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s$&. %$5%(5 (':$5' +,//<(5 9,&725 *,//,6 :,//,$0 +(*$57<DQGWKH &,7< 2) *5$1' 5$3,'6 0,&+,*$1 'HIHQGDQWV$SSHOOHHV 1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH:HVWHUQ'LVWULFWRI0LFKLJDQDW*UDQG5DSLGV 1Rn5REHUW+ROPHV%HOO&KLHI'LVWULFWsXGJH $UJXHG$XJXVW 'HFLGHGDQG)LOHG1RYHPEHU %HIRUH1(/621%2**6DQG1255,6&LUFXLW sXGJHV *UHHQHY%DUEHUHWDO 1R 1R *UHHQHY%DUEHUHWDO BBBBBBBBBBBBBBBBB ,W LV XQGLVSXWHG WKDW 0U *UHHQH ZDV YHUEDOO\ UHVLVWLQJ DUUHVWLQDQDJJUHVVLYHPDQQHU+HKDVRIIHUHGQRHYLGHQFH &2816(/ PRUHRYHUWRFRXQWHUWKHRIILFHUVjWHVWLPRQ\WKDWKHZDVDOVR UHVLVWLQJDUUHVWSK\VLFDOO\*LYHQWKHIDFWWKDW/W%DUEHUZDV $5*8('0LFKDHO21HOVRQ*UDQG5DSLGV0LFKLJDQIRU VLPSO\ IROORZLQJ HVWDEOLVKHG GHSDUWPHQWDO SURFHGXUHV IRU $SSHOODQWsDQLFH)%DLOH\&,7<$77251(DQ@DVVKROH$QGKH ,QRWKHUZRUGVZHPXVWGHFLGHZKHWKHULWZRXOGKDYH WRRNJUHDWH[FHSWLRQWRWKDW EHHQ FOHDU WR D UHDVRQDEOH SROLFH RIILFHU LQ /W %DUEHUjV SRVLWLRQ WKDW KLV FRQGXFW ZDV XQODZIXO LQ WKH VLWXDWLRQ KH +H VDLG WR PH µ+HDQVZHUHG@µ:HOOQRWLQP\EXLOGLQJjDJDLQYHU\ 7KH8VHRI)RUFH&RQWLQXXPSHUPLWVDQRIILFHUWRDGPLQLVWHU DGDPDQWO\ µ1RW LQ P\ EXLOGLQJj MXVW OLNH WKDW $QG SHSSHUVSUD\WRDSHUVRQZKRLVDJJUHVVLYHO\UHVLVWLQJDUUHVW WKDWjVZKHQ,WROGKLP,VDLGµ:HOOLIWKDWjVKRZ\RX HLWKHUYHUEDOO\RUSK\VLFDOO\ IHHO\RXjUHUHDOO\VWXSLGj$QGWKDWjVZKHQKHWXUQHGWR PHDQGVDLGµKLV YRLFH@ ZDV ORXG HQRXJK WR DWWUDFW WKH QR UHDVRQ WR VXSSRVH WKDW WKHLU FRQGXFW ZDV LQ DQ\ ZD\ DWWHQWLRQRIRWKHUSHRSOHLQWKHOREE\l%DVHGRQWKHUHFRUG XQODZIXO:HDJUHHZLWKWKHGLVWULFWFRXUWjVFRQFOXVLRQWKDW DVDZKROHDQGDFFHSWLQJ0U*UHHQHjVWHVWLPRQ\DVWUXHLW 2IILFHUV+LOO\HUDQG*LOOLVZHUHHQWLWOHGWRTXDOLILHGLPPXQLW\ LVIDLUWRFRQFOXGHWKDW0U*UHHQHZDVQRWVSHDNLQJVRWWR LQUHVSHFWRIWKHLUUROHLQWKHSODLQWLIIjVDUUHVW YRFH & 7KH8VHRI([FHVVLYH)RUFH 2QEHLQJWROGKHZDVXQGHUDUUHVW0U*UHHQHGHPDQGHG WRNQRZZK\*UHHQHWHVWLILHGWKDW/W%DUEHUGLGQRWDQVZHU 7KHSODLQWLIIFRQWHQGVWKDWWKHRIILFHUVXVHGH[FHVVLYHIRUFH EXWRUGHUHGKLPWRSODFHKLVKDQGVRQWKHFRXQWHU*UHHQH