81,7('67$7(6',675,&7&2857 )257+(',675,&72)&2/80%,$ BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB &$86(2)$&7,21 3ODLQWLII Y &LYLO$FWLRQ1R $%- ,17(51$/5(9(18(6(59,&( 'HIHQGDQW BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB 0(025$1'8023,1,21 3ODLQWLII &DXVH RI $FWLRQ EURXJKW WKLV DFWLRQ XQGHU WKH )UHHGRP RI ,QIRUPDWLRQ $FW ³)2,$´DJDLQVWWKH,QWHUQDO5HYHQXH6HUYLFH³,56´3ODLQWLII VXVSHFWV WKDWVRPHRQHZLWKLQ WKH([HFXWLYH2IILFHRIWKH3UHVLGHQWXQODZIXOO\UHTXHVWHGWD[SD\HURU³UHWXUQLQIRUPDWLRQ´IURP WKH,56DQGLWVHHNVUHFRUGVWRSURYHLWVDOOHJDWLRQV &RPSO>'NW@ 7KHSDUWLHVKDYHEHHQ EHIRUHWKH&RXUWEHIRUHRQ$XJXVWWKH&RXUWIRXQGWKHDJHQF\¶VVHDUFKHIIRUWV WREH LQDGHTXDWHDQGLW UHPDQGHGWKHPDWWHUWRWKH ,56VRWKDWWKH DJHQF\ FRXOGFRQGXFW DGGLWLRQDO VHDUFKHVDQGUHOHDVHDQ\QRQH[HPSWSRUWLRQVRIUHVSRQVLYHUHFRUGVWRSODLQWLIICause of Action v. IRS)6XSSG''& 7KH DJHQF\ FRQGXFWHG DQRWKHU VHDUFK EXW LW GLG QRW ORFDWH DQ\ DGGLWLRQDO UHVSRQVLYH UHFRUGV6RWKHSDUWLHVKDYHDJDLQERWKPRYHGIRUVXPPDU\MXGJPHQWDQGSODLQWLIIKDVPRYHGWR VWULNH SDUW RI RQH RI WKH DJHQF\¶V GHFODUDWLRQV 'HI¶V 0RW IRU 6XPP- >'NW @ ³'HI¶V 0RW´0HPRI3 $LQ6XSSRI'HI¶V0RW>'NW@³'HI¶V0HP´3O¶V&URVV0RW IRU6XPP- 0RWWR6WULNH>'NW@³3O¶V0RW´3O¶V0HPRI3 $LQ2SSWR'HI¶V 0RW LQ6XSSRI3O¶V0RW>'NW@³3O¶V0HP´7KHPRWLRQWRVWULNHZLOOEHGHQLHG DQG EHFDXVH WKH &RXUW FRQFOXGHV WKDW WKH DJHQF\¶V VHDUFKHV ZHUH DGHTXDWH XQGHU DOO RI WKH FLUFXPVWDQFHVLWZLOOJUDQWGHIHQGDQW¶VPRWLRQ IRUVXPPDU\MXGJPHQW DQGGHQ\WKHPRWLRQILOHG E\SODLQWLII %$&.*5281' , &DXVHRI$FWLRQ¶V)2,$5HTXHVWDQGWKH&RXUW¶V5HPDQG 2Q2FWREHUSODLQWLIIUHTXHVWHGHLJKWFDWHJRULHVRIUHFRUGVIURP GHIHQGDQW([ WR&RPSO>'NW@³)2,$5HT´ 2QO\WZRVHWVRIUHFRUGV ± FDWHJRULHVWKUHHDQGIRXURI SODLQWLII¶VRULJLQDOUHTXHVW± UHPDLQDWLVVXH $Q\FRPPXQLFDWLRQVE\RUIURPDQ\RQHLQWKH([HFXWLYH2IILFHRI WKH 3UHVLGHQW FRQVWLWXWLQJ UHTXHVWV IRU WD[SD\HU RU ³UHWXUQ LQIRUPDWLRQ´ZLWKLQWKHPHDQLQJRI D WKDWZHUHQRWPDGH SXUVXDQWWR J $OOGRFXPHQWVLQFOXGLQJQRWHVDQGHPDLOVUHIHUULQJRUUHODWLQJWR DQ\FRPPXQLFDWLRQGHVFULEHGLQUHTXHVW )2,$5HT DW ,QRWKHUZRUGVWKH)2,$UHTXHVWVSHFLILFDOO\FDOOHGIRUUHFRUGVRIUHTXHVWVIRU FRQILGHQWLDOWD[SD\HULQIRUPDWLRQPDGHRXWVLGHRIQRUPDOFKDQQHOV ,QWKHSDUWLHVPRYHGIRUVXPPDU\MXGJPHQWRQLVVXHVUHODWLQJWRWKHDGHTXDF\RIWKH DJHQF\¶V VHDUFKHV DQG WKH DJHQF\¶V LQYRFDWLRQ RI FHUWDLQ VWDWXWRU\ H[HPSWLRQV WR UHGDFW LQIRUPDWLRQ IURPWKHUHFRUGVLWUHWULHYHG $WWKDWWLPHWKH&RXUWFRQFOXGHGWKDWWKHVHDUFKIRU UHFRUGVUHVSRQVLYHWRFDWHJRULHVWKUHHDQGIRXUZDVLQDGHTXDWHCause of Action)6XSSG DW± 7KHDJHQF\KDGVHDUFKHGIRUUHVSRQVLYHUHFRUGVLQWKH2IILFHRI/HJLVODWLYH$IIDLUV DQG LW DOVR VHDUFKHG WKH 6HUYLFHV DQG (QIRUFHPHQW 2IILFH WKH 6PDOO %XVLQHVV6HOI (PSOR\HG 7KH&RXUW¶VSUHYLRXVRSLQLRQVHWVRXWWKHIXOOUHTXHVWCause of Action)6XSSGDW ± 2Q 1RYHPEHU WKH &RXUW JUDQWHG GHIHQGDQW¶V XQRSSRVHG PRWLRQ WR GLVPLVV SODLQWLII¶VFODLPVZLWKUHVSHFWWRFDWHJRULHVVHYHQDQGHLJKWSee 2UGHU1RY>'NW@ &DWHJRU\VHYHQEHFDPHWKHVXEMHFWRIDVHSDUDWHODZVXLWE\SODLQWLIIDJDLQVWWKH7UHDVXU\,QVSHFWRU *HQHUDOIRU7D[$GPLQLVWUDWLRQDOVRNQRZQDV³7,*7$´See Cause of Action v. TIGTA) 6XSSG''&Cause of Action v. TIGTA)6XSSG''& IXQFWLRQ WKH ,560HGLD5HODWLRQV2IILFH DQG WKH 2IILFHRI WKH&RPPLVVLRQHU Id. DW ,W ORFDWHGDVHWRIGRFXPHQWVFDOOHG³WD[FKHFNV´ZKLFKDUHUHTXHVWVIRUWKHUHWXUQLQIRUPDWLRQRI LQGLYLGXDOVZKRDUHXQGHUFRQVLGHUDWLRQIRUYDULRXVDSSRLQWPHQWVWRSRVLWLRQVLQWKH([HFXWLYH %UDQFK EXW LW GLG QRW VHDUFK WKRVH GRFXPHQWV EHFDXVH LW FDWHJRULFDOO\ GHWHUPLQHG WKDW WKRVH UHFRUGVZRXOGEHH[HPSWIURPGLVFORVXUHXQGHU)2,$([HPSWLRQDQG86& DId. 7KH&RXUWIRXQG WKHDJHQF\¶V VHDUFKWREHLQDGHTXDWHEHFDXVHWKH GHFODUDWLRQVXEPLWWHG SURYLGHG³QRH[SODQDWLRQIRUWKH FRQFOXVLRQWKDWUHFRUGVRIUHTXHVWVPDGHE\WKH([HFXWLYH%UDQFK ZRXOGEHORFDWHGLQWKH2IILFHRILegislative $IIDLUVRULQDQ\RIWKHRWKHURIILFHV>WKHDJHQF\@ QDPHGRUZK\WKH\ZRXOGQRWEHHOVHZKHUH´Id. DW7KH&RXUWDOVRIDXOWHGWKHDJHQF\IRU IDLOLQJWRLGHQWLI\NH\ZRUGVRUVHDUFKWHUPVWKDWPLJKWLGHQWLI\³UHTXHVWVIRUµWD[SD\HURUUHWXUQ LQIRUPDWLRQ¶ E\ WKH ([HFXWLYH 2IILFH RI WKH 3UHVLGHQW WKDW ZHUH not PDGH SXUVXDQW WR VHFWLRQ J´Id. 7KH&RXUWUHPDQGHGWKHPDWWHUWRWKHDJHQF\WRFRQGXFWDGGLWLRQDOVHDUFKHVIRU UHFRUGVUHVSRQVLYH WRLWHPVWKUHHDQGIRXURISODLQWLII¶VUHTXHVW Id. ,, 7KHUHQHZHGVHDUFKIRUGRFXPHQWV 7KHDJHQF\KDVSURIIHUHGWKUHH GHFODUDWLRQVWRVXSSRUWLWVVHFRQGVHWRI VHDUFKHIIRUWVLQ WKLVFDVHWZRGHFODUDWLRQV RI6DUDK7DWHDQ$WWRUQH\LQWKH2IILFHRI &KLHI&RXQVHODWWKH,56 'HFORI6DUDK7DWH>'NW@³7DWH'HFO´ ±6HFRQG'HFORI6DUDK7DWH>'NW@ ³G7DWH'HFO´ ±DQG WKHGHFODUDWLRQRI /LQGD-0F&DUW\WKH'LUHFWRURIWKH2IILFHRI WKH([HFXWLYH6HFUHWDULDWLQWKH2IILFHRIWKH&KLHIRI6WDIIRIWKH,56 'HFORI/LQGD-0F&DUW\ >'NW@³0F&DUW\'HFO´ 7KH&RXUWDOVRUHPDQGHGWKHVHDUFKIRUGRFXPHQWVLQFDWHJRULHVILYHDQGVL[Cause of Action)6XSSGDWEXWWKHSDUWLHVODWHUVWLSXODWHGWKDWWKHDJHQF\KDG³VDWLVILHGLWV REOLJDWLRQVXQGHUWKH)2,$ZLWKUHJDUGWRLWHPVDQGRI3ODLQWLII¶V )2,$UHTXHVW´ -RLQW6WLS >'NW@DW 7KH DJHQF\ DWWRUQH\ VWDWHG WKDW WKH ³2IILFH RI WKH &RPPLVVLRQHU LV WKH RQO\ RIILFH RU GLYLVLRQRIWKH,56OLNHO\WRUHFHLYHFRUUHVSRQGHQFHIURPWKH([HFXWLYH2IILFHRIWKH3UHVLGHQW WKDW LV UHVSRQVLYH WR LWHPV DQG ´ RI SODLQWLII¶V UHTXHVW DQG WKDW WKH 2IILFH RI WKH ([HFXWLYH 6HFUHWDULDW ZKLFK LV ZLWKLQ WKH 2IILFH RI WKH &RPPLVVLRQHU LV UHVSRQVLEOH IRU ³UHFHLYLQJ DQG WUDFNLQJFRUUHVSRQGHQFHIURPWKH([HFXWLYH2IILFHRIWKH3UHVLGHQWDQGGHWHUPLQLQJKRZHDFK LWHPVKRXOGEHKDQGOHG´7DWH'HFO7KHUHIRUHDFFRUGLQJWRWKHGHFODUDWLRQVWKH2IILFHRI WKH([HFXWLYH6HFUHWDULDW LVWKHFRPSRQHQWZKHUHUHVSRQVLYHUHFRUGVZHUHPRVWOLNHO\WREHIRXQG 0F&DUW\DYHUVWKDWWKH2IILFHRIWKH([HFXWLYH6HFUHWDULDW >5@HFHLYHGVHYHUDOFRPPXQLFDWLRQVHDFKPRQWKIURPWKH:KLWH+RXVHWKDW SHUWDLQHGWRWKHWD[PDWWHUVRIVSHFLILFWD[SD\HUV7KHVHFRPPXQLFDWLRQV ZHUHFRUUHVSRQGHQFHWKHVSHFLILFWD[SD\HUDGGUHVVHGWRWKH3UHVLGHQWWKH )LUVW/DG\RUWKH9LFH3UHVLGHQWVHHNLQJDVVLVWDQFHZLWKDWD[PDWWHU7KH :KLWH +RXVH IRUZDUGHG VXFK FRPPXQLFDWLRQV ZLWKRXW FRPPHQW WR WKH ,56IRUKDQGOLQJ,QHDFKLQVWDQFHVWDIIRIWKH,562IILFHRIWKH([HFXWLYH 6HFUHWDULDW HQWHUHG WKH FRPPXQLFDWLRQ LQ WKH FRUUHVSRQGHQFHWUDFNLQJ V\VWHP(7UDNDQGWKHQIRUZDUGHGWKHFRPPXQLFDWLRQWRWKH,56RIILFHRU GLYLVLRQUHVSRQVLEOHIRUWKHWD[PDWWHUIRUGLUHFWUHVSRQVHWRWKHWD[SD\HU 7KH :KLWH +RXVH GLG QRW UHTXHVW LQIRUPDWLRQ DERXW WKH WD[SD\HU RU WD[ PDWWHUDQGZDVQRWLQIRUPHGLQZULWLQJRUYHUEDOO\DQ\WKLQJDERXWKRZWKH ,56KDQGOHGHDFKPDWWHU,WZDVWKHDSSDUHQWEXVLQHVVSUDFWLFHRIWKH:KLWH +RXVHWRVHQGDOOFRUUHVSRQGHQFHSHUWDLQLQJWRWD[SD\HUVSHFLILFPDWWHUVWR WKH2IILFHRIWKH([HFXWLYH6HFUHWDULDW 0F&DUW\'HFO 7KHDJHQF\DOVRH[SODLQHG WKDWWKH³(7UDNGDWDEDVHSURYLGHVWKH6HUYLFH¶VOHDGHUVKLSDQG EXVLQHVV XQLWV WKH DELOLW\ WR PDQDJH LQFRPLQJ FRUUHVSRQGHQFH IURP DQG UHSOLHV WR inter alia