The AI workspace for legal professionals
- Legal research with access to more than 1 million sources
- Document automation
- Matter management
- Hosted in the EU and Switzerland
Try it free for 14 days (10 questions/day during trial)
The AI workspace for legal professionals
Try it free for 14 days (10 questions/day during trial)
01-3841•03a0102p.06
7KH +RQRUDEOH 1DQF\ * (GPXQGV 8QLWHG 6WDWHV 'LVWULFW -XGJH IRU
WKH (DVWHUQ 'LVWULFW RI 0LFKLJDQ VLWWLQJ E\ GHVLJQDWLRQ
5(&200(1'(' )25 )8//7(;7 38%/,&$7,21
3XUVXDQW WR 6L[WK &LUFXLW 5XOH
(/(&7521,& &,7$7,21 )(' $SS 3 WK &LU
)LOH 1DPH DS
81,7('67$7(6&28572)$33($/6
)257+(6,;7+&,5&8,7
BBBBBBBBBBBBBBBBB
.,1*6 /2&$/ 6&+22/
',675,&7 %2$5' 2)
('8&$7,21
3ODLQWLII$SSHOOHH
Y
,6$$& =(/$=1<DQG&,1'<
=(/$=1<LQGLYLGXDOO\DQGDV
WKHSDUHQWVDQGQDWXUDO
JXDUGLDQVRI$ULHO=HOD]Q\
'HIHQGDQWV$SSHOODQWV
;!
1
1R
$SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW
IRUWKH6RXWKHUQ'LVWULFWRI2KLRDW&LQFLQQDWL
1R²6DQGUD6%HFNZLWK'LVWULFW-XGJH
$UJXHG0DUFK
'HFLGHGDQG)LOHG$SULO
%HIRUH0$57,1&KLHI&LUFXLW-XGJH52*(56&LUFXLW
-XGJH('081'6'LVWULFW-XGJH
.LQJV/RFDO6FKRROY=HOD]Q\HWDO 1R
BBBBBBBBBBBBBBBBB
&2816(/
$5*8(' 7KRPDV : -DFREV /87= &251(77
$/%5,1&.&LQFLQQDWL2KLRIRU$SSHOODQWV-0LFKDHO
)LVFKHU(11,652%(576 ),6&+(5&LQFLQQDWL2KLR
IRU$SSHOOHH21%5,()7KRPDV:-DFREV/LVD%DUEDUD
$YLURY/87=&251(77 $/%5,1&.&LQFLQQDWL2KLR
*UHJRU\$GDP1DSROLWDQR/87=%267(5 &251(7(7
&LQFLQQDWL2KLRIRU$SSHOODQWV-0LFKDHO)LVFKHU(11,6
52%(576 ),6&+(5&LQFLQQDWL2KLRIRU$SSHOOHH
BBBBBBBBBBBBBBBBB
23,1,21
BBBBBBBBBBBBBBBBB
%2<&( ) 0$57,1 -5 &KLHI &LUFXLW -XGJH 7KLV
DSSHDODULVHVIURPDGHFLVLRQRIWKHGLVWULFWFRXUWILQGLQJWKDW
.LQJV/RFDO6FKRRO'LVWULFWZDVLQDSSURSULDWHO\RUGHUHGWR
SD\ IRU D SULYDWH VFKRRO IRU $ULHO =HOD]Q\ SXUVXDQW WR
SURFHHGLQJVXQGHUWKH,QGLYLGXDOVZLWK'LVDELOLWLHV(GXFDWLRQ
$FW86&HWVHT$ULHO¶VSDUHQWV&LQG\DQG
,VDDF =HOD]Q\ DSSHDO WKH GLVWULFW FRXUW¶V ILQGLQJ WKDW WKH
LQGLYLGXDOL]HG HGXFDWLRQDO SURJUDP SURYLGHG $ULHO D IUHH
DSSURSULDWHSXEOLFHGXFDWLRQDVUHTXLUHGE\WKH$FW
$WWKHWLPHRIWKHLVVXHVLQTXHVWLRQ$ULHOZDVDQLQWK
JUDGHUDW.LQJV+LJK6FKRROLQ2KLR$ULHOLVDFKLOGZLWKD
TXDOLILHGGLVDELOLW\XQGHUWKHGHILQLWLRQRIWKH$FWEHFDXVHKH
KDVDSRWHQWFRPELQDWLRQRIWKUHHGLVRUGHUV+HKDVREVHVVLYH
FRPSXOVLYH GLVRUGHU 7RXUHWWH 6\QGURPH DQG $VSHUJHU¶V
6\QGURPH$Q\RQHRIWKHVHGLVRUGHUVZRXOGPDNHOLIHPRUH
GLIILFXOWIRUDFKLOGEXWWKHFRLQFLGHQFHRIDOOWKUHHGLVRUGHUV
LVYHU\FRPSOH[
$ULHOHQUROOHGLQ.LQJVLQWKHIDOORIDQGLPPHGLDWHO\
.LQJVFRQGXFWHGDPXOWLIDFWRUHGHYDOXDWLRQRIKLPLQRUGHU
WR IDVKLRQ DQ LQGLYLGXDOL]HG HGXFDWLRQ SURJUDP $Q
LQGLYLGXDOL]HGHGXFDWLRQSURJUDPZDVGHYLVHGIRU$ULHOIRU
