRXUWVl,GHPSKDVLV DJDLQVW VHOILQFULPLQDWLRQl  0LUDQGD  86 DW  VXSSOLHG $PRQJ WKH SURFHGXUDO VDIHJXDUGV WKDW WKH 0LUDQGD &RXUW ZHQWRQWRHQXPHUDWHZDVWKHIROORZLQJ ,QWKHFULPLQDOSURFHHGLQJDJDLQVW7LQD0F*UDZWKHVWDWH WULDOFRXUWGHFOLQHGWRKROGWKHFRQIHVVLRQLQDGPLVVLEOHXQGHU m>,@IWKHLQGLYLGXDOLVDORQH>LHZLWKRXWDQDWWRUQH\@DQG 0LUDQGD VLQFH 7LQD mQHYHU GHPDQGHG RU UHTXHVWHG WR LQGLFDWHV LQ DQ\ PDQQHU WKDW KH GRHV QRW ZLVK WR EH WHUPLQDWHWKHLQWHUYLHZl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l  ,G DW  SURJHQ\ HPSKDVLVVXSSOLHG