United States v. Burton

Opinion

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21 3XUVXDQW WR 6L[WK &LUFXLW 5XOH   8QLWHG6WDWHVY%XUWRQ 1R (/(&7521,& &,7$7,21  )(' $SS $ WK &LU )LOH 1DPH DD ',675,&7 2) 7(11(66(( 0HPSKLV 7HQQHVVHH IRU $SSHOODQW  &KULVWRSKHU ( &RWWRQ $66,67$17 81,7(' 67$7(6$77251(<0HPSKLV7HQQHVVHHIRU$SSHOOHH 81,7('67$7(6&28572)$33($/6 BBBBBBBBBBBBBBBBBBBBB )257+(6,;7+&,5&8,7 BBBBBBBBBBBBBBBBB $0(1'('23,1,21 BBBBBBBBBBBBBBBBBBBBB

81,7(' 67$7(6 2) $0(5,&$ ; 521$/'/((*,/0$1&LUFXLWs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jVGHQLDO IRUWKH:HVWHUQ'LVWULFWRI7HQQHVVHHDWsDFNVRQ RIKLVPRWLRQWRVXSSUHVV)RUWKHUHDVRQVVHWIRUWKEHORZZH 1RnsDPHV'7RGG&KLHI'LVWULFWsXGJH $)),50WKHMXGJPHQWRIWKHGLVWULFWFRXUW $UJXHG0D\ ,%$&.*5281'

'HFLGHGDQG)LOHGsXO\ $ )DFWXDOEDFNJURXQG

%HIRUH.583$16.<6,/(5DQG*,/0$1&LUFXLW 2IILFHU *DU\ 'DYLGVRQ ZDV RQ SDWURO LQ +HQGHUVRQ s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sDFNVRQ 7HQQHVVHH IRU $SSHOOHH $W DSSUR[LPDWHO\  SP WKDW HYHQLQJ 2IILFHU 21 %5,()  0 'LDQQH 6PRWKHUV 2)),&( 2) 7+( 'DYLGVRQ DUULYHG DW %DXJKQ 6WUHHW  +H FLUFOHG DURXQG D )('(5$/ 38%/,& '()(1'(5 )25 7+( :(67(51 SDUNLQJORWDQGQRWLFHGDQDXWRPRELOHWXUQRQWRWKHVWUHHW

 1R 8QLWHG6WDWHVY%XUWRQ   8QLWHG6WDWHVY%XUWRQ 1R

7KHDXWRPRELOHFDPHWRDVWRSDSSUR[LPDWHO\WHQIHHWIURPD % 3URFHGXUDOEDFNJURXQG mQRSDUNLQJlVLJQ7ZREODFNPHQJRWLQWRWKHEDFNVHDW 7KHDXWRPRELOHGLGQRWGHSDUW$IWHUZDLWLQJDIHZVHFRQGV 7KHJUDQGMXU\UHWXUQHGDWKUHHFRXQWLQGLFWPHQWDJDLQVW 2IILFHU'DYLGVRQSURFHHGHGWRZDUGWKHVWRSSHGDXWRPRELOH %XUWRQ  &RXQW 2QHFKDUJHGKLPZLWKYLRODWLQJ86& LQ KLV SROLFH FUXLVHU GULYLQJ XS LPPHGLDWHO\ EHKLQG LW †E\SRVVHVVLQJILYHJUDPVRUPRUHRIFRFDLQHEDVHZLWK 6HYHUDO PRUH VHFRQGV SDVVHG ZLWK QR PRYHPHQW E\ HLWKHU WKHLQWHQWWRGLVWULEXWH7KHVHFRQGDQGWKLUGFRXQWVFKDUJHG YHKLFOH DW ZKLFK SRLQW 2IILFHU 'DYLGVRQ WXUQHG RQ KLV %XUWRQ ZLWK YLRODWLRQV RI  86& ††  DQG  IRU FUXLVHUjVSROLFHOLJKWV