Lautermilch v. Findlay City Schools
Lautermilch v. Findlay City Schools
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
s2+1 & /$87(50,/&+ ; 3ODLQWLII$SSHOODQW 1R Y ! ),1'/$< &,7< 6&+22/6 'HIHQGDQW$SSHOOHH 1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH1RUWKHUQ'LVWULFWRI2KLRDW7ROHGR 1RnsDPHV*&DUU'LVWULFWsXGJH $UJXHG 2FWREHU 'HFLGHGDQG)LOHG sDQXDU\ %HIRUH 6,/(5DQG0225(&LUFXLWsXGJHV 0F.,1/(<'LVWULFWsXGJH BBBBBBBBBBBBBBBBB &2816(/ $5*8(' 'DYLG $ %U\DQ :$6(50$1 %5<$1 /$1'5< +212/' 7ROHGR 2KLR IRU $SSHOODQW & 3KLOLS%DLWKHU,,,52%,621&853+(< 2j&211(//
7KH +RQRUDEOH sRVHSK + 0F.LQOH\ sU 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH :HVWHUQ 'LVWULFW RI .HQWXFN\ VLWWLQJ E\ GHVLJQDWLRQ
/DXWHUPLOFKY)LQGOD\&LW\6FKRROV 1R 1R /DXWHUPLOFKY)LQGOD\&LW\6FKRROV
7ROHGR2KLRIRU$SSHOOHH21%5,() )UDQFLVs/DQGU\ VLWXDWLRQ/DXWHUPLOFKLVDOOHJHGO\H[KLELWLQJWRRPXFKRIWKH :$6(50$1%5<$1/$1'5< +212/'7ROHGR PDOHJHQGHUVWHUHRW\SHZKHQKLVEHKDYLRULVGHVFULEHGDVmWRR 2KLR IRU $SSHOODQW & 3KLOLS %DLWKHU ,,, 52%,621 PDFKRl %HFDXVH , EHOLHYH LW LV LQFRQVLVWHQW WR SURWHFW D &853+(< 2j&211(//7ROHGR2KLRIRU$SSHOOHH ZRPDQIURPGLVFULPLQDWLRQRQWKHEDVLVWKDWVKHLVQRWDFWLQJ mOLNHDZRPDQlRUFRQYHUVHO\DFWVmWRRPXFKOLNHDZRPDQl 6,/(5 s GHOLYHUHG WKH RSLQLRQ RI WKH FRXUW LQ ZKLFK ZKLOHIDLOLQJWRSURWHFWDPDQDFFXVHGRIDFWLQJmWRRPDQO\l 0F.,1/(<'sMRLQHG0225(s SS GHOLYHUHG ,UHVSHFWIXOO\GLVVHQW8QGHUHLWKHUVFHQDULRWKHSODLQWLIILV DVHSDUDWHRSLQLRQGLVVHQWLQJLQSDUW VXIIHULQJ VH[ GLVFULPLQDWLRQ E\ WKH DSSOLFDWLRQ RI KDUPIXO JHQGHUVWHUHRW\SHV BBBBBBBBBBBBBBBBB :KHQDSODLQWLIIFRPHVIRUWKZLWKGLUHFWHYLGHQFHRIJHQGHU 23,1,21 GLVFULPLQDWLRQWKHGHIHQGDQWKDVWKHEXUGHQRISHUVXDVLRQWR BBBBBBBBBBBBBBBBB VKRZWKDWLWZRXOGKDYHWHUPLQDWHGWKHSODLQWLIIDEVHQWWKH GLVFULPLQDWRU\ PRWLYH sDFNO\Q )G DW ,Q WKH 6,/(5 &LUFXLW sXGJH 3ODLQWLII