Habich v. Dearborn
Habich v. Dearborn
Opinion
5(&200(1'(' )25 )8//7(;7 38%/,&$7,21 3XUVXDQW WR 6L[WK &LUFXLW 5XOH +DELFKY&LW\RI'HDUERUQHWDO 1R (/(&7521,& &,7$7,21 )(' $SS 3 WK &LU )LOH 1DPH DS $SSHOOHHV 21 %5,() (OL]DEHWK $ 'RZQH\ %LQJKDP )DUPV0LFKLJDQIRU$SSHOODQWsRKQ:7DQQHU,,,'HEUD 81,7('67$7(6&28572)$33($/6 &:DOOLQJ'($5%251&,7</(*$/'(3$570(17 'HDUERUQ0LFKLJDQIRU$SSHOOHHV )257+(6,;7+&,5&8,7 BBBBBBBBBBBBBBBBB 0225(sGHOLYHUHGWKHRSLQLRQRIWKHFRXUWLQZKLFK +22' ' s MRLQHG 52*(56 s MRLQHG LQ DOO RI s %$5%$5$ +$%,&+ ; 0225(jVRSLQLRQH[FHSWIRRWQRWH 3ODLQWLII$SSHOODQW BBBBBBBBBBBBBBBBB 1R 23,1,21 Y ! BBBBBBBBBBBBBBBBB &,7< 2) '($5%251 s2+1 .$5(1 1(/621 0225( &LUFXLW sXGJH 7KH &$6&$5'2 DQGs2+1 1$*< SURFHHGLQJVWKDWOHGWRWKLVDSSHDOKDYHLQYROYHGWKUHHLVVXHV 'HIHQGDQWV$SSHOOHHV ,QIHGHUDOFRXUWSODLQWLII%DUEDUD+DELFKDOOHJHGWKDWLQRQH LQFLGHQWWKH&LW\RI'HDUERUQKDGYLRODWHGKHUULJKWWRWKH 1 HTXDO SURWHFWLRQ RI WKH ODZV E\ UHIXVLQJ WR VHOO D SLHFH RI $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW SURSHUW\ WR KHU LQ WKH VDPH PDQQHU WKDW LW KDG KDQGOHG IRUWKH(DVWHUQ'LVWULFWRI0LFKLJDQDW'HWURLW SUHYLRXV VDOHV WR KHU QHLJKERUV +DELFK DOVR DOOHJHG LQ 1RnsRKQ)HLNHQV'LVWULFWsXGJH IHGHUDOFRXUWWKDWLQDQRWKHULQFLGHQWWKH&LW\KDGYLRODWHGKHU ULJKW WR GXH SURFHVV ZKHQ LW SDGORFNHG KHU KRPH ZLWKRXW $UJXHG 0D\ JUDQWLQJKHUDKHDULQJ6HSDUDWHO\LQDVWDWHDGPLQLVWUDWLYH SURFHHGLQJ ORFDO EXLOGLQJ RIILFLDOV DUJXHG WKDW +DELFKjV 'HFLGHGDQG)LOHG sXQH SURSHUW\ZDVGXHIRUDQLQVSHFWLRQ7KHGLVWULFWFRXUWVWD\HG nDQGWKHQVXDVSRQWHGLVPLVVHGnSURFHHGLQJVRQWKHILUVW %HIRUH 0225(DQG52*(56&LUFXLWsXGJHV +22' WZRLVVXHVRQWKHWKHRU\WKDWWKHLVVXHVUDLVHGLQ+DELFKjV 'LVWULFWsXGJH DFWLRQEHORQJHGLQWKHVWDWHSURFHHGLQJV%HFDXVHWKH GLVWULFWFRXUWjVDFWLRQVGHQLHG+DELFKKHUSUHIHUUHGIHGHUDO BBBBBBBBBBBBBBBBB IRUXPIRUKHU VXLWDQGDUHXQVXSSRUWHGE\WUDGLWLRQDO DEVWHQWLRQ SULQFLSOHV ZH 5(9(56( WKH GLVWULFW FRXUWjV &2816(/ GHFLVLRQVWRDEVWDLQDQGWRGLVPLVV+DELFKjVVXLW:HDOVR 5(9(56( WKH GLVWULFW FRXUWjV GHFLVLRQ QRW WR DVVHUW $5*8(' (OL]DEHWK $ 'RZQH\ %LQJKDP )DUPV MXULVGLFWLRQRYHUWKHDWWRUQH\IHHVLVVXHDQGZH$)),50WKH 0LFKLJDQIRU$SSHOODQWsRKQ:7DQQHU,,,'($5%251 GHFLVLRQUHIXVLQJWRDVVHUWMXULVGLFWLRQRYHUWKHDSSHDOIURP &,7< /(*$/ '(3$570(17 'HDUERUQ 0LFKLJDQ IRU WKHVWDWHDGPLQLVWUDWLYHSURFHHGLQJ
7KH +RQRUDEOH sRVHSK 0 +RRG 8QLWHG 6WDWHV 'LVWULFW sXGJH IRU WKH (DVWHUQ 'LVWULFW RI .HQWXFN\ VLWWLQJ E\ GHVLJQDWLRQ
1R +DELFKY&LW\RI'HDUERUQHWDO +DELFKY&LW\RI'HDUERUQHWDO 1R
,%$&.*5281' UHQWHG WKH KRXVH WR D WHQDQW PHDQLQJ WKDW D FHUWLILFDWH RI RFFXSDQF\ ZDV UHTXLUHG WKH WHQDQW ZDV PRYLQJ RXW DQG sXVW DV WKLV FDVH LQYROYHV WKUHH OHJDO LVVXHV n +DELFKjV +DELFK LQWHQGHG WR PRYH EDFN LQ EHIRUH WKH &LW\ FRXOG HTXDOSURWHFWLRQFODLPKHUGXHSURFHVVFODLPDQGWKHFLW\jV LQVSHFWWKHKRXVH$OWKRXJKWKLVZDVQRWWKHSDUDGLJPDWLF GHVLUHWRLQVSHFWKHUKRPHnVRWRRLWDULVHVRXWRIWKUHHVHWV mHPHUJHQF\lWKDWZRXOGMXVWLI\DSDGORFNZLWKRXWDKHDULQJ RIIDFWV$OORIWKHIDFWVLQYROYH%DUEDUD+DELFKWKH&LW\RI WKH &LW\ IHDUHG WKH +DELFK GLG QRW LQWHQG WR SHUPLW DQ 'HDUERUQDQGWKHKRXVHWKDW+DELFKKDVRZQHGIRUVHYHUDO LQVSHFWLRQ7KHGLVWULFWFRXUWUHIHUULQJWRmSUHGHSULYDWLRQ GHFDGHV7KHILUVWVHWRIIDFWVLQYROYHVDYDFDQWSLHFHRIFLW\ ODZl WKDW UHTXLUHV D KHDULQJ EHIRUH D FLW\ PD\ WDNH GUDVWLF RZQHGSURSHUW\DGMRLQLQJ+DELFKjVKRXVH6HYHUDO\HDUVDJR PHDVXUHVLQVWUXFWHGWKH&LW\m7DNHWKHSDGORFNRIIDQGJLYH +DELFKDOOHJHVWKH&LW\VROGDVLPLODUILIWHHQIRRWZLGHORWWR KHU D KHDULQJ >,@I WKH KHDULQJ HVWDEOLVKHV WKDW LWjV +DELFKjVQHLJKERUZKRVHSURSHUW\DEXWWHGWKHRWKHUVLGHRI QHFHVVDU\WRnWRJHWLQWRWKDWKRXVHWRPDNHDQLQVSHFWLRQ WKHYDFDQWORWEXWWKHFLW\KDVVLQFHUHIXVHGWRVHOOWKHVWULS DQG,jPZLOOLQJWREHOLHYHWKDWLWLVIROORZWKRVHSURFHGXUHV DEXWWLQJ+DELFKjVSURSHUW\WRKHULQDVLPLODUIDVKLRQ7KH $WWKHHQG\RXjOOJHWZKDW\RXZDQWls$DW7KXV VHFRQGVHWRIIDFWVLQYROYHVWKH&LW\jVSDGORFNLQJRI+DELFKjV DOWKRXJKWKHFRXUWH[SOLFLWO\GHFOLQHGWRLVVXHDSUHOLPLQDU\ KRPHRQ6HSWHPEHU:LWKRXWQRWLFHRUDKHDULQJ LQMXQFWLRQLWGLGWHOOWKH&LW\WRWDNHWKHSDGORFNRIISHUPLW FLW\RIILFLDOVKDGSDGORFNHGWKHGRRUVWR+DELFKjVKRPHDQG +DELFKWRHQWHUWKHGZHOOLQJDQGKROGDKHDULQJRQZKHWKHU SRVWHGQRWLFHVVD\LQJWKDWWKHKRPHFRXOGQRWEHRFFXSLHG DQLQVSHFWLRQIRUWKHFHUWLILFDWHRIRFFXSDQF\ZDVZDUUDQWHG ZLWKRXWDFHUWLILFDWHRIRFFXSDQF\)LQDOO\WKHWKLUGVHWRI IDFWVFDPHDIWHUWKHSDGORFNVZHUHXOWLPDWHO\UHPRYHGDVWKH +HDULQJVEHIRUHWKH%XLOGLQJ%RDUGRI$SSHDOV m%%$l RQ &LW\VRXJKWWRLQVSHFW+DELFKj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jVUHIXVDOWRVHOOKHUWKHYDFDQWORWZKLOH UHYLHZ WKH %%$jV GHFLVLRQ DQG VKH VD\V WKDW RXW RI DQ VHOOLQJ D VLPLODU ORW WR KHU QHLJKERU YLRODWHG WKH (TXDO DEXQGDQFHRIFDXWLRQVKHDOVRILOHGDQDSSHDOIURPWKH%%$ 3URWHFWLRQ&ODXVHRIWKH)RXUWHHQWK$PHQGPHQW6HFRQGVKH GHFLVLRQ WR WKH :D\QH &RXQW\ &LUFXLW &RXUW +DELFK DUJXHG WKDW WKH &LW\jV SDGORFNLQJ RI KHU KRPH ZLWKRXW DGGLWLRQDOO\ILOHGLQWKHGLVWULFWFRXUWDPRWLRQIRUDWWRUQH\ ZDUQLQJ YLRODWHG KHU ULJKWV XQGHU WKH )RXUWK )LIWK DQG IHHVXQGHU86& SUHVXPDEO\RQWKHWKHRU\WKDW )RXUWHHQWK$PHQGPHQWV KHUPRWLRQIRUDSUHOLPLQDU\LQMXQFWLRQKDGEHHQWKHFDWDO\VW WKDWEDVHGRQWKHGLVWULFWFRXUWjVLQVWUXFWLRQIRUFHGWKH&LW\ +DELFK DOVR ILOHG D PRWLRQ IRU D SUHOLPLQDU\ LQMXQFWLRQ WRUHPRYHWKHSDGORFNVIURPKHUKRPH VHHNLQJ WR KDYH WKH SDGORFNV UHPRYHG VR WKDW VKH FRXOG DFFHVVKHUKRPH7KHGLVWULFWFRXUWKHOGDKHDULQJRQWKLV 7KHGLVWULFWFRXUWKHOGDKHDULQJRQ1RYHPEHU RQ PRWLRQ RQ 6HSWHPEHU $W WKH KHDULQJ WKH &LW\ +DELFKjVSHWLWLRQWRUHYLHZWKH%%$GHFLVLRQDQGKHUPRWLRQ LQGLFDWHGWKDWLWKDGSDGORFNHGWKHGRRUVZLWKRXWKROGLQJD IRU DWWRUQH\ IHHV $V WKH WUDQVFULSW RI WKLV KHDULQJ LV RXU KHDULQJEHFDXVHDVLWXQGHUVWRRGWKHIDFWV+DELFKKDGLQIDFW SULPDU\UHFRUGRIWKHGLVWULFWFRXUWjVKDQGOLQJRIWKHFDVHZH 1R +DELFKY&LW\RI'HDUERUQHWDO +DELFKY&LW\RI'HDUERUQHWDO 1R
VKDOOVXPPDUL]HWKHWUDQVFULSWLQGHWDLO2QWKHSHWLWLRQWR GHFLVLRQJUDQWLQJDQLQVSHFWLRQKDGDOVREHHQILOHGLQWKHVWDWH UHYLHZ WKH %%$ GHFLVLRQ WKH GLVWULFW FRXUW LQGLFDWHG WKDW FRXUWVWKHGLVWULFWFRXUWDVNHGmZK\QRWJRWKHUHDQGDUJXH WKHUHZDVQREDVLVIRUWKHGLVWULFWFRXUWWRDVVHUWMXULVGLFWLRQ WR \RXU KHDUW>j@V FRQWHQW DERXW WKLQJV WKDW UHDOO\ DUH RYHUDQDSSHDOIURPWKH%%$m><@RXFDPHKHUHRULJLQDOO\ XQGHUO\LQJWKLVLVVXH DQGWKDWLV'HDUERUQjVGHVLUHWRKDYH RQ DQ LVVXH WKDW KDV QRZ EHHQ UHVROYHGl WKH FRXUW WROG \RXUFOLHQWjVSURSHUW\"ls$DW7KHFRXUWWKHQH[SUHVVHG +DELFKjVFRXQVHOmDQGWKDWLVWRVD\ZLWKRXWDKHDULQJ\RXU LWVYLHZWKDWWKHFDVHVKRXOGQRWEHLQWZRFRXUWVDQGWKDWLW FOLHQWjVKRXVHZDVSDGORFNHGEXWWKDWZDVUHVROYHGls$DW ZRXOGmWKLQNDERXWDEVWHQWLRQlDQGOHW+DELFKSURFHHGRQKHU 7KHFRXUWWKHQDVNHGKRZHYHUVLQFHWKHSDGORFNVKDG IHGHUDOFODLPVLQVWDWHFRXUWs$DW EHHQUHPRYHGKRZWKHFRXUWFRXOGmWDNHSHQGHQWMXULVGLFWLRQ RYHUDPDWWHUWKDWUHDOO\LVQRWIHGHUDODQ\ORQJHULQQDWXUH"l 7KH GLVWULFW FRXUW WKHQ GHFLGHG WR DEVWDLQ IURP KHDULQJ s$DW+DELFKjVFRXQVHODJUHHGWKDWWKHLVVXHVUDLVHGLQ +DELFKjV VXLW &LWLQJ &DUUROO Y &LW\ RI 0RXQW WKH SUHOLPLQDU\ LQMXQFWLRQ KDG JRQH DZD\ EXW FRXQVHO &OHPHQV )G WK &LU DQG UHIHUULQJ WR UHPLQGHGWKHFRXUWWKDWWKHFRPSODLQWKDGUDLVHGWZRIHGHUDO <RXQJHUDEVWHQWLRQWKHFRXUWWROG+DELFKWKDWmWKHUHOLHIWKDW LVVXHV \RX VHHN \RX FRXOG REWDLQ LQ WKH VWDWH FRXUWl s$ DW )XUWKHU EHFDXVH WKH VWDWH FRXUW FRXOG DOVR KHDU DQ\ )LUVWRIDOOLWVRXJKWDQ\GDPDJHVZKHWKHUQRUPDORU FRQVWLWXWLRQDO LVVXHV WKDW +DELFK UDLVHG DQG +DELFK FRXOG RWKHUZLVHIRUORFNLQJKHURXWRIKHUKRXVHZLWKRXWDQ\ DPHQGKHUFRPSODLQWWREULQJVXFKFODLPVLQVWDWHFRXUWWKH QRWLFHRUDKHDULQJRUDQ\SURFHVVRIDQ\VRUW GLVWULFW FRXUW VDLG WKDW UHV MXGLFDWD ZRXOG EDU KHU IURP 6HFRQGO\ZHDOVRLQFOXGHGKHUHTXDOSURWHFWLRQFODLP UHWXUQLQJWRIHGHUDOFRXUW7KHFRXUWWKXVGLUHFWHGWKH&LW\jV EHFDXVHLWjVRXUFRQWHQWLRQWKDWWKHUHDVRQWKDWWKLVDFWLRQ FRXQVHOWRGUDIWDQRUGHUDEVWDLQLQJEDVHGRQ<RXQJHUDQG LV EHLQJ WDNHQ DJDLQVW KHU LV WKDW WKH &LW\ LV WU\LQJ WR VWD\LQJ WKH SURFHHGLQJV SHQGLQJ WKH RXWFRPH RI WKH VWDWH DFTXLUHKHUSURSHUW\DJDLQVWKHUZLVKHVDQGLVQRWWUHDWLQJ DFWLRQ7KHFRXUWDOVRVWD\HG+DELFKjVPRWLRQIRUDWWRUQH\ KHUHTXDOO\WRKHUQHLJKERU IHHV VD\LQJ WKDW WKH PDWWHU ZRXOG EHVW EH OHIW WR WKH VWDWH FRXUWWKDWXOWLPDWHO\UHVROYHGWKHFDVHDQGWKDWWKHSDUWLHV s$DW7KHFRXUWUHSOLHGKRZHYHUWKDWHYHQLIWKDWZHUH FRXOGWHOOWKHVWDWHFRXUWWKDWWKHIHGHUDOFRXUWmGLGQjWGHFLGH WUXHmWKDWjVDVWDWHLVVXHQRWDIHGHUDOLVVXHlDQGKHUVXLW DQ\RIWKHVHLVVXHVWKDWZHUHSUHVHQWHG KHUHLQFOXGLQJWKH VKRXOGSURFHHGLQVWDWHFRXUWs$DW UHTXHVWIRUDWWRUQH\IHHVls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mD SHWLWLRQ IRU UHYLHZ RI WKH KHDULQJ UHVXOWl s$ DW 7KH &LW\jV DWWRUQH\ FRQFXUUHG QRWLQJ WKDW
s$ DW &RXQVHO WKHQ VXJJHVWHG WKDW DOWKRXJK WKH mSURFHGXUDOO\ VKHjOO KDYH WR ILOH D FRPSODLQW PRYH WR FRQVROLGDWH
FHUWLILFDWH RI RFFXSDQF\ LVVXH UHODWHG WR WKH PRWLRQ IRU EHFDXVH ZKDW VKH KDV LV D FODLP RI DSSHDO $ FODLP RI DSSHDO LV QRW >D@
SUHOLPLQDU\ LQMXQFWLRQ WKH FRPSODLQW LQFOXGHG DQ HTXDO VHSDUDWH FODLP LQ LWVHOIl s$ DW 7KH GLVWULFW FRXUW H[SUHVVHG WKH YLHZ WKDW UHJDUGOHVV QRWKLQJ SUHYHQWHG KHU mIURP DUUDQJLQJ WKH FDVH LQ SURWHFWLRQFODLP1RWLQJWKDW+DELFKjVDSSHDORIWKH%%$ OLJKW RI >KHU@ REVHUYDWLRQ QRZ WKDW >VKH@ GLGQjW DVN IRU DOO RI WKH UHOLHI WKHUH WKDW >VKH@ PLJKW KDYH DVNHG IRUl s$ DW 1R +DELFKY&LW\RI'HDUERUQHWDO +DELFKY&LW\RI'HDUERUQHWDO 1R
$IWHU DFFHSWLQJ WKH DSSHDO IURP WKH %%$ WKH :D\QH )G WK &LU UHYLHZLQJ %XUIRUG &RXQW\&LUFXLW&RXUWUHYHUVHGWKH%%$jVGHFLVLRQSHUPLWWLQJ DEVWHQWLRQ WKHLQVSHFWLRQDQGRUGHUHGWKH&LW\WRSD\+DELFKjVDWWRUQH\ IHHVLQWKHDPRXQWRI7KH&LW\DSSHDOHGWRWKH $OWKRXJK WKH <RXQJHU DQG %XUIRUG DEVWHQWLRQ GRFWULQHV 0LFKLJDQ &RXUW RI $SSHDOV DUJXLQJ WKDW EHFDXVH WKH VWDWH UHTXLUH GLIIHUHQW DQDO\VHV ERWK DUH LQDSSOLFDEOH KHUH IRU DFWLRQLQYROYHGRQO\DQLVVXHRIDVWDWHKRXVLQJLQVSHFWLRQ HVVHQWLDOO\ WKH VDPH UHDVRQ 6LPSO\ SXW WKH VWDWH FRXUW DQGZDVLQQRZD\EDVHGRQ QRDWWRUQH\IHHVZHUH SURFHHGLQJV LQYROYHG IDFWXDO DQG OHJDO LVVXHV WKDW KDG QR SHUPLWWHGXQGHU UHOHYDQFHWR+DELFKjVIHGHUDOVXLW+DELFKjV DFWLRQ IRFXVHGHQWLUHO\RQHYHQWVWKDWRFFXUUHGXSWRDQGLQFOXGLQJ )HDULQJWKDWKHUYLFWRU\LQVWDWHFRXUWZRXOGSURYHLOOXVRU\ WKH &LW\jV SDGORFNLQJ RI +DELFKjV KRXVH VSHFLILFDOO\ WKH LIDIWHUVKHZDVRUGHUHGWREULQJKHUFDVHWRVWDWHFRXUWWKH HDUOLHU UHIXVDO WR VHOO DGMDFHQW SURSHUW\ WR KHU DQG WKH VWDWHFRXUWIRXQG LWVHOIZLWKRXWMXULVGLFWLRQ+DELFKILOHGD