-- 1 of 6 --
1R .LQJV/RFDO6FKRROY=HOD]Q\HWDO
WKH VHYHQWK DQG WKHQ IRU WKH HLJKWK JUDGHV $ULHO KDG
VXFFHVVIXO \HDUV ERWK \HDUV E\ DOO DFFRXQWV +H UHFHLYHG
SDVVLQJ JUDGHV LQ DOO KLV FODVVHV DQG KH EHJDQ WR PDNH
SURJUHVVLQKLVVRFLDOL]DWLRQVNLOOV
,QWKHHDUO\IDOORI&LQG\=HOD]Q\DQGWHDFKHUVIURP
WKH KLJK VFKRRO IRUPXODWHG $ULHO¶V SURJUDP 7KH
LQGLYLGXDOL]HGHGXFDWLRQSURJUDPWKH\GHYHORSHGIRU$ULHO¶V
IUHVKPDQ \HDU RI KLJK VFKRRO GLG QRW GLIIHU WUHPHQGRXVO\
IURP WKDW RI KLV HLJKWK JUDGH \HDU $FDGHPLFDOO\ DQG LQ
WHUPV RI $ULHO¶V EHKDYLRU SHUIRUPDQFH DQG SURJUHVV WKH
SURJUDPVZHUHYLUWXDOO\WKHVDPH
6KRUWO\DIWHUWKHSURJUDPZDVILQDOL]HGDQGDGRSWHGWKH
=HOD]Q\V IHOW $ULHO EHJDQ KDYLQJ WURXEOH DW VFKRRO +LV
SDUHQWVUHSRUWHGWKDWKHZDVUHSHDWHGO\YLFWLPL]HGDWVFKRRO
DQGEHFDPHWKHREMHFWRIWHDVLQJE\VHYHUDOFODVVPDWHV+LV
EHKDYLRU DW KRPH GHWHULRUDWHG DQG WKH SK\VLFDO
PDQLIHVWDWLRQVRIKLVGLVRUGHUVLQFUHDVHG+LVSDUHQWVZHUH
ZRUULHG DERXW KLP DQG WKH\ FRQWDFWHG WKH KLJK VFKRRO WR
UHTXHVW DQ HPHUJHQF\ LQGLYLGXDOL]HG HGXFDWLRQ SURJUDP
PHHWLQJ 2Q 1RYHPEHU WKH VFKRRO GLVWULFW DQG
&LQG\=HOD]Q\PHWWRGLVFXVV$ULHO¶VSURJUDP7KHVFKRRO
GLVWULFW DJUHHG DW &LQG\ =HOD]Q\¶V UHTXHVW WR KLUH D
FRQVXOWDQW WR HYDOXDWH $ULHO KLV QHHGV DQG WKH SURJUDP
$XWLVP&RQVXOWDWLRQDQG7UDLQLQJZDVKLUHGLQ-DQXDU\RI
DQG LW VXEPLWWHG LWV UHSRUW WR WKH VFKRRO DQG $ULHO¶V
SDUHQWVLQ0DUFK
.LQJV KHOG WKUHH PHHWLQJV IROORZLQJ VXEPLVVLRQ RI WKH
FRQVXOWDQW¶VUHSRUW$WWKHILUVWWZRPHHWLQJV$ULHO¶VSDUHQWV
ZHUH LQYLWHG WR DWWHQG DQG WKH JURXS GLVFXVVHG $ULHO¶V
HGXFDWLRQSURJUDPDQGWKHUHVXOWVRIWKHHYDOXDWLRQ7KHWKLUG
PHHWLQJ.LQJVPDLQWDLQVZDVGHVLJQHGDVDQLQVHUYLFHIRU
WHDFKHUVFRQGXFWHGE\WKHFRQVXOWDQWVLQRUGHUWRHGXFDWHWKH
VWDII DW .LQJV RQ WKH NLQGV RI SUREOHPV $ULHO IDFHG 7KH
=HOD]Q\VPDLQWDLQWKLVZDVDQRWKHULQGLYLGXDOL]HGHGXFDWLRQ
SURJUDP PHHWLQJ VSHFLILFDOO\ DERXW $ULHO DQG WKDW WKHLU
H[FOXVLRQIURPLWYLRODWHGWKHLUULJKWVXQGHUWKH,QGLYLGXDOV
ZLWK'LVDELOLWLHV(GXFDWLRQ$FW7KH=HOD]Q\VUHTXHVWHGD
.LQJV/RFDO6FKRROY=HOD]Q\HWDO 1R
GXHSURFHVVKHDULQJXQGHUWKH$FWWRDGGUHVVWKLVJULHYDQFH
7KH\ DVVHUWHG WKDW .LQJV FRXOG QRW SURYLGH $ULHO DQ
DSSURSULDWHHGXFDWLRQXQGHUWKHPHDQLQJRIWKH$FWDQGWKH\
DVNHG WKDW WKH VFKRRO GLVWULFW SD\ IRU $ULHO WR DWWHQG WKH
3DWKZD\6FKRROLQ3HQQV\OYDQLD7KH\HQUROOHG$ULHOIRUWKH
IDOO
:KLOHDW.LQJV$ULHOFRQWLQXHGWRUHFHLYHJRRGJUDGHVDQG
WRHDUQFUHGLWWRZDUGJUDGXDWLRQDQG.LQJVLQVLVWVWKDWKHZDV
PDNLQJSURJUHVVWKURXJKRXWWKH\HDU+HZDVSDUWLFLSDWLQJ
HIIHFWLYHO\LQVPDOOJURXSVHWWLQJVLQERWKKLVUHVRXUFHURRP
DQGPDLQVWUHDPHGFODVVHV$ULHODOVRKDGDQDIWHUVFKRROMRE
LQWKHVFKRROOLEUDU\ZKHUHKHSHUIRUPHGKLVDVVLJQHGGXWLHV
ZLWK OLWWOH VXSHUYLVLRQ +H RFFDVLRQDOO\ DVVLVWHG RWKHU
VWXGHQWVLQXVLQJWKHFRPSXWHUVLQWKHOLEUDU\
1HYHUWKHOHVV WKH LPSDUWLDO KHDULQJ RIILFHU XSRQ
FRQGXFWLQJWKHGXHSURFHVVKHDULQJLQ$XJXVWDQG6HSWHPEHU
RI KHOG WKDW .LQJV YLRODWHG ERWK LWV SURFHGXUDO DQG
VXEVWDQWLYHREOLJDWLRQVWRWKH=HOD]Q\VXQGHUWKH,QGLYLGXDOV
ZLWK'LVDELOLWLHV(GXFDWLRQ$FW$ULHOZDVGHSULYHGDIUHH
DSSURSULDWHSXEOLFHGXFDWLRQDVUHTXLUHGE\VWDWXWH.LQJV
UHTXHVWHGVWDWHOHYHOUHYLHZRIWKHLPSDUWLDOKHDULQJRIILFHU¶V
GHFLVLRQ7KHILUVWGXHSURFHVVKHDULQJSURGXFHGDERXW
SDJHV RI WHVWLPRQ\ DQG DERXW VHYHQ KXQGUHG SDJHV RI
H[KLELWV7KHVWDWHOHYHOUHYLHZRIILFHUGHQLHG.LQJVWKHULJKW
WRSUHVHQWPRUHHYLGHQFHDQGRQ-XQHWKHVWDWHOHYHO
RIILFHU DIILUPHG WKH LPSDUWLDO KHDULQJ RIILFHU¶V RULJLQDO
GHFLVLRQ7KHGLVWULFWFRXUWRYHUWXUQHGWKLVGHFLVLRQ
7KHVWDQGDUGRIUHYLHZIRUFDVHVXQGHUWKH,QGLYLGXDOVZLWK
'LVDELOLWLHV(GXFDWLRQ$FWLVGLVWLQFWLYH$VWKLVFRXUWVDLGLQ
7KRPDVY&LQFLQQDWL%RDUGRI(GXFDWLRQ)G
WK&LU WKHVHPLQDO6XSUHPH&RXUWFDVH%RDUGRI
(GXFDWLRQY5RZOH\86 HVWDEOLVKHGWKDW
>Z@KHQ UHYLHZLQJ FDVHV EURXJKW XQGHU WKH $FW FRXUWV
PXVWGHWHUPLQHZKHWKHUWKHVWDWHKDVFRPSOLHGZLWKWKH
$FW V SURFHGXUDO UHTXLUHPHQWV DQG ZKHWKHU WKH ,(3
>LQGLYLGXDOL]HG HGXFDWLRQ SURJUDP@ LV UHDVRQDEO\
FDOFXODWHG WR HQDEOH WKH FKLOG WR UHFHLYH HGXFDWLRQDO
-- 2 of 6 --
1R .LQJV/RFDO6FKRROY=HOD]Q\HWDO
EHQHILWV :KLOH WKH IRFXV RI WKH LQTXLU\ LV FOHDU WKH
DSSURSULDWHVWDQGDUGRIUHYLHZLVPRUHHOXVLYH
:HZHQWRQWRVD\WKDWFDVHVXQGHUWKLV$FWUHTXLUHDGH
QRYRUHYLHZRIWKHGXHSURFHVVKHDULQJEXWWKDWWKHILQGLQJV
RIWKHVWDWHDGPLQLVWUDWLYHSURFHHGLQJVVKRXOGEHJLYHQGXH
ZHLJKW7KRPDV)GDW7KLVVWDQGDUGRIUHYLHZLV
NQRZQ DV ³PRGLILHG GH QRYR´ UHYLHZ &OHYHODQG
+HLJKWV8QLYHUVLW\+HLJKWV&LW\6FK'LVWY%RVV)G
WK&LU $VWKLVFRXUWFRQFOXGHGLQ7KRPDV
³$OWKRXJKWKHSURFHGXUDOSRVWXUHRIWKLVFDVHUHTXLUHVXVWR
UHYLHZ WKH GLVWULFW FRXUW V GHFLVLRQ GH QRYR ZH GR VR
FRJQL]DQWRIWKHIDFWWKDWZHPD\QRWVXEVWLWXWHRXUQRWLRQRI
VRXQGHGXFDWLRQDOSROLF\IRUWKDWRIWKHVFKRRODXWKRULWLHVDQG
DUHUHTXLUHGLQVWHDGWRJLYHGXHZHLJKW´WRWKHGHFLVLRQRI
WKHVWDWHOHYHOUHYLHZRIILFHU7KRPDV)GDW$V
ZHVDLGLQDUHFHQWFDVH0F/DXJKOLQY+ROW3XEOLF6FKRROV
%RDUGRI(GXFDWLRQ)G WK&LU
7KH DPRXQW RI ZHLJKW GXH WR DGPLQLVWUDWLYH ILQGLQJV
GHSHQGVRQZKHWKHUWKHILQGLQJLVEDVHGRQHGXFDWLRQDO
H[SHUWLVH /HVV ZHLJKW LV GXH WR DQ DJHQF\ V
GHWHUPLQDWLRQV RQ PDWWHUV IRU ZKLFK HGXFDWLRQDO
H[SHUWLVHLVQRWUHOHYDQWEHFDXVHDIHGHUDOFRXUWLVMXVWDV
ZHOOVXLWHGWRHYDOXDWHWKHVLWXDWLRQ0RUHZHLJKWLVGXH
WR DQ DJHQF\ V GHWHUPLQDWLRQV RQ PDWWHUV IRU ZKLFK
HGXFDWLRQDOH[SHUWLVHLVUHOHYDQW
:KLOH WKLV DSSHDUV WR EH D FRPSOH[ VWDQGDUG ZH KDYH