LQWKHDUUHVWWKHUHE\YLRODWLQJKLVFOHDUO\HVWDEOLVKHG)RXUWK UHIXVHGDQGVWDUWHG\HOOLQJDWWKLVSRLQWWHOOLQJ%DUEHUWKDW $PHQGPHQWULJKWWREHIUHHIURPXQUHDVRQDEOHVHL]XUHV+H WKHUHZDVQREDVLVIRUWKHDUUHVWDQGWKDWLWZDVLOOHJDO+H FODLPVWKDWEHFDXVHWKHUHZDVQREDVLVIRUWKHDUUHVWDQ\XVH DOVR VKRXWHG IRU *UDQG 5DSLGV &KLHI RI 3ROLFH :LOOLDP RI IRUFH FRQVWLWXWHG D )RXUWK $PHQGPHQW YLRODWLRQ 7KH +HJDUW\ZKRPKHNQHZWRVWRSWKHDUUHVW RIILFHUV DJDLQ UHVSRQG WKDW WKH\ DUH HQWLWOHG WR TXDOLILHG LPPXQLW\ 2IILFHU (GZDUG +LOO\HU ZDV HQWHULQJ WKH OREE\ IURP DQ DGMDFHQWSDUWRIWKHEXLOGLQJZKHQKHKHDUG%DUEHUWHOO*UHHQH :KHWKHUWKHWKUHHRIILFHUVYLRODWHG0U*UHHQHjVULJKWWREH KHZDVXQGHUDUUHVW+LOO\HUXQGHUWRRNWRKHOS%DUEHUZLWK IUHHIURPH[FHVVLYHIRUFHLVDTXHVWLRQWKDWPXVWEHDQDO\]HG WKHDUUHVWKHH[SODLQHGEHFDXVHLWDSSHDUHGWKDW*UHHQHZDV XQGHU DQ mREMHFWLYH UHDVRQDEOHQHVVl VWDQGDUG *UDKDP Y QRWFRRSHUDWLQJ+LOO\HUFDXJKW*UHHQHjVDUPDQGDWWHPSWHG &RQQRU867KLVVWDQGDUGUHTXLUHVXV WR VWHHU KLP WRZDUG WKH LQIRUPDWLRQ FRXQWHU IURP ZKLFK WRFRQVLGHU *UHHQHZDVEDFNLQJDZD\ &DSWDLQ9LFWRU*LOOLVZKRVHRIILFHZDVORFDWHGQHDUWKH LQIRUPDWLRQFRXQWHUFDPHRXWDWDERXWWKHVDPHWLPH+H (QWHUSULVH )G WK &LU mZKHQ DQ RIILFHU KDV SUREDEOH FDXVH WR EHOLHYH WKDW D SHUVRQ LV FRPPLWWLQJ D WRRKHDUG/W%DUEHUWHOO0U*UHHQHKHZDVXQGHUDUUHVWDQG DUJXDEOH SDUWLFXODU SXEOLF RIIHQVH KH LV HQWLWOHG WR TXDOLILHG LPPXQLW\ IURP VXLW KHWRRDVVLVWHGLQWKHHIIRUWWRUHVWUDLQ*UHHQH HYHQ LI WKH RIIHQGHU PD\ EH VSHDNLQJ DW WKH WLPH KH LV DUUHVWHGl *UHHQHY%DUEHUHWDO 1R 1R *UHHQHY%DUEHUHWDO m,W LV ZHOOHVWDEOLVKHG WKDW 0F&XUG\ KDG D :KHQRQHRIWKHRIILFHUVWRRNKLVDUP0U*UHHQHWHVWLILHG FRQVWLWXWLRQDOULJKWWRFKDOOHQJHYHUEDOO\2IILFHU&ROHjV mWKLQJV MXVW ZHQW EDOOLVWLFl 7KH XSVKRW ZDV WKDW KH ZDV VXUYHLOODQFHDQGZHWKHUHIRUHUHYHUVHWKHGLVWULFWFRXUWjV VSUD\HGZLWKROHRUHVLQFDSVLFXPFRPPRQO\NQRZQDVSHSSHU JUDQWRITXDOLILHGLPPXQLW\WR2IILFHU&ROH%HFDXVHWKH VSUD\ZKLOHERWKRIKLVDUPVZHUHEHLQJKHOGE\WKHRIILFHUV GLVWULFWFRXUWGLGQRWDGGUHVVZKHWKHU0F&XUG\jVDUUHVW %OLQGHGE\WKHFKHPLFDODJHQWKHEHJDQVWXPEOLQJDFURVVWKH ZDVDWOHDVWSDUWLDOO\PRWLYDWHGE\SURWHFWHGFRQGXFWZH OREE\ UHPDQGIRUIXUWKHUSURFHHGLQJVl,G ,WWRRNWKHSROLFHRIILFHUVVHYHUDOPRPHQWVWRKDQGFXII0U 7KH SKUDVH mDW OHDVW SDUWLDOO\ PRWLYDWHGl DV XVHG LQ *UHHQHHYHQDIWHUKHKDGEHHQVSUD\HG&KLHI+HJDUW\ILQDOO\ 0F&XUG\PLJKWOHQGLWVHOIWRPLVXQGHUVWDQGLQJE\DUHDGHU DSSHDUHGRQWKHVFHQHDQGWROG*UHHQHmMXVWFRRSHUDWHDQG QRWIDPLOLDUZLWKWKH6XSUHPH&RXUWGHFLVLRQRQZKLFKLWZDV ZHjOOJHWWKURXJKWKLVl XOWLPDWHO\EDVHG0RXQW+HDOWK\%GRI(GY'R\OH86 7KHUH D XQDQLPRXV &RXUW KHOG WKDW ZKHUH 0U *UHHQH ZDV FKDUJHG ZLWK FUHDWLQJ D GLVWXUEDQFH LQ FRQVWLWXWLRQDOO\SURWHFWHGVSHHFKLVmDµPRWLYDWLQJIDFWRUjlLQ YLRODWLRQ RI *UDQG 5DSLGV &RGH 6HFWLRQ DQG ZLWK JRYHUQPHQWDO DFWLRQ DGYHUVH WR WKH SODLQWLII WKH DGYHUVH KLQGHULQJ DQG RSSRVLQJ D SROLFH RIILFHU $ 0LFKLJDQ MXU\ DFWLRQLVXQFRQVWLWXWLRQDODVVXPLQJWKHUHTXLVLWHGHJUHHRI XOWLPDWHO\DFTXLWWHGKLPRIERWKFKDUJHV VHULRXVQHVVXQOHVVWKHVDPHDFWLRQZRXOGKDYHEHHQWDNHQ mHYHQLQWKHDEVHQFHRIWKHSURWHFWHGFRQGXFWl,GDW )ROORZLQJKLVDFTXLWWDOLQVWDWHFRXUW0U*UHHQHEURXJKW HPSKDVLVVXSSOLHG$mPRWLYDWLQJIDFWRUl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jV GLJQLW\ ZRXOG EH ,, LPSHUPLVVLEOHXQOHVVLWFRXOGEHVKRZQWKDWWKHRIILFHUZRXOG KDYHPDGHWKHDUUHVWHYHQLQWKHDEVHQFHRIDQ\UHWDOLDWRU\ $ 6WDQGDUGRI5HYLHZ PRWLYH,I/W%DUEHUFRXOGSHUVXDGHDMXU\WKDW0U*UHHQH ZRXOG KDYH EHHQ DUUHVWHG IRU GLVUXSWLQJ WKH WUDQVDFWLRQ RI 6XPPDU\ MXGJPHQWV DUH UHYLHZHG LQ WKLV FRXUWGH QRYR EXVLQHVV HYHQ LI WKH LQVXOWV KDG EHHQ DLPHG VROHO\ DW WKH 6HH8QLWHG1DW,QV&RY667)LWQHVV&RUS)G LQWHUQIRUH[DPSOHDQGHYHQLIWKHUHKDGEHHQQRSHUVRQDO WK&LU7KH)HGHUDO5XOHVRI&LYLO3URFHGXUH SLTXH RQ %DUEHUj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jVWUXHPRWLYDWLRQZDVWR 0U *UHHQH FRQWHQGV WKDW WKH JUDQWLQJ RI VXPPDU\ SXQLVKDVOLJKWWRKLVGLJQLW\ MXGJPHQWZDVLPSURSHUEHFDXVHDUHDVRQDEOHMXU\FRXOGKDYH IRXQGWKDWKHZDVDUUHVWHGZLWKRXWSUREDEOHFDXVHDQGDVD 7DNHQLQWKHOLJKWPRVWIDYRUDEOHWR0U*UHHQHZHEHOLHYH