Williams v. Intl Paper Co
Williams v. Intl Paper Co
Opinion
5(&200(1'(' )25 )8//7(;7 38%/,&$7,21 3XUVXDQW WR 6L[WK &LUFXLW 5XOH
(/(&7521,& &,7$7,21 )(' $SS $ WK &LU )LOH 1DPH DD
81,7('67$7(6&28572)$33($/6 )257+(6,;7+&,5&8,7 BBBBBBBBBBBBBBBBB
52%(57 ( :,//,$06 ; 3ODLQWLII$SSHOODQW 1R Y ! ,17(51$7,21$/ 3$3(5 &203$1< 'HIHQGDQW$SSHOOHH 1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH:HVWHUQ'LVWULFWRI7HQQHVVHHDW0HPSKLV 1R n%HUQLFH%'RQDOG'LVWULFWsXGJH 6XEPLWWHG 1RYHPEHU 'HFLGHGDQG)LOHG 6HSWHPEHU %HIRUH .(,7+1255,6DQG&/$<&LUFXLWsXGJHV BBBBBBBBBBBBBBBBB &2816(/ 21%5,() 0DUWLQ(5HJDQsU5(*$1 %26+($ 1HZ 2UOHDQV /RXLVLDQD IRU $SSHOODQW 'DYLG ) 'DEEV sDPHV $ 6RQQH 0F*8,5( :22'6 %$77/( %227+( 5LFKPRQG 9LUJLQLD 5REHUW ' +XGVRQ *5((1(%$80 '2// 0F'21$/' &RYLQJWRQ .HQWXFN\IRU$SSHOOHH
:LOOLDPVY,QWjO3DSHU&R 1R
&/$< s GHOLYHUHG WKH RSLQLRQ RI WKH FRXUW LQ ZKLFK .(,7+sMRLQHG1255,6s S GHOLYHUHGDVHSDUDWH GLVVHQWLQJRSLQLRQ BBBBBBBBBBBBBBBBBBBBBB $0(1'('23,1,21 BBBBBBBBBBBBBBBBBBBBBB &/$<&LUFXLWsXGJH3ODLQWLII5REHUW(:LOOLDPVILOHG DQ DFWLRQ DJDLQVW 'HIHQGDQW ,QWHUQDWLRQDO 3DSHU &RPSDQ\ m,3l IRU DOOHJHGO\ YLRODWLQJ WKH (PSOR\HH 5HWLUHPHQW ,QFRPH6HFXULW\$FW m(5,6$l 86& D % E\ GHQ\LQJ:LOOLDPVGLVDELOLW\UHWLUHPHQWEHQHILWV7KHGLVWULFW FRXUW JUDQWHG VXPPDU\ MXGJPHQW IRU ,3 DQG :LOOLDPV DSSHDOHG )RU WKH IROORZLQJ UHDVRQV ZH 5(9(56( WKH GLVWULFWFRXUWjVILQGLQJWKDWWKH3ODQ$GPLQLVWUDWRUGLGQRWDFW DUELWUDULO\DQG FDSULFLRXVO\LQGHQ\LQJ:LOOLDPVjGLVDELOLW\ UHWLUHPHQWEHQHILWV ,)DFWXDO%DFNJURXQG :LOOLDPVZRUNHGIRU,3DWLWV1DWFKH]0LVVLVVLSSLIDFLOLW\ DVDZDVWHZDWHURSHUDWRUIURP XQWLOKHUHWLUHGLQ :LOOLDPVSDUWLFLSDWHGLQ,3jV3HQVLRQ3ODQ mWKH3ODQl GXULQJ KLVHPSOR\PHQWDQGZDVIXOO\YHVWHGLQWKH3ODQDWWKHWLPH RIWKHHYHQWVGHVFULEHGKHUHLQ:LOOLDPVZDVGLDJQRVHGKDV KDYLQJVXIIHUHGDPDMRUVWURNHDQGDVHULHVRISDVVLQJVWURNHV RQ )HEUXDU\ ZKLOH ZRUNLQJ DW ,3 ZKLFK OHIW :LOOLDPVSDUDO\]HGRQKLVOHIWVLGHZLWKVSHHFKGLIILFXOWLHV DQG DFFRUGLQJ WR :LOOLDPVj DWWHQGLQJ SK\VLFLDQ mWRWDOO\ GLVDEOHGl s$ DW :LOOLDPV ZDV KRVSLWDOL]HG IRU VHYHUDOGD\VEXWGLGQRWUHWXUQWRZRUN6KRUWO\WKHUHDIWHU
6SHFLILFDOO\ :LOOLDPVj DWWHQGLQJ SK\VLFLDQ GLDJQRVHG :LOOLDPV LQ DV KDYLQJ VXIIHUHG D m&9$l RU FHUHEUDO YDVFXODU DFFLGHQW FRPPRQO\ NQRZQ DV D PDMRU VWURNH DV ZHOO DV m7,$l RU WUDQVLVFKHPLF DWWDFNV FRPPRQO\ NQRZQ DV SDVVLQJ VWURNHV RU PLQLVWURNHV RQ )HEUXDU\ 7('0$1 6 s$ DW $00 6 j 0 (',&$/ ,&7,21$5< ' 66(/%$&+(5 (7 $/ G HG , $55,621 6 5,1&,3/(6 2) + j 3 17(51$/ (',&,1( , 0 WK HG :LOOLDPVY,QWjO3DSHU&R 1R 1R :LOOLDPVY,QWjO3DSHU&R
BBBBBBBBBBBBBBBBB :LOOLDPV DSSOLHG IRU DQG UHFHLYHG VKRUWWHUP GLVDELOLW\ EHQHILWVIURP,3 ',66(17 BBBBBBBBBBBBBBBBB 2Q 'HFHPEHU :LOOLDPV DSSOLHG IRU SHUPDQHQW GLVDELOLW\ UHWLUHPHQW EHQHILWV ,3 VHQW :LOOLDPVj ILOH WR LWV $/$1(1255,6&LUFXLWsXGJHGLVVHQWLQJ$OWKRXJK, RXWVLGH FRQVXOWDQW 'U + 0LFKDHO %HOPRQW DW WKH /LIH DJUHH ZLWK WKH PDMRULW\jV SRVLWLRQ WKDW WKH OHWWHUV RI 'UV ([WHQVLRQ,QVWLWXWHLQ1HZ <RUN1HZ<RUNUHTXHVWLQJDQ $KPHG DQG *ROG VKRXOG KDYH EHHQ FRQVLGHUHG VLQFH WKH\ HYDOXDWLRQ RI ZKHWKHU :LOOLDPV ZDV WRWDOO\ GLVDEOHG 'U DSSHDUWRVKHGOLJKWRQSODLQWLIIjVFRQGLWLRQZKLOHHPSOR\HG %HOPRQW UHYLHZHG WKH ILOH DQG SUHSDUHG