Wirtgen Am., Inc. v. United States
This text of 437 F. Supp. 3d 1302 (Wirtgen Am., Inc. v. United States) is published on Counsel Stack Legal Research, covering United States Court of International Trade primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.
Opinion
6OLS2S29
81,7('67$7(6&28572),17(51$7,21$/75$'(
:,57*(1$0(5,&$,1&
3ODLQWLII &RXUW1R Y %HIRUH 7LPRWK\&6WDQFHX&KLHI-XGJH 81,7('67$7(6et al.
'HIHQGDQWV
23,1,21$1'25'(5
>'HQ\LQJGHIHQGDQWV¶PRWLRQWRGLVPLVVIRUODFNRIVXEMHFWPDWWHUMXULVGLFWLRQDQGWKH 86,QWHUQDWLRQDO7UDGH&RPPLVVLRQ¶VPRWLRQWRLQWHUYHQHDVDSDUW\GHIHQGDQW@
'DWHG 0DUFK
Daniel E. Yonan6WHUQH.HVVOHU*ROGVWHLQ )R[3//&1HZ Guy R. Eddon7ULDO$WWRUQH\DQGPatricia MMcCarthy$VVLVWDQW'LUHFWRU86 'HSDUWPHQWRI-XVWLFH&RPPHUFLDO/LWLJDWLRQ%UDQFK&LYLO'LYLVLRQ1HZ 6WDQFHX&KLHI-XGJH 3ODLQWLII:LUWJHQ$PHULFD,QF ³:LUWJHQ´ EURXJKWWKLVDFWLRQRQ -DQXDU\WRFRQWHVWWKHH[FOXVLRQIURPHQWU\RILWVPHUFKDQGLVHZKLFKFRQVLVWVRIVL[ URDGPLOOLQJPDFKLQHVWKDWZHUHLPSRUWHGRQWKUHHUHFHQWHQWULHV86&XVWRPVDQG%RUGHU 3URWHFWLRQ ³&XVWRPV´RU³&%3´ UHO\LQJXSRQDQH[FOXVLRQRUGHURIWKH8QLWHG6WDWHV ,QWHUQDWLRQDO7UDGH&RPPLVVLRQ WKH³,7&´RUWKH³&RPPLVVLRQ´ KDVH[FOXGHGWKHVL[ PDFKLQHVIURPHQWU\IRUSRWHQWLDOSDWHQWLQIULQJHPHQW&RPSO -DQ (&)1R &RXUW1R 3DJH %HIRUHWKHFRXUWDUHWZRPRWLRQV'HIHQGDQWVPRYHWRGLVPLVVWKLVDFWLRQIRUODFNRI VXEMHFWPDWWHUMXULVGLFWLRQ'HIV¶0RWWR'LVPLVV )HE (&)1R ³'HIV¶0RW´ 7KH,7&PRYHVIRUGHIHQGDQWLQWHUYHQRUVWDWXV0RWRIWKH86,QW¶O7UDGH&RPP¶QIRU/HDYH WR,QWHUYHQHDVD3DUW\'HI )HE (&)1R ³,7&¶V0RW´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¶VURDGPLOOLQJPDFKLQHV 0RGHO1RV:&)L:&)L DQG:&)L FROOHFWLYHO\WKH³6HULHV´PDFKLQHV ZHUHVXEMHFWWRDQLQYHVWLJDWLRQ FRQGXFWHGE\WKH,7&XQGHUVHFWLRQRIWKH7DULII$FWRI ³VHFWLRQ´ 86& &RXUW1R 3DJH LQWRDOOHJHGSDWHQWLQIULQJHPHQW7KHLQYHVWLJDWLRQLQLWLDWHGLQ1RYHPEHUXSRQD FRPSODLQWILOHGE\&DWHUSLOODU,QFDQG&DWHUSLOODU3DYLQJ3URGXFWV,QF FROOHFWLYHO\ ³&DWHUSLOODU´ FXOPLQDWHGLQWKH,7&¶VILQGLQJRIDYLRODWLRQRIVHFWLRQDQGUHVXOWHGLQWKH LVVXDQFHRID/LPLWHG([FOXVLRQ2UGHU ³/(2´ DQGFHUWDLQFHDVHDQGGHVLVWRUGHUVEDUULQJ :LUWJHQIURPLPSRUWLQJWKH6HULHVPDFKLQHVLQWRWKH8QLWHG6WDWHVSeeCertain Road Construction Machines and Components Thereof; Notice of Commission Final Determination Finding a Section 337 Violation; Issuance of a Limited Exclusion Order and a Cease and Desist Order; Termination of the Investigation86,7&,QY1R7$ -XQH available at :/ ³ITC Final Determination´ :LUWJHQKDVDSSHDOHGWKH,7&¶V ILQDOGHWHUPLQDWLRQWRWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLW&RPSO ,QLWVVHFWLRQLQYHVWLJDWLRQWKH,7&GHWHUPLQHGWKDWWKH6HULHVPDFKLQHV LQIULQJHGFODLP RI863DWHQW1R WKH³¶ SDWHQW´ Id.± &7KH5HGHVLJQHG6HULHV0DFKLQHV 2Q)HEUXDU\ WKHDGPLQLVWUDWLYHODZMXGJH ³$/-´ FRQGXFWLQJWKHVHFWLRQ LQYHVWLJDWLRQLVVXHGD)LQDO,QLWLDO'HWHUPLQDWLRQWKDWIRXQGDOODVVHUWHGFODLPVRIWKH¶ SDWHQWRWKHUWKDQFODLP WREHLQYDOLGDQGIRXQGDYLRODWLRQRIVHFWLRQEDVHGRQDILQGLQJ WKDWWKH6HULHVPDFKLQHVLQIULQJHGFODLP RIWKDWSDWHQWId. ±³7KH&RPPLVVLRQ DIILUPHGWKHDGPLQLVWUDWLYHODZMXGJH¶VGHWHUPLQDWLRQLQUHOHYDQWSDUWDQGLVVXHGWKH UHFRPPHQGHGUHPHGLHVDJDLQVW:LUWJHQ¶V6HULHVPDFKLQHV´Id. ,QWKH)LQDO,QLWLDO'HWHUPLQDWLRQWKHDGPLQLVWUDWLYHODZMXGJH³IRXQGWKDWWKHVZLQJOHJ RQWKHVHPDFKLQHVURWDWHVE\DQDFWXDWRUURWDWLQJDSRUWLRQRIWKHOLIWLQJFROXPQRQZKLFKWKH VZLQJOHJLVPRXQWHGDVUHFLWHGLQFODLP ´Id. 'XULQJWKHSHQGHQF\RISURFHHGLQJV EHIRUHWKH,7&:LUWJHQUHGHVLJQHGWKH³VZLQJOHJ´PHFKDQLVPRI6HULHVPDFKLQHVZLWK &RXUW1R 3DJH WKHREMHFWLYHRIDYRLGLQJLQIULQJHPHQWRIFODLP RIWKH¶ SDWHQWId.±±7KH DGPLQLVWUDWLYHODZMXGJHGHFOLQHGWRGHWHUPLQHZKHWKHURUQRW:LUWJHQ¶VUHGHVLJQHGURDGPLOOLQJ PDFKLQHV WKH³5HGHVLJQHG6HULHV´PDFKLQHV LQIULQJHGWKH¶ SDWHQWFRQFOXGLQJWKDW WKHVHPDFKLQHV³DUHRXWVLGHWKHVFRSHRI>WKH@LQYHVWLJDWLRQ´DQG³QRWULSH´Id.±³7KH &RPPLVVLRQDGRSWHGWKLVSRUWLRQRIWKH$/-¶VGHWHUPLQDWLRQPDNLQJLWILQDO´Id. :LWKRXWPHQWLRQLQJWKH5HGHVLJQHG6HULHVPDFKLQHVWKH/LPLWHG([FOXVLRQ2UGHU H[FOXGHGIURPHQWU\³>U@RDGFRQVWUXFWLRQPDFKLQHVWKDWLQIULQJHFODLP RIWKH¶ SDWHQW´/LPLWHG([FOXVLRQ2UGHU86,7&,QY1R7$ -XQH ³/(2´ 6WDWHPHQWRI8QGLVSXWHG0DWHULDO)DFWVLQ6XSSRUWRI:LUWJHQ¶V0RWIRU6XPP- ([ )HE (&)1R :LUWJHQLPSRUWHGVHYHUDO5HGHVLJQHG6HULHVPDFKLQHVEHWZHHQ6HSWHPEHU DQG'HFHPEHU WKDW&XVWRPVSHUPLWWHGWRHQWHUWKH8QLWHG6WDWHV&RPSO 1HYHUWKHOHVVRQ1RYHPEHUDQG &XVWRPVGHWDLQHGILYH5HGHVLJQHG6HULHV PDFKLQHVDWWKHSRUWRI%UXQVZLFNid. DQGRQ'HFHPEHU GHWDLQHGRQH5HGHVLJQHG 6HULHVPDFKLQHDWWKHSRUWRI%DOWLPRUH0DU\ODQGId. 7KHH[FOXVLRQVIURPHQWU\RI DOOVL[5HGHVLJQHG6HULHVPDFKLQHVIROORZHGWKHVHGHWHQWLRQVId. '3URWHVWV3URWHVW'HQLDOVDQG6XPPRQVHV 2Q'HFHPEHU :LUWJHQILOHGZLWK&XVWRPVDSURWHVWRIWKHH[FOXVLRQVRIWKH PDFKLQHVHQWHUHGDW%UXQVZLFN*HRUJLD (QWU\1RV6&6 DQG6&6 Id. &XVWRPVGHQLHGWKLVSURWHVWRQ-DQXDU\Id.2Q'HFHPEHU
Free access — add to your briefcase to read the full text and ask questions with AI
6OLS2S29
81,7('67$7(6&28572),17(51$7,21$/75$'(
:,57*(1$0(5,&$,1&
3ODLQWLII &RXUW1R Y %HIRUH 7LPRWK\&6WDQFHX&KLHI-XGJH 81,7('67$7(6et al.
