                                           6OLS2S29

                  81,7('67$7(6&28572),17(51$7,21$/75$'(


  :,57*(1$0(5,&$,1&

                        3ODLQWLII
                                             &RXUW1R
                 Y
                                             %HIRUH7LPRWK\&6WDQFHX&KLHI-XGJH
  81,7('67$7(6et
                   al.

                        'HIHQGDQWV

                                      23,1,21$1'25'(5

       >'HQ\LQJGHIHQGDQWV¶PRWLRQWRGLVPLVVIRUODFNRIVXEMHFWPDWWHUMXULVGLFWLRQDQGWKH
86,QWHUQDWLRQDO7UDGH&RPPLVVLRQ¶VPRWLRQWRLQWHUYHQHDVDSDUW\GHIHQGDQW@

                                                                    'DWHG0DUFK

        Daniel E. Yonan6WHUQH.HVVOHU*ROGVWHLQ )R[3//&1HZ<RUN1HZ<RUNIRU
SODLQWLII:LWKKLPRQWKHEULHIZHUH Dallin GlennDonald R. BanowitDQGKristina Caggiano
Kelly

       Guy R. Eddon7ULDO$WWRUQH\DQGPatricia MMcCarthy$VVLVWDQW'LUHFWRU86
'HSDUWPHQWRI-XVWLFH&RPPHUFLDO/LWLJDWLRQ%UDQFK&LYLO'LYLVLRQ1HZ<RUN1HZ<RUNIRU
WKH8QLWHG6WDWHV:LWKWKHPRQWKHEULHIZHUHJoseph H. Hunt$VVLVWDQW$WWRUQH\*HQHUDO
Jeanne E. Davidson'LUHFWRUJustin R. Miller$VVLVWDQW'LUHFWRUDQGMarcella PowellJason
M. KennerDQGEdward F. Kenny6HQLRU7ULDO&RXQVHO

       6WDQFHX&KLHI-XGJH3ODLQWLII:LUWJHQ$PHULFD,QF ³:LUWJHQ´ EURXJKWWKLVDFWLRQRQ

-DQXDU\WRFRQWHVWWKHH[FOXVLRQIURPHQWU\RILWVPHUFKDQGLVHZKLFKFRQVLVWVRIVL[

URDGPLOOLQJPDFKLQHVWKDWZHUHLPSRUWHGRQWKUHHUHFHQWHQWULHV86&XVWRPVDQG%RUGHU

3URWHFWLRQ ³&XVWRPV´RU³&%3´ UHO\LQJXSRQDQH[FOXVLRQRUGHURIWKH8QLWHG6WDWHV

,QWHUQDWLRQDO7UDGH&RPPLVVLRQ WKH³,7&´RUWKH³&RPPLVVLRQ´ KDVH[FOXGHGWKHVL[

PDFKLQHVIURPHQWU\IRUSRWHQWLDOSDWHQWLQIULQJHPHQW&RPSO -DQ 

(&)1R
&RXUW1R                                                                     3DJH
      
       %HIRUHWKHFRXUWDUHWZRPRWLRQV'HIHQGDQWVPRYHWRGLVPLVVWKLVDFWLRQIRUODFNRI

VXEMHFWPDWWHUMXULVGLFWLRQ'HIV¶0RWWR'LVPLVV )HE (&)1R ³'HIV¶0RW´ 

7KH,7&PRYHVIRUGHIHQGDQWLQWHUYHQRUVWDWXV0RWRIWKH86,QW¶O7UDGH&RPP¶QIRU/HDYH

WR,QWHUYHQHDVD3DUW\'HI )HE (&)1R ³,7&¶V0RW´ )RUWKHUHDVRQVVHWIRUWK

EHORZWKHFRXUWGHQLHVERWKPRWLRQV

                                         ,%$&.*5281'

       7KHIDFWVSHUWLQHQWWRWKHLVVXHRIVXEMHFWPDWWHUMXULVGLFWLRQVXPPDUL]HGEHORZDUHDV

VHWIRUWKLQWKHFRPSODLQWDQGDWWDFKPHQWVWKHUHWRDQGKDYHQRWEHHQFRQWHVWHGE\GHIHQGDQWV

                   $7KH([FOXGHG0HUFKDQGLVHDW,VVXHLQWKLV/LWLJDWLRQ

       :LUWJHQLVWKHLPSRUWHUDQGH[FOXVLYH86GLVWULEXWRUIRUSURGXFWVPDQXIDFWXUHGE\WKH

:LUWJHQ*URXSFRPSDQLHVRI*HUPDQ\$PRQJWKHSURGXFWV:LUWJHQLPSRUWVDQGGLVWULEXWHVDUH

:LUWJHQEUDQGHGURDGPLOOLQJPDFKLQHV&RPSO7KHVL[URDGPLOOLQJPDFKLQHVQRZEHLQJ

KHOGE\&XVWRPVIROORZLQJGHWHQWLRQDQGH[FOXVLRQIURPHQWU\DUHWKHVXEMHFWRIWKLVOLWLJDWLRQ

)LYHRIWKHPDFKLQHVZHUHLPSRUWHGDWWKHSRUWRI%UXQVZLFN*HRUJLDRQHQWULHVPDGHRQ

1RYHPEHUDQG6XPPRQV -DQ (&)1R$VL[WKPDFKLQHZDV

HQWHUHGDWWKHSRUWRI%DOWLPRUH0DU\ODQGRQ'HFHPEHU6XPPRQV -DQ 

(&)1R$IWHUGHWHQWLRQV&XVWRPVH[FOXGHGWKHILYHPDFKLQHVHQWHUHGDW%UXQVZLFNRQ

'HFHPEHUDQGH[FOXGHGWKHPDFKLQHHQWHUHGDW%DOWLPRUHRQ'HFHPEHU

&RPSO 

                                %7KH6HFWLRQ,QYHVWLJDWLRQ

       7KUHHPRGHOVRI:LUWJHQ¶VURDGPLOOLQJPDFKLQHV 0RGHO1RV:&)L:&)L

DQG:&)LFROOHFWLYHO\WKH³6HULHV´PDFKLQHV ZHUHVXEMHFWWRDQLQYHVWLJDWLRQ

FRQGXFWHGE\WKH,7&XQGHUVHFWLRQRIWKH7DULII$FWRI ³VHFWLRQ´ 86&
&RXUW1R                                                                          3DJH
      
LQWRDOOHJHGSDWHQWLQIULQJHPHQW7KHLQYHVWLJDWLRQLQLWLDWHGLQ1RYHPEHUXSRQD

FRPSODLQWILOHGE\&DWHUSLOODU,QFDQG&DWHUSLOODU3DYLQJ3URGXFWV,QF FROOHFWLYHO\

³&DWHUSLOODU´ FXOPLQDWHGLQWKH,7&¶VILQGLQJRIDYLRODWLRQRIVHFWLRQDQGUHVXOWHGLQWKH

LVVXDQFHRID/LPLWHG([FOXVLRQ2UGHU ³/(2´ DQGFHUWDLQFHDVHDQGGHVLVWRUGHUVEDUULQJ

:LUWJHQIURPLPSRUWLQJWKH6HULHVPDFKLQHVLQWRWKH8QLWHG6WDWHVSeeCertain Road

Construction Machines and Components Thereof; Notice of Commission Final Determination

Finding a Section 337 Violation; Issuance of a Limited Exclusion Order and a Cease and Desist

Order; Termination of the Investigation86,7&,QY1R7$ -XQH 

available at:/ ³ITC Final Determination´ :LUWJHQKDVDSSHDOHGWKH,7&¶V

ILQDOGHWHUPLQDWLRQWRWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLW&RPSO

       ,QLWVVHFWLRQLQYHVWLJDWLRQWKH,7&GHWHUPLQHGWKDWWKH6HULHVPDFKLQHV

LQIULQJHGFODLPRI863DWHQW1R WKH³¶SDWHQW´ Id.±

                           &7KH5HGHVLJQHG6HULHV0DFKLQHV

       2Q)HEUXDU\WKHDGPLQLVWUDWLYHODZMXGJH ³$/-´ FRQGXFWLQJWKHVHFWLRQ

LQYHVWLJDWLRQLVVXHGD)LQDO,QLWLDO'HWHUPLQDWLRQWKDWIRXQGDOODVVHUWHGFODLPVRIWKH¶

SDWHQWRWKHUWKDQFODLPWREHLQYDOLGDQGIRXQGDYLRODWLRQRIVHFWLRQEDVHGRQDILQGLQJ

WKDWWKH6HULHVPDFKLQHVLQIULQJHGFODLPRIWKDWSDWHQWId.±³7KH&RPPLVVLRQ

DIILUPHGWKHDGPLQLVWUDWLYHODZMXGJH¶VGHWHUPLQDWLRQLQUHOHYDQWSDUWDQGLVVXHGWKH

UHFRPPHQGHGUHPHGLHVDJDLQVW:LUWJHQ¶V6HULHVPDFKLQHV´Id.

       ,QWKH)LQDO,QLWLDO'HWHUPLQDWLRQWKHDGPLQLVWUDWLYHODZMXGJH³IRXQGWKDWWKHVZLQJOHJ

RQWKHVHPDFKLQHVURWDWHVE\DQDFWXDWRUURWDWLQJDSRUWLRQRIWKHOLIWLQJFROXPQRQZKLFKWKH

VZLQJOHJLVPRXQWHGDVUHFLWHGLQFODLP´Id. 'XULQJWKHSHQGHQF\RISURFHHGLQJV

EHIRUHWKH,7&:LUWJHQUHGHVLJQHGWKH³VZLQJOHJ´PHFKDQLVPRI6HULHVPDFKLQHVZLWK
&RXUW1R                                                                     3DJH
      
WKHREMHFWLYHRIDYRLGLQJLQIULQJHPHQWRIFODLPRIWKH¶SDWHQWId.±±7KH

DGPLQLVWUDWLYHODZMXGJHGHFOLQHGWRGHWHUPLQHZKHWKHURUQRW:LUWJHQ¶VUHGHVLJQHGURDGPLOOLQJ

PDFKLQHV WKH³5HGHVLJQHG6HULHV´PDFKLQHV LQIULQJHGWKH¶SDWHQWFRQFOXGLQJWKDW

WKHVHPDFKLQHV³DUHRXWVLGHWKHVFRSHRI>WKH@LQYHVWLJDWLRQ´DQG³QRWULSH´Id.±³7KH

&RPPLVVLRQDGRSWHGWKLVSRUWLRQRIWKH$/-¶VGHWHUPLQDWLRQPDNLQJLWILQDO´Id.