D PHPRUDQGXP E\,3WKDWHYLGHQFHRXJKWQRWEHZHLJKHGE\WKLVFRXUWUDWKHU ZKHUHLQKHFRQFOXGHGWKDW:LOOLDPVZDVQRWWRWDOO\GLVDEOHG WKDQ WKH 3ODQ $GPLQLVWUDWRU 8QOHVV D GHWHUPLQDWLRQ WKDW ZLWKLQWKHPHDQLQJRIWKH3ODQRQ'HFHPEHU 7KH SODLQWLII LV VWLOO QRW HQWLWOHG WR EHQHILWV LQ OLJKW RI WKH QHZ 3ODQ$GPLQLVWUDWRUVXEVHTXHQWO\GHQLHG:LOOLDPVjGLVDELOLW\ HYLGHQFHZRXOGEHDUELWUDU\DQGFDSULFLRXVWKLVFRXUWPD\QRW FODLP ZHLJK WKH HYLGHQFH LWVHOI DQG JUDQW SODLQWLII EHQHILWV 6HH 8QLYHUVLW\ +RVSV RI &OHYHODQG Y (PHUVRQ (OHF &R 2Qs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s$DW 2Q sXQH :LOOLDPV DSSHDOHG WKH GHQLDO RI KLV EHQHILWV,3IRUZDUGHGWKHILOHWR'U%HOPRQWRQsXQH IRU IXUWKHU UHYLHZ 2Q sXO\ 'U %HOPRQW FRQFOXGHG RQFH DJDLQ WKDW :LOOLDPV GLG QRW PHHW WKH WRWDO GLVDELOLW\VWDQGDUGUHTXLUHGE\WKH3ODQ$VDUHVXOW,3GHQLHG :LOOLDPVjGLVDELOLW\FODLPDJDLQ2Q6HSWHPEHU DQ LQWHUQDO PHPRUDQGXP UHJDUGLQJ :LOOLDPVj GLVDELOLW\ GHWHUPLQDWLRQZDVSUHSDUHGE\WKHSHQVLRQRIILFHVWDWLQJLQ SDUW
6KRUWWHUP GLVDELOLW\ EHQHILWV DUH SURYLGHG IRU XS WR WKLUW\QLQH ZHHNV XQGHU D QRQ(5,6$ SODQ WKDW LV JRYHUQHG E\ GLIIHUHQW HOLJLELOLW\ VWDQGDUGV DQG DUH QRW DW LVVXH LQ WKLV FDVH :LOOLDPVY,QWjO3DSHU&R 1R 1R :LOOLDPVY,QWjO3DSHU&R
$OO WKH HYLGHQFH LQ WKLV FDVH KDV EHHQ WKRURXJKO\ FRXOGQRWEHFRQVLGHUHG7KHDGGLWLRQDOPHGLFDOHYLGHQFH HYDOXDWHGLQFOXGLQJDQ\DGGLWLRQDOLQIRUPDWLRQUHFHLYHG FOHDUO\ HVWDEOLVKHV WKDW :LOOLDPV ZDV GLVDEOHG ZLWKLQ WKH VLQFH WKH RULJLQDO VXEPLVVLRQ RI WKH FODLP $ FDUHIXO PHDQLQJRIWKH3ODQ7KHUHLVQRHYLGHQFHWRWKHFRQWUDU\LQ UHYLHZKDVEHHQPDGHDQGZHKDYHFRQFOXGHGWKDWWKH WKHUHFRUGDQGWKHUHLVQRIDFWXDOGLVSXWHWKDWZRXOGSUHYHQW UHTXHVWIRU'LVDELOLW\5HWLUHPHQWPXVWEHGHQLHG HQWU\ RI MXGJPHQW LQ :LOOLDPVj IDYRU 7KHUHIRUH ZH 3OHDVHIXUQLVK0U:LOOLDPVZLWKDFRS\RIWKLVPHPR 5(9(56(DQG5(0$1'ZLWKLQVWUXFWLRQVWRWKHGLVWULFW DQG DGYLVH KLP RI KLV ULJKWV WR DSSHDO RXU GHFLVLRQ FRXUWWRJUDQW:LOOLDPVKLVUHWLUHPHQWEHQHILWVGXHXQGHUWKH 6KRXOGKHGHFLGHWRDSSHDOKHVKRXOGVXEPLWHYLGHQFH 3ODQDORQJZLWKLQWHUHVWDQGRWKHUGDPDJHVLIDQ\DQGRU ZKLFK ZRXOG VXEVWDQWLDWH KLV FODLP RI WRWDO DQG DWWRUQH\jVIHHV SHUPDQHQWGLVDELOLW\ s$DW 2Q$XJXVW ,3UHFHLYHGDOHWWHUIURP8QLWHG6WDWHV 6HQDWRU 7UHQW /RWW UHTXHVWLQJ WKDW ,3 UHHYDOXDWH :LOOLDPVj GLVDELOLW\FODLP$VDUHVXOW,3LQLWLDWHGDVHFRQGDSSHDORI WKHGHFLVLRQWRGHQ\:LOOLDPVGLVDELOLW\UHWLUHPHQWEHQHILWVRQ $XJXVW ,3IRUZDUGHG:LOOLDPVjILOHIRUHYDOXDWLRQ WR :DXVDX ,QVXUDQFH &RPSDQ\ LWV RXWVLGH FRQVXOWDQW LQ :DXVDX:LVFRQVLQRQ$XJXVW 'XULQJ:LOOLDPVj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
DFFRXQWRIKLVVSHHFK SUREOHPKHKDVDGLIILFXOWWLPH 86 KROGLQJ WKDW D GLVWULFW FRXUW PD\ HQWHU H[SUHVVLQJKLVWKRXJKWSURFHVVWRRWKHUSHRSOH+LVDJH VXPPDU\ MXGJPHQW VXD VSRQWH mVR ORQJ DV WKH ORVLQJ SDUW\ ZDV RQ QRWLFH
DOVRQHHGVWREHXQGHUFRQVLGHUDWLRQEHLQJ\HDUVROG l VHH *UDQG 5DSLGV 3ODVWLFV ,QF Y /DNLDQ )G WK &LU KROGLQJ SURSHU IRU GLVWULFW FRXUW WR HQWHU VXPPDU\ MXGJPHQW DQGVXIIHULQJIURPKLJKEORRGSUHVVXUHWKDWWHQGVWRUXQ VXD VSRQWH ZKHQ SDUW\ GLG QRW PRYH IRU VXPPDU\ MXGJPHQW VHH DOVR XS DQG GRZQ GXULQJ KLV SUHYLRXV YLVLWV ZLWK PH ,W 6DOHKSRXU Y 8QLYHUVLW\ RI 7HQQHVVHH )G WK &LU :LOOLDPVY,QWjO3DSHU&R 1R 1R :LOOLDPVY,QWjO3DSHU&R