SDGORFNLQJZLWKRXWQRWLFHRUDKHDULQJ7KHLVVXHVLQYROYHG PRWLRQLQIHGHUDOFRXUWVHHNLQJWRKROGWKH&LW\LQFRQWHPSW LQ WKLV DFWLRQ ZHUH HQWLUHO\ IHGHUDO UHTXLULQJ WKH FRXUW WR 'HFLGLQJWKDWPRWLRQZLWKRXWRUDODUJXPHQWWKHGLVWULFWFRXUW GHWHUPLQH ZKHWKHU WKH &LW\ KDG YLRODWHG +DELFKjV HTXDO LVVXHGDEULHIRUGHUVWDWLQJWKDWLWKDGmVSHFLILFDOO\GHFOLQHGWR SURWHFWLRQ DQG GXH SURFHVV ULJKWV ,Q FRQWUDVW WKH WDNH MXULVGLFWLRQ RI WKH DSSHDO DQG RUGHUHG WKDW SODLQWLIIjV SURFHHGLQJVLQWKHVWDWHFRXUWIRFXVHGRQKRZWKH&LW\FRXOG PRWLRQIRUDWWRUQH\IHHVVKRXOGEHUHVROYHGLQ:D\QH&RXQW\ SURFHHGDIWHUWKHSDGORFNVKDGEHHQUHPRYHG7KHVHZHUH &LUFXLW&RXUWls$DW 2UGHU 7KHQZLWKRXW HQWLUHO\VWDWHLVVXHV KDGDODQGORUGWHQDQWUHODWLRQVKLSEHHQ IXUWKHU H[SODQDWLRQ WKH GLVWULFW FRXUW VWDWHG m>7@KH FDVH IRUPHGZDVDFHUWLILFDWHRIRFFXSDQF\UHTXLUHGDQGFRXOGDQ EHIRUHPHLVGLVPLVVHGls$DW7KHGLVWULFWFRXUWGHQLHG LQVSHFWLRQEHSHUIRUPHG$VWKHIHGHUDOVXLWZRXOGLQQRZD\ +DELFKjVPRWLRQIRUUHFRQVLGHUDWLRQVWDWLQJm:KDWQHLWKHU LQWHUIHUHZLWKWKHVWDWHSURFHHGLQJVWKHUHZDVQREDVLVIRU WKH SODLQWLII QRU KHU FRXQVHO LV ZLOOLQJ WR DFFHSW RU WR DEVWHQWLRQ:HDGGUHVVWKHWZRDEVWHQWLRQGRFWULQHVLQWXUQ XQGHUVWDQGLVWKDWWKLVQRZLVDPDWWHUSHQGLQJLQWKHVWDWH MXGLFLDOV\VWHPls$DW+DELFKWLPHO\DSSHDOHGDQGZH $<RXQJHU$EVWHQWLRQ KDYHMXULVGLFWLRQSXUVXDQWWR86& $EVWHQWLRQXQGHU<RXQJHUY+DUULV86 ,,$%67(17,21 PD\ RFFXU ZKHQ WKUHH FULWHULD DUH PHW WKHUH DUH VWDWH SURFHHGLQJV WKDW DUH FXUUHQWO\ SHQGLQJ LQYROYH DQ $OWKRXJKWKHGLVWULFWFRXUWDSSHDUHGWREDVHLWVDEVWHQWLRQ LPSRUWDQW VWDWH LQWHUHVW DQG ZLOO SURYLGH WKH IHGHUDO GHFLVLRQVROHO\RQWKH<RXQJHUGRFWULQHFRXQVHOIRUWKH&LW\ DOVRLQGLFDWHGDWRUDODUJXPHQWWKDW%XUIRUGDEVWHQWLRQFRXOG DOVRVXSSO\WKHGLVWULFWFRXUWjVDFWLRQVVRZHDGGUHVVERWK GRFWULQHVKHUH:HUHYLHZGHQRYRDGLVWULFWFRXUWj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
SODLQWLII ZLWK DQ DGHTXDWH RSSRUWXQLW\ WR UDLVH KLV RU KHU SDGORFNLQJ ZLWKRXW D KHDULQJ KDG YLRODWHG +DELFKjV GXH FRQVWLWXWLRQDOFODLPV+D\VHY:HWKLQJWRQ)G SURFHVVULJKWVDQGZKHWKHUWKH&LW\jVHDUOLHUUHIXVDOWRVHOO WK&LU 7KHNH\TXHVWLRQKHUHLVZKHWKHUWKHVWDWH KHUWKHILIWHHQIRRWZLGHORWKDGYLRODWHGKHUULJKWWRHTXDO SURFHHGLQJ ZRXOG DIIRUG 0UV +DELFK DQ DGHTXDWH SURWHFWLRQZHUHLUUHOHYDQWWRWKHFDVHEHIRUHWKH%%$ RSSRUWXQLW\WRUDLVHKHUFRQVWLWXWLRQDOFODLPV%HFDXVHWKH VWDWHSURFHHGLQJLQYROYHGRQO\WKHFROODWHUDOLVVXHRIZKHWKHU 7KHIHGHUDOFRQVWLWXWLRQDOFODLPVWKDW+DELFKEURXJKWLQKHU +DELFK ZDV UHQWLQJ KHU SURSHUW\ WR D WHQDQW DQG WKXV WKH VXLWZHUHWKXVmFROODWHUDOlWRWKHVWDWHSURFHHGLQJV SURVSHFWLYHLVVXHRIZKHWKHUWKH&LW\FRXOGLQVSHFWWKHKRXVH 7KDWLVWKHLVVXHVLQ+DELFKj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jVRFFXSDQF\UXOHVWKDWSHUPLWWKH&LW\WRLQVSHFWUHQWDO GHWHQWLRQ ZLWKRXW D KHDULQJ %HFDXVH WKH OHJDOLW\ RI WKH SURSHUWLHV+DELFKKDGUHQWHGRXWKHUKRPH7KDWLVDOWKRXJK SUHWULDO GHWHQWLRQ mFRXOG QRW EH UDLVHG LQ GHIHQVH RI WKH DOO DJUHHG WKDW DQRWKHU SHUVRQ KDG OLYHG WKHUH LQ +DELFKjV FULPLQDO SURVHFXWLRQl WKH &RXUW UXOHG WKDW <RXQJHU DEVHQFHDQGKDGSDLG+DELFKVRPHDPRXQWRIPRQH\+DELFK DEVWHQWLRQGLGQRWDSSO\,G:HKDYHDSSOLHGWKLVUXOHLQD FRQWHQGHGWKDWWKLVZDVQRWDODQGORUGWHQDQWUHODWLRQVKLSEXW QXPEHURIFRQWH[WVDQGZHKDYHLQGLFDWHGWKDWm>W@KHFULWLFDO DQDUUDQJHPHQWLQZKLFKVKHKDGKHOSHGRXWDIULHQGLQQHHG TXHVWLRQVlLQFOXGHmZKHWKHUWKHLVVXHUDLVHGLVFROODWHUDOWR ,I+DELFKZHUHFRUUHFWWKDWWKHUHKDGEHHQQRODQGORUGWHQDQW WKHSULQFLSDOVWDWHSURFHHGLQJl3DUNHUY7XUQHU)G UHODWLRQVKLS