Herrada v. Detroit
Herrada v. Detroit
Opinion
5(&200(1'(' )25 )8//7(;7 38%/,&$7,21 3XUVXDQW WR 6L[WK &LUFXLW 5XOH
(/(&7521,& &,7$7,21 )(' $SS 3 WK &LU )LOH 1DPH DS
81,7('67$7(6&28572)$33($/6 )257+(6,;7+&,5&8,7 BBBBBBBBBBBBBBBBB
(/(1$ +(55$'$ ; 3ODLQWLII$SSHOODQW 1R Y ! &,7< 2) '(752,7 'HIHQGDQW$SSHOOHH 1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW'HWURLW 1Rn*HRUJH(:RRGV'LVWULFWsXGJH $UJXHG 2FWREHU 'HFLGHGDQG)LOHG 'HFHPEHU %HIRUH %2**6*,/0$1DQG%5,*+7&LUFXLWsXGJHV BBBBBBBBBBBBBBBBB &2816(/ $5*8(' *UHJRU\'+DQOH\:$6,1*(5.,&.+$0 +$1/(<5R\DO2DN0LFKLJDQIRU$SSHOODQWsRDQQH' 6WDIIRUG &,7< 2) '(752,7 /$: '(3$570(17 'HWURLW0LFKLJDQIRU$SSHOOHH21%5,() 6WHSKHQ)
7KH +RQRUDEOH 0\URQ + %ULJKW 6HQLRU &LUFXLW sXGJH RI WKH 8QLWHG 6WDWHV &RXUW RI $SSHDOV IRU WKH (LJKWK &LUFXLW VLWWLQJ E\ GHVLJQDWLRQ
+HUUDGDY&LW\RI'HWURLW 1R 1R +HUUDGDY&LW\RI'HWURLW
:DVLQJHU 5LWD 0 /DXHU :$6,1*(5 .,&.+$0 SURSHUW\LQWHUHVWLQPRQH\SDLGIRUDSDUNLQJYLRODWLRQ6HH +$1/(<5R\DO2DN0LFKLJDQIRU$SSHOODQWsRDQQH' 6HDOY0RUJDQ )G WK&LU QRWLQJ 6WDIIRUG &,7< 2) '(752,7 /$: '(3$570(17 WKDW m>W@KH DQVZHU WR WKH TXHVWLRQ RI ZKDW SURFHVV LV GXH 'HWURLW0LFKLJDQIRU$SSHOOHH GHSHQGV RQ DSSURSULDWH DFFRPPRGDWLRQ RI WKH FRPSHWLQJ LQWHUHVWV LQYROYHGl LQWHUQDO TXRWDWLRQ PDUNV DQG FLWDWLRQ BBBBBBBBBBBBBBBBB RPLWWHG 7KH UHTXLUHPHQWV RI SURFHGXUDO GXH SURFHVV DUH WKHUHIRUHFRQVLGHUDEO\JUHDWHULQWKHFRQWH[WRIJXLOW\SOHDV 23,1,21 WKDQWKH\DUHLQWKHSUHVHQWFLYLOSURFHHGLQJ)LQDOO\DVWKH BBBBBBBBBBBBBBBBB GLVWULFWFRXUWQRWHGDJXLOW\SOHDRFFXUVDIWHUDIRUPDOFKDUJH KDVEHHQLVVXHGZKHUHDVDFLWDWLRQLVRQO\WKHDOOHJDWLRQRID 521$/'/((*,/0$1&LUFXLWsXGJH(OHQD+HUUDGD FLYLO LQIUDFWLRQ 7KHVH GLIIHUHQFHV DUH VXIILFLHQW WR PDNH ILOHGWKLVVXLWRQEHKDOIRIKHUVHOIDQGRWKHUVLPLODUO\VLWXDWHG +HUUDGDjVUHOLDQFHRQFDVHVLQYROYLQJJXLOW\SOHDVXQDYDLOLQJ LQGLYLGXDOVDOOHJLQJDYLRODWLRQRI86& E\WKH &LW\RI'HWURLW+HUUDGDFRQWHQGVWKDWWKH&LW\jVPHWKRGRI ,,,&21&/86,21 LVVXLQJ FLWDWLRQV IRU SDUNLQJ YLRODWLRQV GHSULYHV PRWRULVWV VXFK DV KHUVHOI RI SURFHGXUDO GXH SURFHVV E\ YLUWXH RI WKH )RU DOO WKH UHDVRQV VHW IRUWK DERYH ZH $)),50 WKH FLWDWLRQVFRQWDLQLQJDOOHJHGO\IDOVHVWDWHPHQWVWKDWH[DJJHUDWH MXGJPHQWRIWKHGLVWULFWFRXUW WKHSHQDOWLHVIRUUHIXVLQJWRSD\WKHILQHV$IWHUILQGLQJWKDW WKH&LW\jVSURFHGXUHVGLGQRWGHSULYHYHKLFOHRZQHUVRIWKHLU SURSHUW\ZLWKRXWGXHSURFHVVRIODZWKHGLVWULFWFRXUWJUDQWHG WKH&LW\jVPRWLRQWRGLVPLVVSXUVXDQWWR5XOH E RIWKH )HGHUDO5XOHVRI&LYLO3URFHGXUH)RUWKHUHDVRQVVHWIRUWK EHORZZH$)),50WKHMXGJPHQWRIWKHGLVWULFWFRXUW ,%$&.*5281' $ )DFWXDOEDFNJURXQG 7KH&LW\jVSROLFHRIILFHUVDUHDXWKRUL]HGWRSODFHDmSDUNLQJ YLRODWLRQ QRWLFH RU FLWDWLRQl FLWDWLRQ RQ DQ\ DXWRPRELOH IRXQG LQ D ORFDWLRQ WKDW YLRODWHV WKH &LW\jV SDUNLQJ ODZV 'HWURLW &LW\ &RGH $ FLWDWLRQ FRQVWLWXWHV mDQ DOOHJDWLRQ RI D FLYLO LQIUDFWLRQl UDWKHU WKDQ D FRQFOXVLYH ILQGLQJRIJXLOW,G$VVXFKWKHFLWDWLRQVPXVWVSHFLI\WKH GHDGOLQH IRU WKH DXWRPRELOHjV RZQHU WR UHVSRQG WR WKH DOOHJDWLRQ EHIRUH DGGLWLRQDO SHQDOWLHV DSSO\ WKH PHWKRG RI UHVSRQGLQJWKHORFDWLRQDQGKRXUVRIRSHUDWLRQRIWKHEXUHDX RUFRXUWLQZKLFKDUHVSRQVHZRXOGEHSURSHUDQGWKHDPRXQW RIWKHSURSRVHGILQH,G7KHFLWDWLRQVPXVWDOVRVWDWHWKDWWKH &LW\KDVWKHDXWKRULW\WRWDNHIXUWKHUDFWLRQVLIWKHRZQHUGRHV QRWUHVSRQGZLWKLQWKHSUHVFULEHGWLPH,G +HUUDGDY&LW\RI'HWURLW 1R 1R +HUUDGDY&LW\RI'HWURLW
QRWLFH WKDW WKH SRWHQWLDO GLVFLSOLQDU\ DFWLRQV LQFOXGHG D 3XUVXDQW WR WKHVH UHTXLUHPHQWV WKH FLWDWLRQV FRQWDLQ WKH WUDQVIHU WR DQRWKHU VFKRRO ,Q DGGLWLRQ +HUUDGD KDV EHHQ DGGUHVVWRZKLFKSD\PHQWVVKRXOGEHPDLOHGDQGLQIRUPWKH XQDEOHWRFLWHDQGZHKDYHEHHQXQDEOHWRORFDWHDQ\FDVHV UHFLSLHQW WKDW KH RU VKH KDV GD\V LQ ZKLFK WR DGPLW ILQGLQJDGXHSURFHVVYLRODWLRQEDVHGVROHO\RQWKHSUHVHQFH UHVSRQVLELOLW\DQGSD\WKHILQH DGPLWUHVSRQVLELOLW\ZLWK RIIDOVHVWDWHPHQWVUHODWLQJWRWKHFRQVHTXHQFHVRIWDNLQJQR DQH[SODQDWLRQRIZK\KHRUVKHVKRXOGQRWEHREOLJDWHGWR DFWLRQ SD\WKHILQHRU