WD[SD\HUV&RQJUHVVWKH7UHDVXU\'HSDUWPHQWWKH:KLWH+RXVHWKH*RYHUQPHQW$FFRXQWDELOLW\ 2IILFHDQGWKH7UHDVXU\,QVSHFWRU*HQHUDOIRU7D[$GPLQLVWUDWLRQ´7DWH'HFO (DFKSLHFH RI FRUUHVSRQGHQFH LV VFDQQHG LQWR WKH (7UDN V\VWHP DQG LV FDWHJRUL]HG E\ VHQGHU GDWH DQG VXEMHFWPDWWHUWKHFRUUHVSRQGHQFHDORQJZLWKDQ\UHSOLHVWRWKDWFRUUHVSRQGHQFHFDQEHNH\ZRUG VHDUFKHG Id. 7RLGHQWLI\UHVSRQVLYHGRFXPHQWVLQWKH(7UDNGDWDEDVHWKHDJHQF\XWLOL]HG WKHIROORZLQJ VHDUFKWHUPV :KLWH+RXVH3UHVLGHQWRIWKH8QLWHG6WDWHV32786%DUDFN 2EDPD%XVK (23 DQG(23JRY7DWH'HFO 7KRVHWHUPVZHUHXVHGEHFDXVHWKH\ZHUH³VXEVWDQWLDOO\WKHVDPH VHDUFKWHUPVWKDWWKH&RXUWKHOGFRQVWLWXWHGDQDGHTXDWHVHDUFKIRUUHFRUGVUHVSRQVLYHWRLWHPV DQGRISODLQWLII¶V)2,$UHTXHVW´LQWKHSULRURSLQLRQ Id. see also Cause of Action)6XSS GDW±,Q)HEUXDU\RIWKHSDUWLHVDJUHHGWKDWWKHVHDUFKIRUUHVSRQVLYHUHFRUGVFRXOG EH OLPLWHG WR VSHFLILF RIILFHV ZLWKLQ WKH ([HFXWLYH 2IILFH RI WKH 3UHVLGHQW WKH &RXQFLO RI (FRQRPLF $GYLVRUV WKH ([HFXWLYH 5HVLGHQFH WKH 1DWLRQDO 6HFXULW\ &RXQFLO WKH 2IILFH RI $GPLQLVWUDWLRQWKH2IILFHRIWKH9LFH3UHVLGHQWDQGWKH:KLWH+RXVH2IILFHId. 7KHSDUWLHV DOVRDJUHHGWRDGGLWLRQDOVHDUFKHVLQ(7UDNXVLQJWKHIROORZLQJVHDUFKWHUPV([HF5HV&($ 16&2$:+2)(&:+:+&2([HFXWLYH2IILFHRIWKH3UHVLGHQW 6WUHOND2IILFHRIWKH9LFH 3UHVLGHQW293DQG:KLWH+RXVH2IILFHId. 1HLWKHUVHDUFK\LHOGHGUHVSRQVLYHUHFRUGVId. )LQDOO\ WKH DJHQF\ DWWRUQH\ EHFDPH DZDUH WKDW SODLQWLII KDG UHTXHVWHG WKDW WKH DJHQF\ VHDUFKWZRRWKHUGDWDEDVHV± $)2,$DQG(',06± IRUUHVSRQVLYHUHFRUGV7DWH'HFO $)2,$ ³LV WKH QDWLRQZLGH LQYHQWRU\ FRQWURO DQG FDVH PDQDJHPHQW V\VWHP XVHG E\ WKH ,56 2IILFH RI 'LVFORVXUHWRWUDFNDQGSURFHVVUHTXHVWVIRUDJHQF\UHFRUGVPDGHSXUVXDQWWRVHFWLRQRIWKH ,QWHUQDO5HYHQXH&RGH)2,$DQGWKH3ULYDF\$FW´Id. $)2,$ZDVLPSOHPHQWHGLQWKH VXPPHURIId. (',06LVWKHOHJDF\V\VWHPWKDWZDVXVHGEHIRUHWKHLPSOHPHQWDWLRQRI $)2,$Id. 7KRXJKLWZDVWKHDJHQF\¶VSRVLWLRQ WKDWLW³GRHVQRWPDLQWDLQWKHUHFRUGVSODLQWLII VHHNV´LQHLWKHUGDWDEDVHLWYROXQWDULO\DJUHHGWRVHDUFKWKRVHGDWDEDVHV³LQDQH[FHVVRIFDXWLRQ 7KHRULJLQDO7DWHGHFODUDWLRQWZLFHPLVVSHOOHG3UHVLGHQW2EDPD¶VILUVWQDPHDV³%DUDN´ 7DWH'HFO :KLOHWKHDJHQF\FRQFOXGHGWKDWWKHLVVXHZDVZLWKWKHGHFODUDWLRQDQGQRW ZLWK WKH VHDUFK WKH DJHQF\ UHUDQ WKH VHDUFKHV XVLQJ WKH WHUP ³%DUDFN´ DQG GLG QRW ILQG DQ\ UHVSRQVLYHUHFRUGV G7DWH'HFO DQGWRIRUHVWDOOGLVSXWHVDERXWWKHVXIILFLHQF\RIWKHVHDUFKIRUUHVSRQVLYHUHFRUGV´Id. 7KH DJHQF\ VHDUFKHG ERWK GDWDEDVHV XVLQJ WKH IROORZLQJ WHUPV :+ (23 :KLWH +RXVH 2EDPD %DUDFN 2EDPD *HRUJH %XVK DQG ([HFXWLYH2IILFHRIWKH3UHVLGHQW Id. 1RUHVSRQVLYH UHFRUGVZHUHIRXQGId. ,,, 3URFHGXUDO+LVWRU\ $IWHUWKHVHVHDUFKHVZHUHFRPSOHWHWKHDJHQF\ PRYHGIRUVXPPDU\MXGJPHQWDWWDFKLQJD VWDWHPHQW RI IDFWV DQG WKH WZR GHFODUDWLRQV 'HI¶V 0RW 'HI¶V 0HP 'HI¶V 6WDWHPHQW RI 8QGLVSXWHG0DWHULDO)DFWV>'NW@³'HI¶V62)´7DWH'HFO0F&DUW\'HFO 3ODLQWLIIWKHQ ILOHGDFURVVPRWLRQ IRUVXPPDU\MXGJPHQWDQGLW DOVRPRYHGWRVWULNHSRUWLRQVRIWKH0F&DUW\ GHFODUDWLRQ3O¶V0RW3O¶V0HP ,WVXSSOLHGLWVRZQVWDWHPHQWRIXQGLVSXWHGPDWHULDOIDFWV 3O¶V 6WDWHPHQW RI 8QGLVSXWHG 0DWHULDO )DFWV >'NW @ ³3O¶V &URVV62)´ D UHVSRQVH WR GHIHQGDQW¶VVWDWHPHQWRIXQGLVSXWHGPDWHULDOIDFWV3O¶V5HVSWR'HI¶V62)>'NW @³3O¶V 62)´ DQG D GHFODUDWLRQ IURP LWV FRXQVHO 'HFO RI 5\DQ 3 0XOYH\ >'NW @ ³0XOYH\ 'HFO´ 2Q $XJXVWGHIHQGDQWILOHGDUHSO\LQVXSSRUWRILWVPRWLRQDQGLQRSSRVLWLRQWR SODLQWLII¶VFURVVPRWLRQDQGPRWLRQWRVWULNH5HSO\LQ6XSSRI'HI¶V0RW2SSWR3O¶V&URVV 