WKHQ WKH &LW\ ZRXOG KDYH QR ULJKW WR LQVSHFW WK &LU RU IUDPHG D GLIIHUHQW ZD\ ZKHWKHU WKH EHFDXVH WKHUH ZRXOG KDYH EHHQ QR FKDQJH LQ RFFXSDQF\ IHGHUDOSODLQWLIIVKDYHDQmRSSRUWXQLW\WRUDLVHWKHLUFODLPLQ $FFRUGLQJO\ WHVWLPRQ\ EHIRUH WKH %%$ IRFXVHG RQ WKH WKHVWDWHSURFHHGLQJVls3Y'H6DQWL)G DOOHJHG WHQDQW DQG KHU XQGHUVWDQGLQJ ZLWK +DELFK 7KH WK&LU LQFLGHQWV OHDGLQJ XS WR DQG LQFOXGLQJ WKH SDGORFNLQJ ZHUH GLVFXVVHGDWYDULRXVSRLQWVDVEDFNJURXQGDQGWRH[SODLQWR &RQWUDU\ WR WKH GLVWULFW FRXUWjV VXJJHVWLRQ ZKHWKHU WKH WKH%%$WKHODZVXLWJRLQJRQLQWKHIHGHUDOGLVWULFWFRXUWEXW IHGHUDO SODLQWLII KDV DQ mRSSRUWXQLW\l WR KDYH WKH LVVXH WKH %%$ SURFHHGLQJV WKHPVHOYHV ZHUH SURVSHFWLYH WR DGGUHVVHGLQVWDWHFRXUWIRU<RXQJHUSXUSRVHVGRHVQRWWXUQRQ GHWHUPLQH ZKHWKHU n QRZ WKDW WKH SDGORFNV KDG EHHQ ZKHWKHUWKHSODLQWLIIFRXOGILOHDQHZFRPSODLQWLQVWDWHFRXUW UHPRYHGnWKH&LW\FRXOGLQVSHFWWKHKRXVH%RWK+DELFK WKDWDOOHJHGKHUIHGHUDOFODLPV6XFKDUXOHZRXOGQRWRQO\ DQG WKH &LW\ DJUHHG WKDW WKH SDGORFNLQJ LQFLGHQW ZDV QRW H[WHQG <RXQJHU DEVWHQWLRQ IDU EH\RQG LWV SXUSRVH RI EHIRUH WKH %%$ s$ DW 7KXV ZKHWKHU WKH SUHYHQWLQJmIHGHUDOLQWHUYHQWLRQLQVWDWHMXGLFLDOSURFHVVHVl 0RRUHY6LPV86 EXWLWZRXOGEH FRQWUDU\WR*HUVWHLQDQGLWVSURJHQ\:HDUHDZDUHRIQRFDVH LQ ZKLFK D IHGHUDO SODLQWLII LV GHHPHG WR KDYH WKH $ ERDUG PHPEHU DQG WKH SDUWLHV PDGH WKLV H[SOLFLW 7KH %%$ mRSSRUWXQLW\lWRKDYHKLVRUKHUIHGHUDOFODLPKHDUGLQDVWDWH PHPEHU DVNHG m:H MXVW KDYH WR GHWHUPLQH ZKHWKHU WKH FLW\ VKRXOG KDYH WKH ULJKW WR LQVSHFW RU QRW"l DQG +DELFKjV FRXQVHO UHSOLHG m, GR QRW SURFHHGLQJVROHO\EHFDXVHWKHSODLQWLIIFRXOGKDYHDPHQGHG EHOLHYH LWjV SURSHU DW WKLV WLPH IRU WKH FLW\ WR DXWKRUL]H WKH EXLOGLQJ DQH[LVWLQJFRPSODLQWRUILOHGDQHZFRPSODLQWLQVWDWHFRXUW GHSDUWPHQW WR SDGORFN WKLV ZRPDQ RXW RI KHU KRXVHl 7KH &LW\jV ODZ\HU ,IWKDWZHUHWKHUXOH<RXQJHUDEVWHQWLRQZRXOGDOPRVWDOZD\V DJUHHG VD\LQJ m7KDW LVVXH LV QRW EHIRUH WKH ERDUGl s$ DW 1R +DELFKY&LW\RI'HDUERUQHWDO +DELFKY&LW\RI'HDUERUQHWDO 1R
EHDSSURSULDWHEHFDXVHWKHUHDUHIHZVLWXDWLRQVLQZKLFKD RZQWRDFFHSWLQVWHDGDVWDWHFRXUWjVGHWHUPLQDWLRQRIWKRVH IHGHUDOSODLQWLIIZRXOGQRWEHDEOHWRILOHWKHIHGHUDOVXLWLQ FODLPVl VWDWHFRXUW,Q)O\QWY/HLV)G WK&LU UHYjGRQRWKHUJURXQGV 86 IRUH[DPSOH %%XUIRUG$EVWHQWLRQ WKHIHGHUDOFRXUWUHIXVHGWRDEVWDLQZKHQODZ\HUVZKRZHUH GHQLHGDKHDULQJRQWKHLUSURKDFYLFHPRWLRQVRXJKWWRHQMRLQ 7KH&LW\DOVRVXJJHVWHGDWRUDODUJXPHQWWKDWDEVWHQWLRQ DVWDWHFULPLQDOWULDOIURPSURFHHGLQJXQWLOWKHVWDWHJUDQWHG PD\KDYHEHHQDSSURSULDWHXQGHUWKHGRFWULQHRI%XUIRUGY WKHPVXFKDKHDULQJEHFDXVHWKHDWWRUQH\VZHUHmXQDEOHl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mGLIILFXOW DSSDUHQWO\ XQPRYHG WKDW VXFK D SRVVLELOLW\ SURYLGHG D TXHVWLRQV RI VWDWH ODZ EHDULQJ RQ SROLF\ SUREOHPV RI VXIILFLHQW RSSRUWXQLW\ 8QOHVV WKH LVVXH LQ WKH SODLQWLIIjV VXEVWDQWLDOSXEOLFLPSRUWZKRVHLPSRUWDQFHWUDQVFHQGV IHGHUDOVXLWZRXOGEHUHVROYHGE\WKHFDVHLQFKLHIRUDVDQ WKH UHVXOW LQ WKH FDVH WKHQ DW EDUl RU ZKHUH WKH DIILUPDWLYHGHIHQVHWRWKHVWDWHFRXUWSURFHHGLQJVWKDWH[LVW mH[HUFLVHRIIHGHUDOUHYLHZRIWKHTXHVWLRQLQDFDVHDQG LWFDQQRWEHVDLGWKDWWKHVWDWHSURFHHGLQJVDIIRUGWKHIHGHUDO LQVLPLODUFDVHVZRXOGEHGLVUXSWLYHRIVWDWHHIIRUWVWR SODLQWLII DQ DGHTXDWH RSSRUWXQLW\ WR KDYH KLV RU KHU FODLP HVWDEOLVK D FRKHUHQW SROLF\ ZLWK UHVSHFW WR D PDWWHU RI KHDUGIRU<RXQJHUSXUSRVHV VXEVWDQWLDOSXEOLFFRQFHUQl