       :LWKRXWPHQWLRQLQJWKH5HGHVLJQHG6HULHVPDFKLQHVWKH/LPLWHG([FOXVLRQ2UGHU

H[FOXGHGIURPHQWU\³>U@RDGFRQVWUXFWLRQPDFKLQHVWKDWLQIULQJHFODLPRIWKH¶

SDWHQW´/LPLWHG([FOXVLRQ2UGHU86,7&,QY1R7$ -XQH 

³/(2´ 6WDWHPHQWRI8QGLVSXWHG0DWHULDO)DFWVLQ6XSSRUWRI:LUWJHQ¶V0RWIRU6XPP-

([ )HE (&)1R

       :LUWJHQLPSRUWHGVHYHUDO5HGHVLJQHG6HULHVPDFKLQHVEHWZHHQ6HSWHPEHU

DQG'HFHPEHUWKDW&XVWRPVSHUPLWWHGWRHQWHUWKH8QLWHG6WDWHV&RPSO

1HYHUWKHOHVVRQ1RYHPEHUDQG&XVWRPVGHWDLQHGILYH5HGHVLJQHG6HULHV

PDFKLQHVDWWKHSRUWRI%UXQVZLFNid.DQGRQ'HFHPEHUGHWDLQHGRQH5HGHVLJQHG

6HULHVPDFKLQHDWWKHSRUWRI%DOWLPRUH0DU\ODQGId.7KHH[FOXVLRQVIURPHQWU\RI

DOOVL[5HGHVLJQHG6HULHVPDFKLQHVIROORZHGWKHVHGHWHQWLRQVId.

                         '3URWHVWV3URWHVW'HQLDOVDQG6XPPRQVHV

       2Q'HFHPEHU:LUWJHQILOHGZLWK&XVWRPVDSURWHVWRIWKHH[FOXVLRQVRIWKH

PDFKLQHVHQWHUHGDW%UXQVZLFN*HRUJLD (QWU\1RV6&6DQG6&6 Id.

&XVWRPVGHQLHGWKLVSURWHVWRQ-DQXDU\Id.2Q'HFHPEHU

:LUWJHQILOHGDSURWHVWRIWKHH[FOXVLRQRIWKHPDFKLQHHQWHUHGDW%DOWLPRUH (QWU\1R

6&6 Id.&XVWRPVGHQLHGWKLVSURWHVWRQ-DQXDU\Id.
&RXUW1R                                                                       3DJH
      
       2QDVXPPRQVILOHGLQWKLV&RXUWRQ-DQXDU\:LUWJHQFRQWHVWHGWKHGHQLDORI

WKHILUVWSURWHVW6XPPRQV -DQ (&)1R$VHFRQGVXPPRQVILOHGRQWKHVDPH

GD\FRQWHVWHGWKHGHQLDORIWKHVHFRQGSURWHVW6XPPRQV -DQ (&)1R

                                      (5HODWHG/LWLJDWLRQ

       2Q-XO\SULRUWRWKHILOLQJRI&DWHUSLOODU¶VFRPSODLQWXQGHUVHFWLRQ:LUWJHQ

ILOHGDFRPSODLQWZLWKWKH&RPPLVVLRQDOOHJLQJYLRODWLRQVRIVHFWLRQFDXVHGE\WKH

LPSRUWDWLRQRIFHUWDLQRI&DWHUSLOODU¶VURDGFRQVWUXFWLRQPDFKLQHV'HIV¶0RW7KH,7&

LQLWLDWHGDVHFWLRQLQYHVWLJDWLRQDJDLQVW&DWHUSLOODU,QY1R7$WKDWDOVRUHVXOWHG

LQDOLPLWHGH[FOXVLRQRUGHUId.%RWKOLPLWHGH[FOXVLRQRUGHUVDUHEHIRUHWKH&RXUWRI$SSHDOV

IRUWKH)HGHUDO&LUFXLWLQDFRQVROLGDWHGDSSHDO&DVH1RId.

       2Q'HFHPEHUWKH3DWHQW7ULDODQG$SSHDO%RDUG ³37$%´ LQUHVSRQVHWRD

SHWLWLRQE\:LUWJHQLVVXHGD)LQDO:ULWWHQ'HFLVLRQGHWHUPLQLQJWKDWDOOFKDOOHQJHGFODLPV

LQFOXGLQJFODLPRIWKH¶SDWHQWDUHXQSDWHQWDEOHDVREYLRXV&RPSO

       %HIRUHFRPPHQFLQJWKLVFDVHZLWKWKHILOLQJRIWZRVXPPRQVHVRQ-DQXDU\

:LUWJHQVRXJKWGLDORJXHZLWK&XVWRPVWRHVWDEOLVKWKDWWKH5HGHVLJQHG6HULHVPDFKLQHV

GLGQRWYLRODWHFODLPRIWKH¶SDWHQW:LUWJHQ¶V2SS¶QWR'HIV¶0RWWR'LVPLVV±

)HE (&)1R2Q-DQXDU\WKH&RPPLVVLRQLQLWLDWHGD³PRGLILFDWLRQ

SURFHHGLQJ´,7&,QY1R7$0see )HG5HJ ,QW¶O7UDGH&RPP-DQ

 7KHSURFHHGLQJLVRQJRLQJ'HIV¶0RW

       :LUWJHQFRPPHQFHGDQDFWLRQLQWKH'LVWULFW&RXUWIRUWKH'LVWULFWRI&ROXPELDWirtgen

Am., Inc. v. United States&DVH1RFYDOOHJLQJWKDWWKHH[FOXVLRQVRIWKH5HGHVLJQHG

6HULHVPDFKLQHVE\&XVWRPVYLRODWHGWKH$GPLQLVWUDWLYH3URFHGXUH$FWWKH$SSRLQWPHQWV

&ODXVHRIWKH86&RQVWLWXWLRQDQGWKHULJKWWRSURFHGXUDOGXHSURFHVV&RPSO
&RXUW1R                                                                           3DJH
      
                                          ,,',6&866,21

                                 $6XEMHFW0DWWHU-XULVGLFWLRQ

       3ODLQWLIIDVVHUWVMXULVGLFWLRQDFFRUGLQJWR86& D DQG L Id.

-XULVGLFWLRQGRHVQRWH[LVWXQGHUVXEVHFWLRQ L ZKHQMXULVGLFWLRQDFFRUGLQJWRDQRWKHUVXEVHFWLRQ

RILVDYDLODEOHXQOHVVWKHUHPHG\SURYLGHGE\WKDWRWKHUVXEVHFWLRQZRXOGEH³PDQLIHVWO\

LQDGHTXDWH´Int’l Custom Prods., Inc. v. United States)G )HG&LU 

TXRWLQJMiller & Co. v. United States)G )HG&LU 7KHFRXUW

WKHUHIRUHFRQVLGHUVZKHWKHUMXULVGLFWLRQH[LVWVDFFRUGLQJWR86& D XQGHUZKLFK

WKH&RXUWRI,QWHUQDWLRQDO7UDGHKDVH[FOXVLYHMXULVGLFWLRQRIDQDFWLRQWRFRQWHVWWKHGHQLDORID

SURWHVWXQGHUVHFWLRQRIWKH7DULII$FW86&,IWKHFRXUWGHWHUPLQHVMXULVGLFWLRQ

H[LVWVDFFRUGLQJWR86& D WKDWGHWHUPLQDWLRQDOVRUHVROYHVWKHLVVXHRIWKH

&RPPLVVLRQ¶VSURSRVHGLQWHUYHQWLRQ$VSURYLGHGLQWKH&XVWRPV&RXUWV$FW86&

 M  $ ³QRSHUVRQPD\LQWHUYHQHLQDFLYLODFWLRQXQGHUVHFWLRQRIWKH7DULII

$FWRI´

       -XULVGLFWLRQXQGHU86& D UHTXLUHVDWLPHO\SURWHVWRIDGHFLVLRQRI&XVWRPV

WKDWPD\EHSURWHVWHGXQGHU86& D DGHQLDORIWKDWSURWHVWsee 86&

DQGWKHWLPHO\ILOLQJRIDVXPPRQVWRFRPPHQFHDQDFWLRQWRFRQWHVWWKHGHQLDORIWKHSURWHVW

86& D 86& E  D %DVHGRQWKHMXULVGLFWLRQDOIDFWVWKDWDUH

SOHGLQWKHFRPSODLQWDQGXQFRQWHVWHGE\GHIHQGDQWVLQPRYLQJWRGLVPLVVWKHFRXUWFRQFOXGHV

WKDWVXEMHFWPDWWHUMXULVGLFWLRQRIWKLVDFWLRQH[LVWVDFFRUGLQJWR86& D 2QWKDW

EDVLVWKHFRXUWGHQLHVERWKRIWKHPRWLRQVSHQGLQJEHIRUHLW
&RXUW1R                                                                          3DJH
      
    :LUWJHQ3URWHVWHGD'HFLVLRQRI&XVWRPVWR([FOXGHWKH0HUFKDQGLVHIURP(QWU\

        $VDJHQHUDOPDWWHUWKHH[FOXVLRQRIPHUFKDQGLVHIURPHQWU\LVDGHFLVLRQWKDWPD\EH

SURWHVWHG86& D  %XWEHFDXVHSURWHVWVPD\EHILOHGRQO\WRFRQWHVW

³GHFLVLRQVof the Customs Service´id. D  HPSKDVLVDGGHG DGHFLVLRQPD\QRWEH

SURWHVWHGZKHQ&XVWRPVLVPHUHO\WDNLQJDFWLRQWRHIIHFWXDWHDGHFLVLRQRIDQRWKHUDJHQF\See

Mitsubishi Elecs. America, Inc. v. United States)G )HG&LU 

        'HIHQGDQWVDUJXHWKDW³>W@KLVFDVHVKRXOGEHGLVPLVVHGEHFDXVHWKHUHLVQRULJKWWRUHYLHZ

LQWKLV&RXUWIRUFKDOOHQJHVWR&%3¶VHQIRUFHPHQWRIH[FOXVLRQRUGHUVWKDWVROHO\LPSOHPHQW

GHWHUPLQDWLRQVRIWKH,7&XQGHUVHFWLRQ´'HIV¶5HSO\0HPLQ6XSSRIWKHLU0RWWR

'LVPLVV )HE (&)1R ³'HIV¶5HSO\´ 'HIHQGDQWVDGGWKDW³&%3¶VDFWLRQV

ZHUHZKROO\GHULYDWLYHRIWKH,7&DQGWKHUHIRUH:LUWJHQ¶VJULHYDQFHLVZLWKWKH&RPPLVVLRQ

QRWZLWK&XVWRPV´Id.

