                       81,7(' 67$7(6 ',675,&7 &2857
                       )25 7+( ',675,&7 2) &2/80%,$
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
                                     
-$&48(6 0,$1*2 et al.              
                                     
                  3ODLQWLII         
                                     
      Y                               &LYLO $FWLRQ 1R  $%-
                                     
'(02&5$7,& 5(38%/,&                 
2) 7+( &21*2 et al.                
                                     
                  'HIHQGDQW         
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
                                  0(025$1'80 23,1,21

       3ODLQWLIIV -DFTXHV 0LDQJR $QGUH 1JRPD 0DWDOD .D\D\D DQG 2XZR /LNXWX DOOHJH WKDW

WKH\ ZHUH EHDWHQ E\ VHFXULW\ IRUFHV RI WKH 'HPRFUDWLF 5HSXEOLF RI WKH &RQJR ³'5&´ ZKHQ WKH\

VWDJHG D SURWHVW DFURVV WKH VWUHHW IURP WKH :DVKLQJWRQ '& KRWHO ZKHUH WKH '5& 3UHVLGHQW DQG

KLV GHOHJDWLRQ ZHUH VWD\LQJ $FFRUGLQJ WR WKH FRPSODLQW WKH EHDWLQJ RQ WKH VLGHZDON DFURVV IURP

WKH &DSHOOD *HRUJHWRZQ +RWHO WRRN SODFH LQ IXOO YLHZ RI RIILFHUV RI WKH 'LVWULFW RI &ROXPELD

0HWURSROLWDQ 3ROLFH 'HSDUWPHQW ³03'´ DQG DJHQWV RI WKH 8QLWHG 6WDWHV 6HFUHW 6HUYLFH ³6HFUHW

6HUYLFH´ RU ³8666´ ZKR GHFOLQHG WR LQWHUYHQH 6HFRQG $P &RPSO >'NW  @   3ODLQWLIIV

KDYH EURXJKW QHJOLJHQFH FODLPV DQG FODLPV XQGHU  86&   DJDLQVW WKH ODZ HQIRUFHPHQW

DJHQFLHV DOOHJLQJ WKDW ERWK HQWLWLHV QHJOLJHQWO\ IDLOHG WR GR DQ\WKLQJ WR VWRS WKH '5& IRUFHV DQG

WKDW WKH\ DUH OLDEOH IRU WKH YLRODWLRQV RI SODLQWLIIV¶ FRQVWLWXWLRQDO ULJKWV WKDW WRRN SODFH WKDW GD\

See id.  ± ± ± 3ODLQWLIIV DOVR EURXJKW VHFWLRQ  QHJOLJHQFH DQG LQWHQWLRQDO

WRUW FODLPV DJDLQVW WKH FRPSDQLHV WKDW RZQ DQG RSHUDWH WKH &DSHOOD +RWHO ± &DSHOOD +RWHOV *URXS


       3ODLQWLIIV KDYH DOVR ILOHG FODLPV DJDLQVW WKH '5& VHYHUDO RI LWV RIILFLDOV DQG LWV VHFXULW\
IRUFHV LQ WKHLU RIILFLDO DQG LQGLYLGXDO FDSDFLWLHV See 6HFRQG $P &RPSO 7KLV RSLQLRQ GHDOV RQO\
ZLWK SODLQWLIIV¶ FODLPV DJDLQVW 03' WKH 6HFUHW 6HUYLFH DQG WKH FRPSDQLHV WKDW RZQ WKH &DSHOOD
+RWHO
//& ³&DSHOOD´ DQG &DVWOHWRQ +RWHO 3DUWQHUV //& ³&DVWOHWRQ´ WRJHWKHU ³WKH KRWHO

FRPSDQLHV´ ± id.  ± FODLPLQJ WKDW EHFDXVH WKH KRWHO FRPSDQLHV KRXVHG WKH '5& VHFXULW\

IRUFHV DQG IDLOHG WR SUHYHQW WKHP IURP DVVDXOWLQJ SODLQWLIIV WKH\ DFWHG QHJOLJHQWO\ YLRODWHG

SODLQWLIIV¶ FRQVWLWXWLRQDO ULJKWV DQG EHDU UHVSRQVLELOLW\ XQGHU WKH GRFWULQH RI respondeat superior

IRU WKH DOOHJHG DVVDXOW WUHVSDVVLQJ FRQYHUVLRQ DQG WKHIW FRPPLWWHG E\ WKH '5& See id.  ±

 ± ± ± )LQDOO\ SODLQWLIIV 0LDQJR DQG KLV ZLIH 0LFKHOLQH 0LDQJR ³0

0LDQJR´ KDYH ILOHG D ORVV RI FRQVRUWLXP FODLP DJDLQVW 03' WKH 6HFUHW 6HUYLFH DQG WKH KRWHO

FRPSDQLHV ZKLFK LV GHULYDWLYH RI 0LDQJR¶V QHJOLJHQFH FODLPV DQG DOOHJHV WKDW DV D UHVXOW RI WKH

DWWDFN RQ 0LDQJR SODLQWLII DQG KLV ZLIH KDYH VXIIHUHG D ORVV RI PDULWDO UHODWLRQV Id.  ±

       2Q $XJXVW  DQG   03' DQG WKH KRWHO FRPSDQLHV PRYHG WR GLVPLVV WKH VHFRQG

DPHQGHG FRPSODLQW SXUVXDQW WR )HGHUDO 5XOH RI &LYLO 3URFHGXUH E See 0HWURSROLWDQ 3ROLFH

'HSDUWPHQW¶V 0RW WR 'LVPLVV >'NW  @ ³03' 0RW´ DW  0HP 3 	 $ LQ 6XSS RI 03'¶V

0RW ³03' 0HP´ 7KH &DSHOOD *URXS¶V 0RW WR 'LVPLVV 3OV¶ 6HFRQG $P &RPSO >'NW  @

³&DSHOOD 0RW´ DW  $QG RQ 'HFHPEHU   WKH 6HFUHW 6HUYLFH PRYHG WR GLVPLVV WKH VHFRQG

DPHQGHG FRPSODLQW SXUVXDQW WR )HGHUDO 5XOHV RI &LYLO 3URFHGXUH E DQG E )HGHUDO

'HIV¶ 0RW WR 'LVPLVV 3OV¶ &RPSO >'NW  @ ³8666 0RW´ DW  0HP RI 3 	 $ LQ 6XSS RI

8666 0RW ³8666 0HP´

       $VVXPLQJ WKDW WKH FRPSODLQW LV WUXH LW FRQWDLQV GLVWXUELQJ DOOHJDWLRQV WKDW SODLQWLIIV ZHUH

VHULRXVO\ LQMXUHG E\ WKH '5& VHFXULW\ IRUFHV DQG RQH FDQ UHDGLO\ XQGHUVWDQG ZK\ SODLQWLIIV DUH

IUXVWUDWHG E\ WKH IDFW WKDW 86 ODZ HQIRUFHPHQW RIILFHUV VWRRG E\ ZKLOH LW KDSSHQHG %XW DSSO\LQJ

WKH ODZ DV WKH &RXUW LV ERXQG WR GR WKH &RXUW ILQGV WKDW WKH FRPSODLQW GRHV QRW VHW IRUWK D OHJDO

EDVLV WR KROG 03' WKH 6HFUHW 6HUYLFH RU WKH KRWHO FRPSDQLHV UHVSRQVLEOH IRU SODLQWLIIV¶ LQMXULHV

DQG WKHUHIRUH DOO WKUHH PRWLRQV WR GLVPLVV ZLOO EH JUDQWHG



                                                 
                                 )$&78$/ %$&.*5281'

       3ODLQWLII -DFTXHV 0LDQJR LV D UHIXJHH RI WKH '5& ZKR FXUUHQWO\ OLYHV LQ 0DU\ODQG 6HFRQG

$P &RPSO   +H GHVFULEHV KLPVHOI DV ³D NQRZQ RSSRQHQW DQG DFWLYLVW DJDLQVW WKH '5&

JRYHUQPHQW>¶V@ KXPDQ ULJKWV YLRODWLRQV´ id. DQG DORQJ ZLWK WKH RWKHU SODLQWLIIV KH PDNHV WKH

IROORZLQJ DOOHJDWLRQV LQ WKH FRPSODLQW

       2Q $XJXVW  WKURXJK   WKH 3UHVLGHQW RI WKH '5& -RVHSK .DELOD .DEDQJH

³3UHVLGHQW .DELOD´ DWWHQGHG WKH ³86 ± $IULFD /HDGHUV¶ 6XPPLW´ LQ :DVKLQJWRQ '& 6HFRQG

$P &RPSO    'XULQJ KLV YLVLW 3UHVLGHQW .DELOD DQG KLV GHOHJDWLRQ VWD\HG DW WKH &DSHOOD

+RWHO Id.   

       2Q $XJXVW   SODLQWLIIV 0LDQJR .D\D\D DQG /LNXWX VWDJHG D SURWHVW DJDLQVW WKH

'5& RQ WKH VLGHZDON DFURVV WKH VWUHHW IURP WKH &DSHOOD +RWHO 6HFRQG $P &RPSO   

$OWKRXJK 0LDQJR VRXJKW D SHUPLW IURP 03' IRU WKH SURWHVW KH ZDV LQIRUPHG WKDW KH GLG QRW QHHG

RQH EHFDXVH KLV JURXS ZRXOG LQFOXGH OHVV WKDQ WZHQW\ SHRSOH Id.   0LDQJR REVHUYHG ERWK

03' RIILFHUV DQG 6HFUHW 6HUYLFH DJHQWV LQ IURQW RI WKH KRWHO RQ WKDW GDWH Id.  

       6KRUWO\ DIWHU 0LDQJR .D\D\D DQG /LNXWX DUULYHG WKH '5&¶V SUHVV RIILFLDO GHIHQGDQW

-HDQPDULH .DVVDPED UHWXUQHG WR WKH KRWHO 6HFRQG $P &RPSO   0LDQJR DQG KLV IHOORZ

SURWHVWRUV VKRXWHG DW GHIHQGDQW .DVVDPED DQG KHOG XS VLJQV FRQGHPQLQJ UDSH FRUUXSWLRQ

JHQRFLGH GLFWDWRUVKLS DQG KXPDQ ULJKWV YLRODWLRQV LQ WKH '5& Id 7KHQ GHIHQGDQW .DVVDPED

HQWHUHG WKH KRWHO DQG FDPH EDFN RXW ZLWK ³DSSDUHQW VHFXULW\ HQIRUFHUV RI WKH .DELOD UHJLPH´ Id.

  3ODLQWLIIV FODLP WKDW WKH '5& VHFXULW\ IRUFHV DSSURDFKHG 0LDQJR DQG ³EHJDQ EHOLWWOLQJ

WKUHDWHQLQJ LQWLPLGDWLQJ DQG GLVUXSWLQJ´ KLP DQG WKH RWKHU SURWHVWRUV Id. 6RRQ DIWHU 3UHVLGHQW

.DELOD DUULYHG DW WKH KRWHO Id.   0LDQJR VWDUWHG VKRXWLQJ DW KLP DQG SODLQWLIIV FODLP WKDW




                                                 
3UHVLGHQW .DELOD UHFRJQL]HG 0LDQJR DV D ³GLVVLGHQW´ Id 3UHVLGHQW .DELOD WKHQ HQWHUHG WKH KRWHO

Id.  

        $IWHU 3UHVLGHQW .DELOD HQWHUHG WKH KRWHO DQRWKHU JURXS RI '5& VHFXULW\ IRUFHV DOOHJHGO\

³UXVKHG RXW´ RI WKH EXLOGLQJ DQG MRLQHG WKH VHFXULW\ JURXS DOUHDG\ KDUDVVLQJ 0LDQJR DQG WKH RWKHU

SURWHVWRUV 6HFRQG $P &RPSO   7KH\ ³LPPHGLDWHO\ EHJDQ SK\VLFDOO\ DWWDFNLQJ´ WKH

SURWHVWRUV DQG 0LDQJR ZDV ³NQRFNHG GRZQ WR WKH JURXQG EHDWHQ NLFNHG FKRNHG DQG VWRPSHG

RQ´ E\ WKH VHFXULW\ IRUFHV Id. $V D UHVXOW 0LDQJR ORVW VHYHUDO WHHWK VXIIHUHG D FRQFXVVLRQ DQG

LQMXUHG KLV VSLQH DQG QHFN Id. 3ODLQWLIIV DOOHJH WKDW DIWHU WKH '5& VHFXULW\ IRUFHV EHDW 0LDQJR

WKH\ EURNH LQWR KLV SDUNHG FDU DQG VWROH DPRQJ RWKHU WKLQJV SURWHVW PDWHULDOV D FRPSXWHU DQ

L3RG DQG D FDPHUD Id.  

        3ODLQWLII 1JRPD ZDV ZRUNLQJ DW WKH &DQDO ,QQ +RWHO ORFDWHG DFURVV WKH VWUHHW IURP WKH

&DSHOOD +RWHO DW WKH WLPH RI WKH SURWHVW DQG KH FDPH RXWVLGH WR REVHUYH LW 6HFRQG $P

&RPSO   3ODLQWLIIV FODLP WKDW WKH VHFXULW\ IRUFHV EHDWLQJ 0LDQJR VDZ 1JRPD DQG EHOLHYHG KH

ZDV D SDUW RI WKH SURWHVW VR WKH\ DWWDFNHG KLP DV ZHOO Id.

        3ODLQWLIIV DOOHJH WKDW GXULQJ DOO RI WKHVH HYHQWV 03' RIILFHUV DQG 6HFUHW 6HUYLFH DJHQWV RQ

WKH VFHQH REVHUYHG ZKDW WRRN SODFH EXW WRRN QR DFWLRQ H[FHSW WR XVKHU DZD\ WKH DWWDFNHUV DIWHU WKH\

KDG EHDWHQ 0LDQJR 6HFRQG $P &RPSO   ±  ±  7KH\ DOVR FODLP WKDW VLPLODU

LQFLGHQWV RFFXUUHG RQ $XJXVW  DQG   LQ IURQW RI WKH +D\V $GDPV +RWHO LQ :DVKLQJWRQ '&

ZKHQ VHFXULW\ IRUFHV IURP 7KH *DPELD DQRWKHU $IULFDQ FRXQWU\ EHDW SURWHVWHUV LQ IXOO YLHZ RI

ODZ HQIRUFHPHQW DJHQWV Id.  

                                       352&('85$/ +,6725<

        2Q -DQXDU\   FRXQVHO IRU SODLQWLII 0LDQJR VHQW D GHPDQG OHWWHU WR WKH 6HFUHW 6HUYLFH

VHWWLQJ IRUWK FODLPV RI QHJOLJHQFH FRQVWLWXWLRQDO YLRODWLRQV GHUHOLFWLRQ RI GXW\ DQG GLVFULPLQDWLRQ



                                                  
DULVLQJ RXW RI WKH $XJXVW   LQFLGHQW RXWVLGH RI WKH &DSHOOD +RWHO ([  WR 8666 0RW

>'NW  @ 7KH OHWWHU VWDWHG WKDW 0LDQJR ZDV ³DFFRPSDQLHG E\ RQH RU WZR SHUVRQ>V@´ GXULQJ

WKH LQFLGHQW DQG WKDW ³WKH RWKHU SURWHVWRU UDQ DZD\´ Id. ,W DOVR GHPDQGHG  LQ SHUVRQDO

LQMXU\ GDPDJHV IRU 0LDQJR ZLWKRXW LGHQWLI\LQJ DQ\ RWKHU FODLPDQWV Id. 7KH 6HFUHW 6HUYLFH

UHVSRQGHG E\ OHWWHU RQ $SULO   ,W VWDWHG WKDW LW KDG UHFHLYHG 0LDQJR¶V GHPDQG OHWWHU DQG

DVNHG 0LDQJR WR UHVXEPLW KLV FODLP XVLQJ DQ HQFORVHG 6WDQGDUG )RUP  LI KH VRXJKW WR ³SURFHHG

ZLWK D FODLP DJDLQVW WKH 6HFUHW 6HUYLFH XQGHU WKH >)HGHUDO 7RUWV &ODLPV $FW@´ ([  WR 8666 0RW

>'NW  @ 2Q 6HSWHPEHU   DIWHU WKLV ODZVXLW KDG DOUHDG\ EHHQ ILOHG DOO ILYH SODLQWLIIV

VHQW LQGLYLGXDOO\ FRPSOHWHG IRUPV WR WKH 6HFUHW 6HUYLFH ([  WR 8666 0RW >'NW  @ (DFK

SODLQWLII FODLPHG  LQ SHUVRQDO LQMXU\ GDPDJHV Id.

