Roh v. Lakeshore Estates ( 2001 )


Menu:
  • 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 ',$1( 52+ ; 3ODLQWLII$SSHOOHH    1R Y  !  /$.(6+25( (67$7(6 ,1&  'HIHQGDQW$SSHOODQW  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH0LGGOH'LVWULFWRI7HQQHVVHHDW1DVKYLOOH 1Rn7RGGs&DPSEHOO'LVWULFWsXGJH $UJXHG6HSWHPEHU 'HFLGHGDQG)LOHG)HEUXDU\ %HIRUH%2**668+5+(,15,&+DQG*,%621&LUFXLW sXGJHV BBBBBBBBBBBBBBBBB &2816(/ $5*8('+5RZDQ/HDWKHUV,,,0$1,(5 +(52' 1DVKYLOOH 7HQQHVVHH IRU $SSHOODQW  7RGG ( 3DQWKHU 781( (175(.,1  :+,7( 1DVKYLOOH 7HQQHVVHH IRU 7KH +RQRUDEOH sRKQ 5 *LEVRQ &LUFXLW sXGJH RI WKH 8QLWHG 6WDWHV &RXUW RI $SSHDOV IRU WKH (LJKWK &LUFXLW VLWWLQJ E\ GHVLJQDWLRQ   5RKY/DNHVKRUH(VWDWHV 1R $SSHOOHH21%5,()+5RZDQ/HDWKHUV,,,&KULVWRSKHU : &DUGZHOO *UHJRU\ + 2DNOH\ 0$1,(5  +(52' 1DVKYLOOH 7HQQHVVHH IRU $SSHOODQW  7RGG ( 3DQWKHU 781( (175(.,1  :+,7( 1DVKYLOOH 7HQQHVVHH IRU $SSHOOHH %2**6sGHOLYHUHGWKHRSLQLRQRIWKHFRXUWLQZKLFK 68+5+(,15,&+ s MRLQHG  *,%621 s SS   GHOLYHUHGDVHSDUDWHGLVVHQWLQJRSLQLRQ BBBBBBBBBBBBBBBBB 23,1,21 BBBBBBBBBBBBBBBBB %2**6 &LUFXLW s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jVGHJUHHLQQXUVLQJ IURP1DVKYLOOHj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mGLVFULPLQDWRU\SROLF\ZLWKUHJDUGWRDGPLQLVWUDWRUVlGXULQJ WKH0HDGRZVIDFLOLW\SURPRWHG5RKWR'LUHFWRURI1XUVLQJ 5RK V HPSOR\PHQW DQG WKDW DOO DGPLQLVWUDWRUV ZKR ZHUH ZKLFKSXWKHULQFKDUJHRIWKHHQWLUHQXUVLQJRSHUDWLRQ HPSOR\HHV RI /DNHVKRUH ZHUH PHPEHUV RI WKH &KXUFK RI &KULVW$IWHU3RSHKDGEHHQDGPLWWHGWRWKH$,7SURJUDP $V'LUHFWRURI1XUVLQJ5RKjVUHVSRQVLELOLWLHVWRXFKHGRQ 5RKKDGDQRWKHURIVHYHUDOFRQYHUVDWLRQVZLWK6XOOLYDQDERXW DOPRVWHYHU\DVSHFWRIWKHIDFLOLW\6KHHQVXUHGFRPSOLDQFH KHUGHVLUHWREHFRPHDQDGPLQLVWUDWRU6XOOLYDQDJUHHGWKDW ZLWK D YDULHW\ RI VWDWH UHJXODWLRQV FRQFHUQLQJ SDWLHQW FDUH LWZDVDVWULNHDJDLQVWKHUWKDWVKHZDVQRWDPHPEHURIWKH 6KH RYHUVDZ WKH PHGLFDO UHFRUGV RSHUDWLRQ VXSHUYLVLQJ D &KXUFK FOHUNZKRPDLQWDLQHGWKHP5RKPRQLWRUHGSKDUPDFRORJLFDO