GHQ\UHVSRQVLELOLW\DQGUHTXHVWDKHDULQJ )XUWKHUPRUHWKHFLWDWLRQVVWDWHWKDWm>I@DLOXUHWRUHVSRQGPD\ 7KHGLVWLQFWLRQ EHWZHHQIDOVHDQGPLVOHDGLQJVWDWHPHQWV FDXVHDSHQDOW\WREHDGGHGFRXUWDFWLRQWDNHQRU\RXUYHKLFOH SHUWDLQLQJ WR WKH ULJKW WR UHTXHVW D KHDULQJ RU WR DSSHDO DQ ERRWHGDQGLPSRXQGHGlDQGWKDWm>O@DWHSD\PHQWZLOOFDXVH DGYHUVHGHFLVLRQDVRSSRVHGWRWKRVHUHODWLQJWRSHQDOWLHVIRU SHQDOWLHV WR EH DGGHG WR WKH RULJLQDO ILQHl 7KH ILQDO UHIXVLQJWRDFWDOVRKLJKOLJKWVWKHSUREOHPZLWK+HUUDGDjV SDUDJUDSKRIWKHFLWDWLRQVSURYLGHVWKHDGGUHVVDQGWHOHSKRQH FRQWHQWLRQ WKDW mDQ RSSRUWXQLW\ IRU D KHDULQJ LV QRW QXPEHU RI WKH &LW\jV SDUNLQJ YLRODWLRQV EXUHDX WR ZKLFK µPHDQLQJIXOjLIWKHJRYHUQPHQWjVQRWLFHPLVOHDGVFLWL]HQVLQWR UHTXHVWVIRUDGGLWLRQDOLQIRUPDWLRQPD\EHGLUHFWHG IRUHJRLQJVXFKDKHDULQJE\IDOVHO\LQGXFLQJWKHPWRSD\WKH VWDWHGILQHVl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mZLOO EH ILOHG LQ FRXUWl WKH RZQHUjV GULYHUjV LQIRUPDWLRQWKHSRWHQWLDOSHQDOWLHVHYHQLIPLVOHDGLQJGRQRW OLFHQVHmPD\EHZLWKKHOGlDQG WKHRZQHUjVDXWRPRELOH YLRODWHSURFHGXUDOGXHSURFHVV mPD\EHERRWHGDQGWRZHGl +HUUDGDj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mLQWHOOLJHQWO\DQGYROXQWDULO\lEHFDXVH FRQWUDVWWRWKHQRWLFHVjUHSUHVHQWDWLRQVYHKLFOHVFDQEHERRWHG D SOHD mDPRXQWV WR WKH ZDLYHU RI WKH FRQVWLWXWLRQDO ULJKWV DQGWRZHGRQO\LIWKH\KDYHVL[RUPRUHXQDQVZHUHGSDUNLQJ DJDLQVW VHOILQFULPLQDWLRQ WR WULDO E\ MXU\ DQG WR FRQIURQW YLRODWLRQVDQGWKDWWKH&LW\KDVQRDXWKRULW\WRZLWKKROGD RQHjVDFFXVHUVl8QLWHG6WDWHVY/D\QH )G GULYHUj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jV HIIRUW WR GUDZ VXSSRUW FRQFOXGHG WKDW +HUUDGDjV FRPSODLQW SURSHUO\ DOOHJHG WKH IURP 6RFLDO 6HFXULW\ $FW FDVHV ZKHUH VWDWHPHQWV LQ WKH GHSULYDWLRQ RI D SURSHUW\ LQWHUHVW ZKLFK LW GHILQHG DV mWKH DJHQF\jVGHQLDOQRWLFHVUDLVHGXQFHUWDLQW\DERXWWKHHIIHFWRI ULJKWWRNHHSPRQLHVVXEMHFWRQO\WRULJKWIXODFWLRQVE\WKH IDLOLQJWRUHTXHVWDKHDULQJWRFKDOOHQJHWKHGHWHUPLQDWLRQ JRYHUQPHQWWKDWFRPSRUWZLWKGXHSURFHVVl,QDGGUHVVLQJ 6HH'D\Y6KDODOD)G WK&LU ZKHWKHUWKLVGHSULYDWLRQYLRODWHGWKH'XH3URFHVV&ODXVHRI KROGLQJWKDWDQRWLFHWKDWPLVOHGFODLPDQWVE\HTXDWLQJDQHZ WKH)RXUWHHQWK$PHQGPHQWWKHGLVWULFWFRXUWDOVRDVVXPHG DSSOLFDWLRQZLWKDQDSSHDORIWKHLQLWLDOGHWHUPLQDWLRQYLRODWHG IRUWKHSXUSRVHVRILWVDQDO\VLVWKDWWKHFLWDWLRQVDQGRYHUGXH GXHSURFHVV *RQ]DOH]Y6XOOLYDQ )G WK QRWLFHVFRQWDLQHGIDOVHLQIRUPDWLRQ,WQRQHWKHOHVVFRQFOXGHG &LU FRQFOXGLQJ WKDW D QRWLFH RI GHQLDO RI GLVDELOLW\ WKDWWKHQRWLFHVGLGQRWYLRODWHGXHSURFHVVEHFDXVH+HUUDGD EHQHILWVIDLOHGWRSURYLGHDGHTXDWHQRWLFHEHFDXVHLWGLGQRW ZDV IXOO\ LQIRUPHG RI KHU ULJKW WR D KHDULQJ DQG VKH FOHDUO\ LQGLFDWH WKDW D GHWHUPLQDWLRQ EHFRPHV ILQDO LI QR YROXQWDULO\SDLGKHUILQHZLWKRXWDKHDULQJ$VDUHVXOWWKH UHTXHVWIRUUHFRQVLGHUDWLRQLVPDGH GLVWULFW FRXUW JUDQWHG WKH &LW\jV PRWLRQ WR GLVPLVV 7KLV GLVSRVLWLRQHOLPLQDWHGWKHQHHGIRUWKHGLVWULFWFRXUWWRGHFLGH +HUUDGDjVUHOLDQFHRQ&RYLQJWRQY'HSDUWPHQWRI+HDOWK ZKHWKHU +HUUDGDjV ODZVXLW VDWLVILHG WKH UHTXLUHPHQWV IRU D DQG +XPDQ 6HUYLFHV )G )HG &LU LV FODVVDFWLRQ VLPLODUO\PLVSODFHG$OWKRXJKWKH&RXUWRI$SSHDOVIRUWKH )HGHUDO&LUFXLWVWDWHGWKDWm>D@GHFLVLRQPDGHZLWKEOLQGHUV ,,$1$/<6,6 RQEDVHGRQPLVLQIRUPDWLRQRUDODFNRILQIRUPDWLRQFDQQRW EH ELQGLQJ DV D PDWWHU RI IXQGDPHQWDO IDLUQHVV DQG GXH $ 6WDQGDUGRIUHYLHZ SURFHVVl LG DW LQWHUQDO TXRWDWLRQ PDUNV DQG FLWDWLRQ RPLWWHG WKHFDVHEHIRUHLWLQYROYHGDSODLQWLIIZKRUHWLUHG $GLVWULFWFRXUWjVGLVPLVVDORIDFRPSODLQWSXUVXDQWWR5XOH IURP KLV HPSOR\PHQW DIWHU UHFHLYLQJ D UHGXFWLRQLQIRUFH E RIWKH)HGHUDO5XOHVRI&LYLO3URFHGXUHLVUHYLHZHG QRWLFHWKDWIDLOHGWRLQIRUPKLPWKDWKHZRXOGEHIRUIHLWLQJKLV GHQRYRsDFNVRQY&LW\RI&ROXPEXV )G ULJKWWRDSSHDOWKHUHGXFWLRQLQIRUFHGHFLVLRQE\UHWLULQJ,G WK&LU :KHQFRQVLGHULQJDPRWLRQWRGLVPLVVm>W@KH 7KHPLVOHDGLQJQRWLFHWKHUHIRUHDIIHFWHGWKHSODLQWLIIjVULJKW FRXUWPXVWFRQVWUXHWKHFRPSODLQWLQDOLJKWPRVWIDYRUDEOHWR WR DSSHDO DQ DGYHUVH