Manafort v. U. S. Department of Justice
Manafort v. U. S. Department of Justice
Opinion
81,7('67$7(6',675,&7&2857 )257+(',675,&72)&2/80%,$ BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB 3$8/-0$1$)257-5 3ODLQWLII Y &LYLO$FWLRQ1R $%- 86'(3$570(172)-867,&( et al. 'HIHQGDQWV BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
0(025$1'8023,1,21
3ODLQWLII3DXO-0DQDIRUW-UZKRKDVEHHQLQGLFWHGLQWZRFULPLQDOFDVHVEURXJKWE\WKH
2IILFH RI 6SHFLDO &RXQVHO ILOHG D FLYLO FRPSODLQW DJDLQVW WKH 'HSDUWPHQW RI -XVWLFH ³'2-´
6SHFLDO&RXQVHO5REHUW60XHOOHU,,,DQG$FWLQJ$WWRUQH\*HQHUDO5RG-5RVHQVWHLQDOOHJLQJ
WKDWWKH'HSDUWPHQWH[FHHGHGLWVDXWKRULW\ZKHQLWLVVXHGWKHRUGHUDSSRLQWLQJWKH6SHFLDO&RXQVHO
WKH³$SSRLQWPHQW2UGHU´ DQGWKDWWKH6SHFLDO&RXQVHOH[FHHGHGKLVDXWKRULW\DVZHOO&RPSO
>'NW@0DQDIRUWKDVUHILQHGKLVFODLPVVLQFHWKHFDVHZDVRULJLQDOO\ILOHGDQGLQWKLVFLYLO
FDVHKHLVRQO\DVNLQJWKH&RXUWWRHQMRLQIXWXUHDFWLRQVDJDLQVWKLPXQGHUWKH$SSRLQWPHQW2UGHU
%XWDVWKH'&&LUFXLWKDVPDGHFOHDU³>S@URVSHFWLYHGHIHQGDQWVFDQQRWE\EULQJLQJDQFLOODU\
HTXLWDEOHSURFHHGLQJVFLUFXPYHQWIHGHUDOFULPLQDOSURFHGXUH´Deaver v. Seymour )G
'&&LU 7KHUHIRUHGHIHQGDQWV¶PRWLRQWRGLVPLVVWKHFRPSODLQWZLOOEHJUDQWHG
&RXQW,RIWKHFRPSODLQWEURXJKWDJDLQVW'2-DQGWKH$FWLQJ$WWRUQH\*HQHUDODOOHJHV
WKDW WKH $FWLQJ $WWRUQH\ *HQHUDO LVVXHG DQ $SSRLQWPHQW 2UGHU WKDW GLG QRW FRPSRUW ZLWK WKH
DSSOLFDEOH'2-UHJXODWLRQSee &RPSO± &)57KHUHIRUHDFFRUGLQJWR
0DQDIRUWWKHJUDQWRIDXWKRULW\WRWKH6SHFLDO&RXQVHOZDVDQultra vires DFWLRQRQWKHSDUWRIWKH
$FWLQJ $WWRUQH\ *HQHUDO LQ YLRODWLRQ RI WKH $GPLQLVWUDWLYH 3URFHGXUH $FW ³$3$´ See &RPSO± &RXQW ,, EURXJKW RQO\ DJDLQVW WKH 6SHFLDO &RXQVHO DOOHJHV WKDW HYHQ LI WKH
$SSRLQWPHQW2UGHUZDVYDOLGWKH6SHFLDO&RXQVHOH[FHHGHGWKHVFRSHRIWKHDXWKRULW\KHZDV
JLYHQZKHQKHLQGLFWHG0DQDIRUWEHFDXVHWKHFKDUJHVGLGQRWDULVHRXWRIWKHLQYHVWLJDWLRQLQWR
WKHSUHVLGHQWLDOHOHFWLRQDQGWKHDOOHJDWLRQVRI5XVVLDQLQWHUIHUHQFHLQWKHHOHFWLRQId.±
3ODLQWLII VHHNV GHFODUDWRU\ DQG LQMXQFWLYH UHOLHI 7KH FRPSODLQW UHTXHVWV ³DQ RUGHU DQG
MXGJPHQWVHWWLQJDVLGHWKH$SSRLQWPHQW2UGHUDQGGHFODULQJLWLQYDOLG´DQGLWDVNVIRU³DQRUGHU
DQG MXGJPHQW GHFODULQJ ultra vires DQG VHWWLQJ DVLGH DOO DFWLRQV WDNHQ DJDLQVW 0U 0DQDIRUW
SXUVXDQW WR WKH $SSRLQWPHQW 2UGHU´ ZKLFK ZRXOG LQFOXGH WKH SHQGLQJ FULPLQDO LQGLFWPHQWV
&RPSODW ³3UD\HUIRU5HOLHI´ see also id. ³0U0XHOOHU¶VDFWLRQVPXVWEHVHWDVLGH´
2Q)HEUXDU\GHIHQGDQWVILOHGDPRWLRQWRGLVPLVVWKHFLYLOFDVHSXUVXDQWWR)HGHUDO
5XOHRI&LYLO3URFHGXUH E 'HIV¶0RWWR'LVPLVV>'NW@ ³'HIV¶0RW´ 'HIV¶0HP
LQ6XSSRI'HIV¶0RW>'NW@ ³'HIV¶0HP´ 7KH\DUJXHILUVWWKDW0DQDIRUWPD\QRW
EULQJDIHGHUDOFLYLODFWLRQWRLQWHUIHUHZLWKKLVRQJRLQJFULPLQDOSURVHFXWLRQ'HIV¶0HPDW±
1H[WWKH\FRQWHQGWKDW&RXQW,VKRXOGEHGLVPLVVHGIRUWKUHHUHDVRQV WKH$3$PD\RQO\
EHLQYRNHGE\FODLPDQWVZKRGRQRWKDYHDQDGHTXDWHUHPHG\DWODZDQG0DQDIRUWKDVVXFKD
UHPHG\LQWKH)HGHUDO5XOHVRI&ULPLQDO3URFHGXUH WKH6SHFLDO&RXQVHOUHJXODWLRQVGRQRW
FUHDWHOHJDOULJKWVWKDWFDQEHHQIRUFHGWKURXJKDQ\ODZVXLWLQFOXGLQJDFLYLOVXLWEURXJKWXQGHU
WKH$3$ DQG WKHUHKDVEHHQQRILQDODJHQF\DFWLRQIRUSXUSRVHVRIWKH$3$Id.DW±
'HIHQGDQWV DOVR DUJXH WKDW &RXQW ,, IDLOV WR VWDWH D MXVWLFLDEOH FODLP XQGHU WKH 'HFODUDWRU\
-XGJPHQW$FWEHFDXVHWKH$FWVWDQGLQJDORQHGRHVQRWSURYLGHDEDVLVIRUIHGHUDOFRXUWVWRH[HUFLVH
VXEMHFWPDWWHUMXULVGLFWLRQXQGHU$UWLFOH,,,RIWKH&RQVWLWXWLRQSee id.DW±
,QWKHPHDQWLPHWKH&RXUWVHWDPRWLRQVVFKHGXOHLQWKHFULPLQDOFDVHDQGRQ0DUFK
0DQDIRUW ILOHG D PRWLRQ SXUVXDQW WR )HGHUDO 5XOHV RI &ULPLQDO 3URFHGXUH E DQG
E WRGLVPLVVWKHLQGLFWPHQWRQWKHVDPHWZRJURXQGV EHFDXVHWKHDSSRLQWPHQWRIWKH
6SHFLDO&RXQVHOZDVDQultra vires DFWE\WKH$FWLQJ$WWRUQH\*HQHUDOWKDWZDVFRQWUDU\WRWKH
WHUPVRIWKH'2-6SHFLDO&RXQVHOUHJXODWLRQV DQG EHFDXVHWKHLQGLFWPHQWH[FHHGVWKHVFRSH
RI WKH DXWKRULW\ JUDQWHG WR WKH 6SHFLDO &RXQVHO LQ WKH $SSRLQWPHQW 2UGHU United States v.