WUHDWPHQWV WRRN FDUH WKDW WKH SKDUPDF\ GHSDUWPHQWjV 7KHUHLVVXIILFLHQWHYLGHQFHWRVXSSRUWWKHMXU\jVILQGLQJ LQVWUXFWLRQVZHUHIROORZHGDQGUHVSRQGHGWRWKHSKDUPDF\ WKDW5RKZDVTXDOLILHGXQGHUWKH7HQQHVVHH%RDUGUXOHVWR GHSDUWPHQWjVSHULRGLFDXGLWVRIPHGLFDWLRQXVH6KHURXWLQHO\ HQWHUWKH$,7SURJUDP,ZRXOGDIILUPWKHMXGJPHQW GHDOW ZLWK GLHWDU\ PDWWHUV DQG ZRUNHG ZLWK WKH GLHWDU\ PDQDJHUWRNHHSSDWLHQWVZHOOQRXULVKHG6KHUHVSRQGHGWR SDWLHQWLQIHFWLRQVE\ZRUNLQJZLWKGRFWRUVDQGRYHUVHHLQJKHU VWDIIjVRQJRLQJWUHDWPHQWRILQIHFWLRXVSDWLHQWV+HUVRFLDO ZRUN IXQFWLRQV LQYROYHG GHDOLQJ ZLWK IDPLOLHVj FRQFHUQV DERXW WKHLU UHODWLYHjV WUHDWPHQW DQG WKH SDWLHQWVj RZQ FRQFHUQV8QWLOPLGZKHQ0HDGRZVKLUHGDOLFHQVHG VRFLDOZRUNHU5RKVKDUHGVRFLDOZRUNGXWLHVZLWKWKHZRPDQ GLUHFWO\UHVSRQVLEOHIRUVRFLDOZRUNWKHGLUHFWRURIWKHVRFLDO ZRUN GHSDUWPHQW  6KH RFFDVLRQDOO\ ZRUNHG LQ DGPLWWLQJ GHWHUPLQLQJZKHWKHUWKHIDFLOLW\FRXOGFDUHIRUDSURVSHFWLYH SDWLHQW +HUQXUVLQJGHSDUWPHQWZDVWKHELJJHVWGHSDUWPHQWLQWKH IDFLOLW\ KDG WKH ODUJHVW EXGJHW DQG GLUHFWO\ KDQGOHG WKH ODUJHVW SDUW RI WKH KRPHjV GD\WRGD\ RSHUDWLRQV  5RK VXSHUYLVHG DV PDQ\ DV  HPSOR\HHV LQFOXGLQJ KLULQJ HYDOXDWLQJUHSULPDQGLQJDQGWHUPLQDWLQJWKHP(YDOXDWLRQV RIKHURZQZRUNFRQVLVWHQWO\FRQWDLQHGH[FHOOHQWUHPDUNV DQGVKHUHFHLYHGDVHULHVRIUDLVHVDQGERQXVHVXQWLOMXVWWKUHH PRQWKV EHIRUH KHU WHUPLQDWLRQ  8QGHU 5RKjV YLHZ RI WKH IDFWVZKHQWKHIDFLOLW\jVDGPLQLVWUDWRUZDVQRWWKHUH5RKZDV mLQFKDUJHl3O%UDW G@HYHORSLPSRVHDQGHQIRUFHVWDQGDUGVZKLFK )RUWKHIRUHJRLQJUHDVRQVZHFRQFOXGHWKDWWKHHYLGHQFH PXVWEHPHWE\LQGLYLGXDOVLQRUGHUWRUHFHLYHDOLFHQVHDVD GLG QRW VXSSRUW WKH MXU\jV YHUGLFW :H 5(9(56( WKH QXUVLQJKRPHDGPLQLVWUDWRUZKLFKVWDQGDUGVDUHGHVLJQHGWR MXGJPHQWRIWKHGLVWULFWFRXUWGHQ\LQJ/DNHVKRUHjVPRWLRQV HQVXUHWKDWQXUVLQJKRPHDGPLQLVWUDWRUVDUHLQGLYLGXDOVZKR IRUMXGJPHQWDVDPDWWHURIODZDQG5(0$1'IRUHQWU\RI DUH RI JRRG FKDUDFWHU DQG RWKHUZLVH VXLWDEOH DQG ZKR E\ MXGJPHQWLQIDYRURI/DNHVKRUH WUDLQLQJ RU H[SHULHQFH LQ WKH ILHOG RI LQVWLWXWLRQDO DGPLQLVWUDWLRQ DUH TXDOLILHG WR VHUYH DV QXUVLQJ KRPH DGPLQLVWUDWRUVl7HQQ&RGH$QQ†† 7KH 7HQQHVVHH 6WDWH %RDUG RI ([DPLQHUV IRU 1XUVLQJ +RPH $GPLQLVWUDWRUV WKH m%RDUGl  SURPXOJDWHG 5XOHV UHJXODWLQJ OLFHQVXUH RI QXUVLQJ KRPH DGPLQLVWUDWRUV  5XOH nnGHVFULEHVWKHOLFHQVXUHSURFHVV7KLV5XOH UHTXLUHVDSSOLFDQWVWRUHFHLYHDSSURYDOIURPWKH%RDUGWRWDNH WKHOLFHQVXUHH[DPLQDWLRQDQGGHSHQGLQJRQWKHDSSOLFDQWjV IRUPDOHGXFDWLRQPD\UHTXLUHWKHDSSOLFDQWWRSDUWLFLSDWHLQ DQ$,7SURJUDPLQRUGHUWRVDWLVI\HGXFDWLRQDOSUHUHTXLVLWHV IRUWKHH[DPLQDWLRQ5XOHnn  M  VSHFLILHV WKDWDSSOLFDQWVKROGLQJDQDVVRFLDWHjVGHJUHHDQGKDYLQJmWZR   \HDUV RI DFFHSWDEOH PDQDJHPHQW H[SHULHQFHl PXVW FRPSOHWH D %RDUGDSSURYHG $,7 SURJUDP WR VDWLVI\ WKH HGXFDWLRQSUHUHTXLVLWHWRVLWWLQJIRUWKHH[DPLQDWLRQ8QGHU 5XOHnn  N DSSOLFDQWVZKRFRPSOHWHDQ$,7 SURJUDPLQRUGHUWRTXDOLI\HGXFDWLRQDOO\IRUOLFHQVXUHPXVW  %\ ZD\ RI FRPSDULVRQ D FDQGLGDWH ZLWK D EDFKHORUjV GHJUHH FDQ HQWHU DQ $,7 SURJUDP DQG EHFRPH DQ DGPLQLVWUDWRU ZLWKRXW KDYLQJ KDG DQ\ SULRU mDFFHSWDEOH PDQDJHPHQW H[SHULHQFHl 6HH 5XOH n n  M   $V sXGJH *LEVRQjV GLVFXVVLRQ RI sRKQ 3RSH UHYHDOV VHH LQIUD S  WKH %RDUGjV UXOH PD\ QRW PDNH D WUHPHQGRXV DPRXQW RI EXVLQHVV VHQVH 1HYHUWKHOHVV , IDLO WR VHH WKH UHOHYDQFH RI 0U 3RSHjV HQWHULQJ DQ $,7 SURJUDP ZLWK /DNHVKRUH IRU QR RQH KDV VXJJHVWHG WKDW WKH %RDUGjV 5XOHV XQODZIXOO\ GLVFULPLQDWH RQ WKH EDVLV RI UHOLJLRQ DQG LW DSSHDUV WKDW /DNHVKRUH IDLWKIXOO\ DSSOLHG WKRVH 5XOHV WR DGPLW 3RSH DQG H[FOXGH 5RK IURP LWV $,7 SURJUDP EDVHG RQ WKH HGXFDWLRQ UHTXLUHPHQW FRQWDLQHG LQ WKH WKRVH 5XOHV  5RKY/DNHVKRUH(VWDWHV 1R 1R 5RKY/DNHVKRUH(VWDWHV  DFFHSWDEOH PDQDJHPHQW H[SHULHQFH PXVW EH DFTXLUHG LQ VXEPLWDQH[DPLQDWLRQDSSOLFDWLRQDORQJZLWKYDULRXVRWKHU GHSDUWPHQWV RWKHU WKDQ WKH FDQGLGDWHjV SULPDU\ ILHOG  $ GRFXPHQWDWLRQDQGREWDLQ%RDUGDSSURYDORIWKHLUFDQGLGDF\ PD[LPXPRIVL[PRQWKVjH[SHULHQFHRXWRIWKHWRWDOWZHQW\ SULRUWREHJLQQLQJWKHSURJUDP IRXUFDQEHJDLQHGGXULQJWKH$,7SURJUDPLWVHOI(YHQLIZH