SRVVHVVLQJDILUHDUPLQIXUWKHUDQFHRIGUXJWUDIILFNLQJDQG ZKLOHDIHORQUHVSHFWLYHO\%XUWRQILOHGDPRWLRQWRVXSSUHVV 2IILFHU'DYLGVRQWKHQH[LWHGKLVFUXLVHUDQGDSSURDFKHGWKH WKHHYLGHQFHREWDLQHGE\2IILFHU'DYLGVRQGXULQJWKHLQFLGHQW DXWRPRELOH+HDVNHGWKHGULYHUZKRZDVODWHULGHQWLILHGDV RQ%DXJKQ6WUHHW$IWHUFRQGXFWLQJDKHDULQJRQWKLVLVVXH %XUWRQWRSURGXFHKLVGULYHUj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m$GLVWULFWFRXUWjVGHQLDORIDPRWLRQWRVXSSUHVVHYLGHQFH &KLHI+DOWRPDUULYHGRQWKHVFHQH LVUHYLHZHGXQGHUDK\EULGVWDQGDUG,WVILQGLQJVRIIDFWDUH UHYLHZHG XQGHU WKH µFOHDUO\ HUURQHRXVj VWDQGDUG EXW LWV %XUWRQWKHQDFFHGHGWR2IILFHU'DYLGVRQjVUHTXHVWWKDWKH FRQFOXVLRQVRIODZDUHUHYLHZHGGHQRYRl8QLWHG6WDWHVY SXW KLV KDQGV RQ KLV KHDG DQG EH SDWWHG GRZQ IRU VDIHW\ 2UODQGR)GWK&LUFHUWGHQLHG6&W SXUSRVHV  ,PPHGLDWHO\ EHIRUH EHJLQQLQJ WKH SDW GRZQ  2IILFHU'DYLGVRQDVNHG%XUWRQm,VWKHUHDQ\WKLQJRQ\RX, QHHG WR NQRZ DERXW VXFK DV QHHGOHV RU DQ\WKLQJ LQ WKLV %XUWRQDUJXHVWKDW2IILFHU'DYLGVRQjV LQLWLDOVWRSRIWKH QDWXUH"l%XUWRQUHVSRQGHGE\DGPLWWLQJWKDWKHZDVFDUU\LQJ DXWRPRELOHZDVXQODZIXO7KH)RXUWK$PHQGPHQWKRZHYHU PDULMXDQDLQKLVSDQWVSRFNHW2IILFHU'DYLGVRQUHWULHYHGWKH SHUPLWVDQRIILFHUZKRKDVSUREDEOHFDXVHWREHOLHYHWKDWD EDJRIPDULMXDQDDQGDVNHG%XUWRQm'ZLJKWGR\RXKDYH WUDIILF YLRODWLRQ LV RFFXUULQJ WR GHWDLQ WKH DXWRPRELOH DQ\WKLQJHOVH"l%XUWRQUHSOLHGWKDWKHKDGPRUHQDUFRWLFVLQ UHJDUGOHVVRIWKHRIILFHUjVVXEMHFWLYHPRWLYDWLRQIRUWKHVWRS KLV VKLUW SRFNHW  2IILFHU 'DYLGVRQ WKHUHXSRQ H[WUDFWHG D :KUHQY8QLWHG6WDWHV86,QWKLV VQXII ER[ FRQWDLQLQJ FUDFN FRFDLQH IURP %XUWRQjV VKLUW FDVH2IILFHU'DYLGVRQREVHUYHGWKHDXWRPRELOHWKDW%XUWRQ SRFNHW  $IWHU FRPSOHWLQJ WKH SDWGRZQ 2IILFHU 'DYLGVRQ ZDVGULYLQJSDUNHGQHDUDQRSDUNLQJVLJQ%XUWRQFODLPV SODFHG%XUWRQXQGHUDUUHVWIRUGUXJSRVVHVVLRQ'XULQJWKH WKDWKHZDVQRWYLRODWLQJDQ\WUDIILFODZEHFDXVHKHZDVQRW HQVXLQJVHDUFKRIWKHDXWRPRELOHDILUHDUPZDVGLVFRYHUHG WHFKQLFDOO\ mSDUNHGl ZLWKLQ WKH PHDQLQJ RI +HQGHUVRQjV PXQLFLSDOSDUNLQJRUGLQDQFH :HILQGWKLVDUJXPHQWXQSHUVXDVLYHIRUWZRUHDVRQV)LUVW %XUWRQIDLOHGWRUDLVHLWLQWKHGLVWULFWFRXUW7KLVFRXUWKDV 1R 8QLWHG6WDWHVY%XUWRQ   8QLWHG6WDWHVY%XUWRQ 1R