UHVXOWRIKLVSURWHFWHGVSHHFK7KHSROLFHRIILFHUVUHVSRQG WKDWWKHUHFRUGEHIRUHXVZRXOGHQWLWOHDMXU\WRILQGWKDWWKH WKDWWKH\ZHUHHQWLWOHGWRTXDOLILHGLPPXQLW\ DUUHVWZDVWKHSURGXFWRIDQLPSURSHUPRWLYH :H FRPH WKHQ WR WKH VHFRQG EUDQFK RI WKH 6DXFLHU DQDO\VLV ZDV 0U *UHHQHjV ULJKW QRW WR EH DUUHVWHG IRU ,QFLYLOGDPDJHDFWLRQVDULVLQJRXWRIJRYHUQPHQWRIILFLDOVj LQVXOWLQJDSROLFHRIILFHUmFOHDUO\HVWDEOLVKHGlLQ0DUFKRI SHUIRUPDQFH RI GLVFUHWLRQDU\ IXQFWLRQV WKH RIILFLDOV DUH " :RXOG LW KDYH EHHQ FOHDU WR D UHDVRQDEOH RIILFHU JHQHUDOO\HQWLWOHGWRTXDOLILHGLPPXQLW\IURPVXLWmLQVRIDUDV VWDQGLQJLQ/W%DUEHUjVVKRHVLQRWKHUZRUGVWKDWKHFRXOG WKHLUFRQGXFWGRHVQRWYLRODWHFOHDUO\HVWDEOLVKHGVWDWXWRU\RU QRWPDNHWKHDUUHVWLQUHWDOLDWLRQIRUWKHLQVXOW" FRQVWLWXWLRQDOULJKWVRIZKLFKDUHDVRQDEOHSHUVRQZRXOGKDYH NQRZQl +DUORZ Y )LW]JHUDOG 86 :H JDYH DQ DIILUPDWLYH DQVZHU WR D VLPLODU TXHVWLRQ LQ FLWDWLRQV RPLWWHG 7R GHWHUPLQH LI TXDOLILHG LPPXQLW\ 0F&XUG\Y0RQWJRPHU\&RXQW\2KLR)GWK DWWDFKHVZHHPSOR\WKHVHTXHQWLDODQDO\VLVSUHVFULEHGE\WKH &LU7KDWFDVHDURVHRXWRIDQLQFLGHQWWKDWRFFXUUHGLQ 6XSUHPH&RXUWLQ6DXFLHUY.DW]86)LUVW sXO\RIoDIHZ PRQWKV EHIRUH0U*UHHQHjVDUUHVWo ZHPXVWGHWHUPLQHZKHWKHUWDNHQLQWKHOLJKWPRVWIDYRUDEOH ZKHQ RQH sDPHV 0F&XUG\ ZKR KDG EHHQ FHOHEUDWLQJ WKH WRWKHSDUW\DVVHUWLQJWKHLQMXU\WKHIDFWVDOOHJHGDUHVXIILFLHQW JUDGXDWLRQRIDQHSKHZIURPFROOHJHZDVFRQYHUVLQJZLWK WRPDNHRXWDYLRODWLRQRIWKH&RQVWLWXWLRQ6DXFLHU86 IHOORZ FHOHEUDQWV RQ D SXEOLF VWUHHW DW RjFORFN LQ WKH DWm,IQRFRQVWLWXWLRQDOULJKWZRXOGKDYHEHHQYLRODWHG PRUQLQJ$SDVVLQJSROLFHRIILFHUDVNHGWKHPHQZKDWZDV ZHUH WKH DOOHJDWLRQV HVWDEOLVKHG WKHUH LV QR QHFHVVLW\ IRU JRLQJRQ,QWKHH[FKDQJHWKDWIROORZHG0U0F&XUG\XVLQJ IXUWKHU LQTXLULHV FRQFHUQLQJ TXDOLILHG LPPXQLW\l ,I IRXUOHWWHU ZRUGV RI $QJOR6D[RQ RULJLQ PDGH NQRZQ KLV KRZHYHUmDYLRODWLRQFRXOGEHPDGHRXWRQDIDYRUDEOHYLHZ XQZLOOLQJQHVVWRSURGXFHLGHQWLILFDWLRQRUJREDFNLQVLGHKLV RIWKHSDUWLHVjVXEPLVVLRQVWKHQH[WVHTXHQWLDOVWHSLVWRDVN KRXVH+HZDVWKHQSODFHGXQGHUDUUHVW$IWHUFRQFOXGLQJ ZKHWKHUWKHULJKWZDVFOHDUO\HVWDEOLVKHGl,G