DVVXPHnZLWKRXWDQ\HYLGHQFHRQWKHTXHVWLRQnWKDWWKH 5XOH n n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m$FFHSWDEOH PDQDJHPHQW H[SHULHQFHl FRQWHPSODWHV H[SHULHQFH LQ DOO GHSDUWPHQWV RU DUHDV RI WKH IDFLOLW\ 5RK DGPLWV WKDW VKH GLG QRW KDYH VXFK H[SHULHQFH DQG SURYLGHGKRZHYHUWKDWWKLVWHUPLVQRWWREHFRQVWUXHG QRWKLQJLQWKHUHFRUGVXSSRUWVDILQGLQJWKDWVKHGLG6KHGLG WRUHTXLUHWKDWWKHDSSOLFDQWKDYHVSHQWWKHHQWLUHQXPEHU QRWVHUYHDVDQDVVLVWDQWDGPLQLVWUDWRUDQGFRQFHGHGWKDWVKH RI\HDUVRImDFFHSWDEOHPDQDJHPHQWH[SHULHQFHlUHIHUUHG KDG QR H[SHULHQFH PDQDJLQJ SHRSOH ZKR ZRUNHG LQ DQ\ WR LQ 5XOH n n  M     DQG   LQ WKH GHSDUWPHQWRWKHUWKDQQXUVLQJ5RKjVDVVHUWLRQVLQKHUEULHI FDSDFLW\ RI DVVLVWDQW DGPLQLVWUDWRU  5HVSRQVLEOH DQG DW RUDO DUJXPHQW WKDW VKH ZDV mLQ FKDUJHl GXULQJ VXSHUYLVRU\H[SHULHQFHLQYDULRXVGHSDUWPHQWVZLWKLQWKH XQVSHFLILHG SHULRGV RI WKH DGPLQLVWUDWRUjV DEVHQFH DUH QRW IDFLOLW\PD\EHDSSOLHGWRPHHWWKHUHTXLUHPHQWVRI5XOH ERUQRXWE\WKH UHFRUGDVKHUWHVWLPRQ\UHFRXQWVQRPRUH nn M    DQG  DQGWKHWLPHVSHQWLQD WKDQ EHLQJ WKH SHUVRQ RWKHUV XVXDOO\ FDOOHG ZKHQ WKH ERDUG DSSURYHG $,7 SURJUDP PD\ DOVR EH FRXQWHG DGPLQLVWUDWRU FRXOG QRW UHVSRQG  )RU LWV SDUW /DNHVKRUH WRZDUG WKHVH UHTXLUHPHQWV >XS WR D PD[LPXP RI  LQWHUSUHWHGWKLVWHVWLPRQ\DWRUDODUJXPHQWWRSRUWUD\5RKDV PRQWKVXQGHU5XOHnn  N  @+RZHYHU DQDQVZHULQJVHUYLFHRUVRPHVRUWRIRQFDOOKDQG\PDQ:H QRPRUHWKDQWZRWKLUGV  RIWKHUHTXLUHGmDFFHSWDEOH QHHGQRWDFFHSWHLWKHUSDUW\jVDUJXPHQWDVWKHWHVWLPRQ\LQ PDQDJHPHQWH[SHULHQFHlFDQEHREWDLQHGLQDQ\RQHDUHD TXHVWLRQZRXOGQRWDVDPDWWHURIODZSHUPLWDUDWLRQDOWULHU RI WKH IDFLOLW\ HJ GLHWDU\ QXUVLQJ ILQDQFLDO  ,Q RIIDFWWRFRQFOXGHWKDW5RKKDGWZRPRQWKVRImDFFHSWDEOH DGGLWLRQJUHDWHUZHLJKWPD\EHDFFRUGHGWRH[SHULHQFH PDQDJHPHQWH[SHULHQFHl1RUFRXOGDUDWLRQDOWULHURIIDFW JDLQHGLQPRUHUHVSRQVLEOHDUHDVRIWKHIDFLOLW\ UHO\ RQ WKH IRUPHU %RDUG PHPEHUjV UHFRJQLWLRQ WKDW KLV DVVHVVPHQW RI 5RKjV TXDOLILFDWLRQV FRXOG EH RXWYRWHG 7KHGHIHQVHFDOOHG'U:LQIUH\/LQNZKRVHUYHGRQWKH