0RW>'NW@³'HI¶V5HSO\´DORQJZLWKDUHVSRQVHWRSODLQWLII¶VVWDWHPHQWRIIDFWV'HI¶V 5HVSWR3O¶V&URVV62)>'NW@³'HI¶V&URVV62)´DQGDVHFRQGGHFODUDWLRQIURP7DWH G7DWH'HFO$QGRQ$XJXVWSODLQWLIIILOHGDFURVVUHSO\LQVXSSRUWRILWVFURVVPRWLRQ DQGLQVXSSRUWRILWVPRWLRQWRVWULNH3O¶V&URVV5HSO\LQ6XSSRI3O¶V&URVV0RW>'NW@ ³3O¶V&URVV5HSO\´ 2Q$SULOWKH&RXUWKHOGDVWDWXVFRQIHUHQFHLQWKHPDWWHU7URI 6WDWXV&RQIHUHQFH>'NW@³7U´ 67$1'$5'2)5(9,(: ,QD)2,$FDVHWKHGLVWULFWFRXUWUHYLHZVWKHDJHQF\¶VGHFLVLRQVde novo DQG³WKHEXUGHQ LVRQWKHDJHQF\WRVXVWDLQLWVDFWLRQ´86&D%Military Audit Project v. Casey )G '& &LU ³>7@KH YDVW PDMRULW\ RI )2,$ FDVHV FDQ EH UHVROYHG RQ VXPPDU\MXGJPHQW´Brayton v. Office of U.S. Trade Rep.)G'&&LU 6XPPDU\MXGJPHQWLVDSSURSULDWH³LIWKHPRYDQWVKRZVWKDWWKHUHLVQRJHQXLQHGLVSXWHDV WRDQ\PDWHULDOIDFWDQGWKHPRYDQWLVHQWLWOHGWRMXGJPHQWDVDPDWWHURIODZ´)HG 5&LY3 D 7KH SDUW\ VHHNLQJ VXPPDU\ MXGJPHQW ³EHDUV WKH LQLWLDO UHVSRQVLELOLW\ RI LQIRUPLQJ WKH GLVWULFW FRXUW RI WKH EDVLV IRU LWV PRWLRQ DQG LGHQWLI\LQJ WKRVH SRUWLRQV RI WKH SOHDGLQJV GHSRVLWLRQVDQVZHUVWRLQWHUURJDWRULHVDQGDGPLVVLRQVRQILOHWRJHWKHUZLWKWKHDIILGDYLWVLIDQ\ ZKLFKLWEHOLHYHVGHPRQVWUDWHWKHDEVHQFHRIDJHQXLQHLVVXHRIPDWHULDOIDFW´Celotex Corp. v. Catrett 86 LQWHUQDO TXRWDWLRQ PDUNV RPLWWHG 7R GHIHDW VXPPDU\ MXGJPHQWWKHQRQPRYLQJSDUW\PXVW³GHVLJQDWHVSHFLILF IDFWVVKRZLQJ WKDWWKHUHLVDJHQXLQH LVVXHIRUWULDO´Id. DWLQWHUQDOTXRWDWLRQPDUNVRPLWWHG 7KH PHUH H[LVWHQFH RI D IDFWXDO GLVSXWH LV LQVXIILFLHQW WR SUHFOXGH VXPPDU\ MXGJPHQW Anderson v. Liberty Lobby, Inc.86±$GLVSXWHLV³JHQXLQH´RQO\LID UHDVRQDEOHIDFWILQGHUFRXOGILQGIRUWKHQRQPRYLQJSDUW\DIDFWLV³PDWHULDO´ RQO\LILWLVFDSDEOH RIDIIHFWLQJWKHRXWFRPHRIWKHOLWLJDWLRQId. DW Laningham v. U.S. Navy)G '&&LU,QDVVHVVLQJDSDUW\¶VPRWLRQWKHFRXUWPXVW³YLHZWKHIDFWVDQGGUDZ UHDVRQDEOHLQIHUHQFHVµLQWKHOLJKWPRVWIDYRUDEOHWRWKHSDUW\RSSRVLQJWKHVXPPDU\MXGJPHQW PRWLRQ¶´Scott v. Harris86DOWHUDWLRQVRPLWWHGTXRWLQJUnited States v. Diebold, Inc.86SHUFXULDP ³7KHUXOHJRYHUQLQJFURVVPRWLRQVIRU VXPPDU\MXGJPHQW LVWKDWQHLWKHUSDUW\ZDLYHVWKHULJKWWRDIXOOWULDORQWKHPHULWVE\ILOLQJ LWVRZQPRWLRQHDFKVLGHFRQFHGHVWKDWQRPDWHULDOIDFWVDUHDWLVVXHRQO\IRUWKHSXUSRVHVRILWV RZQ PRWLRQ´ Sherwood v. Wash. Post )G Q '& &LU TXRWLQJ McKenzie v. Sawyer )GQ'& &LU ,QDVVHVVLQJHDFKSDUW\¶VPRWLRQ³>D@OO XQGHUO\LQJIDFWVDQGLQIHUHQFHVDUHDQDO\]HGLQWKHOLJKWPRVWIDYRUDEOHWRWKHQRQPRYLQJSDUW\´ N.S. ex rel. Stein v. District of Columbia ) 6XSS G''& FLWLQJAnderson 86DW ³6XPPDU\ MXGJPHQW PD\ EH JUDQWHG RQ WKH EDVLV RI DJHQF\ DIILGDYLWV´ LQ )2,$ FDVHV ZKHQ WKRVH DIILGDYLWV ³FRQWDLQ UHDVRQDEOH VSHFLILFLW\ RI GHWDLO UDWKHU WKDQ PHUHO\ FRQFOXVRU\ VWDWHPHQWV´DQGZKHQ³WKH\DUHQRWFDOOHGLQWRTXHVWLRQE\FRQWUDGLFWRU\HYLGHQFHLQWKHUHFRUG RUE\HYLGHQFHRIDJHQF\EDGIDLWK´Judicial Watch, Inc. v. U.S. Secret Serv.)G '&&LUTXRWLQJConsumer Fed’n of Am. v. Dep’t of Agric.)G'&&LU $1$/<6,6 )2,$UHTXLUHVWKHUHOHDVHRIJRYHUQPHQWUHFRUGVXSRQUHTXHVW,WVSXUSRVHLV³WRHQVXUH DQLQIRUPHGFLWL]HQU\YLWDOWRWKHIXQFWLRQLQJRIDGHPRFUDWLFVRFLHW\QHHGHGWRFKHFNDJDLQVW FRUUXSWLRQ DQG WR KROG WKH JRYHUQRUV DFFRXQWDEOH WR WKH JRYHUQHG´ NLRB v. Robbins Tire & Rubber Co. 86$WWKHVDPHWLPH&RQJUHVVUHFRJQL]HG³WKDWOHJLWLPDWH JRYHUQPHQWDODQGSULYDWHLQWHUHVWVFRXOGEHKDUPHGE\UHOHDVHRIFHUWDLQW\SHVRILQIRUPDWLRQDQG SURYLGHG QLQH VSHFLILF H[HPSWLRQV XQGHU ZKLFK GLVFORVXUH