        'HIHQGDQWVDUHFRUUHFWWKDWD&XVWRPVDFWLRQWKDWVROHO\LPSOHPHQWVDQ,7&

GHWHUPLQDWLRQXQGHU86&PD\QRWEHSURWHVWHG%XWDFFRUGLQJWRWKHXQFRQWHVWHG

IDFWVDVSOHGLQWKHFRPSODLQWWKHH[FOXVLRQVJLYLQJULVHWRWKLVGLVSXWHGRQRWIDOOLQWRWKLV

FDWHJRU\DQGFRQWUDU\WRGHIHQGDQWV¶FKDUDFWHUL]DWLRQDUHQRW³ZKROO\GHULYDWLYHRIWKH,7&´

        :KLOHRUGHULQJWKHH[FOXVLRQIURPHQWU\RI³>U@RDGFRQVWUXFWLRQPDFKLQHVWKDW

LQIULQJHFODLPRIWKH¶SDWHQW´/(2 WKH/LPLWHG([FOXVLRQ2UGHUGRHVQRWRQLWV

IDFHDGGUHVVWKH5HGHVLJQHG6HULHVPDFKLQHV0RUHRYHU:LUWJHQDOOHJHVLQLWVFRPSODLQW



            
              7KH/LPLWHG([FOXVLRQ2UGHU ³/(2´ SURYLGHGIRU&XVWRPVWRDOORZLPSRUWDWLRQRI
PDFKLQHV³SRWHQWLDOO\VXEMHFWWRWKLV2UGHU´XSRQVDWLVIDFWRU\FHUWLILFDWLRQWKDWVXFKPDFKLQHV
DUHQRWH[FOXGHGE\WKH/(2/LPLWHG([FOXVLRQ2UGHU86,7&,QY1R7$
 -XQH 6WDWHPHQWRI8QGLVSXWHG0DWHULDO)DFWVLQ6XSSRUWRI:LUWJHQ¶V0RWIRU
6XPP-([ )HE (&)1R&XVWRPVQRWHGIRU:LUWJHQLWVSUDFWLFHRIQRW
DFFHSWLQJVXFKDFHUWLILFDWLRQ³DEVHQWDGHWHUPLQDWLRQE\&%3RUWKH&RPPLVVLRQWKDWWKHDUWLFOH
 FRQWLQXHG« 
&RXUW1R                                                                       3DJH
      
WKDWWKH&RPPLVVLRQDGRSWHGWKHSRUWLRQRIWKHGHFLVLRQRIWKHDGPLQLVWUDWLYHODZMXGJHWKDW

GHFOLQHGWRGHFLGHWKHTXHVWLRQRIZKHWKHUWKH5HGHVLJQHG6HULHVPDFKLQHVLQIULQJH

FODLPRQWKHJURXQGWKDWWKHUHGHVLJQHGPDFKLQHVZHUHQRWZLWKLQWKHVFRSHRIWKHVHFWLRQ

LQYHVWLJDWLRQ&RPSO±7KXVDFFRUGLQJWRWKHIDFWV:LUWJHQDOOHJHVWKH,7&GLG

QRWGLUHFW&XVWRPVWRH[FOXGHWKHVL[5HGHVLJQHG6HULHVPDFKLQHVIURPHQWU\DQG

DFFRUGLQJO\WKHGHFLVLRQWRH[FOXGHWKHVL[5HGHVLJQHG6HULHVPDFKLQHVZDVPDGHE\

&XVWRPV7KDWGHFLVLRQDQGQRWWKH/LPLWHG([FOXVLRQ2UGHULVFRQWHVWHGLQWKLVOLWLJDWLRQSee

&RPSO

            5HO\LQJRQWKHQRWLFHVRIH[FOXVLRQ&XVWRPVVHQWWR:LUWJHQGHIHQGDQWVFRQWHQGWKDWLQ

H[FOXGLQJWKHVL[UHGHVLJQHGPDFKLQHVIURPHQWU\³&%3PHUHO\HIIHFWXDWHGWKH&RPPLVVLRQ¶V

DGPLQLVWUDWLYHSUDFWLFHLQH[FOXGLQJ:LUWJHQ¶VUHGHVLJQHGPHUFKDQGLVH7KLVSUDFWLFHLV

UHIOHFWHGE\WKHDGPLQLVWUDWLYHGRFXPHQWVLQWKLVFDVH´'HIV¶5HSO\,QWKH'HFHPEHU

QRWLFHRIH[FOXVLRQZKLFKGHIHQGDQWVFLWHVSHFLILFDOO\&XVWRPVLQWHUSUHWHGWKH/LPLWHG

([FOXVLRQ2UGHUDV³QRWOLPLWHGWRWKHVSHFLILFSURGXFWVWKDWZHUHEHIRUHWKH&RPPLVVLRQGXULQJ

WKHLQYHVWLJDWLRQEXWLQVWHDGH[WHQGVWRDOOSURGXFWVLQFOXGLQJDQ\QHZRUUHGHVLJQHGSURGXFWV

WKDWLQIULQJHWKHUHOHYDQWLQWHOOHFWXDOSURSHUW\´&RPSO([%DW 'HFHPEHU

QRWLFHLQIRUPLQJ:LUWJHQRIWKHH[FOXVLRQRIWKHILYHPDFKLQHVHQWHUHGDW%UXQVZLFN*HRUJLD

 FLWLQJCertain Optical Disk Controller Chips and Chipsets,QY1R7$&RPP¶Q2S

DW±86,7&3XE -XO\                

            'HIHQGDQWV¶DUJXPHQWLVPLVJXLGHG7KHUHDVRQLQJE\ZKLFK&XVWRPVGHFLGHGWR

H[FOXGHWKHPHUFKDQGLVHIURPHQWU\LVQRWUHOHYDQWWRWKHTXHVWLRQRIZKHWKHUVXEMHFWPDWWHU


                                                                                      FRQWLQXHG« 
LVQRWVXEMHFWWRWKHH[FOXVLRQRUGHU´&RPSO([%DW -DQ (&)1R QRWLFHRI
H[FOXVLRQ 
&RXUW1R                                                                       3DJH
      
MXULVGLFWLRQH[LVWVLQWKLVFDVH+HUH:LUWJHQFRQWHVWVWKHGHFLVLRQE\&XVWRPVWRH[FOXGHWKDW

PHUFKDQGLVHDQLVVXHWKDWZLOOEHDGMXGLFDWHGde novo E\WKHFRXUWUDWKHUWKDQDFFRUGLQJWRWKH

JURXQGVXSRQZKLFK&XVWRPVPDGHWKHH[FOXVLRQVSee 86& D  7KHTXHVWLRQ

SHUWLQHQWWRVXEMHFWPDWWHUMXULVGLFWLRQLVZKHWKHU&XVWRPVDFWHGRQLWVRZQWRH[FOXGHWKH

PHUFKDQGLVHRUZDVGLUHFWHGE\WKH,7&WRGRVR$VGLVFXVVHGDERYHSODLQWLIIKDVSOHGIDFWV

DFFRUGLQJWRZKLFK&XVWRPVH[FOXGHGWKHPHUFKDQGLVHZLWKRXWEHLQJGLUHFWHGWRGRVRE\WKH

&RPPLVVLRQ

       &RQFHUQLQJ³DGPLQLVWUDWLYHGRFXPHQWV´GHIHQGDQWVDOVRUHO\RQD&XVWRPVKHDGTXDUWHUV

UXOLQJDGGUHVVLQJ:LUWJHQ¶VSURWHVW+4+ -DQ &RPSO([*DQGRQD

'HFHPEHUOHWWHUWR&XVWRPVIURPWKH&RPPLVVLRQ¶V$VVLVWDQW*HQHUDO&RXQVHOIRU

6HFWLRQZKLFKUHVSRQGHGWRFHUWDLQTXHVWLRQV&XVWRPVKDGSRVHGUHODWHGWRWKHSURWHVW

SURFHHGLQJ'HIV¶5HSO\([ /HWWHURI'HFIURP0HJDQ09DOHQWLQHWR&KDUOHV

6WHXDUW&KLHI,35 5HVWULFWHG0HUFKDQGLVH%UDQFK86&XVWRPVDQG%RUGHU3URWHFWLRQ 

'HIV¶5HSO\±7KHVHGRFXPHQWVDOVRDUHLUUHOHYDQWWRWKHTXHVWLRQRIMXULVGLFWLRQ7KHOHWWHU

IURPWKH,7&¶V$VVLVWDQW*HQHUDO&RXQVHOLVQRWDGHFLVLRQRIWKH&RPPLVVLRQDQGHYHQLILW

ZHUHLWVWLOOZRXOGEHLUUHOHYDQWEHFDXVHLWGRHVQRWGLUHFW&XVWRPVWRH[FOXGHWKHPHUFKDQGLVH

DWLVVXH7KH-DQXDU\KHDGTXDUWHUVUXOLQJVWDWHVWKHUHDVRQLQJE\ZKLFK&XVWRPV

GHQLHGWKHSURWHVW FRQFOXGLQJWKDWWKHH[FOXVLRQRIWKHPHUFKDQGLVHIURPHQWU\ZDVQRWD

SURWHVWDEOHGHFLVLRQ -XVWDVWKHUHDVRQVZK\&XVWRPVH[FOXGHGWKHPHUFKDQGLVHDUHQRW

UHOHYDQWWRWKHLVVXHRIMXULVGLFWLRQQHLWKHUDUHWKHUHDVRQVZK\&XVWRPVGHQLHGWKHSURWHVW

&XVWRPVKHDGTXDUWHUVUXOLQJ+4+WKHUHIRUHGRHVQRWEHDURQWKHTXHVWLRQRIVXEMHFW

PDWWHUMXULVGLFWLRQRYHUWKLVDFWLRQ
&RXUW1R                                                                         3DJH
      
           7KH([FHSWLRQLQ86& D  'RHV1RW$SSO\LQWKLV&DVH

       7KH7DULII$FWSURYLGHVLQSHUWLQHQWSDUWWKDWDSURWHVWPD\EHILOHGWRFRQWHVW³GHFLVLRQV

RIWKH&XVWRPV6HUYLFHLQFOXGLQJWKHOHJDOLW\RIDOORUGHUVDQGILQGLQJVHQWHULQJLQWRWKHVDPH

DVWR²WKHH[FOXVLRQRIPHUFKDQGLVHIURPHQWU\RUGHOLYHU\RUDGHPDQGIRUUHGHOLYHU\WR

FXVWRPVFXVWRG\XQGHUDQ\SURYLVLRQRIWKHFXVWRPVODZVexcept a determination appealable

under section 1337 of this title>VHFWLRQ86&@´86& D  

HPSKDVLVDGGHG 7KHTXHVWLRQDVWRMXULVGLFWLRQWKHUHIRUHLVZKHWKHUWKHGHFLVLRQVPDGHRQ

'HFHPEHU DVWRWKHILYHPDFKLQHVHQWHUHGDW%UXQVZLFN DQG'HFHPEHU DVWR

WKHPDFKLQHHQWHUHGDW%DOWLPRUH WRH[FOXGHWKHVL[5HGHVLJQHG6HULHVPDFKLQHVIURP

HQWU\ZHUH³GHWHUPLQDWLRQV´WKDWZHUH³DSSHDODEOH´XQGHUVHFWLRQ

       &RQJUHVVPDGHVHYHUDOFDWHJRULHVRIGHWHUPLQDWLRQVDSSHDODEOHXQGHUVHFWLRQ$OO

DUHDSSHDODEOHWRWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLW6SHFLILFDOO\XQGHU86&