       3ODLQWLIIV 0LDQJR KLV ZLIH 0 0LDQJR DQG 1JRPD ILOHG WKLV DFWLRQ RQ $XJXVW  

&RPSO >'NW  @ 7KH FRPSODLQW ZDV DPHQGHG RQ )HEUXDU\   $P &RPSO >'NW  @

DQG DJDLQ RQ 0D\   See 6HFRQG $P &RPSO ,W FRQWDLQV WKH IROORZLQJ FRXQWV

       x   &RXQW , &ULPHV $JDLQVW +XPDQLW\ LQ 9LRODWLRQ RI WKH /DZ RI 1DWLRQV DQGRU 7UHDW\
           RI WKH 86 DJDLQVW WKH LQGLYLGXDORIILFLDO FDSDFLW\ GHIHQGDQWV WKH '5& DQG -RVHSK
           .DELOD
       x   &RXQW ,, &UXHO DQG 'HJUDGLQJ 7UHDWPHQW LQ 9LRODWLRQ RI WKH /DZ RI 1DWLRQV DQGRU
           7UHDW\ RI WKH 86 DJDLQVW WKH LQGLYLGXDORIILFLDO FDSDFLW\ GHIHQGDQWV WKH '5& DQG
           -RVHSK .DELOD
       x   &RXQW ,,, 'HSULYDWLRQ RI &RQVWLWXWLRQDO DQG &LYLO 5LJKWV LQ 9LRODWLRQ RI 
           86&    )LUVW $PHQGPHQW )UHHGRP RI 6SHHFK DQG $VVHPEO\ DJDLQVW DOO
           GHIHQGDQWV
       x   &RXQW ,9 'HSULYDWLRQ RI 5LJKW WR (QWHU 2QH¶V 2ZQ &RXQWU\ LQ 9LRODWLRQ RI WKH /DZ
           RI 1DWLRQV DQGRU 7UHDW\ RI WKH 86 DJDLQVW WKH LQGLYLGXDORIILFLDO FDSDFLW\ GHIHQGDQWV
           WKH '5& DQG -RVHSK .DELOD




      7KH FXUUHQW RSHUDWLYH FRPSODLQW DGGHG SODLQWLIIV /LNXWX DQG .D\D\D DQG UHLQVWDWHG VHYHUDO
FODLPV DJDLQVW 03' 8666 DQG WKH KRWHO FRPSDQLHV


                                                 
x   &RXQW 9 ,QIULQJHPHQW 8SRQ 5LJKWV WR )UHH ([SUHVVLRQ $VVHPEO\ 7KRXJKW DQG
    $VVRFLDWLRQ LQ 9LRODWLRQ RI WKH /DZ RI 1DWLRQV DQGRU 7UHDW\ RI WKH 86 DJDLQVW WKH
    LQGLYLGXDORIILFLDO FDSDFLW\ GHIHQGDQWV WKH '5& DQG -RVHSK .DELOD
x   &RXQW 9, 'HSULYDWLRQ RI (TXDO 3URWHFWLRQ 8QGHU WKH /DZ LQ 9LRODWLRQ RI WKH /DZ RI
    1DWLRQV DQGRU 7UHDW\ RI WKH 86 DJDLQVW WKH LQGLYLGXDORIILFLDO FDSDFLW\ GHIHQGDQWV
    WKH '5& DQG -RVHSK .DELOD
x   &RXQW 9,, $LGLQJ DQG $EHWWLQJ $FWV LQ 9LRODWLRQ RI WKH /DZ RI 1DWLRQV DQGRU 7UHDW\
    RI WKH 86 DJDLQVW WKH LQGLYLGXDORIILFLDO FDSDFLW\ GHIHQGDQWV WKH '5& DQG -RVHSK
    .DELOD
x   &RXQW 9,,, %DWWHU\ DJDLQVW WKH LQGLYLGXDORIILFLDO FDSDFLW\ GHIHQGDQWV WKH '5& DQG
    -RVHSK .DELOD
x   &RXQW ,; $VVDXOW DJDLQVW WKH LQGLYLGXDORIILFLDO FDSDFLW\ GHIHQGDQWV WKH '5& -RVHSK
    .DELOD DQG WKH KRWHO FRPSDQLHV
x   &RXQW ; 'HSULYDWLRQ RI &RQVWLWXWLRQDO DQG &LYLO 5LJKWV LQ 9LRODWLRQ RI 
    86&    ³)LUVW $PHQGPHQW )UHHGRP RI 6SHHFK $QG $VVHPEO\ &ODXVH
    )RXUWK $PHQGPHQW 'XH 3URFHVV DQG 6HDUFK DQG 6HL]XUH &ODXVHV )LIWK $PHQGPHQW
    &UXHO DQG 8QXVXDO 3XQLVKPHQW &ODXVH )LIWK $PHQGPHQW 7DNLQJV &ODXVH DQG
    )RXUWHHQWK $PHQGPHQW (TXDO 3URWHFWLRQ &ODXVH´ DJDLQVW WKH '5& -RVHSK .DELOD
    03' DQG WKH 6HFUHW 6HUYLFH
x   &RXQW ;, ,QWHQWLRQDO ,QIOLFWLRQ RI (PRWLRQDO 'LVWUHVV DJDLQVW WKH LQGLYLGXDORIILFLDO
    FDSDFLW\ GHIHQGDQWV WKH '5& DQG -RVHSK .DELOD
x   &RXQW ;,, )DOVH ,PSULVRQPHQW DJDLQVW WKH LQGLYLGXDORIILFLDO FDSDFLW\ GHIHQGDQWV WKH
    'HPRFUDWLF 5HSXEOLF RI &RQJR *RYHUQPHQW WKH (PEDVV\ RI WKH 'HPRFUDWLF 5HSXEOLF
    RI &RQJR DQG -RVHSK .DELOD
x   &RXQW ;,,, 1HJOLJHQFH DJDLQVW WKH KRWHO FRPSDQLHV
x   &RXQW ;,9 1HJOLJHQFH DJDLQVW 03' DQG WKH 6HFUHW 6HUYLFH
x   &RXQW ;9 7UHVSDVVLQJ &RQYHUVLRQ DQG 7KHIW DJDLQVW WKH LQGLYLGXDORIILFLDO FDSDFLW\
    GHIHQGDQWV WKH 'HPRFUDWLF 5HSXEOLF RI &RQJR *RYHUQPHQW -RVHSK .DELOD DQG WKH
    KRWHO FRPSDQLHV DQG
x   &RXQW ;9, /RVV RI &RQVRUWLXP DJDLQVW DOO GHIHQGDQWV




                                        
       2QO\ 03' WKH 6HFUHW 6HUYLFH DQG WKH KRWHO FRPSDQLHV KDYH UHVSRQGHG WR GDWH DOO ZLWK

PRWLRQV WR GLVPLVV 6R WKLV PHPRUDQGXP RSLQLRQ DGGUHVVHV RQO\ WKH DOOHJDWLRQV DJDLQVW WKRVH

GHIHQGDQWV

                                       67$1'$5' 2) 5(9,(:

       ,Q HYDOXDWLQJ D PRWLRQ WR GLVPLVV XQGHU HLWKHU 5XOH E RU E WKH &RXUW PXVW

³WUHDW WKH FRPSODLQW¶V IDFWXDO DOOHJDWLRQV DV WUXH    DQG PXVW JUDQW SODLQWLII µWKH EHQHILW RI DOO

LQIHUHQFHV WKDW FDQ EH GHULYHG IURP WKH IDFWV DOOHJHG¶´ Sparrow v. United Air Lines, Inc. 

)G   '& &LU  LQWHUQDO FLWDWLRQV RPLWWHG TXRWLQJ Schuler v. United States

 )G   '& &LU  see also Am. Nat’l Ins. Co. v. FDIC  )G  

'& &LU  1HYHUWKHOHVV WKH &RXUW QHHG QRW DFFHSW LQIHUHQFHV GUDZQ E\ WKH SODLQWLII LI WKRVH

LQIHUHQFHV DUH XQVXSSRUWHG E\ IDFWV DOOHJHG LQ WKH FRPSODLQW QRU PXVW WKH &RXUW DFFHSW SODLQWLII¶V

OHJDO FRQFOXVLRQV Browning v. Clinton  )G   '& &LU 

,     6XEMHFW 0DWWHU -XULVGLFWLRQ

       8QGHU 5XOH E WKH SODLQWLII EHDUV WKH EXUGHQ RI HVWDEOLVKLQJ MXULVGLFWLRQ E\ D

SUHSRQGHUDQFH RI WKH HYLGHQFH See Lujan v. Defs. of Wildlife  86    Shekoyan




       &DSHOOD ILOHG D PRWLRQ WR GLVPLVV &DSHOOD 0RW DQG LQ D VWHS WKDW LV JHQHUDOO\ SHUPLWWHG
XQGHU WKH )HGHUDO 5XOHV &DVWOHWRQ MRLQHG LQ WKDW PRWLRQ &DVWOHWRQ 3UDHFLSH -RLQLQJ &DSHOOD 0RW
>'NW  @ ³&DVWOHWRQ 3UDHFLSH´ see United States ex rel. Landis v. Tailwind Sports Corp. 
) 6XSS G   ''&  ³,Q PRVW LQVWDQFHV MRLQLQJ DQG LQFRUSRUDWLQJ WKH OHJDO DUJXPHQWV
RI D FRSDUW\ LV FRPPRQ     7KH VDPH RU VLPLODU OHJDO DUJXPHQWV FDQ RIWHQ EH PDGH RQ EHKDOI
RI PDQ\ SDUWLHV´ Grissom v. District of Columbia  ) 6XSS G   ''& 
SHUPLWWLQJ MRLQLQJ D PRWLRQ WR GLVPLVV

       7KH PRWLRQV KDYH EHHQ IXOO\ EULHIHG See 3OV¶ 5HVS LQ 2SS WR &DSHOOD 0RW >'NW  @
³3OV¶ &DSHOOD 2SS´ 5HSO\ WR 3OV¶ &DSHOOD 2SS >'NW  @ ³&DSHOOD 5HSO\´ 3OV¶ 5HVS LQ
2SS WR 03' 0RW >'NW  @ ³3OV¶ 03' 2SS´ 5HSO\ WR 3OV¶ 03' 2SS >'NW  @ ³03'
5HSO\´ 3OV¶ 5HVS LQ 2SS WR 8666 0RW >'NW  @ ³3OV¶ 8666 2SS´ 5HSO\ LQ 6XSS RI
8666 0RW >'NW  @ ³8666 5HSO\´


                                                 
v. Sibley Int’l Corp.  ) 6XSS G   ''&  )HGHUDO FRXUWV DUH FRXUWV RI OLPLWHG

MXULVGLFWLRQ DQG WKH ODZ SUHVXPHV WKDW ³D FDXVH OLHV RXWVLGH WKLV OLPLWHG MXULVGLFWLRQ´ Kokkonen v.

Guardian Life Ins. Co. of Am.  86    see also Gen. Motors Corp. v. EPA 

)G   '& &LU  ³$V D FRXUW RI OLPLWHG MXULVGLFWLRQ ZH EHJLQ DQG HQG ZLWK DQ

H[DPLQDWLRQ RI RXU MXULVGLFWLRQ´ ³>%@HFDXVH VXEMHFWPDWWHU MXULVGLFWLRQ LV µDQ $UW>LFOH@ ,,, DV

ZHOO DV D VWDWXWRU\ UHTXLUHPHQW    QR DFWLRQ RI WKH SDUWLHV FDQ FRQIHU VXEMHFWPDWWHU MXULVGLFWLRQ

XSRQ D IHGHUDO FRXUW¶´ Akinseye v. District of Columbia  )G   '& &LU 

TXRWLQJ Ins. Corp. of Ir., Ltd. v. Compagnie des Bauxites de Guinee  86   

        :KHQ FRQVLGHULQJ D PRWLRQ WR GLVPLVV IRU ODFN RI MXULVGLFWLRQ XQOLNH ZKHQ GHFLGLQJ D

PRWLRQ WR GLVPLVV XQGHU 5XOH E WKH FRXUW ³LV QRW OLPLWHG WR WKH DOOHJDWLRQV RI WKH FRPSODLQW´

Hohri v. United States  )G   '& &LU  vacated on other grounds  86

  5DWKHU ³D FRXUW PD\ FRQVLGHU VXFK PDWHULDOV RXWVLGH WKH SOHDGLQJV DV LW GHHPV

DSSURSULDWH WR UHVROYH WKH TXHVWLRQ >RI@ ZKHWKHU LW KDV MXULVGLFWLRQ WR KHDU WKH FDVH´ Scolaro v.

D.C. Bd. of Elections & Ethics  ) 6XSS G   ''&  FLWLQJ Herbert v. Nat’l

Acad. of Scis.  )G   '& &LU  see also Jerome Stevens Pharm. Inc. v. FDA

 )G   '& &LU 

,,     )DLOXUH WR 6WDWH D &ODLP

        ³7R VXUYLYH D >5XOH E@ PRWLRQ WR GLVPLVV D FRPSODLQW PXVW FRQWDLQ VXIILFLHQW IDFWXDO

PDWWHU DFFHSWHG DV WUXH WR µVWDWH D FODLP WR UHOLHI WKDW LV SODXVLEOH RQ LWV IDFH¶´ Ashcroft v. Iqbal

 86    TXRWLQJ Bell Atl. Corp. v. Twombly  86    ,Q Iqbal

WKH 6XSUHPH &RXUW UHLWHUDWHG WKH WZR SULQFLSOHV XQGHUO\LQJ LWV GHFLVLRQ LQ Twombly ³)LUVW WKH

WHQHW WKDW D FRXUW PXVW DFFHSW DV WUXH DOO RI WKH DOOHJDWLRQV FRQWDLQHG LQ D FRPSODLQW LV LQDSSOLFDEOH




                                                   
WR OHJDO FRQFOXVLRQV´ Id. $QG ³>V@HFRQG RQO\ D FRPSODLQW WKDW VWDWHV D SODXVLEOH FODLP IRU UHOLHI

VXUYLYHV D PRWLRQ WR GLVPLVV´ Id DW 

       $ FODLP LV IDFLDOO\ SODXVLEOH ZKHQ WKH SOHDGHG IDFWXDO FRQWHQW ³DOORZV WKH FRXUW WR GUDZ WKH

UHDVRQDEOH LQIHUHQFH WKDW WKH GHIHQGDQW LV OLDEOH IRU WKH PLVFRQGXFW DOOHJHG´ Id DW  ³7KH

SODXVLELOLW\ VWDQGDUG LV QRW DNLQ WR D µSUREDELOLW\ UHTXLUHPHQW¶ EXW LW DVNV IRU PRUH WKDQ D VKHHU

SRVVLELOLW\ WKDW D GHIHQGDQW KDV DFWHG XQODZIXOO\´ Id TXRWLQJ Twombly  86 DW  $

SOHDGLQJ PXVW RIIHU PRUH WKDQ ³ODEHOV DQG FRQFOXVLRQV´ RU D ³IRUPXODLF UHFLWDWLRQ RI WKH HOHPHQWV

RI D FDXVH RI DFWLRQ´ id TXRWLQJ Twombly  86 DW  DQG ³>W@KUHDGEDUH UHFLWDOV RI WKH

HOHPHQWV RI D FDXVH RI DFWLRQ VXSSRUWHG E\ PHUH FRQFOXVRU\ VWDWHPHQWV GR QRW VXIILFH´ Id

       :KHQ FRQVLGHULQJ D PRWLRQ WR GLVPLVV XQGHU 5XOH E WKH FRPSODLQW LV FRQVWUXHG

OLEHUDOO\ LQ WKH SODLQWLII¶V IDYRU DQG WKH &RXUW VKRXOG JUDQW WKH SODLQWLII ³WKH EHQHILW RI DOO

LQIHUHQFHV WKDW FDQ EH GHULYHG IURP WKH IDFWV DOOHJHG´ Kowal v. MCI Commc’ns Corp.  )G

  '& &LU  1HYHUWKHOHVV WKH &RXUW QHHG QRW DFFHSW LQIHUHQFHV GUDZQ E\ WKH

SODLQWLII LI WKRVH LQIHUHQFHV DUH XQVXSSRUWHG E\ IDFWV DOOHJHG LQ WKH FRPSODLQW QRU PXVW WKH &RXUW

DFFHSW SODLQWLII¶V OHJDO FRQFOXVLRQV See id. see also Browning  )G DW  ,Q UXOLQJ XSRQ D

PRWLRQ WR GLVPLVV IRU IDLOXUH WR VWDWH D FODLP D FRXUW PD\ RUGLQDULO\ FRQVLGHU RQO\ ³WKH IDFWV DOOHJHG

LQ WKH FRPSODLQW GRFXPHQWV DWWDFKHG DV H[KLELWV RU LQFRUSRUDWHG E\ UHIHUHQFH LQ WKH FRPSODLQW

DQG PDWWHUV DERXW ZKLFK WKH &RXUW PD\ WDNH MXGLFLDO QRWLFH´ Gustave-Schmidt v. Chao  )

6XSS G   ''& 

                                                $1$/<6,6

,     03'¶V 0RWLRQ WR 'LVPLVV

       7KH '& 0HWURSROLWDQ 3ROLFH 'HSDUWPHQW KDV PRYHG WR GLVPLVV DOO RI WKH FODLPV DJDLQVW LW

RQ WKH JURXQG WKDW LW LV non sui juris WKDW LV WKDW LW ODFNV WKH OHJDO FDSDFLW\ WR EH VXHG 03' 0HP



                                                  
DW ± 7KLV LV D FRUUHFW VWDWHPHQW RI WKH ODZ EXW WKH &RXUW UHFRJQL]HV WKDW SODLQWLIIV¶ FRPSODLQW

DOOHJHV WKDW 03' ³LV DQ DJHQF\ RI WKH 'LVWULFW RI &ROXPELD PXQLFLSDOLW\´ DQG WKDW SODLQWLIIV¶ FODLPV

LQYROYH ³03' RIILFHUV´ 6HFRQG $P &RPSO   6R WKH &RXUW ZLOO SURFHHG ZLWK LWV DQDO\VLV DV

LI SODLQWLIIV KDG SURSHUO\ QDPHG WKH 'LVWULFW RI &ROXPELD DV D GHIHQGDQW

       7KH 'LVWULFW DVVHUWV WKDW SODLQWLIIV KDYH IDLOHG WR VWDWH D FODLP DJDLQVW WKH PXQLFLSDOLW\ XQGHU

VHFWLRQ  EHFDXVH WKH\ KDYH QRW VXIILFLHQWO\ DOOHJHG WKDW D FXVWRP RU SROLF\ RI WKH 'LVWULFW ZDV

WKH FDXVH RI SODLQWLIIV¶ LQMXULHV DW WKH KDQGV RI WKH '5& 03' 0HP DW ± ,W DOVR FRQWHQGV

WKDW LW LV LPPXQH IURP DFWLRQV IRU QHJOLJHQFH XQGHU WKH SXEOLF GXW\ GRFWULQH Id. DW ± 6LQFH

WKH 'LVWULFW LV FRUUHFW RQ ERWK FRXQWV DOO RI SODLQWLIIV¶ FODLPV DJDLQVW 03' ZLOO EH GLVPLVVHG IRU

IDLOXUH WR VWDWH D FODLP XSRQ ZKLFK UHOLHI FDQ EH JUDQWHG

       $      03' LV Non Sui Juris

       &HUWDLQ JRYHUQPHQW HQWLWLHV DUH QRW VXDEOH EHFDXVH WKH\ DUH QRW HQWLWLHV ³ZKLFK &RQJUHVV

KDV DXWKRUL]HG WR EH VXHG´ Blackmar v. Guerre  86    see Sibley v. U.S.