GLVWULFWFRXUWjVGHFLVLRQRQWKHJURXQGWKDWWKHFRQFOXVLRQWR PDNHVKLPDGLIILFXOWFDQGLGDWHIRUYRFDWLRQDOWUDLQLQJ WHUPLQDWHWKHSODLQWLIIj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s$DW 7KHVHFRQGOHWWHUGDWHG0D\ ZDV LQIRUPDWLRQ WKDW ZRXOG KDYH EHHQ IDYRUDEOH WR :LOOLDPV IURP:LOOLDPVjSK\VLFLDQ'U*ROGDQGVWDWHGLQUHOHYDQW +HQFHOLNH*RYLQGDUDMDQWKH3ODQ$GPLQLVWUDWRUjVVHOHFWLYH SDUWDVIROORZV UHYLHZ RI 3ODLQWLIIjV DGGLWLRQDO PHGLFDO HYLGHQFH ZDV DQ XQUHDVRQDEOHEDVLVWRGHQ\:LOOLDPVjGLVDELOLW\EHQHILWVDQG 0U:LOOLDPVLVDSDWLHQWRIPLQHZKRKDGDVWURNHZKLFK UHPDQGLVQRWQHFHVVDU\ FDXVHG SDUDO\VLV LQYROYLQJ KLV OHIW VLGH +H KDV OLPLWDWLRQVLQZDONLQJDQGZRXOGEHGHWULPHQWDOWRKLV ,W LV DOVR DSSURSULDWH WR UHWURDFWLYHO\ JUDQW GLVDELOLW\ KHDOWK +H DOVR KDV PXOWLSOH RWKHU PHGLFDWLRQ >VLF@ EHQHILWV ZLWKRXW UHPDQGLQJ WKH FDVH ZKHUH WKHUH DUH QR SUREOHPVWKDWKLVRWKHUSK\VLFLDQVDUHFDULQJIRU$WWKLV IDFWXDO GHWHUPLQDWLRQV WR EH PDGH ,Q &DQVHFR Y SRLQWIURPP\QHXURORJLFSRLQWRIYLHZ,EHOLHYHKHjV &RQVWUXFWLRQ /DERUHUV 3HQVLRQ 7UXVW IRU 6RXWKHUQ GLVDEOHG &DOLIRUQLD )G WK &LU WKH 1LQWK &LUFXLWKHOGWKDWDUHPDQGLVLQDSSURSULDWHZKHQWKHUHDUHQR s$DW IDFWXDOGHWHUPLQDWLRQVWREHPDGH+HUHWKHGLVWULFWFRXUW DGMXGLFDWHGWKHLVVXHRIZKHWKHU3ODLQWLIIZDVGLVDEOHGZKHQ 7KH 3ODQ $GPLQLVWUDWRU LQVWUXFWHG WKH FRQVXOWDQWV LQ LWFRQFOXGHGWKDWHYHQLILWZHUHWRFRQVLGHUWKHWZRDGGLWLRQDO :DXVDX:LVFRQVLQQRWWRFRQVLGHUWKHWZRDGGLWLRQDOOHWWHUV OHWWHUVWKH\ZRXOGQRWUHQGHU:LOOLDPVDVGLVDEOHGDVWKH\GLG IURP'U$KPHGDQG'U*ROGLQHYDOXDWLQJ:LOOLDPVjFODLP QRWUHIHUHQFHWKHOHQJWKRI:LOOLDPVjGLVDELOLW\7KHUHIRUH IRUGLVDELOLW\EHQHILWV$IWHUUHYLHZLQJ:LOOLDPVjILOHZLWKRXW KDYLQJFRQFOXGHGWKDWWKHGLVWULFWFRXUWHUUHGLQILQGLQJWKDW WKHDGGLWLRQDOPHGLFDOHYLGHQFH,3UHMHFWHG:LOOLDPVj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s$DW :LOOLDPVY,QWjO3DSHU&R 1R 1R :LOOLDPVY,QWjO3DSHU&R
,3 FODLPV WKDW LW GLG QRW FRQVLGHU :LOOLDPVj DGGLWLRQDO FRQVXOWDQWVEHHQSURSHUO\LQVWUXFWHGDQGKDGWKH\FRQVLGHUHG PHGLFDOHYLGHQFHLQVXSSRUWRIKLVFODLPRQWKHEDVLVWKDW WKH WZR OHWWHUV VXEPLWWHG E\ :LOOLDPV WR VXEVWDQWLDWH KLV WKHVHOHWWHUVLQGLFDWHGWKDW:LOOLDPVVXIIHUHGWKHVWURNHZKLFK FODLPWKH\ZRXOGKDYHRSLQHGWKDW:LOOLDPVZDVGLVDEOHG OHIW KLP WRWDOO\ GLVDEOHG DIWHU KH OHIW ,3jV HPSOR\ WKHUHE\ ZLWKLQWKHPHDQLQJRIWKH3ODQ$VVXFKZHKROGWKDWWKH UHQGHULQJ :LOOLDPV LQHOLJLEOH IRU GLVDELOLW\ EHQHILWV GLVWULFWFRXUWj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sDQXDU\ :LOOLDPVILOHGDODZVXLWSXUVXDQWWR IDFW ZHUH QRW PDGH E\ FRXUW RU DJHQF\ 0LOOHU Y 8QLWHG (5,6$ D 86& D % DOOHJLQJWKDW :HOIDUH )XQG )G G &LU 'HIHQGDQWZURQJIXOO\GHQLHGKLPGLVDELOLW\EHQHILWVXQGHUWKH UHPDQGLQJ ZKHQ LW ZDV XQFOHDU WKDW WKH FODLP VKRXOG EH UHWLUHPHQW SODQ RI ,3 2Q 6HSWHPEHU ,3 ILOHG D JUDQWHG +RZHYHULQRWKHUFDVHVZKHUHWKHUHYLHZRIWKH PRWLRQIRUVXPPDU\MXGJPHQW7KHGLVWULFWFRXUWJUDQWHG,3jV PHGLDOHYLGHQFHZDVDUELWUDU\DQGFDSULFLRXVRUXQUHDVRQDEOH PRWLRQ ,Q JUDQWLQJ VXPPDU\ MXGJPHQW WKH GLVWULFW FRXUW WKHSURSHUUHPHG\LVWRUHWURDFWLYHO\JUDQWEHQHILWVZLWKRXWD DFNQRZOHGJHG WKDW WKH DGGLWLRQDO OHWWHUV VXEPLWWHG E\ UHPDQG6HH*RYLQGDUDMDQY)0&&RUS )G :LOOLDPVZHUHQRWFRQVLGHUHGE\WKH3ODQ$GPLQLVWUDWRUDW WK&LU VHHDOVR4XLQQY%OXH&URVVDQG%OXH6KLHOG