 F ³>D@Q\SHUVRQDGYHUVHO\DIIHFWHGE\DILQDOGHWHUPLQDWLRQRIWKH&RPPLVVLRQXQGHU

VXEVHFWLRQ G  H  I RU J ´RI³PD\DSSHDOVXFKGHWHUPLQDWLRQZLWKLQGD\VDIWHU

WKHGHWHUPLQDWLRQEHFRPHVILQDOWRWKH8QLWHG6WDWHV&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLWIRU

UHYLHZ´7KHPHUFKDQGLVHH[FOXVLRQVDWLVVXHLQWKLVOLWLJDWLRQGRQRWIDOOZLWKLQDQ\RI

WKRVHFDWHJRULHV

       $VLVSHUWLQHQWKHUHVXEVHFWLRQ G RISURYLGHVIRUDOLPLWHG LQVXESDUDJUDSK  

RUDJHQHUDO LQVXESDUDJUDSK  RUGHUIRUWKHH[FOXVLRQIURPHQWU\LQWRWKH8QLWHG6WDWHVRI

³WKHDUWLFOHVFRQFHUQHG´LIWKH&RPPLVVLRQ³GHWHUPLQHVDVDUHVXOWRIDQLQYHVWLJDWLRQXQGHUWKLV

VHFWLRQWKDWWKHUHLVDYLRODWLRQRIWKLVVHFWLRQ´:LUWJHQLVQRWFRQWHVWLQJWKH/LPLWHG([FOXVLRQ

2UGHULQWKLVDFWLRQ5DWKHULWFODLPVWKDW&XVWRPVH[FOXGHGPHUFKDQGLVHWRZKLFKWKH/(2GLG

QRWDSSO\&RPSO ³&XVWRPV¶H[FOXVLRQRIWKH5HGHVLJQHG6HULHVPDFKLQHVLV
&RXUW1R                                                                         3DJH
      
ZURQJIXOEHFDXVHWKHVHSURGXFWVGRQRWLQIULQJHFODLPRIWKH¶SDWHQWDQGDUHWKHUHIRUH

RXWVLGHWKHVFRSHRIWKH/(2´ ,WDOOHJHVIDFWVLQVXSSRUWRIWKDWFODLPSee, e.g., id.±

± DOOHJLQJWKDW:LUWJHQUHGHVLJQHGWKH6HULHVPDFKLQHVVRWKDWWKH\ZRXOGQRW

LQIULQJHFODLP ± DOOHJLQJIDFWVLQVXSSRUWRIFODLPRIQRQLQIULQJHPHQWRIFODLP 

%HFDXVHDFODLPWKDW&XVWRPVZURQJIXOO\H[FOXGHGWKHPHUFKDQGLVHJLYLQJULVHWRWKLVGLVSXWHLV

QRWWKHVDPHDVDFODLPWKDWWKH/LPLWHG([FOXVLRQ2UGHULVXQODZIXOVXEVHFWLRQ G RI86&

LVQRWDEDVLVXSRQZKLFKWKHFRXUWPD\GLVPLVVWKLVDFWLRQIRUODFNRIMXULVGLFWLRQ1RULV

VXEVHFWLRQ H  I RU J DEDVLVIRUGLVPLVVDO

        5HO\LQJRQ86& D  GHIHQGDQWVDUJXHWKDWWKLV&RXUWODFNVMXULVGLFWLRQ

EHFDXVH³&RQJUHVVH[SUHVVO\SURYLGHGWKDWDQH[FOXVLRQbased onDVHFWLRQGHWHUPLQDWLRQLV

QRWSURWHVWDEOH´'HIV¶0RW HPSKDVLVDGGHG 6LPLODUO\GHIHQGDQWVDUJXHWKDWWKH

H[FHSWLRQWRSURWHVWDELOLW\LQ86& D  DSSOLHVWR³H[FOXVLRQVWKDWZHUHPDGH

because of DµGHWHUPLQDWLRQDSSHDODEOHXQGHU¶86&´'HIV¶5HSO\ HPSKDVLV

DGGHG 7KH\DUJXHVLPLODUO\WKDWVHFWLRQ³H[SOLFLWO\GLYHVWVWKLV&RXUWRIMXULVGLFWLRQE\

FKDQQHOLQJall UHYLHZRIVHFWLRQPDWWHUVWRWKH&RPPLVVLRQDQGWKH>&RXUWRI$SSHDOVIRU

WKH@)HGHUDO&LUFXLW´'HIV¶0RW

        7KHVHDUJXPHQWVPLVVWDWH D  7KHSURYLVLRQPDNHVSURWHVWDEOHD³GHFLVLRQ´E\

&XVWRPVWRH[FOXGHPHUFKDQGLVH³XQGHUDQ\SURYLVLRQRIWKHFXVWRPVODZVH[FHSWD

determination appealableXQGHUVHFWLRQ´86& D   HPSKDVLVDGGHG 

'HIHQGDQWV¶UHDGLQJZKLFKGRHVQRWJLYHIXOOHIIHFWWRWKHZRUG³DSSHDODEOH´LPSHUPLVVLEO\


            
              6XEVHFWLRQ H LVQRWSHUWLQHQWKHUHEHFDXVHLWDSSOLHVWRSUHOLPLQDU\H[FOXVLRQVRI
DUWLFOHVIURPHQWU\GXULQJWKHSHQGHQF\RIDVHFWLRQLQYHVWLJDWLRQ6XEVHFWLRQ I DSSOLHVWR
DFHDVHDQGGHVLVWRUGHUZKLFKLVQRWEHLQJFRQWHVWHGKHUH)LQDOO\VXEVHFWLRQ J LV
LQDSSOLFDEOHEHFDXVHLWDSSOLHVLQWKHHYHQWRIDGHIDXOWE\DSHUVRQDJDLQVWZKRPDFRPSODLQWLV
ILOHGXQGHUVHFWLRQ
&RXUW1R                                                                         3DJH
      
ZRXOGHQODUJHWKHH[FHSWLRQWRHQFRPSDVVDQ\GHWHUPLQDWLRQWKDWZRXOGQRWKDYHEHHQPDGHbut

forDVHFWLRQH[FOXVLRQRUGHU+DG&RQJUHVVLQWHQGHGWRFUHDWHDEURDGHUH[FHSWLRQIRUDQ\

&XVWRPVGHWHUPLQDWLRQRQVHFWLRQ³PDWWHUV´RUIRUDQ\GHFLVLRQ&XVWRPVPDNHV³EHFDXVH

RI´DVHFWLRQH[FOXVLRQRUGHURUFRQFOXGHVLV³EDVHGRQDVHFWLRQGHWHUPLQDWLRQ´

&RQJUHVVZRXOGKDYHVRSURYLGHG0RUHRYHULWLVDFDQRQRIVWDWXWRU\FRQVWUXFWLRQWKDW

H[FHSWLRQVWRDJHQHUDOO\H[SUHVVHGSULQFLSOHDUHWREHUHDGQDUURZO\See Comm’r v. Clark

86  

        ,QIXUWKHUVXSSRUWRIWKHLUSRVLWLRQGHIHQGDQWVUHO\RQFHUWDLQOHJLVODWLYHKLVWRU\RIWKH

&XVWRPV&RXUWV$FWRIZKLFKHQDFWHG86& D  'HIHQGDQWVSRLQWRXWWKDW

³>L@QWHFKQLFDOFRPPHQWVPDGHSDUWRIWKH&RPPLVVLRQ¶VVWDWHPHQWEHIRUH&RQJUHVVRQWKH

SURSRVHGOHJLVODWLRQWKH&RPPLVVLRQSURSRVHGDGGLQJµH[FHSWDFWLRQVRWKHUZLVHDSSHDODEOH

XQGHUVHFWLRQRIWKH7DULII$FWRI¶DIWHUWKHSKUDVHµDQ\SURYLVLRQVRIWKHFXVWRPV

ODZV¶´'HIV¶5HSO\ FLWLQJCustoms Courts Act of 1979: Hearing on S. 1654 Before the

Subcomm. on Improvements in Judicial Machinery of the S. Comm. on the JudiciaryWK

&RQJ   WHFKQLFDOFRPPHQWVRIWKH86,QWHUQDWLRQDO7UDGH&RPP¶Q reprinted in

&200217+(-8',&,$5<7+&21*/(*,6/$7,9(+,6725<2)7+(&867206&28576$&72)

92/DW'HIHQGDQWVDGGWKDW³>W@KH&RPPLVVLRQVSHFLILHGWKHUHDVRQIRUWKLV

SURSRVHGFKDQJHZDVWKDWµ>H@[FOXVLRQRIPHUFKDQGLVHIURPHQWU\LVDUHPHG\XQGHUVHFWLRQ

6HFWLRQGHWHUPLQDWLRQVDUHUHYLHZDEOHH[FOXVLYHO\E\WKH86&RXUWRI&XVWRPVDQG3DWHQW

$SSHDOV¶´Id.