WKDWWKHRIILFHUKDGQRSUREDEOHFDXVHWRDUUHVW0U0F&XUG\ IRU YLRODWLQJ DQ 2KLR VWDWXWH WKDW SURKLELWV DQ LQWR[LFDWHG 7KH GHWHUPLQDWLRQ DV WR ZKHWKHU WKH ULJKW ZDV mFOHDUO\ SHUVRQ IURP mFUHDW>LQJ@ D FRQGLWLRQ WKDW SUHVHQWV D ULVN RI HVWDEOLVKHGlLVDGHWHUPLQDWLRQWKDWmPXVWEHXQGHUWDNHQLQ SK\VLFDOKDUPlDGLYLGHGSDQHORIWKLVFRXUWUHYHUVHGDJUDQW OLJKWRIWKHVSHFLILFFRQWH[WRIWKHFDVHQRWDVDEURDGJHQHUDO RI TXDOLILHG LPPXQLW\ WKDW UHIOHFWHG WKH GLVWULFW FRXUWjV SURSRVLWLRQl,G,QRWKHUZRUGVm>W@KHFRQWRXUVRIWKHULJKW XQGHUVWDQGLQJWKDWmLWZDVQRWFOHDUO\HVWDEOLVKHGWKDWWKH)LUVW PXVW EH VXIILFLHQWO\ FOHDU WKDW D UHDVRQDEOH RIILFLDO ZRXOG $PHQGPHQW SURKLELWHG DQ RIILFHU IURP HIIHFWXDWLQJ DQ XQGHUVWDQG WKDW ZKDW KH LV GRLQJ YLRODWHV WKDW ULJKWl RWKHUZLVHYDOLGDUUHVWLIWKDWRIILFHUZDVPRWLYDWHGE\DGHVLUH $QGHUVRQ Y &UHLJKWRQ 86 m7KH WR UHWDOLDWH DJDLQVW WKH DUUHVWHHjV DVVHUWLRQ RI )LUVW UHOHYDQWGLVSRVLWLYHLQTXLU\LQGHWHUPLQLQJZKHWKHUDULJKWLV $PHQGPHQWULJKWVl,GDW FOHDUO\HVWDEOLVKHGLVZKHWKHULWZRXOGEHFOHDUWRDUHDVRQDEOH RIILFHU WKDW KLV FRQGXFW ZDV XQODZIXO LQ WKH VLWXDWLRQ KH ,Q UHMHFWLQJ WKH GLVWULFW FRXUWjV DQDO\VLV WKH 0F&XUG\ FRQIURQWHGl 6DXFLHU 86 DW FLWLQJ :LOVRQ Y PDMRULW\VDLGWKLV /D\QH86 *UHHQHY%DUEHUHWDO 1R 1R *UHHQHY%DUEHUHWDO EUHDFKRIWKHSHDFH6DQGXO)GDW,QWKHFDVHDW $ SROLFH RIILFHU PD\ EH HQWLWOHG WR TXDOLILHG LPPXQLW\ EDUE\WKHVDPHWRNHQLWLVKDUGWRLPDJLQH0U*UHHQHjV REYLRXVO\HYHQWKRXJKKHKDVLQIDFWYLRODWHGWKHSODLQWLIIjV ZRUGVLQFLWLQJDEUHDFKRIWKHSHDFHE\DSROLFHRIILFHUZKRVH ULJKWV mUHDVRQDEOH PLVWDNHV FDQ EH PDGH DV WR WKH OHJDO VZRUQGXW\LWZDVWRXSKROGWKHODZ6HH%XIINLQVY&LW\RI FRQVWUDLQWVRQSDUWLFXODUSROLFHFRQGXFWl6DXFLHU86 2PDKD)GWK&LU DW,WLVVRPHWLPHVGLIILFXOWIRUDQRIILFHUWRGHWHUPLQH KRZ WKH UHOHYDQW OHJDO GRFWULQH ZLOO DSSO\ WR WKH IDFWXDO m%XIINLQVj XVH RI WKH ZRUG µDVVKROHj FRXOG QRW VLWXDWLRQKHFRQIURQWVm,IWKHRIILFHUjVPLVWDNHDVWRZKDWWKH UHDVRQDEO\KDYHSURPSWHGDYLROHQWUHVSRQVHIURPWKH ODZUHTXLUHVLVUHDVRQDEOHWKHRIILFHULVHQWLWOHGWRWKH