Interest of T.A.G. , 2019 ND 167 ( 2019 )

)LOHGE\&OHUNRI6XSUHPH&RXUW ,17+(6835(0(&2857 67$7(2)1257+'$.27$ 1' ,QWKH,QWHUHVWRI7$*  -XOLH/DZ\HU 3HWLWLRQHUDQG$SSHOOHH Y 7$* 5HVSRQGHQWDQG$SSHOODQW 1R $SSHDOIURPWKH'LVWULFW&RXUWRI%XUOHLJK&RXQW\6RXWK&HQWUDO-XGLFLDO 'LVWULFWWKH+RQRUDEOH-RKQ:*ULQVWHLQHU-XGJH 5(9(56(' 2SLQLRQRIWKH&RXUWE\&URWKHUV-XVWLFH -XOLH$/DZ\HU%XUOHLJK&RXQW\6WDWH¶V$WWRUQH\%LVPDUFN1'SHWLWLRQHU DQGDSSHOOHH 7\OHU-0RUURZ*UDQG)RUNV1'IRUUHVSRQGHQWDQGDSSHOODQW ,QWHUHVWRI7$* 1R &URWKHUV-XVWLFH >ˆ@ 7$* DSSHDOV IURP DQ RUGHU GHQ\LQJ GLVFKDUJH IURP FRPPLWPHQW DV D VH[XDOO\GDQJHURXVLQGLYLGXDO+HDUJXHVWKHILQGLQJVDUHLQVXIILFLHQWWRGHPRQVWUDWH KHKDVVHULRXVGLIILFXOW\FRQWUROOLQJKLVEHKDYLRU7KHRUGHUGHQ\LQJ7$*¶VSHWLWLRQ IRUGLVFKDUJHLVUHYHUVHGEHFDXVHWKHILQGLQJVDUHLQVXIILFLHQWWRFRQFOXGHWKHGXH SURFHVVUHTXLUHPHQWKDVEHHQPHWXQGHUKansas v. Crane86   , >ˆ@ ,QQHDUWKHHQGRIDILYH\HDUVHQWHQFHIRUFRQYLFWLRQRIFRUUXSWLRQRU VROLFLWDWLRQ RI D PLQRU WKH 6WDWH VXFFHVVIXOO\ SHWLWLRQHG WR FRPPLW 7$* DV D VH[XDOO\GDQJHURXVLQGLYLGXDO,QDQG7$*XQVXFFHVVIXOO\ SHWLWLRQHGIRUGLVFKDUJH7$*DSSHDOHGWKHRUGHUDQGWKLV&RXUWDIILUPHG Interest of T.A.G.1'1:G >ˆ@ ,Q7$*UHTXHVWHGDGLVFKDUJHKHDULQJXQGHU1'&&† 2Q6HSWHPEHUWKHGLVWULFWFRXUWKDGDKHDULQJDQGKHDUGWHVWLPRQ\IURPDQ H[DPLQLQJSV\FKRORJLVWDQG7$*2Q2FWREHUWKHFRXUWGHQLHG7$*¶V SHWLWLRQ IRU GLVFKDUJH  2Q 0D\   WKH FDVH ZDV UHPDQGHG IRU DGGLWLRQDO ILQGLQJVRIIDFWRQZKHWKHU7$*ZDVOLNHO\WRUHRIIHQGDQGKDGVHULRXVGLIILFXOW\ FRQWUROOLQJKLVEHKDYLRUInterest of T.A.G.1'1:G2Q 0D\WKHGLVWULFWFRXUWPDGHDGGLWLRQDOILQGLQJVRIIDFWFRQFOXVLRQVRIODZ DQGLVVXHGDQRUGHUIRUFRQWLQXLQJFRPPLWPHQW ,, >ˆ@ 7KLV&RXUWUHYLHZVFLYLOFRPPLWPHQWVRIVH[XDOO\GDQJHURXVLQGLYLGXDOVXQGHU DPRGLILHGFOHDUO\HUURQHRXVVWDQGDUGDQGZHZLOODIILUPDGLVWULFWFRXUWGHFLVLRQ XQOHVVLWLVLQGXFHGE\DQHUURQHRXVYLHZRIWKHODZRUZHDUHILUPO\FRQYLQFHGWKH  GHFLVLRQ LV QRW VXSSRUWHG E\ FOHDU DQG