Supreme Court  ) 6XSS G   ''&  ³,Q WKH DEVHQFH RI H[SOLFLW VWDWXWRU\

DXWKRUL]DWLRQ ERGLHV ZLWKLQ WKH 'LVWULFW RI &ROXPELD JRYHUQPHQW DUH QRW VXDEOH DV VHSDUDWH

HQWLWLHV´ TXRWLQJ Daskalea v. Wash. Humane Soc’y  ) 6XSS G   ''& 

6SHFLILFDOO\ FRXUWV ZLWKLQ WKLV &LUFXLW KDYH GHWHUPLQHG WKDW 03' ³LV D QRQFRUSRUDWH GHSDUWPHQW

RU ERG\ ZLWKLQ WKH 'LVWULFW RI &ROXPELD DQG LV QRW VXDEOH DV D VHSDUDWH HQWLW\´ Aleotti v. Baars

 ) 6XSS   ''&  FLWLQJ Fields v. D.C. Dep’t of Corrections  ) 6XSS  

''&  $QG DQ H[DPLQDWLRQ RI WKH VWDWXWH WKDW FUHDWHV 03' VKRZV WKDW LW FRQWDLQV QR

SURYLVLRQ DOORZLQJ VXLW DJDLQVW LW See '& &RGH   et. seq

       6LQFH QR VWDWXWH DXWKRUL]HV VXLW DJDLQVW 03' SODLQWLIIV¶ FODLPV DJDLQVW LW PXVW EH

GLVPLVVHG +RZHYHU WKH 'LVWULFW RI &ROXPELD PD\ EH VXEVWLWXWHG DV WKH GHIHQGDQW See Sampson



                                                 
v. D.C. Dep’t of Corrections  ) 6XSS G   ''&  ³:KHQ D SODLQWLII

HUURQHRXVO\ QDPHV DV D GHIHQGDQW D 'LVWULFW RI &ROXPELD DJHQF\ LQVWHDG RI WKH 'LVWULFW RI

&ROXPELD LWVHOI D FRXUW PD\ VXEVWLWXWH WKH 'LVWULFW DV D GHIHQGDQW IRU LWV DJHQF\´

       %      3ODLQWLIIV KDYH IDLOHG WR VWDWH D FODLP RI PXQLFLSDO OLDELOLW\ XQGHU VHFWLRQ 

                     /HJDO 6WDQGDUG

       3ODLQWLIIV KDYH IDLOHG WR VWDWH D SURSHU FODLP DJDLQVW WKH 'LVWULFW RI &ROXPELD XQGHU VHFWLRQ

 7KH VWDWXWH SURYLGHV

               (YHU\ SHUVRQ ZKR XQGHU FRORU RI DQ\ VWDWXWH RUGLQDQFH UHJXODWLRQ
               FXVWRP RU XVDJH RI DQ\ 6WDWH RU 7HUULWRU\ RU WKH 'LVWULFW RI &ROXPELD
               VXEMHFWV RU FDXVHV WR EH VXEMHFWHG DQ\ FLWL]HQ RI WKH 8QLWHG 6WDWHV RU RWKHU
               SHUVRQ ZLWKLQ WKH MXULVGLFWLRQ WKHUHRI WR WKH GHSULYDWLRQ RI DQ\ ULJKWV
               SULYLOHJHV RU LPPXQLWLHV VHFXUHG E\ WKH &RQVWLWXWLRQ DQG ODZV VKDOO EH
               OLDEOH WR WKH SDUW\ LQMXUHG LQ DQ DFWLRQ DW ODZ VXLW LQ HTXLW\ RU RWKHU SURSHU
               SURFHHGLQJV IRU UHGUHVV

 86&  

       $V WKH 6XSUHPH &RXUW VWDWHG LQ Monell v. Dep’t of Soc. Servs.  86   

³D PXQLFLSDOLW\ FDQQRW EH KHOG OLDEOH XQGHU   RQ D respondeat superior WKHRU\´ :KHUH DV

KHUH D SODLQWLII VHHNV WR KROG D PXQLFLSDOLW\ OLDEOH XQGHU VHFWLRQ  WKH PXQLFLSDOLW\ PXVW KDYH

DFWHG LQ DFFRUGDQFH ZLWK D ³JRYHUQPHQW>@ SROLF\ RU FXVWRP ZKHWKHU PDGH E\ LWV ODZPDNHUV RU E\

WKRVH ZKRVH HGLFWV RU DFWV PD\ IDLUO\ EH VDLG WR UHSUHVHQW RIILFLDO SROLF\´ WKDW ³FDXVHG D

FRQVWLWXWLRQDO´ YLRODWLRQ DQG WKDW ³LQIOLFWV WKH LQMXU\´ Monell  86 DW  

       ,Q WKH \HDUV DIWHU Monell, WKH 6XSUHPH &RXUW KDV UHDIILUPHG WKLV KROGLQJ ³>:@KLOH

&RQJUHVV QHYHU TXHVWLRQHG LWV SRZHU WR LPSRVH FLYLO OLDELOLW\ RQ PXQLFLSDOLWLHV IRU WKHLU own LOOHJDO

DFWV &RQJUHVV GLG GRXEW LWV FRQVWLWXWLRQDO SRZHU WR LPSRVH VXFK OLDELOLW\ LQ RUGHU WR REOLJH

PXQLFLSDOLWLHV WR FRQWURO WKH FRQGXFW RI others.´ Pembaur v. City of Cincinnati,  86  

 HPSKDVLV LQ RULJLQDO FLWLQJ Monell  86 DW ±             ³7KH µRIILFLDO SROLF\¶



                                                 
UHTXLUHPHQW ZDV LQWHQGHG WR GLVWLQJXLVK DFWV RI WKH municipality IURP DFWV RI employees RI WKH

PXQLFLSDOLW\ DQG WKHUHE\ PDNH FOHDU WKDW PXQLFLSDO OLDELOLW\ LV OLPLWHG WR DFWLRQ IRU ZKLFK WKH

PXQLFLSDOLW\ LV DFWXDOO\ UHVSRQVLEOH´ Id. 7KLV UHTXLUHPHQW IORZV GLUHFWO\ IURP WKH VWDWXWH LWVHOI

          ,Q Baker v. District of Columbia  )G   '& &LU  WKH &RXUW RI

$SSHDOV H[SODLQHG WKDW D GLVWULFW FRXUW DVVHVVLQJ D VHFWLRQ  FODLP PXVW DVN WZR TXHVWLRQV

)LUVW GRHV WKH FRPSODLQW VWDWH D FODLP IRU D SUHGLFDWH FRQVWLWXWLRQDO YLRODWLRQ" Id. 6HFRQG LI VR

GRHV WKH FRPSODLQW VWDWH D ³FODLP WKDW D FXVWRP RU SROLF\ RI WKH PXQLFLSDOLW\ FDXVHG WKH YLRODWLRQ"´

Id. 7R VDWLVI\ WKH ILUVW SURQJ RI WKH DQDO\VLV DOO WKDW QHHGV WR EH HVWDEOLVKHG ³LV VRPH FRQVWLWXWLRQDO

KDUP VXIIHUHG E\ WKH SODLQWLII´ LW LV QRW QHFHVVDU\ WKDW WKH PXQLFLSDOLW\¶V SROLF\ PDNHUV RU

HPSOR\HHV EH LPSOLFDWHG Id. 7R PHHW WKH VHFRQG SURQJ WKH FRXUW PXVW GHWHUPLQH ZKHWKHU WKH

SODLQWLII KDV DOOHJHG DQ ³DIILUPDWLYH OLQN´ EHWZHHQ WKH PXQLFLSDOLW\¶V SROLF\ DQG WKH LQMXU\ ³VXFK

WKDW D PXQLFLSDO SROLF\ ZDV WKH µPRYLQJ IRUFH¶ EHKLQG WKH FRQVWLWXWLRQDO YLRODWLRQ´ Id. FLWLQJ City

of Okla. City v. Tuttle  86    DQG City of Canton v. Harris  86  



          7KH Baker FRXUW H[SODLQHG

                 7KHUH DUH D QXPEHU RI ZD\V LQ ZKLFK D ³SROLF\´ FDQ EH VHW E\ D PXQLFLSDOLW\
                 WR FDXVH LW WR EH OLDEOH XQGHU   WKH H[SOLFLW VHWWLQJ RI D SROLF\ E\ WKH
                 JRYHUQPHQW WKDW YLRODWHV WKH &RQVWLWXWLRQ     WKH DFWLRQ RI D SROLF\ PDNHU
                 ZLWKLQ WKH JRYHUQPHQW     WKH DGRSWLRQ WKURXJK D NQRZLQJ IDLOXUH WR DFW
                 E\ D SROLF\ PDNHU RI DFWLRQV E\ KLV VXERUGLQDWHV WKDW DUH VR FRQVLVWHQW WKDW
                 WKH\ KDYH EHFRPH ³FXVWRP´     RU WKH IDLOXUH RI WKH JRYHUQPHQW WR UHVSRQG
                 WR D QHHG IRU H[DPSOH WUDLQLQJ RI HPSOR\HHV LQ VXFK D PDQQHU DV WR VKRZ
                 ³GHOLEHUDWH LQGLIIHUHQFH´ WR WKH ULVN WKDW QRW DGGUHVVLQJ WKH QHHG ZLOO UHVXOW
                 LQ FRQVWLWXWLRQDO YLRODWLRQV

Id. DW  LQWHUQDO FLWDWLRQV RPLWWHG 3ODLQWLIIV¶ FRPSODLQW DSSHDUV WR VHW IRUWK WZR WKHRULHV RI

OLDELOLW\  WKH H[LVWHQFH RI D PXQLFLSDO SROLF\ DQG  GHOLEHUDWH LQGLIIHUHQFH




                                                  
                     ([SUHVV 0XQLFLSDO 3ROLF\

       3ODLQWLIIV DOOHJH LQ &RXQW ,,, WKDW DOO RI WKH GHIHQGDQWV GHSULYHG WKHP RI WKHLU FRQVWLWXWLRQDO

ULJKWV 7KH FRXQW LV HQWLWOHG ³'HSULYDWLRQ RI &RQVWLWXWLRQDO DQG &LYLO 5LJKWV    )LUVW $PHQGPHQW

)UHHGRP RI 6SHHFK DQG $VVHPEO\´ EXW WKH SDUDJUDSKV WKDW FRPSULVH WKDW FRXQW DOOHJH WKDW

GHIHQGDQWV GHSULYHG SODLQWLIIV RI OLEHUW\ DQG VHFXULW\ ZLWKRXW GXH SURFHVV             6HFRQG $P

&RPSO    7KH FRXQW VSHFLILHV WKDW WKH '5& ³LQGLYLGXDORIILFLDO FDSDFLW\ GHIHQGDQWV´

GHSULYHG SODLQWLII 0LDQJR RI KLV ULJKWV E\ VXUURXQGLQJ EHDWLQJ DQG WKUHDWHQLQJ KLP id.   DQG

RWKHU WKDQ LQFRUSRUDWLQJ WKH UHVW RI WKH FRPSODLQW LW FRQWDLQV QR DOOHJDWLRQV FRQFHUQLQJ DFWV RU

RPLVVLRQV E\ 03' RIILFHUV

       &RXQW ; DOOHJHV WKDW WKH '5& 3UHVLGHQW .DELOD 6HFUHW 6HUYLFH DQG 03' GHSULYHG

SODLQWLIIV ³RI WKHLU FRQVWLWXWLRQDO DQG FLYLO ULJKWV WR IUHH VSHHFK DQG DVVHPEO\ GXH SURFHVV

SURKLELWLRQ DJDLQVW FUXHO DQG XQXVXDO SXQLVKPHQW SURKLELWLRQ DJDLQVW VHL]XUH ZLWKRXW MXVW

FRPSHQVDWLRQ DQG HTXDO SURWHFWLRQ RI WKH ODZ´ XQGHU WKH )LUVW )RXUWK )LIWK DQG )RXUWHHQWK

$PHQGPHQWV 6HFRQG $P &RPSO   3ODLQWLIIV FODLP WKDW WKH '5& ³LQGLYLGXDORIILFLDO

FDSDFLW\ GHIHQGDQWV´ YLRODWHG SODLQWLIIV¶ ULJKWV WR IUHH VSHHFK GXH SURFHVV DQG RWKHU SURWHFWLRQV

³E\ EDWWHULQJ DQG DVVDXOWLQJ´ WKHP IRU VWDJLQJ WKH SURWHVW DJDLQVW 3UHVLGHQW .DELOD DQG VHL]LQJ WKHLU

EHORQJLQJV Id.   7KH\ DGG WKDW 03'¶V ³SROLFLHV DQGRU SURWRFRO DQGRU SUDFWLFH RI SURWHFWLQJ

IRUHLJQ JRYHUQPHQW GLJQLWDULHV DQG WKHLU HQWRXUDJH SURYLGHG D FRYHU IRU WKH DVVDXOW DQG EDWWHU\

DJDLQVW >S@ODLQWLIIV DQG GLUHFWO\ DQG SUR[LPDWHO\ FDXVHG WKH YLRODWLRQ RI >S@ODLQWLII 0LDQJR¶V DQG

1JRPD¶V FRQVWLWXWLRQDO ULJKWV´ Id.   7KHVH DOOHJDWLRQV DUH LQVXIILFLHQW WR VDWLVI\ WKH WZR

SURQJ WHVW VHW IRUWK LQ Baker




       3ODLQWLIIV VHHP WR PLVDSSUHKHQG WKH IRFXV RI WKH FUXHO DQG XQXVXDO SXQLVKPHQW FODXVH DQG
WKH\ LQFRUUHFWO\ VXJJHVW WKDW LW LV IRXQG LQ WKH )LIWK $PHQGPHQW
                                                 
       )LUVW RI DOO HYHQ WKRXJK WKH ILUVW SURQJ RI WKH Baker WHVW UHTXLUHV RQO\ ³VRPH FRQVWLWXWLRQDO

KDUP VXIIHUHG E\ WKH SODLQWLII´  )G DW  LW LV KLJKO\ TXHVWLRQDEOH ZKHWKHU SODLQWLIIV KDYH

DOOHJHG WKH QHFHVVDU\ SUHGLFDWH FRQVWLWXWLRQDO YLRODWLRQ        &RXQW ,,, FRPSODLQV RI ZKDW LW

FKDUDFWHUL]HV DV DQ XQFRQVWLWXWLRQDO DVVDXOW SHUSHWUDWHG E\ IRUHLJQ RIILFLDOV DQG VHFXULW\ JXDUGV

EXW LW GRHV QRW FODLP WKDW DQ\ 86 IHGHUDO RU VWDWH JRYHUQPHQW DFWRU GHSULYHG 0LDQJR RI KLV OLEHUW\

DQG WKHUHIRUH LW GRHV QRW DOOHJH DQ\ FRQVWLWXWLRQDO YLRODWLRQ See Lugar v. Edmondson Oil Co.

 86    ³2XU FDVHV KDYH DFFRUGLQJO\ LQVLVWHG WKDW WKH FRQGXFW DOOHJHGO\ FDXVLQJ

WKH GHSULYDWLRQ RI D IHGHUDO ULJKW EH IDLUO\ DWWULEXWDEOH WR WKH 6WDWH´ $QG WKH DVVDXOW DOOHJHG LQ

&RXQW ; WR EH LQ UHVSRQVH WR SODLQWLIIV¶ GHPRQVWUDWLRQ ZDV FDUULHG RXW E\ WKH '5& VR WKDW FRXQW

DOVR IDLOV WR DOOHJH DQ LQIULQJHPHQW RI SODLQWLIIV¶ )LUVW $PHQGPHQW ULJKWV ± RU DQ\ RWKHU

FRQVWLWXWLRQDO ULJKWV ± E\ D 86 RIILFLDO ERXQG E\ WKH &RQVWLWXWLRQ¶V UHTXLUHPHQWV See 6HFRQG




       ,Q &RXQW ,,, SODLQWLIIV GR FRQFOXVRULO\ DOOHJH WKDW WKH ³LQGLYLGXDORIILFLDO FDSDFLW\
GHIHQGDQWV´ DFWHG ³XQGHU WKH FRORU RI VWDWH DXWKRULW\ DQGRU DFWXDO RU DSSDUHQW VWDWH DXWKRULW\´
ZKHQ WKH\ GHSULYHG SODLQWLII 0LDQJR RI KLV ULJKWV 6HFRQG $P &RPSO   %XW WKH XVH RI WKLV
VQLSSHW RI ODQJXDJH IURP VHFWLRQ  GRHV QRW JLYH ULVH WR DQ LQIHUHQFH WKDW WKH SHUSHWUDWRUV RI
WKH DVVDXOW ZHUH DFWLQJ XQGHU FRORU RI WKH ODZ RI WKH 'LVWULFW RI &ROXPELD RU DQ\ 86 VWDWH LQVWHDG
WKLV &RXQW SODLQO\ DOOHJHV WKDW DQ\ GHSULYDWLRQ RI ULJKWV ZDV FDUULHG RXW XQGHU FRORU RI WKH DXWKRULW\
RI WKH '5& 7KH ³LQGLYLGXDORIILFLDO FDSDFLW\ GHIHQGDQWV´ DUH GHILQHG LQ WKH FRPSODLQW WR EH '5&
³QDWLRQDOV RIILFLDOV DJHQWV UHSUHVHQWDWLYHV IULHQGV DQGRU RIILFHUV RI '5 &RQJR *RYHUQPHQW DQG
RU 'HIHQGDQW -RVHSK .DELOD´ Id.   7KH DOOHJDWLRQV LQ &RXQW ,,, UHODWH WR WKH DFWLRQV XQGHUWDNHQ
E\ WKRVH LQGLYLGXDOV ± VXUURXQGLQJ SODLQWLII 0LDQJR HQVXULQJ WKDW KH FRXOG QRW HVFDSH EHDWLQJ
KLP DQG VXEVHTXHQWO\ LVVXLQJ GHDWK WKUHDWV DJDLQVW KLP ± DQG &RXQW ,,, VSHFLILFDOO\ DOOHJHV WKDW
GHIHQGDQWV '5& DQG .DELOD VKRXOG EH OLDEOH IRU GDPDJHV IRU WKRVH DFWLRQV ³YLD GLUHFW RUGHU DQGRU
FRPPDQG UHVSRQVLELOLW\ DQGRU UHVSRQGHDW VXSHULRU´ Id.  ± $QG ZKLOH &RXQW ,,, LV HQWLWOHG
³'HSULYDWLRQ RI &RQVWLWXWLRQDO DQG &LYLO 5LJKWV LQ 9LRODWLRQ RI  86&    )LUVW
$PHQGPHQW )UHHGRP RI 6SHHFK DQG $VVHPEO\´ LW DOOHJHV WKDW GHSULYDWLRQ RI OLEHUW\ DQG VHFXULW\
E\ D VWDWH ZLWKRXW GXH SURFHVV LV D YLRODWLRQ RI WKH ODZ RI QDWLRQV id.  ± QRW WKH 86
&RQVWLWXWLRQ DQG LW GRHV QRW PHQWLRQ )LUVW $PHQGPHQW ULJKWV DW DOO


                                                 
$P &RPSO   :LWKRXW DQ XQGHUO\LQJ FRQVWLWXWLRQDO YLRODWLRQ D Monell FODLP IDLOV WR JHW RXW

RI WKH VWDUWLQJ JDWH.