KHOGWKDWmDGHIHQGDQWZKRIDLOVWRUDLVHDVSHFLILFLVVXHDVWKH RFFXSDQWVXQOHVVVRPHWKLQJWKDWRFFXUUHGGXULQJWKHWUDIILF EDVLVIRUVXSSUHVVLRQKDVZDLYHGWKHULJKWWRUDLVHWKDWLVVXH VWRSJHQHUDWHGWKHQHFHVVDU\UHDVRQDEOHVXVSLFLRQWRMXVWLI\D RQDSSHDOl8QLWHG6WDWHVY&ULWWRQ)GWK IXUWKHU GHWHQWLRQl  ,G DW   %XUWRQ FRQWHQGV WKDW &LULQWHUQDOTXRWDWLRQPDUNVRPLWWHG,QGHHGLQKLV m'DYLGVRQDGPLWWHGWKDWRQFHKHJDYH0U%XUWRQjVOLFHQVH PRWLRQWRVXSSUHVV%XUWRQKLPVHOIUHIHUUHGWRWKHLQFLGHQWLQ EDFNWRKLPKHFRXOGKDYHVLPSO\JLYHQKLPDFLWDWLRQIRU TXHVWLRQDVmDQRUGLQDU\WUDIILFVWRS>LQWKLVLQVWDQFHDSDUNLQJ SDUNLQJLQDQRSDUNLQJ]RQHl$Q\IXUWKHUGHWHQWLRQ%XUWRQ YLRODWLRQ@    l  %UDFNHWV LQ RULJLQDO  +H DOVR DUJXHVZDVXQODZIXODEVHQWUHDVRQDEOHVXVSLFLRQWKDWRWKHU DFNQRZOHGJHG WKDW m>L@Q WKH SUHVHQW FDVHl D SROLFH RIILFHU FULPLQDODFWLYLW\ZDVDIRRW VDZmDYHKLFOHZKLFKDSSHDUHGWREHSDUNHGLQDµQRSDUNLQJj DUHDl 7KH0HVDFRXUWjVVWDWHPHQWKRZHYHUQRORQJHUDFFXUDWHO\ UHSUHVHQWVWKHODZ,Q2KLRY5RELQHWWH86 6HFRQGWKHWUDIILFODZVRIERWK+HQGHUVRQDQGWKHVWDWHRI WKH6XSUHPH&RXUWFRQVLGHUHGZKHWKHUDPRWRULVWjV)RXUWK 7HQQHVVHHIDLOWRVXSSRUW%XUWRQjVDUJXPHQW%XUWRQFLWHV $PHQGPHQWULJKWVZHUHYLRODWHGZKHUHDIWHULQLWLDOO\EHLQJ †RIWKH+HQGHUVRQWUDIILFFRGHIRUWKHSURSRVLWLRQ VWRSSHGIRUDWUDIILFYLRODWLRQWKHPRWRULVWZDVRUGHUHGRXWRI WKDWDQDXWRPRELOHPXVWEHOHIWXQDWWHQGHGWREHFRQVLGHUHG KLVDXWRPRELOHE\WKHSROLFHRIILFHUDQGDVNHGLIKHZRXOG SDUNHG%XW†SURYLGHVQRVXFKGHILQLWLRQ5DWKHULW FRQVHQWWRDVHDUFKRIWKHYHKLFOHIRULOOHJDOFRQWUDEDQG,G VHWVIRUWKDQLQGHSHQGHQWUXOHWKDWm>Q@RSHUVRQVKDOOOHDYH DW%HFDXVHWKHRIILFHUjVTXHVWLRQKDGH[FHHGHGWKH DQ\ PRWRU YHKLFOH XQDWWHQGHG RQ DQ\ VWUHHW ZLWKRXW ILUVW VFRSHRIWKHWUDIILFVWRSjVLQLWLDOSXUSRVHWKH2KLR6XSUHPH VHWWLQJWKHEUDNHVWKHUHRQl0RUHRQSRLQWLVWKHVWDWH &RXUWKDGUXOHGWKDWWKHFRQVHQWVXEVHTXHQWO\REWDLQHGZDV VWDWXWH WKDW GHILQHV SDUNLQJ DV mWKH VWDQGLQJ RI