GHFLVLRQ ZKLFK LV HQWLWOHG WR PRUH WKHSODLQWLIIDQGDFFHSWDOORIWKHIDFWXDODOOHJDWLRQVDVWUXHl SURWHFWLRQWKDQWKHULJKWWREHLQIRUPHGRISRVVLEOHSHQDOWLHV ,G FLWDWLRQ RPLWWHG m$ PRWLRQ WR GLVPLVV XQGHU 5XOH &I%HWWVY%GRI(GXF)G WK&LU E VKRXOG QRW EH JUDQWHG µXQOHVV LW DSSHDUV EH\RQG KROGLQJWKDWZKHUHDKLJKVFKRROVWXGHQWDQGWKHVWXGHQWjV GRXEWWKDWWKHSODLQWLIIFDQSURYHQRVHWRIIDFWVLQVXSSRUWRI PRWKHU mUHFHLYHG DGHTXDWH QRWLFH RI WKH FKDUJHV KDG KLVFODLPZKLFKZRXOGHQWLWOHKLPWRUHOLHIjl%XFKDQDQY VXIILFLHQWRSSRUWXQLW\WRSUHSDUHIRUWKHPHHWLQJ>ZLWKVFKRRO $SIHO )G WK&LU TXRWLQJ&RQOH\Y SHUVRQQHO@ZHUHDFFRUGHGDQRUGHUO\KHDULQJDQGZHUHJLYHQ *LEVRQ86 VHHDOVRsDFNVRQ D IDLU DQG LPSDUWLDO GHFLVLRQl QR GXH SURFHVV YLRODWLRQ )GDW QRWLQJWKDWGLVPLVVDOLVSURSHURQO\mLILWLVFOHDU RFFXUUHGHYHQWKRXJKWKHVFKRROIDLOHGWRSURYLGHDGYDQFH WKDW QR UHOLHI FRXOG EH JUDQWHG XQGHU DQ\ VHW RI IDFWV WKDW +HUUDGDY&LW\RI'HWURLW 1R 1R +HUUDGDY&LW\RI'HWURLW
E SURYLGLQJWKDWORFDODXWKRULWLHVFDQLPSRXQGRU FRXOGEHSURYHGFRQVLVWHQWZLWKWKHDOOHJDWLRQVl FLWDWLRQ LPPRELOL]HYHKLFOHVmZKRVHRZQHUKDVIDLOHGWRDQVZHURU RPLWWHG PRUHSDUNLQJYLRODWLRQQRWLFHVRUFLWDWLRQVUHJDUGLQJLOOHJDO SDUNLQJl 7KLV OHDYHV RQO\ WKH VWDWHPHQW LQ WKH RYHUGXH % 3URFHGXUDOGXHSURFHVVFODLP QRWLFHWKDWWKHFLWDWLRQmZLOOEHILOHGLQFRXUWl +HUUDGD FODLPV WKDW WKH &LW\j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mOLIH OLEHUW\ RU DXWKRULW\ WR ILOH WKH FLWDWLRQV 0LFK &RPS /DZV SURSHUW\lZLWKRXWmGXHSURFHVVRIODZl86&RQVWDPHQG SURYLGLQJWKDWDFLWDWLRQPD\EHILOHGLQWKH ;,9$WZRVWHSDQDO\VLVJXLGHVRXUHYDOXDWLRQRISURFHGXUDO FRXUWZLWKMXULVGLFWLRQRYHUWKHORFDWLRQZKHUHWKHLQIUDFWLRQ GXHSURFHVVFODLPV:HPXVWILUVWGHWHUPLQHmZKHWKHUWKHUH RFFXUUHGLIDSDUNLQJYLRODWLRQQRWLFHLVLVVXHGDQGWKHYHKLFOH H[LVWVDOLEHUW\LQWHUHVWRUSURSHUW\LQWHUHVWZKLFKKDVEHHQ RZQHUGRHVQRWDGPLWUHVSRQVLELOLW\RUSD\WKHILQH (TXDOO\ LQWHUIHUHGZLWKE\WKHGHIHQGDQWVlsDFNVRQ )GDW LPSRUWDQWDVL[\HDUVWDWXWHRIOLPLWDWLRQVJRYHUQVWKHILOLQJ LQWHUQDOTXRWDWLRQPDUNVDQGFLWDWLRQRPLWWHG 6HFRQGLI RIFLWDWLRQVIRUFLYLOLQIUDFWLRQVVXFKDVSDUNLQJYLRODWLRQV VXFK D GHSULYDWLRQ RFFXUUHG ZH PXVW GHFLGH ZKHWKHU WKH 0LFK &RPS /DZV SURYLGLQJ WKDW D mFLYLO SURFHGXUHV WKDW DFFRPSDQLHG WKH LQWHUIHUHQFH ZHUH LQIUDFWLRQ DFWLRQl LV D mFLYLO DFWLRQl LG FRQVWLWXWLRQDOO\VXIILFLHQW%XFKDQDQ )GDW HVWDEOLVKLQJ D VL[\HDU VWDWXWH RI OLPLWDWLRQV IRU SHUVRQDO DFWLRQVQRWJRYHUQHGE\DQ\RWKHUSHULRG LG :KHWKHU WKH &LW\j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j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
HPSOR\PHQWEHFDXVHWKHSODLQWLIIYROXQWDULO\UHVLJQHGZKHQ DQ\OLEHUW\LQWHUHVW %RWKWKHFLWDWLRQDQGWKHRYHUGXHQRWLFH KHUHIXVHGWRUHSRUWWRZRUNDIWHUEHLQJWUDQVIHUUHGWRDQHZ DOVRSURYLGHWHOHSKRQHQXPEHUVWRFDOOIRUPRUHLQIRUPDWLRQ SRVLWLRQ <HDURXV Y 1LREUDUD &RXQW\ 0HPjO +RVS )G WK&LU m,I3ODLQWLIIVUHVLJQHGRI 7KH&LW\jVQRWLFHVZHUHWKHUHIRUHUHDVRQDEO\FDOFXODWHGWR WKHLURZQIUHHZLOOHYHQDVDUHVXOWRI'HIHQGDQWjVDFWLRQV LQIRUPYHKLFOHRZQHUVRIWKHDOOHJDWLRQVDJDLQVWWKHPDQGWKH WKHQWKH\YROXQWDULO\UHOLQTXLVKHGWKHLUSURSHUW\LQWHUHVWVDQG SURFHGXUHV DYDLODEOH WR REWDLQ D KHDULQJ WR FRQWHVW WKH WKXV'HIHQGDQWGLGQRWGHSULYHWKHPRISURSHUW\ZLWKRXWGXH DOOHJDWLRQV6HH0F&DKH\Y/3,QYHVWRUV)G SURFHVVRIODZl G &LU KROGLQJ WKDW 1HZ <RUNjV m1RWLFH WR sXGJPHQW'HEWRUVlVDWLVILHGGXHSURFHVVE\VSHFLI\LQJWKDWD 7KH SUREOHP ZLWK WKH &LW\j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jVULJKWVEHFDXVHVKHSDLGKHU FRPSDQ\jV QRWLILFDWLRQ SURFHGXUH ZDV FRQVWLWXWLRQDOO\ ILQH RQO\ DIWHU UHFHLYLQJ WKH QRWLFHV :H PXVW WKHUHIRUH GHILFLHQWEHFDXVHmZKLOHDGHTXDWHWRDSSULVH>FXVWRPHUV@RI GHWHUPLQH ZKHWKHU WKH QRWLFHV WKDW VKH UHFHLYHG ZHUH WKHWKUHDWRIWHUPLQDWLRQRIVHUYLFH>LW@ZDVQRWUHDVRQDEO\ FRQVWLWXWLRQDOO\VXIILFLHQW FDOFXODWHGWRLQIRUPWKHPRIWKHDYDLODELOLW\RIDQRSSRUWXQLW\ WRSUHVHQWWKHLUREMHFWLRQVWRWKHLUELOOVl LQWHUQDOTXRWDWLRQ :KHWKHUWKH&LW\jVDFWLRQVIDLOHGWRFRPSRUWZLWKWKH