            
              7KHSHUWLQHQWWH[WRIWKH86,QWHUQDWLRQDO7UDGH&RPPLVVLRQ¶VWHFKQLFDOFRPPHQWV
ZDVDVIROORZV
            
 FRQWLQXHG« 
&RXUW1R                                                                          3DJH
      
            7KHWHFKQLFDODPHQGPHQWVRXJKWE\WKH,7&DVUHIOHFWHGLQWKHVWDWXWHDVHQDFWHGGRHV

QRWHVWDEOLVKWKHSUHPLVHRIWKHJRYHUQPHQW¶VDUJXPHQWWKDWMXULVGLFWLRQLVODFNLQJRYHUWKLVFDVH

7KHH[FHSWLRQ&RQJUHVVLQFRUSRUDWHGLQWR86& D  HIIHFWXDWHVWKHMXULVGLFWLRQDO

OLPLWDWLRQIRUZKLFKWKH,7&LGHQWLILHGDQHHGLQLWVFRPPHQWVLHWKDW³>V@HFWLRQ

GHWHUPLQDWLRQV´LQFOXGLQJVSHFLILFDOO\H[FOXVLRQVIURPHQWU\WKDWDUHDUHPHG\XQGHUVHFWLRQ

³DUHUHYLHZDEOHH[FOXVLYHO\E\WKH86&RXUWRI&XVWRPVDQG3DWHQW$SSHDOV´$FFRUGLQJ

WRIDFWVSOHGLQWKHFRPSODLQWZKLFKGHIHQGDQWVGRQRWFRQWHVWWKHH[FOXVLRQVIURPHQWU\JLYLQJ

ULVHWRWKLVDFWLRQZHUHQRWDUHPHG\HIIHFWXDWHGXQGHUVHFWLRQEXWLQVWHDGZHUHDUHPHG\

HIIHFWXDWHGE\&XVWRPVZLWKRXWDQXQGHUO\LQJGLUHFWLYHIURPWKH&RPPLVVLRQ

            ,QVXPPDU\DFFRUGLQJWRWKHXQFRQWHVWHGIDFWVQRWKLQJLQVXEVHFWLRQ F RIPDGH

DSSHDODEOHWRWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLWWKHGHFLVLRQE\&XVWRPVWRH[FOXGH

IURPHQWU\WKHVL[5HGHVLJQHG6HULHVPDFKLQHV7KHUHIRUHWKHH[FHSWLRQLQ86&

 D  GRHVQRWDSSO\DQGWKDWGHFLVLRQZDVRQHWKDWFRXOGEHSURWHVWHG

            $UJXLQJWKDW³&RQJUHVVKDVSURYLGHGDVSHFLILFSDWKIRULPSRUWHUVWRFKDOOHQJHWKH

&RPPLVVLRQ¶VH[FOXVLRQRUGHUVDQGWRHVWDEOLVKWKDWUHGHVLJQHGSURGXFWVQRORQJHUYLRODWHDQ

H[FOXVLRQRUGHU´GHIHQGDQWVFKDUDFWHUL]HFKDOOHQJHVWRH[FOXVLRQVVXFKDVWKLVDFWLRQDV



                                                                                       FRQWLQXHG« 
                3DJHOLQHVDQG$IWHUWKHSKUDVH³DQ\SURYLVLRQVRIWKHFXVWRPV
        ODZV´RQOLQHDGG³H[FHSWDFWLRQVRWKHUZLVHDSSHDODEOHXQGHUVHFWLRQRI
        WKH7DULII$FWRI´
                Reason for the Change.—([FOXVLRQRIPHUFKDQGLVH IURPHQWU\LVD
        UHPHG\XQGHUVHFWLRQ6HFWLRQGHWHUPLQDWLRQVDUHUHYLHZDEOHH[FOXVLYHO\
        E\WKH86&RXUWRI&XVWRPVDQG3DWHQW$SSHDOV
        
Customs Courts Act of 1979: Hearing on S. 1654 Before the Subcomm. on Improvements in
Judicial Machinery of the S. Comm. on the JudiciaryWK&RQJ   WHFKQLFDOFRPPHQWV
RIWKH86,QWHUQDWLRQDO7UDGH&RPP¶Q reprinted in &200217+(-8',&,$5<7+&21*
/(*,6/$7,9(+,6725<2)7+(&867206&28576$&72)92/DW
&RXUW1R                                                                       3DJH
      
³EDFNGRRUFKDOOHQJHVWRD&RPPLVVLRQGHWHUPLQDWLRQ´'HIV¶0RW7KLVDUJXPHQWLVIODZHG

LQWZRUHVSHFWV)LUVWDVGLVFXVVHGDERYH:LUWJHQLVQRWUDLVLQJEHIRUHWKLV&RXUWDFKDOOHQJHWR

WKH/LPLWHG([FOXVLRQ2UGHURUWKHILQGLQJVXSRQZKLFKWKH/(2ZDVLVVXHGSee &RPSO

6HFRQGLQVXJJHVWLQJWKDW:LUWJHQKDVDSDWKWRHVWDEOLVKEHIRUHWKH&RPPLVVLRQWKDWLWV

³UHGHVLJQHGSURGXFWVQRORQJHUYLRODWHDQH[FOXVLRQRUGHU´ DQDSSDUHQWUHIHUHQFHWRWKH

³PRGLILFDWLRQ´SURFHGXUHVRI86& N  GHIHQGDQWV¶DUJXPHQWE\SRVWXODWLQJWKDW

HQWU\RIWKH5HGHVLJQHG6HULHVPDFKLQHVZRXOGYLRODWHWKH/LPLWHG([FOXVLRQ2UGHUGHOYHV

LQWRWKHPHULWVE\SUHVXPLQJWKHDQVZHUWRWKHLVVXHLQGLVSXWH

       'HIHQGDQWVPDLQWDLQIXUWKHUWKDWWKH&XVWRPV5HJXODWLRQVUHQGHUWKHH[FOXVLRQVDWLVVXH

QRQSURWHVWDEOHDQGWKDW:LUWJHQIDLOHGWRFKDOOHQJHWKHODZIXOQHVVRIWKRVHUHJXODWLRQV'HIV¶

0RW TXRWLQJ&)5 7KLVDUJXPHQWPLVLQWHUSUHWVWKH&XVWRPV5HJXODWLRQVDQG

SUHVXPHVLQYDOLGO\WKDWWKRVHUHJXODWLRQVVRPHKRZFRXOGDOWHUWKLV&RXUW¶VMXULVGLFWLRQ

&RQWUDU\WRGHIHQGDQWV¶LQWHUSUHWDWLRQWKH&XVWRPV5HJXODWLRQVPLUURUWKHVWDWXWHLQPDNLQJ

³VXEMHFWWRSURWHVW´H[FOXVLRQVRIPHUFKDQGLVH³XQGHUDQ\SURYLVLRQRIWKHFXVWRPVODZVH[FHSWD

GHWHUPLQDWLRQWKDWPD\EHDSSHDOHGXQGHU86&´&)5+DGWKHVH

UHJXODWLRQVDWWHPSWHGWREURDGHQWKHH[FHSWLRQLQ86& D  WKH\ZRXOGEHUXOHG

LQYDOLGDVQRDJHQF\UHJXODWLRQPD\HQODUJHRUOLPLWWKHMXULVGLFWLRQ&RQJUHVVJUDQWVWRWKLVRU

DQ\$UWLFOH,,,FRXUWSeeCarlyle Towers Condominium Ass’n v. F.D.I.C.)G G

&LU  ³Carlyle Towers´  ³>,@WLVµD[LRPDWLF¶WKDWDJHQFLHVFDQQHLWKHUJUDQWQRUFXUWDLO

IHGHUDOFRXUWMXULVGLFWLRQ´ TXRWLQJMiller v. FCC)G WK&LU     

  7KLV$FWLRQ,QYROYHV7ZR3URWHVWVWKDW:HUH³'HQLHG´IRU3XUSRVHVRIWKH7DULII$FW

       :LUWJHQ¶VVXPPRQVHVDQGFRPSODLQWLQGLFDWHWKDW&XVWRPVGHQLHGWKHSURWHVWUHODWLQJWR

WKH%UXQVZLFNPDFKLQHVRQ-DQXDU\DQGGHQLHGWKHSURWHVWUHODWLQJWRWKH%DOWLPRUH
&RXUW1R                                                                             3DJH
      
PDFKLQHRQ-DQXDU\HDFKRQWKHEDVLVWKDW³WKHSURWHVWGRHVQRWUDLVHDSURWHVWDEOH

LVVXH´6XPPRQVHV&RPSO± LQWHUQDOEUDFNHWVRPLWWHG 7KHSURWHVWGHQLDOVZHUH

IROORZHGE\WLPHO\VXPPRQVHV

    &RQJUHVV'LG1RW³&KDQQHO´WKLV/LWLJDWLRQWRWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO
                              &LUFXLWRUWRWKH&RPPLVVLRQ

        'HIHQGDQWV¶DUJXPHQWWKDWUHYLHZRIH[FOXVLRQVVXFKDVWKRVHFKDOOHQJHGKHUHDUH

³FKDQQHOHG´WRWKH&RPPLVVLRQLVDOVRXQFRQYLQFLQJ7KHMXGLFLDOUHYLHZVFKHPHHVWDEOLVKHGE\

86& D  ZKHQUHDGLQFRQMXQFWLRQZLWKVHFWLRQSURYLGHVIRUMXGLFLDOUHYLHZ

RIH[FOXVLRQVIURPHQWU\UHODWHGWRVHFWLRQLQRQHRIWZR$UWLFOH,,,FRXUWVWKH&RXUWRI

$SSHDOVIRUWKH)HGHUDO&LUFXLWRUWKLV&RXUW'HIHQGDQWV¶LQWHUSUHWDWLRQRIWKHPHFKDQLVPVIRU

UHYLHZZRXOGSODFHUHYLHZRIVRPHH[FOXVLRQGHWHUPLQDWLRQVRIRQHDJHQF\ &XVWRPV LQ





            
              $VDJHQHUDOPDWWHULWLVSRVVLEOHIRU&XVWRPVWR³UHWXUQ´DSURWHVWEXWDOVRLQGLFDWHWKDW
WKHDFWRIUHWXUQLQJLWLVQRWD³GHQLDO´See Zojirushi Am. Corp. v. United States&,7BBBB
)6XSSG±   SURWHVWHUURQHRXVO\UHWXUQHGE\&XVWRPVDVQRQ
SURWHVWDEOHKHOGQRWWREH³GHQLHG´SXUVXDQWWR86&EXWHOLJLEOHIRUGHHPHGGHQLDO
IROORZLQJILOLQJRIDUHTXHVWIRUDFFHOHUDWHGGLVSRVLWLRQXQGHU86& E ,QWKLVFDVH
&XVWRPVGHFLGHGWKDWWKHSURWHVWVZHUHWREH³GHQLHG´because WKHGHFLVLRQLQYROYHGZDV
DFFRUGLQJWR&XVWRPVQRWRQHWKDWFRXOGEHSURWHVWHG&RPSO([*DW7KHIDFWXDOVLWXDWLRQ
JLYLQJULVHWRZojirushi America Corp.WKHUHIRUHGLGQRWH[LVWLQWKLVFDVH
            (YHQLIWKH-DQXDU\DQGDFWLRQVE\&XVWRPVKDGQRWTXDOLILHGDVSURWHVW
GHQLDOV DQRWKHUSURYLVLRQRIWKH7DULII$FWZRXOGKDYHHIIHFWHGD³GHHPHG´GHQLDORI:LUWJHQ¶V
WZRSURWHVWV%\RSHUDWLRQRIVHFWLRQ F  RIWKH7DULII$FWSURWHVWVSHQGLQJEHIRUH
&XVWRPVUHJDUGLQJGHFLVLRQVWRH[FOXGHPHUFKDQGLVHWKDWDUHQRWDOORZHGRUGHQLHG LQZKROHRU
LQSDUW ³beforeWKHWKGD\DIWHUWKHGD\RQZKLFKWKHSURWHVWZDVILOHGVKDOOEHWUHDWHGDV
KDYLQJEHHQGHQLHGRQVXFKWKGD\´86& F   HPSKDVLVDGGHG see &)5
 E ,IWKH&XVWRPV³GHQLDOV´KDGQRWEHHQDFWXDOGHQLDOVWKHSURWHVWDVWRWKH
%UXQVZLFNHQWULHVZRXOGKDYHEHHQGHHPHGGHQLHGDVRIDPRQ-DQXDU\E\
RSHUDWLRQRI86& F  DQGVLPLODUO\WKHSURWHVWUHJDUGLQJH[FOXVLRQRIWKH
%DOWLPRUHPDFKLQHZRXOGKDYHEHHQGHHPHGGHQLHGDVRIDPRQ-DQXDU\
            