DUUHVWLQJRIILFHUV,Q+RXVWRQY+LOO86 LPPXQLW\GHIHQVHl,G6HH$QGHUVRQ86DWm:H 6&W /(GG WKH KDYH UHFRJQL]HG WKDW LW LV LQHYLWDEOH WKDW ODZ HQIRUFHPHQW 6XSUHPH &RXUW UHFRJQL]HG WKDW WKH µILJKWLQJ ZRUGVj RIILFLDOV ZLOO LQ VRPH FDVHV UHDVRQDEO\ EXW PLVWDNHQO\ GRFWULQHPD\EHOLPLWHGLQWKHFDVHRIFRPPXQLFDWLRQV FRQFOXGH WKDW SUREDEOH FDXVH LV SUHVHQW DQG ZH KDYH DGGUHVVHG WR SURSHUO\ WUDLQHG SROLFH RIILFHUV EHFDXVH LQGLFDWHG WKDW LQ VXFK FDVHV WKRVH RIILFLDOV o OLNH RWKHU SROLFHRIILFHUVDUHH[SHFWHGWRH[HUFLVHJUHDWHUUHVWUDLQW RIILFLDOVZKRDFWLQZD\VWKH\UHDVRQDEO\EHOLHYHWREHODZIXO LQWKHLUUHVSRQVHWKDQWKHDYHUDJHFLWL]HQ7KH+RXVWRQ oVKRXOGQRWEHKHOGSHUVRQDOO\OLDEOHl&LWDWLRQRPLWWHG &RXUWVWDWHG >7@KH )LUVW $PHQGPHQW SURWHFWV D VLJQLILFDQW DPRXQWRIYHUEDOFULWLFLVPDQGFKDOOHQJHGLUHFWHGDW $JDLQVW WKLV OHJDO EDFNJURXQG ZH EHJLQ RXU TXDOLILHG SROLFH RIILFHUV 7KH IUHHGRP RI LQGLYLGXDOV LPPXQLW\DQDO\VLVLQWKHFDVHDWEDUDV6DXFLHUGLUHFWVE\ YHUEDOO\WRRSSRVHRUFKDOOHQJHSROLFHDFWLRQZLWKRXW GHWHUPLQLQJZKHWKHUDQDUUHVWXQGHUWKHYHUVLRQRIWKHIDFWV WKHUHE\ ULVNLQJ DUUHVW LV RQH RI WKH SULQFLSDO DOOHJHG E\ 0U *UHHQH ZRXOG KDYH YLRODWHG *UHHQHjV FKDUDFWHULVWLFVE\ZKLFKZHGLVWLQJXLVKDIUHHQDWLRQ FRQVWLWXWLRQDOULJKWV$VIDUDV/W%DUEHULVFRQFHUQHGZH IURPDSROLFHVWDWH FRQFOXGH WKDW LW ZRXOG EH ZLWKLQ WKH SURYLQFH RI D MXU\ WR DFFHSWDVWUXHDVFHQDULRXQGHUZKLFKWKHDUUHVWZRXOGLQGHHG ,GDW6&WDWl EHXQFRQVWLWXWLRQDO 8QGHUWRGD\jVMXULVSUXGHQFHWRUHFDSLWXODWH 7KH RUGLQDQFH WKDW 0U *UHHQH ZDV VXSSRVHG WR KDYH YLRODWHG FRGLILHG DW *5$1' 5$3,'6 0, &2'( o 0U *UHHQHjV FKDUDFWHUL]DWLRQ RI /W %DUEHU DV DQ SURYLGHV LQ SHUWLQHQW SDUW WKDW m>Q@R SHUVRQ VKDOO mDVVKROHlZDVQRWHJUHJLRXVHQRXJKWRWULJJHUDSSOLFDWLRQ &UHDWH RU HQJDJH LQ DQ\ GLVWXUEDQFH ILJKW RU TXDUUHO LQ D RIWKHmILJKWLQJZRUGVlGRFWULQHDQG SXEOLFSODFHl7KHLQFLGHQWDWLVVXHKHUHREYLRXVO\RFFXUUHG LQDSXEOLFSODFHDQGHYHQXQGHU0U*UHHQHjVYHUVLRQRIWKH oDOWKRXJK/W%DUEHUPD\KDYHKDGSUREDEOHFDXVHWR IDFWVZHWKLQNDUHVSHFWDEOHDUJXPHQWFDQEHPDGHWKDW/W EHOLHYHWKDW0U*UHHQHZDVYLRODWLQJWKH*UDQG5DSLGV %DUEHU KDG SUREDEOH FDXVH WR EHOLHYH WKDW *UHHQH ZDV HQJDJLQJLQDmGLVWXUEDQFHlLQVXFKDSODFH6HH*ROGY&LW\ RI0LDPL)GWK&LU 2Q WKH RWKHU KDQG LI ZH PD\ EH IRUJLYHQ DQ HGLWRULDO DVLGH LW LV 3DFH*ROGKRZHYHUWKHH[LVWHQFHRISUREDEOHFDXVHLVQRW GHWHUPLQDWLYHRIWKHFRQVWLWXWLRQDOTXHVWLRQLIDVDOOHJHGKHUH KDUG WR LPDJLQH D PHPEHU RI D OHDUQHG SURIHVVLRQ WKDW RQFH SULGHG LWVHOI RQ FLYLOLW\ DGGUHVVLQJ WKLV NLQG RI JXWWHU ODQJXDJH WR DQ RIILFHU RI WKH ODZ o DQG GRLQJ VR EHIRUH RU SHRSOH LQ D KDOO RI MXVWLFH RI DOO SODFHV WKHSODLQWLIIZDVDUUHVWHGLQUHWDOLDWLRQIRUKLVKDYLQJHQJDJHG *UHHQHY%DUEHUHWDO 1R 1R *UHHQHY%DUEHUHWDO LQ FRQVWLWXWLRQDOO\ SURWHFWHG VSHHFK 7KH ODZ LV ZHOO mD@QDFWWDNHQLQUHWDOLDWLRQIRUWKHH[HUFLVH )DVFLVW DQG WKH ZKROH JRYHUQPHQW RI 5RFKHVWHU DUH RIDFRQVWLWXWLRQDOO\SURWHFWHGULJKWLVDFWLRQDEOHXQGHU )DVFLVWVRUDJHQWVRI)DVFLVWVl,GDW HYHQLIWKHDFWZKHQWDNHQIRUDGLIIHUHQWUHDVRQZRXOGKDYH EHHQSURSHUl%ORFKY5LEDU)GWK&LU ,QH[SODLQLQJLWVDIILUPDQFHRIWKHFRQYLFWLRQWKH6XSUHPH TXRWLQJ0DW]NHUY+HUU)GWK &RXUWKDGWKLVWRVD\DPRQJRWKHUWKLQJV &LUDQG'H/RDFKY%HDYHUV)GWK &LU m$OORZLQJ WKH EURDGHVW VFRSH WR WKH ODQJXDJH DQG SXUSRVH RI WKH )RXUWHHQWK $PHQGPHQW LW LV ZHOO 'LG0U*UHHQHKDYHDFRQVWLWXWLRQDOO\SURWHFWHGULJKWWR XQGHUVWRRGWKDWWKHULJKWRIIUHHVSHHFKLVQRWDEVROXWHDW FDOO/W%DUEHUDQmDVVKROHlDQGFDVWLJDWHKLPDVmVWXSLG"l DOOWLPHVDQGXQGHUDOOFLUFXPVWDQFHV7KHUHDUHFHUWDLQ 7KH DQVZHU ZH VXJJHVW GHSHQGV RQ WKH WLPH SODFH DQG ZHOOGHILQHGDQGQDUURZO\OLPLWHGFODVVHVRIVSHHFKWKH PDQQHULQZKLFK0U*UHHQHVRH[SUHVVHGKLPVHOI,WLVFOHDU SUHYHQWLRQ DQG SXQLVKPHQW RI ZKLFK KDV QHYHU EHHQ WKDWWKH&RQVWLWXWLRQJDYH0U*UHHQHQROLFHQVHWRLQWHUUXSW WKRXJKW WR UDLVH DQ\ &RQVWLWXWLRQDO SUREOHP 7KHVH WKHWUDQVDFWLRQRISXEOLFEXVLQHVVE\ORXGDQLPDGYHUVLRQVRQ LQFOXGHWKHOHZGDQGREVFHQHWKHSURIDQHWKHOLEHORXV /W %DUEHUjV SHUVRQDOLW\ DQG PHQWDO FDSDFLW\ RU DQ\ RWKHU DQGWKHLQVXOWLQJRUµILJKWLQJjZRUGVoWKRVHZKLFKE\ VXEMHFWIRUWKDWPDWWHUoFRQVLGHUIRUH[DPSOHWKHOLNHO\ WKHLU YHU\ XWWHUDQFH