'HIHQGDQWV
23,1,21$1'25'(5
>'HQ\LQJGHIHQGDQWV¶PRWLRQWRGLVPLVVIRUODFNRIVXEMHFWPDWWHUMXULVGLFWLRQDQGWKH 86,QWHUQDWLRQDO7UDGH&RPPLVVLRQ¶VPRWLRQWRLQWHUYHQHDVDSDUW\GHIHQGDQW@
'DWHG 0DUFK
Daniel E. Yonan6WHUQH.HVVOHU*ROGVWHLQ )R[3//&1HZ Guy R. Eddon7ULDO$WWRUQH\DQGPatricia MMcCarthy$VVLVWDQW'LUHFWRU86 'HSDUWPHQWRI-XVWLFH&RPPHUFLDO/LWLJDWLRQ%UDQFK&LYLO'LYLVLRQ1HZ 6WDQFHX&KLHI-XGJH 3ODLQWLII:LUWJHQ$PHULFD,QF ³:LUWJHQ´ EURXJKWWKLVDFWLRQRQ -DQXDU\WRFRQWHVWWKHH[FOXVLRQIURPHQWU\RILWVPHUFKDQGLVHZKLFKFRQVLVWVRIVL[ URDGPLOOLQJPDFKLQHVWKDWZHUHLPSRUWHGRQWKUHHUHFHQWHQWULHV86&XVWRPVDQG%RUGHU 3URWHFWLRQ ³&XVWRPV´RU³&%3´ UHO\LQJXSRQDQH[FOXVLRQRUGHURIWKH8QLWHG6WDWHV ,QWHUQDWLRQDO7UDGH&RPPLVVLRQ WKH³,7&´RUWKH³&RPPLVVLRQ´ KDVH[FOXGHGWKHVL[ PDFKLQHVIURPHQWU\IRUSRWHQWLDOSDWHQWLQIULQJHPHQW&RPSO -DQ (&)1R &RXUW1R 3DJH %HIRUHWKHFRXUWDUHWZRPRWLRQV'HIHQGDQWVPRYHWRGLVPLVVWKLVDFWLRQIRUODFNRI VXEMHFWPDWWHUMXULVGLFWLRQ'HIV¶0RWWR'LVPLVV )HE (&)1R ³'HIV¶0RW´ 7KH,7&PRYHVIRUGHIHQGDQWLQWHUYHQRUVWDWXV0RWRIWKH86,QW¶O7UDGH&RPP¶QIRU/HDYH WR,QWHUYHQHDVD3DUW\'HI )HE (&)1R ³,7&¶V0RW´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¶VURDGPLOOLQJPDFKLQHV 0RGHO1RV:&)L:&)L DQG:&)L FROOHFWLYHO\WKH³6HULHV´PDFKLQHV ZHUHVXEMHFWWRDQLQYHVWLJDWLRQ FRQGXFWHGE\WKH,7&XQGHUVHFWLRQRIWKH7DULII$FWRI ³VHFWLRQ´ 86& &RXUW1R 3DJH LQWRDOOHJHGSDWHQWLQIULQJHPHQW7KHLQYHVWLJDWLRQLQLWLDWHGLQ1RYHPEHUXSRQD FRPSODLQWILOHGE\&DWHUSLOODU,QFDQG&DWHUSLOODU3DYLQJ3URGXFWV,QF FROOHFWLYHO\ ³&DWHUSLOODU´ FXOPLQDWHGLQWKH,7&¶VILQGLQJRIDYLRODWLRQRIVHFWLRQDQGUHVXOWHGLQWKH LVVXDQFHRID/LPLWHG([FOXVLRQ2UGHU ³/(2´ DQGFHUWDLQFHDVHDQGGHVLVWRUGHUVEDUULQJ :LUWJHQIURPLPSRUWLQJWKH6HULHVPDFKLQHVLQWRWKH8QLWHG6WDWHVSeeCertain Road Construction Machines and Components Thereof; Notice of Commission Final Determination Finding a Section 337 Violation; Issuance of a Limited Exclusion Order and a Cease and Desist Order; Termination of the Investigation86,7&,QY1R7$ -XQH available at :/ ³ITC Final Determination´ :LUWJHQKDVDSSHDOHGWKH,7&¶V ILQDOGHWHUPLQDWLRQWRWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLW&RPSO ,QLWVVHFWLRQLQYHVWLJDWLRQWKH,7&GHWHUPLQHGWKDWWKH6HULHVPDFKLQHV LQIULQJHGFODLP RI863DWHQW1R WKH³¶ SDWHQW´ Id.± &7KH5HGHVLJQHG6HULHV0DFKLQHV 2Q)HEUXDU\ WKHDGPLQLVWUDWLYHODZMXGJH ³$/-´ FRQGXFWLQJWKHVHFWLRQ LQYHVWLJDWLRQLVVXHGD)LQDO,QLWLDO'HWHUPLQDWLRQWKDWIRXQGDOODVVHUWHGFODLPVRIWKH¶ SDWHQWRWKHUWKDQFODLP WREHLQYDOLGDQGIRXQGDYLRODWLRQRIVHFWLRQEDVHGRQDILQGLQJ WKDWWKH6HULHVPDFKLQHVLQIULQJHGFODLP RIWKDWSDWHQWId. ±³7KH&RPPLVVLRQ DIILUPHGWKHDGPLQLVWUDWLYHODZMXGJH¶VGHWHUPLQDWLRQLQUHOHYDQWSDUWDQGLVVXHGWKH UHFRPPHQGHGUHPHGLHVDJDLQVW:LUWJHQ¶V6HULHVPDFKLQHV´Id. ,QWKH)LQDO,QLWLDO'HWHUPLQDWLRQWKHDGPLQLVWUDWLYHODZMXGJH³IRXQGWKDWWKHVZLQJOHJ RQWKHVHPDFKLQHVURWDWHVE\DQDFWXDWRUURWDWLQJDSRUWLRQRIWKHOLIWLQJFROXPQRQZKLFKWKH VZLQJOHJLVPRXQWHGDVUHFLWHGLQFODLP ´Id. 'XULQJWKHSHQGHQF\RISURFHHGLQJV EHIRUHWKH,7&:LUWJHQUHGHVLJQHGWKH³VZLQJOHJ´PHFKDQLVPRI6HULHVPDFKLQHVZLWK &RXUW1R 3DJH WKHREMHFWLYHRIDYRLGLQJLQIULQJHPHQWRIFODLP RIWKH¶ SDWHQWId.±±7KH DGPLQLVWUDWLYHODZMXGJHGHFOLQHGWRGHWHUPLQHZKHWKHURUQRW:LUWJHQ¶VUHGHVLJQHGURDGPLOOLQJ PDFKLQHV WKH³5HGHVLJQHG6HULHV´PDFKLQHV LQIULQJHGWKH¶ SDWHQWFRQFOXGLQJWKDW WKHVHPDFKLQHV³DUHRXWVLGHWKHVFRSHRI>WKH@LQYHVWLJDWLRQ´DQG³QRWULSH´Id.±³7KH &RPPLVVLRQDGRSWHGWKLVSRUWLRQRIWKH$/-¶VGHWHUPLQDWLRQPDNLQJLWILQDO´Id. :LWKRXWPHQWLRQLQJWKH5HGHVLJQHG6HULHVPDFKLQHVWKH/LPLWHG([FOXVLRQ2UGHU H[FOXGHGIURPHQWU\³>U@RDGFRQVWUXFWLRQPDFKLQHVWKDWLQIULQJHFODLP RIWKH¶ SDWHQW´/LPLWHG([FOXVLRQ2UGHU86,7&,QY1R7$ -XQH ³/(2´ 6WDWHPHQWRI8QGLVSXWHG0DWHULDO)DFWVLQ6XSSRUWRI:LUWJHQ¶V0RWIRU6XPP- ([ )HE (&)1R :LUWJHQLPSRUWHGVHYHUDO5HGHVLJQHG6HULHVPDFKLQHVEHWZHHQ6HSWHPEHU DQG'HFHPEHU WKDW&XVWRPVSHUPLWWHGWRHQWHUWKH8QLWHG6WDWHV&RPSO 1HYHUWKHOHVVRQ1RYHPEHUDQG &XVWRPVGHWDLQHGILYH5HGHVLJQHG6HULHV PDFKLQHVDWWKHSRUWRI%UXQVZLFNid. DQGRQ'HFHPEHU GHWDLQHGRQH5HGHVLJQHG 6HULHVPDFKLQHDWWKHSRUWRI%DOWLPRUH0DU\ODQGId. 7KHH[FOXVLRQVIURPHQWU\RI DOOVL[5HGHVLJQHG6HULHVPDFKLQHVIROORZHGWKHVHGHWHQWLRQVId. '3URWHVWV3URWHVW'HQLDOVDQG6XPPRQVHV 2Q'HFHPEHU :LUWJHQILOHGZLWK&XVWRPVDSURWHVWRIWKHH[FOXVLRQVRIWKH PDFKLQHVHQWHUHGDW%UXQVZLFN*HRUJLD (QWU\1RV6&6 DQG6&6 Id. &XVWRPVGHQLHGWKLVSURWHVWRQ-DQXDU\Id.2Q'HFHPEHU :LUWJHQILOHGDSURWHVWRIWKHH[FOXVLRQRIWKHPDFKLQHHQWHUHGDW%DOWLPRUH (QWU\1R 6&6 Id.&XVWRPVGHQLHGWKLVSURWHVWRQ-DQXDU\Id. &RXUW1R 3DJH 2QDVXPPRQVILOHGLQWKLV&RXUWRQ-DQXDU\:LUWJHQFRQWHVWHGWKHGHQLDORI WKHILUVWSURWHVW6XPPRQV -DQ (&)1R$VHFRQGVXPPRQVILOHGRQWKHVDPH GD\FRQWHVWHGWKHGHQLDORIWKHVHFRQGSURWHVW6XPPRQV -DQ (&)1R (5HODWHG/LWLJDWLRQ 2Q-XO\ SULRUWRWKHILOLQJRI&DWHUSLOODU¶VFRPSODLQWXQGHUVHFWLRQ:LUWJHQ ILOHGDFRPSODLQWZLWKWKH&RPPLVVLRQDOOHJLQJYLRODWLRQVRIVHFWLRQFDXVHGE\WKH LPSRUWDWLRQRIFHUWDLQRI&DWHUSLOODU¶VURDGFRQVWUXFWLRQPDFKLQHV'HIV¶0RW7KH,7& LQLWLDWHGDVHFWLRQLQYHVWLJDWLRQDJDLQVW&DWHUSLOODU,QY1R7$WKDWDOVRUHVXOWHG LQDOLPLWHGH[FOXVLRQRUGHUId.