FRQYLQFLQJ HYLGHQFH  Interest of Tanner 1'ˆ1:G7KHEXUGHQLVRQWKH6WDWHWRSURYHE\FOHDUDQG FRQYLQFLQJ HYLGHQFH WKH SHWLWLRQHU UHPDLQV D VH[XDOO\ GDQJHURXV LQGLYLGXDO 1'&&†  7KH6WDWHPXVWSURYHWKUHHVWDWXWRU\HOHPHQWVWRVKRZWKH SHWLWLRQHUUHPDLQVDVH[XDOO\GDQJHURXVLQGLYLGXDOXQGHU1'&&†   ³>@>WKHLQGLYLGXDO@HQJDJHGLQVH[XDOO\SUHGDWRU\FRQGXFWDQG>@ KDVDFRQJHQLWDORUDFTXLUHGFRQGLWLRQWKDWLVPDQLIHVWHGE\DVH[XDO GLVRUGHUDSHUVRQDOLW\GLVRUGHURURWKHUPHQWDOGLVRUGHURUG\VIXQFWLRQ >@ WKDW PDNHV WKDW LQGLYLGXDO OLNHO\ WR HQJDJH LQ IXUWKHU DFWV RI VH[XDOO\SUHGDWRU\FRQGXFWZKLFKFRQVWLWXWHDGDQJHUWRWKHSK\VLFDORU PHQWDOKHDOWKRUVDIHW\RIRWKHUV´ >ˆ@ 7KH6WDWHDOVRPXVWPHHWVXEVWDQWLYHGXHSURFHVVUHTXLUHPHQWVE\SURYLQJWKH LQGLYLGXDO KDV VHULRXV GLIILFXOW\ LQ FRQWUROOLQJ KLV EHKDYLRU  Interest of Tanner 1'ˆ1:G&RQVLVWHQWZLWKWKHKROGLQJLQKansas v. Crane 86  WKHGHILQLWLRQRIDVH[XDOO\GDQJHURXVLQGLYLGXDOUHTXLUHV³SURRI RIDQH[XVEHWZHHQWKHUHTXLVLWHGLVRUGHUDQGGDQJHURXVQHVVWRHQFRPSDVVSURRIWKDW WKH GLVRUGHU LQYROYHV VHULRXV GLIILFXOW\ LQ FRQWUROOLQJ EHKDYLRU DQG VXIILFHV WR GLVWLQJXLVK D GDQJHURXV VH[XDO RIIHQGHU ZKRVH GLVRUGHU VXEMHFWV KLP WR FLYLO FRPPLWPHQWIURPWKHGDQJHURXVEXWW\SLFDOUHFLGLYLVWLQWKHRUGLQDU\FULPLQDOFDVH´ Interest of Carter  1'  ˆ   1:G  LQWHUQDO TXRWDWLRQ PDUNV RPLWWHG 1HLWKHURXUODZQRUKansas v. Crane³UHTXLUHWKHFRQGXFWHYLGHQFLQJWKH LQGLYLGXDO¶VVHULRXVGLIILFXOW\LQFRQWUROOLQJKLVEHKDYLRUWREHVH[XDOLQQDWXUH´In re Wolff1'ˆ1:G >ˆ@ &RQVWLWXWLRQDOFRQVLGHUDWLRQVUHTXLUHDFDXVDOFRQQHFWLRQEHWZHHQWKHGLVRUGHU DQG LQDELOLW\ WR FRQWURO EHKDYLRU ZKLFK ZRXOG OLNHO\ UHVXOW LQ IXWXUH VH[XDOO\ SUHGDWRU\FRQGXFW Tanner1'ˆ1:GMatter of J.M. 1'ˆ1:G7KHGLVWULFWFRXUWPD\FRQVLGHUQRQVH[XDO FRQGXFWGHPRQVWUDWLQJDVHULRXVGLIILFXOW\FRQWUROOLQJEHKDYLRUEXWWKHSUHVHQFHRI DPHQWDOGLVRUGHURUFRQGLWLRQDORQHGRHVQRWVDWLVI\WKHUHTXLUHPHQWRIFOHDUDQG FRQYLQFLQJHYLGHQFHWKHLQGLYLGXDOLVOLNHO\WRHQJDJHLQIXUWKHUVH[XDOO\SUHGDWRU\ FRQGXFWJ.M.1'ˆ1:G7KHGLVWULFWFRXUWPXVWVWDWHWKH  VSHFLILFIDFWXDOILQGLQJVXVHGWRVXSSRUWOHJDOFRQFOXVLRQVDQGHUUVDVDPDWWHURIODZ LIWKHILQGLQJVDUHLQVXIILFLHQWRUGRQRWVXSSRUWWKHOHJDOFRQFOXVLRQVId.DWˆ ,,, >ˆ@ 7KHSDUWLHVVWLSXODWHGWRHOHPHQWVRQHDQGWZR7KHFDVHZDVUHPDQGHGIRU DGGLWLRQDOILQGLQJVRIIDFWRQZKHWKHU7$*ZDVOLNHO\WRUHRIIHQGDQGKDGVHULRXV GLIILFXOW\FRQWUROOLQJEHKDYLRUEDVHGRQWKHIROORZLQJODQJXDJHIURPWKHLQLWLDORUGHU ³'U)R[¶VUHSRUWDQGWHVWLPRQ\LQGLFDWHWKDWWKH5HVSRQGHQWKDV VHULRXVGLIILFXOW\LQFRQWUROOLQJKLVEHKDYLRUZKLOHDWWKH6WDWH+RVSLWDO 7KH5HVSRQGHQWKDVKDGEHKDYLRUDOLVVXHVZKLOHLQWKH6WDWH+RVSLWDO 7KH5HVSRQGHQWKDVQRWFRPSOHWHGDOOOHYHOVRIWUHDWPHQWDVKHKDVD F\FOLFDO SDWWHUQ RI PDNLQJ SURJUHVV LQ WUHDWPHQW DQG WKHQ VOLSSLQJ EDFNZDUGV LQ WKH SURJUDP  'U )R[ LQGLFDWHG WKDW EDVHG RQ WKH 5HVSRQGHQW¶V KLVWRU\ RI VH[XDO SUHGDWRU\ FRQGXFW DQG QRQVH[XDO RIIHQVHVKLVKLVWRU\RISV\FKRSDWK\GUXJGHSHQGHQFHDQGKLVVH[XDO SUHRFFXSDWLRQPDNHLWOLNHO\WKDWWKH5HVSRQGHQWZRXOGKDYHVHULRXV GLIILFXOW\FRQWUROOLQJKLVEHKDYLRU ³7KH5HVSRQGHQWWHVWLILHGWKDWKHKDGFRPSOHWHGWUHDWPHQWDQG RQHRIWKHEHKDYLRUDOZULWHXSVQRWHGE\'U)R[ZKLFKLQFOXGHGD VWDWHPHQWDERXWµFUHDPSLH¶WKDWZDVLQWHUSUHWHGDVDVH[XDOFRPPHQW ZDVLQDFFXUDWH>VLF@+HWHVWLILHGWKDWKHGLGQRWVD\ZKDWZDVUHSRUWHG DQGWKHUHZDVQRVH[XDOLQQXHQGRLQZKDWKHGLGVD\+RZHYHUWKH &RXUW QRWHG WKDW WKHUH ZHUH DSSUR[LPDWHO\ WKLUW\   SDJHV RI 'U )R[¶VUHSRUWWKDWLQFOXGHGEHKDYLRULVVXHVQRWHGRIWKH5HVSRQGHQWDW WKH6WDWH+RVSLWDO7KHEHKDYLRUZULWHXSVDQGWUHDWPHQWQRWHVVKRZ WKH5HVSRQGHQWKDVVHULRXVGLIILFXOW\FRQWUROOLQJKLVVH[XDODQGRWKHU EHKDYLRUVLQDFRQWUROOHGVHWWLQJDWWKH6WDWH+RVSLWDO´ >ˆ@ 2QUHPDQGWKHGLVWULFWFRXUWPDGHDGGLWLRQDOILQGLQJVWKDWPHWWKHWKLUGSURQJ WKDW7$*LVOLNHO\WRUHRIIHQG(YLGHQFHVXSSRUWVWKHILQGLQJ7$*¶VGLDJQRVLV LPSDLUVKLVDELOLW\WRDSSUHFLDWHWKHFRQVHTXHQFHVRIKLVFULPLQDOEHKDYLRUDQGKHIDLOV WRUHFRJQL]HWKHKDUPKHFDXVHVWRKLVYLFWLPV7KHILQGLQJVDGGUHVVHGVSHFLILFULVN