Manafort1R FU ''& 'HI¶V0RWWR'LVPLVVWKH6XSHUVHGLQJ,QGLFWPHQW
>'NW@DW±$QGRQ0DUFK0DQDIRUWILOHGDVLPLODUPRWLRQWRGLVPLVVWKH
LQGLFWPHQWSHQGLQJLQWKH(DVWHUQ'LVWULFWRI9LUJLQLDSee United States v. Manafort 1R
FU ('9D 'HI¶V0RWWR'LVPLVV>'NW@:KLOHWKHUHLVREYLRXVRYHUODSDPRQJ
WKHLVVXHVUDLVHGLQWKHLQVWDQWFLYLODFWLRQDQGLQWKHPRWLRQVWRGLVPLVVWKHFULPLQDOFDVHVWKLV
RSLQLRQZLOOQRWDGGUHVVDQGVKRXOGQRWEHUHDGDVH[SUHVVLQJDQ\RSLQLRQDERXWWKHPHULWVRI
WKRVHPRWLRQV
,QDQ\HYHQW0DQDIRUWKDVVLJQLILFDQWO\QDUURZHGWKHVFRSHRIKLVFLYLOFDVHWRUHGXFHWKDW
RYHUODS,QKLVRSSRVLWLRQWRWKHSHQGLQJPRWLRQWRGLVPLVVSODLQWLIIDSSHDUHGWREDFNDZD\IURP
ZKDWVHHPHGWREHDQXQDPELJXRXVUHTXHVWWKDWWKH&RXUWGHHPWKHLQGLFWPHQWWREHLQYDOLG:KHQ
WKHFRPSODLQWZDVILOHGLWDOOHJHG
7KHLQGLFWPHQWUDLVHVVWDOHDOOHJDWLRQV'2-PXVWKDYHEHHQDZDUHRIIRU QHDUO\DGHFDGH WKH\DUHQRWPDWWHUVWKDW³DURVHIURPWKHLQYHVWLJDWLRQ´LQWR WKHHOHFWLRQDQGDOOHJHGFROOXVLRQZLWKWKH5XVVLDQJRYHUQPHQW%\ LJQRULQJWKHERXQGDULHVRIWKHMXULVGLFWLRQJUDQWHGWRWKH6SHFLDO&RXQVHOLQ
3ODLQWLIIRSSRVHGWKHPRWLRQRQ)HEUXDU\3O¶V0HPRI/DZLQ2SSWR'HIV¶ 0RW>'NW@ ³3O¶V2SS 2Q0DUFKGHIHQGDQWVILOHGDUHSO\'HIV¶5HSO\0HP LQ6XSSRI'HIV¶0RW>'NW@ ³'HIV¶5HSO\´ WKH $SSRLQWPHQW 2UGHU 0U 0XHOOHU DFWHG EH\RQG WKH VFRSH RI KLV DXWKRULW\0U0XHOOHU¶VDFWLRQVPXVWEHVHWDVLGH &RPSO LQWHUQDO HGLWV RPLWWHG see also 3UD\HU IRU 5HOLHI E VHHNLQJ ³DQ RUGHU DQG
MXGJPHQWVHWWLQJ DVLGH DOO DFWLRQV WDNHQ DJDLQVW 0U 0DQDIRUW SXUVXDQW WR WKH $SSRLQWPHQW
2UGHU´ %XWLQDIRRWQRWHWRKLVRSSRVLWLRQWRGHIHQGDQWV¶PRWLRQWRGLVPLVVSODLQWLIIVWDWHG ³>W@R
WKHH[WHQWWKH>F@RPSODLQWFDQEHUHDGWRVHHNGLVPLVVDORIWKHLQGLFWPHQWLQWKHSHQGLQJFULPLQDO
FDVHLQWKLV&RXUW0U0DQDIRUWH[SUHVVO\ZDLYHVDQ\VXFKFODLPIRUUHOLHILQWKLVFLYLOFDVH´3O¶V
2SSDWQ$WWKHKHDULQJRQWKHPRWLRQKHOGRQ$SULOSODLQWLIIGLVDYRZHGDQ\IXUWKHU
LQWHUHVWLQDQRUGHUVHWWLQJDVLGHWKHLQGLFWPHQWVsee 7URI3URFHHGLQJV+HOGRQ$SU>'NW@
³7U´ DW ± id. DW ± id. DW ±DQGZLWKWKDWKHDEDQGRQHG&RXQW,,Id.DW
± ³7KH&RXUW 6RWKDWPHDQV\RX¶UHZLWKGUDZLQJ&RXQW7ZR"0U'RZQLQJ :HDUH
<RXU+RQRU´ 7KXVWKHRQO\FODLPWKDWLVSHQGLQJIRUSXUSRVHVRIWKLVPRWLRQLV&RXQW,DJDLQVW
WKH 'HSDUWPHQW RI -XVWLFH DQG WKH $FWLQJ $WWRUQH\ *HQHUDO XQGHU WKH $3$ DQG SODLQWLII KDV
HPSKDVL]HGWKDWZLWKWKDWFODLPKHVHHNVRQO\³SURVSHFWLYHUHOLHI DQRUGHUGHFODULQJLQYDOLGWKH
ultra vires $SSRLQWPHQW2UGHUDQGHQMRLQLQJWKH6SHFLDO&RXQVHO¶VIXWXUHultra vires H[HUFLVHRI
DXWKRULW\XQGHUWKDW2UGHU´3O¶V2SS DW see also 7UDW ± id. DW ±
0RUHRYHU FRXQVHO IXUWKHU FODULILHG DW WKH KHDULQJ WKDW SODLQWLII LV QRW VHHNLQJ DQ RUGHU
VHWWLQJ DVLGH WKH $SSRLQWPHQW 2UGHU LQ LWV HQWLUHW\ UDWKHU KH LV RQO\ VHHNLQJ WR LQYDOLGDWH
SDUDJUDSK E LL ZKLFKJUDQWVWKH6SHFLDO&RXQVHOWKHDXWKRULW\WRLQYHVWLJDWH³DQ\PDWWHUVWKDW
DURVHRUPD\DULVHGLUHFWO\IURPWKHLQYHVWLJDWLRQ´7UDW ± see also ([$WR&RPSO
>'NW@ ³$SSRLQWPHQW2UGHU´
%XWDFLYLOFDVHLVQRWWKHDSSURSULDWHYHKLFOHIRUWDNLQJLVVXHZLWKZKDWDSURVHFXWRUKDV
GRQHLQWKHSDVWRUZKHUHKHPLJKWEHKHDGHGLQWKHIXWXUH,WLVDVRXQGDQGZHOOHVWDEOLVKHG
SULQFLSOHWKDWDFRXUWVKRXOGQRWH[HUFLVHLWVHTXLWDEOHSRZHUVWRLQWHUIHUHZLWKRUHQMRLQDQRQJRLQJ
FULPLQDOLQYHVWLJDWLRQZKHQWKHGHIHQGDQWZLOOKDYHWKHRSSRUWXQLW\WRFKDOOHQJHDQ\GHIHFWVLQ
WKH SURVHFXWLRQ LQ WKH WULDO FRXUW RU RQ GLUHFW DSSHDO 7KHUHIRUH WKH &RXUW ILQGV WKDW WKLV FLYLO
FRPSODLQWPXVWEHGLVPLVVHG7KHFRQFOXVLRQWKDWWKLVLVWKHQHFHVVDU\RXWFRPHLVUHLQIRUFHGE\
WKHUHTXLUHPHQWLQWKHVROHVWDWXWHWKDWSODLQWLIILQYRNHV±WKH$GPLQLVWUDWLYH3URFHGXUH$FW±WKDW
DFODLPDQWPD\RQO\VHHNUHOLHIXQGHUWKH$FWLIKHODFNVDQDGHTXDWHUHPHG\DWODZ3ODLQWLII¶V
FODLPVDERXWWKHOHJLWLPDF\RIWKH$SSRLQWPHQW2UGHUFDQEHDGGUHVVHGLQKLVFULPLQDOFDVHVLQ
DFFRUGDQFHZLWKWKH)HGHUDO5XOHVRI&ULPLQDO3URFHGXUHVRWKH&RXUWVKRXOGQRWUHDFKWKHPHULWV
RIWKRVHFODLPVKHUH0RUHRYHUJLYHQWKHZD\SODLQWLIIKDVUHFKDUDFWHUL]HGDQGDOWHUHGKLVFLYLO
FRPSODLQWWRRYHUFRPHWKHVHREVWDFOHVWRWKH&RXUW¶VH[HUFLVHRILWVMXULVGLFWLRQLWLVQRWDWDOOFOHDU
WKDWWKHUHLVDQ\ULSHMXVWLFLDEOHFRQWURYHUV\OHIWLQWKLVODZVXLWIRUWKH&RXUWWRUHVROYHDQGWKHUH
DUHFHUWDLQO\QRDOOHJDWLRQVRILPSHQGLQJLUUHSDUDEOHKDUPWKDWZRXOGMXVWLI\LQMXQFWLYHUHOLHI
%$&.*5281' , 5HJXODWRU\)UDPHZRUN
$VDJHQHUDOPDWWHUOLWLJDWLRQRQEHKDOIRIWKH8QLWHG6WDWHVLV³UHVHUYHGWRRIILFHUVRIWKH
'HSDUWPHQW RI -XVWLFH XQGHU WKH GLUHFWLRQ RI WKH $WWRUQH\ *HQHUDO´ 86& %XW
&RQJUHVV KDV H[SUHVVO\ DXWKRUL]HG WKH $WWRUQH\ *HQHUDO WR DSSRLQW 6SHFLDO &RXQVHO
6HFWLRQ D RI7LWOHRIWKH8QLWHG6WDWHV&RGHSURYLGHV
7KH$WWRUQH\*HQHUDORUDQ\RWKHURIILFHURIWKH'HSDUWPHQWRI-XVWLFHRU DQ\DWWRUQH\VSHFLDOO\DSSRLQWHGE\WKH$WWRUQH\*HQHUDOXQGHUODZPD\ ZKHQ VSHFLILFDOO\ GLUHFWHG E\ WKH $WWRUQH\ *HQHUDO FRQGXFW DQ\ NLQG RI OHJDO SURFHHGLQJ FLYLO RU FULPLQDO ZKLFK 8QLWHG 6WDWHVDWWRUQH\VDUH DXWKRUL]HGE\ODZWRFRQGXFW 86& D
'2- KDV SURPXOJDWHG D VHW RI UHJXODWLRQV WKDW RXWOLQH FLUFXPVWDQFHV XQGHU ZKLFK WKH
$WWRUQH\*HQHUDOPD\DSSRLQWD6SHFLDO&RXQVHODQGWKHSURFHGXUHIRUGRLQJVR7KHUHJXODWLRQV
DOVRGHVFULEHWKHVFRSHRID6SHFLDO&RXQVHO¶VDXWKRULW\DQGWKHQDWXUHRIWKHRQJRLQJUHODWLRQVKLS
EHWZHHQD6SHFLDO&RXQVHODQG'2-See &)5±,QKLVFRPSODLQW0DQDIRUW
SRLQWVWRRQHRIWKHVHUHJXODWLRQVLQSDUWLFXODU
7KH UHJXODWLRQ WKDW IRUPV WKH EDVLV IRU WKLV ODZVXLW SURYLGHV WKDW WKH 6SHFLDO &RXQVHO¶V
RULJLQDOMXULVGLFWLRQ³VKDOOEHHVWDEOLVKHGE\WKH$WWRUQH\*HQHUDO´&)5 D DQGWKDW
WKH ³6SHFLDO &RXQVHO ZLOO EH SURYLGHG ZLWK D VSHFLILF IDFWXDO VWDWHPHQW RI WKH PDWWHU WR EH
LQYHVWLJDWHG´Id.7KH³RULJLQDOMXULVGLFWLRQ´RIWKH6SHFLDO&RXQVHODOVRLQFOXGHV³WKHDXWKRULW\
WRLQYHVWLJDWHDQGSURVHFXWHIHGHUDOFULPHVFRPPLWWHGLQWKHFRXUVHRIDQGZLWKLQWHQWWRLQWHUIHUH
ZLWKWKH6SHFLDO&RXQVHO¶VLQYHVWLJDWLRQ´Id.