%RWKOLPLWHGH[FOXVLRQRUGHUVDUHEHIRUHWKH&RXUWRI$SSHDOV IRUWKH)HGHUDO&LUFXLWLQDFRQVROLGDWHGDSSHDO&DVH1R Id. 2Q'HFHPEHU WKH3DWHQW7ULDODQG$SSHDO%RDUG ³37$%´ LQUHVSRQVHWRD SHWLWLRQE\:LUWJHQLVVXHGD)LQDO:ULWWHQ'HFLVLRQGHWHUPLQLQJWKDWDOOFKDOOHQJHGFODLPV LQFOXGLQJFODLP RIWKH¶ SDWHQWDUHXQSDWHQWDEOHDVREYLRXV&RPSO %HIRUHFRPPHQFLQJWKLVFDVHZLWKWKHILOLQJRIWZRVXPPRQVHVRQ-DQXDU\ :LUWJHQVRXJKWGLDORJXHZLWK&XVWRPVWRHVWDEOLVKWKDWWKH5HGHVLJQHG6HULHVPDFKLQHV GLGQRWYLRODWHFODLP RIWKH¶ SDWHQW:LUWJHQ¶V2SS¶QWR'HIV¶0RWWR'LVPLVV± )HE (&)1R2Q-DQXDU\WKH&RPPLVVLRQLQLWLDWHGD³PRGLILFDWLRQ SURFHHGLQJ´,7&,QY1R7$0 see )HG5HJ ,QW¶O7UDGH&RPP-DQ 7KHSURFHHGLQJLVRQJRLQJ'HIV¶0RW :LUWJHQFRPPHQFHGDQDFWLRQLQWKH'LVWULFW&RXUWIRUWKH'LVWULFWRI&ROXPELDWirtgen Am., Inc. v. United States&DVH1RFY DOOHJLQJWKDWWKHH[FOXVLRQVRIWKH5HGHVLJQHG 6HULHVPDFKLQHVE\&XVWRPVYLRODWHGWKH$GPLQLVWUDWLYH3URFHGXUH$FWWKH$SSRLQWPHQWV &ODXVHRIWKH86&RQVWLWXWLRQDQGWKHULJKWWRSURFHGXUDOGXHSURFHVV&RPSO &RXUW1R 3DJH ,,',6&866,21 $6XEMHFW0DWWHU-XULVGLFWLRQ 3ODLQWLIIDVVHUWVMXULVGLFWLRQDFFRUGLQJWR86& D DQG L Id. -XULVGLFWLRQGRHVQRWH[LVWXQGHUVXEVHFWLRQ L ZKHQMXULVGLFWLRQDFFRUGLQJWRDQRWKHUVXEVHFWLRQ RILVDYDLODEOHXQOHVVWKHUHPHG\SURYLGHGE\WKDWRWKHUVXEVHFWLRQZRXOGEH³PDQLIHVWO\ LQDGHTXDWH´Int’l Custom Prods., Inc. v. United States )G )HG&LU TXRWLQJMiller & Co. v. United States)G )HG&LU 7KHFRXUW WKHUHIRUHFRQVLGHUVZKHWKHUMXULVGLFWLRQH[LVWVDFFRUGLQJWR86& D XQGHUZKLFK WKH&RXUWRI,QWHUQDWLRQDO7UDGHKDVH[FOXVLYHMXULVGLFWLRQRIDQDFWLRQWRFRQWHVWWKHGHQLDORID SURWHVWXQGHUVHFWLRQRIWKH7DULII$FW 86&,IWKHFRXUWGHWHUPLQHVMXULVGLFWLRQ H[LVWVDFFRUGLQJWR86& D WKDWGHWHUPLQDWLRQDOVRUHVROYHVWKHLVVXHRIWKH &RPPLVVLRQ¶VSURSRVHGLQWHUYHQWLRQ$VSURYLGHGLQWKH&XVWRPV&RXUWV$FW86& M $ ³QRSHUVRQPD\LQWHUYHQHLQDFLYLODFWLRQXQGHUVHFWLRQRIWKH7DULII $FWRI ´ -XULVGLFWLRQXQGHU86& D UHTXLUHVDWLPHO\SURWHVWRIDGHFLVLRQRI&XVWRPV WKDWPD\EHSURWHVWHGXQGHU 86& D DGHQLDORIWKDWSURWHVWsee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³GHFLVLRQVof the Customs Service´id. D HPSKDVLVDGGHG DGHFLVLRQPD\QRWEH SURWHVWHGZKHQ&XVWRPVLVPHUHO\WDNLQJDFWLRQWRHIIHFWXDWHDGHFLVLRQRIDQRWKHUDJHQF\See Mitsubishi Elecs. America, Inc. v. United States)G )HG&LU 'HIHQGDQWVDUJXHWKDW³>W@KLVFDVHVKRXOGEHGLVPLVVHGEHFDXVHWKHUHLVQRULJKWWRUHYLHZ LQWKLV&RXUWIRUFKDOOHQJHVWR&%3¶VHQIRUFHPHQWRIH[FOXVLRQRUGHUVWKDWVROHO\LPSOHPHQW GHWHUPLQDWLRQVRIWKH,7&XQGHUVHFWLRQ´'HIV¶5HSO\0HPLQ6XSSRIWKHLU0RWWR 'LVPLVV )HE (&)1R ³'HIV¶5HSO\´ 'HIHQGDQWVDGGWKDW³&%3¶VDFWLRQV ZHUHZKROO\GHULYDWLYHRIWKH,7&DQGWKHUHIRUH:LUWJHQ¶VJULHYDQFHLVZLWKWKH&RPPLVVLRQ QRWZLWK&XVWRPV´Id. 'HIHQGDQWVDUHFRUUHFWWKDWD&XVWRPVDFWLRQWKDWVROHO\LPSOHPHQWVDQ,7& GHWHUPLQDWLRQXQGHU 86&PD\QRWEHSURWHVWHG%XWDFFRUGLQJWRWKHXQFRQWHVWHG IDFWVDVSOHGLQWKHFRPSODLQWWKHH[FOXVLRQVJLYLQJULVHWRWKLVGLVSXWHGRQRWIDOOLQWRWKLV FDWHJRU\DQGFRQWUDU\WRGHIHQGDQWV¶FKDUDFWHUL]DWLRQDUHQRW³ZKROO\GHULYDWLYHRIWKH,7&´ :KLOHRUGHULQJWKHH[FOXVLRQIURPHQWU\RI³>U@RDGFRQVWUXFWLRQPDFKLQHVWKDW LQIULQJHFODLP RIWKH¶ SDWHQW´/(2 WKH/LPLWHG([FOXVLRQ2UGHUGRHVQRWRQLWV IDFHDGGUHVVWKH5HGHVLJQHG6HULHVPDFKLQHV0RUHRYHU:LUWJHQDOOHJHVLQLWVFRPSODLQW 7KH/LPLWHG([FOXVLRQ2UGHU ³/(2´ SURYLGHGIRU&XVWRPVWRDOORZLPSRUWDWLRQRI PDFKLQHV³SRWHQWLDOO\VXEMHFWWRWKLV2UGHU´XSRQVDWLVIDFWRU\FHUWLILFDWLRQWKDWVXFKPDFKLQHV DUHQRWH[FOXGHGE\WKH/(2/LPLWHG([FOXVLRQ2UGHU86,7&,QY1R7$ -XQH 6WDWHPHQWRI8QGLVSXWHG0DWHULDO)DFWVLQ6XSSRUWRI:LUWJHQ¶V0RWIRU 6XPP-([ )HE (&)1R&XVWRPVQRWHGIRU:LUWJHQLWVSUDFWLFHRIQRW DFFHSWLQJVXFKDFHUWLILFDWLRQ³DEVHQWDGHWHUPLQDWLRQE\&%3RUWKH&RPPLVVLRQWKDWWKHDUWLFOH FRQWLQXHG« &RXUW1R 3DJH WKDWWKH&RPPLVVLRQDGRSWHGWKHSRUWLRQRIWKHGHFLVLRQRIWKHDGPLQLVWUDWLYHODZMXGJHWKDW GHFOLQHGWRGHFLGHWKHTXHVWLRQRIZKHWKHUWKH5HGHVLJQHG6HULHVPDFKLQHVLQIULQJH FODLP RQWKHJURXQGWKDWWKHUHGHVLJQHGPDFKLQHVZHUHQRWZLWKLQWKHVFRSHRIWKHVHFWLRQ LQYHVWLJDWLRQ&RPSO±7KXVDFFRUGLQJWRWKHIDFWV:LUWJHQDOOHJHVWKH,7&GLG QRWGLUHFW&XVWRPVWRH[FOXGHWKHVL[5HGHVLJQHG6HULHVPDFKLQHVIURPHQWU\DQG DFFRUGLQJO\WKHGHFLVLRQWRH[FOXGHWKHVL[5HGHVLJQHG6HULHVPDFKLQHVZDVPDGHE\ &XVWRPV7KDWGHFLVLRQDQGQRWWKH/LPLWHG([FOXVLRQ2UGHULVFRQWHVWHGLQWKLVOLWLJDWLRQSee &RPSO 5HO\LQJRQWKHQRWLFHVRIH[FOXVLRQ&XVWRPVVHQWWR:LUWJHQGHIHQGDQWVFRQWHQGWKDWLQ H[FOXGLQJWKHVL[UHGHVLJQHGPDFKLQHVIURPHQWU\³&%3PHUHO\HIIHFWXDWHGWKH&RPPLVVLRQ¶V DGPLQLVWUDWLYHSUDFWLFHLQH[FOXGLQJ:LUWJHQ¶VUHGHVLJQHGPHUFKDQGLVH7KLVSUDFWLFHLV UHIOHFWHGE\WKHDGPLQLVWUDWLYHGRFXPHQWVLQWKLVFDVH´'HIV¶5HSO\ ,QWKH'HFHPEHU QRWLFHRIH[FOXVLRQZKLFKGHIHQGDQWVFLWHVSHFLILFDOO\&XVWRPVLQWHUSUHWHGWKH/LPLWHG ([FOXVLRQ2UGHUDV³QRWOLPLWHGWRWKHVSHFLILFSURGXFWVWKDWZHUHEHIRUHWKH&RPPLVVLRQGXULQJ WKHLQYHVWLJDWLRQEXWLQVWHDGH[WHQGVWRDOOSURGXFWVLQFOXGLQJDQ\QHZRUUHGHVLJQHGSURGXFWV WKDWLQIULQJHWKHUHOHYDQWLQWHOOHFWXDOSURSHUW\´&RPSO([%DW 'HFHPEHU QRWLFHLQIRUPLQJ:LUWJHQRIWKHH[FOXVLRQRIWKHILYHPDFKLQHVHQWHUHGDW%UXQVZLFN*HRUJLD FLWLQJCertain Optical Disk Controller Chips and Chipsets,QY1R7$&RPP¶Q2S DW±86,7&3XE -XO\ 'HIHQGDQWV¶DUJXPHQWLVPLVJXLGHG7KHUHDVRQLQJE\ZKLFK&XVWRPVGHFLGHGWR H[FOXGHWKHPHUFKDQGLVHIURPHQWU\LVQRWUHOHYDQWWRWKHTXHVWLRQRIZKHWKHUVXEMHFWPDWWHU FRQWLQXHG« LVQRWVXEMHFWWRWKHH[FOXVLRQRUGHU´&RPSO([%DW -DQ (&)1R QRWLFHRI H[FOXVLRQ &RXUW1R 3DJH MXULVGLFWLRQH[LVWVLQWKLVFDVH+HUH:LUWJHQFRQWHVWVWKHGHFLVLRQE\&XVWRPVWRH[FOXGHWKDW PHUFKDQGLVHDQLVVXHWKDWZLOOEHDGMXGLFDWHGde novo E\WKHFRXUWUDWKHUWKDQDFFRUGLQJWRWKH JURXQGVXSRQZKLFK&XVWRPVPDGHWKHH[FOXVLRQVSee 86& D 7KHTXHVWLRQ SHUWLQHQWWRVXEMHFWPDWWHUMXULVGLFWLRQLVZKHWKHU&XVWRPVDFWHGRQLWVRZQWRH[FOXGHWKH PHUFKDQGLVHRUZDVGLUHFWHGE\WKH,7&WRGRVR$VGLVFXVVHGDERYHSODLQWLIIKDVSOHGIDFWV DFFRUGLQJWRZKLFK&XVWRPVH[FOXGHGWKHPHUFKDQGLVHZLWKRXWEHLQJGLUHFWHGWRGRVRE\WKH &RPPLVVLRQ &RQFHUQLQJ³DGPLQLVWUDWLYHGRFXPHQWV´GHIHQGDQWVDOVRUHO\RQD&XVWRPVKHDGTXDUWHUV UXOLQJDGGUHVVLQJ:LUWJHQ¶VSURWHVW+4+ -DQ &RPSO([*DQGRQD 'HFHPEHU OHWWHUWR&XVWRPVIURPWKH&RPPLVVLRQ¶V$VVLVWDQW*HQHUDO&RXQVHOIRU 6HFWLRQZKLFKUHVSRQGHGWRFHUWDLQTXHVWLRQV&XVWRPVKDGSRVHGUHODWHGWRWKHSURWHVW SURFHHGLQJ'HIV¶5HSO\([ /HWWHURI'HF IURP0HJDQ09DOHQWLQHWR&KDUOHV 6WHXDUW&KLHI,35 5HVWULFWHG0HUFKDQGLVH%UDQFK86&XVWRPVDQG%RUGHU3URWHFWLRQ 'HIV¶5HSO\± 7KHVHGRFXPHQWVDOVRDUHLUUHOHYDQWWRWKHTXHVWLRQRIMXULVGLFWLRQ7KHOHWWHU IURPWKH,7&¶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³GHFLVLRQV RIWKH&XVWRPV6HUYLFHLQFOXGLQJWKHOHJDOLW\RIDOORUGHUVDQGILQGLQJVHQWHULQJLQWRWKHVDPH DVWR²WKHH[FOXVLRQRIPHUFKDQGLVHIURPHQWU\RUGHOLYHU\RUDGHPDQGIRUUHGHOLYHU\WR FXVWRPVFXVWRG\XQGHUDQ\SURYLVLRQRIWKHFXVWRPVODZVexcept a determination appealable under section 1337 of this title>VHFWLRQ 86&@´ 86& D HPSKDVLVDGGHG 7KHTXHVWLRQDVWRMXULVGLFWLRQWKHUHIRUHLVZKHWKHUWKHGHFLVLRQVPDGHRQ 'HFHPEHU DVWRWKHILYHPDFKLQHVHQWHUHGDW%UXQVZLFN DQG'HFHPEHU DVWR WKHPDFKLQHHQWHUHGDW%DOWLPRUH WRH[FOXGHWKHVL[5HGHVLJQHG6HULHVPDFKLQHVIURP HQWU\ZHUH³GHWHUPLQDWLRQV´WKDWZHUH³DSSHDODEOH´XQGHUVHFWLRQ &RQJUHVVPDGHVHYHUDOFDWHJRULHVRIGHWHUPLQDWLRQVDSSHDODEOHXQGHUVHFWLRQ$OO DUHDSSHDODEOHWRWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLW6SHFLILFDOO\XQGHU 86& F ³>D@Q\SHUVRQDGYHUVHO\DIIHFWHGE\DILQDOGHWHUPLQDWLRQRIWKH&RPPLVVLRQXQGHU VXEVHFWLRQ G H I RU J ´RI³PD\DSSHDOVXFKGHWHUPLQDWLRQZLWKLQGD\VDIWHU WKHGHWHUPLQDWLRQEHFRPHVILQDOWRWKH8QLWHG6WDWHV&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLWIRU UHYLHZ´7KHPHUFKDQGLVHH[FOXVLRQVDWLVVXHLQWKLVOLWLJDWLRQGRQRWIDOOZLWKLQDQ\RI WKRVHFDWHJRULHV $VLVSHUWLQHQWKHUHVXEVHFWLRQ G RISURYLGHVIRUDOLPLWHG LQVXESDUDJUDSK RUDJHQHUDO LQVXESDUDJUDSK RUGHUIRUWKHH[FOXVLRQIURPHQWU\LQWRWKH8QLWHG6WDWHVRI ³WKHDUWLFOHVFRQFHUQHG´LIWKH&RPPLVVLRQ³GHWHUPLQHVDVDUHVXOWRIDQLQYHVWLJDWLRQXQGHUWKLV VHFWLRQWKDWWKHUHLVDYLRODWLRQRIWKLVVHFWLRQ´:LUWJHQLVQRWFRQWHVWLQJWKH/LPLWHG([FOXVLRQ 2UGHULQWKLVDFWLRQ5DWKHULWFODLPVWKDW&XVWRPVH[FOXGHGPHUFKDQGLVHWRZKLFKWKH/(2GLG QRWDSSO\&RPSO ³&XVWRPV¶H[FOXVLRQRIWKH5HGHVLJQHG6HULHVPDFKLQHVLV &RXUW1R 3DJH ZURQJIXOEHFDXVHWKHVHSURGXFWVGRQRWLQIULQJHFODLP RIWKH¶ SDWHQWDQGDUHWKHUHIRUH RXWVLGHWKHVFRSHRIWKH/(2´ ,WDOOHJHVIDFWVLQVXSSRUWRIWKDWFODLPSee, e.g., id.± ± DOOHJLQJWKDW:LUWJHQUHGHVLJQHGWKH6HULHVPDFKLQHVVRWKDWWKH\ZRXOGQRW LQIULQJHFODLP ± DOOHJLQJIDFWVLQVXSSRUWRIFODLPRIQRQLQIULQJHPHQWRIFODLP %HFDXVHDFODLPWKDW&XVWRPVZURQJIXOO\H[FOXGHGWKHPHUFKDQGLVHJLYLQJULVHWRWKLVGLVSXWHLV QRWWKHVDPHDVDFODLPWKDWWKH/LPLWHG([FOXVLRQ2UGHULVXQODZIXOVXEVHFWLRQ G RI 86& LVQRWDEDVLVXSRQZKLFKWKHFRXUWPD\GLVPLVVWKLVDFWLRQIRUODFNRIMXULVGLFWLRQ1RULV VXEVHFWLRQ H I RU J DEDVLVIRUGLVPLVVDO 5HO\LQJRQ 86& D GHIHQGDQWVDUJXHWKDWWKLV&RXUWODFNVMXULVGLFWLRQ EHFDXVH³&RQJUHVVH[SUHVVO\SURYLGHGWKDWDQH[FOXVLRQbased onDVHFWLRQGHWHUPLQDWLRQLV QRWSURWHVWDEOH´'HIV¶0RW HPSKDVLVDGGHG 6LPLODUO\GHIHQGDQWVDUJXHWKDWWKH H[FHSWLRQWRSURWHVWDELOLW\LQ 86& D DSSOLHVWR³H[FOXVLRQVWKDWZHUHPDGH because of DµGHWHUPLQDWLRQDSSHDODEOHXQGHU¶ 86&´'HIV¶5HSO\ HPSKDVLV DGGHG 7KH\DUJXHVLPLODUO\WKDWVHFWLRQ³H[SOLFLWO\GLYHVWVWKLV&RXUWRIMXULVGLFWLRQE\ FKDQQHOLQJall UHYLHZRIVHFWLRQPDWWHUVWRWKH&RPPLVVLRQDQGWKH>&RXUWRI$SSHDOVIRU WKH@)HGHUDO&LUFXLW´'HIV¶0RW 7KHVHDUJXPHQWVPLVVWDWH D 7KHSURYLVLRQPDNHVSURWHVWDEOHD³GHFLVLRQ´E\ &XVWRPVWRH[FOXGHPHUFKDQGLVH³XQGHUDQ\SURYLVLRQRIWKHFXVWRPVODZVH[FHSWD determination appealableXQGHUVHFWLRQ´ 86& D HPSKDVLVDGGHG 'HIHQGDQWV¶UHDGLQJZKLFKGRHVQRWJLYHIXOOHIIHFWWRWKHZRUG³DSSHDODEOH´LPSHUPLVVLEO\ 6XEVHFWLRQ H LVQRWSHUWLQHQWKHUHEHFDXVHLWDSSOLHVWRSUHOLPLQDU\H[FOXVLRQVRI