FRXOG EH UHIXVHG´ FBI v. Abramson 86 see also Ctr. for Nat’l Sec. Studies v. DOJ )G '&&LU ³)2,$UHSUHVHQWVDEDODQFHVWUXFNE\&RQJUHVVEHWZHHQWKHSXEOLF¶VULJKW WRNQRZDQGWKHJRYHUQPHQW¶VOHJLWLPDWHLQWHUHVWLQNHHSLQJFHUWDLQLQIRUPDWLRQFRQILGHQWLDO´ FLWLQJJohn Doe Agency v. John Doe Corp.86 7RSUHYDLOLQD)2,$DFWLRQDQDJHQF\PXVWGHPRQVWUDWHWKDWLWKDVPDGH³DJRRGIDLWK HIIRUW WR FRQGXFW D VHDUFK IRU WKH UHTXHVWHG UHFRUGV XVLQJ PHWKRGV ZKLFK FDQ EH UHDVRQDEO\ H[SHFWHGWRSURGXFHWKHLQIRUPDWLRQUHTXHVWHG´Oglesby v. U.S. Dep’t of Army)G '&&LU:KHQDQDJHQF\¶VVHDUFKLVTXHVWLRQHGLWPXVWVKRZ³EH\RQGPDWHULDOGRXEW WKDW LWV VHDUFK ZDV UHDVRQDEO\ FDOFXODWHG WR XQFRYHU DOO UHOHYDQW GRFXPHQWV´ Ancient Coin Collectors Guild v. U.S. Dep’t of State)G'&&LU, TXRWLQJValencia- Lucena v. U.S. Coast Guard)G'&&LUsee also Oglesby)GDW Weisberg v. DOJ)G'&&LU 7RGHPRQVWUDWHWKDWLWKDVSHUIRUPHGDQDGHTXDWHVHDUFKIRUGRFXPHQWVUHVSRQVLYHWRD )2,$ UHTXHVW DQ DJHQF\ PXVW VXEPLW D UHDVRQDEO\ GHWDLOHG DIILGDYLW GHVFULELQJ WKH VHDUFK Oglesby)GDWsee also Defs. of Wildlife v. U.S. Border Patrol)6XSSG ''& $QDIILGDYLWLV³UHDVRQDEO\GHWDLOHG´LILW³VHW>V@IRUWKWKHVHDUFKWHUPVDQGWKH W\SHRIVHDUFKSHUIRUPHGDQGDYHU>V@WKDWDOOILOHVOLNHO\WRFRQWDLQUHVSRQVLYHPDWHULDOVLIVXFK UHFRUGVH[LVWZHUHVHDUFKHG´Oglesby)GDWsee also Defs. of Wildlife)6XSS GDW 7R PHHWWKHVHUHTXLUHPHQWVWKHDIILGDYLWPXVWDWOHDVWLQFOXGHWKHDJHQF\¶V³UDWLRQDOHIRU VHDUFKLQJ FHUWDLQORFDWLRQVDQGQRWRWKHUV´ Defs. of Wildlife )6XSS G DW $JHQF\ DIILGDYLWVDWWHVWLQJWRDUHDVRQDEOHVHDUFK³DUHDFFRUGHGDSUHVXPSWLRQRIJRRGIDLWK´SafeCard Servs., Inc. v. SEC)G'&&LU³LIWKH\DUHQRWFDOOHGLQWRTXHVWLRQE\ FRQWUDGLFWRU\HYLGHQFHLQWKHUHFRUGRUE\HYLGHQFHRIDJHQF\EDGIDLWK´Judicial Watch )GDW TXRWLQJConsumer Fed’n of Am.)GDW $QDJHQF\¶VGHFODUDWLRQV³QHHGQRWµVHWIRUWKZLWKPHWLFXORXVGRFXPHQWDWLRQ WKHGHWDLOVRI DQHSLFVHDUFKIRUWKHUHTXHVWHGUHFRUGV¶´Defs. of Wildlife)6XSSGDWTXRWLQJPerry v. Block )G '& &LU EXW WKH\ VKRXOG ³GHVFULEH ZKDW UHFRUGV ZHUH VHDUFKHGE\ZKRPDQGWKURXJKZKDWSURFHVVHV´ Id.TXRWLQJSteinberg v. DOJ)G '&&LU&RQFOXVRU\DVVHUWLRQVDERXWWKHDJHQF\¶VWKRURXJKQHVVDUHQRWVXIILFLHQW See Morley v. CIA)G±'&&LU , 7KHPRWLRQWRVWULNHZLOOEHGHQLHG 3ODLQWLIIKDVPRYHGWRVWULNHSRUWLRQVRIWKHGHFODUDWLRQRI/LQGD0F&DUW\ZKLFKZDVILOHG LQVXSSRUWRIWKHDJHQF\¶VPRWLRQIRUVXPPDU\MXGJPHQWVRWKH&RXUWZLOOWDNHXSWKDWLVVXHILUVW 3ODLQWLIIFLWHV)HGHUDO5XOHRI&LYLO3URFHGXUHFZKLFK UHTXLUHVWKDWDGHFODUDWLRQXVHGWR VXSSRUWRURSSRVHDPRWLRQIRUVXPPDU\MXGJPHQW³EHPDGHRQSHUVRQDONQRZOHGJHVHWRXWIDFWV WKDWZRXOGEHDGPLVVLEOHDVHYLGHQFHDQGVKRZWKDWWKHDIILDQWRUGHFODUDQWLVFRPSHWHQWWRWHVWLI\ RQWKHPDWWHUVVWDWHG´ )HG5&LY3F 3ODLQWLIIREMHFWVWRWKHILQDOVHQWHQFHRISDUDJUDSKWKUHHRIWKH0F&DUW\GHFODUDWLRQDQGWR WKHHQWLUHW\RISDUDJUDSKILYHRIWKH0F&DUW\GHFODUDWLRQ,QWKHFKDOOHQJHGVHQWHQFHLQSDUDJUDSK WKUHH0F&DUW\DYHUVWKDW³>L@WZDVWKHDSSDUHQWEXVLQHVVSUDFWLFHRIWKH:KLWH+RXVHWRVHQGDOO FRUUHVSRQGHQFHSHUWDLQLQJWRWD[SD\HUVSHFLILFPDWWHUVWRWKH2IILFHRIWKH([HFXWLYH6HFUHWDULDW´ 0F&DUW\'HFO 3ODLQWLIIDUJXHVWKDW0F&DUW\ZKR³LVQRWDQHPSOR\HHRIWKH:KLWH+RXVH >DQG@KDVQHYHUEHHQDQHPSOR\HHRIWKH:KLWH+RXVH´ODFNVSHUVRQDONQRZOHGJHWRWHVWLI\DERXW ³:KLWH+RXVHSUDFWLFHV´3O¶V0HPDW%XW0F&DUW\¶VXVHRIWKHZRUG³DSSDUHQW´PDNHVLW FOHDUWKDWVKHLVVSHDNLQJDERXWZKDWVKHKDVEHHQDEOHWRREVHUYH±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³VSHFXODWLYH´DQGLWDUJXHVWKDW