D YHKLFOH LQYDOLG7KH6XSUHPH&RXUWUHYHUVHGKROGLQJWKDWWKH)RXUWK ZKHWKHURFFXSLHGRUQRWRWKHUZLVHWKDQWHPSRUDULO\IRUWKH $PHQGPHQWUHTXLUHGRQO\WKDWWKHGHWHQWLRQDQGTXHVWLRQEH SXUSRVH RI DQG ZKLOH DFWXDOO\ HQJDJHG LQ ORDGLQJ RU UHDVRQDEOHXQGHUWKHSDUWLFXODUIDFWVRIWKHFDVH,GDW XQORDGLQJl  7HQQ &RGH $QQ †   %RWK )ROORZLQJ5RELQHWWHWKLVFRXUWLQ8QLWHG6WDWHVY*XLPRQG +HQGHUVRQDQGWKHVWDWHRI7HQQHVVHHEDQSDUNLQJZKHUHD  )G  WK &LU  UHDG 0HVD WR DSSO\ RQ LWV VLJQSURKLELWVLW+HQGHUVRQ7Q2UGLQDQFHVFK† IDFWVnZKHUHWKHPRWRULVWjVFRQVHQWZDVREWDLQHGRQO\DIWHU m1R SHUVRQ VKDOO SDUN D YHKLFOH LQ YLRODWLRQ RI DQ\ VLJQ VKH KDG EHHQ GHWDLQHG LQ D ORFNHG SROLFH FUXLVHU IRU D SODFHGRUHUHFWHGE\WKHVWDWHRUFLW\l7HQQ&RGH$QQ FRQVLGHUDEOHSHULRGRIWLPHDIWHUWKHLQLWLDOVWRSnUDWKHUWKDQ †D IRUELGGLQJVWRSSLQJVWDQGLQJRUSDUNLQJ DV VHWWLQJ IRUWK DQ LQIOH[LEOH UXOH  ,G DW  TXRWLQJ WKH m>D@W DQ\ SODFH ZKHUH RIILFLDO VLJQV SURKLELW VWRSSLQJl VWDWHPHQWRIWKH0HVDFRXUWDQGWKHQH[SODLQLQJWKDWmZHUHDG %HFDXVH KH REVHUYHG WKH DXWRPRELOH GULYHQ E\ %XUWRQ WKDW SDVVDJH DV DSSO\LQJ WR WKH IDFWV RI WKDW FDVH QRW DV VWRSSHGQHDUDQRSDUNLQJVLJQZKLOHQRWDFWXDOO\HQJDJHGLQ KROGLQJWKDWFRQVHQWLVSHUVHLQYDOLGLQDOOFDVHVZKHUHLWLV ORDGLQJRUXQORDGLQJ2IILFHU'DYLGVRQKDGSUREDEOHFDXVHWR REWDLQHGDIWHUWKHFRQFOXVLRQRIOHJLWLPDWHGHWHQWLRQl EHOLHYHWKDW%XUWRQZDVYLRODWLQJORFDODQGVWDWHWUDIILFODZV :HUHFRJQL]HWKDWWKHPRUHUHFHQWFDVHRI8QLWHG6WDWHVY %XUWRQDUJXHVDOWHUQDWLYHO\WKDWHYHQLIWKHLQLWLDOVWRSZDV 6PLWK)GWK&LUPD\KDYHFUHDWHGVRPH MXVWLILHG LWV VFRSH H[FHHGHG WKDW ZKLFK LV FRQVWLWXWLRQDOO\ FRQIXVLRQ LQ WKLV UHJDUG  ,Q 6PLWK WKLV FRXUW XSKHOG WKH SHUPLVVLEOH+HUHOLHVRQ8QLWHG6WDWHVY0HVD)G VXSSUHVVLRQ RI HYLGHQFH REWDLQHG GXULQJ WKH VHDUFK RI DQ WK&LUZKHUHWKLVFRXUWVWDWHGm2QFHWKHSXUSRVHV DXWRPRELOHZKHUHWKHRIILFHUKDGFRPSOHWHGWKHWUDIILFVWRS RIWKHLQLWLDOWUDIILFVWRSZHUHFRPSOHWHGWKHUHLVQRGRXEW DQGKDGQRUHDVRQDEOHVXVSLFLRQWKDWRWKHUFULPLQDODFWLYLW\ WKDW WKH RIILFHU FRXOG QRW IXUWKHU GHWDLQ WKH YHKLFOH RU LWV ZDVDIRRW\HWGHWDLQHGWKHPRWRULVWXQWLODmGUXJGRJlFRXOG 1R 8QLWHG6WDWHVY%XUWRQ   8QLWHG6WDWHVY%XUWRQ 1R

LQVSHFW WKH DXWRPRELOH  7KH FRXUW VWDWHG m$OWKRXJK PRUHTXHVWLRQVE\DSROLFHRIILFHUWKDQDUHQHFHVVDU\WRLVVXH *XLPRQG GLG OLPLW 0HVD WR LWV IDFWV LW GLG VR RQO\ ZLWK DWUDIILFFLWDWLRQWKH6HYHQWK&LUFXLWKDVRSLQHG UHVSHFWWRWKHLVVXHRIWKHYDOLGLW\RIFRQVHQWWRVHDUFKZKLFK LV REWDLQHG DIWHU WKH FRQFOXVLRQ RI DQ LQLWLDO GHWHQWLRQ 4XHVWLRQV WKDW KROG SRWHQWLDO IRU GHWHFWLQJ FULPH \HW *XLPRQG GLG QRW DIIHFW 0HVD ZLWK UHVSHFW WR WKH LVVXH RI FUHDWHOLWWOHRUQRLQFRQYHQLHQFHGRQRWWXUQUHDVRQDEOH UHDVRQDEOHVXVSLFLRQl,GDWQFLWDWLRQRPLWWHG GHWHQWLRQ LQWR XQUHDVRQDEOH GHWHQWLRQ  7KH\ GR QRW VLJQDO RU IDFLOLWDWH RSSUHVVLYH SROLFH WDFWLFV WKDW PD\ 7KHFUXFLDOGLIIHUHQFHEHWZHHQWKHIDFWVRI6PLWKDQGWKRVH EXUGHQWKHSXEOLFnIRUDOOVXVSHFWVHYHQWKHJXLOW\RQHV RI*XLPRQGRUWKHSUHVHQWFDVHLVWKDWWKHSROLFHRIILFHULQ PD\ SURWHFW WKHPVHOYHV IXOO\ E\ GHFOLQLQJ WR DQVZHU 6PLWKVHDUFKHGWKHVWRSSHGDXWRPRELOHZLWKRXWWKHPRWRULVWjV 1RUGRWKHTXHVWLRQVIRUFLEO\LQYDGHDQ\SULYDF\LQWHUHVW FRQVHQW7KLVIDFWDOVRGLVWLQJXLVKHVWKHLQVWDQWFDVHIURPWKH RUH[WUDFWLQIRUPDWLRQZLWKRXWWKHVXVSHFWVjFRQVHQW GHFLVLRQE\WKH6XSUHPH&RXUWLQ.QRZOHVY,RZD86 ZKLFKKHOG WKDW WKH )RXUWK $PHQGPHQW GLG QRW 8QLWHG 6WDWHV Y &KLOGV  )G   WK &LU HQ SHUPLW DQ RIILFHU WR VWRS D PRWRULVW IRU D WUDIILF YLRODWLRQ LVVXH EDQFFHUWGHQLHG6&W D FLWDWLRQ DQG WKHQ VHDUFK WKH DXWRPRELOH ZLWKRXW WKH PRWRULVWjV FRQVHQW SXUVXDQW WR D VWDWH VWDWXWH WKDW DXWKRUL]HG ,Q WKLV FDVH DIWHU %XUWRQ JDYH 2IILFHU 'DYLGVRQ D YDOLG VHDUFKHV LQFLGHQW WR FLWDWLRQV ,Q FRQWUDVW 2IILFHU 'DYLGVRQ GULYHUjVOLFHQVHKHZDVDVNHGRQO\DKDQGIXORITXHVWLRQV VRXJKW DQG REWDLQHG %XUWRQj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m>7@KH FRPELQDWLRQ RI $WZDWHU DQG GULYHUjV OLFHQVH GLG QRW QHFHVVDULO\ PDNH WKH WUDIILF VWRS :KUHQ DSSHDU WR HIIHFWLYHO\ QHJDWH WKH &RXUWjV UXOLQJ LQ XQUHDVRQDEOHLQVFRSHRUGXUDWLRQ8QLWHG6WDWHVY(UZLQ .QRZOHV Y ,RZD    l %XW ZH KDYH QR QHHG WR H[DPLQH WKDW )GWK&LUHQEDQFKROGLQJWKDW TXHVWLRQ LQ WKLV FDVH EHFDXVH %XUWRQ GLG LQ IDFW DJUHH WR WKH ZKHUH SROLFH RIILFHUV KDG VWRSSHG D YHKLFOH EHFDXVH WKH\ VHDUFK RI WKH DXWRPRELOH 5RELQHWWH WKHUHIRUH SURYLGHV WKH VXVSHFWHGWKDWWKHPRWRULVWZDVLQWR[LFDWHGmLUUHVSHFWLYHRI DSSURSULDWH IUDPHZRUN IRU DQDO\]LQJ WKH IDFWV KHUH ZKHWKHUWKHGHSXWLHVZHUHMXVWLILHGLQGHWDLQLQJ>WKHPRWRULVW@ DIWHUKHVKRZHGQRVLJQVRILQWR[LFDWLRQDQGHYHQLIWKH\KDG 7KLV OHDYHV XV WR DVFHUWDLQ ZKHWKHU DVNLQJ %XUWRQ LI KH QRW DIWHU DSSURDFKLQJ >WKH PRWRULVW@ REVHUYHG FRQGLWLRQV ZRXOGFRQVHQWWRDVHDUFKRIWKHDXWRPRELOHZDVDUHDVRQDEOH UDLVLQJDUHDVRQDEOHDQGDUWLFXODEOHVXVSLFLRQWKDWFULPLQDO UHTXHVW XQGHU WKH FLUFXPVWDQFHV  5HFHQW 6XSUHPH &RXUW DFWLYLW\ZDVµDIRRWjWKH\ZHUHHQWLWOHGWRDVN>WKHPRWRULVW@ SUHFHGHQW VXJJHVWV WKDW WKLV LQTXLU\ ZDV UHDVRQDEOH  ,Q IRUSHUPLVVLRQWRVHDUFKKLVYHKLFOHl&KLOGV)GDW $WZDWHUY&LW\RI/DJR9LVWD86WKH&RXUW XSKROGLQJWKHODZIXOQHVVRIDVHDUFKWKHFRQVHQWIRUZKLFK KHOGWKDWWKH)RXUWK$PHQGPHQWSHUPLWVDSROLFHRIILFHUWR ZDVREWDLQHGE\DVNLQJDPRWRULVWWKUHHTXHVWLRQVXQUHODWHG HIIHFW D FXVWRGLDO DUUHVW RI VRPHRQH IRU D PLVGHPHDQRU WRWKHSXUSRVHRIWKHWUDIILFVWRS SDUNLQJ YLRODWLRQ HYHQ WKRXJK WKH RIIHQVH LV QRW RQH WKDW SHUPLWV WKH YLRODWRUjV DUUHVW XQGHU VWDWH ODZ  ,G DW  3DUWLFXODUO\ZKHUHDVKHUHWKHWUDIILFVWRSWRRNSODFHRQD $SSO\LQJ$WZDWHUWRWKHFRQWH[WRIDPRWRULVWEHLQJDVNHG VWUHHWNQRZQWRWKHSROLFHDVDKLJKFULPHDUHDZHEHOLHYH 1R 8QLWHG6WDWHVY%XUWRQ   8QLWHG6WDWHVY%XUWRQ 1R

WKDWDVNLQJDIHZTXHVWLRQVDERXWLOOHJDODFWLYLW\WRWKHGULYHU >WKH &DOLIRUQLD ODZ WKDW@ SURKLELWV FDUU\LQJ D FRQFHDOHG RIDQDXWRPRELOHVWRSSHGIRUDWUDIILFYLRODWLRQDWSP ILUHDUPLQDYHKLFOHZLWKRXWDSHUPLW>7KHRIILFHU@FRXOG LVQRWXQUHDVRQDEOH6HH,OOLQRLVY:DUGODZ86 VHDUFK >WKH GHIHQGDQWjV@ FDU DQG FRQWDLQHUV ZLWKLQ LW WKDW m>2@IILFHUVDUHQRWUHTXLUHGWRLJQRUHWKHUHOHYDQW PLJKWFRQFHDODILUHDUPl8QLWHG6WDWHVY'DYLV1R FKDUDFWHULVWLFV