        %XW HYHQ LI '5& UHSUHVHQWDWLYHV FRXOG EH KHOG OHJDOO\ UHVSRQVLEOH IRU D YLRODWLRQ RI WKH

86 &RQVWLWXWLRQ RU LI WKH FRPSODLQW FRXOG EH JHQHURXVO\ FRQVWUXHG WR DOOHJH WKDW LW ZDV WKH 03'

RIILFHUV¶ PHUH IDLOXUH WR LQWHUYHQH WKDW LQIULQJHG RQ SODLQWLIIV¶ ULJKW WR VSHDN DQG DVVHPEOH WKH

FRQFOXVRU\ DVVHUWLRQ WKDW 03'¶V ³SROLFLHV DQGRU SURWRFRO DQGRU SUDFWLFH RI SURWHFWLQJ IRUHLJQ

GLJQLWDULHV DQG WKHLU HQWRXUDJH SURYLGHG D FRYHU IRU WKH DVVDXOW DQG EDWWHU\ DJDLQVW >S@ODLQWLIIV DQG

GLUHFWO\ DQG SUR[LPDWHO\ FDXVHG WKH YLRODWLRQ RI >S@ODLQWLII 0LDQJR¶V DQG 1JRPD¶V FRQVWLWXWLRQDO

ULJKWV´ 6HFRQG $P &RPSO   LV LQVXIILFLHQW WR VDWLVI\ WKH FDXVDWLRQ HOHPHQW RI WKH WHVW

3ODLQWLIIV IDLO WR SOHDG DQ\ IDFWV VKRZLQJ ZKDW LI DQ\ RIILFLDO SROLF\ WKH 'LVWULFW KDV UHJDUGLQJ

IRUHLJQ GLJQLWDULHV RU KRZ WKDW SROLF\ PD\ KDYH OHG WR WKH YLVLWRUV¶ GHFLVLRQ WR LQLWLDWH WKH DWWDFN RU

WKH RIILFHUV¶ DFWLRQV WKDW GD\ 7KH FRPSODLQW LQFOXGHV QR IDFWXDO DOOHJDWLRQV UHJDUGLQJ WKH H[LVWHQFH

RU HQIRUFHPHQW RI D PXQLFLSDO SROLF\ FXVWRP RU SUDFWLFH DQG LW IDLOV WR VXSSO\ DQ\ IDFWV IURP

ZKLFK RQH FRXOG LQIHU WKH H[LVWHQFH RI DQ ³DIILUPDWLYH OLQN´ EHWZHHQ DQ\ DOOHJHG SROLF\ WR SURWHFW

IRUHLJQ GLJQLWDULHV DQG WKH LQMXULHV SODLQWLIIV VXIIHUHG DW WKH KDQGV RI 3UHVLGHQW .DELOD¶V VHFXULW\

GHWDLO ,Q WKH DEVHQFH RI DQ\ IDFWXDO DOOHJDWLRQV WKDW ZRXOG HVWDEOLVK WKH QHFHVVDU\ FRQVWLWXWLRQDO

YLRODWLRQ RU WKH FDXVDO FRQQHFWLRQ EHWZHHQ DQ RIILFLDO SROLF\ DQG WKDW YLRODWLRQ WKH FRPSODLQW IDLOV

WR VWDWH D VHFWLRQ  FODLP DJDLQVW WKH 'LVWULFW




       3ODLQWLIIV¶ FODLPV DJDLQVW 03' DQG WKH 6HFUHW 6HUYLFH XQGHU WKH )RXUWHHQWK $PHQGPHQW
ZLOO EH GLVPLVVHG EHFDXVH WKH )RXUWHHQWK $PHQGPHQW GRHV QRW DSSO\ WR WKH 'LVWULFW RI &ROXPELD
RU WKH IHGHUDO JRYHUQPHQW See S.F. Arts & Athletics, Inc. v. U.S. Olympic Comm.  86 
 Q  KROGLQJ WKDW WKH )RXUWHHQWK $PHQGPHQW RQO\ DSSOLHV WR DFWLRQV E\ D 6WDWH DQG
QRW E\ WKH IHGHUDO JRYHUQPHQW Bolling v. Sharpe  86  ±  REVHUYLQJ WKDW
WKH )LIWK $PHQGPHQW LV DSSOLFDEOH WR WKH 'LVWULFW RI &ROXPELD EXW WKH )RXUWHHQWK $PHQGPHQW LV
QRW
                                                  
                     'HOLEHUDWH ,QGLIIHUHQFH

       3ODLQWLIIV¶ GHOLEHUDWH LQGLIIHUHQFH WKHRU\ RI PXQLFLSDO OLDELOLW\ DOVR IDLOV 7KH 6XSUHPH

&RXUW KDV KHOG WKDW ³LQDGHTXDF\ RI SROLFH WUDLQLQJ PD\ VHUYH DV WKH EDVLV IRU   OLDELOLW\ RQO\

ZKHUH WKH IDLOXUH WR WUDLQ DPRXQWV WR GHOLEHUDWH LQGLIIHUHQFH WR WKH ULJKWV RI SHUVRQV ZLWK ZKRP WKH

SROLFH FRPH LQWR FRQWDFW´ Harris  86 DW  ,Q VXFK D VLWXDWLRQ ³D ORFDO JRYHUQPHQW¶V

GHFLVLRQ QRW WR WUDLQ HPSOR\HHV DERXW WKHLU OHJDO GXW\ WR DYRLG YLRODWLQJ FLWL]HQV¶ ULJKWV PD\ ULVH

WR WKH OHYHO RI DQ RIILFLDO JRYHUQPHQW SROLF\ IRU SXUSRVHV RI  ´ Connick v. Thompson 

86   

       $FFRUGLQJ WR Baker, GHOLEHUDWH LQGLIIHUHQFH LV PHDVXUHG DFFRUGLQJ WR DQ REMHFWLYH VWDQGDUG

³ZKHWKHU WKH PXQLFLSDOLW\ NQHZ RU VKRXOG KDYH NQRZQ RI WKH ULVN RI FRQVWLWXWLRQDO YLRODWLRQV´

 ) G DW  %XW LW LV ³D VWULQJHQW VWDQGDUG RI IDXOW UHTXLULQJ SURRI WKDW D PXQLFLSDO DFWRU

GLVUHJDUGHG D NQRZQ RU REYLRXV FRQVHTXHQFH RI KLV DFWLRQ´ Connick  86 DW  TXRWLQJ Bd.

of Cnty. Comm’rs of Bryan Cnty. v. Brown  86    XVXDOO\ UHTXLULQJ ³>D@ SDWWHUQ

RI VLPLODU FRQVWLWXWLRQDO YLRODWLRQV´ Id. DW  FLWLQJ Brown  86 DW  2Q UDUH RFFDVLRQV

D VLQJOH XQFRQVWLWXWLRQDO LQFLGHQW PD\ VXIILFH WR VKRZ GHOLEHUDWH LQGLIIHUHQFH LI WKH

XQFRQVWLWXWLRQDO FRQVHTXHQFHV RI IDLOLQJ WR WUDLQ DUH VR ³KLJKO\ SUHGLFWDEOH´ DQG ³SDWHQWO\

REYLRXV´ Id. DW  FLWLQJ Brown  86 DW 

       3ODLQWLIIV¶ FRPSODLQW IDLOV WR DOOHJH VXIILFLHQW IDFWV WR VKRZ WKDW WKH 'LVWULFW ³GLVUHJDUGHG D

NQRZQ RU REYLRXV FRQVHTXHQFH´ RI LWV VXSSRVHG IDLOXUH WR WUDLQ LWV RIILFHUV WR UHVWUDLQ YLROHQFH E\

IRUHLJQ GLJQLWDULHV DJDLQVW FLYLOLDQV Connick  86 DW  3ODLQWLIIV LQFOXGH RQO\ RQH DOOHJDWLRQ

LQ WKHLU FRPSODLQW WR DGYDQFH WKLV WKHRU\ ³'&03'¶V IDLOXUH WR WUDLQ WKHLU DJHQWV DQGRU RIILFHUV

LQ SUHYHQWLQJ DQGRU PLWLJDWLQJ DFWV RI YLROHQFH FRPPLWWHG E\ IRUHLJQ JRYHUQPHQW SHUVRQQHO

DJDLQVW FLYLOLDQV    DPRXQWV WR GHOLEHUDWH LQGLIIHUHQFH E\ GHIHQGDQWV´ 6HFRQG $P &RPSO  



                                                 
       7KLV FODLP LV FRPSOHWHO\ FRQFOXVRU\ 7KH FRPSODLQW GRHV QRW VXSSO\ IDFWV IURP ZKLFK D

FRXUW FRXOG GUDZ WKH LQIHUHQFH WKDW WKH 'LVWULFW LJQRUHG D NQRZQ ULVN DQG LW LQFOXGHV QR VSHFLILF

GHWDLOV DERXW SROLFH WUDLQLQJ LQ WKH 'LVWULFW RU KRZ LW PLJKW EH GHILFLHQW See Bell v. District of

Columbia  ) 6XSS G   ''&  ³7KH FRPSOHWH DEVHQFH RI DQ\ IDFWXDO

DOOHJDWLRQV FRQFHUQLQJ D VSHFLILF VKRUWFRPLQJ LQ WUDLQLQJ IRUHFORVHV DQ\ SODXVLEOH LQIHUHQFH RI

µDFWXDO RU FRQVWUXFWLYH NQRZOHGJH¶ E\ 'LVWULFW SROLF\PDNHUV WKDW LWV RIILFHUV ZLOO µSUREDEO\ YLRODWH

FRQVWLWXWLRQDO ULJKWV¶´ TXRWLQJ Warren v. District of Columbia  )G   '& &LU 

       0RUHRYHU WKH &RXUW FDQQRW FRQFOXGH WKDW 03' GLG QRW SURSHUO\ WUDLQ LWV RIILFHUV VLPSO\

EHFDXVH LQGLYLGXDO RIILFHUV IDLOHG WR DFW See Harris  86 DW ± ³7KDW D SDUWLFXODU RIILFHU

PD\ EH XQVDWLVIDFWRULO\ WUDLQHG ZLOO QRW DORQH VXIILFH    IRU WKH RIILFHU¶V VKRUWFRPLQJV PD\ KDYH

UHVXOWHG IURP IDFWRUV RWKHU WKDQ D IDXOW\ WUDLQLQJ SURJUDP´ 6LQFH WKH FRPSODLQW FRQWDLQV QR

IDFWXDO DOOHJDWLRQV GHWDLOLQJ DQ\ GHILFLHQFLHV LQ 03' WUDLQLQJ RQ KRZ RIILFHUV VKRXOG UHVSRQG WR

YLROHQFH FRPPLWWHG E\ DJHQWV RI IRUHLJQ GLJQLWDULHV LQ WKHLU SUHVHQFH SODLQWLIIV¶ VHFWLRQ 

DOOHJDWLRQV DPRXQW WR QRWKLQJ PRUH WKDQ VLPSO\ D ³IRUPXODLF UHFLWDWLRQ´ RI WKH HOHPHQWV RI D

GHOLEHUDWH LQGLIIHUHQFH FODLP DQG GLVPLVVDO LV ZDUUDQWHG See Martin v. District of Columbia 



       3ODLQWLIIV GR QRW DOOHJH VXIILFLHQW IDFWV WR GHPRQVWUDWH WKDW WKH PXQLFLSDOLW\ NQHZ RU VKRXOG
KDYH NQRZQ WKDW IRUHLJQ GLJQLWDULHV ZRXOG YLROHQWO\ DWWDFN FLYLOLDQV RQ $PHULFDQ VRLO DQG YLRODWH
WKHLU FRQVWLWXWLRQDO ULJKWV LQ WKH DEVHQFH RI DGHTXDWH ORFDO SROLFH WUDLQLQJ 7KH\ VWDWH WKDW RQ
$XJXVW   DQG $XJXVW   ³SURWHVWHUV JDWKHUHG LQ IURQW RI WKH +D\V $GDPV +RWHO LQ
:DVKLQJWRQ '&´ ZKHUH ³WKH GHOHJDWLRQ IURP 7KH *DPELD ZDV VWD\LQJ´ DQG WKDW *DPELDQ
VHFXULW\ IRUFHV ³EHDW VHYHUDO RI WKH SURWHVWHUV´ LQ WKH ³SUHVHQFH RI 8666 DQG '&03' DJHQWV´
6HFRQG $P &RPSO   $OWKRXJK D VLQJOH XQFRQVWLWXWLRQDO LQFLGHQW PD\ EH HQRXJK WR VKRZ
GHOLEHUDWH LQGLIIHUHQFH E\ D PXQLFLSDOLW\ LQ VRPH FLUFXPVWDQFHV see Connick  86 DW 
FLWLQJ Brown  86 DW  WKLV SUDFWLFDOO\ VLPXOWDQHRXV VLPLODU LQFLGHQW GRHV QRW VXIILFH WR
JLYH ULVH WR DQ LQIHUHQFH WKDW WKHUH ZDV D ³KLJKO\ SUHGLFWDEOH´ DQG ³SDWHQWO\ REYLRXV´ ULVN RI
DGGLWLRQDO FRQVWLWXWLRQDO YLRODWLRQV RFFDVLRQHG E\ 03' RIILFHUV See id. REVHUYLQJ WKDW IDLOLQJ WR
WUDLQ RIILFHUV RQ KRZ WR XVH VSHFLILF WRROV DQG GHDGO\ IRUFH ZKHQ DWWHPSWLQJ WR DUUHVW IOHHLQJ IHORQV
ZRXOG PHHW WKH OHYHO RI ³KLJKO\ SUHGLFWDEOH´ RI YLRODWLQJ VRPHRQH¶V FRQVWLWXWLRQDO ULJKWV FLWLQJ
Brown  86 DW 


                                                 
) 6XSS G  ± ''&  FLWLQJ Smith v. District of Columbia  ) 6XSS G 

 ''&  DQG Iqbal  86 DW 

       7KHUHIRUH &RXQWV ,,, DQG ; ZKLFK DVVHUW FRQVWLWXWLRQDO FODLPV DJDLQVW WKH 'LVWULFW XQGHU

VHFWLRQ  ZLOO EH GLVPLVVHG

            3ODLQWLIIV¶ QHJOLJHQFH FODLPV DJDLQVW WKH 'LVWULFW DUH EDUUHG E\ WKH SXEOLF GXW\
              GRFWULQH

       3ODLQWLIIV¶ QHJOLJHQFH FODLPV DJDLQVW WKH 'LVWULFW DOVR IDLO ZKHQ RQH WHVWV WKHP DJDLQVW WKH

DSSOLFDEOH 'LVWULFW RI &ROXPELD OHJDO SUHFHGHQW

       ³([FHSW LQ PDWWHUV JRYHUQHG E\ WKH )HGHUDO &RQVWLWXWLRQ RU E\ DFWV RI &RQJUHVV WKH ODZ WR

EH DSSOLHG LQ DQ\ FDVH LV WKH ODZ RI WKH VWDWH´ EHFDXVH ³>W@KHUH LV QR IHGHUDO JHQHUDO FRPPRQ ODZ´

Erie R. Co. v. Tompkins  86    see A.I. Trade Fin., Inc. v. Petra Int’l Banking

Corp.  )G   '& &LU  ³>$@ IHGHUDO FRXUW DSSOLHV VWDWH ODZ ZKHQ LW GHFLGHV

DQ LVVXH QRW DGGUHVVHG E\ IHGHUDO ODZ    ´ ³7KH &RXUW DSSOLHV WKH ODZ RI WKH IRUXP VWDWH ± LQ

WKLV LQVWDQFH WKH 'LVWULFW RI &ROXPELD ± ZKHQ DGMXGLFDWLQJ FRPPRQ ODZ FODLPV´ Young v. District

of Columbia  ) 6XSS G   Q ''&  6R WKH &RXUW ZLOO DSSO\ 'LVWULFW RI

&ROXPELD ODZ WR SODLQWLIIV¶ FRPPRQ ODZ FODLPV

       ,W LV D IXQGDPHQWDO SULQFLSOH ³WKDW D JRYHUQPHQW DQG LWV DJHQWV DUH XQGHU QR JHQHUDO GXW\

WR SURYLGH SXEOLF VHUYLFHV VXFK DV SROLFH SURWHFWLRQ WR DQ\ SDUWLFXODU LQGLYLGXDO FLWL]HQ´ Warren

v. District of Columbia  $G   '&  FLWLQJ Turner v. United States  86 

±  7KDW LV WUXH RI ³ODZ HQIRUFHPHQW VHUYLFHV DQG VHUYLFHV DNLQ WR SROLFH DQG ILUH

SURWHFWLRQ´ Powell v. District of Columbia  $G   '&  LQFOXGLQJ ³DFWLRQV

DV ZHOO DV LQDFWLRQV E\ 'LVWULFW JRYHUQPHQW HPSOR\HHV´ Id. ³5DWKHU WKH GXW\ RZHG LV WR WKH



     1R SDUW\ WR DQ\ RI WKH SHQGLQJ PRWLRQV WR GLVPLVV GLVSXWHV WKH DSSOLFDELOLW\ RI 'LVWULFW RI
&ROXPELD ODZ WR SODLQWLIIV¶ FRPPRQ ODZ FODLPV
                                                
SXEOLF DQG DEVHQW D VSHFLDO UHODWLRQVKLS WKH 'LVWULFW RI &ROXPELD FDQQRW EH KHOG OLDEOH´ Platt v.

District of Columbia  $G   '&  FLWLQJ Warren  $G DW  ,Q RUGHU WR

FRQYHUW WKLV JHQHUDO GXW\ RZHG WR WKH SXEOLF WR D VSHFLDO GXW\ WZR DGGLWLRQDO HOHPHQWV DUH

QHFHVVDU\ ³ D GLUHFW FRQWDFW RU FRQWLQXLQJ FRQWDFW EHWZHHQ WKH YLFWLP DQG WKH JRYHUQPHQWDO

DJHQF\ RU RIILFLDO DQG  D MXVWLILDEOH UHOLDQFH RQ WKH SDUW RI WKH YLFWLP´ Id

        ³>,@Q WKH DUHD RI SROLFH VHUYLFHV    D VSHFLDO OHJDO GXW\ LV FUHDWHG µZKHQ WKHUH LV D FRXUVH

RI FRQGXFW VSHFLDO NQRZOHGJH RI SRVVLEOH KDUP RU WKH DFWXDO XVH RI LQGLYLGXDOV LQ WKH >FULPLQDO@

LQYHVWLJDWLRQ´¶ Powell  $G DW  8OWLPDWHO\ WKHUH PXVW EH ³VRPH IRUP RI SULYLW\

EHWZHHQ WKH SROLFH GHSDUWPHQW DQG WKH YLFWLP WKDW VHWV WKH YLFWLP DSDUW IURP WKH JHQHUDO SXEOLF    

7KDW LV WKH YLFWLP PXVW EHFRPH D UHDVRQDEO\ IRUHVHHDEOH SODLQWLII´ Id. DW  TXRWLQJ Warren

 $G DW  7KH UHTXLUHG FRQWDFW PXVW LQ RWKHU ZRUGV EH D ³GLUHFW WUDQVDFWLRQ ZLWK WKH SHUVRQ

LQMXUHG´ RU ³DQ DUPVOHQJWK UHODWLRQVKLS LQ ZKLFK WKH FLW\¶V DJHQW LV GHDOLQJ GLUHFWO\ LQ VRPH IRUP

ZLWK WKH SHUVRQ LQMXUHG´ Id. TXRWLQJ City of Tampa v. Davis  6RG  ± )OD G

'LVW &W $SS 

        $ UHYLHZ RI WKH FRPSODLQW UHYHDOV WKDW SODLQWLIIV DUH SUHGLFDWLQJ WKHLU FODLPV VROHO\ RQ WKH

EDVLV RI D JHQHUDO GXW\ WR SURWHFW WKH SXEOLF ZKLFK FDQQRW VXSSO\ D EDVLV IRU OLDELOLW\ XQGHU WKH

SXEOLF GXW\ GRFWULQH See 6HFRQG $P &RPSO   ³'&03' RZHG D GXW\ WR DFW WR SURYLGH

VHFXULW\ to the public DQG SUHYHQW >WKH '5&@ IURP DWWDFNLQJ PHPEHUV RI WKH SXEOLF´ HPSKDVLV

DGGHG id.   ³'&03' RZHG members of the public D GXW\ RI FDUH WR DGHTXDWHO\ WUDLQ

PDLQWDLQ DQG FRQWURO WKHLU SHUVRQQHO´ HPSKDVLV DGGHG 7KH SROLFH GHSDUWPHQW FDQQRW EH KHOG

OLDEOH IRU LWV IDLOXUH WR XSKROG LWV GXW\ WR WKH JHQHUDO SXEOLF see Platt  $G DW  VR SODLQWLIIV¶

QHJOLJHQFH FODLPV DJDLQVW WKH 'LVWULFW PXVW EH GLVPLVVHG




                                                    
       3ODLQWLIIV DUJXH LQ WKHLU RSSRVLWLRQ WR WKH PRWLRQ WR GLVPLVV WKDW WKLV LV D VSHFLDO GXW\ FDVH

EXW HYHQ UHDG LQ WKH OLJKW PRVW IDYRUDEOH WR SODLQWLIIV WKH FRPSODLQW GRHV QRW DOOHJH VXIILFLHQW IDFWV

WR HVWDEOLVK D VSHFLDO UHODWLRQVKLS EHWZHHQ SODLQWLIIV DQG 03' 3ODLQWLIIV FRQWHQG WKDW 03' RZHG

WKHP D VSHFLDO GXW\ WR HQVXUH WKHLU SURWHFWLRQ EHFDXVH LW ZDV DZDUH RI SODLQWLIIV¶ SODQV WR HQJDJH

LQ D SHDFHIXO SROLWLFDO SURWHVW 3OV¶ 03' 2SS DW  +RZHYHU WKLV LQIRUPDWLRQ DORQH LV QRW

HQRXJK WR FUHDWH D OHYHO RI SULYLW\ EHWZHHQ 03' DQG SODLQWLIIV WKDW ZRXOG GLIIHUHQWLDWH WKHP IURP

WKH JHQHUDO SXEOLF See Platt  $G DW  ILQGLQJ WKH ³PHUH SRVWLQJ RI D FHUWLILFDWH RI

RFFXSDQF\ RQ WKH &OXE SUHPLVHV´ GLG QRW FUHDWH D VSHFLDO UHODWLRQVKLS ZLWK 'LVWULFW RIILFLDOV ZKR

KDG LQVSHFWHG WKH EXLOGLQJ DQG D ILUH VXEVHTXHQWO\ NLOOHG WUDSSHG SDWURQV Warren  $G DW ±

 FRQFOXGLQJ WKDW DQ HPHUJHQF\ SKRQH FDOO E\ D UDSH YLFWLP IROORZHG E\ LQDGHTXDWH SROLFH

LQYHVWLJDWLRQ ZDV QRW VXIILFLHQW WR HVWDEOLVK D VSHFLDO UHODWLRQVKLS RU MXVWLILDEOH UHOLDQFH cf.