WKHWLPHRILWVILQDOGHFLVLRQLQDVPXFKDVWKHOHWWHUVUHIOHFWHG $VVjQ )G WK &LU *URVVPXOOHU Y WKDW :LOOLDPV VXIIHUHG D VWURNH DIWHU WHUPLQDWLQJ KLV ,QWHUQDWLRQDO 8QLRQ 8QLWHG $XWR $HURVSDFH $JULF XQHPSOR\PHQW ZLWK ,3 DQG WKDW WKH 3ODQ RQO\ SURYLGHG ,PSOHPHQW:RUNHUVRI$P8$:)G G FRYHUDJHIRUGLVDELOLWLHVLQFXUUHGZKLOHXQGHU,3jVHPSOR\ &LU 6XFKLVWKHFDVHKHUH $VVXFKWKHGLVWULFWFRXUWGHFOLQHGWRFRQVLGHUWKHOHWWHUVLQ UHDFKLQJLWVGHFLVLRQ7KHGLVWULFWFRXUWIXUWKHUFRQFOXGHGWKDW ,Q*RYLQGDUDMDQY)0&&RUS )G WK&LU HYHQLILWZHUHWRFRQVLGHUWKHOHWWHUVLWVGHFLVLRQZRXOGQRW WKHSODLQWLIIZDVJUDQWHGUHWURDFWLYHEHQHILWVEHFDXVH EHGLIIHUHQWDVQHLWKHUOHWWHUPDGHUHIHUHQFHWRWKHOHQJWKRI WKHWHUPLQDWLRQRIKLVEHQHILWVZDVEDVHGXSRQWKHVHOHFWLYH :LOOLDPVjGLVDELOLW\ UHYLHZRIPHGLFDOHYLGHQFH7KH6HYHQWK&LUFXLWXSKHOGWKH ,,'LVFXVVLRQ $ 7KH GLVVHQW UHOLHV XSRQ 8QLYHUVLW\ +RVSLWDOV RI &OHYHODQG Y (PHUVRQ (OHFWULF &R )G WK &LU LQ VXSSRUW RI LWV SRVLWLRQ WKDW WKH DSSURSULDWH UHPHG\ LQ WKLV FDVH LV D UHPDQG IRU WKH 3ODQ :HUHYLHZWKHGLVWULFWFRXUWjVJUDQWRIVXPPDU\MXGJPHQW $GPLQLVWUDWRU WR FRQVLGHU WKH QHZ HYLGHQFH +RZHYHU ZH ILQG LQDQDFWLRQLQYROYLQJDQ(5,6$FODLPGHQRYR.LOOLDQY 8QLYHUVLW\ +RVSLWDOV GLVWLQJXLVKDEOH LQ WKDW WKHUH WKH 3ODQ $GPLQLVWUDWRU +HDOWKVRXUFH3URYLGHQW$GPjUV,QF)G WK QHYHU KDG DQ RSSRUWXQLW\ WR UHYLHZ WKH HYLGHQFH LQ TXHVWLRQ ,Q WKH FDVH
&LU 6XPPDU\MXGJPHQWLVDSSURSULDWHVRORQJDVmWKH DW KDQG WKH 3ODQ $GPLQLVWUDWRU KDG WKH RSSRUWXQLW\ WR FRQVLGHU WKH SOHDGLQJV GHSRVLWLRQV DQVZHUV WR LQWHUURJDWRULHV DQG DGGLWLRQDO PHGLFDO HYLGHQFH DQG KH DFWXDOO\ FRQVLGHUHG WKH FRQWHQW RI WKH
DGPLVVLRQVRQILOHWRJHWKHUZLWKWKHDIILGDYLWVLIDQ\VKRZ OHWWHUV DV WKH\ UHODWH WR :LOOLDPVj FDVH ZKHQ KH RSLQHG WKDW WKH OHWWHUV PDGH UHIHUHQFH WR D VXEVHTXHQW VWURNH DQG WKHUHIRUH ZHUH RI QR DVVLVWDQFH WKDWWKHUHLVQRJHQXLQHLVVXHDVWRDQ\PDWHULDOIDFWDQGWKDW WR :LOOLDPV ,Q OLJKW RI WKH 3ODQ $GPLQLVWUDWRUjV RSLQLRQ ZH ILQG WKDW WKHPRYLQJSDUW\LVHQWLWOHGWRDMXGJPHQWDVDPDWWHURIODZl XQOLNH LQ 8QLYHUVLW\ +RVSLWDOV UHPDQG ZRXOG EH IXWLOH :LOOLDPVY,QWjO3DSHU&R 1R 1R :LOOLDPVY,QWjO3DSHU&R
UHTXLULQJ :LOOLDPV WR SHUIRUP VXFK DFWLYLWLHV FRXOG EH 6PLWK Y $PHULWHFK )G WK &LU GHWULPHQWDOWRKLPRUKLVKHDOWK WKDWDVDUHVXOWRIKLVIDFLDO TXRWLQJ )('5&,93 F $ IDFW LV PDWHULDO RQO\ LI LW QHUYHSDUDO\VLV:LOOLDPVKDVGLIILFXOW\VSHDNLQJFOHDUO\ DQG PLJKWDIIHFWWKHRXWFRPHRIWKHFDVHXQGHUWKHJRYHUQLQJODZ WKDWKLVSK\VLFDOOLPLWDWLRQVKDYHSUHYHQWHGKLPIURPEHLQJ 6HH $QGHUVRQ Y /LEHUW\ /REE\ ,QF 86 KLUHG IRU DQ\ W\SH RI HPSOR\PHQW s$ DW 7R GHWHUPLQH ZKHWKHU VXPPDU\ MXGJPHQW LV $GGLWLRQDOO\ 'U *ROG HFKRHG 'U $KPHGjV YLHZ WKDW DSSURSULDWHZHYLHZWKHHYLGHQFHDQGGUDZDOOUHDVRQDEOH :LOOLDPVjOLPLWDWLRQVLQZDONLQJZRXOGEHGHWULPHQWDOWRKLV LQIHUHQFHVWKHUHIURPLQDOLJKWIDYRUDEOHWRWKHQRQPRYLQJ KHDOWK DQG WKDW :LOOLDPV ZDV GLVDEOHG s$ DW SDUW\,G 6LJQLILFDQWO\'U*ROGDQG'U$KPHGGHVFULEHG:LOOLDPVj PHGLFDO FRQGLWLRQ DV VHULRXV DQG GHELOLWDWLQJ QHLWKHU $GHQLDORIEHQHILWVFKDOOHQJHGXQGHU D % LVWR LQGLFDWHG WKDW :LOOLDPVj FRQGLWLRQ KDV LPSURYHG VLQFH KLV EHUHYLHZHGXQGHUDGHQRYRVWDQGDUGXQOHVVWKHEHQHILWSODQ VHULHV RI VWURNHV QRU GLG WKH\ LQGLFDWH WKDW KLV FRQGLWLRQ JLYHVWKHDGPLQLVWUDWRURUILGXFLDU\GLVFUHWLRQDU\DXWKRULW\WR