+HUHWKH&LW\DSSHDUVWRKDYHFRQFHGHGWKDW+DELFKjVGXH 1HZ2UOHDQV3XEOLF6HUY,QFY&RXQFLORI1HZ2UOHDQV SURFHVVDQGHTXDOSURWHFWLRQFODLPVZRXOGQRWKDYHDULVHQLQ 86 m1236,l TXRWLQJ &RORUDGR WKHVWDWHSURFHHGLQJVDVWKRVHSURFHHGLQJVH[LVWHG,QGHHG 5LYHU:DWHU&RQVHUYDWLRQ'LVW Y8QLWHG6WDWHV86 +DELFKFRXOGQRWHYHQKDYHEURXJKWKHUIHGHUDOFODLPVLQWKH $SSO\LQJWKLVVWDQGDUGZHILQG%XUIRUG VWDWH SURFHHGLQJV E\ DPHQGLQJ KHU FRPSODLQW EHFDXVH VKH DEVWHQWLRQ XQDYDLODEOH IRU D QXPEHU RI UHDVRQV 0RVW KDG QHYHU ILOHG D VWDWH FRPSODLQW 5DWKHU DV WKH &LW\ REYLRXVO\ DFWLQJ RQ +DELFKjV HTXDO SURWHFWLRQ DQG GXH VXJJHVWHGLQWKHGLVWULFWFRXUWKHDULQJVKHZRXOGKDYHKDGWR SURFHVV FODLPV ZRXOG LQ QR ZD\ mLQWHUIHUH ZLWK WKH ILOHDFRPSODLQWDQGWKHQPRYHWRFRQVROLGDWHWKDWQHZFDVH SURFHHGLQJVRURUGHUVRIVWDWHDGPLQLVWUDWLYHDJHQFLHVl,G ZLWK KHU DOUHDG\ILOHG SHWLWLRQ IRU UHYLHZ RI WKH %%$ $V GLVFXVVHG DERYH WKH VWDWH DJHQF\ SURFHHGLQJV ZHUH WR GHFLVLRQ%HFDXVHWKLVGRHVQRWSURYLGHWKHmRSSRUWXQLW\lIRU GHWHUPLQH ZKHWKHU VWDWH ODZ UHTXLUHG DQ LQVSHFWLRQ DQG UHYLHZ WKDW <RXQJHU UHTXLUHV <RXQJHU DEVWHQWLRQ ZDV FHUWLILFDWHRIRFFXSDQF\ +DELFKjV VXLWIRFXVHGRQWKH LQDSSURSULDWH 6HH DOVR (QJODQG Y /RXLVLDQD 6WDWH %G RI &LW\jVHDUOLHUUHIXVDOWRVHOOQHDUE\SURSHUW\ZKLFKKDGQR 0HG ([DPjUV 86 UHFRJQL]LQJ WKH UHODWLRQVKLS WR WKH VWDWH SURFHHGLQJV DQG RQ WKH &LW\jV mIXQGDPHQWDOREMHFWLRQVWRDQ\FRQFOXVLRQWKDWDOLWLJDQWZKR SUHYLRXVSDGORFNLQJRI+DELFKjVKRPHZLWKRXWQRWLFHDQGD KDV SURSHUO\ LQYRNHG WKH MXULVGLFWLRQ RI D )HGHUDO 'LVWULFW KHDULQJ2QWKHODWWHULVVXHDIHGHUDOFRXUWjVGHWHUPLQDWLRQ &RXUW WR FRQVLGHU IHGHUDO FRQVWLWXWLRQDO FODLPV FDQ EH WKDW +DELFK ZDV RU ZDV QRW HQWLWOHG WR D SUHGHSULYDWLRQ FRPSHOOHGZLWKRXWKLVFRQVHQWDQGWKURXJKQRIDXOWRIKLV KHDULQJ FRXOG LQ QR ZD\ LQWHUIHUH ZLWK D VWDWH DJHQF\jV GHWHUPLQDWLRQIROORZLQJDKHDULQJWKDW+DELFKKDGDFWHGDV DODQGORUG 1R +DELFKY&LW\RI'HDUERUQHWDO +DELFKY&LW\RI'HDUERUQHWDO 1R
<HWHYHQLIWKLVWKUHVKROGLVVXHKDGEHHQPHWQHLWKHUEDVLV ZKLFK FRXOG WULJJHU %XUIRUGjV VHFRQG SURQJ 1236, IRU%XUIRUGDEVWHQWLRQZRXOGEHPHWKHUH)LUVW+DELFKjV 86DW1RWKLQJLQ+DELFKjVIHGHUDOVXLWZRXOGGLVUXSW VXLW LQYROYHV QR VWDWH ODZ LVVXH DW DOO OHW DORQH D WKHVWDWHjVHIIRUWVWRFUHDWHDXQLIRUPSROLF\JRYHUQLQJIRU mGLIILFXOWTXHVWLRQ>@RIVWDWHODZEHDULQJRQSROLF\SUREOHPV H[DPSOHODQGORUGWHQDQWUHODWLRQV6HH5RXVH)GDW RIVXEVWDQWLDOSXEOLFLPSRUWZKRVHLPSRUWDQFHWUDQVFHQGVWKH UHMHFWLQJ %XUIRUG ZKHQ WKHUH ZDV QRW mDQ\ EDVLV IRU UHVXOW LQ WKH FDVH WKHQ DW EDUl 1236, 86 DW FRQFOXGLQJ WKDW IHGHUDO UHYLHZ RI WKLV PDWWHU ZRXOG EH +DELFKjV HTXDO SURWHFWLRQ FODLP ZLOO HYDOXDWH ZKHWKHU WKH GLVUXSWLYHRI0LFKLJDQjVGRPHVWLFUHODWLRQVSROLFLHVl 7KLV &LW\YLRODWHGWKH)RXUWHHQWK$PHQGPHQWE\UHIXVLQJWRVHOO FDVHLVIDUGLIIHUHQWIURP%XUIRUGZKLFKLQYROYHGDIHGHUDO +DELFKFHUWDLQSURSHUW\LQDPDQQHUWKDWLWXVHGIRUVLPLODUO\ SODLQWLIIjV DWWHPSW WR HQMRLQ WKH H[HFXWLRQ RI DQ RUGHU VLWXDWHGUHVLGHQWV/LNHZLVH+DELFKjVGXHSURFHVVFODLPZLOO UHJDUGLQJ WKH GULOOLQJ RI FHUWDLQ ZHOOV LQ D KHDYLO\VWDWH GHWHUPLQHZKHWKHU+DELFKUHFHLYHGWKHSURFHVVVKHZDVGXH UHJXODWHGRLOILHOG6HH%XUIRUG 86DW 8QOLNH EHIRUH WKH &LW\ SDGORFNHG KHU KRPH 1HLWKHU LQYROYHV D WKDWFDVHZKHUHWKHIHGHUDOSURFHHGLQJVFRXOGFRQFHLYDEO\ mVWDWHODZFODLPQRUHYHQDQDVVHUWLRQWKDWWKHIHGHUDOFODLPV XQGHUPLQH DQ HQWLUH UHJXODWRU\ VFKHPH WKDW GHSHQGHG RQ DUHLQDQ\ZD\HQWDQJOHGLQDVNHLQRIVWDWHODZWKDWPXVWEH XQLIRUPLW\ VHH LG DW WKH SUHVHQW FDVH VLPSO\ DVNV XQWDQJOHGEHIRUHWKHIHGHUDOFDVHFDQSURFHHGl,G