            
              See86& D  LPSRVLQJGD\WLPHOLPLWRQFRPPHQFHPHQWRIDQDFWLRQ
WRFRQWHVWDSURWHVWGHQLDO 
&RXUW1R                                                                         3DJH
      
DQRWKHUQRQMXGLFLDOERG\WKH,7&FRQWUDU\WRWKHJHQHUDOLQWHQWRI&RQJUHVVWKDWGHFLVLRQV

&XVWRPVPDNHVWRH[FOXGHPHUFKDQGLVHIURPHQWU\ZRXOGEHUHYLHZDEOHLQDQ$UWLFOH,,,FRXUW

       ,QVXSSRUWRIWKHLU³FKDQQHOLQJ´DUJXPHQWGHIHQGDQWVUHO\RQElgin v. Dept. of Treasury

86  DQGThunder Basin Coal Co. v. Reich86  'HIV¶0RW

7KHVHFDVHVHDFKRIZKLFKKHOGWKDWWKHMXULVGLFWLRQVRXJKWZDVQRWDYDLODEOHLQD86GLVWULFW

FRXUWDUHQRWFRQWUROOLQJRQWKHMXULVGLFWLRQDOLVVXHSUHVHQWHGKHUHElgin KHOGWKDWWKHVWDWXWRU\

VFKHPHIRUMXGLFLDOUHYLHZLQWKH&LYLO6HUYLFH5HIRUP$FWRIXQGHUZKLFKLQLWLDOUHYLHZ

RIDQDGYHUVHHPSOR\PHQWDFWLRQLVFRQGXFWHGE\WKH0HULW6\VWHPV3URWHFWLRQ%RDUGZLWK

MXGLFLDOUHYLHZYHVWHGLQWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLWSUHFOXGHGDQDFWLRQLQD

GLVWULFWFRXUWVHHNLQJMXGLFLDOUHYLHZRIDFRQVWLWXWLRQDOFODLP86DWThunder Basin

Coal Co.KHOGWKDWWKHVWDWXWRU\VFKHPHIRUUHYLHZ&RQJUHVVHVWDEOLVKHGIRUDGPLQLVWUDWLYH

DFWLRQVWDNHQXQGHUWKH)HGHUDO0LQH6DIHW\DQG+HDOWK$PHQGPHQWV$FWRIZKLFK

SURYLGHGIRUSRVWDGPLQLVWUDWLYHMXGLFLDOUHYLHZLQIHGHUDODSSHOODWHFRXUWVSUHYHQWHGDGLVWULFW

FRXUWIURPH[HUFLVLQJVXEMHFWPDWWHUMXULVGLFWLRQRYHUDSUHHQIRUFHPHQWFKDOOHQJHWRWKH$FW

86DW%RWKFDVHVWXUQHGRQZKHWKHUFRQJUHVVLRQDOLQWHQWWRSODFHLQLWLDOUHYLHZLQDQ

DGPLQLVWUDWLYHDJHQF\ZLWKMXGLFLDOUHYLHZLQDSDUWLFXODUIHGHUDOFRXUWRUFRXUWVZDV³IDLUO\

GLVFHUQLEOHLQWKHVWDWXWRU\VFKHPH´Id.DW TXRWLQJBlock v. Cmty. Nutrition Inst.86

  

       +HUHLWLVQRWGLVFHUQLEOHIURPWKHVWDWXWRU\VFKHPHWKDW&RQJUHVVLQWHQGHGWRFKDQQHO

LQLWLDOUHYLHZRIHYHU\VHFWLRQUHODWHGH[FOXVLRQGHWHUPLQDWLRQRI&XVWRPVWRWKH,7&ZLWK

DSSHDOWKHUHIURPWRWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLW,QVWHDG&RQJUHVVHVWDEOLVKHGD

ELIXUFDWHGV\VWHPRIMXGLFLDOUHYLHZLQ86& F DQG D  2QO\WKRVH

GHWHUPLQDWLRQV&RQJUHVVLQVHFWLRQPDGHGLUHFWO\DSSHDODEOHIURPWKH&RPPLVVLRQWRWKH
&RXUW1R                                                                           3DJH
      
&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLWDUHLQHOLJLEOHIRUSURWHVW7KRVHPDGHE\&XVWRPVRQLWV

RZQLQLWLDWLYHWKDWGRQRWIDOOZLWKLQWKHFDWHJRULHVRI,7&DFWLRQVHOLJLEOHIRUGLUHFWUHYLHZLQWKH

&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLWDUHWREHILUVWDGMXGLFDWHGLQWKH&RXUWRI,QWHUQDWLRQDO

7UDGHEHIRUHUHYLHZLVDYDLODEOHLQWKHDSSHOODWHFRXUW

          'HIHQGDQWVDUJXHWKDWDGMXGLFDWLRQRIDQDFWLRQVXFKDVWKLVRQHLQWKH&RXUWRI

,QWHUQDWLRQDO7UDGHLVLQDSSURSULDWHEHFDXVHLWGRHVQRWDOORZIRUSDUWLFLSDWLRQE\WKHSDWHQW

KROGHURUWKH,7&QHLWKHURIZKRPPD\LQWHUYHQH'HIV¶0RW$WPRVWWKLVLVDQDUJXPHQW

IRUZKDW&RQJUHVVcould KDYHGRQHRUZKDWGHIHQGDQWVEHOLHYH&RQJUHVVshould KDYHGRQHLQ

FUDIWLQJDVFKHPHIRUMXGLFLDOUHYLHZ7KHFRXUWLQVWHDGPXVWGHFLGHWKHMXULVGLFWLRQDOTXHVWLRQ

RQWKHEDVLVRIZKDW&RQJUHVVDFWXDOO\GLG0RUHRYHUGHIHQGDQWV¶DUJXPHQWLVFRXQWHUWRWKH

DQDO\VLVRIWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLWLQJazz Photo Corp. v. United States