Powell  $G DW  ILQGLQJ D VSHFLDO UHODWLRQVKLS H[LVWHG ZKHUH DSSHOODQW UHJLVWHUHG IRU DQG

UHFHLYHG D SHUPLW IRU KHU FDU DQG WKH 'LVWULFW LQFRUUHFWO\ HQWHUHG KHU LQIRUPDWLRQ LQWR WKH V\VWHP

FDXVLQJ KHU WR EH ILQHG

       +HUH 0LDQJR FODLPV WKDW KH ³VRXJKW WR REWDLQ D SHUPLW´ IRU WKH SURWHVW EXW ZDV LQIRUPHG

WKDW D SHUPLW ZDV XQQHFHVVDU\ JLYHQ WKH VL]H RI KLV JURXS 6HFRQG $P &RPSO   3ODLQWLIIV

GR QRW SURYLGH IDFWV LQGLFDWLQJ WKDW 0LDQJR KDG DQ\ DGGLWLRQDO LQWHUDFWLRQV ZLWK 'LVWULFW SHUVRQQHO

QRU GR WKH\ HYHQ DOOHJH ZKHQ 0LDQJR KDG WKLV VLQJOH FRQYHUVDWLRQ 7KH LQIRUPDWLRQ WKDW D SURWHVW

ZRXOG EH KHOG GLG QRW SXW WKH SROLFH RQ QRWLFH RI DQ\ SDUWLFXODU ULVN RI KDUP WR SODLQWLIIV DQG WKHUH

LV QR DOOHJDWLRQ WKDW WKH SROLFH XQGHUWRRN DQ\ DFWLRQ WR DIIRUG WKH SURWHVWHUV DQ\ VSHFLDO

SURWHFWLRQ ± WKH GLVVLGHQWV ZHUH VLPSO\ LQIRUPHG WKDW WKH\ GLG QRW QHHG D SHUPLW 6R SODLQWLIIV GR

QRW DOOHJH VXIILFLHQW IDFWV WR GHPRQVWUDWH WKDW 03' KDG DQ\ ³VSHFLDO NQRZOHGJH RI SRVVLEOH KDUP´

WR SODLQWLIIV RU WKDW WKH SDUWLHV HQJDJHG LQ D ³FRXUVH RI FRQGXFW´ WKDW ZRXOG FUHDWH D VSHFLDO



                                                  
UHODWLRQVKLS See Powell  $G DW  $QG WKHUH DUH QR IDFWV WR VXSSRUW D ILQGLQJ WKDW

SODLQWLIIV UHDVRQDEO\ UHOLHG RQ WKH RIILFHUV¶ VSHFLDO SURWHFWLYH VHUYLFHV

       %HFDXVH SODLQWLIIV KDYH IDLOHG WR DOOHJH WKH H[LVWHQFH RI D VSHFLDO GXW\ RZHG WR WKHP

SODLQWLIIV¶ QHJOLJHQFH FODLP DJDLQVW WKH 'LVWULFW LV EDUUHG E\ WKH SXEOLF GXW\ GRFWULQH DQG &RXQW

;,9 ZLOO EH GLVPLVVHG DV WR WKH 'LVWULFW

,,    7KH 6HFUHW 6HUYLFH¶V 0RWLRQ WR 'LVPLVV

       7KH 86 6HFUHW 6HUYLFH PRYHG WR GLVPLVV WKH QHJOLJHQFH DQG ORVV RI FRQVRUWLXP FODLPV

EURXJKW DJDLQVW LW LQ &RXQWV ;,9 DQG ;9, DVVHUWLQJ WKDW LW LV LPPXQH IURP VXLW XQGHU WKH )HGHUDO

7RUW &ODLPV $FW ³)7&$´ DQG WKDW LQ DQ\ HYHQW SODLQWLIIV KDYH IDLOHG WR VWDWH D FODLP DJDLQVW LW

IRU QHJOLJHQFH See 8666 0RW DW 

       7KH &RXUW FRQFOXGHV WKDW LW GRHV QRW KDYH MXULVGLFWLRQ XQGHU WKH )7&$ WR DGGUHVV WKH

QHJOLJHQFH FODLPV ILOHG E\ SODLQWLIIV 0 0LDQJR 1JRPD .D\D\D DQG /LNXWX VR WKRVH SODLQWLIIV¶

WRUW FODLPV ZLOO EH GLVPLVVHG XQGHU )HGHUDO 5XOH RI &LYLO 3URFHGXUH E 7KH &RXUW GRHV KDYH

MXULVGLFWLRQ RYHU SODLQWLII 0LDQJR¶V WRUW FODLPV EXW KH KDV IDLOHG WR SOHDG VXIILFLHQW IDFWV WR VWDWH D

FODLP IRU QHJOLJHQFH VR &RXQWV ;,9 DQG ;9, DJDLQVW WKH 6HFUHW 6HUYLFH ZLOO EH GLVPLVVHG XQGHU

5XOH E

       )LQDOO\ HYHQ WKRXJK WKH 6HFUHW 6HUYLFH KDV QRW PRYHG WR GLVPLVV WKH VHFWLRQ  FODLPV

DJDLQVW LW WKH &RXUW ILQGV WKDW WKH DJHQF\ KDV QRW ZDLYHG LWV VRYHUHLJQ LPPXQLW\ DV WR WKRVH FODLPV

VR &RXQWV ,,, DQG ; ZLOO EH GLVPLVVHG EHFDXVH WKH &RXUW ODFNV MXULVGLFWLRQ WR KHDU WKHP

       $        3ODLQWLIIV¶ FRPPRQ ODZ WRUW FODLPV ZLOO EH GLVPLVVHG

       7KH )7&$ DXWKRUL]HV FHUWDLQ WRUW DFWLRQV DJDLQVW WKH 8QLWHG 6WDWHV RYHU ZKLFK WKH IHGHUDO

GLVWULFW FRXUWV PDLQWDLQ H[FOXVLYH MXULVGLFWLRQ See  86&  E 7RUW DFWLRQV DXWKRUL]HG

E\ WKH )7&$ LQFOXGH FODLPV IRU QHJOLJHQFH DQG ORVV RI FRQVRUWLXP See id. $OO ILYH SODLQWLIIV VXHG



                                                  
WKH 6HFUHW 6HUYLFH IRU QHJOLJHQFH DQG SODLQWLIIV 0LDQJR DQG 0 0LDQJR DGGHG D ORVV RI FRQVRUWLXP

FODLP 6HFRQG $P &RPSO  ± ±

       8QGHU WKH )7&$ D WRUW DFWLRQ DJDLQVW WKH 8QLWHG 6WDWHV ³VKDOO EH IRUHYHU EDUUHG XQOHVV LW

LV SUHVHQWHG LQ ZULWLQJ WR WKH DSSURSULDWH )HGHUDO DJHQF\ ZLWKLQ WZR \HDUV DIWHU VXFK FODLP

DFFUXHV´  86&  E see  &)5  D 3UHVHQWPHQW RI D FODLP RFFXUV ZKHQ WKH

DJHQF\ UHFHLYHV ³DQ H[HFXWHG 6WDQGDUG )RUP  RU RWKHU ZULWWHQ QRWLILFDWLRQ RI DQ LQFLGHQW

DFFRPSDQLHG E\ D FODLP IRU PRQH\ GDPDJHV LQ D VXP FHUWDLQ IRU LQMXU\ WR RU ORVV RI SURSHUW\

SHUVRQDO LQMXU\ RU GHDWK DOOHJHG WR KDYH RFFXUUHG E\ UHDVRQ RI WKH LQFLGHQW´  &)5  D

see also GAF Corp. v. United States  )G   '& &LU  KROGLQJ WKDW WR PHHW WKH

SUHVHQWPHQW UHTXLUHPHQW D FODLPDQW PXVW ILOH ³ D ZULWWHQ VWDWHPHQW VXIILFLHQWO\ GHVFULELQJ WKH

LQMXU\ WR HQDEOH WKH DJHQF\ WR EHJLQ LWV RZQ LQYHVWLJDWLRQ DQG  D VXPFHUWDLQ GDPDJHV FODLP´

       $ FODLP DFFUXHV ZKHQ ³D SODLQWLII µKDV GLVFRYHUHG ERWK KLV LQMXU\ DQG LWV FDXVH¶ HYHQ WKRXJK

KH LV XQDZDUH WKDW WKH KDUP ZDV µQHJOLJHQWO\ LQIOLFWHG¶´ Sexton v. United States  )G 

 '& &LU  TXRWLQJ United States v. Kubrick  86    $ SDUW\ PD\

QRW LQVWLWXWH D FLYLO DFWLRQ DJDLQVW WKH 8QLWHG 6WDWHV ³XQOHVV WKH FODLPDQW VKDOO KDYH ILUVW SUHVHQWHG

WKH FODLP WR WKH DSSURSULDWH )HGHUDO DJHQF\ DQG KLV FODLP VKDOO KDYH EHHQ ILQDOO\ GHQLHG E\ WKH

DJHQF\´ ZKLFK LQFOXGHV LI WKH DJHQF\ IDLOV WR ³PDNH ILQDO GLVSRVLWLRQ RI D FODLP ZLWKLQ VL[ PRQWKV

DIWHU LW LV ILOHG´  86&  D GAF Corp.  )G DW 

                     :DLYHU RI 6RYHUHLJQ ,PPXQLW\ XQGHU WKH )7&$

       3ODLQWLII 0LDQJR ZDV WKH RQO\ SODLQWLII LQ WKLV FDVH WR SURYLGH WLPHO\ ZULWWHQ QRWLFH DV

UHTXLUHG E\ WKH )7&$ 2Q -DQXDU\   SODLQWLII 0LDQJR¶V DWWRUQH\ VHQW D OHWWHU WR WKH 6HFUHW

6HUYLFH LQIRUPLQJ WKH DJHQF\ RI WKH LQFLGHQW WKDW RFFXUUHG RXWVLGH RI WKH &DSHOOD +RWHO RQ $XJXVW

  See ([  WR 8666 0RW %HFDXVH 0LDQJR SURYLGHG WKLV ZULWWHQ QRWLFH ZLWKLQ WZR \HDUV



                                                 
RI WKH LQFLGHQW DQG WKH OHWWHU LQFOXGHG D FODLP IRU GDPDJHV LQ WKH DPRXQW RI  IRU

SHUVRQDO LQMXULHV WKH &RXUW ILQGV WKDW 0LDQJR SUHVHQWHG 8666 ZLWK QRWLFH WKDW ZDV VXIILFLHQW WR

PHHW WKH MXULVGLFWLRQDO UHTXLUHPHQWV RI WKH )7&$ See GAF Corp.  )G DW 

          $OWKRXJK 0LDQJR GLG QRW VXEPLW WKH 6WDQGDUG )RUP  KLV OHWWHU LGHQWLILHG WKH DFWV DQG

RPLVVLRQV RI WKH JRYHUQPHQW WKDW LQ KLV YLHZ MXVWLI\ D GDPDJHV DZDUG See id. $QG 0LDQJR KDV

³VXSSOLHG WKH *RYHUQPHQW ZLWK QRWLFH VXIILFLHQW IRU LW WR XQGHUWDNH DQ LQYHVWLJDWLRQ RI >KLV@ FODLPV

DQG HYDOXDWH LWV SRWHQWLDO OLDELOLWLHV´ Id. 7KHUHIRUH 0LDQJR KDV PHW WKH )7&$¶V SUHVHQWPHQW

UHTXLUHPHQWV DQG WKH &RXUW KDV MXULVGLFWLRQ RYHU 0LDQJR¶V QHJOLJHQFH DQG ORVV RI FRQVRUWLXP

FODLPV

          7KH RWKHU SODLQWLIIV DVVHUW WKDW WKH LQIRUPDWLRQ FRQWDLQHG LQ WKH -DQXDU\   OHWWHU ZDV

VXIILFLHQW WR SXW WKH DJHQF\ RQ QRWLFH RI DOO ILYH SODLQWLIIV¶ FODLPV HYHQ WKRXJK WKH OHWWHU LGHQWLILHG

RQO\ 0LDQJR DV D FODLPDQW 3OV¶ 8666 2SS DW  3ODLQWLIIV UHO\ RQ Tsaknis v. United States 

) 6XSS G  ''&  WR VXSSRUW WKHLU WKHRU\ WKDW WKH -DQXDU\ OHWWHU FDQ VHUYH DV SURSHU

QRWLFH IRU DOO SODLQWLIIV EHFDXVH ³WKH IDFWXDO EDVLV WKHUHLQ LV VXEVWDQWLDOO\ VLPLODU LI QRW LGHQWLFDO WR

WKH IDFWXDO DOOHJDWLRQV WR VXSSRUW >S@ODLQWLIIV¶ FODLPV LQ WKH RULJLQDO DQG DPHQGHG SOHDGLQJV´ 3OV¶

8666 2SS DW ± %XW WKH FDVH GRHV QRW VXSSRUW SODLQWLIIV¶ DUJXPHQW

          ,Q Tsaknis D FODLPDQW ILOHG DQ DGPLQLVWUDWLYH FODLP XQGHU WKH )7&$ QRWLI\LQJ WKH

DSSURSULDWH IHGHUDO DJHQF\ ZLWKLQ WKH UHTXLUHG WZR\HDU SHULRG  ) 6XSS G DW ± $IWHU

WKH DGPLQLVWUDWLYH FODLP ZDV GHQLHG WKH FODLPDQW ILOHG D ODZVXLW DQG WKH FRXUW KHOG WKDW WKH

GHVFULSWLRQV ZLWKLQ WKH DGPLQLVWUDWLYH QRWLFH FRQVWLWXWHG ³VXIILFLHQW QRWLFH WR VDWLVI\ WKH )7&$

SUHVHQWPHQW UHTXLUHPHQW´ GHVSLWH WKH SUHVHQFH RI ODQJXDJH LQ WKH SODLQWLII¶V DGPLQLVWUDWLYH QRWLFH

WKDW FRQWUDGLFWHG WKH OHJDO WKHRU\ SXW IRUWK LQ WKH ODZVXLW See id. DW 




                                                   
        6R Tsaknis GRHV QRW VWDQG IRU WKH SURSRVLWLRQ WKDW EURDG DOOHJDWLRQV LQ DQ DGPLQLVWUDWLYH

QRWLFH DUH HQRXJK WR JLYH WKH &RXUW MXULVGLFWLRQ RYHU FODLPV DQG FODLPDQWV WKDW DUH QRW LQFOXGHG LQ

WKH QRWLFH ,QGHHG WKH RSLQLRQ PDNHV LW FOHDU WKDW LQ RUGHU WR PHHW WKH )7&$¶V SUHVHQWPHQW

UHTXLUHPHQW HDFK FODLPDQW PXVW ILOH KLV RU KHU RZQ ZULWWHQ QRWLFH See Tsaknis  ) 6XSS G

DW  REVHUYLQJ WKDW RQH RI WKH GHILFLHQFLHV LQ WKH FODLPDQWV¶ RULJLQDO DGPLQLVWUDWLYH QRWLFH ZDV

WKDW ³IRXU FODLPDQWV ILOHG WRJHWKHU ZKHQ WKH\ VKRXOG KDYH ILOHG VHSDUDWHO\´ FLWLQJ Muth v. United

States  )G   WK &LU  ³>,@I WKHUH DUH PXOWLSOH FODLPDQWV LQ WKH PDWWHU HDFK

FODLPDQW PXVW µLQGLYLGXDOO\ VDWLVI\ WKH MXULVGLFWLRQDO SUHUHTXLVLWH RI ILOLQJ D SURSHU FODLP XQOHVV

DQRWKHU LV OHJDOO\ HQWLWOHG WR DVVHUW VXFK D FODLP RQ WKHLU EHKDOI¶´ TXRWLQJ Frantz v. United States

 ) 6XSS   ' 'HO  see also Founding Church of Scientology of Wash., D.C.,

Inc. v. Dir. FBI  ) 6XSS   ''&  REVHUYLQJ WKDW XQGHU WKH )7&$ ³>H@YHU\

PHPEHU RI WKH FODVV PXVW XVXDOO\ FRPSO\ ZLWK WKH MXULVGLFWLRQDO SUHUHTXLVLWHV LQ D GDPDJH VXLW´

        7KH RWKHU IRXU SODLQWLIIV ZHUH ERXQG WR FRPSO\ ZLWK WKH )7&$ WKHPVHOYHV DQG WKH\ IDLOHG

WR GR VR 7KH EHODWHG 6WDQGDUG )RUP  &ODLP IRUPV VHQW RQ 6HSWHPEHU   IDLO WR VHUYH DV

D YDOLG ZDLYHU RI VRYHUHLJQ LPPXQLW\ XQGHU WKH )7&$ IRU SODLQWLIIV 0 0LDQJR 1JRPD .D\D\D

DQG /LNXWX EHFDXVH WKH WZR\HDU SUHVHQWPHQW SHULRG H[SLUHG RQ $XJXVW   See Sexton 

)G DW  $QG HYHQ LI WKH IRUPV KDG EHHQ WLPHO\ WKRVH SODLQWLIIV¶ FODLPV ZRXOG EH GLVPLVVHG

EHFDXVH WKH\ GLG QRW ZDLW VL[ PRQWKV DIWHU SUHVHQWLQJ WKHLU FODLPV WR ILOH VXLW See  86& 

D




      7KH &RGH RI )HGHUDO 5HJXODWLRQV DXWKRUL]HV WKH ILOLQJ RI DQ DGPLQLVWUDWLYH FODLP RQ EHKDOI
RI DQRWKHU XQGHU FHUWDLQ OLPLWHG FLUFXPVWDQFHV VXFK DV ZKHQ D SHUVRQ LV DFWLQJ DV WKH LQMXUHG
SDUW\¶V ³GXO\ DXWKRUL]HG DJHQW´ RU ³OHJDO UHSUHVHQWDWLYH´  &)5   EXW WKHUH LV QR FODLP
WKDW WKRVH FLUFXPVWDQFHV SHUWDLQ KHUH