LQIOLFW LQMXU\ RU WHQG WR LQFLWH DQ FRQVHTXHQFHRIVRPHRQHjVLQWHUUXSWLQJDQRUDODUJXPHQWLQD LPPHGLDWH EUHDFK RI WKH SHDFH ,W KDV EHHQ ZHOO 6L[WK&LUFXLWFRXUWURRPZLWKDGLDWULEHOLNH0U*UHHQHjVo REVHUYHGWKDWVXFKXWWHUDQFHVDUHQRHVVHQWLDOSDUWRIDQ\ EXWVWDQGLQJDORQHWKHIDFWWKDW0U*UHHQHjVUHPDUNVZHUH H[SRVLWLRQRILGHDVDQGDUHRIVXFKVOLJKWVRFLDOYDOXHDV XQIODWWHULQJWR/W%DUEHUFOHDUO\JDYH%DUEHUQROLFHQVHWR DVWHSWRWUXWKWKDWDQ\EHQHILWWKDWPD\EHGHULYHGIURP DEULGJH*UHHQHjVIUHHGRPWRVSHDNDVKHGLGm>*@RYHUQPHQW WKHPLVFOHDUO\RXWZHLJKHGE\WKHVRFLDOLQWHUHVWLQRUGHU RIILFLDOVLQJHQHUDODQGSROLFHRIILFHUVLQSDUWLFXODUPD\QRW DQGPRUDOLW\µ5HVRUWWRHSLWKHWVRUSHUVRQDODEXVHLVQRW H[HUFLVHWKHLUDXWKRULW\IRUSHUVRQDOPRWLYHVSDUWLFXODUO\LQ LQ DQ\ SURSHU VHQVH FRPPXQLFDWLRQ RI LQIRUPDWLRQ RU UHVSRQVHWRUHDORUSHUVRQDOVOLJKWVWRWKHLUGLJQLW\l%ORFK RSLQLRQ VDIHJXDUGHG E\ WKH &RQVWLWXWLRQ DQG LWV )GDWTXRWLQJ'XUDQY&LW\RI'RXJODV)G SXQLVKPHQWDVDFULPLQDODFWZRXOGUDLVHQRTXHVWLRQ WK&LU XQGHU WKDW LQVWUXPHQWjl ,G DW IRRWQRWHV DQG FLWDWLRQRPLWWHGHPSKDVLVVXSSOLHG 7KHUH ZDV D WLPH WR EH VXUH ZKHQ WKH XVH RI D FRDUVH HSLWKHWVXFKDVWKDWHPSOR\HGE\0U*UHHQHZRXOGKDYHEHHQ ,Q UHFHQW \HDUV KRZHYHU &KDSOLQVN\jV mILJKWLQJ ZRUGVl WKRXJKWWROLHRXWVLGHWKHSURWHFWLRQRIWKH)LUVW$PHQGPHQW GRFWULQHKDVEHFRPHmYHU\OLPLWHGl6DQGXOY/DULRQ 6HH &KDSOLQVN\ Y 1HZ +DPSVKLUH 86 )GWK&LUFLWLQJ7H[DVYsRKQVRQ ZKHUH WKH 6XSUHPH &RXUW DIILUPHG WKH FRQYLFWLRQ RI DQ 86 6WDQGDUGV RI GHFRUXP KDYH LQGLYLGXDO KHOG WR KDYH YLRODWHG D 1HZ +DPSVKLUH ODZ E\ FKDQJHGGUDPDWLFDOO\VLQFHPRUHRYHUDQGLQGHOLFDF\QR DGGUHVVLQJWKHIROORZLQJZRUGVWRDSXEOLFRIILFLDOoDFLW\ ORQJHU SODFHV VSHHFK EH\RQG WKH SURWHFWLRQ RI WKH )LUVW PDUVKDOoRQDSXEOLFVLGHZDONQHDUWKHHQWUDQFHWRWKHFLW\ $PHQGPHQW7KHZRUGVDQGJHVWXUHVDWLVVXHLQ6DQGXOIRU KDOORI5RFKHVWHU1HZ+DPSVKLUH H[DPSOHZHUHHYHQPRUHYXOJDUWKDQ0U*UHHQHjVEXWWKH\ ZHUHQRQHWKHOHVVKHOGWREH mVSHHFKSURWHFWHGE\WKH)LUVW $PHQGPHQWlFLUFXPVWDQFHVSUHVHQWLQ6DQGXOKDYLQJPDGH LW XQOLNHO\ WKDW WKH mVSHHFKl WKHUH DW LVVXH ZRXOG LQFLWH D