EHFDXVHRWKHUPHPEHUVRIWKH%RDUGFRXOGDVDPDWWHURIUDZ %RDUG IRU VHYHQWHHQ \HDUV WR WHVWLI\ DERXW 5RKjV SRZHU YRWH WR SHUPLW DQ\RQH WR HQWHU DQ $,7 SURJUDP TXDOLILFDWLRQV WR HQWHU DQ $,7 SURJUDP  7KH WULDO FRXUW UHJDUGOHVVRITXDOLILFDWLRQV SHUPLWWHG KLP WR RIIHU KLV SHUVRQDO RSLQLRQ RI 5RKjV TXDOLILFDWLRQVDQGZKHWKHUKHWKRXJKWKHUTXDOLILFDWLRQVZHUH %HFDXVH5RKjVHYLGHQFHGLGQRWFDUU\KHUEXUGHQRISURYLQJ DFFHSWDEOHXQGHUWKH5XOHVEXWPDGHFOHDUWKDWWKHZLWQHVV KHUTXDOLILHGIRUWKHSRVLWLRQVKHVRXJKW/DNHVKRUHFRXOGQRW FRXOGQRWVSHDNIRUWKH%RDUGRUSUHGLFWZKDWWKH%RDUGPLJKW DVDPDWWHURIODZKDYHGLVFULPLQDWHGDJDLQVWKHULQGHQ\LQJ GR/LQNRSLQHGWKDWmDFFHSWDEOHPDQDJHPHQWH[SHULHQFHl KHU DGPLVVLRQ WR DQ $,7 SURJUDP  /DNHVKRUH KDYLQJ PHDQVmWKHDFWXDOSUDFWLFHRIPDQDJLQJYDULRXVGHSDUWPHQWV SUHYDLOHGRQWKHPHULWVRILWVDSSHDOZHQHHGQRWDGGUHVVWKH ZLWKLQ WKH QXUVLQJ KRPH LWVHOI  0DQDJLQJ FDQ EH WKH  5RKY/DNHVKRUH(VWDWHV 1R 1R 5RKY/DNHVKRUH(VWDWHV  VXSHUYLVLQJRIGHSDUWPHQWKHDGVRIYDULRXVGHSDUWPHQWV1RW FRQWHPSODWHVXSHUYLVRU\H[SHULHQFHQRWPHUHO\H[SHULHQFH KDYLQJn DV DQ H[DPSOH WR EH WKH GHSDUWPHQW KHDG RI GRLQJWKHZRUNRIWKHYDULRXVGHSDUWPHQWV KRXVHNHHSLQJEXWWKDWWKHGHSDUWPHQWKHDGRIKRXVHNHHSLQJ ZRXOGUHSRUWWR\RXDQG\RXVXSHUYLVHWKHLUDFWLYLWLHV%XW 5XOH n n   M   UHTXLUHV D FDQGLGDWH ZLWK \RXPXVWEHDPDQDJHURUUHVSRQVLEOHLQDOOWKHDUHDVDOO 5RKjVHGXFDWLRQWRREWDLQDWOHDVWWZR\HDUVRImDFFHSWDEOH WKH GHSDUWPHQWV RI WKH QXUVLQJ KRPHl KH VDLG  +H DOVR PDQDJHPHQWH[SHULHQFHlDOWKRXJK5XOHnn  FRQVWUXHGWKH5XOHVDVDXWKRUL]LQJEXWQRWUHTXLULQJWKH%RDUG DOORZV XS WR VL[ PRQWKV RI WKDW H[SHULHQFH WR EH DFTXLUHG WR SHUPLW FDQGLGDWHV WR DFTXLUH WKHLU ODVW VL[ PRQWKV RI ZKLOHFRPSOHWLQJDQDSSURYHG$,7SURJUDP7KRXJKQRWD DFFHSWDEOHPDQDJHPHQWH[SHULHQFHZKLOHLQDQ$,7SURJUDP PRGHO RI FOHDU GUDIWLQJ 5XOH n n    GHILQHV $FFRUGLQJWR/LQNmUHJDUGOHVVRIWKHDPRXQWRUGXUDWLRQRI mDFFHSWDEOH PDQDJHPHQW H[SHULHQFHl DQG DSSHDUV LQ IXOO WKHLU PDQDJHPHQW H[SHULHQFH    LI WKH\ KDYHQjW KDG VXSUD S   7KH GHILQLWLRQ UHSHDWHGO\ IRFXVHV RQ PDQDJHPHQWRUVXSHUYLVRU\H[SHULHQFHLQHYHU\GHSDUWPHQW DGPLQLVWUDWLRQ UHVSRQVLEOH VXSHUYLVRU\ H[SHULHQFH DQG RI WKH QXUVLQJ KRPHl WKRVH FDQGLGDWHV DUH QRW HOLJLEOH WR VLPLODU WHUPV HYRNLQJ WKH SDUHQW WHUPjV FRUH ZRUG HQWHUDQ$,7SURJUDP%DVHGRQWKHIDFWVUHFRXQWHGLQ5RKjV PDQDJHPHQW$OWKRXJKPXFKRIWKHGHILQLQJSDVVDJHXVHV GHSRVLWLRQDQGKHUWHVWLPRQ\DWWULDO/LQNGLGQRWUHJDUG5RK SHUPLVVLYH ODQJXDJH DQG RQH VHQWHQFH GHFODUHV WKDW DVKDYLQJVXIILFLHQWDFFHSWDEOHPDQDJHPHQWH[SHULHQFH,Q mµ$FFHSWDEOH PDQDJHPHQW H[SHULHQFHj FRQWHPSODWHV UHYLHZLQJDQDSSOLFDWLRQFRQWDLQLQJH[SHULHQFHOLNH5RKjV H[SHULHQFHLQDOOGHSDUWPHQWVRUDUHDVRIWKHIDFLOLW\lZLWKRXW /LQN ZRXOG UHFRPPHQG DGGLWLRQDO PDQDJHPHQW WUDLQLQJ UHLWHUDWLQJWKDWVXFKH[SHULHQFHEHPDQDJHULDOWKHGHILQLWLRQ EHIRUHHQWHULQJDQ$,7SURJUDPEHFDXVHKHVDLG5RKKDG DVDZKROHGLVSOD\VDQH[SHFWDWLRQRIRYHUVLJKWLQVWUXFWLRQ VXIILFLHQW PDQDJHULDO H[SHULHQFH LQ RQO\ RQH RI VL[ OHDGHUVKLS  VXSHULQWHQGHQFH DQG JRYHUQDQFH  0HUHO\ GHSDUWPHQWV ZRUNLQJLQDGHSDUWPHQWGRHVQRWVXIILFH6HH5XOHn n   GHILQLQJDFFHSWDEOHPDQDJHPHQWH[SHULHQFHDV 5RKGLVSXWHV/LQNjVDVVHVVPHQW6KHFODLPHGWKDWQRRQH m>W@KHDFWXDOSUDFWLFHRIKHDOWKFDUHIDFLOLW\DGPLQLVWUDWLRQLQ DW /DNHVKRUH HYHU WROG KHU WKDW VKH GLG QRW KDYH VXIILFLHQW DQLQSDWLHQWKHDOWKFDUHIDFLOLW\ZLWKJXLGDQFHDQGVKDULQJRI DFFHSWDEOH PDQDJHPHQW H[SHULHQFH  6KH WHVWLILHG WKDW VKH UHVSRQVLELOLW\ IURP WKH DGPLQLVWUDWRU    l HPSKDVLV PDQDJHGZRUNHUVRUKHUVHOISHUIRUPHGVXEVWDQWLDOIXQFWLRQV DGGHG   ,Q VKRUW WKH 5XOHV H[SHFWPDQDJHPHQW WKH YHU\ LQWKHQXUVLQJPHGLFDOUHFRUGVPHGLFDOVXSSOLHVDGPLVVLRQV ZRUGWKHGHILQLWLRQDWWHPSWVWRGHILQH,QWHUPVRIUHTXLULQJ LQIHFWLRQ FRQWURO  KRXVHNHHSLQJ DQG GLHWDU\ ILHOGV  VKH@ OHIW    LQWRSOD\LQDVVHVVLQJWKHXOWLPDWHTXHVWLRQRIGLVFULPLQDWLRQl HPSOR\PHQWZLWK/DNHVKRUHKDYHPDQDJHPHQWRUVXSHUYLVRU\ .RYDFHYLFKY.HQW6WDWH8QLY)G WK H[SHULHQFHLQILYHRXWRIWKHVL[GHSDUWPHQWVls$DW &LU  FLWLQJ5HHYHVDQGQRWLQJWKDWQRWKLQJmSUHYHQW>V@ WKHFRXUWIURPFRQVLGHULQJHYLGHQFHWKDWDOVREHDUVRQWKDW ,,,352&('85$/+,6725 