DUWLFXODWHGKRZWRLPSOHPHQWLW:HVDLG³>$@GLVWULFWFRXUW
LVUHTXLUHGWRPDNHILQGLQJVRIIDFWEDVHGRQDSUHSRQGHUDQFH
RIWKHHYLGHQFHFRQWDLQHGLQWKHFRPSOHWHUHFRUGZKLOHJLYLQJ
VRPH GHIHUHQFH WR WKH IDFW ILQGLQJV RI WKH DGPLQLVWUDWLYH
SURFHHGLQJV´.QDEOHY%H[OH\&LW\6FK'LVW)G
WK&LU 7KLVFRXUWZHQWRQWRVD\ZH³DSSO>\@
DFOHDUO\HUURQHRXVVWDQGDUGRIUHYLHZWRWKHGLVWULFWFRXUW V
ILQGLQJV RI IDFW DQG D GH QRYR VWDQGDUG RI UHYLHZ WR LWV
FRQFOXVLRQVRIODZ´,G
7KH 6XSUHPH &RXUW LQ 5RZOH\ VDLG WKDW LQ SDVVLQJ WKH
,QGLYLGXDOVZLWK'LVDELOLWLHV(GXFDWLRQ$FW³&RQJUHVVVRXJKW
.LQJV/RFDO6FKRROY=HOD]Q\HWDO 1R
SULPDULO\WRPDNHSXEOLFHGXFDWLRQDYDLODEOHWRKDQGLFDSSHG
FKLOGUHQ %XW LQ VHHNLQJ WR SURYLGH VXFK DFFHVV WR SXEOLF
HGXFDWLRQ &RQJUHVV GLG QRW LPSRVH XSRQ WKH 6WDWHV DQ\
JUHDWHU VXEVWDQWLYH HGXFDWLRQDO VWDQGDUG WKDQ ZRXOG EH
QHFHVVDU\WRPDNHVXFKDFFHVVPHDQLQJIXO´86DW
7KH&RXUWZHQWRQWRVD\³>7@KHLQWHQWRIWKH$FWZDVPRUH
WRRSHQWKHGRRURISXEOLFHGXFDWLRQWRKDQGLFDSSHGFKLOGUHQ
RQDSSURSULDWHWHUPVWKDQWRJXDUDQWHHDQ\SDUWLFXODUOHYHORI
HGXFDWLRQRQFHLQVLGH´,G)RURXUSXUSRVHVLQWKLVFDVHWKH
$FW¶VLQWHQWPDQGDWHVDQVZHULQJWZRTXHVWLRQV³)LUVWKDVWKH
6WDWHFRPSOLHGZLWKWKHSURFHGXUHVVHWIRUWKLQWKH$FW"$QG
VHFRQGLVWKHLQGLYLGXDOL]HGHGXFDWLRQDOSURJUDPGHYHORSHG
WKURXJKWKH$FW VSURFHGXUHVUHDVRQDEO\FDOFXODWHGWRHQDEOH
WKHFKLOGWRUHFHLYHHGXFDWLRQDOEHQHILWV"´,GDWVHH
DOVR0F/DXJKOLQ)GDW$VWKH6XSUHPH&RXUW
FRQFOXGHGLQ5RZOH\³,IWKHVHUHTXLUHPHQWVDUHPHWWKH6WDWH
KDVFRPSOLHGZLWKWKHREOLJDWLRQVLPSRVHGE\&RQJUHVVDQG
WKH FRXUWV FDQ UHTXLUH QR PRUH´ 86 DW
6SHFLILFDOO\WKLVPHDQV³>W@KHVWDWXWHPD\QRWUHTXLUHSXEOLF
VFKRROV WR PD[LPL]H WKH SRWHQWLDO RI GLVDEOHG VWXGHQWV
FRPPHQVXUDWH ZLWK WKH RSSRUWXQLWLHV SURYLGHG WR RWKHU
FKLOGUHQ´5HQQHUY%RDUGRI(GXFRI3XEOLF6FKRROVRI&LW\
RI$QQ$UERU)G WK&LU
7KHVWDWXWHDW86& G $ UHTXLUHVWKDWDQ
LQGLYLGXDOL]HG HGXFDWLRQ SURJUDP LQFOXGH DPRQJ RWKHU
WKLQJV
L DVWDWHPHQWRIWKHFKLOG VSUHVHQWOHYHOVRIHGXFDWLRQDO
SHUIRUPDQFH LL DVWDWHPHQWRIPHDVXUDEOHDQQXDO
JRDOV LQFOXGLQJ EHQFKPDUNV RU VKRUWWHUP REMHFWLYHV
LLL DVWDWHPHQWRIWKHVSHFLDOHGXFDWLRQDQGUHODWHG
VHUYLFHV DQG VXSSOHPHQWDU\ DLGV DQG VHUYLFHV WR EH
SURYLGHGWRWKHFKLOGRURQEHKDOIRIWKH FKLOGDQGD
VWDWHPHQWRIWKHSURJUDPPRGLILFDWLRQVRUVXSSRUWVIRU
VFKRROSHUVRQQHOWKDWZLOOEHSURYLGHGIRUWKHFKLOG
LY DQ H[SODQDWLRQ RI WKH H[WHQW LI DQ\ WR ZKLFK WKH
FKLOGZLOOQRWSDUWLFLSDWHZLWKQRQGLVDEOHGFKLOGUHQLQWKH
UHJXODUFODVVDQGLQWKHDFWLYLWLHVGHVFULEHGLQFODXVH LLL
YLLL D VWDWHPHQW RI , KRZ WKH FKLOG V SURJUHVV
-- 3 of 6 --
1R .LQJV/RFDO6FKRROY=HOD]Q\HWDO
WRZDUGWKHDQQXDOJRDOVGHVFULEHGLQFODXVH LL ZLOOEH
PHDVXUHG DQG ,, KRZ WKH FKLOG V SDUHQWV ZLOO EH