WKHUHLV³QRWKLQJLQKHUGHFODUDWLRQWRLQGLFDWHWKDW0V0F&DUW\KDVDQ\SHUVRQDONQRZOHGJHRI WKHVHWRSLFV´3O¶V0HPDW 7KH&RXUWILQGVWKDWVLQFH 0F&DUW\KDVZRUNHGDWWKH,56IRUWHQ \HDUVDQGVKHKDGVHUYHGDVWKH'LUHFWRURIWKH2IILFHRI([HFXWLYH6HFUHWDULDWIRUQLQHPRQWKVDW WKHWLPHRIKHUGHFODUDWLRQVKHKDVVXIILFLHQWSHUVRQDONQRZOHGJHWRGHVFULEH WKHDJHQF\SROLFLHV WKDWZHUHLQSODFHDQGKDGEHHQFRPPXQLFDWHGWRHPSOR\HHV2EYLRXVO\ QRGHFODUDQWFDQ UXOHRXW WKHSRVVLELOLW\WKDWDQHPSOR\HHPD\IDLOWRIROORZSURSHUSURFHGXUHDQGWKHUHIRUHLWZRXOGEH VSHFXODWLYHIRUKHUWRDYHUWKDWDQ\HPSOR\HHZKRHYHUDFWXDOO\UHFHLYHGDQLPSURSHUUHTXHVWLQ IDFWSURPSWO\IRUZDUGHGLWWRWKH2IILFHRIWKH([HFXWLYH6HFUHWDULDW %XWLWLVHTXDOO\ VSHFXODWLYH WRDVVXPHWKDWVXFKDUHTXHVWZDVPDGH 7KH&RXUWXQGHUVWDQGVWKLVSDUDJUDSKRIWKHGHFODUDWLRQ WR EH VLPSO\ D VWDWHPHQW RI ZKDW SURSHU SURFHGXUH ³ZRXOG KDYH´ UHTXLUHG LQ WKH K\SRWKHWLFDO VLWXDWLRQEHLQJGHVFULEHGDQGLWZLOOEHUHFHLYHGVROHO\RQWKDWEDVLV ,, 7KHVHDUFKIRUUHFRUGVUHVSRQVLYHWRUHTXHVWVWKUHH DQGIRXU ZDVDGHTXDWH ,QWKHWZRFDWHJRULHVRIWKH)2,$UHTXHVWWKDWUHPDLQ DWLVVXHSODLQWLIIVRXJKWGRFXPHQWV UHODWHGWR DQ\FRPPXQLFDWLRQVIURP WKH([HFXWLYH2IILFHRIWKH3UHVLGHQWDVNLQJIRUZKDWZRXOG FRQVWLWXWH FRQILGHQWLDOWD[SD\HURU³UHWXUQLQIRUPDWLRQ´XQGHU 86& DWKDWZHUHQRW PDGHSXUVXDQWWRWKHSURFHGXUHVLQ JWKDWJRYHUQRIILFLDOUHTXHVWVIRUWKLVLQIRUPDWLRQ 7KLVUHTXLUHG WKHDJHQF\WRGHWHUPLQHZKHUHGRFXPHQWVUHODWHGWRWKHVHVRUWVRIUHTXHVWVIURPWKH ([HFXWLYH2IILFHRI WKH3UHVLGHQW± ZKLFKVKRXOGQRWH[LVW± ZRXOGEHOLNHO\WREHIRXQGLIWKH\ GLGH[LVW DQGWRH[SODLQZK\LWORRNHGZKHUHLWGLGDQGXVHGWKHVHDUFKWHUPVLWVHOHFWHG ,Q LWV LQLWLDO RSLQLRQ WKH &RXUW IRXQG WKH RULJLQDO VHDUFKHV IRU UHFRUGV UHVSRQVLYH WR FDWHJRULHVWKUHHDQGIRXULQDGHTXDWHEHFDXVH >7KHGHFODUDQW@ SURYLGHVQRH[SODQDWLRQIRUKHUFRQFOXVLRQWKDWUHFRUGVRI UHTXHVWVPDGHE\WKH([HFXWLYH%UDQFKZRXOGEHORFDWHGLQWKH2IILFHRI /HJLVODWLYH$IIDLUVRULQDQ\RIWKHRWKHURIILFHVVKHQDPHGRUZK\WKH\ ZRXOGQRWEHHOVHZKHUH $OVRWKLVSRUWLRQRIWKH)2,$UHTXHVWVRXJKWD EURDGUDQJHRIUHFRUGV ± WKRVHUHODWHGWRUHTXHVWVIRU³WD[SD\HURUµUHWXUQ LQIRUPDWLRQ¶´E\WKH([HFXWLYH2IILFHRIWKH3UHVLGHQWWKDWZHUHQRWPDGH SXUVXDQWWRVHFWLRQJ ± DQG >WKH GHFODUDQW¶V@ IDLOXUH WR LGHQWLI\DQ\ NH\ ZRUGV RU VHDUFK WHUPV WKDW ZHUH XVHG RU WR GHVFULEH WKH W\SHV RI VHDUFKHVWKDWZHUHSHUIRUPHGLQDQ\GHWDLOXQGHUPLQHVDQ\FODLPWKDWWKH VHDUFKZDV³UHDVRQDEO\FDOFXODWHGWRXQFRYHUDOOUHOHYDQWGRFXPHQWV´ Cause of Action)6XSSGDW± LQWHUQDOFLWDWLRQVRPLWWHG $IWHUWKHUHPDQGWKH,56WRRNVWHSVWRUHPHG\ WKHGHILFLHQFLHV GHVFULEHG LQWKH&RXUW¶V SULRURSLQLRQ ,WLGHQWLILHGWKHRIILFHWKDWUHJXODUO\FRPPXQLFDWHVZLWKWKH([HFXWLYH2IILFHRIWKH 3UHVLGHQWDQGLWXWLOL]HGVHDUFKWHUPVWKDWZHUHDUULYHGXSRQWKURXJKGLVFXVVLRQVZLWKWKHSODLQWLII $QDJHQF\DWWRUQH\6DUDK7DWHKDVDYHUUHGWKDW 7KH2IILFHRIWKH&RPPLVVLRQHULVWKHRQO\RIILFHRUGLYLVLRQRIWKH,56 OLNHO\WRUHFHLYHFRUUHVSRQGHQFHIURPWKH([HFXWLYH2IILFHRIWKH3UHVLGHQW WKDW LV UHVSRQVLYH WR LWHPV DQG RI SODLQWLII¶V 2FWREHU )2,$ UHTXHVW :LWKLQ WKH 2IILFH RI WKH &RPPLVVLRQHU LV WKH 2IILFH RI WKH ([HFXWLYH 6HFUHWDULDW )RU WKH UHOHYDQW WLPH SHULRG WKH 2IILFH RI WKH ([HFXWLYH 6HFUHWDULDW ZDV UHVSRQVLEOH IRU UHFHLYLQJ DQG WUDFNLQJ FRUUHVSRQGHQFH DGGUHVVHG WR WKH 2IILFH RI WKH &RPPLVVLRQHU LQFOXGLQJ FRUUHVSRQGHQFHIURPWKH([HFXWLYH2IILFHRIWKH3UHVLGHQWDQGGHWHUPLQLQJ KRZ HDFK LWHP VKRXOGEHKDQGOHG$OOFRPPXQLFDWLRQVDGGUHVVHGWRWKH 