W@KHUHDUHIDFWVLQWKHHYLGHQFHWRVXSSRUWWKH 5XOHVjODQJXDJHOHDYHVOLWWOHURRPIRUDUJXPHQWWKH5XOHV WKHRU\RIHLWKHUSDUW\l7KHFRXUWGHFLGHGWRmDOORZWKHMXU\  5RKY/DNHVKRUH(VWDWHV 1R 1R 5RKY/DNHVKRUH(VWDWHV  WRH[HUFLVHLWVMXGJPHQWDVWKHIDFWILQGHUDQGDSSO\WKHODZ ,952+j67,7/(9,,&/$,0 DVLQVWUXFWHGLQWKHMXU\FKDUJHl 0F'RQQHOO'RXJODVDQGLWVSURJHQ\HVWDEOLVKHGDEXUGHQ 7KH WULDO FRXUW DSSHDUV WR KDYH FRQVLGHUHG WKH LVVXH RI VKLIWLQJUHJLPHIRUDQDO\]LQJ7LWOH9,,FDVHVDOORFDWLQJWKH 5RKjV TXDOLILFDWLRQV HQWLUHO\ RQH RI IDFW DV LW QHYHU EXUGHQV RI SURGXFWLRQ DQG SHUVXDVLRQ  )LUVW WKH SODLQWLII LQWHUSUHWHGWKH%RDUGjV5XOHVDQGGLGQRWVSHFLILFDOO\UHVROYH PXVWHVWDEOLVKDSULPDIDFLHFDVHRIGLVFULPLQDWLRQ6HH7H[DV WKH TXHVWLRQ LQ GHFLGLQJ /DNHVKRUHjV SUHWULDO VXPPDU\ 'HSWRI&RPPXQLW\$IIDLUVY%XUGLQH86 MXGJPHQW PRWLRQ 6WLOO QRWKLQJ LQ WKH MXU\ FKDUJH GHDOW  ,QDIDLOXUHWRSURPRWHFDVHWKDWFRPSULVHVSURRIWKDW VSHFLILFDOO\ZLWKUHVROYLQJ5RKjVDELOLW\WRREWDLQWKH%RDUGjV L  SODLQWLII LV D PHPEHU RI D SURWHFWHG FODVV LL  VKH ZDV SHUPLVVLRQWRHQWHUDQ$,7SURJUDPRURWKHUZLVHDGGUHVVHG TXDOLILHGIRUWKHSRVLWLRQVKHVRXJKWLLL VKHZDVUHMHFWHGDQG WKHQDWXUHRIKHUTXDOLILFDWLRQV7KHFKDUJHPHQWLRQHGRQO\ LY WKHSRVLWLRQUHPDLQHGRSHQDIWHUKHUUHMHFWLRQRUZHQWWR WKDWDSODLQWLIIPXVWEHTXDOLILHGIRUWKHSRVLWLRQVKHFODLPVWR D OHVV TXDOLILHG DSSOLFDQW  8SRQ VXFK SURRI D WULHU RI IDFW KDYHEHHQGHQLHGEHFDXVHRIKHUUHOLJLRQ7KHYHUGLFWIRUP SUHVXPHV GLVFULPLQDWLRQ DQG mWKH EXUGHQ VKLIWV WR WKH UHSRUWVDJHQHUDOYHUGLFWRQWKH7LWOH9,,FODLPDQGGRHVQRW GHIHQGDQW WR DUWLFXODWH VRPH OHJLWLPDWH QRQGLVFULPLQDWRU\ FRQWDLQ DQ\ VSHFLILF ILQGLQJV ZLWK UHVSHFW WR 5RKjV UHDVRQ IRU WKH HPSOR\HHjV UHMHFWLRQl  ,G DW   m%\ TXDOLILFDWLRQV IRU WKH $,7 SURJUDP  7KH MXU\ UHWXUQHG D SURGXFLQJHYLGHQFH ZKHWKHUXOWLPDWHO\SHUVXDVLYHRUQRW RI YHUGLFWLQIDYRURI5RKIRULQEDFNSD\LQ QRQGLVFULPLQDWRU\UHDVRQV>GHIHQGDQWV@VXVWDLQ>@WKHLUEXUGHQ FRPSHQVDWRU\ GDPDJHV DQG  LQ IURQW SD\ IRU RISURGXFWLRQl6W0DU\jV+RQRU&HQWHUY+LFNV86 