)G )HG&LU  DEURJDWHGRQRWKHUJURXQGVE\Impression Prods. v. Lexmark

Int’l, Inc.86BB6&W  LQZKLFKSDWHQWKROGHU)XML3KRWR)LOP&R/WG

³)XML´ DUJXHGWKDWLWVKRXOGKDYHEHHQSHUPLWWHGWRLQWHUYHQHRUEHMRLQHGDVDQHFHVVDU\SDUW\

DQGLQZKLFKWKH&RXUWRI$SSHDOVUHVSRQGHGWKDW³>L@QSURWHVWVXQGHUVHFWLRQ>86&

@&RQJUHVVSODFHGWKHUHVSRQVLELOLW\RISURWHFWLQJ)XML¶VSDWHQWULJKWVXSRQWKH

JRYHUQPHQW´

          7KH&RPPLVVLRQJLYHVDVDUHDVRQIRULQWHUYHQWLRQLWVGHVLUHWRFRQWHVWVXEMHFWPDWWHU

MXULVGLFWLRQ,7&¶V0RWDQG³WRGHIHQGWKHVFRSHDQGRSHUDWLRQRILWVRUGHUV´id.DW,QLWV

PRWLRQWRLQWHUYHQHWKH,7&SUHVHQWVDUJXPHQWVDJDLQVWVXEMHFWPDWWHUMXULVGLFWLRQWKDW

HVVHQWLDOO\DUHWKHVDPHDVWKRVHGHIHQGDQWVUDLVHG7KHFRXUWUHMHFWVWKHPIRUWKHUHDVRQVVWDWHG

DERYH
&RXUW1R                                                                         3DJH
      
       2QHRIWKH&RPPLVVLRQ¶VDUJXPHQWVZKLFKLVVLPLODUWRWKHDUJXPHQWGHIHQGDQWV

DGYDQFHGFRQFHUQLQJ&RPPLVVLRQSUDFWLFHPDLQWDLQVWKDW³WKH&RPPLVVLRQDQGWKHUHE\

&XVWRPVKDVFRQVLVWHQWO\LQWHUSUHWHGH[FOXVLRQRUGHUVIRUGHFDGHVWRFRYHUUHGHVLJQVRI

DGMXGJHGLQIULQJHUV´DQGWKDW³>W@KHPHUHIDFWWKDWDSURGXFWLVQHZGRHVQRWDOORZLWWRHVFDSH

WKHH[FOXVLRQRUGHU´Id.DW$FFRUGLQJWRWKH,7&³:LUWJHQ¶VLQWHUSUHWDWLRQRIWKHVFRSHRI

WKH/(2ZRXOGDOORZDGMXGJHGLQIULQJHUVWRHDVLO\FLUFXPYHQWWKH&RPPLVVLRQ¶VUHPHGLDO

RUGHUV´FLWLQJIRUVXSSRUWHyundai Elecs. Indus. Corp. v. Int’l Trade Comm’n)G

 )HG&LU Eaton Corp. v. United States&,7±)6XSSG

  DQG³GHFDGHVRI&RPPLVVLRQGHFLVLRQV´Id.DW7KH&RPPLVVLRQDGGV

WKDW³:LUWJHQ¶VFODLPVDUHSUHPLVHGRQWKHZURQJFRQWHQWLRQWKDWLWVPDFKLQHVDUHRXWVLGHWKH

VFRSHRIWKH/(2EHFDXVHWKH\ZHUHQRWDGMXGLFDWHGGXULQJWKHLQYHVWLJDWLRQDQGGHWHUPLQHGWR

EHRXWVLGHWKHVFRSHRIWKHLQYHVWLJDWLRQ GXHWRODFNRILPSRUWDWLRQDWWKHWLPHRIWKH

LQYHVWLJDWLRQ ´Id. 7KH&RPPLVVLRQVXPPDUL]HVLWVDUJXPHQWE\VWDWLQJWKDW³:LUWJHQ¶V

LQWHUSUHWDWLRQRIWKHVFRSHRIWKH/(2LVLQFRQVLVWHQWZLWKGHFDGHVRI&RPPLVVLRQSUDFWLFHDQG

)HGHUDO&LUFXLWSUHFHGHQWDQGZRXOGDOORZDGMXGJHGLQIULQJHUVWRHDVLO\FLUFXPYHQWWKH

&RPPLVVLRQ¶VUHPHGLDORUGHUV´DQGWKDW³>W@KHVFRSHRIWKH&RPPLVVLRQ¶VRUGHULVDQLVVXHWKDW

UHTXLUHVWKH&RPPLVVLRQ¶VSDUWLFLSDWLRQ´Id.DW

       7KH&RPPLVVLRQ¶VMXULVGLFWLRQDODUJXPHQWLVLQHVVHQFHWKDWVXEMHFWPDWWHUMXULVGLFWLRQ

LVODFNLQJXQGHU86& D EHFDXVHWKH/LPLWHG([FOXVLRQ2UGHUPXVWEHLQWHUSUHWHGWR

DSSO\WRWKH5HGHVLJQHG6HULHVPDFKLQHV²QRWEHFDXVHWKH&RPPLVVLRQGHWHUPLQHGWKDW

WKHVHUHGHVLJQHGPDFKLQHVLQIULQJHFODLPRIWKH¶SDWHQWEXWEHFDXVHWKH&RPPLVVLRQGLG

not ILQGWKDWWKH\GLGnot LQIULQJHSee id. ³7KHUHZDVQRILQGLQJLQWKHXQGHUO\LQJLQYHVWLJDWLRQ

WKDWWKHUHGHVLJQHGSURGXFWVGRQRWLQIULQJHFODLPRIWKH¶SDWHQW´ $FFRUGLQJWR
&RXUW1R                                                                            3DJH
      
VXFKDQDUJXPHQWWKHFRXUWLVWRSUHVXPHIURP&RPPLVVLRQSUDFWLFHWKDWWKH,7&DOUHDG\KDG

GHFLGHGWKDWWKH5HGHVLJQHG6HULHVPDFKLQHVPXVWEHH[FOXGHGIURPHQWU\DVRIWKHWLPH

:LUWJHQFRPPHQFHGWKLVDFWLRQDQG&XVWRPVZDVPHUHO\HIIHFWXDWLQJWKDWGHFLVLRQ

        7KHFRXUWVHHVQRPHULWLQWKH&RPPLVVLRQ¶VDUJXPHQWWKDWWKH/LPLWHG([FOXVLRQ2UGHU

PXVWEHLQWHUSUHWHGWRH[FOXGHWKH5HGHVLJQHG6HULHVPDFKLQHVIRUWZRUHDVRQV)LUVWWKH

XQGHUO\LQJSUHPLVHRIWKLVDUJXPHQWLVFRQWUDU\WRVHFWLRQ:LUWJHQDOOHJHVLQLWVFRPSODLQW

WKDWWKH&RPPLVVLRQH[SUHVVO\GHFLGHGWKDWWKH5HGHVLJQHG6HULHVPDFKLQHVZHUHQRW

VXEMHFWWRWKHVHFWLRQLQYHVWLJDWLRQ&RPS±7KLVLVDQDOOHJHGIDFWWKH

&RPPLVVLRQGRHVQRWGLVSXWHLQDUJXLQJWKDWMXULVGLFWLRQLVODFNLQJ,IWKH,7&H[SUHVVO\IRXQG

WKDWWKH5HGHVLJQHG6HULHVPDFKLQHVZHUHRXWVLGHWKHVFRSHRIWKHVHFWLRQ

LQYHVWLJDWLRQDV:LUWJHQDOOHJHVWKHQWKHUHGHVLJQHGPDFKLQHVFRXOGQRWKDYHEHHQWKH³DUWLFOHV

FRQFHUQHG´DVWKDWWHUPLVXVHGLQ86& G DQGWKHUHIRUHWKH\FRXOGQRWKDYHEHHQ

WKHDUWLFOHVRYHUZKLFKWKH&RPPLVVLRQKDGDXWKRULW\WRLPSRVHDQH[FOXVLRQRUGHUSee

86& G  SURYLGLQJWKDW³>L@IWKH&RPPLVVLRQGHWHUPLQHVas a result of an

investigation under this sectionWKDWWKHUHLVDYLRODWLRQRIWKLVVHFWLRQLWVKDOOGLUHFW´WKH

H[FOXVLRQ³IURPHQWU\LQWRWKH8QLWHG6WDWHV´RI³the articles concerned´ HPSKDVLVDGGHG 

6HFRQGWKHMXGLFLDOGHFLVLRQVXSRQZKLFKWKH&RPPLVVLRQUHOLHVHyundai Elecs. Indus. Corp.

DQGEaton Corp.GRQRWUHVROYHWKHMXULVGLFWLRQDOTXHVWLRQEHIRUHWKHFRXUW7KH,7&¶VUHOLDQFH



            
              Hyundai Elecs. Indus. Corp. v. Int’l Trade Comm.)G )HG&LU 
LQYROYHGDFKDOOHQJHWRDQ,7&UHPHG\LQYROYLQJDFHUWLILFDWLRQSURFHGXUHGLUHFWHGWRVHFRQGDU\
SURGXFWV,WZDVQRWDFKDOOHQJHWRDGHWHUPLQDWLRQWKDW&XVWRPVLWVHOIPDGHWRH[FOXGH
PHUFKDQGLVHIURPHQWU\'HIHQGDQWVDQGWKH&RPPLVVLRQUHO\RQHyundai Elecs. Indus. Corp
IRUWKHSULQFLSOHWKDWRQFHWKH,7&KDVIRXQGDYLRODWLRQRIVHFWLRQWKHEXUGHQVKLIWVWRWKH
DOOHJHGLQIULQJHUWRGHPRQVWUDWHWKDWUHGHVLJQHGDUWLFOHVGRQRWLQIULQJHSee, e.g.'HIV¶5HSO\
0HPLQ6XSSRIWKHLU0RWWR'LVPLVV )HE (&)1R%HFDXVHLWLV
LQGLVSXWDEOHWKDWDSDUW\FRQWHVWLQJDQH[FOXVLRQRIPHUFKDQGLVHEHIRUHWKH&RXUWRI,QWHUQDWLRQDO
 FRQWLQXHG« 
&RXUW1R                                                                         3DJH
      
RQ³GHFDGHV´RI&RPPLVVLRQSUDFWLFHLVVLPLODUO\XQDYDLOLQJ7KHLVVXHRIVXEMHFWPDWWHU

MXULVGLFWLRQPXVWEHGHFLGHGDFFRUGLQJWRWKHFRUUHFWLQWHUSUHWDWLRQRI86& D  DV

LWUHODWHVWR86& F 7KH&RPPLVVLRQ¶VSUDFWLFHFDQQRWDOWHUWKHMXULVGLFWLRQRI

$UWLFOH,,,FRXUWVSeeCarlyle Towers)GDW

           1RULVLWFRUUHFWIRUWKH&RPPLVVLRQWRVXJJHVWRULPSO\WKDWE\EULQJLQJWKLVDFWLRQ

:LUWJHQLVDWWHPSWLQJWRFLUFXPYHQWDUHPHGLDORUGHURIWKH&RPPLVVLRQ,QVWHDG:LUWJHQLV

SXUVXLQJDQDYHQXHRIMXGLFLDOUHYLHZ&RQJUHVVH[SUHVVO\SURYLGHGLQ86&DQG

DQG86& D ZLWKWKHREMHFWLYHRIREWDLQLQJUHOHDVHRIWKHPHUFKDQGLVHWKDWLW

DOOHJHVWKDW&XVWRPVQRWWKH&RPPLVVLRQH[FOXGHGIURPHQWU\

            )LQDOO\WKH&RPPLVVLRQDUJXHVWKDW³:LUWJHQIDLOHGWRH[KDXVWWKHDYDLODEOH

DGPLQLVWUDWLYHUHPHGLHVEHIRUHVHHNLQJMXGLFLDOUHYLHZRIWKHVFRSHRIWKH&RPPLVVLRQ¶V/(2´

,7&¶V0RW LGHQWLI\LQJYDULRXVSURFHGXUHVWKDW:LUWJHQFRXOGKDYHSXUVXHGDGPLQLVWUDWLYHO\

EHIRUHWKH&RPPLVVLRQDQG&XVWRPV 7KLVDUJXPHQWLVPHULWOHVVEHFDXVH:LUWJHQGLGQRWIDLO

WRH[KDXVWLWVDGPLQLVWUDWLYHUHPHGLHV:LUWJHQGLGQRWIDLOWRWDNHWKHDGPLQLVWUDWLYHVWHSVWKDW

DUHUHTXLUHGIRUSXUSRVHVRIREWDLQLQJMXULVGLFWLRQDFFRUGLQJWR86&DQG86&

 D 7KRVHVWHSVDUHWKHMXULVGLFWLRQDOSUHUHTXLVLWHVWKHFRXUWKDVLGHQWLILHGWKHILOLQJRID

WLPHO\SURWHVWRIDSURWHVWDEOHGHFLVLRQDQGWKHREWDLQLQJRIDSURWHVWGHQLDOE\&XVWRPV



                                                                                       FRQWLQXHG« 
7UDGHKDVWKHEXUGHQRIHVWDEOLVKLQJDGPLVVLELOLW\WKLVSULQFLSOHGRHVQRWHVWDEOLVKDODFNRI
VXEMHFWPDWWHUMXULVGLFWLRQLQWKLVFDVH
        ,QEaton Corp. v. United States&,7)6XSSG  WKLV&RXUW
LVVXHGDSUHOLPLQDU\LQMXQFWLRQHQMRLQLQJWKHJRYHUQPHQWIURPSHUPLWWLQJHQWU\RIFHUWDLQ
PHUFKDQGLVH³WKDWKDVEHHQRUVWLOOLVZLWKLQWKHSXUYLHZRIWKHLQYHVWLJDWLRQRIWKH8QLWHG6WDWHV
,QWHUQDWLRQDO7UDGH&RPPLVVLRQSXUVXDQWWR86&´Id.DW±)
6XSSGDW&RQFHUQLQJVXEMHFWPDWWHUMXULVGLFWLRQWKHRSLQLRQVWDWHVWKDW³>D@WWKLVVWDJH
RIWKHSURFHHGLQJVWKHFRXUWFDQQRWDQGWKHUHIRUHGRHVQRWFRQFOXGHWKDWLWGRHVQRWKDYH
MXULVGLFWLRQSXUVXDQWWRVHFWLRQ L RI7LWOH86&´Id.DW)6XSSGDW
&RXUW1R                                                                      3DJH
      