2IILFHRIWKH&RPPLVVLRQHU ZHUHUHFRUGHGLQDFRPSXWHUL]HGWUDFNLQJ V\VWHPFDOOHG(7UDN 7DWH'HFO 7KH'LUHFWRURI([HFXWLYH6HFUHWDULDW/LQGD0F&DUW\VWDWHG WKDWDQ\FRPPXQLFDWLRQ KHU RIILFH UHFHLYHGIURPWKH:KLWH+RXVHZRXOGEHHQWHUHGLQWR(7UDN0F&DUW\'HFO 7KH DJHQF\WKHQVHDUFKHG(7UDNXVLQJWKHVHDUFKWHUPVWKDWKDGEHHQDSSURYHGLQWKH&RXUW¶VRULJLQDO RSLQLRQDVZHOODVDQDGGLWLRQDOVHWRIWHUPVHVWDEOLVKHGWKURXJKDQDJUHHPHQWZLWKWKHSODLQWLII See 7DWH 'HFO ± %HFDXVH WKH DJHQF\ VHDUFKHG WKH UHOHYDQW GDWDEDVH XVLQJ DJUHHGXSRQ VHDUFKWHUPVLWKDVVKRZQWKDW³DOOILOHVOLNHO\WRFRQWDLQUHVSRQVLYHPDWHULDOV´ZHUHVHDUFKHGDQG WKH&RXUWILQGVWKDWWKHVHDUFKZDV³UHDVRQDEO\H[SHFWHGWRSURGXFHWKHLQIRUPDWLRQUHTXHVWHG´ Oglesby)GDW ,,, 3ODLQWLII¶VFKDOOHQJHVWRWKHDGHTXDF\RIWKHVHDUFKGRQRWFUHDWHDJHQXLQHLVVXHRI PDWHULDOIDFW 3ODLQWLII FRQWLQXHVWRFKDOOHQJHWKHDGHTXDF\RIWKHVHDUFKDUJXLQJWKDWVLQFHWKHUHTXHVWV ZHUH DLPHG DW UHFRUGV RI XQDXWKRUL]HG GLVFORVXUHV LQ DGGLWLRQ WR GLVFORVXUHV WKURXJK SURSHU FKDQQHOV WKH DJHQF\ VKRXOG KDYH FRQGXFWHG D EURDG VHDUFK RI LWV HPDLO UHFRUGV WR ORFDWH UHVSRQVLYHPDWHULDOSee 3O¶V0HPDW± %HFDXVHWKHDJHQF\¶VGHFODUDWLRQVLQGLFDWHWKDWLW FRQGXFWHG ³UHDVRQDEO\ FDOFXODWHG´ VHDUFKHV LW IDOOV WR SODLQWLII WR ³LGHQWLI\ VSHFLILF DGGLWLRQDO SODFHVWKHDJHQF\VKRXOGQRZVHDUFK´Hodge v. FBI)G'&&LU6LQFH SODLQWLIIKDVIDLOHGWRPHHWWKDW EXUGHQRUFUHDWHDJHQXLQHLVVXHRIPDWHULDOIDFWDVWRWKHDGHTXDF\ RIWKHVHDUFKVXPPDU\MXGJPHQWZLOOEHHQWHUHGIRUWKHDJHQF\ ,QLWV)2,$UHTXHVWSODLQWLII DVNHGIRU³>D@Q\FRPPXQLFDWLRQVE\RUIURPDQ\RQHLQWKH ([HFXWLYH2IILFHRIWKH3UHVLGHQWFRQVWLWXWLQJUHTXHVWVIRUWD[SD\HURUµUHWXUQLQIRUPDWLRQ¶ ZLWKLQ WKHPHDQLQJRI DWKDWZHUH QRWPDGHSXUVXDQWWR J´)2,$5HTDW$QDJHQF\ KDV³DGXW\WRFRQVWUXHD)2,$UHTXHVWOLEHUDOO\´PETA v. NIH )G'&&LU TXRWLQJNation Magazine v. U.S. Customs Serv.)G'&&LUDQGWKH '& &LUFXLW KDV GLVDSSURYHG RI DJHQFLHV QDUURZLQJ WKH VFRSH RI D )2,$ UHTXHVW WR H[FOXGH PDWHULDOVUHDVRQDEO\ZLWKLQWKHGHVFULSWLRQSURYLGHGE\WKHUHTXHVWRUSee, e.g., LaCedra v. Exec. Office for U.S. Att’ys)G'&&LU Nation Magazine)GDW ± %XWWKDWLVQRWWKHVLWXDWLRQKHUH,QWKLVFDVHSODLQWLIIGHPDQGVWKDWWKHDJHQF\VHDUFKIRU UHFRUGVRIVXVSHFWHGXQDXWKRUL]HGFRQGXFW ± WKDWLVUHTXHVWVIRUFRQILGHQWLDOLQIRUPDWLRQPDGH RXWVLGHRIWKHVWDWXWRU\IUDPHZRUNDQGWKH,56¶VSURFHGXUHVIRUWKHKDQGOLQJRIFRPPXQLFDWLRQV ZLWKWKH:KLWH+RXVH See 3O¶V0HPDW,QRWKHUZRUGVQRWRQO\GRHVSODLQWLIIQRWNQRZ ZKHWKHUWKHUHFRUGVLWVHHNVH[LVW± WKH\DUHQRWVXSSRVHGWRH[LVW%XWWKLVUDLVHVWKHTXHVWLRQ KRZZRXOGWKHDJHQF\EHDEOHWRUHDVRQDEO\LGHQWLI\ZKHUHUHFRUGVWKDWVKRXOGQRWH[LVWDUHOLNHO\ WREHIRXQG" 3ODLQWLII VXEPLWV WKDW WKH ,56 VKRXOG KDYH VHDUFKHG WKH 2IILFH RI 3ULYDF\ *RYHUQPHQW /LDLVRQDQG'LVFORVXUH3O¶V0HPDW±EXWLWSRLQWVWRQRIDFWVWKDWZRXOGHQDEOHWKH&RXUW WRFRQFOXGHWKDWLWZRXOGKDYHEHHQDQ\PRUHUHDVRQDEOHRUOLNHO\WKDWWKHUHFRUGVZRXOGEHWKHUH WKDQVRPHZKHUHHOVH 3ODLQWLIIDOVRSURSRVHVWKDWWKHDJHQF\VKRXOG EHUHTXLUHGWRVHDUFK HPDLOUHFRUGV3O¶V 0HP DW ± ,W DUJXHV WKDW ³>J@LYHQ WKH SROLWLFDO VHQVLWLYLW\ RI XQDXWKRUL]HG UHTXHVWV IRU GLVFORVXUH RI WD[ UHWXUQV RU UHWXUQ LQIRUPDWLRQ LQGLYLGXDOV LQYROYHG ZLWK VXFK UHTXHVWV ZRXOG OLNHO\HPSOR\OHVVIRUPDOPHWKRGVRIFRPPXQLFDWLRQLQFOXGLQJHPDLO´ Id. DW3ODLQWLII SRLQWV WR WKH UHFHQW XQUHODWHG &RQJUHVVLRQDO LQYHVWLJDWLRQ LQWR WKH DJHQF\¶V KDQGOLQJ RI WD[H[HPSW HQWLWLHVDQGWKHIDFWWKDWWKHLQYHVWLJDWLRQXQHDUWKHGFRPPXQLFDWLRQVRQWKDW