sRKQ & /DXWHUPLOFK LQVWDQWGLUHFWHYLGHQFHFDVHTXHVWLRQVRIIDFWUHPDLQ6HH DSSHDOV WKH GLVWULFW FRXUW V JUDQW RI VXPPDU\ MXGJPHQW WR HJ:HEHUJY)UDQNV )G WK&LU 'HIHQGDQW )LQGOD\ &LW\ 6FKRROV WKH 6FKRROV )RU WKH KROGLQJWKDWUDFLDOO\GLVFULPLQDWRU\VWDWHPHQWVWKDWVHUYHDV UHDVRQVVWDWHGEHORZZH$)),50 GLUHFW HYLGHQFH RI GLVFULPLQDWLRQ FUHDWH JHQXLQH LVVXHV RI PDWHULDOIDFW ,GRQRWFRQWHVWWKDWWKH6FKRROVFHUWDLQO\KDYH , SURGXFHGVRPHHYLGHQFHRI/DXWHUPLOFKj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
HPSOR\ D SDUWLFXODU IHPDOH WHDFKHU EHFDXVH VKH ZDV mWRR 3ULQFLSDO &UDWHV VSLW WKH ZRUG PDFKR RXW DV LI LW ZDV IHPLQLQHl8QGHUWKHVHFLUFXPVWDQFHVLWLVUHODWLYHO\FOHDU GLVWDVWHIXO 6LQFH WKHQ WKH 6FKRROV KDYH QRW FDOOHG WKDWWKHPDMRULW\ZRXOGKDYHUHDFKHGDGLIIHUHQWUHVXOW6HH /DXWHUPLOFKWREHDVXEVWLWXWHWHDFKHU JHQHUDOO\3ULFH:DWHUKRXVHY+RSNLQV 86 SHUPLWWLQJDZRPDQWRSURYHWKDWKHUJHQGHUSOD\HG ,Q /DXWHUPLOFK VXHG WKH 6FKRROV LQ WKH 1RUWKHUQ DSDUWLQDQDGYHUVHHPSOR\PHQWGHFLVLRQWKURXJKVWDWHPHQWV 'LVWULFW RI 2KLR DOOHJLQJ VH[ GLVFULPLQDWLRQ GXH SURFHVV LQFOXGLQJWKDWVKHZDVQRWmIHPLQLQHlHQRXJKWREHFRPHD YLRODWLRQ)LUVW$PHQGPHQWYLRODWLRQDQGYDULRXVVWDWHODZ SDUWQHUDQGWKDWVKHZDVmPDFKRl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jVZRUG DSSURSULDWHLIWKHUHLVQRJHQXLQHLVVXHRIPDWHULDOIDFWDQG FKRLFHWHOOLQJ/DXWHUPLOFKWKDWKHZRXOGQRWEHUHKLUHGDVD WKHPRYLQJSDUW\LVHQWLWOHGWRMXGJPHQWDVDPDWWHURIODZ VXEVWLWXWHWHDFKHUEHFDXVHKHZDVmWRRPDFKRlDVRSSRVHGWR 6HH)HG5&LY3 F $QGHUVRQY/LEHUW\/REE\,QF WHOOLQJKLPKHZDVmWRRPDOHlVKRXOGQRWEHWKHEDVLVIRUD 86 8QGHUWKLVVWDQGDUGWKHFRXUWPXVW GLIIHUHQWILQGLQJ0RUHRYHUWKHIDFWWKDW/DXWHUPLOFKZDV GHWHUPLQH ZKHWKHU UHDVRQDEOH MXURUV FRXOG ILQG E\ D SXQLVKHG IRU H[KLELWLQJ DQ RUGLQDULO\ IDYRUHG JHQGHU SUHSRQGHUDQFHRIWKHHYLGHQFHWKDWWKHSODLQWLIILVHQWLWOHGWR VWHUHRW\SHPDOHQHVVVKRXOGQRWGLVWLQJXLVKWKLVFDVHIURP D YHUGLFW $QGHUVRQ 86 DW ,Q PDNLQJ WKLV RQH ZKHUH WKH SXQLVKPHQW LV IRU IDLOLQJ WR OLYH XS WR DQ GHWHUPLQDWLRQ >W@KH HYLGHQFH RI WKH QRQPRYDQW LV WR EH DFFHSWHG JHQGHU UROH &I 3LYLURWWR )G DW EHOLHYHGDQGDOOMXVWLILDEOHLQIHUHQFHVDUHWREHGUDZQLQKLV LQFOXGLQJZLWKLQWKHGHILQLWLRQRIGLVFULPLQDWLRQVLWXDWLRQV IDYRU,GDW ZKHUHm>D@QHPSOR\HUPD\DFWRQJHQGHUEDVHGVWHUHRW\SHV ILULQJZRPHQLWSHUFHLYHVDVQRWIHPLQLQHHQRXJK RUDVWRR 'XH3URFHVV IHPLQLQH RU GLVFKDUJLQJ ZRPHQ ZKR DUH WRR DJJUHVVLYH 7KH )RXUWHHQWK $PHQGPHQW SURKLELWV VWDWH DFWRUV IURP ZKLOHQRWGRLQJWKHVDPHWRPDOHHPSOR\HHVl GHSULYLQJDQLQGLYLGXDORIOLIHOLEHUW\RUSURSHUW\ZLWKRXW %RWK3ULFH:DWHUKRXVHDQGWKHFXUUHQWVLWXDWLRQLQYROYH GXHSURFHVVRIODZ/DXWHUPLOFKDUJXHVWKDWWKHWKH6FKRROV HPSOR\HHVDFFXVHGRIEHKDYLQJmWRRPDQO\ln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
WR FRQWLQXHG HPSOR\PHQW 1HLWKHU PHUH JRYHUQPHQW GLVFULPLQDWLRQ6HH7UDQV:RUOG$LUOLQHV,QFY7KXUVWRQ HPSOR\PHQWQRUDQDEVWUDFWQHHGRUGHVLUHIRUFRQWLQXHG 86 7KLVLVVREHFDXVHm>W@KHVKLIWLQJ HPSOR\PHQWZLOOJLYHULVHWRDSURSHUW\LQWHUHVW5DWKHU EXUGHQVRISURRIVHWIRUWKLQ0F'RQQHOO'RXJODVDUHGHVLJQHG DSURSHUW\LQWHUHVWH[LVWVDQGLWVERXQGDULHVDUHGHILQHG WRDVVXUHWKDWWKHµSODLQWLII>KDV@KLVGD\LQFRXUWGHVSLWHWKH E\UXOHVRUXQGHUVWDQGLQJVWKDWVWHPIURPDQLQGHSHQGHQW XQDYDLODELOLW\RIGLUHFWHYLGHQFHjl,G FLWDWLRQRPLWWHG VRXUFHVXFKDVVWDWHODZUXOHVRUXQGHUVWDQGLQJVWKDW VHFXUH FHUWDLQ EHQHILWV DQG WKDW VXSSRUW FODLPV RI 7KH(TXDO3URWHFWLRQ&ODXVHSURKLELWVGLVFULPLQDWLRQRQWKH HQWLWOHPHQWWRWKRVHEHQHILWV EDVLV RI JHQGHU n ZKLFK LQFOXGHV GLVFULPLQDWLRQ DJDLQVW PDOHV6HHJHQHUDOO\&UDLJY%RUHQ 86 ,GDW LQWHUQDOTXRWHVDQGFLWDWLRQVRPLWWHG DSSO\LQJ LQWHUPHGLDWH VFUXWLQ\ WR VWDWXWH GLVFULPLQDWLQJ DJDLQVW PDOHV $FFRUGLQJ WR WKH 2[IRUG 8QGHU 2KLR ODZ VXEVWLWXWH WHDFKHUV KDYH QR SURSHUW\ (QJOLVK'LFWLRQDU\WKHZRUGmPDFKRlKDVLWVRULJLQVLQWKH LQWHUHVWLQWKHLUFRQWLQXHGHPSOR\PHQW 6SDQLVKODQJXDJHDQGLVGHILQHGDVmDPDQ >VSHFLILFDOO\@D µWRXJKJX\jl 2 ;)25' (1*/,6+ ',&7,21$5< GHG 7HDFKHUV PD\ EH HPSOR\HG DV VXEVWLWXWH WHDFKHUV IRU ,QGLUHFWFRQWUDVWWRWKHPDMRULW\,FRQWHQGWKDWLWLV WHUPVQRWWRH[FHHGRQH\HDUIRUDVVLJQPHQWDVVHUYLFHV SUHFLVHO\EHFDXVHWKHJHQGHUEDVHGFRPPHQWZDVPDGHE\WKH DUHQHHGHGWRWDNHWKHSODFHRIUHJXODUWHDFKHUVDEVHQWRQ XOWLPDWH GHFLVLRQPDNHU mLQ WKH FRQWH[W RI D WHUPLQDWLRQ DFFRXQW RI LOOQHVV RU RQ OHDYHV RI DEVHQFH RU WR ILOO KHDULQJl WKDW RQH UHDVRQDEO\ FDQ LQIHU WKDW JHQGHU ZDV D WHPSRUDULO\ SRVLWLRQV FUHDWHG E\ HPHUJHQFLHV VXFK PRWLYDWLQJIDFWRULQ3ULQFLSDO&UDWHVjVGHFLVLRQ0RUHRYHU DVVLJQPHQW WR EH VXEMHFW WR WHUPLQDWLRQ ZKHQ VXFK WKH FRPPRQSODFH XVDJH RI WKH ZRUG mPDFKRl UHIHUV VHUYLFHVDUHQRORQJHUQHHGHG H[FOXVLYHO\WREHKDYLRUVRUTXDOLWLHVDVVRFLDWHGZLWKWKHPDOH JHQGHU%RWKWKHQDWXUHRIWKHFRPPHQWDQGWKHPDQQHULQ
ZKLFKLWZDVGHOLYHUHGVXJJHVWWKDWVXPPDU\MXGJPHQWZDV LPSURSHU EHFDXVH D UHDVRQDEOH MXURU FRXOG ILQG E\ D 7HDFKHUVHPSOR\HGDVVXEVWLWXWHVRQDFDVXDORUGD\WR SUHSRQGHUDQFH RI WKH HYLGHQFH WKDW /DXWHUPLOFKjV JHQGHU GD\ EDVLV VKDOO QRW EH HQWLWOHG WR WKH QRWLFH RI QRQUH mZDVDWOHDVWDPRWLYDWLQJIDFWRULQWKHHPSOR\HUjVDFWLRQVl HPSOR\PHQWSUHVFULEHGLQVHFWLRQ RIWKH5HYLVHG /DGHUDFK)GDW &RGH 6XSSRVH3ULQFLSDO&UDWHVKDGVDLGWRDQ$IULFDQ$PHULFDQ 25& VXEVWLWXWHWHDFKHUWKDWWKH6FKRROVZHUHXQDEOHWRXWLOL]HKLV (YHQ ZLWKRXW D VWDWXWRU\ SURSHUW\ LQWHUHVW /DXWHUPLOFK VHUYLFHVEHFDXVHKHZDVmWRREODFNlRUWKDWVKHKDGIDLOHGWR FRXOGFODLPDSURSHUW\LQWHUHVWLQKLVHPSOR\PHQWKDGVXFKDQ LQWHUHVWEHHQFRQIHUUHGE\FRQWUDFW6HH%DLOH\)GDW +HUHEHFDXVH/DXWHUPLOFKGLGQRWHQWHULQWRDZULWWHQ 7KH GHILQLWLRQ FRQWLQXHV mDOVR PDQOLQHVV YLULOLW\ DQ LPSUHVVLRQ