DUWLFOHVIURPHQWU\GXULQJWKHSHQGHQF\RIDVHFWLRQLQYHVWLJDWLRQ6XEVHFWLRQ I DSSOLHVWR DFHDVHDQGGHVLVWRUGHUZKLFKLVQRWEHLQJFRQWHVWHGKHUH)LQDOO\VXEVHFWLRQ J LV LQDSSOLFDEOHEHFDXVHLWDSSOLHVLQWKHHYHQWRIDGHIDXOWE\DSHUVRQDJDLQVWZKRPDFRPSODLQWLV ILOHGXQGHUVHFWLRQ &RXUW1R 3DJH ZRXOGHQODUJHWKHH[FHSWLRQWRHQFRPSDVVDQ\GHWHUPLQDWLRQWKDWZRXOGQRWKDYHEHHQPDGHbut forDVHFWLRQH[FOXVLRQRUGHU+DG&RQJUHVVLQWHQGHGWRFUHDWHDEURDGHUH[FHSWLRQIRUDQ\ &XVWRPVGHWHUPLQDWLRQRQVHFWLRQ³PDWWHUV´RUIRUDQ\GHFLVLRQ&XVWRPVPDNHV³EHFDXVH RI´DVHFWLRQH[FOXVLRQRUGHURUFRQFOXGHVLV³EDVHGRQDVHFWLRQGHWHUPLQDWLRQ´ &RQJUHVVZRXOGKDYHVRSURYLGHG0RUHRYHULWLVDFDQRQRIVWDWXWRU\FRQVWUXFWLRQWKDW H[FHSWLRQVWRDJHQHUDOO\H[SUHVVHGSULQFLSOHDUHWREHUHDGQDUURZO\See Comm’r v. Clark 86 ,QIXUWKHUVXSSRUWRIWKHLUSRVLWLRQGHIHQGDQWVUHO\RQFHUWDLQOHJLVODWLYHKLVWRU\RIWKH &XVWRPV&RXUWV$FWRI ZKLFKHQDFWHG 86& D 'HIHQGDQWVSRLQWRXWWKDW ³>L@QWHFKQLFDOFRPPHQWVPDGHSDUWRIWKH&RPPLVVLRQ¶VVWDWHPHQWEHIRUH&RQJUHVVRQWKH SURSRVHGOHJLVODWLRQWKH&RPPLVVLRQSURSRVHGDGGLQJµH[FHSWDFWLRQVRWKHUZLVHDSSHDODEOH XQGHUVHFWLRQRIWKH7DULII$FWRI ¶DIWHUWKHSKUDVHµDQ\SURYLVLRQVRIWKHFXVWRPV ODZV¶´'HIV¶5HSO\ FLWLQJCustoms Courts Act of 1979: Hearing on S. 1654 Before the Subcomm. on Improvements in Judicial Machinery of the S. Comm. on the Judiciary WK &RQJ WHFKQLFDOFRPPHQWVRIWKH86,QWHUQDWLRQDO7UDGH&RPP¶Q reprinted in &200217+(-8',&,$5< 7+&21*/(*,6/$7,9(+,6725<2)7+(&867206&28576$&72) 92/DW'HIHQGDQWVDGGWKDW³>W@KH&RPPLVVLRQVSHFLILHGWKHUHDVRQIRUWKLV SURSRVHGFKDQJHZDVWKDWµ>H@[FOXVLRQRIPHUFKDQGLVHIURPHQWU\LVDUHPHG\XQGHUVHFWLRQ 6HFWLRQGHWHUPLQDWLRQVDUHUHYLHZDEOHH[FOXVLYHO\E\WKH86&RXUWRI&XVWRPVDQG3DWHQW $SSHDOV¶´Id. 7KHSHUWLQHQWWH[WRIWKH86,QWHUQDWLRQDO7UDGH&RPPLVVLRQ¶VWHFKQLFDOFRPPHQWV ZDVDVIROORZV FRQWLQXHG« &RXUW1R 3DJH 7KHWHFKQLFDODPHQGPHQWVRXJKWE\WKH,7&DVUHIOHFWHGLQWKHVWDWXWHDVHQDFWHGGRHV QRWHVWDEOLVKWKHSUHPLVHRIWKHJRYHUQPHQW¶VDUJXPHQWWKDWMXULVGLFWLRQLVODFNLQJRYHUWKLVFDVH 7KHH[FHSWLRQ&RQJUHVVLQFRUSRUDWHGLQWR 86& D HIIHFWXDWHVWKHMXULVGLFWLRQDO OLPLWDWLRQIRUZKLFKWKH,7&LGHQWLILHGDQHHGLQLWVFRPPHQWVLHWKDW³>V@HFWLRQ GHWHUPLQDWLRQV´LQFOXGLQJVSHFLILFDOO\H[FOXVLRQVIURPHQWU\WKDWDUHDUHPHG\XQGHUVHFWLRQ ³DUHUHYLHZDEOHH[FOXVLYHO\E\WKH86&RXUWRI&XVWRPVDQG3DWHQW$SSHDOV´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³&RQJUHVVKDVSURYLGHGDVSHFLILFSDWKIRULPSRUWHUVWRFKDOOHQJHWKH &RPPLVVLRQ¶VH[FOXVLRQRUGHUVDQGWRHVWDEOLVKWKDWUHGHVLJQHGSURGXFWVQRORQJHUYLRODWHDQ H[FOXVLRQRUGHU´GHIHQGDQWVFKDUDFWHUL]HFKDOOHQJHVWRH[FOXVLRQVVXFKDVWKLVDFWLRQDV FRQWLQXHG« 3DJHOLQHVDQG $IWHUWKHSKUDVH³DQ\SURYLVLRQVRIWKHFXVWRPV ODZV´RQOLQHDGG³H[FHSWDFWLRQVRWKHUZLVHDSSHDODEOHXQGHUVHFWLRQRI WKH7DULII$FWRI ´ Reason for the Change.—([FOXVLRQRIPHUFKDQGLVH IURPHQWU\LVD UHPHG\XQGHUVHFWLRQ6HFWLRQGHWHUPLQDWLRQVDUHUHYLHZDEOHH[FOXVLYHO\ E\WKH86&RXUWRI&XVWRPVDQG3DWHQW$SSHDOV Customs Courts Act of 1979: Hearing on S. 1654 Before the Subcomm. on Improvements in Judicial Machinery of the S. Comm. on the Judiciary WK&RQJ WHFKQLFDOFRPPHQWV RIWKH86,QWHUQDWLRQDO7UDGH&RPP¶Q reprinted in &200217+(-8',&,$5< 7+&21* /(*,6/$7,9(+,6725<2)7+(&867206&28576$&72) 92/DW &RXUW1R 3DJH ³EDFNGRRUFKDOOHQJHVWRD&RPPLVVLRQGHWHUPLQDWLRQ´'HIV¶0RW7KLVDUJXPHQWLVIODZHG LQWZRUHVSHFWV)LUVWDVGLVFXVVHGDERYH:LUWJHQLVQRWUDLVLQJEHIRUHWKLV&RXUWDFKDOOHQJHWR WKH/LPLWHG([FOXVLRQ2UGHURUWKHILQGLQJVXSRQZKLFKWKH/(2ZDVLVVXHGSee &RPSO 6HFRQGLQVXJJHVWLQJWKDW:LUWJHQKDVDSDWKWRHVWDEOLVKEHIRUHWKH&RPPLVVLRQWKDWLWV ³UHGHVLJQHGSURGXFWVQRORQJHUYLRODWHDQH[FOXVLRQRUGHU´ DQDSSDUHQWUHIHUHQFHWRWKH ³PRGLILFDWLRQ´SURFHGXUHVRI 86& N GHIHQGDQWV¶DUJXPHQWE\SRVWXODWLQJWKDW HQWU\RIWKH5HGHVLJQHG6HULHVPDFKLQHVZRXOGYLRODWHWKH/LPLWHG([FOXVLRQ2UGHUGHOYHV LQWRWKHPHULWVE\SUHVXPLQJWKHDQVZHUWRWKHLVVXHLQGLVSXWH 'HIHQGDQWVPDLQWDLQIXUWKHUWKDWWKH&XVWRPV5HJXODWLRQVUHQGHUWKHH[FOXVLRQVDWLVVXH QRQSURWHVWDEOHDQGWKDW:LUWJHQIDLOHGWRFKDOOHQJHWKHODZIXOQHVVRIWKRVHUHJXODWLRQV'HIV¶ 0RW TXRWLQJ &)5 7KLVDUJXPHQWPLVLQWHUSUHWVWKH&XVWRPV5HJXODWLRQVDQG SUHVXPHVLQYDOLGO\WKDWWKRVHUHJXODWLRQVVRPHKRZFRXOGDOWHUWKLV&RXUW¶VMXULVGLFWLRQ &RQWUDU\WRGHIHQGDQWV¶LQWHUSUHWDWLRQWKH&XVWRPV5HJXODWLRQVPLUURUWKHVWDWXWHLQPDNLQJ ³VXEMHFWWRSURWHVW´H[FOXVLRQVRIPHUFKDQGLVH³XQGHUDQ\SURYLVLRQRIWKHFXVWRPVODZVH[FHSWD GHWHUPLQDWLRQWKDWPD\EHDSSHDOHGXQGHU 86&´ &)5+DGWKHVH UHJXODWLRQVDWWHPSWHGWREURDGHQWKHH[FHSWLRQLQ 86& D WKH\ZRXOGEHUXOHG LQYDOLGDVQRDJHQF\UHJXODWLRQPD\HQODUJHRUOLPLWWKHMXULVGLFWLRQ&RQJUHVVJUDQWVWRWKLVRU DQ\$UWLFOH,,,FRXUWSeeCarlyle Towers Condominium Ass’n v. F.D.I.C.)G G &LU ³Carlyle Towers´ ³>,@WLVµD[LRPDWLF¶WKDWDJHQFLHVFDQQHLWKHUJUDQWQRUFXUWDLO IHGHUDOFRXUWMXULVGLFWLRQ´ TXRWLQJMiller v. FCC)G WK&LU 7KLV$FWLRQ,QYROYHV7ZR3URWHVWVWKDW:HUH³'HQLHG´IRU3XUSRVHVRIWKH7DULII$FW :LUWJHQ¶VVXPPRQVHVDQGFRPSODLQWLQGLFDWHWKDW&XVWRPVGHQLHGWKHSURWHVWUHODWLQJWR