WRSLFPDGHYLDHPDLO DVDUHDVRQZK\LW LV³UHDVRQDEOHWRDVVXPHWKDWHPDLOFRUUHVSRQGHQFHZDVXVHGLQRWKHULQVWDQFHV RIDJHQF\ZURQJGRLQJ´Id. DW %XWWKHUHLVQRDFWXDOHYLGHQFHRIZURQJGRLQJLQWKLVFDVHDQG WKHREYLRXVIDFWWKDWHPSOR\HHVRIDQ\ JRYHUQPHQWRUSULYDWHHQWLW\DUHOLNHO\WRXVHHPDLO± IRU HLWKHUDSSURSULDWHRULQDSSURSULDWHFRPPXQLFDWLRQV± LVQRWHQRXJKWRVXSSRUWSODLQWLII¶VFDOOIRU DEURDGVHDUFKLQWRHPDLOLQWKLVSDUWLFXODULQVWDQFH $QGHYHQLIWKH&RXUWZHUHWRDJUHHZLWKWKHJHQHUDOSURSRVLWLRQWKDWUHTXHVWVIRUUHWXUQ LQIRUPDWLRQPDGHRXWVLGHRIWKHVWDWXWRULO\SUHVFULEHGFKDQQHOVFRXOGYHU\ZHOOEHFRPPXQLFDWHG WKURXJKHPDLOZKRVHHPDLOVKRXOGEHVHDUFKHG"3ODLQWLIIPDLQWDLQHGLQLWVSOHDGLQJVWKDWLWKDG PDGHQXPHURXVDWWHPSWVWRFROODERUDWHRQWKHLGHQWLILFDWLRQRISRWHQWLDOUHFRUGVFXVWRGLDQV3O¶V 0HPDW± %XWZKHQWKH&RXUWVXPPRQHGWKHSDUWLHVWRDVWDWXVFRQIHUHQFHDQGLQYLWHGWKH SODLQWLIIWRSURYLGHPRUHGLUHFWLRQSODLQWLIIDFNQRZOHGJHGWKDWLWKDGQRSDUWLFXODUHPDLODFFRXQWV LQPLQG7U DW±*LYHQSODLQWLII¶V LQDELOLW\ ³WR LGHQWLI\ VSHFLILFDGGLWLRQDOSODFHV WKH DJHQF\VKRXOGQRZVHDUFK´Hodge)GDWSODLQWLIIKDVQRWSRLQWHGWRDQ\JHQXLQHLVVXH RIIDFWUHODWHGWRWKHDGHTXDF\RIWKHVHDUFK 7KHODZLVFOHDUWKDW)2,$GRHVQRWSURYLGHUHTXHVWHUVZLWKDULJKWWRGHPDQG³DQ DOO HQFRPSDVVLQJILVKLQJH[SHGLWLRQ´RIILOHVLQHYHU\RIILFHZLWKLQDQDJHQF\Dale v. IRS) 6XSSG''& $QGWKHFRXUWQHHGQRW³HPEDUNRQDWLPHFRQVXPLQJDQGFRVWO\ JRRVHFKDVHLQSXUVXLWRISKDQWRPUHSRUWV>IURPWKHDJHQF\@´ Twist v. Ashcroft)6XSSG ''&aff’d)$SS¶['&&LU3ODLQWLIILVRIIHULQJDVVXPSWLRQV DQG DOOHJDWLRQV EXW ³PHUH VSHFXODWLRQ WKDW DV \HW XQFRYHUHG GRFXPHQWV PD\ H[LVW GRHV QRW XQGHUPLQHWKHILQGLQJWKDWWKHDJHQF\FRQGXFWHGDUHDVRQDEOHVHDUFK´Hodge)GDW TXRWLQJSafeCard)GDW see also Wilbur v. CIA)G'&&LU :KLOHWKHDale FDVHDURVHLQWKHFRQWH[WRIDPRWLRQWRGLVPLVVLWLVLQVWUXFWLYH³'DOH DVVHUWV WKDW KH ZDV VXEMHFWHG WR UHWDOLDWRU\ DXGLWV E\ WKH ,56 GXULQJ 3UHVLGHQW &OLQWRQ V DGPLQLVWUDWLRQ IURP -DQXDU\ WKURXJK -DQXDU\ DQG VHHNV DFFHVV WR DQ\ GRFXPHQWVLQWKHSRVVHVVLRQRIWKH,56WKDWKHEHOLHYHVZLOOHVWDEOLVKWKHSROLWLFDOQDWXUHRIWKHVH DFWLRQV´ Dale)6XSSGDW+HVRXJKW³DFFHVVWRµ>D@Q\DQGDOOGRFXPHQWVLQFOXGLQJ EXWQRWOLPLWHGWRILOHVWKDWUHIHURUUHODWHLQDQ\ZD\WR%LOO\5D\'DOH¶ Id. DW'DOHVWDWHG WKDWKLVUHTXHVWLQFOXGHGµall ,QWHUQDO5HYHQXH6HUYLFHRIILFHVGHSDUWPHQWVGHWDFKPHQWVEXUHDXV RSHUDWLQJ ORFDWLRQV ILHOG RIILFHV DJHQFLHV GLYLVLRQV GLUHFWRUDWHV FHQWHU KHDGTXDUWHUV DQGRU RWKHU,QWHUQDO5HYHQXH6HUYLFHRUJDQL]DWLRQVDQGHQWLWLHV¶´ Id. 7KHDJHQF\PRYHGWRGLVPLVV DUJXLQJWKDWSODLQWLIIGLGQRW³UHDVRQDEO\GHVFULEHWKHUHFRUGVVRXJKWLQKLVUHTXHVW´ Id. DW 7KHFRXUWDJUHHGZLWKWKHJRYHUQPHQWDQGJUDQWHGWKHPRWLRQWRGLVPLVVILQGLQJWKDWWKHIDLOXUH WRDGHTXDWHO\GHVFULEHWKHUHTXHVWDPRXQWHGWRDIDLOXUHWRH[KDXVWDGPLQLVWUDWLYHUHPHGLHVId. 7KH&RXUWFRQFOXGHGWKDW³>V@LPSO\SXW'DOH¶VVHDUFKUHTXHVWDPRXQWHGWRDQDOOHQFRPSDVVLQJ ILVKLQJ H[SHGLWLRQ RI ILOHV DW ,56 RIILFHV DFURVV WKH FRXQWU\ DW WD[SD\HU H[SHQVH´ Id. +HUH SODLQWLIIVXVSHFWVWKDWWKHUHZDVZURQJGRLQJLQFRQQHFWLRQZLWKDSDUWLFXODUWD[SD\HU¶VFRQILGHQWLDO LQIRUPDWLRQEXW)2,$GRHVQRWDXWKRUL]HZLGHUDQJLQJVHDUFKHVIRUUHFRUGVWKDWPD\RUPD\QRW HYHQH[LVW &21&/86,21 )RUWKRVH UHDVRQVWKH&RXUWZLOOJUDQWWKHDJHQF\¶VPRWLRQIRUVXPPDU\MXGJPHQWDQGLW ZLOO GHQ\ SODLQWLII¶V FURVVPRWLRQ IRU VXPPDU\ MXGJPHQW DQG SODLQWLII¶V PRWLRQ WR VWULNH $ VHSDUDWHRUGHUZLOOLVVXH $0<%(50$1-$&.621 8QLWHG6WDWHV'LVWULFW-XGJH '$7( 0D\