ZRXOGLPSURYHVXEVWDQWLDOO\IURPPHGLFDOWUHDWPHQWRUWKH GHWHUPLQHHOLJLELOLW\IRUEHQHILWVRUWRFRQVWUXHWKHWHUPVRI SDVVDJHRIWLPH WKHSODQ6HH)LUHVWRQHY%UXFK 86 ,Q )LUHVWRQH WKH 6XSUHPH &RXUW KHOG WKDW XQGHU (5,6$ $OWKRXJKWKHOHWWHUVGRQRWH[SUHVVO\VWDWHWKDW:LOOLDPVj DEVHQWWKHH[SUHVVGHOHJDWLRQRIGLVFUHWLRQWRDSODQWUXVWHH GLVDELOLW\LVmOLNHO\WREHSHUPDQHQWlWKHOHIWVLGHRIKLVERG\ D FRXUW VKRXOG FRQGXFW D GH QRYR UHYLHZ RI WKH WUXVWHH V LVGHVFULEHGDVmFRPSOHWHO\GLVDEOHGlWKHUHE\FRPSURPLVLQJ EHQHILW GHWHUPLQDWLRQ ,G DW &RQYHUVHO\ ZKHUH DQ KLVEDODQFHVDIHW\DQGDELOLW\WRZDONDQGVSHDN0RUHRYHU (5,6$SODQH[SUHVVO\DIIRUGVGLVFUHWLRQWRWUXVWHHVWRPDNH :LOOLDPVj P\ULDG RI KHDOWK SUREOHPV DV VHW IRUWK LQ WKH EHQHILW GHWHUPLQDWLRQV D FRXUW UHYLHZLQJ WKH SODQ SK\VLFLDQVj OHWWHUV FOHDUO\ UHQGHU KLP XQDEOH WR ZRUN DGPLQLVWUDWRUjV DFWLRQV VKRXOG DSSO\ WKH DUELWUDU\ DQG LQGHILQLWHO\ 'U $KPHG LQGLFDWHG WKDW :LOOLDPVj DJH DQG FDSULFLRXVVWDQGDUGRIUHYLHZ,GDW KLJKEORRGSUHVVXUHDUHRIFRQFHUQDQGEHFDXVHVWUHVVFDQ DJJUDYDWHKLVKLJKEORRGSUHVVXUHDQGFDXVHIXUWKHUVWURNHV 7KLV&RXUWKDVVSHFLILFDOO\LQWHUSUHWHG)LUHVWRQHWRUHTXLUH KH LV mD GLIILFXOW FDQGLGDWH IRU YRFDWLRQDO WUDLQLQJl ZKRVH WKDW D SODQ mH[SUHVVO\ JLYH GLVFUHWLRQDU\ DXWKRULW\ WR WKH SK\VLFDO OLPLWDWLRQV KDYH EDUUHG KLP IURP RWKHU MREV ,I DGPLQLVWUDWRUl3HUU\Y6LPSOLFLW\(QJjJ )G FXUWDLOPHQWRIDPDMRUOLIHDFWLYLW\DQGWKHDELOLW\WRZRUNLQ WK&LU +RZHYHUWKH&RXUWKDVDOVRUHFRJQL]HGWKDW WKH IRUHVHHDEOH IXWXUH FDQ IDLUO\ EH VDLG WR GHVFULEH D DILQGLQJRIVXFKDXWKRULW\GRHVQRWGHSHQGRQWKHSODQjVXVH FRQGLWLRQRIDGLVDELOLW\WKDWLVmOLNHO\WREHSHUPDQHQWlWKHQ RI WKH ZRUG mGLVFUHWLRQDU\l RU DQ\ RWKHU PDJLF ZRUG :LOOLDPVLVWRWDOO\DQGSHUPDQHQWO\GLVDEOHGE\DQ\PHDVXUH sRKQVRQY(DWRQ&RUS )G WK&LU 7KH FRQFOXVLRQ WKDW :LOOLDPVj GLVDELOLW\ LV mOLNHO\ WR EH )XUWKHUPRUHGLVFUHWLRQLVQRWDQDOORUQRWKLQJSURSRVLWLRQ SHUPDQHQWl LV PDGH DOO WKH PRUH DSSDUHQW E\ WKH IDFW WKDW VXFK WKDW D SODQ FDQ JLYH DQ DGPLQLVWUDWRU GLVFUHWLRQ ZLWK WKHUHLVQRPHGLFDOHYLGHQFHWRFRQWUDGLFWWKHFRQFOXVLRQVRI UHVSHFWWRVRPHGHFLVLRQVEXWQRWRWKHUV6HH$QGHUVRQY 'U$KPHGDQG'U*ROGERWKRIZKRPH[DPLQHG:LOOLDPV *UHDW:HVW/LIH$VVXUDQFH&R )G WK&LU :KHQUHDGWRJHWKHULWZRXOGEHXQUHDVRQDEOHWRFRQFOXGH WKDW WKH WZR OHWWHUV IURP 'U $KPHG DQG 'U *ROG IDLO WR 2Q DSSHDO :LOOLDPV FRQWHQGV WKDW DOWKRXJK WKH 3ODQ GHPRQVWUDWH WKDW :LOOLDPVj GLVDELOLW\ LV mOLNHO\ WR EH $GPLQLVWUDWRUKDGGLVFUHWLRQZLWKUHVSHFWWRVRPHGHFLVLRQV SHUPDQHQWl DV UHTXLUHG E\ WKH ODQJXDJH RI WKH 3ODQ WKH 3ODQ $GPLQLVWUDWRU GLG QRW KDYH WKH GLVFUHWLRQ WR )XUWKHUPRUH LW LV UHDVRQDEOH WR FRQFOXGH WKDW KDG WKH GHWHUPLQHHOLJLELOLW\IRUGLVDELOLW\UHWLUHPHQW6SHFLILFDOO\ :LOOLDPVY,QWjO3DSHU&R 1R 1R :LOOLDPVY,QWjO3DSHU&R
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j GLVDELOLW\ LH WKH OHWWHUV GR QRW H[SUHVVO\GHVFULEH:LOOLDPVjFRQGLWLRQDVEHLQJmWRWDOO\DQG :LOOLDPVPLVFRQVWUXHVWKHXQDPELJXRXVODQJXDJHRIWKH SHUPDQHQWO\lGLVDEOHG,QOLJKWRIWKHHYLGHQFHSURYLGHGDQG 3ODQ :KHQ LQWHUSUHWLQJ (5,6$ SODQ SURYLVLRQV JHQHUDO WKHSODLQODQJXDJHRIWKH3ODQZHGLVDJUHHZLWKWKHGLVWULFW SULQFLSOHV RI FRQWUDFW ODZ GLFWDWH WKDW ZH LQWHUSUHW WKH FRXUWjVILQGLQJ SURYLVLRQVDFFRUGLQJWRWKHLUSODLQPHDQLQJLQDQRUGLQDU\DQG SRSXODUVHQVH6HH3HUH]Y$HWQD/LIH,QV&R)G )DFWXDOILQGLQJVLQKHUHQWLQGHFLGLQJDQ(5,6$FODLPDUH WK &LU ,Q DSSO\LQJ WKH mSODLQ PHDQLQJl UHYLHZHGIRUFOHDUHUURU6HH6LPSVRQY(UQVW <RXQJ DQDO\VLVZHmPXVWJLYHHIIHFWWRWKHXQDPELJXRXVWHUPVRI )G WK&LU VHHDOVR:LOFRWWY0DWODFN DQ(5,6$SODQl,G TXRWLQJ/DNHY0HWURSROLWDQ/LIH,QV ,QF )G WK &LU ILQGLQJ WKDW &R )G WK &LU 5HDGLQJ WKH mZKHWKHU>SODLQWLII@>LV@WRWDOO\DQGSHUPDQHQWO\GLVDEOHGIURP ODQJXDJHLQDQRUGLQDU\DQGSRSXODUVHQVHWKH3ODQFOHDUO\ DQ\NLQGRIZRUNlLVDTXHVWLRQRIIDFW $ILQGLQJRIIDFWLV JLYHVWKH3ODQ$GPLQLVWUDWRUDXWKRULW\WRGHWHUPLQHHOLJLELOLW\ FOHDUO\ HUURQHRXV RQO\ ZKHQ DOWKRXJK WKHUH PD\ EH VRPH IRU GLVDELOLW\ EHQHILWV LQDVPXFK DV WKH 3ODQ $GPLQLVWUDWRU HYLGHQFHWRVXSSRUWWKHILQGLQJmWKHUHYLHZLQJFRXUWRQWKH PXVWmILQGWKDWWKH'LVDELOLW\LVOLNHO\WREHSHUPDQHQWGXULQJ HQWLUHHYLGHQFHLVOHIWZLWKWKHGHILQLWHDQGILUPFRQYLFWLRQ WKH UHPDLQGHU RI WKH 3DUWLFLSDQWjV OLIHl s$ DW WKDWDPLVWDNHKDVEHHQFRPPLWWHGl$QGHUVRQY%HVVHPHU 0RUHRYHU ZH KDYH KHOG LQ VLPLODU FDVHV WKDW WKH SODQ 86 DGPLQLVWUDWRUKDVGLVFUHWLRQDU\DXWKRULW\6HH3HUH])G DW FODLPDQWPXVWSURYLGHmVDWLVIDFWRU\HYLGHQFHlDVSDUW 3XUVXDQW WR WKH 3ODQ DQ LQGLYLGXDO GRHV QRW TXDOLI\ IRU RISURRIRIFODLP <HDJHUY5HOLDQFH6WDQGDUG/LIH,QV&R GLVDELOLW\ EHQHILWV XQOHVV WKH GLVDELOLW\ mLV OLNHO\ WR EH )G WK&LU FODLPDQWPXVWVXEPLW SHUPDQHQW GXULQJ WKH UHPDLQGHU RI WKH 3DUWLFLSDQWjV OLIHl mVDWLVIDFWRU\ SURRI RI 7RWDO 'LVDELOLW\ WR XVl 0LOOHU Y s$ DW &RQWUDU\ WR WKH GLVWULFW FRXUWjV RSLQLRQ ZH 0HWURSROLWDQ/LIH,QV&R )G WK&LU EHOLHYHWKDWWKHWZRDGGLWLRQDOOHWWHUVVXEPLWWHGE\:LOOLDPV GLVDELOLW\ GHWHUPLQHG mRQ EDVLV RI PHGLFDO HYLGHQFH HVWDEOLVKHVWKDWKHZDVGLVDEOHGZLWKLQ WKHPHDQLQJRIWKH VDWLVIDFWRU\ WR WKH ,QVXUDQFH &RPSDQ\l &RQWUDU\ WR 3ODQ )RU H[DPSOH WKH OHWWHU IURP 'U $KPHG VWDWHG WKDW :LOOLDPVj SURSRVLWLRQ WKH UHTXLUHPHQW RI D SK\VLFLDQ :LOOLDPVj VWURNH UHQGHUHG KLV OHIW VLGH mFRPSOHWHO\ FHUWLI\LQJ WKDW D SDUWLFLSDQW LV GLVDEOHG GRHV QRW GLOXWH WKH GLVDEOHGl WKDW:LOOLDPVKDVVHYHUHSK\VLFDOOLPLWDWLRQVLQ WHUPV RI ZDONLQJ DQG KROGLQJ REMHFWV DQG WKDW VLWXDWLRQV
%HQHILW 6FKHGXOH $ WKH UHOHYDQW UHWLUHPHQW SODQ VWDWHV LQ SDUW WKDW D SDUWLFLSDQW FDQ REWDLQ GLVDELOLW\ EHQHILWV mSURYLGHG WKDW WKH 3ODQ &RPSOHWH>O\@ LV GHILQHG DV mEURXJKW WR DQ HQGl RU mFRQFOXGHGl $GPLQLVWUDWRU ILQGV DQG D SK\VLFLDQ RU SK\VLFLDQV GHVLJQDWHG E\ WKH 3ODQ 0 (55,$0 (%67(5 6 2//(*,$7( ,&7,21$5< : j & ' WK HG $V $GPLQLVWUDWRU FHUWLI\ WKDW WKH 'LVDELOLW\ LV OLNHO\ WR EH SHUPDQHQW GXULQJ QRWHG (5,6$ SODQ SURYLVLRQV DUH LQWHUSUHWHG DFFRUGLQJ WR WKHLU SODLQ DQG WKH UHPDLQGHU RI WKH 3DUWLFLSDQWjV OLIHl s$ DW RUGLQDU\ PHDQLQJ 6HH 3HUH] )G DW :LOOLDPVY,QWjO3DSHU&R 1R 1R :LOOLDPVY,QWjO3DSHU&R