                                                  
                     3ODLQWLII 0LDQJR¶V 1HJOLJHQFH &ODLP

       /LNH WKH 'LVWULFW WKH 6HFUHW 6HUYLFH DUJXHV WKDW SODLQWLII 0LDQJR¶V QHJOLJHQFH FODLP LV

EDUUHG E\ WKH SXEOLF GXW\ GRFWULQH 8666 0HP DW ± $QG SODLQWLII¶V FODLP DJDLQVW WKH 6HFUHW

6HUYLFH IDLOV IRU WKH VDPH UHDVRQV LW LV H[SUHVVO\ EDVHG RQ D IDLOXUH WR SHUIRUP D JHQHUDO GXW\ DQG

WKH FRPSODLQW LV GHYRLG RI IDFWXDO DOOHJDWLRQV WKDW VXSSRUW DQ LQIHUHQFH WKDW DQ\ VSHFLDO GXW\ ZDV

FUHDWHG See Platt  $G DW 

       $V QRWHG DERYH SODLQWLII 0LDQJR FKDUDFWHUL]HV KLV QHJOLJHQFH FODLP DJDLQVW WKH WZR ODZ

HQIRUFHPHQW DJHQFLHV LQ WHUPV RI D JHQHUDO GXW\ WR SURWHFW WKH SXEOLF              See 6HFRQG $P

&RPSO   ³'HIHQGDQWV 8666 DQG '&03' RZHG D GXW\ WR DFW WR SURYLGH VHFXULW\ WR WKH

SXEOLF DQG SUHYHQW >WKH '5&@ IURP DWWDFNLQJ PHPEHUV RI WKH SXEOLF´ id.   ³'HIHQGDQWV

8666 DQG '&03' RZHG PHPEHUV RI WKH SXEOLF D GXW\ RI FDUH    ´ $ IHGHUDO ODZ HQIRUFHPHQW

DJHQF\ FDQQRW EH KHOG OLDEOH IRU LWV IDLOXUH WR XSKROG LWV GXW\ WR WKH JHQHUDO SXEOLF See Platt 

$G DW 

       0RUHRYHU SODLQWLII KDV QRW FRPH FORVH WR SOHDGLQJ IDFWV WR HVWDEOLVK D VSHFLDO UHODWLRQVKLS

EHWZHHQ KLPVHOI DQG WKH 6HFUHW 6HUYLFH 3ODLQWLII VWDWHV WKDW WKH DJHQWV ZHUH ³SUHVHQW LQ IURQW RI

WKH &DSHOOD *HRUJHWRZQ +RWHO´ WKDW WKH\ ³REVHUYHG 0U 0LDQJR >EHLQJ@ NQRFNHG WR WKH JURXQG

EHDWHQ NLFNHG DQG VWRPSHG RQ´ DQG WKDW WKH\ ³WRRN QR DFWLRQ WR DUUHVW WKH DWWDFNHUV RU SUHYHQW WKH

DWWDFN DQG EUXWDO DVVDXOW RI 0U 0LDQJR´ H[FHSW WR ³XVKHU>@ DZD\ WKH DWWDFNHUV´ 6HFRQG $P

&RPSO    %XW WKH FRPSODLQW GRHV QRW GHVFULEH DQ\ LQWHUDFWLRQ EHWZHHQ 0LDQJR DQG WKH

DJHQWV WKDW ZRXOG JLYH ULVH WR D VSHFLDO UHODWLRQVKLS

       3ODLQWLII LV VLPLODUO\ FRQFOXVRU\ LQ KLV RSSRVLWLRQ WR WKH PRWLRQ WR GLVPLVV DV KH SRVLWV

ZLWKRXW IDFWXDO VXSSRUW WKDW ³WKH IHGHUDO GHIHQGDQWV KDG D VSHFLDO GXW\ WR SURWHFW >S@ODLQWLII>@ IURP

WKH DWWDFNV RQ $XJXVW   DQG >S@ODLQWLII>@ MXVWLILDEO\ UHOLHG RQ    WKH IHGHUDO GHIHQGDQWV WR



                                                  
EH SURWHFWHG IURP DWWDFNV EHFDXVH RI >KLV@ SURWHVW´ 3OV¶ 8666 2SS DW  3ODLQWLII SRLQWV WR WKH

IDFW WKDW WKH ORFDO SROLFH ZHUH QRWLILHG RI WKH SURWHVW DQG KH DVVHUWV WKDW WKH IHGHUDO DJHQWV VKRXOG

KDYH NQRZQ WKDW WKH '5& DQG 3UHVLGHQW .DELOD ZRXOG WDNH YLROHQW DFWLRQ DJDLQVW WKH SURWHVWHUV

EHFDXVH RI WKH '5&¶V KLVWRU\ RI KXPDQ ULJKWV YLRODWLRQV Id. %XW WKHUH DUH QR IDFWV LQ WKH FRPSODLQW

IURP ZKLFK RQH FRXOG LQIHU WKDW WKH DJHQWV KDG JURXQGV IRU FRQFHUQ DERXW ULVNV WR SODLQWLII 0LDQJR

RQ WKH GDWH LQ TXHVWLRQ $QG HYHQ LI WKH YDJXH FODLPV LQ WKH RSSRVLWLRQ KDG EHHQ LQFOXGHG LQ WKH

FRPSODLQW WKH\ ZRXOG QRW EH VXIILFLHQW WR FUHDWH D VSHFLDO GXW\ WRZDUGV SODLQWLII WKDW WKH DJHQWV

GLG QRW RZH WR HYHU\ RWKHU PHPEHU RI WKH SXEOLF

       7KHUHIRUH SODLQWLII 0LDQJR KDV QRW DOOHJHG DQ DFWLRQDEOH QHJOLJHQFH FODLP DJDLQVW WKH

6HFUHW 6HUYLFH EDVHG RQ D VSHFLDO GXW\ RZHG WR KLP DQG KLV FODLP DJDLQVW WKH 6HFUHW 6HUYLFH LQ

&RXQW ;,9 ZLOO EH GLVPLVVHG

       %      3ODLQWLIIV¶ VHFWLRQ  FODLPV DUH EDUUHG

       3ODLQWLIIV EULQJ WZR FRXQWV DJDLQVW WKH 86 6HFUHW 6HUYLFH IRU GHSULYDWLRQ RI FRQVWLWXWLRQDO

DQG FLYLO ULJKWV XQGHU VHFWLRQ  6HFRQG $P &RPSO  ± ± (YHQ WKRXJK WKH

DJHQF\ KDV QRW PRYHG WR GLVPLVV WKHVH FRXQWV WKH &RXUW KDV DQ LQGHSHQGHQW REOLJDWLRQ WR

GHWHUPLQH LWV MXULVGLFWLRQ RYHU WKHVH FODLPV )HG 5 &LY 3 K ³,I WKH FRXUW GHWHUPLQHV DW

DQ\ WLPH WKDW LW ODFNV VXEMHFWPDWWHU MXULVGLFWLRQ WKH FRXUW PXVW GLVPLVV WKH DFWLRQ´ City of

Kenosha v. Bruno  86  ±  REVHUYLQJ WKDW LW LV WKH GXW\ RI WKH FRXUW WR VHH

WKDW LWV MXULVGLFWLRQ LV QRW H[FHHGHG HYHQ ZKHQ WKH SDUWLHV GR QRW TXHVWLRQ WKH FRXUW¶V MXULVGLFWLRQ

%HFDXVH VHFWLRQ  GRHV QRW FUHDWH D FDXVH RI DFWLRQ DJDLQVW D IHGHUDO DFWRU DQG WKHUH LV QR RWKHU




                                                  
DSSOLFDEOH ZDLYHU RI VRYHUHLJQ LPPXQLW\ WKH &RXUW GRHV QRW KDYH MXULVGLFWLRQ RYHU D FODLP DJDLQVW

WKH 6HFUHW 6HUYLFH XQGHU WKDW VWDWXWH DQG WKH FODLP PXVW EH GLVPLVVHG

       ³7KH 8QLWHG 6WDWHV PD\ QRW EH VXHG ZLWKRXW LWV FRQVHQW DQG >@ WKH H[LVWHQFH RI FRQVHQW LV D

SUHUHTXLVLWH IRU MXULVGLFWLRQ´ United States v. Mitchell  86    7R VXH WKH

8QLWHG 6WDWHV RU D IHGHUDO DJHQF\ D ZDLYHU RI VRYHUHLJQ LPPXQLW\ ³PXVW EH XQHTXLYRFDOO\

H[SUHVVHG LQ VWDWXWRU\ WH[W´ Settles v. U.S. Parole Comm’n  )G   '& &LU 

       6HFWLRQ  SURYLGHV

               (YHU\ SHUVRQ ZKR XQGHU FRORU RI DQ\ VWDWXWH RUGLQDQFH UHJXODWLRQ
               FXVWRP RU XVDJH RI DQ\ 6WDWH RU 7HUULWRU\ RU WKH 'LVWULFW RI &ROXPELD
               VXEMHFWV RU FDXVHV WR EH VXEMHFWHG DQ\ FLWL]HQ RI WKH 8QLWHG 6WDWHV RU RWKHU
               SHUVRQ ZLWKLQ WKH MXULVGLFWLRQ WKHUHRI WR WKH GHSULYDWLRQ RI DQ\ ULJKWV
               SULYLOHJHV RU LPPXQLWLHV VHFXUHG E\ WKH &RQVWLWXWLRQ DQG ODZV VKDOO EH
               OLDEOH WR WKH SDUW\ LQMXUHG LQ DQ DFWLRQ DW ODZ VXLW LQ HTXLW\ RU RWKHU SURSHU
               SURFHHGLQJ IRU UHGUHVV    

 86&   7KLV ODQJXDJH RPLWV DQ\ UHIHUHQFH WR WKH IHGHUDO JRYHUQPHQW

        &RQJUHVV KDV PDGH ³QR VWDWHPHQW RU RWKHU LQGLFDWLRQ WKDW >LW@ LQWHQGHG WR VXEMHFW IHGHUDO

HQWLWLHV WR   OLDELOLW\´ Settles  )G DW  0RUHRYHU ³>V@RYHUHLJQ LPPXQLW\ PD\ QRW

EH ZDLYHG E\ IHGHUDO DJHQFLHV´ Id 7KHUHIRUH WKH DJHQF\ ³UHWDLQV WKH LPPXQLW\ LW LV GXH DV DQ

DUP RI WKH IHGHUDO VRYHUHLJQ´ id. DW  DQG SODLQWLIIV¶ VHFWLRQ  FODLPV DJDLQVW WKH 6HFUHW

6HUYLFH LQ &RXQWV ,,, DQG ; ZLOO EH GLVPLVVHG




      2Q 0DUFK   WKH &RXUW JDYH SODLQWLIIV DQ RSSRUWXQLW\ WR DGGUHVV WKLV LVVXH DQG LW
RUGHUHG SODLQWLIIV WR VKRZ FDXVH ³ZK\ WKH &RXUW VKRXOG QRW GLVPLVV WKH VHFWLRQ  FODLPV DJDLQVW
WKH 86 6HFUHW 6HUYLFH LQ &RXQWV ,,, DQG ; IRU ODFN RI VXEMHFW PDWWHU MXULVGLFWLRQ XQGHU )HGHUDO
5XOH RI &LYLO 3URFHGXUH K RQ VRYHUHLJQ LPPXQLW\ JURXQGV VLQFH VHFWLRQ  GRHV QRW
FUHDWH D FDXVH RI DFWLRQ DJDLQVW D IHGHUDO DFWRU DQG WKH FRPSODLQW LGHQWLILHV QR RWKHU DSSOLFDEOH
ZDLYHU RI VRYHUHLJQ LPPXQLW\´ 0LQ 2UGHU 0DU   3ODLQWLIIV UHVSRQGHG WR WKH &RXUW¶V
RUGHU RQ 0DUFK   5HVS WR 2UGHU RI WKH &RXUW >'NW  @ EXW WKH\ IDLOHG WR DGGUHVV WKH
OHJDO SUREOHP SUHVHQWHG WKDW LV WKDW VHFWLRQ  GRHV QRW DSSO\ WR IHGHUDO RIILFHUV DQG WKH\ GLG
QRW RWKHUZLVH DGGUHVV WKH LVVXH RI VRYHUHLJQ LPPXQLW\ DW DOO ,QVWHDG SODLQWLIIV IRFXVHG RQ WKH
DYDLODELOLW\ RI D TXDOLILHG LPPXQLW\ GHIHQVH DQG WKH\ PLVVHG WKH PDUN HQWLUHO\ Id. DW 
                                                 
,,,   7KH +RWHO &RPSDQLHV¶ 0RWLRQ WR 'LVPLVV

       3ODLQWLIIV EULQJ WKH IROORZLQJ FDXVHV RI DFWLRQ DJDLQVW WKH KRWHO FRPSDQLHV GHSULYDWLRQ RI

FRQVWLWXWLRQDO DQG FLYLO ULJKWV LQ YLRODWLRQ RI  86&   DVVDXOW WUHVSDVVLQJ FRQYHUVLRQ

DQG WKHIW QHJOLJHQFH DQG ORVV RI FRQVRUWLXP See 6HFRQG $P &RPSO 'HIHQGDQWV FRQWHQG WKDW

DOO ILYH FRXQWV VKRXOG EH GLVPLVVHG EHFDXVH  SODLQWLIIV IDLOHG WR DOOHJH WKDW WKH KRWHO FRPSDQLHV

DFWHG XQGHU FRORU RI VWDWH ODZ LQ RUGHU WR VWDWH D FODLP XQGHU VHFWLRQ   GHIHQGDQWV FDQQRW

EH KHOG OLDEOH XQGHU D respondeat superior WKHRU\ IRU DQ\ FRPPRQ ODZ WRUWV FRPPLWWHG E\

PHPEHUV RI WKH '5& HQWRXUDJH DQG  GHIHQGDQWV GLG QRW RZH SODLQWLIIV D GXW\ RI FDUH VR WKH\

FDQQRW EH KHOG OLDEOH IRU QHJOLJHQFH 7KH &RXUW DJUHHV 7KHUHIRUH &RXQWV ,,, ,; ;,,, ;9 DQG

;9, DJDLQVW WKH KRWHO FRPSDQLHV ZLOO EH GLVPLVVHG

       $      3ODLQWLIIV¶ VHFWLRQ  FODLP ZLOO EH GLVPLVVHG

       $V GLVFXVVHG DERYH VHFWLRQ  DXWKRUL]HV D VXLW ³DJDLQVW DQ\ SHUVRQ ZKR XQGHU FRORU

RI VWDWH ODZ µVXEMHFWV RU FDXVHV WR EH VXEMHFWHG DQ\ FLWL]HQ RI WKH 8QLWHG 6WDWHV    WR WKH

GHSULYDWLRQ RI DQ\ ULJKWV SULYLOHJHV RU LPPXQLWLHV VHFXUHG E\ WKH &RQVWLWXWLRQ¶´ Nelson v.

Campbell  86    TXRWLQJ  86&   6R ³WR VWDWH D FODLP XQGHU VHFWLRQ

 WKH SODLQWLIIV PXVW DOOHJH WKDW WKH GHIHQGDQWV  DFWHG XQGHU FRORU RI VWDWH ODZ LQ 

GHSULYLQJ WKHP RI D ULJKW VHFXUHG E\ WKH &RQVWLWXWLRQ RU E\ IHGHUDO ODZ´ Bates v. Nw. Human

Servs. Inc.  ) 6XSS G  ± ''&  7KH 6XSUHPH &RXUW KDV KHOG WKDW ³XQGHU

FRORU RI ODZ´ LV WUHDWHG ³DV WKH VDPH WKLQJ DV WKH µVWDWH DFWLRQ¶ UHTXLUHG XQGHU WKH )RXUWHHQWK

$PHQGPHQW´ Rendell-Baker v. Kohn  86    TXRWLQJ United States v. Price

 86   Q  3ODLQWLIIV¶ VHFWLRQ  FODLP PXVW EH GLVPLVVHG EHFDXVH SODLQWLIIV

KDYH QRW DOOHJHG WKDW WKH KRWHO FRPSDQLHV ZHUH DFWLQJ XQGHU FRORU RI VWDWH ODZ




                                                 
       :KLOH WKHUH LV ³>Q@R VXFFLQFW VXPPDU\ >@ RI ZKDW FRQVWLWXWHV VWDWH DFWLRQ IRU SXUSRVHV RI

DSSO\LQJ FRQVWLWXWLRQDO VDIHJXDUGV´ Kolinske v. Lubbers  )G   '& &LU  WKH

6XSUHPH &RXUW KDV LGHQWLILHG D KRVW RI UHOHYDQW IDFWRUV ZKHWKHU WKH FKDOOHQJHG DFWLYLW\ UHVXOWV

IURP WKH 6WDWH¶V H[HUFLVH RI FRHUFLYH SRZHU ZKHWKHU WKH 6WDWH SURYLGHV VLJQLILFDQW HQFRXUDJHPHQW

WR WKH DFWLYLW\ DQG ZKHWKHU D SULYDWH DFWRU RSHUDWHV DV D ZLOOIXO SDUWLFLSDQW LQ D MRLQW DFWLYLW\ ZLWK

WKH 6WDWH RU LWV DJHQWV Brentwood Acad. v. Tenn. Secondary Sch. Athletic Ass’n  86 

  FLWDWLRQV RPLWWHG 7KH FUX[ RI WKH LQTXLU\ GHSHQGV RQ ZKHWKHU WKHUH LV VXFK D ³FORVH

QH[XV EHWZHHQ WKH 6WDWH DQG WKH FKDOOHQJHG DFWLRQ WKDW VHHPLQJO\ SULYDWH EHKDYLRU PD\ EH IDLUO\

WUHDWHG DV WKDW RI WKH 6WDWH LWVHOI´ Id. DW  TXRWLQJ Jackson v. Metro. Edison Co.  86 

  7KH '& &LUFXLW KDV FKDUDFWHUL]HG WKLV WHVW DV GHSHQGLQJ RQ ZKHWKHU ³D SULYDWH SDUW\

DFWV DV DQ DJHQW RI WKH JRYHUQPHQW LQ UHOHYDQW UHVSHFWV´ NB ex rel. Peacock v. District of

Columbia  )G   '& &LU  FRQFOXGLQJ WKDW WKH DOOHJDWLRQV LQ WKH ³FRPSODLQW

VXSSRUW WKH LQIHUHQFH WKDW ;HUR[ DFWHG DV WKH 'LVWULFW¶V DJHQW IRU SXUSRVHV RI GHWHUPLQLQJ D

SHUVRQ¶V HOLJLELOLW\ IRU SUHVFULSWLRQ GUXJ FRYHUDJH XQGHU 0HGLFDLG´ see also Daskalea  )

6XSS G DW  ILQGLQJ WKH :DVKLQJWRQ +XPDQH 6RFLHW\ WR EH D ³VWDWH DFWRU´ DQG WKH 'LVWULFW¶V

DJHQW IRU VHFWLRQ  OLDELOLW\ EHFDXVH LW KDG EHHQ ³HQGRZHG E\ WKH 6WDWH ZLWK SRZHUV RU

IXQFWLRQV JRYHUQPHQWDO LQ QDWXUH´

       +HUH SODLQWLIIV DOOHJH WKDW WKH KRWHO FRPSDQLHV GHSULYHG SODLQWLIIV RI WKHLU )LUVW $PHQGPHQW

ULJKWV WR IUHH VSHHFK DQG DVVHPEO\ VLQFH WKH\ ³UHOLHG RQ DQG EHQHILWWHG IURP´ 03' DQG 6HFUHW

6HUYLFH VHFXULW\ 3OV¶ &DSHOOD 2SS DW  DQG WKH\ SURYLGHG DFFRPPRGDWLRQV WR WKH '5&

GHOHJDWLRQ ZKRVH RIILFLDOV DOOHJHGO\ EHDW SODLQWLIIV DV WKH\ SURWHVWHG VWROH 0LDQJR¶V SRVVHVVLRQV

DQG EURXJKW WKHP EDFN LQWR WKH KRWHO See 6HFRQG $P &RPSO    ± 3OV¶ &DSHOOD

2SS DW ± %XW WKHUH LV QR IDFWXDO EDVLV IRU WKH DVVHUWLRQ WKDW WKH SROLFH RU 6HFUHW 6HUYLFH ZHUH



                                                  
DFURVV WKH VWUHHW WR SURYLGH WKH KRWHO ZLWK SURWHFWLRQ $QG PRUH LPSRUWDQW SODLQWLIIV GR QRW VHW RXW

DQ\ IDFWV WKDW ZRXOG JLYH ULVH WR DQ LQIHUHQFH WKDW WKH KRWHO HPSOR\HHV ZHUH DFWLQJ LQ FRQFHUW ZLWK

WKH 'LVWULFW RU RQ WKH 'LVWULFW¶V EHKDOI RU WKDW WKH\ ZHUH RSHUDWLQJ XQGHU WKH GLUHFWLRQ RU ZLWK WKH

HQFRXUDJHPHQW RI WKH 6HFUHW 6HUYLFH ³:LWKRXW VWDWH DFWLRQ´ WKH KRWHO FRPSDQLHV¶ DFWLRQV ³DUH

RQO\ SULYDWH FRQGXFW EH\RQG WKH SDOH RI FRQVWLWXWLRQDO SURWHFWLRQ´ Kolinske  )G DW 

7KHUHIRUH WKH &RXUW ZLOO GLVPLVV &RXQW ,,, DV WR WKH KRWHO FRPSDQLHV

       %      3ODLQWLIIV¶ FRPPRQ ODZ WRUW FODLPV ZLOO EH GLVPLVVHG

                     3ODLQWLIIV¶ Respondeat Superior &ODLPV

       3ODLQWLIIV VHHN WR KROG WKH KRWHO FRPSDQLHV OLDEOH IRU DVVDXOW WUHVSDVVLQJ FRQYHUVLRQ DQG

WKHIW XQGHU WKH GRFWULQH RI respondeat superior RQ WKH WKHRU\ WKDW WKH '5& GHIHQGDQWV DFWHG DV

DJHQWV RI WKH &DSHOOD +RWHO See 6HFRQG $P &RPSO   ,Q RUGHU WR KROG WKH KRWHO FRPSDQLHV

OLDEOH IRU WKH DFWV RI WKH '5& GHIHQGDQWV SODLQWLIIV PXVW HVWDEOLVK WKH H[LVWHQFH RI DQ DJHQF\

UHODWLRQVKLS EHWZHHQ WKH &DSHOOD +RWHO DQG '5& GHIHQGDQWV DQG WKHQ GHPRQVWUDWH WKDW WKH '5&

GHIHQGDQWV ZHUH DFWLQJ ZLWKLQ WKH VFRSH RI WKDW UHODWLRQVKLS ZKHQ WKH\ DOOHJHGO\ DVVDXOWHG

SODLQWLIIV DQG VWROH 0LDQJR¶V SURSHUW\ See Judah v. Reiner  $G   '& 

%XW SODLQWLIIV KDYH QRW DOOHJHG VXIILFLHQW IDFWV WR HVWDEOLVK WKH H[LVWHQFH RI VXFK D SULQFLSDODJHQW

UHODWLRQVKLS 6R SODLQWLIIV¶ FRPPRQ ODZ WRUW FODLPV ZLOO EH GLVPLVVHG

       ³:KHWKHU DQ DJHQF\ UHODWLRQVKLS H[LVWV LQ D JLYHQ VLWXDWLRQ GHSHQGV RQ WKH SDUWLFXODU IDFWV

RI HDFK FDVH´ Judah  $G DW  FLWLQJ District of Columbia v. Hampton  $G  

'&  ³7KH IDFWRUV WR EH FRQVLGHUHG LQFOXGH µ WKH VHOHFWLRQ DQG HQJDJHPHQW RI WKH

VHUYDQW  WKH SD\PHQW RI ZDJHV  WKH SRZHU WR GLVFKDUJH  WKH SRZHU WR FRQWURO WKH VHUYDQW¶V

FRQGXFW  DQG ZKHWKHU WKH ZRUN LV SDUW RI WKH UHJXODU EXVLQHVV RI WKH HPSOR\HU¶´ Id. TXRWLQJ

LeGrand v. Ins. Co. of N. Am.  $G   '&  +RZHYHU WKH GHWHUPLQDWLYH IDFWRU



                                                 
LV ZKHWKHU WKH SULQFLSDO ³KDV WKH ULJKW WR FRQWURO´ WKH DJHQW¶V FRQGXFW Id. TXRWLQJ LeGrand 

$G DW 

       3ODLQWLIIV PDLQWDLQ WKDW D SULQFLSDODJHQW UHODWLRQVKLS H[LVWV EHFDXVH WKH KRWHO FRPSDQLHV

HQMR\HG D ³EHQHILFLDO UHODWLRQVKLS´ ZLWK WKH '5& RIILFHUV ZKR SURYLGHG ³VHFXULW\´ IRU WKH KRWHO

DQG EHFDXVH WKH KRWHO FRPSDQLHV ³KDG WKH ULJKW WR FRQIURQW´ WKH '5& VHFXULW\ IRUFHV 3OV¶ &DSHOOD

2SS DW . +RZHYHU SODLQWLIIV KDYH QRW DOOHJHG DQ\ IDFWV LQ WKH FRPSODLQW VXJJHVWLQJ WKDW WKH

'5& DFWXDOO\ SURYLGHG DQ\ VHFXULW\ IRU WKH KRWHO FRPSDQLHV DV RSSRVHG WR RQH RI WKHLU JXHVWV DQG

WKH\ GR QRW DOOHJH DQ\ RI WKH RWKHU LQGLFLD RI DQ DJHQF\ UHODWLRQVKLS WKDW WKH KRWHO FRPSDQLHV ZHUH

LQYROYHG LQ WKH KLULQJ RI WKH VHFXULW\ IRUFHV RU KDG WKH DELOLW\ WR ILUH WKHP WKDW WKH KRWHO FRPSDQLHV

ZHUH SD\LQJ WKHP WKDW WKH KRWHO FRPSDQLHV KDG SRZHU WR FRQWURO WKH FRQGXFW RI WKH '5&

SHUVRQQHO RU ZKHWKHU SURYLGLQJ VHFXULW\ LV SDUW RI WKH UHJXODU EXVLQHVV RI WKH KRWHO

       :KHWKHU WKH KRWHO UHFHLYHG VRPH LQFLGHQWDO EHQHILW IURP WKH SUHVHQFH RI WKH JXDUGV LV QRW

D Judah IDFWRU $QG SODLQWLIIV¶ XQVXSSRUWHG DVVHUWLRQ LQ WKHLU RSSRVLWLRQ WKDW WKH KRWHO FRPSDQLHV

³KDG WKH ULJKW WR FRQIURQW´ WKH '5& VHFXULW\ IRUFHV 3OV¶ &DSHOOD 2SS DW  EHDUV OLWWOH

UHVHPEODQFH WR ZKDW LV QHFHVVDU\ WR HVWDEOLVK DQ DJHQF\ UHODWLRQVKLS :KDW WKH FRPSODLQW DFWXDOO\

DOOHJHV LV WKDW WKH '5& VHFXULW\ IRUFHV RSHUDWHG DW WKH GLUHFWLRQ RI GHIHQGDQW .DVVDPED DQG

3UHVLGHQW .DELOD    See 6HFRQG $P &RPSO    GHVFULELQJ WKDW GHIHQGDQW .DVVDPED

³UHWXUQHG ZLWK D JURXS´ RI VHFXULW\ HQIRUFHUV DIWHU HQWHULQJ WKH KRWHO DQG WKDW D VHFRQG VHFXULW\

JURXS ³UXVKHG RXW´ RI WKH KRWHO VKRUWO\ DIWHU 3UHVLGHQW .DELOD DUULYHG

       (YHQ LI WKH KRWHO FRPSDQLHV FRXOG KDYH FRPSODLQHG WR WKH '5& VHFXULW\ IRUFHV DERXW WKHLU

EHKDYLRU FRXUWV GHPDQG PRUH WR HVWDEOLVK D ULJKW WR FRQWURO )RU H[DPSOH LQ LeGrand, WKH FRXUW

IRXQG D ULJKW WR FRQWURO ZKHUH WKH SULQFLSDO VXSHUYLVHG WKH ZRUN SHUIRUPHG E\ WKH DJHQW LQVWUXFWHG




                                                  
WKH DJHQW KRZ WR GR WKH ZRUN FRUUHFWHG WKH DJHQW¶V HUURUV DQG FRXOG GLVPLVV WKH DJHQW LI KH ZDV

GRLQJ D SRRU MRE See  $G DW 

       6R SODLQWLIIV¶ FODLPV RI DVVDXOW WUHVSDVVLQJ FRQYHUVLRQ DQG WKHIW XQGHU WKH GRFWULQH RI

respondeat superior IDLO DQG &RXQWV ,; DQG ;9 ZLOO EH GLVPLVVHG DJDLQVW WKH KRWHO FRPSDQLHV

                       3ODLQWLIIV¶ 1HJOLJHQFH &ODLP

       7R HVWDEOLVK QHJOLJHQFH ³D SODLQWLII PXVW SURYH µD GXW\ RI FDUH RZHG E\ WKH GHIHQGDQW WR

WKH SODLQWLII D EUHDFK RI WKDW GXW\ E\ WKH GHIHQGDQW DQG GDPDJH WR WKH LQWHUHVWV RI WKH SODLQWLII

SUR[LPDWHO\ FDXVHG E\ WKH EUHDFK¶´ District of Columbia v. Harris  $G   '& 

TXRWLQJ Turner v. District of Columbia  $G   '&  +HUH SODLQWLIIV FRQWHQG

WKDW WKH KRWHO FRPSDQLHV KDG D GXW\ WR SURWHFW WKHP IURP KDUP RQ WKH VLGHZDON DFURVV WKH VWUHHW

EDVHG RQ D WKHRU\ RI EXVLQHVVLQYLWRU OLDELOLW\ %XW WKH KRWHO FRPSDQLHV GLG QRW RZH D GXW\ RI FDUH

WR SODLQWLIIV VR WKH &RXUW ZLOO GLVPLVV SODLQWLIIV¶ QHJOLJHQFH FODLP DJDLQVW WKH KRWHO FRPSDQLHV

                    L   7KH KRWHO FRPSDQLHV GLG QRW RZH SODLQWLIIV D GXW\ RI FDUH DV D EXVLQHVV
                         LQYLWRU

       ,W LV ³ZHOOVHWWOHG WKDW D EXVLQHVV LQYLWRU KDV D GXW\ RI FDUH WR LWV SDWURQV ZKLOH WKH\ DUH RQ

LWV SUHPLVHV´ Novak v. Capital Mgmt. & Dev. Corp.  )G   '& &LU  DSSO\LQJ

'& ODZ Smith v. Safeway Stores, Inc.  $G   '&  FRQFOXGLQJ WKDW D JURFHU\

VWRUH KDV D GXW\ WR WDNH ³UHDVRQDEOH SUHFDXWLRQV WR PDLQWDLQ WKH VWRUH SUHPLVHV LQ D FRQGLWLRQ VR DV

QRW WR FUHDWH DQ XQUHDVRQDEOH ULVN RI KDUP WR FXVWRPHUV´ $ EXVLQHVV¶V GXW\ DOVR ³H[WHQGV WR




      3ODLQWLIIV¶ DUJXPHQW WKDW WKH H[LVWHQFH RI DQ DJHQF\ UHODWLRQVKLS LV D ³TXHVWLRQ RI IDFW´
PLVFRQVWUXHV WKH QDWXUH RI WKH &RXUW¶V IRFXV DW WKH PRWLRQ WR GLVPLVV VWDJH 7KH TXHVWLRQ DW WKLV
VWDJH LV RQO\ ZKHWKHU ³IRFXVLQJ RQ WKH DOOHJDWLRQV LQ WKH FRPSODLQW WKH SODLQWLIIV KDYH DGHTXDWHO\
SOHG WKH HOHPHQWV RI DJHQF\ OLDELOLW\´ Acosta Orellana v. CropLife Int’l  ) 6XSS G  
Q ''&  see generally Twombly  86 
                                                 
SURWHFWLQJ LWV FXVWRPHUV IURP IRUHVHHDEOH KDUP    DW LWV µH[LW GRRUZD\ DQG WKH DSSURDFK WKHUHWR¶´

Novak  )G DW  TXRWLQJ Viands v. Safeway Stores  $G   '& 

       %XW WR H[WHQG WKH GRFWULQH WR FRYHU LQMXULHV WKDW RFFXU RII RI D EXVLQHVV¶V SUHPLVHV WKH

SODLQWLII PXVW VKRZ WKDW WKH EXVLQHVV ³PDGH VXEVWDQWLDO XVH RI >WKH DUHD@ LQ UHODWLRQ WR LWV EXVLQHVV´

DQG WKH LQYLWHH ZDV ³DWWUDFWHG WR WKH VSRW DV D FDOFXODWHG RU QHFHVVDU\ PHDQV RI LQJUHVV RU HJUHVV

RU IRU RWKHU EXVLQHVVUHODWHG SXUSRVHV´ Compare Quigley’s Pharmacy, Inc. v. Beebe  $G

  '&  KROGLQJ WKDW D SKDUPDF\ GLG QRW RZH D GXW\ RI FDUH WR D PHPEHU RI WKH

SXEOLF ZKR FDXJKW KHU KHHO LQ D KROH LQ WKH VLGHZDON ZKLOH VKH ZDONHG IURP WKH SKDUPDF\ HQWUDQFH

WR D PDLOER[ WZHQW\ IHHW IURP WKH SKDUPDF\ HQWUDQFH with Viands  $G DW  FRQFOXGLQJ

WKDW D VWRUH RZHG D GXW\ RI FDUH WR D FXVWRPHU ZKR WULSSHG RYHU D ZDJRQ DV VKH H[LWHG WKH VWRUH

HYHQ WKRXJK WKH LQMXU\ GLG QRW RFFXU RQ WKH EXVLQHVV¶V SUHPLVHV EHFDXVH LW ZDV WKH VROH H[LW IURP

WKH VWRUH DQG DQ DUHD WKDW WKH EXVLQHVV SXW WR VXEVWDQWLDO XVH and Novak  )G DW  ILQGLQJ

D QLJKW FOXE RZHG D GXW\ RI FDUH WR LWV SDWURQV ZKHQ ZDONLQJ GRZQ WKH DOOH\V VXUURXQGLQJ WKH FOXE

EHFDXVH WKH DOOH\V ZHUH SXW ³WR D VXEVWDQWLDO VSHFLDO XVH´ E\ WKH FOXE ³QR RWKHU EXVLQHVVHV XVHG

WKH DOOH\´ WKH FOXE ³ZDV VHW RII IURP DQ\ SXEOLF VWUHHW´ DQG SDWURQV KDG WR ³XVH WKH DOOH\V DV

DSSURDFKHV DQG H[LWV WR WKH FOXE´

       3ODLQWLIIV KDYH QRW DOOHJHG VXIILFLHQW IDFWV WR VXSSRUW WKHLU FRQWHQWLRQ WKDW WKH KRWHO

FRPSDQLHV RZHG WKHP D GXW\ RI FDUH ZKHQ WKH\ JDWKHUHG RQ WKH RSSRVLQJ VLGHZDON ,QGHHG

SODLQWLIIV FKDUDFWHUL]H WKH QHJOLJHQFH FODLP DJDLQVW WKH KRWHO FRPSDQLHV DV D JHQHUDO EUHDFK RI GXW\

WR WKH SXEOLF SODLQWLIIV DOOHJH WKDW WKH &DSHOOD +RWHO RZHG D GXW\ ³WR SURYLGH VHFXULW\ DQG PRQLWRU

LWV JXHVWV WR SUHYHQW LWV JXHVWV IURP FDXVLQJ KDUP WR WKH SXEOLF´ DQG WKDW WKH KRWHO ³EUHDFKHG LWV

GXW\ E\ IDLOLQJ WR DFW WR SURWHFW WKH SXEOLF    ´ 6HFRQG $P &RPSO    %XW SODLQWLIIV




                                                  
GR QRW SURYLGH DQ\ VXSSRUW IRU WKH SURSRVLWLRQ WKDW WKH KRWHO FRPSDQLHV RZH DQ\ GXW\ RI FDUH WR

WKH JHQHUDO SXEOLF

       3ODLQWLIIV GR QRW DOOHJH WKDW WKH\ ZHUH SDWURQV RU LQYLWHHV RI WKH &DSHOOD +RWHO QRU GR WKH\

DOOHJH DQ\ IDFWV WKDW ZRXOG VXSSRUW D FRQFOXVLRQ WKDW WKH KRWHO FRPSDQLHV¶ GXW\ RI FDUH WR LWV SDWURQV

H[WHQGHG WR WKH SXEOLF VLGHZDON RQ WKH RWKHU VLGH RI WKH VWUHHW 7KH FRPSODLQW VSHFLILFDOO\ DOOHJHV

WKDW SODLQWLIIV 0LDQJR /LNXWX DQG .L\D\D ZHUH ORFDWHG RQ WKH VLGHZDON DFURVV WKH VWUHHW IURP WKH

KRWHO WR ³SURWHVW>@ DJDLQVW KXPDQ ULJKWV YLRODWLRQV LQ WKH '5&´ 6HFRQG $P &RPSO   DQG

WKDW SODLQWLII 1JRPD FDPH RXW RI D GLIIHUHQW KRWHO WR VWDQG RQ WKH VDPH VLGHZDON EHFDXVH KH ZDV

³REVHUY>LQJ@ WKH SURWHVW´ Id.   3ODLQWLIIV KDYH QRW DOOHJHG WKDW WKH\ ZHUH GUDZQ WR WKH VLGHZDON

DFURVV WKH VWUHHW IRU DQ\ ³EXVLQHVVUHODWHG SXUSRVH´ FRQQHFWHG WR WKH KRWHO 1RU KDYH WKH\ DOOHJHG

DQ\ IDFWV LQGLFDWLQJ WKDW WKH VLGHZDON VHUYHG DV WKH KRWHO¶V H[LW RU ³DSSURDFK WKHUHWR´ RU WKDW LW ZDV

SXW WR ³VXEVWDQWLDO XVH´ ± RU DQ\ XVH ± E\ WKH &DSHOOD +RWHO Quigley’s Pharmacy  $G DW

 $V WKH FRPSODLQW QRWHV WKH VLGHZDON VHUYHG RWKHU FRPPHUFLDO HQWHUSULVHV VXFK DV WKH &DQDO

,QQ +RWHO ZKHUH 1JRPD ZRUNHG See 6HFRQG $P &RPSO    

       3ODLQWLIIV¶ RQO\ FODLP LV WKDW WKH\ ³ZHUH LQ FORVH SUR[LPLW\ WR WKH KRWHO ZKHQ WKH\ ZHUH

DWWDFNHG´ 6HFRQG $P &RPSO   DQG WKDW LV VLPSO\ QRW HQRXJK 3ODLQWLIIV ZHUH ³DWWUDFWHG WR

WKH VSRW´ ZKHUH WKHLU DOOHJHG LQMXULHV RFFXUUHG ³QRW E\ DQ\WKLQJ WKH >KRWHO@ GLG EXW E\ >WKHLU@

GHFLVLRQ WR >SURWHVW@´ Novak  )G DW  GHVFULELQJ Quigley’s Pharmacy 7KHUHIRUH WKH




      3ODLQWLIIV DWWHPSW WR DUJXH WKDW WKH KRWHO FRPSDQLHV RZH D GXW\ RI FDUH WR PHPEHUV RI WKH
JHQHUDO SXEOLF ZKR DUH QRW ³µFXVWRPHUV¶ RU µJXHVWV¶ RI WKH KRWHO´ EHFDXVH SHRSOH ³PD\ IUHHO\
LQJUHVV DQG HJUHVV WKH OREE\ RI WKH KRWHO DQG WKH RXWVLGH VXUURXQGLQJ DUHDV RI WKH KRWHO´ 3OV¶
&DSHOOD 2SS DW  %XW WKLV H[SDQVLYH WKHRU\ LV QRW FRQVLVWHQW ZLWK WKH ODZ RI WKH EXVLQHVVLQYLWRU
DQG HYHQ LI LW ZRXOG DSSO\ WR YLVLWRUV LQ WKH OREE\ RU DW WKH IURQW GRRU LW GRHV QRWKLQJ WR FRYHU
SHRSOH VWDQGLQJ DFURVV WKH VWUHHW
                                                  