UHJXODUO\ LQIRUPHG E\ VXFK PHDQV DV SHULRGLF UHSRUW
FDUGV DWOHDVWDVRIWHQDVSDUHQWVDUHLQIRUPHGRIWKHLU
QRQGLVDEOHGFKLOGUHQ VSURJUHVV
7KHVH³DUHUHTXLUHPHQWVE\ZKLFKWKHDGHTXDF\RIDQ,(3LV
WR EH MXGJHG DOWKRXJK PLQRU WHFKQLFDO YLRODWLRQV PD\ EH
H[FXVHG´ &OHYHODQG +HLJKWV )G DW )XUWKHU
³>W@KLV&RXUWKDVGHWHUPLQHGWKDWDSSHOODQWDQGKLVSDUHQWV
EHDU WKH EXUGHQ RI SURYLQJ E\ D SUHSRQGHUDQFH RI WKH
HYLGHQFHWKDWWKH,(3GHYLVHGE\WKH%RDUGLVLQDSSURSULDWH´
'RHY%RDUGRI(GXFRI7XOODKRPD&LW\6FK)G
WK&LU 0F/DXJKOLQ)GDW
7KH =HOD]Q\V FODLP WKDW WKH LQGLYLGXDOL]HG HGXFDWLRQ
SURJUDPWKDW.LQJVGHYLVHGIRU$ULHOZDVGHILFLHQWLQPDQ\
UHVSHFWV7KH\VD\LWSURYLGHGQRDFDGHPLFJRDOVIRU$ULHO
DQG IDLOHG WR SURYLGH EHQFKPDUNV IRU GHWHUPLQLQJ $ULHO¶V
VXFFHVV 7KH =HOD]Q\V DOVR FODLP WKDW WKH VWDII .LQJV
SURYLGHGIRUGHYHORSLQJWKHSURJUDPZDVLOOHTXLSSHGWRGHDO
ZLWKWKHVLWXDWLRQ$ULHO¶VWKUHHGLVRUGHUVSUHVHQWHG
$VWRWKHILUVWWZRRIWKHVHFODLPVWKHGLVWULFWFRXUWIRXQG
WKDWWKHWHDPWKDWIRUPXODWHG$ULHO¶VLQGLYLGXDOL]HGHGXFDWLRQ
SURJUDPIRUWKHQLQWKJUDGHZKLFKLQFOXGHG&LQG\=HOD]Q\
FRQFOXGHGWKDWLWZDVLPSRUWDQWIRUWKHSURJUDPWRIRFXVRQ
VRFLDOL]DWLRQDQGRUJDQL]DWLRQDOJRDOVUDWKHUWKDQDFDGHPLF
RQHV $V WR WKH ODWWHU RI WKHVH DVVHUWLRQV LQ 5HQQHU WKLV
FRXUW IRXQG WKDW WKH WHDP GHYHORSLQJ WKH SODLQWLII FKLOG¶V
HGXFDWLRQSURJUDPZDVZHOOSUHSDUHGWRGRVREHFDXVHWKDW
WHDP ³FRQVWLWXWHG D JURXS ZKLFK FRXOG PDNH DSSURSULDWH
SODFHPHQWGHFLVLRQVLQFOXGLQJDQ,(3DQGLQFOXGHGμSHUVRQV
NQRZOHGJHDEOHDERXWWKHFKLOGWKHPHDQLQJRIWKHHYDOXDWLRQ
GDWDDQGWKHSODFHPHQWRSWLRQV¶´)GDW FLWLQJ
&)5 D ,Q WKDW FDVH ZH VDLG WKDW WKH
SURJUDPGLGQRWIDLOVLPSO\EHFDXVHWKHWHDPGLGQRWFRQVXOW
ZLWKWKHSDUHQWV¶H[SHUW,G,QDVLPLODUFDVHWKLVFRXUWVDLG
³:HUHMHFWWKHFRQWHQWLRQWKDWWKH'LVWULFWPXVWLQFOXGHDQ
H[SHUW LQ WKH SDUWLFXODU WHDFKLQJ PHWKRG SUHIHUUHG E\ WKH
.LQJV/RFDO6FKRROY=HOD]Q\HWDO 1R
SDUHQWVLQRUGHUWRVDWLVI\WKHUHTXLUHPHQWWKDWWKH>FRPPLWWHH
GHYHORSLQJ WKH SURJUDP@ LQFOXGH SHUVRQV NQRZOHGJHDEOH
DERXW μSODFHPHQW RSWLRQV¶´ 'RQJ Y %RDUG RI (GXF RI
5RFKHVWHU &RPPXQLW\ 6FK )G WK &LU
,Q'RQJWKLVFRXUWDOVRIRXQGWKDWWKHFKLOG¶VHGXFDWLRQ
SURJUDPGLGSURYLGHDIUHHDSSURSULDWHSXEOLFHGXFDWLRQHYHQ
ZKHUHWKHSURJUDPDOOHJHGO\³IDLOHGWRFRQVLGHU>WKHFKLOG¶V@
μXQLTXHQHHGV¶EXWUDWKHURQO\RIIHUHGDμVWDQGDUG¶DXWLVWLF
LPSDLUHGSURJUDPEDVHGRQZKDWPLJKWEHEHVWIRUDμW\SLFDO¶
DXWLVWLFFKLOG´,GDW,WPXVWEHQRWHGKRZHYHUWKDW
$ULHO¶V³XQLTXHQHHGV´PD\EHPRUHFRPSOLFDWHGWKDQRWKHU
FKLOGUHQ¶V$³VWDQGDUG´DXWLVWLFSURJUDPZRXOGRQO\EHJLQ
WRFRYHU$ULHO¶VGLVRUGHUVDQGWKHLUPDQLIHVWDWLRQVDQGWKH
RFFXUUHQFH RI DOO WKUHH GLVRUGHUV LQ RQH FKLOG DSSHDUV
XQFRPPRQHQRXJKWKDWWKHUHPD\EHQR³VWDQGDUG´SURJUDP
DWDOOIRUGHDOLQJZLWKDFKLOGOLNH$ULHO