PDUNVDQGFLWDWLRQRPLWWHG UHTXLUHPHQWVRISURFHGXUDOGXHSURFHVV )XUWKHUPRUH ZH IDLO WR VHH ZKHUH WKH VWDWHPHQWV LQ WKH m$Q HOHPHQWDU\ DQG IXQGDPHQWDO UHTXLUHPHQW RI GXH FLWDWLRQDUHHLWKHUIDOVHRUPLVOHDGLQJ7KHFLWDWLRQSURYLGHV SURFHVVLQDQ\SURFHHGLQJZKLFKLVWREHDFFRUGHGILQDOLW\LV WKDWIDLOLQJWRUHVSRQGmPD\FDXVHDSHQDOW\WREHDGGHGFRXUW QRWLFHUHDVRQDEO\FDOFXODWHGXQGHUDOOWKHFLUFXPVWDQFHVWR DFWLRQ WDNHQ RU \RXU YHKLFOH ERRWHG DQG LPSRXQGHGl DSSULVHLQWHUHVWHGSDUWLHVRIWKHSHQGHQF\RIWKHDFWLRQDQG (PSKDVLV DGGHG 1RWKLQJ LQ WKLV ODQJXDJH VXJJHVWV WKDW DIIRUG WKHP DQ RSSRUWXQLW\ WR SUHVHQW WKHLU REMHFWLRQVl WKHVHSHQDOWLHVZLOOEHLPSRVHGLQHYHU\LQVWDQFH,QVWHDGWKH 0HPSKLV/LJKW*DV :DWHU'LYY&UDIW86 SRVVLELOLW\ RI WKHVH FRQVHTXHQFHV LQGLFDWHV WKH PD[LPXP FLWDWLRQRPLWWHG $OWKRXJKWKHFLWDWLRQDQGRYHUGXH SHQDOW\QRWWKHPLQLPXP QRWLFHPLJKWKDYHFRQWDLQHGIDOVHDQGPLVOHDGLQJLQIRUPDWLRQ UHJDUGLQJ WKH SHQDOWLHV IRU IDLOXUH WR UHVSRQG WKH FLWDWLRQ 7KH RYHUGXH QRWLFH VLPLODUO\ VWDWHV WKDW KDYLQJ RQHjV FOHDUO\VWDWHVWKDWDKHDULQJLVDYDLODEOHWRFRQWHVWWKH&LW\jV GULYLQJOLFHQVHZLWKKHOGRUWKHRIIHQGLQJYHKLFOHERRWHGDUH DOOHJDWLRQ WKDW WKH YHKLFOH RZQHU FRPPLWWHG D SDUNLQJ SRWHQWLDO QRW PDQGDWRU\ SHQDOWLHV IRU IDLOLQJ WR UHVSRQG YLRODWLRQ6HH'H3LHURY&LW\RI0DFHGRQLD)G 'HVSLWH+HUUDGDjVDUJXPHQWWRWKHFRQWUDU\WKH&LW\KDVWKH WK &LU KROGLQJ WKDW DOWKRXJK WKH SDUNLQJ DXWKRULW\WRLPSRVHERWKRIWKHVHSHQDOWLHVXQGHUDSSURSULDWH FLWDWLRQWKDWWKHSODLQWLIIUHFHLYHGGLGQRWLQGLFDWHZKHUHDQG FLUFXPVWDQFHV6HH0LFK&RPS/DZV SURYLGLQJ KRZWRFRQWHVWWKHDOOHJDWLRQWKHSODLQWLIIZDVQRWGHSULYHGRI WKDWm>L@IWKHSHUVRQWRZKRPDFLWDWLRQLVLVVXHGIRUDFLYLO SURFHGXUDOGXHSURFHVVEHFDXVHKHUHFHLYHGDVXPPRQVWR LQIUDFWLRQIDLOVWRDSSHDUDVGLUHFWHGE\WKHFLWDWLRQRURWKHU DSSHDULQFRXUWYLDILUVWFODVVPDLOEHIRUHKHZDVGHSULYHGRI QRWLFHWKHFRXUWVKDOOHQWHUDGHIDXOWMXGJPHQWDJDLQVWWKDW SHUVRQDQGWKHSHUVRQjVOLFHQVHVKDOOEHVXVSHQGHGl LG
Reference
- Status
- Published