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jV RSLQLRQWKDW:LOOLDPVLVXQDEOHWRZRUN s$DW +DYLQJGHWHUPLQHGWKHDSSURSULDWHVWDQGDUGRIUHYLHZZH ,QWHUHVWLQJO\ 'U *ROGjV RSLQLRQ DV WR :LOOLDPVj SK\VLFDO QRZDGGUHVVZKHWKHUWKH3ODQ$GPLQLVWUDWRUDFWHGDUELWUDULO\ VWDWHDVVHWIRUWKLQWKH OHWWHUDVFRPSDUHGWRKLVRSLQLRQ DQGFDSULFLRXVO\LQWKLVFDVH7KLV&RXUWKDVQRWHGWKDWWKH DV WR :LOOLDPVj SK\VLFDO VWDWH DV VHW IRUWK LQ KLV DUELWUDU\DQGFDSULFLRXVVWDQGDUGLVWKHOHDVWGHPDQGLQJIRUP VWDWHPHQWRIGLVDELOLW\LQGLFDWHVWKHVDPHILQGLQJVRIOHIWVLGH RI MXGLFLDO UHYLHZ RI DGPLQLVWUDWLYH DFWLRQ 6HH 'DYLV Y SDUDO\VLVDQGWRWDOGLVDELOLW\ .HQWXFN\)LQ&RV5HWLUHPHQW3ODQ)G WK &LU :KHQ DSSO\LQJ WKH DUELWUDU\ DQG FDSULFLRXV ,Q D VLPLODU YHLQ 'U $KPHGjV GHVFULSWLRQ RI :LOOLDPVj VWDQGDUG WKH &RXUW PXVW GHFLGH ZKHWKHU WKH SODQ SK\VLFDOFRQGLWLRQDVHVSRXVHGLQKLV OHWWHUDVFRPSDUHG DGPLQLVWUDWRUjVGHFLVLRQZDVmUDWLRQDOLQOLJKWRIWKHSODQjV WRDUHSRUWGDWHG)HEUXDU\ IURP'DQLHO+0F1HLO SURYLVLRQVl'DQLHOY(DWRQ&RUS )G WK RIWKHUDGLRORJ\GHSDUWPHQWDW2XU/DG\RIWKH/DNH5HJLRQDO &LU 6WDWHGGLIIHUHQWO\mZKHQLWLVSRVVLEOHWRRIIHUD 0HGLFDO &HQWHU WR ZKRP :LOOLDPV ZDV UHIHUUHG XSRQ UHDVRQHGH[SODQDWLRQEDVHGRQWKHHYLGHQFHIRUDSDUWLFXODU DGPLVVLRQ LQGLFDWHV OLNH ILQGLQJV VXFK DV :LOOLDPV RXWFRPHWKDWRXWFRPHLVQRWDUELWUDU\RUFDSULFLRXVl'DYLV H[SHULHQFLQJ QXPEQHVV RQ KLV OHIW VLGH GLIILFXOWLHV LQ )GDW ZDONLQJDQGGLIILFXOWLHVLQVSHDNLQJVXFKDVVOXUUHGVSHHFK s$DW 2QDSSHDO:LOOLDPVFRQWHQGVWKDWWKH3ODQ$GPLQLVWUDWRU DFWHG DUELWUDULO\ DQG FDSULFLRXVO\ E\ IDLOLQJ WR FRQVLGHU 6LPSO\ SXW DOWKRXJK WKHUH LV DEXQGDQW HYLGHQFH LQ WKH DGGLWLRQDO PHGLFDO HYLGHQFH WKDW KH VXEPLWWHG GXULQJ WKH UHFRUGWRVXSSRUW:LOOLDPVjFODLPWKDWWKH OHWWHUVIURP VHFRQG DSSHDO RI KLV GHQLDO RI EHQHILWV WKH WZR OHWWHUV 'U*ROGDQG'U$KPHGVXSSRUW KLVFRQWHQWLRQWKDWWKHVH VXEPLWWHGE\'U$KPHGDQG'U*ROGRQWKHEDVLVWKDW OHWWHUV UHIHU WR WKH VLQJOH PDMRU VWURNH WKDW KH VXIIHUHG LQ WKHVH OHWWHUV LQGLFDWH WKDW :LOOLDPV VXIIHUHG WKH GLVDEOLQJ WKHUHFRUGLVGHYRLGRIDQ\HYLGHQFHLQVXSSRUWRI,3jV VWURNHDIWHUKHOHIW,3jVHPSOR\,QDGYDQFLQJKLVDUJXPHQW FRQWHQWLRQWKDWWKHVHOHWWHUVLQGLFDWHWKDW:LOOLDPVVXIIHUHGD :LOOLDPVFODLPVWKDWWKHOHWWHUVPDNHUHIHUHQFHWR D VLQJOH VXEVHTXHQWVWURNH$FFRUGLQJO\EHFDXVHZHILQGWKDW,3KDV VWURNHWKHVWURNHZKLFKKHVXIIHUHGLQ DQGWKDWWKHUH QRWmRIIHU>HG@DUHDVRQHGH[SODQDWLRQEDVHGRQWKHHYLGHQFH LV QR HYLGHQFH LQ WKH UHFRUG WR LQGLFDWH WKDW KH VXIIHUHG IRULWVRXWFRPHlDQGEHFDXVHZHDUHXQDEOHWRLQIHUVXFKDQ DQRWKHUVWURNHDIWHUOHDYLQJ,3jVHPSOR\$IWHUUHYLHZLQJWKH H[SODQDWLRQ EDVHG RQ WKH HYLGHQFH ZH KROG WKDW WKH 3ODQ ODQJXDJHRIWKH3ODQDQGWKHHYLGHQFHRQUHFRUGZHKROGWKDW $GPLQLVWUDWRUjVGHFLVLRQQRWWRFRQVLGHUWKH OHWWHUVIURP WKH3ODQ$GPLQLVWUDWRUDFWHGDUELWUDULO\DQGFDSULFLRXVO\LQ 'U*ROGDQG'U$KPHGZDVDUELWUDU\DQGFDSULFLRXV6HH IDLOLQJWRFRQVLGHUWKHDGGLWLRQDOPHGLFDOHYLGHQFH 'DYLV)GDW :HQH[WFRQVLGHUWKHHIIHFWRIWKHVH OHWWHUVRQ:LOOLDPVjFDVHEHIRUHXV 7KHUHOHYDQWWHUPVDUHGHILQHGZLWKLQWKHSODQ3XUVXDQWWR %HQHILW6FKHGXOH$WKHJRYHUQLQJSURYLVLRQRIWKH3ODQ m'LVDELOLW\lRUm'LVDEOHGlPHDQV :LOOLDPVY,QWjO3DSHU&R 1R 1R :LOOLDPVY,QWjO3DSHU&R
D WRWDO GLVDELOLW\ ZKLFK LV D PHGLFDOO\ GHWHUPLQDEOH WKHUHIRUH PDNHV KLP D 3DUWLFLSDQW HQWLWOHG WR GLVDELOLW\ SK\VLFDO RU PHQWDO LPSDLUPHQW ZKLFK UHQGHUV WKH EHQHILWV 3DUWLFLSDQW LQFDSDEOH RI HQJDJLQJ LQ DQ\ VXEVWDQWLDO JDLQIXO HPSOR\PHQW DFWLYLW\ SURGXFWLYH LQ QDWXUH $FFRUGLQJO\ WKH UHOHYDQW LQTXLU\ XQGHU WKH H[SUHVV SURYLGHG WKDW WKH 3ODQ $GPLQLVWUDWRU ILQGV DQG D ODQJXDJH RI WKH 3ODQ FRPHV GRZQ WR ZKHWKHU WKH 3ODQ SK\VLFLDQ RU SK\VLFLDQV GHVLJQDWHG E\ WKH 3ODQ $GPLQLVWUDWRUjVGHFLVLRQWKDWWKHDGGLWLRQDOPHGLFDOHYLGHQFH $GPLQLVWUDWRUFHUWLI\WKDWWKH'LVDELOLW\LVOLNHO\WREH