FRQWUDFW ZLWK WKH )LQGOD\ &LW\ 6FKRROV KH LV DQ DW ZLOO RI WKLVl 2 ;)25' 1*/,6+ ,&7,21$5< ( ' G HG 7KH DGMHFWLYH XVH RI mPDFKRl LV GHILQHG DV m>R@VWHQWDWLRXVO\ RU QRWDEO\ PDQO\ HPSOR\HH6HH+HQNHOY(GXF5HVHDUFK&RXQFLORI$PHULFD RU YLULOHl ,G VHH DOVR 0 (55,$0 : (%67(5 21/,1( DW 1(G 2KLR 7KHPRGHUQUXOHLVWKDWLQ KWWS ZZZPZFRPKRPHKWP ODVW YLVLWHG 'HF mPDFKRl WKHDEVHQFHRIIDFWVDQGFLUFXPVWDQFHVZKLFKLQGLFDWHWKDWWKH GHILQHG DV mDJJUHVVLYHO\ YLULOHl )XUWKHU GHILQLWLRQV RI mPDFKRl LQFOXGH DJUHHPHQW LV IRU D VSHFLILF WHUP DQ HPSOR\PHQW FRQWUDFW mDVVHUWLYH RU DJJUHVVLYH PDQOLQHVVl DQG mDQ DVVHUWLYHO\ YLULOH GRPLQDWLQJ
ZKLFK PDNHV QR SURYLVLRQ DV WR WKH GXUDWLRQ RI WKH RU GRPLQHHULQJ PDOHl 5 $1'20 286( 1$%5,'*(' ,&7,21$5< + 8 ' G HG /DXWHUPLOFKY)LQGOD\&LW\6FKRROV 1R 1R /DXWHUPLOFKY)LQGOD\&LW\6FKRROV
BBBBBBBBBBBBB HPSOR\PHQWLVQRWDFRQWUDFWIRURQH\HDUEXWLVWHUPLQDEOH DWZLOOE>\@HLWKHUSDUW\ ',66(17 BBBBBBBBBBBBB 7KHGLVWULFWFRXUWFRUUHFWO\IRXQGWKDW/DXWHUPLOFKKDVQRW LGHQWLILHG VXIILFLHQW IDFWV DQG FLUFXPVWDQFHV IURP ZKLFK D .$5(11(/6210225(&LUFXLWsXGJHGLVVHQWLQJLQ UHDVRQDEOHMXU\FRXOGILQGWKDWKHZDVDQ\WKLQJRWKHUWKDQDQ SDUW,GLVVHQWZLWKUHVSHFWWRWKHPDMRULW\jVGLVSRVLWLRQRI DWZLOOHPSOR\HH /DXWHUPLOFKjV HTXDO SURWHFWLRQ FODLP EHFDXVH 3ULQFLSDO .DWKOHHQ &UDWHVjV FRPPHQW WKDW /DXWHUPLOFK ZDV mWRR 6H['LVFULPLQDWLRQ PDFKRlPDGHDWWKHWLPHVKHLQIRUPHGKLPRIWKHGHFLVLRQWR GHQ\ KLP IXWXUH RSSRUWXQLWLHV DV D VXEVWLWXWH WHDFKHU /DXWHUPLOFK DUJXHV WKDW WKH GLVWULFW FRXUW HUURQHRXVO\ FRQVWLWXWHVGLUHFWHYLGHQFHRIVH[GLVFULPLQDWLRQVXIILFLHQWWR DQDO\]HG KLV VH[ GLVFULPLQDWLRQ FODLPV XQGHU D 7LWOH 9,, GHIHDW WKH 6FKRROVj PRWLRQ IRU VXPPDU\ MXGJPHQW 7KH DQDO\VLV UDWKHU WKDQ D DQDO\VLV $OWKRXJK PDMRULW\ LPSURSHUO\ XSKROGV WKH GLVWULFW FRXUWjV JUDQW RI /DXWHUPLOFK VFRPSODLQWQHYHUPHQWLRQV7LWOH9,,>W@RSURYH VXPPDU\MXGJPHQWFRQFOXGLQJWKDWDQ\UHDVRQDEOHSHUVRQ DYLRODWLRQRIWKHHTXDOSURWHFWLRQFODXVHXQGHU >D ZRXOGGHWHUPLQHWKDW3ULQFLSDO&UDWHVjVUHPDUNZDVPHUHO\ SODLQWLII@ PXVW SURYH WKH VDPH HOHPHQWV DV DUH UHTXLUHG WR mFULWLFDORI/DXWHUPLOFKjVEHKDYLRUQRWKLVVH[RUJHQGHUl,Q HVWDEOLVK D GLVSDUDWH WUHDWPHQW FODLP XQGHU 7LWOH 9,, LH UHMHFWLQJ/DXWHUPLOFKjVHTXDOSURWHFWLRQFODLPXQGHU XQGHUWKH0F'RQQHOO'RXJODV%XUGLQHIUDPHZRUNsDFK\UD WKH PDMRULW\ KROGV WKDW RQH mRIIKDQG FRPPHQWl GRHV QRW Y&LW\RI6RXWKILHOG1R :/ DW mUHTXLUH>@WKHFRQFOXVLRQWKDWXQODZIXOGLVFULPLQDWLRQZDVDW WK&LU6HSWHPEHU FLWLQJ*XW]ZLOOHUY)HQLN OHDVW D PRWLYDWLQJ IDFWRU LQ WKH HPSOR\HUjV DFWLRQVl 7KH )G WK&LU PDMRULW\LJQRUHVWKHNH\IDFWVWKDWWKHmWRRPDFKRlFRPPHQW ZDVPDGHE\WKHGHFLVLRQPDNHUDWWKHWHUPLQDWLRQKHDULQJ 8QGHUWKH0F'RQQHOO'RXJODV%XUGLQHIUDPHZRUN m>'@LUHFW HYLGHQFH LV WKDW HYLGHQFH ZKLFK LI EHOLHYHG >W@KHFRPSODLQDQWLQD7LWOH9,,WULDOPXVWFDUU\WKHLQLWLDO UHTXLUHVWKHFRQFOXVLRQWKDWXQODZIXOGLVFULPLQDWLRQZDVDW EXUGHQ XQGHU WKH VWDWXWH RI HVWDEOLVKLQJ D SULPD IDFLH OHDVW D PRWLYDWLQJ IDFWRU LQ WKH HPSOR\HUjV DFWLRQVl FDVHRIGLVFULPLQDWLRQ7KLVPD\EHGRQHE\VKRZLQJ /DGHUDFKY8+DXORI1RUWKZHVWHUQ2KLR)G L WKDWKHEHORQJVWRD>SURWHFWHG@PLQRULW\ LL WKDWKH WK&LU TXRWDWLRQRPLWWHG :KHQDSODLQWLIIFRPHV DSSOLHG DQG ZDV TXDOLILHG IRU D MRE IRU ZKLFK WKH IRUWKZLWKFUHGLEOHGLUHFWHYLGHQFHRIJHQGHUGLVFULPLQDWLRQ HPSOR\HUZDVVHHNLQJDSSOLFDQWV LLL WKDWGHVSLWHKLV mWKHEXUGHQRISHUVXDVLRQVKLIWVWRWKHGHIHQGDQWWRVKRZLW TXDOLILFDWLRQV KH ZDV UHMHFWHG DQG LY WKDW DIWHU KLV ZRXOGKDYHWHUPLQDWHGWKHSODLQWLIIlDEVHQWWKHGLVFULPLQDWRU\ UHMHFWLRQWKHSRVLWLRQUHPDLQHGRSHQDQGWKHHPSOR\HU PRWLYHsDFNO\QY6FKHULQJ3ORXJK+HDOWKFDUH3URGV6DOHV FRQWLQXHG WR VHHN DSSOLFDQWV IURP SHUVRQV RI &RUS )G WK &LU 7KH PDMRULW\ FRPSODLQDQW VTXDOLILFDWLRQV DSSHDUV WR KROG WKDW WKH mWRR PDFKRl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
Reference
- Status
- Published