8QGHUWKHWHUPVRIWKLVUHJXODWLRQWKH6SHFLDO&RXQVHOPD\VHHN³DGGLWLRQDOMXULVGLFWLRQ´
IURPWKH$WWRUQH\*HQHUDO³EH\RQGWKDWVSHFLILHGLQKLVRUKHURULJLQDOMXULVGLFWLRQ´LIWKH6SHFLDO
&RXQVHO FRQFOXGHV WKDW LW ³LV QHFHVVDU\ LQ RUGHU WR IXOO\ LQYHVWLJDWH DQG UHVROYH WKH PDWWHUV
DVVLJQHGRUWRLQYHVWLJDWHQHZPDWWHUVWKDWFRPHWROLJKWLQWKHFRXUVHRIKLVRUKHULQYHVWLJDWLRQ´
Id. E $W WKDW SRLQW WKH $WWRUQH\ *HQHUDO ³ZLOO GHWHUPLQH ZKHWKHU WR LQFOXGH WKH
DGGLWLRQDOPDWWHUVZLWKLQWKH6SHFLDO&RXQVHO¶VMXULVGLFWLRQRUDVVLJQWKHPHOVHZKHUH´Id
,, )DFWXDO%DFNJURXQG 7KH FRPSODLQW DOOHJHV WKDW E\ ³HDUO\ '2- KDG SXEOLFO\ UHYHDOHG WKDW LW ZDV
LQYHVWLJDWLQJ DOOHJDWLRQV WKDW 3UHVLGHQW 7UXPS¶V FDPSDLJQ FROOXGHG ZLWK 5XVVLDQ JRYHUQPHQW
RIILFLDOV DQGRU UHSUHVHQWDWLYHV WR VZD\ WKH RXWFRPH RI WKH SUHVLGHQWLDO HOHFWLRQ´
&RPSO
7KH'LUHFWRURIWKH)%,DWWKHWLPH-DPHV%&RPH\WHVWLILHGDERXWWKHLQYHVWLJDWLRQLQD
KHDULQJEHIRUHWKH+RXVH3HUPDQHQW6HOHFW&RPPLWWHHRQ,QWHOOLJHQFHRQ0DUFK+H
VWDWHG
,KDYHEHHQDXWKRUL]HGE\WKH'HSDUWPHQWRI-XVWLFHWRFRQILUPWKDWWKH)%, DV SDUW RI RXU FRXQWHULQWHOOLJHQFH PLVVLRQ LV LQYHVWLJDWLQJ WKH 5XVVLDQ JRYHUQPHQW¶VHIIRUWVWRLQWHUIHUHLQWKHSUHVLGHQWLDOHOHFWLRQDQGWKDW LQFOXGHV LQYHVWLJDWLQJ WKH QDWXUH RI DQ\ OLQNV EHWZHHQ LQGLYLGXDOV DVVRFLDWHG ZLWK WKH 7UXPS FDPSDLJQ DQG WKH 5XVVLDQ JRYHUQPHQW DQG ZKHWKHU WKHUH ZDV DQ\ FRRUGLQDWLRQ EHWZHHQ WKH FDPSDLJQ DQG 5XVVLD¶V HIIRUWV -DPHV%&RPH\HPSCI Hearing Titled Russian Active Measures Investigation)%,JRY 0DUFK
KWWSV ZZZIELJRYQHZVWHVWLPRQ\KSVFLKHDULQJWLWOHGUXVVLDQDFWLYHPHDVXUHV
LQYHVWLJDWLRQOD\RXWBYLHZ )RUPHU 'LUHFWRU &RPH\ DOVR VSHFLILFDOO\ LQIRUPHG WKH &RPPLWWHH
WKDW ³>D@V ZLWK DQ\ FRXQWHULQWHOOLJHQFH LQYHVWLJDWLRQ WKLV ZLOO DOVR LQFOXGH DQ DVVHVVPHQW RI
ZKHWKHUDQ\FULPHVZHUHFRPPLWWHG´Id. %XWKHH[SODLQHG³>E@HFDXVHLWLVDQRSHQRQJRLQJ
LQYHVWLJDWLRQDQGLVFODVVLILHG,FDQQRWVD\PRUHDERXWZKDWZHDUHGRLQJDQGZKRVHFRQGXFWZH
DUHH[DPLQLQJ´Id.
2Q0DUFK$WWRUQH\*HQHUDO-HII6HVVLRQVUHFXVHGKLPVHOIIURPWKHPDWWHUDQG
'HSXW\ $WWRUQH\ *HQHUDO 5RG - 5RVHQVWHLQ EHFDPH WKH KLJKHVWUDQNLQJ '2- RIILFLDO ZLWK
DXWKRULW\RYHUWKHLQYHVWLJDWLRQ&RPSO± 2Q0D\$FWLQJ$WWRUQH\*HQHUDO
5RVHQVWHLQ DSSRLQWHG 5REHUW 6 0XHOOHU ,,, WR VHUYH DV 6SHFLDO &RXQVHO IRU WKH 'HSDUWPHQW RI
-XVWLFHId.
,QHYDOXDWLQJWKHVXIILFLHQF\RIWKHFRPSODLQWWKH&RXUWPD\FRQVLGHU³WKHIDFWVDOOHJHG LQWKHFRPSODLQWDQ\GRFXPHQWVHLWKHUDWWDFKHGWRRULQFRUSRUDWHGLQWKHFRPSODLQWDQGPDWWHUVRI ZKLFK>WKHFRXUW@PD\WDNHMXGLFLDOQRWLFH´EEOC v. St. Francis Xavier Parochial Sch.)G '& &LU 7KDW LQFOXGHV WKH &RXUW¶V DELOLW\ WR WDNH MXGLFLDO QRWLFH RI ³SXEOLF UHFRUGLQIRUPDWLRQ´Jankovic v. Int’l Crisis Grp. )G '&&LU see also Al-Aulaqi v. Panetta)6XSSG± ''& 7KH$SSRLQWPHQW2UGHUVWDWHV
%\ YLUWXH RI WKH DXWKRULW\ YHVWHG LQ PH DV $FWLQJ $WWRUQH\ *HQHUDO LQFOXGLQJ 86& DQG LQ RUGHU WR GLVFKDUJH P\ UHVSRQVLELOLW\WRSURYLGHVXSHUYLVLRQDQGPDQDJHPHQWRIWKH'HSDUWPHQWRI -XVWLFH DQG WR HQVXUH D IXOO DQG WKRURXJK LQYHVWLJDWLRQ RI WKH 5XVVLDQ JRYHUQPHQW¶VHIIRUWVWRLQWHUIHUHLQWKHSUHVLGHQWLDOHOHFWLRQ,KHUHE\ RUGHUDVIROORZV
D 5REHUW60XHOOHU,,,LVDSSRLQWHGWRVHUYHDV6SHFLDO&RXQVHOIRU WKH8QLWHG6WDWHV'HSDUWPHQWRI-XVWLFH
E 7KH 6SHFLDO &RXQVHO LV DXWKRUL]HG WR FRQGXFW WKH LQYHVWLJDWLRQ FRQILUPHGE\WKHQ)%,'LUHFWRU-DPHV%&RPH\LQWHVWLPRQ\EHIRUH WKH+RXVH3HUPDQHQW6HOHFW&RPPLWWHHRQ,QWHOOLJHQFHRQ0DUFK LQFOXGLQJ
L DQ\OLQNVDQGRUFRRUGLQDWLRQEHWZHHQWKH5XVVLDQJRYHUQPHQW DQGLQGLYLGXDOVDVVRFLDWHGZLWKWKHFDPSDLJQRI3UHVLGHQW'RQDOG 7UXPS DQG
LL DQ\ PDWWHUV WKDW DURVH RU PD\ DULVH GLUHFWO\ IURP WKH LQYHVWLJDWLRQ DQG
LLL DQ\RWKHUPDWWHUVZLWKLQWKHVFRSHRI&)5 D
F ,IWKH6SHFLDO&RXQVHOEHOLHYHVLWLVQHFHVVDU\DQGDSSURSULDWHWKH 6SHFLDO&RXQVHOLVDXWKRUL]HGWRSURVHFXWHIHGHUDOFULPHVDULVLQJIURP WKHLQYHVWLJDWLRQRIWKHVHPDWWHUV
G 6HFWLRQVWKURXJKRI7LWOHRIWKH&RGHRI)HGHUDO 5HJXODWLRQVDUHDSSOLFDEOHWRWKH6SHFLDO&RXQVHO
$SSRLQWPHQW2UGHU
$VSDUWRIWKH6SHFLDO&RXQVHO¶VLQYHVWLJDWLRQSODLQWLII0DQDIRUWZDVLQGLFWHGRQ2FWREHU
LQWKH8QLWHG6WDWHV'LVWULFW&RXUWIRUWKH'LVWULFWRI&ROXPELDDQGKHZDVFKDUJHGZLWK
WZHOYH FRXQWV &RPSO see also ,QGLFWPHQW ([ % WR &RPSO >'NW@ $ ILYH FRXQW
VXSHUVHGLQJLQGLFWPHQWZDVILOHGRQ)HEUXDU\United States v. Manafort 1RFU
''& 6XSHUVHGLQJ,QGLFWPHQW>'NW@0DQDIRUWKDVDOVREHHQLQGLFWHGLQ
WKH8QLWHG6WDWHV'LVWULFW&RXUWIRUWKH(DVWHUQ'LVWULFWRI9LUJLQLDDQGFKDUJHGZLWKWKLUW\WZR
FRXQWVSee United States v. Manafort1R FU ('9D 6XSHUVHGLQJ,QGLFWPHQW
>'NW @
67$1'$5'2)5(9,(:
³7R VXUYLYH D >5XOH E @ PRWLRQ WR GLVPLVV D FRPSODLQW PXVW FRQWDLQ VXIILFLHQW
IDFWXDOPDWWHUDFFHSWHGDVWUXHWRVWDWHDFODLPWRUHOLHIWKDWLVSODXVLEOHRQLWVIDFH´Ashcroft v.
Iqbal 86 LQWHUQDO TXRWDWLRQ PDUNV RPLWWHG accord Bell Atl. Corp. v.
Twombly86 :KHQFRQVLGHULQJDPRWLRQWRGLVPLVVXQGHU5XOH E
WKH&RXUWLVERXQGWRFRQVWUXHDFRPSODLQWOLEHUDOO\LQWKHSODLQWLII¶VIDYRUDQGLWVKRXOGJUDQWWKH
SODLQWLII³WKHEHQHILWRIDOOLQIHUHQFHVWKDWFDQEHGHULYHGIURPWKHIDFWVDOOHJHG´Kowal v. MCI
Commc’ns Corp.)G '&&LU 1HYHUWKHOHVVWKH&RXUWQHHGQRWDFFHSW
LQIHUHQFHV GUDZQ E\ WKH SODLQWLII LI WKRVH LQIHUHQFHV DUH XQVXSSRUWHG E\ IDFWV DOOHJHG LQ WKH
FRPSODLQWQRUPXVWWKH&RXUWDFFHSWSODLQWLII¶VOHJDOFRQFOXVLRQVSee id. Browning v. Clinton
)G '&&LU ,QUXOLQJXSRQDPRWLRQWRGLVPLVVIRUIDLOXUHWRVWDWHDFODLP
D FRXUW PD\ FRQVLGHU ³WKH IDFWV DOOHJHG LQ WKH FRPSODLQW DQ\ GRFXPHQWV HLWKHU DWWDFKHG WR RU
LQFRUSRUDWHG LQ WKH FRPSODLQW DQG PDWWHUV RI ZKLFK >WKH FRXUW@ PD\ WDNH MXGLFLDO QRWLFH´ St.