WKH%UXQVZLFNPDFKLQHVRQ-DQXDU\DQGGHQLHGWKHSURWHVWUHODWLQJWRWKH%DOWLPRUH &RXUW1R 3DJH PDFKLQHRQ-DQXDU\HDFKRQWKHEDVLVWKDW³WKHSURWHVWGRHVQRWUDLVHDSURWHVWDEOH LVVXH´6XPPRQVHV &RPSO± LQWHUQDOEUDFNHWVRPLWWHG 7KHSURWHVWGHQLDOVZHUH IROORZHGE\WLPHO\VXPPRQVHV &RQJUHVV'LG1RW³&KDQQHO´WKLV/LWLJDWLRQWRWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO &LUFXLWRUWRWKH&RPPLVVLRQ 'HIHQGDQWV¶DUJXPHQWWKDWUHYLHZRIH[FOXVLRQVVXFKDVWKRVHFKDOOHQJHGKHUHDUH ³FKDQQHOHG´WRWKH&RPPLVVLRQLVDOVRXQFRQYLQFLQJ7KHMXGLFLDOUHYLHZVFKHPHHVWDEOLVKHGE\ 86& D ZKHQUHDGLQFRQMXQFWLRQZLWKVHFWLRQSURYLGHVIRUMXGLFLDOUHYLHZ RIH[FOXVLRQVIURPHQWU\UHODWHGWRVHFWLRQLQRQHRIWZR$UWLFOH,,,FRXUWVWKH&RXUWRI $SSHDOVIRUWKH)HGHUDO&LUFXLWRUWKLV&RXUW'HIHQGDQWV¶LQWHUSUHWDWLRQRIWKHPHFKDQLVPVIRU UHYLHZZRXOGSODFHUHYLHZRIVRPHH[FOXVLRQGHWHUPLQDWLRQVRIRQHDJHQF\ &XVWRPV LQ $VDJHQHUDOPDWWHULWLVSRVVLEOHIRU&XVWRPVWR³UHWXUQ´DSURWHVWEXWDOVRLQGLFDWHWKDW WKHDFWRIUHWXUQLQJLWLVQRWD³GHQLDO´See Zojirushi Am. Corp. v. United States&,7BBBB )6XSSG± SURWHVWHUURQHRXVO\UHWXUQHGE\&XVWRPVDVQRQ SURWHVWDEOHKHOGQRWWREH³GHQLHG´SXUVXDQWWR 86&EXWHOLJLEOHIRUGHHPHGGHQLDO IROORZLQJILOLQJRIDUHTXHVWIRUDFFHOHUDWHGGLVSRVLWLRQXQGHU 86& E ,QWKLVFDVH &XVWRPVGHFLGHGWKDWWKHSURWHVWVZHUHWREH³GHQLHG´because WKHGHFLVLRQLQYROYHGZDV DFFRUGLQJWR&XVWRPVQRWRQHWKDWFRXOGEHSURWHVWHG&RPSO([*DW7KHIDFWXDOVLWXDWLRQ JLYLQJULVHWRZojirushi America Corp.WKHUHIRUHGLGQRWH[LVWLQWKLVFDVH (YHQLIWKH-DQXDU\DQGDFWLRQVE\&XVWRPVKDGQRWTXDOLILHGDVSURWHVW GHQLDOV DQRWKHUSURYLVLRQRIWKH7DULII$FWZRXOGKDYHHIIHFWHGD³GHHPHG´GHQLDORI:LUWJHQ¶V WZRSURWHVWV%\RSHUDWLRQRIVHFWLRQ F RIWKH7DULII$FWSURWHVWVSHQGLQJEHIRUH &XVWRPVUHJDUGLQJGHFLVLRQVWRH[FOXGHPHUFKDQGLVHWKDWDUHQRWDOORZHGRUGHQLHG LQZKROHRU LQSDUW ³beforeWKHWKGD\DIWHUWKHGD\RQZKLFKWKHSURWHVWZDVILOHGVKDOOEHWUHDWHGDV KDYLQJEHHQGHQLHGRQVXFKWKGD\´ 86& F HPSKDVLVDGGHG see &)5 E ,IWKH&XVWRPV³GHQLDOV´KDGQRWEHHQDFWXDOGHQLDOVWKHSURWHVWDVWRWKH %UXQVZLFNHQWULHVZRXOGKDYHEHHQGHHPHGGHQLHGDVRI DPRQ-DQXDU\E\ RSHUDWLRQRI 86& F DQGVLPLODUO\WKHSURWHVWUHJDUGLQJH[FOXVLRQRIWKH %DOWLPRUHPDFKLQHZRXOGKDYHEHHQGHHPHGGHQLHGDVRI DPRQ-DQXDU\ See86& D LPSRVLQJGD\WLPHOLPLWRQFRPPHQFHPHQWRIDQDFWLRQ WRFRQWHVWDSURWHVWGHQLDO &RXUW1R 3DJH DQRWKHUQRQMXGLFLDOERG\WKH,7&FRQWUDU\WRWKHJHQHUDOLQWHQWRI&RQJUHVVWKDWGHFLVLRQV &XVWRPVPDNHVWRH[FOXGHPHUFKDQGLVHIURPHQWU\ZRXOGEHUHYLHZDEOHLQDQ$UWLFOH,,,FRXUW ,QVXSSRUWRIWKHLU³FKDQQHOLQJ´DUJXPHQWGHIHQGDQWVUHO\RQElgin v. Dept. of Treasury 86 DQGThunder Basin Coal Co. v. Reich86 'HIV¶0RW 7KHVHFDVHVHDFKRIZKLFKKHOGWKDWWKHMXULVGLFWLRQVRXJKWZDVQRWDYDLODEOHLQD86GLVWULFW FRXUWDUHQRWFRQWUROOLQJRQWKHMXULVGLFWLRQDOLVVXHSUHVHQWHGKHUHElgin KHOGWKDWWKHVWDWXWRU\ VFKHPHIRUMXGLFLDOUHYLHZLQWKH&LYLO6HUYLFH5HIRUP$FWRI XQGHUZKLFKLQLWLDOUHYLHZ RIDQDGYHUVHHPSOR\PHQWDFWLRQLVFRQGXFWHGE\WKH0HULW6\VWHPV3URWHFWLRQ%RDUGZLWK MXGLFLDOUHYLHZYHVWHGLQWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLWSUHFOXGHGDQDFWLRQLQD GLVWULFWFRXUWVHHNLQJMXGLFLDOUHYLHZRIDFRQVWLWXWLRQDOFODLP86DWThunder Basin Coal Co.KHOGWKDWWKHVWDWXWRU\VFKHPHIRUUHYLHZ&RQJUHVVHVWDEOLVKHGIRUDGPLQLVWUDWLYH DFWLRQVWDNHQXQGHUWKH)HGHUDO0LQH6DIHW\DQG+HDOWK$PHQGPHQWV$FWRI ZKLFK SURYLGHGIRUSRVWDGPLQLVWUDWLYHMXGLFLDOUHYLHZLQIHGHUDODSSHOODWHFRXUWVSUHYHQWHGDGLVWULFW FRXUWIURPH[HUFLVLQJVXEMHFWPDWWHUMXULVGLFWLRQRYHUDSUHHQIRUFHPHQWFKDOOHQJHWRWKH$FW 86DW%RWKFDVHVWXUQHGRQZKHWKHUFRQJUHVVLRQDOLQWHQWWRSODFHLQLWLDOUHYLHZLQDQ DGPLQLVWUDWLYHDJHQF\ZLWKMXGLFLDOUHYLHZLQDSDUWLFXODUIHGHUDOFRXUWRUFRXUWVZDV³IDLUO\ GLVFHUQLEOHLQWKHVWDWXWRU\VFKHPH´Id.DW TXRWLQJBlock v. Cmty. Nutrition Inst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¶0RW$WPRVWWKLVLVDQDUJXPHQW IRUZKDW&RQJUHVVcould KDYHGRQHRUZKDWGHIHQGDQWVEHOLHYH&RQJUHVVshould KDYHGRQHLQ FUDIWLQJDVFKHPHIRUMXGLFLDOUHYLHZ7KHFRXUWLQVWHDGPXVWGHFLGHWKHMXULVGLFWLRQDOTXHVWLRQ RQWKHEDVLVRIZKDW&RQJUHVVDFWXDOO\GLG0RUHRYHUGHIHQGDQWV¶DUJXPHQWLVFRXQWHUWRWKH DQDO\VLVRIWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLWLQJazz Photo Corp. v. United States )G )HG&LU DEURJDWHGRQRWKHUJURXQGVE\Impression Prods. v. Lexmark Int’l, Inc.86BB6&W LQZKLFKSDWHQWKROGHU)XML3KRWR)LOP&R/WG ³)XML´ DUJXHGWKDWLWVKRXOGKDYHEHHQSHUPLWWHGWRLQWHUYHQHRUEHMRLQHGDVDQHFHVVDU\SDUW\ DQGLQZKLFKWKH&RXUWRI$SSHDOVUHVSRQGHGWKDW³>L@QSURWHVWVXQGHUVHFWLRQ> 86& @&RQJUHVVSODFHGWKHUHVSRQVLELOLW\RISURWHFWLQJ)XML¶VSDWHQWULJKWVXSRQWKH JRYHUQPHQW´ 7KH&RPPLVVLRQJLYHVDVDUHDVRQIRULQWHUYHQWLRQLWVGHVLUHWRFRQWHVWVXEMHFWPDWWHU MXULVGLFWLRQ,7&¶V0RWDQG³WRGHIHQGWKHVFRSHDQGRSHUDWLRQRILWVRUGHUV´id.DW,QLWV PRWLRQWRLQWHUYHQHWKH,7&SUHVHQWVDUJXPHQWVDJDLQVWVXEMHFWPDWWHUMXULVGLFWLRQWKDW HVVHQWLDOO\DUHWKHVDPHDVWKRVHGHIHQGDQWVUDLVHG7KHFRXUWUHMHFWVWKHPIRUWKHUHDVRQVVWDWHG DERYH &RXUW1R 3DJH 