       2QHRIWKH³DGPLQLVWUDWLYH´UHPHGLHVWKH&RPPLVVLRQFLWHVLVWKHSXUVXLQJRID

³PRGLILFDWLRQ´RIWKH/(2WKURXJKDSURFHHGLQJFRQGXFWHGDFFRUGLQJWR86& N D

SURFHHGLQJWKDWWKH&RPPLVVLRQLVQRZFRQGXFWLQJ,7&¶V0RW7KHJLVWRIWKH

&RPPLVVLRQ¶VDUJXPHQWLVWKDW:LUWJHQFDQQRWQRZFRQWHVWEHIRUHWKLV&RXUWWKHVSHFLILF

PHUFKDQGLVHH[FOXVLRQVDWLVVXHLQWKLVFDVHDQGPXVWDZDLWWKHUHVXOWVRIWKH&RPPLVVLRQ¶V

PRGLILFDWLRQSURFHHGLQJ7KLVDUJXPHQWLVXQFRQYLQFLQJ

       7KHPHUHH[LVWHQFHRIDQRQJRLQJDGPLQLVWUDWLYHPRGLILFDWLRQSURFHHGLQJGRHVQRWSODFH

WKLVDFWLRQZLWKLQWKHVHFWLRQH[FHSWLRQWRSURWHVWDELOLW\WKDW&RQJUHVVSODFHGLQ86&

 D  $QDGYHUVHGHFLVLRQLQWKHPRGLILFDWLRQSURFHHGLQJSRWHQWLDOO\ZRXOGEH

DSSHDODEOHWRWKH&RXUWRI$SSHDOVIRUWKH)HGHUDO&LUFXLWSee Allied Corp. v. U.S. Int’l Trade

Comm’n)G )HG&LU %XWEHFDXVHMXULVGLFWLRQDOIDFWVDUHDVFHUWDLQHG

DVRIWKHWLPHDQDFWLRQLVFRPPHQFHGsee Ford Motor Co. v. United States)G

 )HG&LU WKHSRVVLELOLW\WKDW:LUWJHQPLJKWEHLQDSRVLWLRQWRDSSHDOWKHRXWFRPH

RIDQDGPLQLVWUDWLYHSURFHHGLQJDWVRPHWLPHLQWKHIXWXUHGRHVQRWGHIHDWVXEMHFWPDWWHU

MXULVGLFWLRQRYHUWKLVDFWLRQ$WWKHWLPH:LUWJHQFRPPHQFHGLWVDFWLRQWKHUHZDVQRILQDO

GHWHUPLQDWLRQUHODWHGWRDPRGLILFDWLRQSURFHHGLQJDWWKH,7&WKDWZDV³DSSHDODEOH´DFFRUGLQJWR

86& D  

       0RUHRYHU&RQJUHVVLQWHQGHGWKDWGHFLVLRQVE\&XVWRPVWRH[FOXGHPHUFKDQGLVHZRXOG

UHFHLYHDQH[SHGLWLRXVUHPHG\See 86& F   D  7KHQRWLRQWKDW

:LUWJHQFRXOGQRWFRQWHVWWKHH[FOXVLRQSULRUWRREWDLQLQJWKHUHVXOWRIDPRGLILFDWLRQSURFHHGLQJ

EHIRUHWKH,7&LVLQFRQVLVWHQWZLWKFRQJUHVVLRQDOLQWHQWWKDWDQLPSRUWHUEHSHUPLWWHGWRFRQWHVW

WKHPHUFKDQGLVHH[FOXVLRQLQWKLV&RXUWLPPHGLDWHO\RQFHGD\VKDGHODSVHGIURPWKHWLPHLWV

SURWHVWZDVGHQLHGRUGHHPHGGHQLHG:LUWJHQLVQRWUHTXLUHGWRIRUHJRMXGLFLDOUHYLHZRIWKH
&RXUW1R                                                                        3DJH
      
DGYHUVHGHFLVLRQRQWKHH[FOXVLRQRILWVPHUFKDQGLVHXQWLOVXFKWLPHDVLWKDVUHFHLYHGDVHFRQG

GHFLVLRQE\DQRWKHUDGPLQLVWUDWLYHDJHQF\RQHWKDWLVQRWGLUHFWHGWRWKHVSHFLILFPDFKLQHVWKDW

DUHWKHVXEMHFWRIWKLVDFWLRQ.'HIHQGDQWVPDNHHVVHQWLDOO\WKHVDPHDUJXPHQWFRQFHUQLQJ

86& N  DQGDOVR F PDLQWDLQLQJWKDW³&RQJUHVVKDVSURYLGHGDVSHFLILF

SDWKIRULPSRUWHUVWRFKDOOHQJHWKH&RPPLVVLRQ¶VH[FOXVLRQRUGHUVDQGWRHVWDEOLVKWKDW

UHGHVLJQHGSURGXFWVQRORQJHUYLRODWHDQH[FOXVLRQRUGHU´'HIV¶0RW7KLVDUJXPHQW

VXIIHUVIURPWKHVDPHIODZDVWKH&RPPLVVLRQ¶VDQGLWLVDOVRPLVJXLGHGLQSUHVXPLQJDWWKLV

SOHDGLQJVWDJHRIWKHFDVHWKDW:LUWJHQ¶V5HGHVLJQHG6HULHVPDFKLQHV³YLRODWHDQ

H[FOXVLRQRUGHU´

                                   %3ODLQWLII¶V6HFRQG&ODLP

       3ODLQWLII¶VSULQFLSDOFODLPWKDW&XVWRPVXQODZIXOO\H[FOXGHGWKHVL[PDFKLQHVIURP

HQWU\DVSUHVHQWHGLQ&RXQW,RILWVFRPSODLQW&RPSO±LVEHIRUHWKHFRXUWDFFRUGLQJ

WRWKHMXULVGLFWLRQSURYLGHGLQ86& D IRUWKHUHDVRQVGLVFXVVHGDERYH&RXQW,,RI

SODLQWLII¶VFRPSODLQWDOOHJHVWKDWWKHQRWLFHVRIGHWHQWLRQ&XVWRPVLVVXHGRQWKHWKUHHHQWULHV³DUH

XQODZIXOIRUIDLOLQJWRSURYLGHWKHLQIRUPDWLRQUHTXLUHGE\86& F  ´Id.

3ODLQWLIIFLWHVWKH'HFODUDWRU\-XGJPHQW$FW86&±DQGDVVHUWVMXULVGLFWLRQ

XQGHUWKHFRXUW¶VUHVLGXDOMXULVGLFWLRQSURYLVLRQ86& L 

       7KHSULQFLSDOFODLPLQWKHFRPSODLQWZKLFKDULVHVIURPWKHH[FOXVLRQWKDW&XVWRPV

HIIHFWXDWHGDIWHUGHWDLQLQJWKHPHUFKDQGLVHLVWREHDGMXGLFDWHGde novoLHRQWKHEDVLVRIWKH

UHFRUGPDGHEHIRUHWKHFRXUWQRWWKHDGPLQLVWUDWLYHUHFRUGRIWKHDJHQF\86& D 

%HFDXVHWKHGHWHQWLRQVULSHQHGLQWRH[FOXVLRQVWKHFRXUWGRHVQRWYLHZ&RXQW,,RIWKHFRPSODLQW

DVVWDWLQJDVHSDUDWHFODLPRYHUZKLFKMXULVGLFWLRQFRXOGH[LVWDFFRUGLQJWR86& L 

See Miller & Co.)GDW
&RXUW1R                                                                         3DJH


                             & 7KH&RPPLVVLRQ¶V0RWLRQWR,QWHUYHQH

          )RUWKHUHDVRQVGLVFXVVHGSUHYLRXVO\86& D JUDQWVWKLV&RXUWVXEMHFW

PDWWHUMXULVGLFWLRQRIWKLVDFWLRQZKLFKDULVHVXQGHUVHFWLRQRIWKH7DULII$FW,QWHUYHQWLRQ

LQDQDFWLRQWRFRQWHVWWKHGHQLDORIDSURWHVWLVSUHFOXGHGE\86& M  $ 

SURYLGLQJWKDW³QRSHUVRQPD\LQWHUYHQHLQDFLYLODFWLRQXQGHUVHFWLRQRIWKH7DULII$FW

RI´ 7KHUHIRUHWKH&RPPLVVLRQ¶VPRWLRQWRLQWHUYHQHPXVWEHGHQLHGSee Jazz Photo

Corp.)GDW

                                        ,,, &21&/86,21$1'25'(5

          )RUWKHUHDVRQVVHWIRUWKDERYHWKHFRXUWFRQFOXGHVWKDWLWLVSURYLGHGVXEMHFWPDWWHU

MXULVGLFWLRQRIWKLVDFWLRQE\86& D %HFDXVHLQWHUYHQWLRQLQWKLVFDVHLVSUHFOXGHG

E\VWDWXWHWKHFRXUWPXVWGHQ\WKH,7&¶VPRWLRQ8SRQFRQVLGHUDWLRQRIGHIHQGDQWV¶DQGWKH

&RPPLVVLRQ¶VPRWLRQVDQGDOOSDSHUVVXEPLWWHGLQWKLVFDVHDQGXSRQGXHGHOLEHUDWLRQLWLV

KHUHE\

       25'(5('WKDWGHIHQGDQWV¶PRWLRQWRGLVPLVV )HE (&)1REHDQG
KHUHE\LVGHQLHGDQGLWLVIXUWKHU

       25'(5('WKDWWKHPRWLRQWRLQWHUYHQHRIWKH86,QWHUQDWLRQDO7UDGH&RPPLVVLRQ
)HE (&)1REHDQGKHUHE\LVGHQLHG

                                                                BBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
                                                                 /s/ Timothy C. Stanceu
                                                                7LPRWK\&6WDQFHX
                                                                &KLHI-XGJH

'DWHG0DUFK
       1HZ<RUN1HZ<RUN