Francis Xavier Parochial Sch.)GDW
6XEMHFW PDWWHU MXULVGLFWLRQ LV DOVR DQ LVVXH LQ WKLV FDVH DQG WKH SDUW\ LQYRNLQJ IHGHUDO
MXULVGLFWLRQ EHDUV WKH EXUGHQ RI HVWDEOLVKLQJ LW Lujan v. Defs. of Wildlife 86
6LQFH WKH HOHPHQWV RI VWDQGLQJ ³DUH QRW PHUH SOHDGLQJ UHTXLUHPHQWV EXW UDWKHU DQ
LQGLVSHQVDEOHSDUWRIWKHSODLQWLII VFDVHHDFKHOHPHQWPXVWEHVXSSRUWHGLQWKHVDPHZD\DVDQ\
RWKHUPDWWHURQZKLFKWKHSODLQWLIIEHDUVWKHEXUGHQRISURRI´Id. “$WWKHSOHDGLQJVWDJHJHQHUDO
IDFWXDODOOHJDWLRQVRILQMXU\UHVXOWLQJIURPWKHGHIHQGDQW¶VFRQGXFWPD\VXIILFH´VLQFHWKHFRXUW
³SUHVXPHVWKDWJHQHUDODOOHJDWLRQVHPEUDFHWKRVHVSHFLILFIDFWVWKDWDUHQHFHVVDU\WRVXSSRUWWKH
FODLP´ Id. TXRWLQJ Lujan v. Nat’l Wildlife Fed’n 86 . ,Q FRQVLGHULQJ
MXULVGLFWLRQ WKH &RXUW ³FDQ HOLFLW LQIRUPDWLRQ RXWVLGH WKH SOHDGLQJV 7KLV SHUPLWV WKH FRXUW WR
XQGHUWDNH DQ LQGHSHQGHQW LQYHVWLJDWLRQ WR DVVXUH LWVHOI RI LWV RZQ VXEMHFW PDWWHU MXULVGLFWLRQ´
Haase v. Sessions)G '&&LU
$1$/<6,6
, 3ODLQWLIIPD\QRWXVHDFLYLODFWLRQDVDYHKLFOHWRDWWDFNDFULPLQDOSURVHFXWLRQ ,QYounger v. Harris 86 WKH6XSUHPH&RXUWLQYRNHGWKHORQJVWDQGLQJ
SXEOLFSROLF\DJDLQVWIHGHUDOFRXUWLQWHUIHUHQFHLQVWDWHFRXUWSURFHHGLQJVDQGLWKHOGWKDWDWKUHDW
RIFULPLQDOSURVHFXWLRQGRHVQRWULVHWRWKHOHYHORIKDUPWKDWFRXOGMXVWLI\LQMXQFWLYHUHOLHI³7KH
LPPLQHQFHRIVXFKDSURVHFXWLRQHYHQWKRXJKDOOHJHGWREHXQDXWKRUL]HGDQGKHQFHXQODZIXOLV
QRW DORQH JURXQG IRU UHOLHI LQ HTXLW\ ZKLFK H[HUWV LWV H[WUDRUGLQDU\ SRZHUV RQO\ WR SUHYHQW
LUUHSDUDEOHLQMXU\WRWKHSODLQWLIIZKRVHHNVLWVDLG´Id. DWTXRWLQJBeal v. Mo. Pac. R.R. Corp.
86
7KH &RXUW UHFLWHG WKH UHDVRQV EHKLQG WKH SROLF\ ³>R@QH LV WKH EDVLF GRFWULQH RI HTXLW\
MXULVSUXGHQFH WKDW FRXUWV RI HTXLW\ VKRXOG QRW DFW DQG SDUWLFXODUO\ VKRXOG QRW DFW WR UHVWUDLQ D
FULPLQDOSURVHFXWLRQZKHQWKHPRYLQJSDUW\KDVDQDGHTXDWHUHPHG\DWODZDQGZLOOQRWVXIIHU
LUUHSDUDEOHLQMXU\LIGHQLHGHTXLWDEOHUHOLHI´Id. DW±6HFRQGWKH&RXUWREVHUYHGWKDW³>W@KLV
XQGHUO\LQJUHDVRQIRUUHVWUDLQLQJFRXUWVRIHTXLW\IURPLQWHUIHULQJZLWKFULPLQDOSURVHFXWLRQVLV
UHLQIRUFHGE\DQHYHQPRUHYLWDOFRQVLGHUDWLRQWKHQRWLRQRIµFRPLW\¶WKDWLVDSURSHUUHVSHFWIRU
VWDWHIXQFWLRQV´Id. DW
:KLOHWKHYounger GHFLVLRQZDVWKXVDQLPDWHGLQSDUWE\FRQVLGHUDWLRQVRIIHGHUDOLVP
DQGWKHQRWLRQWKDWVWDWHFRXUWVVKRXOGUHYLHZVWDWHVWDWXWHVLQWKHILUVWLQVWDQFHsee 86DW
LQWKHHQGWKH&RXUWHPSKDVL]HG ³RXUKROGLQJUHVWVRQWKHDEVHQFHRIWKHIDFWRUVQHFHVVDU\
XQGHUHTXLWDEOHSULQFLSOHVWRMXVWLI\IHGHUDOLQWHUYHQWLRQ´Id. DW
7KH'&&LUFXLWKDVVLQFHDSSOLHGWKLVUHDVRQLQJWRKROGWKDWLQOLJKWRIWUDGLWLRQDOHTXLWDEOH
SULQFLSOHVDQGFRQFHUQVDERXWILQDOLW\WKHVXEMHFWRIDFULPLQDOLQYHVWLJDWLRQPD\QRWEULQJDFLYLO
DFWLRQWRDWWDFNDQLPSHQGLQJIHGHUDOSURVHFXWLRQHLWKHUDQGWKRVHSUHFHGHQWVJRYHUQWKLVFDVH
,Q Deaver v. Seymour D IRUPHU :KLWH +RXVH RIILFLDO ZKR ZDV WKH VXEMHFW RI DQ
LQYHVWLJDWLRQEHLQJSXUVXHGE\DQLQGHSHQGHQWFRXQVHODSSRLQWHGXQGHUWKH(WKLFVLQ*RYHUQPHQW
$FW ZDV LQIRUPHG WKDW WKH LQGHSHQGHQW FRXQVHO ZDV DERXW WR DVN WKH JUDQG MXU\ WR UHWXUQ DQ
LQGLFWPHQW )G '& &LU 7KH QH[W GD\ KH EURXJKW D FLYLO DFWLRQ IRU
GHFODUDWRU\ DQG LQMXQFWLYH UHOLHI WKDW ZRXOG VWD\ WKH SURVHFXWLRQ ZKLOH KH FKDOOHQJHG WKH
FRQVWLWXWLRQDOLW\RIWKHLQGHSHQGHQWFRXQVHO¶VDXWKRULW\Id. DW±7KHWULDOFRXUWGHQLHGWKH
PRWLRQIRUDSUHOLPLQDU\LQMXQFWLRQDQGWKH'&&LUFXLWDIILUPHGId. DW7KH&RXUWVDLG
³>H@YHQZHUHZHGLVSRVHGWRDJUHHHQWLUHO\ZLWKDSSHOODQW¶VFRQVWLWXWLRQDODUJXPHQWZHWKLQNKH
KDVQRULJKWWRDQLQMXQFWLRQUHVWUDLQLQJDSHQGLQJLQGLFWPHQWLQDIHGHUDOFRXUW´Id.
7KH &RXUW TXRWHG WKH KROGLQJ LQ Younger v. Harris ³WKDW WKH µFRVW DQ[LHW\ DQG
LQFRQYHQLHQFHRIKDYLQJWRGHIHQGDJDLQVWDVLQJOHFULPLQDOSURVHFXWLRQ¶DUHQRWUHFRJQL]HGDV
LUUHSDUDEOHLQMXULHVMXVWLI\LQJDQHTXLWDEOHUHPHG\´Deaver )G DW TXRWLQJYounger
86DW,WREVHUYHGWKDW³>D@OWKRXJKLWLVVXUHO\WUXHWKDWDQLQQRFHQWSHUVRQPD\VXIIHU
JUHDWKDUPWRKLVUHSXWDWLRQDQGSURSHUW\E\EHLQJHUURQHRXVO\DFFXVHGRIDFULPHDOOFLWL]HQV
PXVWVXEPLWWRDFULPLQDOSURVHFXWLRQEURXJKWLQJRRGIDLWKVRWKDWODUJHUVRFLHWDOLQWHUHVWVPD\EH
SUHVHUYHG´Id. 7KH&RXUWZHQWRQWRH[SODLQWKDWLWZDVIRUWKRVHUHDVRQVWKDW³WKH6XSUHPH&RXUW
KDV XSKHOG IHGHUDO LQMXQFWLRQV WR UHVWUDLQ VWDWH FULPLQDO SURFHHGLQJV RQO\ ZKHUH WKH WKUHDWHQHG
SURVHFXWLRQFKLOOHGH[HUFLVHRI)LUVW$PHQGPHQWULJKWV´Id.
7KH QH[W TXHVWLRQ WR EH UHVROYHG WKHQ ZDV ZKHWKHU WKH Younger SULQFLSOH VKRXOG EH
DSSOLHGLQDIHGHUDOFDVHLQYROYLQJDIHGHUDOSURVHFXWLRQSee Deaver )G DW 7KH&RXUW
DFNQRZOHGJHGWKDWLWKDGUHFHQWO\VWDWHGLQJuluke v. Hodel )G± '&&LU
WKDWWKHYounger GRFWULQHGLGQRWQHFHVVDULO\FRQWUROLQWKDWVLWXDWLRQDeaver )GDW
%XWLWGLGQRWYLHZWKHREVHUYDWLRQLQJuluke DVDQLPSHGLPHQWWRGLVPLVVLQJ'HDYHU¶VFDVH
7KH&RXUWUHSRUWHGWKDWLWFRXOGILQGQRSULRUFDVHLQZKLFKDIHGHUDOFRXUWKDGHQMRLQHGDIHGHUDO
SURVHFXWRU¶V LQYHVWLJDWLRQ RU SUHVHQWPHQW RI DQ LQGLFWPHQW Id. 0RUH LPSRUWDQW WKH &RXUW
UHFRJQL]HGWKDWDIHGHUDOGHIHQGDQWZLOOEHDIIRUGHGDQRSSRUWXQLW\XQGHU)HGHUDO5XOHRI&ULPLQDO
3URFHGXUH E WRPRYHWRGLVPLVVDQLQGLFWPHQWEDVHGRQGHIHFWVLQWKHSURVHFXWLRQId. DW
,WIRXQGWKDWWKHYHU\H[LVWHQFHRIWKHUXOHVXJJHVWHGWKDW'HDYHU¶VFKDOOHQJH³LVQRWWREHUDLVHG
LQDSUHLQGLFWPHQWFLYLOLQMXQFWLYHDFWLRQ´Id.
7KLV LPSOLFDWLRQ LV VWUHQJWKHQHG E\ WKH WUDGLWLRQDO UHOXFWDQFHRI DQ HTXLW\ FRXUW WR LQWHUIHUH ZLWK FULPLQDO SURFHHGLQJV $QG ZH WKLQN WKH OLPLWHG DSSHDODELOLW\ RI GLVWULFW FRXUW RUGHUV GHQ\LQJ SUHWULDO PRWLRQV LQ FULPLQDO FDVHV PDNHV WKH LPSOLFDWLRQ WKDW 'HDYHU FDQQRW EULQJ WKLV 5XOH E W\SHFODLPWRRXUFRXUWLQHVFDSDEOH
Id.