FRXOGQRWEHFRQVLGHUHGoEHFDXVHWKHRSLQLRQVVWDWHGWKHUHLQ SHUPDQHQWGXULQJWKHUHPDLQGHURIWKH3DUWLFLSDQWjVOLIH ZHUHEDVHGRQ:LOOLDPVKDYLQJVXIIHUHGDVXEVHTXHQWVWURNH DIWHU KH OHIW ,3jV HPSOR\ o ZDV UHDVRQDEOH EDVHG RQ WKH s$DW HPSKDVLVDGGHG 8QGHU$UWLFOH RI HYLGHQFH6HH'DYLV)GDW $VGHWDLOHGEHORZZH WKH3ODQm3DUWLFLSDQWlLVGHILQHGDVmDQ\(OLJLEOH(PSOR\HH KROG WKDW WKH 3ODQ $GPLQLVWUDWRUjV LQWHUSUHWDWLRQ ZDV QRW ZKREHFRPHVFRYHUHGE\WKH3ODQDVSURYLGHGLQ$UWLFOH,, UHDVRQDEOHEDVHGXSRQWKHUHFRUG DQG VKDOO LQFOXGH DQ\ LQGLYLGXDO ZKR KDV VHSDUDWHG IURP VHUYLFHRUFHDVHGWREHDQ(OLJLEOH(PSOR\HHIRUZKRPWKHUH ,3jVGRXEOHVWDQGDUGDQGFLUFXODUUHDVRQLQJDVLGHoLH,3 LV VWLOO D OLDELOLW\ XQGHU WKH 3ODQl s$ DW $UWLFOH , LV DOORZHG WR XVH WKH DGGLWLRQDO PHGLFDO HYLGHQFH WR LWV GHILQHV m6HSDUDWHG IURP 6HUYLFHl DV mDQ\ EHQHILWEXW:LOOLDPVLVQRWDOORZHGWRGRWKHVDPHoZHQRWH (PSOR\HH>jV@>@GHDWKUHWLUHPHQWUHVLJQDWLRQGLVFKDUJH WKDW WKH OHWWHU IURP 'U $KPHG :LOOLDPVj PHGLFDO RUDQ\DEVHQFHWKDWFDXVHVKLPWRFHDVHWREHDQ(PSOR\HHl GRFWRU GHVFULEHV 3ODLQWLIIjV FRQGLWLRQ DV EHLQJ FRPSOHWHO\ s$ DW %HQHILWV 6FKHGXOH $ GHILQHV m(OLJLEOH GLVDEOHG RQ WKH OHIW VLGH RI KLV ERG\ H[DFWO\ DV :LOOLDPVj (PSOR\HHlDVmDQ\(PSOR\HHFRYHUHGE\WKH3ULPDU\0LOO QHXURORJLVW DQG DWWHQGLQJ SK\VLFLDQ 'U *ROG GHVFULEHG sRLQW3HQVLRQ&RXQFLOZKRLVHPSOR\HGDW>1DWFKH]0LOO@l 3ODLQWLII LQ $XJXVW RI DV D UHVXOW RI WKH )HEUXDU\ s$DW VWURNH WKHUHE\ VXSSRUWLQJ WKH IDFW WKDW 3ODLQWLIIjV SK\VLFDOGLVDELOLW\ZDVDSURGXFWRIWKHVWURNHWKDWKHVXIIHUHG ,QRWKHUZRUGVWKHH[SUHVVODQJXDJHRIWKH3ODQDOORZVIRU LQ ZKLOH HPSOR\HG E\ ,3 s$ DW Dm3DUWLFLSDQWlWRFROOHFWGLVDELOLW\EHQHILWV$mSDUWLFLSDQWl )XUWKHUPRUH DSDUW IURP ,3jV XQVXSSRUWHG LQWHUSUHWDWLRQ RI LVGHILQHGDVmDQ\(OLJLEOH(PSOR\HHZKREHFRPHVFRYHUHG WKHVHOHWWHUVWKHUHFRUGLVFRPSOHWHO\GHYRLGRIDQ\SURRIWKDW E\WKH3ODQDVSURYLGHGLQ$UWLFOH,,DQGVKDOOLQFOXGHDQ\ 3ODLQWLII VXIIHUHG D VXEVHTXHQW VWURNH DIWHU OHDYLQJ ,3jV LQGLYLGXDOZKRKDVVHSDUDWHGIURPVHUYLFHRUFHDVHGWREHDQ HPSOR\DQG,3KDVQRWDWWHPSWHGWRVXSSOHPHQWWKHUHFRUG (OLJLEOH(PSOR\HHIRUZKRPWKHUHLVVWLOODOLDELOLW\XQGHUWKH ZLWKDQ\SURRIVXFKDVDGGLWLRQDOPHGLFDOUHFRUGVRUKRVSLWDO 3ODQl 7KH 3ODQ GHILQHV DQ m(OLJLEOH (PSOR\HHl DV mDQ\ VWD\V (PSOR\HHFRYHUHGE\WKH3ULPDU\0LOOsRLQW3HQVLRQ&RXQFLO ZKR LV HPSOR\HG DW >1DWFKH] 0LOO@ WKH 3ODQ LQFOXGHV RQH ,QGHHG LW LV UHDVRQDEOH WR FRQFOXGH WKDW LI 3ODLQWLII KDG ZKR UHWLUHV LQ WKH GHILQLWLRQ RI mVHSDUDWHG IURP VHUYLFHl VXIIHUHGDVXEVHTXHQWGLVDEOLQJVWURNHWKHUHZRXOGEHVRPH 7KHUHIRUHLIWKHHYLGHQFHLQGLFDWHVWKDW3ODLQWLIIVXIIHUHGWKH GRFXPHQWHG HYLGHQFH RI WKH HYHQW +RZHYHU WKH RQO\ GLVDEOLQJVWURNHLQ ZKLOHKHZDVHPSOR\HGE\,3KHZDV GRFXPHQWDWLRQRI3ODLQWLIIKDYLQJVXIIHUHGDPDMRUVWURNHLV DQm(OLJLEOH(PSOR\HHlDWWKHWLPH7KHIDFWWKDWKHUHWLUHG WKHUHSRUWIURP'U*ROGGDWHG$XJXVW H[SUHVVO\ EXWZDVVWLOOOHIWWRWDOO\GLVDEOHGDVDUHVXOWRIWKH VWURNH VWDWLQJWKDW:LOOLDPVVXIIHUHGDm&9$loPDMRUVWURNHoRQ PDNHVKLPDQLQGLYLGXDOZKRZDVmVHSDUDWHGIURPVHUYLFHl )HEUXDU\ ZKLFKOHIWKLPSDUDO\]HGRQKLVOHIWVLGH mIRU ZKRP WKHUH LV VWLOO D OLDELOLW\ XQGHU WKH 3ODQl ZKLFK DQGmWRWDOO\GLVDEOHGl s$DW ,QIDFWLQDVHULHVRI HLJKW SURJUHVV QRWHV GDWLQJ IURP 2FWREHU WKURXJK
Reference
- Status
- Unknown