2QHRIWKH&RPPLVVLRQ¶VDUJXPHQWVZKLFKLVVLPLODUWRWKHDUJXPHQWGHIHQGDQWV DGYDQFHGFRQFHUQLQJ&RPPLVVLRQSUDFWLFHPDLQWDLQVWKDW³WKH&RPPLVVLRQDQGWKHUHE\ &XVWRPVKDVFRQVLVWHQWO\LQWHUSUHWHGH[FOXVLRQRUGHUVIRUGHFDGHVWRFRYHUUHGHVLJQVRI DGMXGJHGLQIULQJHUV´DQGWKDW³>W@KHPHUHIDFWWKDWDSURGXFWLVQHZGRHVQRWDOORZLWWRHVFDSH WKHH[FOXVLRQRUGHU´Id.DW$FFRUGLQJWRWKH,7&³:LUWJHQ¶VLQWHUSUHWDWLRQRIWKHVFRSHRI WKH/(2ZRXOGDOORZDGMXGJHGLQIULQJHUVWRHDVLO\FLUFXPYHQWWKH&RPPLVVLRQ¶VUHPHGLDO RUGHUV´FLWLQJIRUVXSSRUWHyundai Elecs. Indus. Corp. v. Int’l Trade Comm’n )G )HG&LU Eaton Corp. v. United States &,7 ± )6XSSG DQG³GHFDGHVRI&RPPLVVLRQGHFLVLRQV´Id.DW7KH&RPPLVVLRQDGGV WKDW³:LUWJHQ¶VFODLPVDUHSUHPLVHGRQWKHZURQJFRQWHQWLRQWKDWLWVPDFKLQHVDUHRXWVLGHWKH VFRSHRIWKH/(2EHFDXVHWKH\ZHUHQRWDGMXGLFDWHGGXULQJWKHLQYHVWLJDWLRQDQGGHWHUPLQHGWR EHRXWVLGHWKHVFRSHRIWKHLQYHVWLJDWLRQ GXHWRODFNRILPSRUWDWLRQDWWKHWLPHRIWKH LQYHVWLJDWLRQ ´Id. 7KH&RPPLVVLRQVXPPDUL]HVLWVDUJXPHQWE\VWDWLQJWKDW³:LUWJHQ¶V LQWHUSUHWDWLRQRIWKHVFRSHRIWKH/(2LVLQFRQVLVWHQWZLWKGHFDGHVRI&RPPLVVLRQSUDFWLFHDQG )HGHUDO&LUFXLWSUHFHGHQWDQGZRXOGDOORZDGMXGJHGLQIULQJHUVWRHDVLO\FLUFXPYHQWWKH &RPPLVVLRQ¶VUHPHGLDORUGHUV´DQGWKDW³>W@KHVFRSHRIWKH&RPPLVVLRQ¶VRUGHULVDQLVVXHWKDW UHTXLUHVWKH&RPPLVVLRQ¶VSDUWLFLSDWLRQ´Id.DW 7KH&RPPLVVLRQ¶VMXULVGLFWLRQDODUJXPHQWLVLQHVVHQFHWKDWVXEMHFWPDWWHUMXULVGLFWLRQ LVODFNLQJXQGHU86& D EHFDXVHWKH/LPLWHG([FOXVLRQ2UGHUPXVWEHLQWHUSUHWHGWR DSSO\WRWKH5HGHVLJQHG6HULHVPDFKLQHV²QRWEHFDXVHWKH&RPPLVVLRQGHWHUPLQHGWKDW WKHVHUHGHVLJQHGPDFKLQHVLQIULQJHFODLP RIWKH¶ SDWHQWEXWEHFDXVHWKH&RPPLVVLRQGLG not ILQGWKDWWKH\GLGnot LQIULQJHSee id. ³7KHUHZDVQRILQGLQJLQWKHXQGHUO\LQJLQYHVWLJDWLRQ WKDWWKHUHGHVLJQHGSURGXFWVGRQRWLQIULQJHFODLP RIWKH¶ SDWHQW´ $FFRUGLQJWR &RXUW1R 3DJH VXFKDQDUJXPHQWWKHFRXUWLVWRSUHVXPHIURP&RPPLVVLRQSUDFWLFHWKDWWKH,7&DOUHDG\KDG GHFLGHGWKDWWKH5HGHVLJQHG6HULHVPDFKLQHVPXVWEHH[FOXGHGIURPHQWU\DVRIWKHWLPH :LUWJHQFRPPHQFHGWKLVDFWLRQDQG&XVWRPVZDVPHUHO\HIIHFWXDWLQJWKDWGHFLVLRQ 7KHFRXUWVHHVQRPHULWLQWKH&RPPLVVLRQ¶VDUJXPHQWWKDWWKH/LPLWHG([FOXVLRQ2UGHU PXVWEHLQWHUSUHWHGWRH[FOXGHWKH5HGHVLJQHG6HULHVPDFKLQHVIRUWZRUHDVRQV)LUVWWKH XQGHUO\LQJSUHPLVHRIWKLVDUJXPHQWLVFRQWUDU\WRVHFWLRQ:LUWJHQDOOHJHVLQLWVFRPSODLQW WKDWWKH&RPPLVVLRQH[SUHVVO\GHFLGHGWKDWWKH5HGHVLJQHG6HULHVPDFKLQHVZHUHQRW VXEMHFWWRWKHVHFWLRQLQYHVWLJDWLRQ&RPS±7KLVLVDQDOOHJHGIDFWWKH &RPPLVVLRQGRHVQRWGLVSXWHLQDUJXLQJWKDWMXULVGLFWLRQLVODFNLQJ,IWKH,7&H[SUHVVO\IRXQG WKDWWKH5HGHVLJQHG6HULHVPDFKLQHVZHUHRXWVLGHWKHVFRSHRIWKHVHFWLRQ LQYHVWLJDWLRQDV:LUWJHQDOOHJHVWKHQWKHUHGHVLJQHGPDFKLQHVFRXOGQRWKDYHEHHQWKH³DUWLFOHV FRQFHUQHG´DVWKDWWHUPLVXVHGLQ 86& G DQGWKHUHIRUHWKH\FRXOGQRWKDYHEHHQ WKHDUWLFOHVRYHUZKLFKWKH&RPPLVVLRQKDGDXWKRULW\WRLPSRVHDQH[FOXVLRQRUGHUSee 86& G SURYLGLQJWKDW³>L@IWKH&RPPLVVLRQGHWHUPLQHVas a result of an investigation under this sectionWKDWWKHUHLVDYLRODWLRQRIWKLVVHFWLRQLWVKDOOGLUHFW´WKH H[FOXVLRQ³IURPHQWU\LQWRWKH8QLWHG6WDWHV´RI³the articles concerned´ HPSKDVLVDGGHG 6HFRQGWKHMXGLFLDOGHFLVLRQVXSRQZKLFKWKH&RPPLVVLRQUHOLHVHyundai Elecs. Indus. Corp. DQGEaton Corp.GRQRWUHVROYHWKHMXULVGLFWLRQDOTXHVWLRQEHIRUHWKHFRXUW7KH,7&¶VUHOLDQFH Hyundai Elecs. Indus. Corp. v. Int’l Trade Comm. )G )HG&LU LQYROYHGDFKDOOHQJHWRDQ,7&UHPHG\LQYROYLQJDFHUWLILFDWLRQSURFHGXUHGLUHFWHGWRVHFRQGDU\ SURGXFWV,WZDVQRWDFKDOOHQJHWRDGHWHUPLQDWLRQWKDW&XVWRPVLWVHOIPDGHWRH[FOXGH PHUFKDQGLVHIURPHQWU\'HIHQGDQWVDQGWKH&RPPLVVLRQUHO\RQHyundai Elecs. Indus. Corp IRUWKHSULQFLSOHWKDWRQFHWKH,7&KDVIRXQGDYLRODWLRQRIVHFWLRQWKHEXUGHQVKLIWVWRWKH DOOHJHGLQIULQJHUWRGHPRQVWUDWHWKDWUHGHVLJQHGDUWLFOHVGRQRWLQIULQJHSee, e.g.'HIV¶5HSO\ 0HPLQ6XSSRIWKHLU0RWWR'LVPLVV )HE (&)1R %HFDXVHLWLV LQGLVSXWDEOHWKDWDSDUW\FRQWHVWLQJDQH[FOXVLRQRIPHUFKDQGLVHEHIRUHWKH&RXUWRI,QWHUQDWLRQDO FRQWLQXHG« &RXUW1R 3DJH RQ³GHFDGHV´RI&RPPLVVLRQSUDFWLFHLVVLPLODUO\XQDYDLOLQJ7KHLVVXHRIVXEMHFWPDWWHU MXULVGLFWLRQPXVWEHGHFLGHGDFFRUGLQJWRWKHFRUUHFWLQWHUSUHWDWLRQRI 86& D DV LWUHODWHVWR 86& F 7KH&RPPLVVLRQ¶VSUDFWLFHFDQQRWDOWHUWKHMXULVGLFWLRQRI $UWLFOH,,,FRXUWVSeeCarlyle Towers)GDW 1RULVLWFRUUHFWIRUWKH&RPPLVVLRQWRVXJJHVWRULPSO\WKDWE\EULQJLQJWKLVDFWLRQ :LUWJHQLVDWWHPSWLQJWRFLUFXPYHQWDUHPHGLDORUGHURIWKH&RPPLVVLRQ,QVWHDG:LUWJHQLV SXUVXLQJDQDYHQXHRIMXGLFLDOUHYLHZ&RQJUHVVH[SUHVVO\SURYLGHGLQ 86& DQG DQG86& D ZLWKWKHREMHFWLYHRIREWDLQLQJUHOHDVHRIWKHPHUFKDQGLVHWKDWLW DOOHJHVWKDW&XVWRPVQRWWKH&RPPLVVLRQH[FOXGHGIURPHQWU\ )LQDOO\WKH&RPPLVVLRQDUJXHVWKDW³:LUWJHQIDLOHGWRH[KDXVWWKHDYDLODEOH DGPLQLVWUDWLYHUHPHGLHVEHIRUHVHHNLQJMXGLFLDOUHYLHZRIWKHVFRSHRIWKH&RPPLVVLRQ¶V/(2´ ,7&¶V0RW LGHQWLI\LQJYDULRXVSURFHGXUHVWKDW:LUWJHQFRXOGKDYHSXUVXHGDGPLQLVWUDWLYHO\ EHIRUHWKH&RPPLVVLRQDQG&XVWRPV 7KLVDUJXPHQWLVPHULWOHVVEHFDXVH:LUWJHQGLGQRWIDLO WRH[KDXVWLWVDGPLQLVWUDWLYHUHPHGLHV:LUWJHQGLGQRWIDLOWRWDNHWKHDGPLQLVWUDWLYHVWHSVWKDW