KRWHO FRPSDQLHV GLG QRW RZH SODLQWLIIV D GXW\ RI FDUH WR SURWHFW WKHP IURP KDUP XQGHU D EXVLQHVV

LQYLWRU WKHRU\ RI OLDELOLW\

                  LL   7KH KRWHO FRPSDQLHV GLG QRW RZH SODLQWLIIV D GXW\ RI FDUH WR SURWHFW
                        WKHP IURP WKH FULPLQDO DFWV RI WKLUG SDUWLHV

        8QGHU VRPH FLUFXPVWDQFHV D EXVLQHVV PD\ DOVR EH OLDEOH WR LWV LQYLWHHV XQGHU D QHJOLJHQFH

WKHRU\ IRU LQMXULHV LQIOLFWHG E\ DFWV RI WKLUG SHUVRQV LI WKRVH DFWV DUH IRUHVHHDEOH Novak  )G

DW ± 7R KROG D GHIHQGDQW OLDEOH IRU LQMXULHV UHVXOWLQJ IURP LQWHUYHQLQJ FULPLQDO DFWV

³OLDELOLW\ GHSHQGV XSRQ D PRUH KHLJKWHQHG VKRZLQJ RI IRUHVHHDELOLW\ WKDQ ZRXOG EH UHTXLUHG LI WKH

DFW ZHUH PHUHO\ QHJOLJHQW´ Bd. of Trustees of Univ. of D.C. v. DiSalvo  $ G   '&

 TXRWLQJ Potts v. District of Columbia  $G   '&  ³6SHFLILFDOO\

KHLJKWHQHG IRUHVHHDELOLW\ IDFWRUV GLUHFWO\ LQWR WKH GXW\ DQDO\VLV EHFDXVH D GHIHQGDQW LV RQO\ OLDEOH

IRU WKH LQWHUYHQLQJ FULPLQDO DFWV RI DQRWKHU µLI WKH FULPLQDO DFW LV VR IRUHVHHDEOH WKDW D GXW\ DULVHV

WR JXDUG DJDLQVW LW¶´ Id. DW  TXRWLQJ McKethean v. Wash. Metro. Area Transit Auth.  $G

  '&  ³,Q WKLV FRQWH[W WKHQ WKH UHTXLVLWH GXW\ RI FDUH UHTXLUHG IRU QHJOLJHQFH LV

D IXQFWLRQ RI IRUHVHHDELOLW\ DULVLQJ RQO\ ZKHQ IRUHVHHDELOLW\ LV DOOHJHG FRPPHQVXUDWH ZLWK WKH

µH[WUDRUGLQDU\ QDWXUH RI LQWHUYHQLQJ FULPLQDO FRQGXFW¶´ Id. TXRWLQJ District of Columbia v.

Beretta, U.S.A., Corp.  $G   '& 

        7KH KHLJKWHQHG IRUHVHHDELOLW\ VWDQGDUG ³LV SUHPLVHG RQ WKH DVVXPSWLRQ WKDW WKH FRXUW PXVW

OLPLW WKH H[WHQW WR ZKLFK GHIHQGDQWV EHFRPH WKH LQVXUHUV RI RWKHUV¶ VDIHW\ IURP FULPLQDO DFWV´ Id.

see Romero v. Nat’l Rifle Ass’n of Am.  )G   '& &LU  UHLWHUDWLQJ WKH ³JHQHUDO

UXOH RI QRQOLDELOLW\ DW FRPPRQ ODZ IRU KDUP UHVXOWLQJ IURP WKH FULPLQDO DFWV RI WKLUG SDUWLHV´

)RUHVHHDELOLW\ FDQQRW EH EDVHG RQ JHQHULF LQIRUPDWLRQ VXFK DV FULPH UDWHV see Bailey v. District

of Columbia  $G   '&  RU HYLGHQFH WKDW D GHIHQGDQW¶V HPSOR\HHV ZRUNHG LQ

D ³FULPLQDOO\ DFWLYH HQYLURQPHQW´ Clement v. Peoples Drug Store, Inc.  $G   '&

                                                 
 $QG HYHQ WKRXJK D SODLQWLII LV QRW UHTXLUHG WR VKRZ ³SUHYLRXV RFFXUUHQFHV RI WKH SDUWLFXODU

W\SH RI KDUP´ D SODLQWLII PXVW SUHVHQW ³D FRPELQDWLRQ RI IDFWRUV´ WKDW ZRXOG JLYH WKH GHIHQGDQW

³DQ LQFUHDVHG DZDUHQHVV RI WKH GDQJHU RI D SDUWLFXODU FULPLQDO DFW´ District of Columbia v. Doe

 $G   '& 

         0RUHRYHU WKH IRUHVHHDELOLW\ DQDO\VLV WDNHV LQWR FRQVLGHUDWLRQ WKH QDWXUH RI WKH UHODWLRQVKLS

EHWZHHQ WKH SDUWLHV See Romero  )G DW  QRWLQJ WKDW WKH RQO\ 'LVWULFW RI &ROXPELD FDVHV

WR GHSDUW IURP WKH JHQHUDO UXOH RI QRQOLDELOLW\ ³LQYROYHG HLWKHU D VSHFLDO UHODWLRQVKLS EHWZHHQ WKH

SDUWLHV WR WKH VXLW    RU D UHODWLRQVKLS RI FRQWURO EHWZHHQ WKH GHIHQGDQW DQG WKH LQWHUYHQLQJ FULPLQDO

DFWRU´ ,Q RUGHU WR GHWHUPLQH D GHIHQGDQW¶V OLDELOLW\ FRXUWV XVH D ³VOLGLQJ VFDOH´ >L@I WKH

UHODWLRQVKLS EHWZHHQ WKH SDUWLHV VWURQJO\ VXJJHVWV D GXW\ RI SURWHFWLRQ WKHQ VSHFLILF HYLGHQFH RI

IRUHVHHDELOLW\ LV OHVV LPSRUWDQW ZKHUHDV LI WKH UHODWLRQVKLS LV QRW RI D W\SH WKDW HQWDLOV D GXW\ RI

SURWHFWLRQ WKHQ WKH HYLGHQWLDU\ KXUGOH LV KLJKHU´ Workman v. United Methodist Comm. on Relief

of Gen. Bd. of Glob. Ministries of United Methodist Church  )G  ± '& &LU



         'LVWULFW RI &ROXPELD FRXUWV KDYH EHHQ ³UHOXFWDQW WR VHH D GHIHQGDQW KHOG OLDEOH IRU KDUP

FDXVHG E\ WKH FULPLQDO DFW RI D WKLUG SDUW\´ Workman  )G DW  GHVFULELQJ FDVHV ,Q WKH

IHZ FDVHV ZKHUH WKH FRXUWV KDYH IRXQG VXIILFLHQW HYLGHQFH RI IRUHVHHDELOLW\ WKH HYLGHQFH KDV

HVVHQWLDOO\ LQGLFDWHG WKDW LW ZDV MXVW ³D PDWWHU RI WLPH´ XQWLO WKH FULPH RFFXUUHG DQG WKDW WKH

UHODWLRQVKLS EHWZHHQ WKH SODLQWLII DQG GHIHQGDQW ³VXJJHVWHG WKH GHIHQGDQW VKRXOG EH KHOG OLDEOH DV

D PDWWHU RI SROLF\´ Id. DW ± see, e.g. Doe  $G DW  XSKROGLQJ MXU\ YHUGLFW DIWHU

FKLOG ZDV DEGXFWHG IURP FODVVURRP DQG UDSHG ZKHUH SODLQWLII¶V HYLGHQFH LQGLFDWHG WKDW DUVRQ DQG

UREEHU\ KDG RFFXUUHG LQ WKH VFKRRO¶V SOD\JURXQG VH[XDO DVVDXOWV DQG RWKHU YLROHQW DFWLYLWLHV KDG

WDNHQ SODFH LQ WKH VXUURXQGLQJ DUHD DQG WKH VFKRRO ZDV QRW VHFXUH EHFDXVH WKHUH ZHUH EURNHQ



                                                   
GRRUV RSHQ JDWHV DQG D PDOIXQFWLRQLQJ LQWHUFRP V\VWHP Doe v. Dominion Bank of Wash. 

)G  '& &LU  UHYHUVLQJ GLVWULFW FRXUW¶V JUDQW RI GLUHFWHG YHUGLFW LQ IDYRU RI GHIHQGDQW

ODQGORUG ZKHUH LQ WKH PRQWK SUHFHGLQJ D WHQDQW¶V UDSH RQ D YDFDQW IORRU RI DQ RIILFH EXLOGLQJ

GXULQJ EXVLQHVV KRXUV WHQDQWV KDG ORGJHG D QXPEHU RI FRPSODLQWV DERXW WKUHDWHQLQJ LQWUXGHUV LQ

WKH EXLOGLQJ DQG WKHUH KDG EHHQ UHSRUWV RI WKHIW GUXJ XVH DQG VH[XDO DFWLYLW\ LQ WKH EXLOGLQJ

7KHVH FDVHV DUH DOVR DOO GLVWLQJXLVKDEOH EHFDXVH OLDELOLW\ KDV JHQHUDOO\ RQO\ EHHQ IRXQG ZKHUH WKH

GHIHQGDQW KDG VRPH UHVSRQVLELOLW\ IRU WKH SUHPLVHV ZKHUH WKH FULPH RFFXUUHG

       7KLV WKHRU\ VXIIHUV IURP WKH VDPH IXQGDPHQWDO SUREOHP DV WKH EXVLQHVV LQYLWHH WKHRU\

SODLQWLIIV ZHUH QRW LQYLWHHV JXHVWV RU SDWURQV RI WKH KRWHO 0RUHRYHU SODLQWLIIV KDYH IDLOHG WR

DOOHJH VXIILFLHQW IDFWV WR VWDWH D SODXVLEOH FODLP WKDW LW ZDV IRUHVHHDEOH WR WKH KRWHO FRPSDQLHV WKDW

WKH '5& VHFXULW\ IRUFHV ZRXOG DWWDFN LQGLYLGXDOV HQJDJHG LQ D SURWHVW DFURVV WKH VWUHHW IURP WKH

&DSHOOD +RWHO DQG WKDW WKH\ ERUH VRPH GXW\ WR SUHYHQW LW $OWKRXJK SODLQWLIIV DOOHJH WKDW WKH\

³ZHUH LQ FORVH SUR[LPLW\ WR WKH KRWHO ZKHQ WKH\ ZHUH DWWDFNHG´ 6HFRQG $P &RPSO   WKH\

SRLQW WR QR IDFWV WKDW ZRXOG JLYH ULVH WR D VSHFLDO UHODWLRQVKLS EHWZHHQ WKH KRWHO FRPSDQLHV DQG

SODLQWLIIV 3ODLQWLIIV GR QRW FODLP WKDW WKH\ KDG DQ\ RQJRLQJ LQWHUDFWLRQV ZLWK WKH KRWHO FRPSDQLHV

RU HPSOR\HHV RI WKH FRPSDQLHV DQG WKH KRWHO ERUH QR UHVSRQVLELOLW\ IRU WKH SURWHVWHUV¶ FDUH RU ZHOO

EHLQJ RU WKH VDIHW\ RI WKH RSSRVLWH VLGHZDON VR WKHUH LV QR UHODWLRQVKLS ZLWK GHIHQGDQWV WKDW

VXJJHVWV WKH\ ³VKRXOG EH KHOG OLDEOH DV D PDWWHU RI SROLF\´ Workman  )G DW 

       :LWKRXW DQ\ PHDQLQJIXO UHODWLRQVKLS EHWZHHQ SODLQWLIIV DQG WKH KRWHO FRPSDQLHV WKH RQO\

ZD\ IRU SODLQWLIIV WR HVWDEOLVK WKDW WKH KRWHO FRPSDQLHV RZHG WKHP D GXW\ RI FDUH ZRXOG EH WR




      $JDLQ SODLQWLIIV PLVFKDUDFWHUL]H WKH QDWXUH RI WKH &RXUW¶V IRFXV DW WKH PRWLRQ WR GLVPLVV
VWDJH E\ FRQWHQGLQJ WKDW ³WKH LVVXH RI IRUHVHHDELOLW\ LV D TXHVWLRQ IRU WKH MXU\ DQG WKHUHIRUH VKRXOG
QRW EH UHVROYHG DW WKLV WLPH´ 3OV¶ &DSHOOD 2SS DW 


                                                 
GHPRQVWUDWH GHIHQGDQWV¶ ³LQFUHDVHG DZDUHQHVV RI WKH GDQJHU RI D SDUWLFXODU FULPLQDO DFW´ DiSalvo

 $G DW  TXRWLQJ Doe  $G DW  %XW SODLQWLIIV KDYH QRW LGHQWLILHG IDFWV WKDW DGG XS

WR WKH VRUW RI KHLJKWHQHG DZDUHQHVV RI WKH ULVN RI D VSHFLILF YLROHQW DVVDXOW WKDW FRXOG PHHW WKH KLJK

WKUHVKROG LQ WKLV FDVH

       3ODLQWLIIV FODLP WKDW WKH KRWHO FRPSDQLHV VKRXOG KDYH NQRZQ WKDW D ³SURWHVW DJDLQVW WKH

.DELOD UHJLPH ZRXOG RFFXU QHDU WKH KRWHO EHFDXVH RI QXPHURXV KXPDQ ULJKWV UHSRUWV RI SURWHVWV

DJDLQVW WKH .DELOD UHJLPH DQG EHFDXVH SURWHVWV RFFXUUHG IRU WKH SDVW WZR GD\V RXWVLGH WKH KRWHO

ZKHUH WKH GHOHJDWLRQ RI WKH *DPELD ZDV VWD\LQJ ZKLFK VHFXULW\ IRUFHV RI 3UHVLGHQW *HPPDK

YLROHQWO\ VXSSUHVVHG´ 6HFRQG $P &RPSO   7KH\ DOVR FODLP WKDW ³>Q@XPHURXV PHGLD RXWOHWV

UHSRUWHG WKH DWWDFNV >RXWVLGH WKH +D\V $GDPV +RWHO LQ :DVKLQJWRQ '&@ RQ ERWK GDWHV´ Id.  

+RZHYHU ³KHLJKWHQHG IRUHVHHDELOLW\ UHTXLUHV PRUH SUHFLVLRQ´ WKDQ MXVW HVWDEOLVKLQJ ³D JHQHUDO

SRVVLELOLW\´ WKDW D FULPH FRXOG RFFXU DiSalvo  $G DW ±

       $OWKRXJK WKHUH DUH VRPH VLPLODULWLHV EHWZHHQ WKH DWWDFNV RQ SURWHVWHUV LQ IURQW RI WKH +D\V

$GDPV +RWHO DQG WKH EHDWLQJV WKDW SODLQWLIIV VXIIHUHG QHDU WKH &DSHOOD +RWHO WKH DWWDFNV LQYROYHG

GLIIHUHQW $IULFDQ GHOHJDWLRQV DQG RFFXUUHG LQ GLIIHUHQW ORFDWLRQV LQ :DVKLQJWRQ '& 3ODLQWLIIV

KDYH QRW HVWDEOLVKHG WKDW WKH KRWHO FRPSDQLHV ZHUH DZDUH RI WKH HYHQWV WKDW KDG WUDQVSLUHG WKH GD\

EHIRUH DQG WKH\ KDYH QRW DOOHJHG WKDW WKH KRWHO FRPSDQLHV ZHUH DZDUH WKDW SURWHVWHUV ZRXOG EH LQ

WKHLU QHLJKERUKRRG WKH QH[W GD\ 7KH FRPSODLQW GRHV QRW SURYLGH DQ\ IDFWV WKDW ZRXOG WHQG WR

VKRZ WKDW WKH KRWHO FRPSDQLHV ± HYHQ LI WKH\ KDG VRPH UHVSRQVLELOLW\ IRU WKH VLGHZDON DFURVV WKH

VWUHHW ± ZRXOG KDYH EHHQ RQ QRWLFH WKDW DQ DWWDFN RQ SODLQWLIIV ZDV PRUH OLNHO\ WR RFFXU WKHUH WKDQ

DQ\ RWKHU FULPH See id.




                                                 
       %HFDXVH SODLQWLIIV¶ DOOHJDWLRQV GR QRW VDWLVI\ WKH KHLJKWHQHG IRUHVHHDELOLW\ VWDQGDUG

SODLQWLIIV KDYH QRW HVWDEOLVKHG WKDW WKH KRWHO FRPSDQLHV RZHG WKHP D GXW\ RI FDUH WR SURWHFW WKHP

IURP WKH FULPLQDO DFWV RI WKLUG SDUWLHV

       7KHUHIRUH WKH &RXUW ZLOO GLVPLVV &RXQW ;,,, DJDLQVW WKH KRWHO FRPSDQLHV

,9    3ODLQWLIIV¶ /RVV RI &RQVRUWLXP &ODLP

       %HFDXVH WKH &RXUW ILQGV WKDW SODLQWLIIV¶ QHJOLJHQFH FODLPV DJDLQVW 03' WKH 6HFUHW 6HUYLFH

DQG WKH KRWHO FRPSDQLHV DOO IDLO WKH ORVV RI FRQVRUWLXP FODLP ILOHG E\ SODLQWLII 0LDQJR DQG KLV

ZLIH 0 0LDQJR ZLOO DOVR EH GLVPLVVHG See Hill v. Medlantic Health Care Grp.  $G 

 '&  FRQFOXGLQJ WKDW MXGJPHQW IRU GHIHQGDQW ZDV SURSHUO\ JUDQWHG RQ WKH ORVV RI

FRQVRUWLXP FODLP DIWHU SODLQWLII FRXOG QRW HVWDEOLVK WKDW GHIHQGDQW ZDV QHJOLJHQW FLWLQJ

Massengale v. Pitts  $G   '&  7KHUHIRUH &RXQW ;9, DJDLQVW 03' WKH

6HFUHW 6HUYLFH DQG WKH KRWHO FRPSDQLHV ZLOO EH GLVPLVVHG

                                           &21&/86,21

        )RU WKH IRUHJRLQJ UHDVRQV WKH PRWLRQV WR GLVPLVV ILOHG E\ 03' WKH 6HFUHW 6HUYLFH DQG

WKH KRWHO FRPSDQLHV ZLOO EH JUDQWHG

        $ VHSDUDWH RUGHU ZLOO LVVXH




                                             $0< %(50$1 -$&.621
                                             8QLWHG 6WDWHV 'LVWULFW -XGJH
'$7( 0DUFK  




                                               