TXRWDWLRQ ZKHWKHU WKH &LW\ VKRXOG KDYH VROG D SDUWLFXODU SLHFH RI RPLWWHG :HKDYHUHMHFWHG%XUIRUGDEVWHQWLRQEDVHGRQWKLV SURSHUW\DQGZKHWKHUWKH&LW\VKRXOGKDYHJLYHQ+DELFKPRUH ILUVWSURQJLQVLPLODUFLUFXPVWDQFHV,Q*7(1RUWK,QFY SURFHVVEHIRUHLWSDGORFNHGKHUKRPH6HH1236, 86 6WUDQG )G WK&LU FHUWGHQLHG86 DW GHWHUPLQLQJ WKDW QR LQWUXVLRQ LQWR VWDWH DIIDLUV ZHUHDVRQHGWKDW%XUIRUGDEVWHQWLRQLVLQDSSOLFDEOHLQ MXVWLI\LQJ %XUIRUG DEVWHQWLRQ ZRXOG UHVXOW IURP DQ DmFDVHWKDWGRHVQRWFRQFHUQDGLVSXWHGLVVXHRIVWDWHODZEXW H[DPLQDWLRQ RI D VWDWHjV UHJXODWRU\ UDWH RUGHU EHFDXVH UDWKHUDSRWHQWLDOFRQIOLFWEHWZHHQVWDWHDQGIHGHUDOODZVl DOWKRXJK UHYLHZ mPD\ RI FRXUVH UHVXOW LQ DQ LQMXQFWLRQ ,GDW VHHDOVR&DXGLOO)GDW UHFRJQL]LQJWKDW DJDLQVWHQIRUFHPHQWRIWKHUDWHRUGHUWKHUHLVQRGRFWULQH ZKHQ mWKH RQO\ LVVXH SUHVHQWHG ZDV RQH RI IHGHUDO UHTXLULQJDEVWHQWLRQPHUHO\EHFDXVHUHVROXWLRQRIDIHGHUDO SUHHPSWLRQZKLFKRYHUULGHVDQ\VWDWHLQWHUHVWl%XUIRUGLV TXHVWLRQ PD\ UHVXOW LQ WKH RYHUWXUQLQJ RI D VWDWH SROLF\l QRWMXVWLILHG +HUHWKHFDVHDJDLQVW%XUIRUGLVHYHQVWURQJHU TXRWDWLRQRPLWWHG 7KHIHGHUDODFWLRQLQQRZD\LPSOLFDWHV WKHLVVXHLVQRWPHUHO\ZKHWKHUDVWDWHODZLVSUHHPSWHGE\ WKH VWDWHjV DELOLW\ WR HQIRUFH DQ LPSRUWDQW SROLF\ UDWKHU LW IHGHUDO VWDWXWH EXW ZKHWKHU D VWDWH DFWLRQ YLRODWHG PHUHO\FDOOVLQWRTXHVWLRQZKHWKHUSDUWLFXODULQVWDQFHVRIWKDW FRQVWLWXWLRQDO OLPLWV 7KXV WKHUH LV mQR IHDU RI IHGHUDO HQIRUFHPHQW YLRODWHG FRQVWLWXWLRQDO OLPLWV %XUIRUG GLVUXSWLRQRIVWDWHDGPLQLVWUDWLYHSURFHVVHVEHFDXVHWKH DEVWHQWLRQLVWKXVLQDSSURSULDWH IHGHUDO LQWHUHVW >L@V VXSHULRUl &DXGLOO )G DW 1HLWKHUWKH&LW\QRUWKHGLVWULFWFRXUWLGHQWLILHGDQ\GLIILFXOW +DYLQJIRXQGQREDVLVWKDWZRXOGMXVWLI\DEVWDLQLQJIURP TXHVWLRQ RI VWDWH ODZ WKDW ZRXOG QHHG WR EH UHVROYHG LQ +DELFKjVFDVHZHUHYHUVHWKHGLVWULFWFRXUWjVGHFLVLRQWRGR +DELFKjVIHGHUDOVXLW6HH5RXVH)GDW QRWLQJWKDW VR %XUIRUGmDSSOLHVRQO\LIDIHGHUDOFRXUWjVGHFLVLRQRQDVWDWH ODZLVVXHLVOLNHO\WRLQWHUIHUHlZLWKVWDWHSURFHHGLQJV 1RU GRHV WKLV FDVH TXDOLI\ DV RQH LQ ZKLFK mH[HUFLVH RI ,W LV DOVR ZRUWK QRWLQJ WKDW HYHQ ZKHQ DEVWHQWLRQ LV DSSURSULDWH D
IHGHUDOUHYLHZRIWKHTXHVWLRQLQDFDVHDQGLQVLPLODUFDVHV GLVWULFW FRXUW VKRXOG VWD\ QRW GLVPLVV WKH IHGHUDO VXLW 6HH HJ %ULQGOH\ Y 0F&XOOHQ )G WK &LU $OWKRXJK VWD\LQJ WKH VXLW ZRXOG EH GLVUXSWLYH RI VWDWH HIIRUWV WR HVWDEOLVK D FRKHUHQW LQVWHDG RI GLVPLVVLQJ LW ZLOO RIWHQ UHIOHFW DQ DEXQGDQFH RI FDXWLRQ OHDYLQJ SROLF\ZLWKUHVSHFWWRDPDWWHURIVXEVWDQWLDOSXEOLFFRQFHUQl WKH GLVWULFW FRXUW ZLWK mQRWKLQJ OHIW WR GR EXW FOHDU WKH FDVH QXPEHU RII RI LWV GRFNHW RQFH WKH VWDWH SURFHHGLQJV FRQFOXGHl VWD\LQJ WKH VXLW SURWHFWV 1R +DELFKY&LW\RI'HDUERUQHWDO +DELFKY&LW\RI'HDUERUQHWDO 1R
,,,5()(55$/2)7+($77251(<)((6 m7DNH WKH SDGORFN RIIl s$ DW $FFRUGLQJO\ LI WKH &/$,07267$7(&2857 &LW\jVUHPRYDORIWKHSDGORFNVZDVGRQHZLWKWKHQHFHVVDU\ MXGLFLDO LPSULPDWXU 86& FRXOG DXWKRUL]H :H DOVR UHYHUVH WKH GLVWULFW FRXUWjV GHFLVLRQ UHIHUULQJ DWWRUQH\ IHHV IRU WKH OHJDO IHHV LQFXUUHG LQ DFKLHYLQJ WKDW +DELFKjVUHTXHVWIRUDWWRUQH\IHHVWRVWDWHFRXUW+DELFKKDG UHOLHI7KHUHZDVQRUHDVRQWKDWVXFKDFODLPVKRXOGKDYH VRXJKWDWWRUQH\IHHVIRUWKHLQWHULPUHOLHIVKHKDGDFKLHYHG EHHQEURXJKWLQVWDWHFRXUWDQGWKHGLVWULFWFRXUWVKRXOGUXOH ZKHQ WKH GLVWULFW FRXUW LQVWUXFWHG WKH &LW\ WR UHPRYH WKH RQ KHU PRWLRQ IRU DWWRUQH\ IHHV LQFXUUHG LQ DFKLHYLQJ WKH SDGORFNVIURP+DELFKjVKRPHDSHUPLVVLEOHUHTXHVWXQGHU