.LQJVDUJXHVWKDW$ULHO¶VHGXFDWLRQSURJUDPZDVSURYLGLQJ
KLPDIUHHDSSURSULDWHSXEOLFHGXFDWLRQ7KHVFKRROGLVWULFW
RIIHUV DV SURRI WKH IDFW WKDW $ULHO DFKLHYHG SDVVLQJ JUDGHV
WKURXJKRXWQLQWKJUDGHLQKLVDFDGHPLFFODVVHV7KH6XSUHPH
&RXUWKDVIRXQGWKDWDGYDQFHPHQWLVVWURQJHYLGHQFHWKDWD
FKLOG LV UHFHLYLQJ D PHDQLQJIXO HGXFDWLRQDO H[SHULHQFH
DOWKRXJKLWKDVUHIXVHGWRKROG³WKDWHYHU\KDQGLFDSSHGFKLOG
ZKR LV DGYDQFLQJ IURP JUDGH WR JUDGH LQ D UHJXODU SXEOLF
VFKRROV\VWHPLVDXWRPDWLFDOO\UHFHLYLQJDμIUHHDSSURSULDWH
SXEOLFHGXFDWLRQ¶´5RZOH\86DWQ.LQJV
KRZHYHUDVVHUWVWKDW$ULHOZDVDFKLHYLQJVXFFHVVLQVFKRRO
DQGKHZDVKDYLQJQRPRUHGLVFLSOLQHSUREOHPVWKDQKHGLGLQ
HLJKWK JUDGH ,Q IDFW KH KDG RQH LQVFKRRO VXVSHQVLRQ LQ
QLQWKJUDGHDVFRPSDUHGWRWZRLQHLJKWK
,Q FRQWUDVW $ULHO¶V SDUHQWV GLG QRW IHHO WKH \HDU ZDV
VXFFHVVIXO DQG &LQG\ =HOD]Q\ QRWHG WKDW WKH IDPLO\ ZDV
KDYLQJ DQ LQFUHDVLQJO\ GLIILFXOW WLPH ZLWK $ULHO ZKHQ KH
DUULYHG KRPH IURP VFKRRO :H KDYH VDLG KRZHYHU LQ
7HQQHVVHH 'HSDUWPHQW RI 0HQWDO +HDOWK DQG 0HQWDO
-- 4 of 6 --
1R .LQJV/RFDO6FKRROY=HOD]Q\HWDO
5HWDUGDWLRQY3DXO%)G WK&LU
FLWDWLRQVRPLWWHG
7RDVVHVVZKHWKHUDUHVLGHQWLDOSODFHPHQWLVDSSURSULDWH
D GHWHUPLQDWLRQ PXVW EH PDGH ZKHWKHU IXOO WLPH
UHVLGHQWLDO SODFHPHQW LV QHFHVVDU\ IRU HGXFDWLRQDO
SXUSRVHV DV RSSRVHG WR PHGLFDO VRFLDO RU HPRWLRQDO
SUREOHPV WKDW DUH VHSDUDEOH IURP WKH OHDUQLQJ
SURFHVV8QGHUWKH$FWUHVLGHQWLDOSODFHPHQWLVDW
QRFRVWWRWKHSDUHQWVRIWKHFKLOGRQO\LILWLVQHFHVVDU\
IRUHGXFDWLRQDOSXUSRVHV
7KHSV\FKRORJLVW¶VQRWHVIURPKLVPHHWLQJVZLWK$ULHODQGKLV
PRWKHULQWKHIDOORILQGLFDWHWKDWKLVPRWKHUIHOW$ULHO¶V
EHKDYLRUDWKRPHZDVPDNLQJKHUOLIH³DOLYLQJKHOO´6KH
LQGLFDWHGKRZHYHUWKDWVKHZDVVDWLVILHGZLWK$ULHO¶VVFKRRO
VLWXDWLRQLQ'HFHPEHURIVKRUWO\DIWHUKDYLQJUHTXHVWHG
DQHPHUJHQF\PHHWLQJRIWKHHGXFDWLRQSURJUDPFRPPLWWHH
DQGDQLQGHSHQGHQWFRQVXOWDQW¶VHYDOXDWLRQRIWKHSURJUDP
8OWLPDWHO\WKHTXHVWLRQEHFRPHVZKHWKHURUQRW$ULHO¶V
LQGLYLGXDOL]HGHGXFDWLRQSURJUDPZDVIRUPXODWHGLQRUGHUIRU
$ULHOWRUHFHLYHVRPHHGXFDWLRQDOEHQHILW6HH0F/DXJKOLQ
)G DW 7KH GLVWULFW FRXUW IRXQG EDVHG RQ WKH
HYLGHQFH .LQJV SUHVHQWHG WKDW $ULHO UHFHLYHG HGXFDWLRQDO
EHQHILW IURP KLV \HDU DW .LQJV XQGHU KLV LQGLYLGXDOL]HG
HGXFDWLRQSURJUDP$VWKHGLVWULFWFRXUWIXUWKHUQRWHGWKH
=HOD]Q\V¶ H[SHUWV VKRZHG KRZ WR PD[LPL]H $ULHO¶V
DFKLHYHPHQW LQ DQ LGHDO VHWWLQJ EXW WKH $FW GRHV QRW
FRPPDQGWKDW.LQJVGRVR6HH5HQQHU)GDW
7KH=HOD]Q\VQH[WDUJXHWKDW.LQJVYLRODWHG$ULHO¶VULJKWV
XQGHUWKH$FWZKHQ.LQJVIDLOHGWRUHYLVH$ULHO¶VHGXFDWLRQ
SURJUDP 7KH =HOD]Q\V FODLP WKH SURJUDP ZDV FOHDUO\
LQVXIILFLHQWDVHYLGHQFHGE\&LQG\=HOD]Q\¶VUHTXHVWLQWKH
IDOOIRUDQHPHUJHQF\PHHWLQJUHJDUGLQJWKHSURJUDP6KH