)RUDOORIWKHVHUHDVRQVWKH'&&LUFXLWFDPHWRDFOHDUDQGXQHTXLYRFDOFRQFOXVLRQ
&RQJUHVV KDV HVWDEOLVKHG D FRPSUHKHQVLYH VHW RI UXOHV JRYHUQLQJ IHGHUDO FULPLQDO SURVHFXWLRQV ± WKH )HGHUDO 5XOHV RI &ULPLQDO 3URFHGXUH 7KHVH UXOHV SURYLGH DGHTXDWH DOWKRXJK OLPLWHG RSSRUWXQLWLHV IRU GHIHQGDQWV WR FKDOOHQJH VKRUWFRPLQJV LQ SURVHFXWRULDO DXWKRULW\ :H FDQQRW DOORZ 'HDYHUWRDYRLGWKHVHUXOHV±DQGWKHUHE\HQFRXUDJHDIORRGRIGLVUXSWLYH FLYLOOLWLJDWLRQ±E\EULQJLQJKLVFRQVWLWXWLRQDOGHIHQVHLQDQLQGHSHQGHQW FLYLOVXLW
Id. DW
0DQDIRUW¶VVLWXDWLRQIDOOVVTXDUHO\ZLWKLQWKHVFRSHRIWKLVUXOLQJSDUWLFXODUO\VLQFHKHKDV
GLVDYRZHGDQ\LQWHUHVWLQVHHNLQJWKHGLVPLVVDORIWKHSHQGLQJLQGLFWPHQWVWKURXJKWKLVDFWLRQ
/LNH'HDYHUKHLVVHHNLQJLQMXQFWLYHUHOLHIWRVWRSDQRQJRLQJLQYHVWLJDWLRQEDVHGRQDFRQFHUQ
WKDWKHPD\VXIIHUUHSXWDWLRQDOKDUPRUEHIRUFHGWRH[SHQGUHVRXUFHVLQKLVRZQGHIHQVHLQWKH
IXWXUH See id. DW ± 3O¶V 6XSSO 0HP RI /DZ 5HJDUGLQJ 6XEMHFW0DWWHU -XULVGLFWLRQ
>'NW@ ³3O¶V6XSSO0HP´ DW ³:LWKRXWWKHUHOLHIVRXJKWE\&RXQW,0U0DQDIRUWZLOO
FRQWLQXHWRIDFHWKHEUXQWRIWKH6SHFLDO&RXQVHO¶Vultra vires DXWKRULW\LQFOXGLQJDGGLWLRQDOVHDUFK
ZDUUDQWV VXESRHQDV DQG SRVVLEOH LQGLFWPHQWV 3RVWSRQLQJ UHYLHZ ZLOO WKXV UHVXOW LQ RQHURXV
KDUGVKLSVIRU0U0DQDIRUW´ $QGDVLQDeaver SODLQWLII¶VUHTXHVWIRUUHOLHILVSUHGLFDWHGRQD
FKDOOHQJHWRWKHOHJDOLW\RIWKHJUDQWRIDXWKRULW\WRWKHSURVHFXWRUSee Deaver)GDW
&RPSO0DQDIRUWGRHVQRWDOOHJHWKDWKLVDELOLW\WRH[HUFLVHDQ\FRQVWLWXWLRQDOULJKWZLOOEH
LQIULQJHG ZKLOH DQ LQYHVWLJDWLRQ SURFHHGV VR WKHUH LV QR EDVLV WR LQYRNH DQ H[FHSWLRQ WR WKH
Younger SULQFLSOHSee Deaver )GDW $QGDUXOLQJRQWKHOHJLWLPDF\RIWKHSURVHFXWLRQ
LQWKHFRQWH[WRIWKLVFLYLOFDVHZRXOGJLYHULVHWRWKHVDPHFRQFHUQVDERXWILQDOLW\DUWLFXODWHGE\
WKHDeaver &RXUW
0DQDIRUWDUJXHVWKDWKHLVPRUHVLPLODUWRWKHSODLQWLIIVZKRVHFDVHVZHQWIRUZDUGLQJuluke
WKDQKHLVWR'HDYHU,QJuluke WKHUHZHUHWKUHHFDVHVFRQVROLGDWHGIRUUHYLHZE\WKH&RXUWRI
$SSHDOV VHSDUDWHDSSHDOVE\WZRLQGLYLGXDOVZKRZHUHFULPLQDOO\FRQYLFWHGRIYLRODWLQJIHGHUDO
UHJXODWLRQVJRYHUQLQJGHPRQVWUDWLRQVLQIURQWRIWKH:KLWH+RXVHDQGDQDSSHDORIDGLIIHUHQW
WULDO FRXUW¶V GHFLVLRQ WR GHQ\ D WHPSRUDU\ UHVWUDLQLQJ RUGHU DQG HQWHU MXGJPHQW DJDLQVW WKRVH
LQGLYLGXDOV DQG WZR RWKHUV LQ D FLYLO DFWLRQ VHHNLQJ WR HQMRLQ WKH HQIRUFHPHQW RI WKH VDPH
UHJXODWLRQV LQ WKH IXWXUH )G DW 7KH JRYHUQPHQW WRRN WKH SRVLWLRQ WKDW Younger
VXSSOLHGJURXQGVIRUWKHGLVPLVVDORIWKHDSSHDORIWKHFLYLOFDVHUHO\LQJRQWKHJHQHUDOSULQFLSOH
WKDWWKHYDOLGLW\RIWKHUHJXODWLRQVFRXOGEHGHFLGHGLQWKHFULPLQDOFDVHId.%XWWKH'&&LUFXLW
UHMHFWHGWKDWDSSURDFKGLVWLQJXLVKLQJWKHFDVHEHIRUHLWIURPRQHLQYROYLQJDQDWWHPSWWRHQMRLQ
DQRQJRLQJSURVHFXWLRQ
>7@KLVLVQRWWKHUHOLHIWKDWWKH>DSSHOODQWV@VRXJKW7KHDSSHOODQWVZLVKHG WR FRQWLQXH WKHLU GHPRQVWUDWLRQ RQ WKH :KLWH +RXVH VLGHZDON EXW IDFHG DOPRVWFHUWDLQSURVHFXWLRQLQWKHIXWXUHLIWKH\ZHUHWRGRVR7KXVWKH\ VRXJKWWRHQMRLQfuture DUUHVWVIRUYLRODWLRQVRIWKHUHJXODWLRQV7KH\ QHYHUVRXJKWWRHQMRLQWKHH[LVWLQJSURVHFXWLRQV1RUFRXOGDGMXGLFDWLRQRI WKHFULPLQDOFDVHVDIIRUGWKHPDGHTXDWHUHOLHI
)GDW HPSKDVLVLQRULJLQDO 7KXVWKH&RXUWIRXQGWKDWLWZDVDSSURSULDWHIRUWKH
ORZHUFRXUWWRFRQVLGHUWKHFODLPVIRULQMXQFWLYHUHOLHIDWOHDVWDVWRWKHWZRSURWHVWHUVZKRZHUH
QRWDOUHDG\FULPLQDOO\FKDUJHGId.
7KHIDFWWKDW0DQDIRUWKDVQDUURZHGKLVDSSURDFKWRIRFXVRQO\RQ IXWXUH LQYHVWLJDWLYH
VWHSVE\WKH6SHFLDO&RXQVHOGRHVQRWFXUHWKHSUREOHPZLWKKLVFLYLOFRPSODLQWRUDOLJQKLPZLWK
WKHJuluke FODLPDQWVSODQQLQJIXWXUHGHPRQVWUDWLRQV8QOLNHWKRVHLQGLYLGXDOV0DQDIRUWGRHVQRW
DOOHJHWKDWKHIDFHVDFHUWDLQULVNLIKHHQJDJHVLQ IXWXUHFRQGXFWDQGKHFHUWDLQO\GRHVQRWDOOHJH
WKDWKHZLOOIDFHSURVHFXWLRQLIKHHQJDJHVLQFRQVWLWXWLRQDOO\SURWHFWHGFRQGXFW+LVFDVHLQYROYHV
DQ DWWHPSW WR UHVWUDLQ WKH IXWXUH DFWLYLWLHV RI WKH SURVHFXWRU VR LW LV QRW DW DOODQDORJRXV WR WKH
Juluke VLWXDWLRQ
0DQDIRUW DOVR GLUHFWV WKH &RXUW WR ODQJXDJH LQ WKH Juluke RSLQLRQ WKDW HPSKDVL]HV WKH
LPSRUWDQFHRIFRQFHUQVRIIHGHUDOLVPWRWKHYounger GHFLVLRQ3O¶V2SSDWFLWLQJJuluke
)GDW ³Younger DWLWVFRUHLVDFDVHDERXWWKHSURSHUUHODWLRQVKLSEHWZHHQIHGHUDODQG
VWDWHFRXUWV´ %XWWKHJuluke RSLQLRQSUHGDWHGWKHDeaver RSLQLRQ WKHDeaver &RXUWZDVSODLQO\
DZDUH RI WKRVH REVHUYDWLRQV see )G DW DQG VLQFH Deaver WKH '& &LUFXLW KDV EHHQ
FRQVLVWHQWLQLWVWHDFKLQJWKDWYounger PD\EHDSSOLHGHYHQZKHUHQRLVVXHVFRQFHUQLQJVWDWHV¶
ULJKWVDUHDWVWDNH
,QJarkesy v. SEC)G '&&LU WKH&RXUWDIILUPHGWKHGLVPLVVDORID
FLYLOODZVXLWVHHNLQJWRWHUPLQDWHDSHQGLQJ6(&DGPLQLVWUDWLYHHQIRUFHPHQWDFWLRQEURXJKWXQGHU
WKH&RQVWLWXWLRQDQGWKH$GPLQLVWUDWLYH3URFHGXUH$FW7KH&RXUWZURWH
7UXHYoungerDEVWHQWLRQLVJURXQGHGLQFRQVLGHUDWLRQVRIIHGHUDOLVPQRW LPSOLFDWHG KHUH %XW WKH UXOH GHULYHV IURP ³WKH EDVLF GRFWULQH RI HTXLW\ MXULVSUXGHQFHWKDWFRXUWVRIHTXLW\VKRXOGQRWDFWDQGSDUWLFXODUO\VKRXOG QRW DFW WR UHVWUDLQ D FULPLQDO SURVHFXWLRQ ZKHQ WKH PRYLQJ SDUW\ KDV DQ DGHTXDWHUHPHG\DWODZDQGZLOOQRWVXIIHULUUHSDUDEOHLQMXU\´
Id.DWTXRWLQJYounger 86DW±$QGLQIn re Al-Nashiri )G±
'& &LU cert. denied 6 &W WKH &RXUW DIILUPHG WKH GLVWULFW FRXUW¶V
GHFLVLRQ WR GHQ\ D KDEHDV SHWLWLRQHU¶V PRWLRQ WR SUHOLPLQDULO\ HQMRLQ KLV XSFRPLQJ WULDO DV DQ
³HQHP\FRPEDWDQW´EHIRUHDPLOLWDU\FRPPLVVLRQDQGWRKROGKLVSHWLWLRQLQDEH\DQFHXQWLOWKH
FULPLQDOWULDOZDVFRPSOHWH 7KH&RXUWTXRWHGDeaver DQGJarkesy DQGFRQFOXGHG³>W@KXVZKHUH
WKHLVVXHWKHSHWLWLRQHUFKDOOHQJHVFDQEHOLWLJDWHGLQSUHWULDOPRWLRQVDQGUDLVHGDVDGHIHQVHDW
WULDOIHGHUDOFRXUWVW\SLFDOO\UHTXLUHWKHSHWLWLRQHUWRQDYLJDWHWKDWSURFHVVLQVWHDGRIVNLUWLQJLW´
)GDW0DQDIRUWKDVSURYLGHGQRUHDVRQIRUWKH&RXUWWRGHYLDWHIURPWKHVHSULQFLSOHV
VRKLVFLYLOFDVHZLOOEHGLVPLVVHG