IDFWRUVRQ7$*¶VOLNHOLKRRGWRUHRIIHQGLQFOXGLQJWKHQXPEHURIVH[XDORIIHQVHV WKHGLYHUVLW\DQGHVFDODWLRQRIKLVRIIHQVHVLQFOXGLQJERWKQRQFRQWDFWDQGFRQWDFW W\SHDQGWKHDWWLWXGHWRZDUGVKLVRIIHQVHVLQFOXGLQJ7$*¶VEHOLHILWLVQDWXUDOIRU WKLUWHHQDQGIRXUWHHQ\HDUROGJLUOVWRKDYHVH[EDVHGRQLQIRUPDWLRQKHUHDGLQWKH  %LEOH7KHDGGLWLRQDOILQGLQJVDQDO\]HGWKHWHVWVFRUHVSURYLGHGE\WKHSV\FKRORJLVW DQGFRPSDUHGWKHUHVXOWVZLWKVLPLODULQPDWHVZLWKWKHVDPHFKDUDFWHULVWLFV7KH GLVWULFWFRXUWGLGQRWFOHDUO\HUULQILQGLQJ7$*LVOLNHO\WRUHRIIHQG >ˆ@ 5HJDUGLQJ WKH Crane GXH SURFHVV UHTXLUHPHQW DQG 7$*¶V GLIILFXOW\ FRQWUROOLQJKLVEHKDYLRUWKHDGGLWLRQDOILQGLQJVRIIDFWDGGUHVVWHVWLPRQ\DQGUHSRUWV RIWKHSV\FKRORJLVWWKDWZKLOH7$*HQJDJHVLQWUHDWPHQWWRDKLJKHUGHJUHHLQUHFHQW PRQWKVKHKDVQRWH[FHOOHGDQGFRQWLQXHVWRKDYHSUREOHPVLQKLVSURJUHVVRYHUWKH UHYLHZSHULRG ³:KLOHSURJUHVVLQWUHDWPHQWFDQEHDSURWHFWLYHIDFWRUWKDWPD\LPSDFW ULVN RI VH[XDO UHFLGLYLVP >WKH SV\FKRORJLVW@ LQGLFDWHG WKDW GXH WR >7$*¶V@GLDJQRVLVDQGULVNIDFWRUVDORQJHUDQGVXVWDLQHGSHULRGRI WLPHLVQHHGHGIRUKLPWRGHYHORSDQGVXVWDLQWKHVNLOOVQHFHVVDU\WR FRQWURO KLV EHKDYLRU LQ WKH FRPPXQLW\  7KH FRXUW ILQGV WKDW WKH SURJUHVVLVLQVXIILFLHQWWRHIIHFWLYHO\UHGXFHKLVULVNEHORZµOLNHO\WR UHRIIHQG¶>7KHSV\FKRORJLVW@QRWHGWKDWWKHSURJUHVVLQWUHDWPHQWE\ >7$*@ LV WHPSHUHG E\ KLV IDLOXUH WR DFFHSW UHVSRQVLELOLW\ IRU KLV DFWLRQV DQG KLV ODFN RI LPSXOVH FRQWURO DORQJ ZLWK LQDSSURSULDWH VWDWHPHQWVDQGDFWLRQVWRVWDIILQWKHKLJKO\UHVWULFWHGHQYLURQPHQWRI WKH6WDWH+RVSLWDO ³>7$*@FRQWLQXHVWRKDYHEHKDYLRUDOLVVXHVKDVQRWFRPSOHWHG DOOOHYHOVRIWUHDWPHQWDQGKHKDVDF\FOLFDOSDWWHUQRIPDNLQJSURJUHVV DQG WKHQ VOLSSLQJ EDFNZDUGV LQ WKH SURJUDP  >7KH SV\FKRORJLVW¶V@ >H@YDOXDWLRQ >X@SGDWH LQGLFDWHG >7$*@ ZDV EDFN RQ /HYHO  WKH ORZHVWOHYHODWWKH6WDWH+RVSLWDO$VVXFK>7$*@KDVQRWSURJUHVVHG LQ WUHDWPHQW WR OHVVHQ KLV GHJUHH RI ULVN DQG KDV GHPRQVWUDWHG KH