RI D ORFDWLRQ LQ GHWHUPLQLQJ ZKHWKHU WKH :/DW  WK&LU2FW FLUFXPVWDQFHVDUHVXIILFLHQWO\VXVSLFLRXVWRZDUUDQWIXUWKHU XSKROGLQJWKHVHDUFKDQGDUUHVWRIDSHUVRQZKRZKHQDVNHG LQYHVWLJDWLRQl:HWKHUHIRUHFRQFOXGHWKDWWKHVFRSHDQG E\SROLFHRIILFHUVZKHWKHUVKHZDVFDUU\LQJGUXJVUHSOLHGm, GXUDWLRQRIWKHWUDIILFVWRSLQWKLVFDVHZDVUHDVRQDEOHZKLFK JXHVV\RXDUHJRLQJWRILQGRXWVRRQHURUODWHUl YDOLGDWHV%XUWRQjVFRQVHQWWRVHDUFKWKHDXWRPRELOH ,,,&21&/86,21 1HLWKHU%XUWRQjVPRWLRQLQWKHGLVWULFWFRXUWQRUKLVEULHIRQ DSSHDODUHFOHDUDVWRZKHWKHUKHDOVRVHHNVWRVXSSUHVVWKH )RU DOO RI WKH UHDVRQV VHW IRUWK DERYH ZH $)),50 WKH HYLGHQFHRIWKHPDULMXDQDDQGFRFDLQHEDVHWKDWZDVRQKLV MXGJPHQWRIWKHGLVWULFWFRXUW SHUVRQ7KHGLVWULFWFRXUWKRZHYHUDGGUHVVHGWKLVLVVXHDQG FRQFOXGHGWKDWWKHUHZDVQRUHDVRQWRVXSSUHVVWKHHYLGHQFH :HDJUHH,Q3HQQV\OYDQLDY0LPPV86 WKH6XSUHPH&RXUWKHOGmWKDWRQFHDPRWRUYHKLFOHKDVEHHQ ODZIXOO\ GHWDLQHGIRUDWUDIILFYLRODWLRQWKHSROLFHRIILFHUV PD\ RUGHU WKH GULYHU WR JHW RXW RI WKH YHKLFOH ZLWKRXW YLRODWLQJ WKH )RXUWK $PHQGPHQWjV SURVFULSWLRQ RI XQUHDVRQDEOHVHDUFKHVDQGVHL]XUHVl,GDWQ2IILFHU 'DYLGVRQ GLG MXVW WKDW DQG WKHQ DVNHG %XUWRQ m,V WKHUH DQ\WKLQJ RQ \RX , QHHG WR NQRZ DERXW VXFK DV QHHGOHV RU DQ\WKLQJ LQ WKLV QDWXUH"l  7KLV TXHVWLRQ ZDV UHDVRQDEO\ UHODWHGWRWKHRIILFHUjVVDIHW\,QUHVSRQVH%XUWRQYROXQWDULO\ DGPLWWHGWKDWKHZDVFDUU\LQJQDUFRWLFVRQKLVSHUVRQ 7KLV DGPLVVLRQ XQGRXEWHGO\ JDYH 2IILFHU 'DYLGVRQ SUREDEOHFDXVHWRVHDUFKDQGDUUHVW%XUWRQ6HH8QLWHG6WDWHV Y+DUULV86m$GPLVVLRQVRIFULPH OLNHDGPLVVLRQVDJDLQVWSURSULHWDU\LQWHUHVWVFDUU\WKHLURZQ LQGLFLDRIFUHGLELOLW\nVXIILFLHQWDWOHDVWWRVXSSRUWDILQGLQJ RI SUREDEOH FDXVH WR VHDUFKl 8QLWHG 6WDWHV Y 7RUUHV *XHYDUD)GWK&LUFRQFOXGLQJ WKDWZKHUHWKHGHIHQGDQWjVmHQFRXQWHUZLWKWKHRIILFHUVZDV FRQVHQVXDODWWKHWLPHVKHDGPLWWHGFDUU\LQJGUXJV>@WKLV DGPLVVLRQSURYLGHGSUREDEOHFDXVHIRUKHUDUUHVWl8QLWHG 6WDWHVY%UDG\)GWK&LUm$IWHU >WKHGHIHQGDQW@VDLGKHKDGDJXQLQWKHWUXQN>WKHRIILFHU@ KDGSUREDEOHFDXVHWRWKLQNWKDW>WKHGHIHQGDQW@ZDVYLRODWLQJ