FODLPV $ULHO¶V EHKDYLRU ZDV GHWHULRUDWLQJ DQG VKH ZDV
FRQFHUQHGIRUKLVSK\VLFDODQGHPRWLRQDOZHOOEHLQJDW.LQJV
+LJK6FKRRO7KH=HOD]Q\VRIIHUWKHFRQVXOWDQWV¶UHSRUWRQ
$ULHO¶V SURJUDP DV IXUWKHU SURRI RI LWV IDLOLQJV 7KH
.LQJV/RFDO6FKRROY=HOD]Q\HWDO 1R
FRQVXOWDQWV VXJJHVWHG P\ULDG ZD\V WR LPSURYH $ULHO¶V
SURJUDP
7KH,QGLYLGXDOVZLWK'LVDELOLWLHV(GXFDWLRQ$FWUHTXLUHVDW
86& G
5HYLHZ DQG UHYLVLRQ RI ,(3 $ ,Q JHQHUDO 7KH
ORFDOHGXFDWLRQDODJHQF\VKDOOHQVXUHWKDWWKH,(3
7HDP± L UHYLHZVWKHFKLOG V,(3SHULRGLFDOO\EXWQRW
OHVVWKDQDQQXDOO\WRGHWHUPLQHZKHWKHUWKHDQQXDOJRDOV
IRUWKHFKLOGDUHEHLQJDFKLHYHGDQG LL UHYLVHVWKH,(3
DV DSSURSULDWH WR DGGUHVV± , DQ\ ODFN RI H[SHFWHG
SURJUHVV WRZDUG WKH DQQXDO JRDOV DQG LQ WKH JHQHUDO
FXUULFXOXP ZKHUH DSSURSULDWH ,, WKH UHVXOWV RI DQ\
UHHYDOXDWLRQ FRQGXFWHG XQGHU WKLV VHFWLRQ
,,, LQIRUPDWLRQDERXWWKHFKLOGSURYLGHGWRRUE\WKH
SDUHQWV ,9 WKH FKLOG V DQWLFLSDWHG QHHGV RU
9 RWKHUPDWWHUV
7KLVLVWKHVWDQGDUGXQGHUZKLFKWKHIDLOXUHWRUHYLVH$ULHO¶V
LQGLYLGXDOL]HGHGXFDWLRQSURJUDPVKRXOGEHPHDVXUHG6HH
DOVR&)57KHIHGHUDOFRXUWVKDYHVDLGOLWWOH
RQWKHIDLOXUHWRUHYLVHSURJUDPVEXWWKHVFKRROGLVWULFWLV
UHTXLUHGWRUHYLVHWKHSURJUDPVDVDSSURSULDWH.LQJVGLG
UHYLVH$ULHO¶VSURJUDPDIWHUWKHFRQVXOWDQWV¶UHSRUW$OWKRXJK
LW GLG QRW LPSOHPHQW HYHU\ FKDQJH UHFRPPHQGHG E\ WKH
FRQVXOWDQWVLWLPPHGLDWHO\PDGHPLQRUFKDQJHVDQGEHJDQ
SODQQLQJDQGWUDLQLQJIRUPRUHVLJQLILFDQWFKDQJHVLQWLPHIRU
$ULHO¶VQHZLQGLYLGXDOL]HGHGXFDWLRQSURJUDPWKHIROORZLQJ
IDOO
7KH=HOD]Q\VQH[WFODLPWKDW.LQJVIDLOHGWRFRPSO\ZLWK
WKHSURFHGXUDOUHTXLUHPHQWVRIWKH$FW7KH=HOD]Q\VFODLP
WKDWWKH\ZHUHLPSURSHUO\H[FOXGHGIURPWKHWKLUGPHHWLQJ
DERXW$ULHO¶VHGXFDWLRQSURJUDP7KLVFRXUWKDVVDLG³:KLOH
ZHVWULFWO\UHYLHZDQ,(3IRUSURFHGXUDOFRPSOLDQFHWHFKQLFDO
GHYLDWLRQVGRQRWUHQGHUDQ,(3LQYDOLG´'RQJ)GDW
7KH$FWUHTXLUHV³DQRSSRUWXQLW\IRUWKHSDUHQWVRID
FKLOG ZLWK D GLVDELOLW\ WR SDUWLFLSDWH LQ PHHWLQJV ZLWK
UHVSHFW WR WKH LGHQWLILFDWLRQ HYDOXDWLRQ DQG HGXFDWLRQDO
SODFHPHQWRIWKHFKLOGDQGWKHSURYLVLRQRIDIUHHDSSURSULDWH
-- 5 of 6 --
1R .LQJV/RFDO6FKRROY=HOD]Q\HWDO
SXEOLFHGXFDWLRQWRVXFKFKLOG´86& E
7KLVFRXUWKDVIRXQGWKDW³>R@SSRUWXQLW\IRUSDUWLFLSDWLRQE\
SDUHQWVLVDQLPSRUWDQWDVSHFW´5HQQHU)GDW
1HYHUWKHOHVVSDUHQWSDUWLFLSDWLRQLQPHHWLQJVLVFODULILHGE\
WKHLPSOHPHQWLQJUHJXODWLRQV³$PHHWLQJGRHVQRWLQFOXGH
LQIRUPDO RU XQVFKHGXOHG FRQYHUVDWLRQV LQYROYLQJ SXEOLF
DJHQF\ SHUVRQQHO DQG FRQYHUVDWLRQV RQ LVVXHV VXFK DV
WHDFKLQJ PHWKRGRORJ\ OHVVRQ SODQV RU FRRUGLQDWLRQ RI
VHUYLFH SURYLVLRQ LI WKRVH LVVXHV DUH QRW DGGUHVVHG LQ WKH
FKLOG V,(3´&)5 E .LQJVFODLPVWKDW
WKHWKLUGPHHWLQJZDVLQVHUYLFHZRUNWRWUDLQWKHWHDFKHUVLQ