,, &RXQW,XQGHUWKH$3$PXVWEHGLVPLVVHGVLQFHSODLQWLIIKDVDQDGHTXDWHUHPHG\DW ODZ (YHQLIRQHIRFXVHVVROHO\RQWKHVWDWXWRU\EDVLVIRUSODLQWLII¶VFODLPUDWKHUWKDQHTXLWDEOH
SULQFLSOHV&RXQW,IDLOVIRUYHU\VLPLODUUHDVRQV
7KH FULPLQDO PRWLRQV DQG WKH FLYLODFWLRQ VHHNGLIIHUHQW UHOLHI WKH LQYDOLGDWLRQ RI SDVW
DFWLRQ±WKHLQGLFWPHQW±RQWKHRQHKDQGDQGDEDURQIXWXUHDFWLRQRQWKHRWKHU%XWERWKDVN
WKH&RXUWWRPDNHSUHFLVHO\WKHVDPHGHWHUPLQDWLRQ WKDWWKHSURYLVLRQLQWKH$SSRLQWPHQW2UGHU
DXWKRUL]LQJWKH6SHFLDO&RXQVHOWRSXUVXH³DQ\PDWWHUVWKDWDURVHRUPD\DULVHGLUHFWO\IURPWKH
LQYHVWLJDWLRQ´LVLQYDOLGDQGWKDWWKH6SHFLDO&RXQVHOKDVQRSRZHUWRLQYHVWLJDWH0DQDIRUWXQGHU
WKDWSURYLVLRQ7KXVDVWKH&RXUWRI$SSHDOVREVHUYHGLQDeaver)GDW0DQDIRUWKDV
7KHYounger DEVWHQWLRQGRFWULQHZDVDOVRH[WHQGHGE\WKH6XSUHPH&RXUWWRWKHFRQWH[W RIPLOLWDU\FRXUWPDUWLDOSURFHHGLQJVLQSchlesinger v. Councilman 86± QRWZLWKVWDQGLQJWKHDEVHQFHRIIHGHUDOLVPFRQFHUQV DQ DGHTXDWHUHPHG\DWODZLQWKHIRUPRIKLV SHQGLQJPRWLRQVWR GLVPLVV RU IXWXUHPRWLRQVWR
GLVPLVV DQG WKH ORQH UHPDLQLQJ FRXQW LQ WKH FLYLO FRPSODLQW ZLOO EH GLVPLVVHG EDVHG RQ WKLV
HVVHQWLDOUHTXLUHPHQWRIWKH$3$LQDGGLWLRQWRWKHYounger GRFWULQH
7KH$GPLQLVWUDWLYH3URFHGXUH$FWSURYLGHVIRUMXGLFLDOUHYLHZRI³ILQDODJHQF\DFWLRQ´
RQO\ZKHQ³WKHUHLVQRRWKHUDGHTXDWHUHPHG\LQDFRXUW´86&7KLVVHFWLRQRIWKH
$3$ ³UHIOHFWV &RQJUHVV¶ MXGJPHQW WKDW µWKH JHQHUDO JUDQW RI UHYLHZ LQ WKH $3$¶ RXJKW QRW
µGXSOLFDWHH[LVWLQJSURFHGXUHVIRUUHYLHZRIDJHQF\DFWLRQ¶RUµSURYLGHDGGLWLRQDOMXGLFLDOUHPHGLHV
LQVLWXDWLRQVZKHUH&RQJUHVVKDVSURYLGHGVSHFLDODQGDGHTXDWHUHYLHZSURFHGXUHV¶´Citizens for
Responsibility and Ethics in Wash. (“CREW”) v. DOJ)G '&&LU
TXRWLQJBowen v. Massachusetts86
³:KHQFRQVLGHULQJZKHWKHUDQDOWHUQDWLYHUHPHG\LVµDGHTXDWH¶DQGWKHUHIRUHSUHFOXVLYH
RI$3$UHYLHZ´FRXUWVORRNIRU³µFOHDUDQGFRQYLQFLQJHYLGHQFH¶RIµOHJLVODWLYHLQWHQW¶WRFUHDWH
DVSHFLDODOWHUQDWLYHUHPHG\DQGWKHUHE\EDU$3$UHYLHZ´CREW)GDWTXRWLQJ
Garcia v. Vilsack )G '& &LU ³)RU H[DPSOH ZKHUH &RQJUHVV KDV
SURYLGHGµDQLQGHSHQGHQWFDXVHRIDFWLRQRUDQDOWHUQDWLYHUHYLHZSURFHGXUH¶´FRXUWVKDYH³IRXQG
FOHDUPDUNHUVRIOHJLVODWLYHLQWHQWWRSUHFOXGH´CREW)GDWFLWLQJEl Rio Santa Cruz
Neighborhood Health Ctr. v. HHS )G '&&LU 7KXVLQCREW WKH
'& &LUFXLW KHOG WKDW WKH )UHHGRP RI ,QIRUPDWLRQ $FW ³)2,$´ RIIHUV DQ ³DGHTXDWH UHPHG\´
ZLWKLQWKHPHDQLQJRIVHFWLRQ³GHVSLWHVRPHPLVPDWFKEHWZHHQWKHUHOLHIVRXJKW´XQGHUWKH
$3$DQG³WKHUHOLHIDYDLODEOH´XQGHU)2,$)GDW
%XW³>D@QDOWHUQDWLYHUHPHG\ZLOOQRWEHDGHTXDWHXQGHULIWKHUHPHG\RIIHUVRQO\
µGRXEWIXODQGOLPLWHGUHOLHI¶´Garcia)GDWTXRWLQJBowen86DW $QGVR
LQWKH Bowen FDVHWKH6XSUHPH&RXUWFRQFOXGHGWKDWWKHDELOLW\WRREWDLQPRQHWDU\UHOLHILQWKH
8QLWHG6WDWHV&ODLPV&RXUWZDVQRWWKHNLQGRI³µVSHFLDODQGDGHTXDWHUHYLHZSURFHGXUH¶WKDWZLOO
RXVWDGLVWULFWFRXUWRIMXULVGLFWLRQXQGHUWKH$3$´VLQFHUHYLHZDELOLW\RIDGHFLVLRQE\WKH
&ODLPV&RXUWZDV³GRXEWIXO´DQGWKH&ODLPV&RXUWODFNHGHTXLWDEOHSRZHUVWRJUDQWSURVSHFWLYH
UHOLHI86DW ±
7KH '& &LUFXLW KDV HPSKDVL]HG WKDW EHFDXVH VHFWLRQ RQO\ UHTXLUHV DQ DGHTXDWH
DOWHUQDWLYH³µWKHDOWHUQDWLYHUHPHG\QHHGQRWSURYLGHUHOLHIidenticalWRUHOLHIXQGHUWKH$3$¶LQ
RUGHUWRKDYHSUHFOXVLYHHIIHFW´CREW)GDW HPSKDVLVLQRULJLQDO TXRWLQJGarcia
)G DW 5DWKHU DQ DOWHUQDWLYH UHPHG\ QHHG RQO\ RIIHU UHOLHI RI ³WKH VDPH JHQUH´ WR
SUHFOXGH$3$UHYLHZEl Rio )GDW see CREW)GDW GLVPLVVLQJ$3$
FODLPHYHQWKRXJKUHOLHIXQGHU)2,$ZDVQRWWKHVDPHDVUHOLHIXQGHUWKH$3$ Garcia)G
DW DIILUPLQJWKHGLVPLVVDORIDQ$3$FODLPLQSDUWEHFDXVHWKHDOWHUQDWLYHUHPHG\RIIHUHG
³GHFODUDWRU\DQGLQMXQFWLYHUHOLHIDJDLQVWWKHDJHQF\LWVHOILQDGGLWLRQWRPRQH\GDPDJHV´ZKLFK
ZDVVXSHULRUWRUHOLHIWKDWFRXOGEHREWDLQHGXQGHUWKH$3$
7KXV ³>W@KH UHOHYDQW TXHVWLRQ XQGHU WKH $3$ LV QRW ZKHWKHU´ RQH ODZVXLW LV ³DV
HIIHFWLYHDVDQ$3$ODZVXLW´EXWZKHWKHUWKHUHPHG\SURYLGHGWKURXJKDOWHUQDWLYHOHJDOPHDQVLV
DGHTXDWHGarcia)GDW +HUH WKH )HGHUDO 5XOHV RI &ULPLQDO 3URFHGXUH RIIHU
SODLQWLIISUHFLVHO\WKHNLQGRIDOWHUQDWLYHUHOLHIWKDWSUHFOXGHVGXSOLFDWLYH$3$UHYLHZ
7KHGarcia &RXUWREVHUYHGWKDWDQDFWLRQIRUGLVFULPLQDWLRQ³DJDLQVWLQGLYLGXDOVPD\EH DGHTXDWHHYHQLIVXFKDFWLRQVµFDQQRWUHGUHVVWKHV\VWHPLFODJVDQGODSVHVE\IHGHUDOPRQLWRUV¶ DQGHYHQLIVXFKVXLWVPD\EHOHVVHIIHFWLYHLQSURYLGLQJV\VWHPLFUHOLHI>@WKDQFRQWLQXLQJ MXGLFLDORYHUVLJKW´)GDWTXRWLQJWomen’s Equity Action League v. Cavazos )G '&&LU ³7KLVLVEHFDXVHµVLWXDWLRQVSHFLILFOLWLJDWLRQDIIRUGVDQDGHTXDWH HYHQ LI LPSHUIHFW UHPHG\¶´ Id. TXRWLQJ Women’s Equity Action League )G DW H[SODLQLQJWKDWWKLUGSDUW\VXLWVDUHDQDGHTXDWHUHPHG\IRUDOOHJHGYLFWLPVRIVWDWXWRU\YLRODWLRQV VXFKDVGLVFULPLQDWLRQEHFDXVHWKH\SURYLGHUHOLHI³RIWKHVDPHJHQUH´DVWKDWRIIHUHGE\DQ$3$ FODLP )HGHUDO5XOHRI&ULPLQDO3URFHGXUH E SHUPLWVDGHIHQGDQWWRILOHDPRWLRQWRGLVPLVV
KLVLQGLFWPHQWEDVHGRQ³DGHIHFWLQLQVWLWXWLQJWKHSURVHFXWLRQ´)HG5&ULP3 E $
%HFDXVH0DQDIRUWLVFXUUHQWO\DGHIHQGDQWLQDSHQGLQJFULPLQDOFDVHEHIRUHWKH&RXUWKHKDVEHHQ
JUDQWHGWKHRSSRUWXQLW\WREULQJDPRWLRQFKDOOHQJLQJKLVSURVHFXWLRQDQGKHKDVDOUHDG\H[HUFLVHG
WKDWULJKWE\ILOLQJDPRWLRQDGYDQFLQJWKHYHU\FRQFHUQVVHWIRUWKLQWKHLQVWDQWFRPSODLQW7KDW
PRWLRQKDVEHHQIXOO\EULHIHGDQGLWZDVDUJXHGEHIRUHWKLV&RXUWRQ$SULO
3ODLQWLIIDUJXHVWKDWWKHPRWLRQKHILOHGLQKLVFULPLQDOFDVHGRHVQRWSURYLGHDQDGHTXDWH
UHPHG\DWODZEHFDXVHWKHFULPLQDOUXOHVGRQRWFRQWHPSODWHSURVSHFWLYHUHOLHIDQG³GRQRWSURYLGH
DQ\PHFKDQLVPWRDGGUHVVWKHSRWHQWLDOO\SHUSHWXDOH[HUFLVHRIultra vires DXWKRULW\´3O¶V2SS
DW+HPDLQWDLQVWKDWKHVKRXOGEHSHUPLWWHGWRSXUVXHWKLVSDUDOOHOFLYLODFWLRQEHFDXVHWKH
³EURDGHVWUHOLHIWKDW>KH@FRXOGVHFXUHLQWKHSHQGLQJFULPLQDOVXLWDJDLQVWKLPLVGLVPLVVDORIWKDW
VLQJOHSURFHHGLQJ´Id.