YLRODWLRQVRIERWKIHGHUDODQG7HQQHVVHHODZ7KHWULDOFRXUW     HPSKDVLV LQ RULJLQDO   m,Q WKH QDWXUH RI GHQLHG/DNHVKRUHjVSRVWYHUGLFWUHQHZHGPRWLRQIRUMXGJPHQW WKLQJVWKHGHWHUPLQDWLRQWKDWDGHIHQGDQWKDVPHWLWVEXUGHQ DW D PDWWHU RI ODZVHH )HG 5 &LY 3  E   DQG HQWHUHG RISURGXFWLRQ DQGKDVWKXVUHEXWWHGDQ\OHJDOSUHVXPSWLRQRI MXGJPHQWLQDFFRUGDQFHZLWKWKHMXU\jVYHUGLFW/DNHVKRUH LQWHQWLRQDO GLVFULPLQDWLRQ  FDQ LQYROYH QR FUHGLELOLW\ WLPHO\DSSHDOHG DVVHVVPHQWl  ,ELG  :KHQ WKH GHIHQGDQW DUWLFXODWHV D OHJLWLPDWH QRQGLVFULPLQDWRU\ UHDVRQ IRU XQGHUWDNLQJ DQ 7KLVFRXUWUHYLHZVWKHJUDQWRUGHQLDORIDmGLUHFWHGYHUGLFW DGYHUVH HPSOR\PHQW DFWLRQ WKH SODLQWLII PXVW LQWURGXFH E\WKHWULDOFRXUWXQGHUWKHVDPHVWDQGDUGXVHGE\WKDWFRXUW HYLGHQFH WKDW WKH SURIIHUHG UHDVRQ LV D SUHWH[W IRU LQGHWHUPLQLQJZKHWKHURUQRWLWZDVDSSURSULDWHWRJUDQWWKH GLVFULPLQDWLRQ,IWKHSODLQWLIIGRHVVRDQGSURFHHGVWRWULDO PRWLRQlLQWKHILUVWLQVWDQFH/HZLVY&LW\RI,UYLQH)G mWKH0F'RQQHOO'RXJODVIUDPHZRUNnZLWKLWVSUHVXPSWLRQV  WK&LU  TXRWLQJ6DZFKLFNY(,'X3RQW DQG EXUGHQVn GLVDSSHDU>V@ DQG WKH VROH UHPDLQLQJ LVVXH GH1HPRXUV &R)G WK&LU :H >EHFRPHV@  GLVFULPLQDWLRQ YHO QRQl  5HHYHV Y 6DQGHUVRQ PXVW ZLWKRXW ZHLJKLQJ WKH FUHGLELOLW\ RI WKH ZLWQHVVHV 3OXPELQJ 3URGXFWV ,QF  6 &W    DVFHUWDLQZKHWKHUWKHUHFRUGFRQWDLQVVXIILFLHQWHYLGHQFHIURP LQWHUQDOTXRWDWLRQVRPLWWHGFLWLQJ6W0DU\jV+RQRU&HQWHU ZKLFKWKHMXU\FRXOGILQGLQIDYRURIWKHSDUW\DJDLQVWZKRP DQG 8QLWHG 6WDWHV 3RVWDO 6HUYLFH %RDUG RI *RYHUQRUV Y WKHPRWLRQLVPDGH6HHLELGm2QO\ZKHQUHDVRQDEOH $LNHQV86   SHRSOHFRXOGFRPHWREXWRQHFRQFOXVLRQIURPWKHHYLGHQFH VKRXOG D FRXUW JUDQW D PRWLRQ IRU GLUHFWHG YHUGLFWl ,G DW $&RXUWRI$SSHDOVmVKRXOGQRWUHYLHZWKHFDVHIRUZKHWKHU  D SULPD IDFLH FDVH KDG EHHQ PDGH EXW UDWKHU ZKHWKHU WKH XOWLPDWH LVVXH RI GLVFULPLQDW>LRQ@ IDOOV LQ WKH IDYRU RI WKH 3ODLQWLIIVRU'HIHQGDQWl((2&Y$YHU\'HQQLVRQ&RUS )G WK&LU m2IFRXUVHHYLGHQFHWKDW

Document Info

Docket Number: 99-6172

Filed Date: 2/26/2001

Precedential Status: Precedential

Modified Date: 9/22/2015