LQLWLDOUHOLHI2IFRXUVHVKRXOG+DELFKXOWLPDWHO\REWDLQD 86& EXWWKHGLVWULFWFRXUWWROGWKHSDUWLHVWREULQJ PRQHWDU\MXGJPHQWRQKHUHTXDOSURWHFWLRQDQGGXHSURFHVV WKHFODLPWRVWDWHFRXUWZLWKWKHPHVVDJHWKDWWKHIHGHUDOFRXUW FODLPV WKRVH FODLPV ZRXOG SUHVHQW GLIIHUHQW EDVHV IRU mGLGQjWGHFLGHDQ\RIWKHVHLVVXHVWKDWZHUHSUHVHQWHGKHUH DWWRUQH\IHHVLQGHSHQGHQWRIKHUUHTXHVWIRUIHHVEDVHGRQWKH LQFOXGLQJWKHUHTXHVWIRUDWWRUQH\IHHVls$DW $OWKRXJK DOOHJHGLQWHULPUHOLHI WKH6XSUHPH&RXUWKDVUHMHFWHGWKHLGHDWKDWDWWRUQH\IHHVFDQ EHDZDUGHGLIDODZVXLWLVWKHmFDWDO\VWlWKDWEULQJVDERXWD ,96833/(0(17$/s85,6',&7,2129(5 SXUHO\YROXQWDU\FKDQJHLQWKHGHIHQGDQWjVEHKDYLRUWKDWLV 67$7($'0,1,675$7,9(352&((',1* QHLWKHU mMXGLFLDOO\ VDQFWLRQHGl QRU FDUULHV mMXGLFLDO LPSULPDWXUl %XFNKDQQRQ %G &DUH +RPH ,QF Y :9 7KH GLVWULFW FRXUW DOVR UHIXVHG WR H[HUFLVH VXSSOHPHQWDO 'HSjWRI+HDOWKDQG+XPDQ5HV86 MXULVGLFWLRQRYHU+DELFKjVDSSHDOIURPWKH%%$jVGHFLVLRQ DSDUW\PD\mSUHYDLOl LI LWmREWDLQ>V@DFKDQJHLQWKHOHJDO SHUPLWWLQJDQLQVSHFWLRQ:HUHYLHZDGLVWULFWFRXUWjVUHIXVDO UHODWLRQVKLSRIWKHSDUWLHVWKDWRULJLQDWHGLQDFRXUWRUGHURU WRH[HUFLVHVXSSOHPHQWDOMXULVGLFWLRQIRUDEXVHRIGLVFUHWLRQ WKDWKDGDWOHDVWUHFHLYHGMXGLFLDOVDQFWLRQl&KDPEHUVY2KLR +DQNLQVY7KH*DS,QF)G WK&LU 'HSjWRI+XPDQ6HUYV)G WK&LU 6XSSOHPHQWDOMXULVGLFWLRQmµLVDGRFWULQHRIGLVFUHWLRQQRWRI +HUH+DELFKDUJXHVWKDWVKHmSUHYDLOHGlZKHQDOWKRXJKWKH SODLQWLIIjVULJKWjl%DHUY5 )&RDO&R)G GLVWULFWFRXUWGLGQRWLVVXHDIRUPDORUGHURQKHUPRWLRQIRUD WK&LU TXRWLQJ8QLWHG0LQH:RUNHUVY*LEEV SUHOLPLQDU\ LQMXQFWLRQ LW GLG H[SOLFLWO\ LQVWUXFW WKH &LW\ 86 +DELFKZDQWHGWKHGLVWULFWFRXUWWR UHYLHZ WKH %%$jV GHFLVLRQ WKDW XQGHU D ORFDO RUGLQDQFH +DELFKjVKRPHZDVEHLQJXVHGDVDUHQWDODQGWKXVUHTXLUHG WKH SODLQWLII ZKRVH IHGHUDO FODLPV ZHUH QRW UHVROYHG RQ WKH PHULWV LQ VWDWH DQLQVSHFWLRQDQGDFHUWLILFDWHRIRFFXSDQF\$OWKRXJKLWLV FRXUW &DUUROO )G DW VHH DOVR 'HDNLQV Y 0RQDJKDQ SRVVLEOH WR UHPRYH WR IHGHUDO FRXUW D VWDWH FRXUW VXLW WKDW 86 m>(@YHQ LI WKH <RXQJHU GRFWULQH UHTXLUHV DEVWHQWLRQ FKDOOHQJHVDVWDWHDGPLQLVWUDWLYHUXOLQJRQIHGHUDODQGVWDWH KHUH WKH 'LVWULFW &RXUW KDV QR GLVFUHWLRQ WR GLVPLVV UDWKHU WKDQ WR VWD\ JURXQGVVHH&LW\RI&KLFDJRY,QWjO&ROORI6XUJHRQV FODLPV IRU PRQHWDU\ UHOLHI WKDW FDQQRW EH UHGUHVVHG LQ WKH VWDWH 86 +DELFKjV SHWLWLRQ IRU UHYLHZ RI WKH SURFHHGLQJl $OVR RXU GHFLVLRQ LQ 7LQJOHU Y 0DUVKDOO )G WK &LU %%$ GHFLVLRQ GLG QRW QHFHVVDULO\ LQYROYH DQ\ RI WKH SURKLELWV D GLVWULFW FRXUW IURP GLVPLVVLQJ D VXLW VXD VSRQWH XQOHVV mRSHUDWLYHIDFW>V@l*LEEV 86DWDWLVVXHLQWKH LW KDV DPRQJ RWKHU UHTXLUHPHQWV QRWLILHG WKH SDUWLHV RI LWV LQWHQW WR GR VR IHGHUDOVXLW7KHIHGHUDOVXLWLQYROYHGWKHIDLOXUHWRKROGD DQG JLYHQ WKH SDUWLHV WKH RSSRUWXQLW\ WR UHVSRQG LG DW $OWKRXJK KHDULQJDQGWKHUHIXVDOWRVHOOVRPHODQG WKHVWDWHSURFHHGLQJ 7LQJOHUj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
WKXVDIILUPWKHGLVWULFWFRXUWjVUHIXVDOWRDVVHUWVXSSOHPHQWDO MXULVGLFWLRQ RYHU WKH VWDWHODZ FKDOOHQJH WR WKH %%$ SURFHHGLQJ 9&21&/86,21 $OWKRXJKWKH&LW\jVGHVLUHWRLQVSHFW+DELFKjVSURSHUW\ZDV DQLVVXHSURSHUO\KHDUGLQVWDWHFRXUWWKHUHZDVQRUHDVRQIRU KHU VXLWDQGPRWLRQIRUDWWRUQH\IHHVWRKDYHEHHQVHQW WKHUH DV ZHOO :H WKXV 5(9(56( WKH GLVWULFW FRXUWjV GHFLVLRQWRDEVWDLQIURPDQGWRGLVPLVVWKHPHULWVRI+DELFKjV FODLPVDQGKHUPRWLRQIRUDWWRUQH\IHHV:H$)),50WKH GLVWULFW FRXUWjV GHFLVLRQ UHIXVLQJ WR H[HUFLVH VXSSOHPHQWDO MXULVGLFWLRQRYHUWKHDSSHDOIURPWKH%%$
Reference
- Status
- Published