%XWDVWKHDXWKRULWLHVVHWIRUWKDERYHGHPRQVWUDWHWKHODZGRHVQRWUHTXLUHWKDWDFODLPDQW
PXVWEHDEOHWRREWDLQDQLGHQWLFDOUHPHG\HOVHZKHUHDVORQJDVWKHOHJDODYHQXHDYDLODEOHWRKLP
SURYLGHVDQ³DGHTXDWH´RQH)XUWKHUWKHUHLVQR³\DZQLQJJDS´EHWZHHQWKHUHOLHI5XOHDIIRUGV
DQGWKHUHOLHISODLQWLIIVHHNVXQGHUWKH$3$See CREW)GDW ,IWKH&RXUWJUDQWV
0DQDIRUW¶V PRWLRQ WR WKH GLVPLVV WKH LQGLFWPHQW LQ WKH FULPLQDO FDVH RQ WKH JURXQGV WKDW WKH
$SSRLQWPHQW 2UGHU H[FHHGHG WKH $FWLQJ $WWRUQH\ *HQHUDO¶V DXWKRULW\ 0DQDIRUW ZLOO KDYH
DFKLHYHGWKHSULPDU\REMHFWLYHRIWKLVODZVXLW WKHLVVXDQFHRIDQRUGHUWRWKDWHIIHFWSee 7UDW
³%XW,GRNQRZLI,JHWDQRUGHUKHUHDQG\RXVD\WKDWWKHMXULVGLFWLRQDVH[HUFLVHGWRGDWHLV
EH\RQGWKHVFRSHRIWKHDSSRLQWPHQWRUGHUDQGLQYLRODWLRQRIWKHUHJVQRZZHKDYHVRPHWKLQJLQ
KDQG WR JR DQG VWRS WKH VSHFLDO FRXQVHO ZKHQ WKH\ LVVXH D JUDQG MXU\ VXESRHQD LQ DQ RQJRLQJ
LQYHVWLJDWLRQ ZHFDQPRYHWRTXDVK:H¶OOKDYHDQRUGHUWKDWVD\VWKHVFRSHKDVEHHQH[FHHGHG
DQGWKDWLVWKHGLIIHUHQFH´
)XUWKHUPRUH 0DQDIRUW DFNQRZOHGJHV WKDW LI WKH 6SHFLDO &RXQVHO SXUVXHV DGGLWLRQDO
FKDUJHVDJDLQVWKLPXQGHUWKHFKDOOHQJHGSRUWLRQRIWKH$SSRLQWPHQW2UGHULQWKHIXWXUHKHZLOO
KDYHWKHDELOLW\WRFKDOOHQJHWKRVHSURVHFXWLRQVLQGLYLGXDOO\See 3O¶V2SSDW:KLOHDVHULHV
RI RUGHUV GLVPLVVLQJ RQH LQGLFWPHQW DW D WLPH LV D GLIIHUHQW IRUP RI UHOLHI WKDQ D EODQNHW RUGHU
HQMRLQLQJDOOIXWXUHSURVHFXWLRQVWKHUHPHGLHVDUHFHUWDLQO\³RIWKHVDPHJHQUH´
,,, ,WDSSHDUVWKDWWKH&RXUWODFNVVXEMHFWPDWWHUMXULVGLFWLRQRYHUWKHRQO\SRUWLRQRI WKHFRPSODLQWSODLQWLIIKDVDVNHGLWWRFRQVLGHU
)LQDOO\WKH&RXUWQRWHVWKDWLWLVQRWDWDOOFOHDUWKDWWKHUHLVDFDVHRUFRQWURYHUV\WREH
KHDUGLQ WKHZDNHRIWKHVXUJHU\WKDWSODLQWLIIKDVSHUIRUPHGRQ KLV RZQ FRPSODLQW 7KHRQO\
DVSHFW RI WKLV FDVH WKDW LV OHIW VWDQGLQJ LV 0DQDIRUW¶V HIIRUW WR IRUHVWDOO XQVSHFLILHG DQG DV \HW
XQNQRZQIXWXUHGHYHORSPHQWVLQWKH6SHFLDO&RXQVHOLQYHVWLJDWLRQDQGDFODLPRI WKDWQDWXUH
ZKHUHWKHKDUPLVSXUHO\VSHFXODWLYHUDLVHVVLJQLILFDQWVWDQGLQJDQGULSHQHVVLVVXHV
7KHUHZDVQRTXHVWLRQWKDWWKH&RXUWKDGVXEMHFWPDWWHUMXULVGLFWLRQRYHU&RXQW,RIWKH
FRPSODLQWDWWKHWLPHLWZDVILOHGDQGSODLQWLIIKDVQRWILOHGDQDPHQGHGFRPSODLQW%XWDIWHU
SODLQWLIIWUXQFDWHGKLVDFWLRQDWWKHKHDULQJWKH&RXUWLQYLWHGWKHSDUWLHVWRVXEPLWVXSSOHPHQWDO
PHPRUDQGD ³DGGUHVVLQJ WKH TXHVWLRQ RI ZKHWKHU WKH &RXUW KDV VXEMHFW PDWWHU MXULVGLFWLRQ RYHU
&RXQW,QRZWKDWSODLQWLIIKDVZLWKGUDZQDQ\FODLPVIRUGHFODUDWRU\RULQMXQFWLYHUHOLHIUHODWLQJWR
&RXQW,,ZKLFKSODLQWLIIKDVZLWKGUDZQZRXOGKDYHIDLOHGIRUODFNRIWKHVXEMHFWPDWWHU MXULVGLFWLRQUHTXLUHGEHIRUHDIHGHUDOFRXUWPD\KHDUDFDVHVLQFHLWZDVSUHGLFDWHGVROHO\RQWKH 'HFODUDWRU\-XGJPHQW$FWZKLFKGRHVQRWVXSSO\DQLQGHSHQGHQWEDVLVIRUIHGHUDOMXULVGLFWLRQAli v. Rumsfeld )G '&&LU GLVPLVVLQJSODLQWLIIV¶FODLPXQGHUWKH'HFODUDWRU\ -XGJPHQW$FWEHFDXVHWKH\KDG³QRWDOOHJHGDFRJQL]DEOHFDXVHRIDFWLRQDQGWKHUHIRUHKD>G@QR EDVLVXSRQZKLFKWRVHHNGHFODUDWRU\UHOLHI´VLQFHWKH$FWGRHVQRW³SURYLGHDFDXVHRIDFWLRQ´RU DQ³LQGHSHQGHQWVRXUFHRIIHGHUDOMXULVGLFWLRQ´ TXRWLQJC&E Servs., Inc. of Wash. v. D.C. Water & Sewer Auth.)G '&&LU WKHSHQGLQJLQGLFWPHQWVDQGKHVHHNVSURVSHFWLYHUHOLHILQFOXGLQJDQRUGHUµHQMRLQLQJWKH6SHFLDO
&RXQVHO¶V IXWXUH ultra vires H[HUFLVH RI DXWKRULW\ XQGHU¶ WKH $SSRLQWPHQW 2UGHU´ 0LQ 2UGHU
$SU
)HGHUDOFRXUWVDUHFRXUWVRIOLPLWHGMXULVGLFWLRQDQGWKHODZSUHVXPHVWKDW³DFDXVHOLHV
RXWVLGHWKLVOLPLWHGMXULVGLFWLRQ´Kokkonen v. Guardian Life Ins. Co. of Am.86
FLWDWLRQRPLWWHG see also Gen. Motors Corp. v. EPA)G '&&LU
³$VDFRXUWRIOLPLWHGMXULVGLFWLRQZHEHJLQDQGHQGZLWKDQH[DPLQDWLRQRIRXUMXULVGLFWLRQ´
³>6@XEMHFWPDWWHUMXULVGLFWLRQPD\QRWEHZDLYHGDQGFRXUWVPD\UDLVHWKHLVVXHsua sponte´
NetworkIP, LLC v. FCC)G '&&LU TXRWLQJAthens Cmty. Hosp., Inc. v.
Schweiker)G '&&LU 7KXV)HGHUDO5XOHRI&LYLO3URFHGXUH K
SURYLGHVWKDWDGLVWULFWFRXUWPXVWGLVPLVVDFRPSODLQWZKHQLWLVHYLGHQWWKDWLWODFNVVXEMHFWPDWWHU
MXULVGLFWLRQ)HG5&LY3 K
³7RVWDWHDFDVHRUFRQWURYHUV\XQGHU$UWLFOH,,,DSODLQWLIIPXVWHVWDEOLVKVWDQGLQJ´Ariz.
Christian Sch. Tuition Org. v. Winn86 FLWLQJAllen v. Wright86
see also Lujan86DW6WDQGLQJLVDQHFHVVDU\SUHGLFDWHWRDQ\H[HUFLVH
RIIHGHUDOMXULVGLFWLRQDQGLILWLVODFNLQJWKHQWKHGLVSXWHLVQRWDSURSHUFDVHRUFRQWURYHUV\XQGHU
$UWLFOH,,,DQGIHGHUDOFRXUWVKDYHQRVXEMHFWPDWWHUMXULVGLFWLRQWRGHFLGHWKHFDVHDominguez
v. UAL Corp.)G '&&LU 7KHSODLQWLIIEHDUVWKHEXUGHQRIHVWDEOLVKLQJ
VWDQGLQJLujan86DWDQGKHPXVWGHPRQVWUDWHWKDW KHKDVVXIIHUHGDQ³LQMXU\LQ
IDFW´ WKHLQMXU\LV³IDLUO\WUDFHDEOHWRWKHFKDOOHQJHGDFWLRQRIWKHGHIHQGDQW´ DQG LWLV
³OLNHO\DVRSSRVHGWRPHUHO\VSHFXODWLYHWKDWWKHLQMXU\ZLOOEHUHGUHVVHGE\DIDYRUDEOHGHFLVLRQ´
Lujan 86 DW ± TXRWLQJ Simon v. E. Ky. Welfare Rights Org. 86 ±
LQWHUQDOHGLWVRPLWWHG see also Friends of the Earth, Inc. v. Laidlaw Envtl. Servs. Inc.