DFFRUGDQFH ZLWK WKH UHFRPPHQGDWLRQV RI WKH FRQVXOWDQWV¶
UHSRUW EXW WKH =HOD]Q\V FODLP WKH PHHWLQJ ZDV WR UHYLVH
$ULHO¶VLQGLYLGXDOL]HGHGXFDWLRQSODQ
$ VLPLODU VLWXDWLRQ DURVH LQ %XULORYLFK Y %RDUG RI
(GXFDWLRQ RI /LQFROQ &RQVROLGDWHG 6FKRROV )G
WK&LU ,QWKDWFDVHWKLVFRXUWIRXQGWKDWWKHSDUHQWV
GLGQRWVKRZWKH\ZHUHSUHYHQWHGIURPSDUWLFLSDWLQJLQWKH
GHYHORSPHQWRIWKHLUFKLOG¶VHGXFDWLRQSURJUDPZKHUHWKH\
DWWHQGHG VHYHUDO PHHWLQJV RQ WKH SURJUDP H[SUHVVHG WKHLU
YLHZV FOHDUO\ DQG YRFDOO\ WKHUH KDG SDUWLFLSDWHG LQ WKH
RULJLQDOFUHDWLRQRIWKHSURJUDPDQGUHPDLQHGLQFRQWDFWZLWK
WKHVFKRROGLVWULFWWKURXJKOHWWHUVDQGSKRQHFRQYHUVDWLRQV
,GDW7KHFRXUWFRQFOXGHG³>3@ODLQWLIIVKDYHFLWHGQR
VXSSRUW IRU WKHLU LPSOLFLW DVVHUWLRQ WKDW VFKRROV PD\ QHYHU
GLVFXVV D FKLOG V ,(3 JRDOV REMHFWLYHV RU HGXFDWLRQDO
PHWKRGRORJ\ RXW RI WKH SUHVHQFH RI WKH SDUHQWV )RU WKHVH
UHDVRQVSODLQWLIIVKDYHIDLOHGWRGHPRQVWUDWHWKDWWKH\ZHUH
GHQLHGSDUWLFLSDWLRQLQWKH>SURJUDPGHYHORSPHQW@SURFHVV´
,GVHHDOVR1/H[UHO0UV&Y.QR[&RXQW\6FK
)G WK &LU )RU WKHVH UHDVRQV WKH
GLVWULFW FRXUW SURSHUO\ IRXQG WKHUH ZDV QR SURFHGXUDO
YLRODWLRQ
(YHQLI.LQJV¶IDLOXUHWRLQFOXGHWKH=HOD]Q\VLQWKHWKLUG
PHHWLQJ ZLWK WKH FRQVXOWDQWV ZDV D YLRODWLRQ RI WKH $FW¶V
SURFHGXUDOUHTXLUHPHQWVWKH=HOD]Q\VPD\QRWEHHQWLWOHGWR
UHOLHI6HH.QDEOH)GDW³2QO\LIZHILQGWKDWD
.LQJV/RFDO6FKRROY=HOD]Q\HWDO 1R
SURFHGXUDOYLRODWLRQKDVUHVXOWHGLQVXFKVXEVWDQWLYHKDUP
DQGWKXVFRQVWLWXWHGDGHQLDORI>WKHFKLOG¶V@ULJKWWRD)$3(
>IUHHDSSURSULDWHSXEOLFHGXFDWLRQ@PD\ZHμJUDQWVXFKUHOLHI
DVWKHFRXUWGHWHUPLQHVLVDSSURSULDWH¶´,G FLWLQJWKH$FW
:H ZHQW RQ WR VD\ ³6XEVWDQWLYH KDUP RFFXUV ZKHQ WKH
SURFHGXUDOYLRODWLRQVLQTXHVWLRQVHULRXVO\LQIULQJHXSRQWKH
SDUHQWV RSSRUWXQLW\WRSDUWLFLSDWHLQWKH,(3SURFHVV´,GDW
:HGRQRWEHOLHYHIURPWKHUHFRUGWKDWWKH=HOD]Q\V
ZHUHSUHFOXGHGIURPPHDQLQJIXOSDUWLFLSDWLRQLQWKHSURFHVV
0UV =HOD]Q\ PHW ZLWK $ULHO¶V WHDFKHUV WR GLVFXVV $ULHO¶V
SURJUDPIRUWKHQLQWKJUDGH6KHVSHQWDJUHDWGHDORIWLPH
WDONLQJZLWKLQVWUXFWRUVDERXW$ULHO¶VQHHGV6KHPHWZLWK
.LQJVWRGLVFXVVWKHSURJUDPDIWHULWVLQVWLWXWLRQ$W0UV
=HOD]Q\¶V UHTXHVW .LQJV KLUHG D FRQVXOWLQJ ILUP 7KH
=HOD]Q\VDWWHQGHGWZRRIWKUHHPHHWLQJVUHJDUGLQJWKHILUP¶V
UHFRPPHQGDWLRQV /LNH WKH IDPLO\ LQ %XULORYLFK $ULHO¶V
SDUHQWV ZHUH LQWHJUDOO\ LQYROYHG LQ HDFK VWHS RI WKH
GHYHORSPHQWDQGLPSOHPHQWDWLRQRI$ULHO¶VLQGLYLGXDOL]HG
HGXFDWLRQSURJUDP
%HFDXVHZHKROGWKDWWKHGLVWULFWFRXUW¶VILQGLQJVRQWKH
IDFWVRIWKLVFDVHDUHQRWFOHDUO\HUURQHRXVDQGEHFDXVH.LQJV
SURYLGHG$ULHOZLWKDIUHHDQGDSSURSULDWHSXEOLFHGXFDWLRQ
ZH$)),50WKHGHFLVLRQRIWKHGLVWULFWFRXUW
-- 6 of 6 --
Connect Omnilex to search the legal corpus from your AI assistant.