DUHUHTXLUHGIRUSXUSRVHVRIREWDLQLQJMXULVGLFWLRQDFFRUGLQJWR 86&DQG86& D 7KRVHVWHSVDUHWKHMXULVGLFWLRQDOSUHUHTXLVLWHVWKHFRXUWKDVLGHQWLILHG WKHILOLQJRID WLPHO\SURWHVWRIDSURWHVWDEOHGHFLVLRQDQGWKHREWDLQLQJRIDSURWHVWGHQLDOE\&XVWRPV FRQWLQXHG« 7UDGHKDVWKHEXUGHQRIHVWDEOLVKLQJDGPLVVLELOLW\WKLVSULQFLSOHGRHVQRWHVWDEOLVKDODFNRI VXEMHFWPDWWHUMXULVGLFWLRQLQWKLVFDVH ,QEaton Corp. v. United States &,7 )6XSSG WKLV&RXUW LVVXHGDSUHOLPLQDU\LQMXQFWLRQHQMRLQLQJWKHJRYHUQPHQWIURPSHUPLWWLQJHQWU\RIFHUWDLQ PHUFKDQGLVH³WKDWKDVEHHQRUVWLOOLVZLWKLQWKHSXUYLHZRIWKHLQYHVWLJDWLRQRIWKH8QLWHG6WDWHV ,QWHUQDWLRQDO7UDGH&RPPLVVLRQSXUVXDQWWR 86&´Id.DW± ) 6XSSGDW &RQFHUQLQJVXEMHFWPDWWHUMXULVGLFWLRQWKHRSLQLRQVWDWHVWKDW³>D@WWKLVVWDJH RIWKHSURFHHGLQJVWKHFRXUWFDQQRWDQGWKHUHIRUHGRHVQRWFRQFOXGHWKDWLWGRHVQRWKDYH MXULVGLFWLRQSXUVXDQWWRVHFWLRQ L RI7LWOH86&´Id.DW )6XSSGDW &RXUW1R 3DJH 2QHRIWKH³DGPLQLVWUDWLYH´UHPHGLHVWKH&RPPLVVLRQFLWHVLVWKHSXUVXLQJRID ³PRGLILFDWLRQ´RIWKH/(2WKURXJKDSURFHHGLQJFRQGXFWHGDFFRUGLQJWR 86& N D SURFHHGLQJWKDWWKH&RPPLVVLRQLVQRZFRQGXFWLQJ,7&¶V0RW7KHJLVWRIWKH &RPPLVVLRQ¶VDUJXPHQWLVWKDW:LUWJHQFDQQRWQRZFRQWHVWEHIRUHWKLV&RXUWWKHVSHFLILF PHUFKDQGLVHH[FOXVLRQVDWLVVXHLQWKLVFDVHDQGPXVWDZDLWWKHUHVXOWVRIWKH&RPPLVVLRQ¶V PRGLILFDWLRQSURFHHGLQJ7KLVDUJXPHQWLVXQFRQYLQFLQJ 7KHPHUHH[LVWHQFHRIDQRQJRLQJDGPLQLVWUDWLYHPRGLILFDWLRQSURFHHGLQJGRHVQRWSODFH WKLVDFWLRQZLWKLQWKHVHFWLRQH[FHSWLRQWRSURWHVWDELOLW\WKDW&RQJUHVVSODFHGLQ 86& D $QDGYHUVHGHFLVLRQLQWKHPRGLILFDWLRQSURFHHGLQJSRWHQWLDOO\ZRXOGEH DSSHDODEOHWRWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLWSee Allied Corp. v. U.S. Int’l Trade Comm’n)G )HG&LU %XWEHFDXVHMXULVGLFWLRQDOIDFWVDUHDVFHUWDLQHG DVRIWKHWLPHDQDFWLRQLVFRPPHQFHGsee Ford Motor Co. v. United States)G )HG&LU WKHSRVVLELOLW\WKDW:LUWJHQPLJKWEHLQDSRVLWLRQWRDSSHDOWKHRXWFRPH RIDQDGPLQLVWUDWLYHSURFHHGLQJDWVRPHWLPHLQWKHIXWXUHGRHVQRWGHIHDWVXEMHFWPDWWHU MXULVGLFWLRQRYHUWKLVDFWLRQ$WWKHWLPH:LUWJHQFRPPHQFHGLWVDFWLRQWKHUHZDVQRILQDO GHWHUPLQDWLRQUHODWHGWRDPRGLILFDWLRQSURFHHGLQJDWWKH,7&WKDWZDV³DSSHDODEOH´DFFRUGLQJWR 86& D 0RUHRYHU&RQJUHVVLQWHQGHGWKDWGHFLVLRQVE\&XVWRPVWRH[FOXGHPHUFKDQGLVHZRXOG UHFHLYHDQH[SHGLWLRXVUHPHG\See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³&RQJUHVVKDVSURYLGHGDVSHFLILF SDWKIRULPSRUWHUVWRFKDOOHQJHWKH&RPPLVVLRQ¶VH[FOXVLRQRUGHUVDQGWRHVWDEOLVKWKDW UHGHVLJQHGSURGXFWVQRORQJHUYLRODWHDQH[FOXVLRQRUGHU´'HIV¶0RW7KLVDUJXPHQW VXIIHUVIURPWKHVDPHIODZDVWKH&RPPLVVLRQ¶VDQGLWLVDOVRPLVJXLGHGLQSUHVXPLQJDWWKLV SOHDGLQJVWDJHRIWKHFDVHWKDW:LUWJHQ¶V5HGHVLJQHG6HULHVPDFKLQHV³YLRODWHDQ H[FOXVLRQRUGHU´ %3ODLQWLII¶V6HFRQG&ODLP 3ODLQWLII¶VSULQFLSDOFODLPWKDW&XVWRPVXQODZIXOO\H[FOXGHGWKHVL[PDFKLQHVIURP HQWU\DVSUHVHQWHGLQ&RXQW,RILWVFRPSODLQW&RPSO±LVEHIRUHWKHFRXUWDFFRUGLQJ WRWKHMXULVGLFWLRQSURYLGHGLQ86& D IRUWKHUHDVRQVGLVFXVVHGDERYH&RXQW,,RI SODLQWLII¶VFRPSODLQWDOOHJHVWKDWWKHQRWLFHVRIGHWHQWLRQ&XVWRPVLVVXHGRQWKHWKUHHHQWULHV³DUH XQODZIXOIRUIDLOLQJWRSURYLGHWKHLQIRUPDWLRQUHTXLUHGE\ 86& F ´Id. 3ODLQWLIIFLWHVWKH'HFODUDWRU\-XGJPHQW$FW86&±DQGDVVHUWVMXULVGLFWLRQ XQGHUWKHFRXUW¶VUHVLGXDOMXULVGLFWLRQSURYLVLRQ86& L 7KHSULQFLSDOFODLPLQWKHFRPSODLQWZKLFKDULVHVIURPWKHH[FOXVLRQWKDW&XVWRPV HIIHFWXDWHGDIWHUGHWDLQLQJWKHPHUFKDQGLVHLVWREHDGMXGLFDWHGde novoLHRQWKHEDVLVRIWKH UHFRUGPDGHEHIRUHWKHFRXUWQRWWKHDGPLQLVWUDWLYHUHFRUGRIWKHDJHQF\86& D %HFDXVHWKHGHWHQWLRQVULSHQHGLQWRH[FOXVLRQVWKHFRXUWGRHVQRWYLHZ&RXQW,,RIWKHFRPSODLQW DVVWDWLQJDVHSDUDWHFODLPRYHUZKLFKMXULVGLFWLRQFRXOGH[LVWDFFRUGLQJWR86& L See Miller & Co.)GDW &RXUW1R 3DJH & 7KH&RPPLVVLRQ¶V0RWLRQWR,QWHUYHQH )RUWKHUHDVRQVGLVFXVVHGSUHYLRXVO\86& D JUDQWVWKLV&RXUWVXEMHFW PDWWHUMXULVGLFWLRQRIWKLVDFWLRQZKLFKDULVHVXQGHUVHFWLRQRIWKH7DULII$FW,QWHUYHQWLRQ LQDQDFWLRQWRFRQWHVWWKHGHQLDORIDSURWHVWLVSUHFOXGHGE\86& M $ SURYLGLQJWKDW³QRSHUVRQPD\LQWHUYHQHLQDFLYLODFWLRQXQGHUVHFWLRQRIWKH7DULII$FW RI ´ 7KHUHIRUHWKH&RPPLVVLRQ¶VPRWLRQWRLQWHUYHQHPXVWEHGHQLHGSee Jazz Photo Corp. )GDW ,,, &21&/86,21$1'25'(5 )RUWKHUHDVRQVVHWIRUWKDERYHWKHFRXUWFRQFOXGHVWKDWLWLVSURYLGHGVXEMHFWPDWWHU MXULVGLFWLRQRIWKLVDFWLRQE\86& D %HFDXVHLQWHUYHQWLRQLQWKLVFDVHLVSUHFOXGHG E\VWDWXWHWKHFRXUWPXVWGHQ\WKH,7&¶VPRWLRQ8SRQFRQVLGHUDWLRQRIGHIHQGDQWV¶DQGWKH &RPPLVVLRQ¶VPRWLRQVDQGDOOSDSHUVVXEPLWWHGLQWKLVFDVHDQGXSRQGXHGHOLEHUDWLRQLWLV KHUHE\ 25'(5('WKDWGHIHQGDQWV¶PRWLRQWRGLVPLVV )HE (&)1REHDQG KHUHE\LVGHQLHG DQGLWLVIXUWKHU 25'(5('WKDWWKHPRWLRQWRLQWHUYHQHRIWKH86,QWHUQDWLRQDO7UDGH&RPPLVVLRQ )HE (&)1R EHDQGKHUHE\LVGHQLHG BBBBBBBBBBBBBBBBBBBBBBBBBBBBBB /s/ Timothy C. Stanceu 7LPRWK\&6WDQFHX &KLHI-XGJH 'DWHG 0DUFK 1HZ
Cite This Page — Counsel Stack
437 F. Supp. 3d 1302, 2020 CIT 29, Counsel Stack Legal Research, https://law.counselstack.com/opinion/wirtgen-am-inc-v-united-states-cit-2020.