86±
7R DOOHJH WKH ILUVW HOHPHQW RI VWDQGLQJ LQMXU\LQIDFW D SODLQWLII PXVW VKRZ WKDW KH KDV
³VXIIHUHG µDQ LQYDVLRQ RI D OHJDOO\ SURWHFWHG LQWHUHVW¶ WKDW LV µFRQFUHWH DQG SDUWLFXODUL]HG¶ DQG
µDFWXDORULPPLQHQWQRWFRQMHFWXUDORUK\SRWKHWLFDO¶´Spokeo, Inc. v. Robins6&W
TXRWLQJLujan86DW,QDFDVHDOOHJLQJIXWXUHKDUPWKLVPHDQVWKDWWKH
³WKUHDWHQHGLQMXU\PXVWEHcertainly impendingWRFRQVWLWXWHLQMXU\LQIDFW´Clapper v. Amnesty
Int’l USA86 HPSKDVLVLQRULJLQDO TXRWLQJWhitmore v. Arkansas
86 see also Pub. Citizen, Inc. v. Nat’l Highway Traffic Safety Admin. )G
'& &LU REVHUYLQJ WKDW WKH LQMXU\ PXVW EH ³FHUWDLQO\ LPSHQGLQJ DQG
LPPHGLDWH±QRWUHPRWHVSHFXODWLYHFRQMHFWXUDORUK\SRWKHWLFDO´
:KLOH0DQDIRUWKDVLGHQWLILHGKDUPKHKDVVXIIHUHGE\YLUWXHRIWKHLQGLFWPHQWVWKDWDUH
DOUHDG\ SHQGLQJsee 3O¶V6XSSO0HPDWQRZWKDW KHLVQRW SUHGLFDWLQJ KLV FODLPRQ WKRVH
HYHQWVEXWUDWKHURQZKDWPLJKWEHIDOOKLPLQWKHIXWXUHLWGRHVQRWDSSHDUWKDWKHKDVLGHQWLILHG
DQ\KDUPWKDWLVDFWXDORULPPLQHQWDQGQRWK\SRWKHWLFDO,QGHHGWKHUHDUHQRIDFWXDODOOHJDWLRQV
LQWKHFRPSODLQWUHODWHGWRSRVVLEOHIXWXUHSURVHFXWLRQV
3ODLQWLIIOLNHQVKLPVHOIWRWKHJuluke SODLQWLIIVEXWWKLVFDVHGRHVQRWDOOHJHWKDW0DQDIRUW¶V
RZQFRQGXFWZLOOEHFKLOOHGLQDQ\ZD\E\WKHSRVVLELOLW\RIIXWXUHSURVHFXWLRQCompare Susan
B. Anthony List v. Driehaus 6 &W ± KROGLQJ WKDW WKH SODLQWLIIV
HVWDEOLVKHG VWDQGLQJ E\ DOOHJLQJ WKHLU LQWHQW WR HQJDJH LQ SROLWLFDO VSHHFK ZKLFK ZDV DUJXDEO\
SURVFULEHGE\VWDWXWHDQGWKHVXEVWDQWLDOWKUHDWRIIXWXUHDGPLQLVWUDWLYHDQGFULPLQDOHQIRUFHPHQW
7KH 6XSUHPH &RXUW KDV REVHUYHG WKDW LQ VRPH LQVWDQFHV VWDQGLQJ PD\ EH HVWDEOLVKHG ³EDVHGRQDµVXEVWDQWLDOULVN¶WKDWWKHKDUPZLOORFFXU´Clapper86DWQ RIWKHVWDWXWHDJDLQVWWKHP DQGMedImmune, Inc. v. Genentech, Inc. 86±
FRQFOXGLQJ WKDW D OLFHQVHH ZDV QRW UHTXLUHG WR WHUPLQDWH RU EUHDFK OLFHQVH DJUHHPHQW SULRU WR
VHHNLQJGHFODUDWRU\MXGJPHQWRISDWHQWLQYDOLGLW\EHFDXVHDOLYHFDVHRUFRQWURYHUV\H[LVWHGGXH
WRWKHIDFWWKDWLWVDFWLRQVZHUH³HIIHFWLYHO\FRHUFHG´ with Clapper86DW ILQGLQJWKDW
UHVSRQGHQWV¶WKHRU\RIIXWXUHLQMXU\ZDVWRRVSHFXODWLYHWRVDWLVI\WKHUHTXLUHPHQWWKDWWKUHDWHQHG
LQMXU\PXVWEH³FHUWDLQO\LPSHQGLQJ´EHFDXVHWKHFKDOOHQJHGVWDWXWHDWPRVW³DXWKRUL]HV±EXWGRHV
QRWPDQGDWHRUGLUHFW±WKHVXUYHLOODQFHWKDWUHVSRQGHQWVIHDU´VRUHVSRQGHQWV¶DOOHJDWLRQV³DUH
QHFHVVDULO\FRQMHFWXUDO´ DQGUnited Presbyterian Church v. Reagan)G±
'&&LU GHWHUPLQLQJWKDWSODLQWLIIVKDGQRVWDQGLQJZKHUHWKHFKDOOHQJHGSROLF\³LVVXHV
QRFRPPDQGVRUSURKLELWLRQVDQGVHWVIRUWKQRVWDQGDUGVJRYHUQLQJ>SULYDWH@FRQGXFW´
$QGHYHQLI0DQDIRUWFDQRYHUFRPHWKHIDLUO\ORZWKUHVKROGRIWKHLQMXU\LQIDFWLQTXLU\
DQDFWLRQWKDWLVOLPLWHGWRIXWXUHDFWLRQE\WKH6SHFLDO&RXQVHOFDQKDUGO\EHGHHPHGWREHULSH
³7KHULSHQHVVGRFWULQHJHQHUDOO\GHDOVZLWKZKHQDIHGHUDOFRXUWFDQRUVKRXOGGHFLGHDFDVH3DUW
RIWKHGRFWULQHLVVXEVXPHGLQWRWKH$UWLFOH,,,UHTXLUHPHQWRIVWDQGLQJZKLFKUHTXLUHVDSHWLWLRQHU
WRDOOHJHinter aliaDQLQMXU\LQIDFWWKDWLVµLPPLQHQW¶RUµFHUWDLQO\LPSHQGLQJ¶´Am. Petroleum
Inst. v. EPA)G '&&LU see also Lujan86DW KROGLQJLQMXU\
LQIDFWPXVWEH³DFWXDORULPPLQHQW´ %XW³>H@YHQLIDFDVHLVµFRQVWLWXWLRQDOO\ULSH¶WKHUH
PD\DOVREHµSUXGHQWLDOUHDVRQVIRUUHIXVLQJWRH[HUFLVHMXULVGLFWLRQ¶´Am. Petroleum Inst.
)GDWTXRWLQJNat’l Park Hosp. Ass’n v. Dep’t of Interior86 $V
WKH'&&LUFXLWKDVH[SODLQHG
7KHIXQGDPHQWDOSXUSRVHRIWKHULSHQHVVGRFWULQHLV³WRSUHYHQWWKHFRXUWV WKURXJKDYRLGDQFHRISUHPDWXUHDGMXGLFDWLRQIURPHQWDQJOLQJWKHPVHOYHV LQDEVWUDFWGLVDJUHHPHQWVRYHUDGPLQLVWUDWLYHSROLFLHVDQGDOVRWRSURWHFW WKHDJHQFLHVIURPMXGLFLDOLQWHUIHUHQFHXQWLODQDGPLQLVWUDWLYHGHFLVLRQKDV EHHQ IRUPDOL]HG DQG LWVHIIHFWV IHOWLQ D FRQFUHWH ZD\ E\WKH FKDOOHQJLQJ SDUWLHV´
Sprint Corp. v. FCC)G '&&LU TXRWLQJNat’l Park Hosp. Ass’n
86DW±
:KLOHWKHFRQVWLWXWLRQDODVSHFWRIULSHQHVVPD\LQYROYHWKHVDPHLPSHQGLQJLQMXU\LQIDFW
UHTXLUHPHQWWKDWLVQHFHVVDU\IRUVWDQGLQJWKHSUXGHQWLDODVSHFWRIULSHQHVVUHTXLUHVPRUH DFRXUW
PXVW³EDODQFH>@µWKHILWQHVVRIWKHLVVXHVIRUMXGLFLDOGHFLVLRQDQGWKHKDUGVKLSWRWKHSDUWLHVRI
ZLWKKROGLQJFRXUWFRQVLGHUDWLRQ¶´Nat’l Treasury Emps. Union v. United States)G
± '&&LU TXRWLQJAbbott Labs. v. Gardner86 7KHILWQHVV
RIDQLVVXHIRUMXGLFLDOGHFLVLRQGHSHQGVRQZKHWKHUWKHUHDUH³FRQWLQJHQWIXWXUHHYHQWVWKDWPD\
QRWRFFXUDVDQWLFLSDWHGRULQGHHGPD\QRWRFFXUDWDOO´Thomas v. Union Carbide Agric. Prods.
Co.86± TXRWLQJ$&KDUOHV$ODQ:ULJKWHWDOFederal Practice and
Procedure GHG see Nat’l Treasury Emps. Union)GDW KROGLQJWKDW
WKH FDVH ZDV QRW ³ILW>@ IRU MXGLFLDO UHYLHZ´ EHFDXVH WKH IDFWV XSRQ ZKLFK WKH FDVH¶V UHVROXWLRQ
GHSHQGHGZHUHQRW³IXOO\FU\VWDOL]HG´ FLWDWLRQRPLWWHG see also Sprint Corp.)GDW
³)LWQHVVRIWKHLVVXHVIRUMXGLFLDOGHFLVLRQLVPRUHOLNHO\WREHIRXQGZKHUHµWKHLVVXHWHQGHUHGLV
DSXUHO\OHJDORQH¶´ TXRWLQJAbbott Labs.86DW
6LQFHLWLVQRWFOHDUDWWKLVSRLQWZKDWDFWLRQVLIDQ\WKH6SHFLDO&RXQVHOZLOOWDNHZLWK
UHVSHFWWR0DQDIRUWDQGZKHWKHUWKRVHIXWXUHDFWLRQVZLOOEHVXEMHFWWRDWWDFNIRUWKHVDPHUHDVRQV
VHWIRUWKLQWKHFRPSODLQWSUXGHQWLDOFRQVLGHUDWLRQVZHLJKDJDLQVWKHDULQJDQDFWLRQWRSURKLELW
WKHPQRZ
)RUDOORIWKHVHUHDVRQV0DQDIRUW¶VFLYLOFDVHZLOOEHGLVPLVVHGDQGKLVFRQFHUQVUHJDUGLQJ
WKH6SHFLDO&RXQVHO¶VLQYHVWLJDWLRQZLOOEHWDNHQXSLQWKHFULPLQDOFDVH
$VHSDUDWHRUGHUZLOOLVVXH
$0<%(50$1-$&.621 8QLWHG6WDWHV'LVWULFW-XGJH '$7( $SULO
Reference
- Status
- Published