FRQWLQXHVWRKDYHGLIILFXOW\IROORZLQJWKHUXOHV&RPELQHGZLWKKLV KLVWRU\ RI SUHGDWRU\ FRQGXFW DQG RWKHU RIIHQVHV KLV KLVWRU\ RI SV\FKRSDWK\ GUXJ GHSHQGHQFH DQG KLV VH[XDO SUHRFFXSDWLRQ WKLV FDXVHVWKH>F@RXUWWRILQGKLPWRKDYHVHULRXVGLIILFXOW\FRQWUROOLQJKLV EHKDYLRULIKHZHUHUHOHDVHGIURPWKH6WDWH+RVSLWDO´ >ˆ@ 7KHRULJLQDODQGDGGLWLRQDOILQGLQJVSURYLGHLQVXIILFLHQWHYLGHQFHWRVXSSRUW D ILQGLQJ 7$* KDV VHULRXV GLIILFXOW\ FRQWUROOLQJ KLV EHKDYLRU LQ D ZD\ WKDW GLVWLQJXLVKHVKLPIURPD³GDQJHURXVEXWW\SLFDOUHFLGLYLVWLQWKHRUGLQDU\FULPLQDO FDVH´Carter1'ˆ1:G/DFNRISURJUHVVZLWKLQWUHDWPHQW PD\LQGLFDWHVHULRXVGLIILFXOW\FRQWUROOLQJEHKDYLRUEXWRQHGRHVQRWHTXDOWKHRWKHU In re Johnson1'ˆ1:G/DFNRISURJUHVVLQWUHDWPHQWDORQH  LVLQVXIILFLHQWWRGHWHUPLQHDQLQGLYLGXDOKDVVHULRXVGLIILFXOW\FRQWUROOLQJSHUVRQDO EHKDYLRUDQGVSHFLILFILQGLQJVDUHUHTXLUHGWRPHHWWKH Crane UHTXLUHPHQWId >ˆ@ %RWK WKH RULJLQDO DQG DGGLWLRQDO ILQGLQJV DGGUHVV ³EHKDYLRUDO LVVXHV´ EXW VSHFLILFILQGLQJVGRQRWH[LVWEH\RQGRQHVWDWHPHQWUHJDUGLQJD³FUHDPSLH´7KH DGGLWLRQDOILQGLQJVUHO\RQ7$*¶VODFNRISURJUHVVZLWKLQWUHDWPHQWDVHYLGHQFHRI VHULRXVGLIILFXOW\FRQWUROOLQJEHKDYLRUKRZHYHU7$*¶VF\FOLFDOSDWWHUQRIPDNLQJ SURJUHVVDQGVOLSSLQJEDFNZDUGZDVLQFOXGHGDVDIDFWRULQWKHRULJLQDORUGHU7KH DGGLWLRQDOILQGLQJVRIIDFWUHIHUHQFHD0DUFKXSGDWHWRWKH-XQHDQQXDO HYDOXDWLRQEXWRQO\UHJDUGLQJ7$*¶VSURJUHVVLQWUHDWPHQW7KHDGGLWLRQDOILQGLQJV GLG QRW LQFOXGH IXUWKHU ILQGLQJV RI IDFW VXSSRUWLQJ 7$*¶V VHULRXV GLIILFXOW\ FRQWUROOLQJKLVEHKDYLRU7KHVWDWXVLQWUHDWPHQWDQGRQHVWDWHPHQWUHJDUGLQJ³FUHDP SLH´GRQRWHVWDEOLVKDVHULRXVGLIILFXOW\FRQWUROOLQJEHKDYLRUVXIILFLHQWWRVDWLVI\WKH Crane GXH SURFHVV UHTXLUHPHQW  7KHUHIRUH WKH ILQGLQJ WKDW 7$* LV D VH[XDOO\ GDQJHURXVLQGLYLGXDOLVFOHDUO\HUURQHRXV ,9 >ˆ@ 7KHRUGHUGHQ\LQJ7$*¶VSHWLWLRQIRUGLVFKDUJHLVUHYHUVHGDQG7$*VKDOO EHUHOHDVHGIURPFLYLOFRPPLWPHQW >ˆ@ 'DQLHO-&URWKHUV -HURG(7XIWH -RQ--HQVHQ /LVD)DLU0F(YHUV *HUDOG:9DQGH:DOOH&-