Smith #267009 v. Hoffner et al

Filing 108

OPINION AND ORDER APPROVING AND ADOPTING REPORT AND RECOMMENDATION 97 ; denying objections 98 , 99 ; granting motion for summary judgment 75 ; denying motion to proceed to trial, or in the alternative, motion for summary judgment 101 ; certifying that an appeal of this decision would not be taken in good faith; Judgment to issue; signed by Judge Janet T. Neff (Judge Janet T. Neff, rmw)

81,7(' 67$7(6 ',675,&7 &2857
:(67(51 ',675,&7 2) 0,&+,*$1
6287+(51 ',9,6,21
'(55,&. /(( 60,7+
3ODLQWLII

&DVH 1R FY

Y

+21 -$1(7 7 1())

%21,7$ +2))1(5 HW DO
'HIHQGDQWV

BBBBBBBBBBBBBBBBBBBBBBBBBBBB
23,1,21 $1' 25'(5
7KLV LV D SULVRQHU FLYLO ULJKWV DFWLRQ ILOHG SXUVXDQW WR  86& †  DOOHJLQJ QXPHURXV
FODLPV DJDLQVW PRUH WKDQ  'HIHQGDQWV LQFOXGLQJ UHWDOLDWLRQ FODLPV DJDLQVW WKUHH 'HIHQGDQWV
ZKLFK UHPDLQ IRU GHFLVLRQ 'HIHQGDQWV ILOHG D PRWLRQ IRU VXPPDU\ MXGJPHQW EDVHG RQ WKH
IDLOXUH WR H[KDXVW DGPLQLVWUDWLYH UHPHGLHV 'NW  7KH PDWWHU ZDV UHIHUUHG WR WKH 0DJLVWUDWH
-XGJH ZKR LVVXHG D 5HSRUW DQG 5HFRPPHQGDWLRQ 5 5 'NW  UHFRPPHQGLQJ 'HIHQGDQWV¶
PRWLRQ IRU VXPPDU\ MXGJPHQW EH JUDQWHG 'NW  7KH PDWWHU LV SUHVHQWO\ EHIRUH WKH &RXUW RQ
3ODLQWLII¶V WZR FRQVHFXWLYHO\ ILOHG 2EMHFWLRQV WR WKH 5HSRUW DQG 5HFRPPHQGDWLRQ 'NWV  
3ODLQWLII KDV VLQFH ILOHG D PRWLRQ WR SURFHHG WR WULDO RU LQ WKH DOWHUQDWLYH D PRWLRQ IRU VXPPDU\
MXGJPHQW LQ KLV IDYRU 'NW  'HIHQGDQWV ILOHG D UHVSRQVH 'NW  DQG 3ODLQWLII ILOHG D
UHSO\ 'NW  'HIHQGDQW KDV DOVR PRVW UHFHQWO\ ILOHG D ³5HTXHVW IRU D 'HFLVLRQ RQ WKH
3HQGLQJ &LYLO 5LJKWV &RPSODLQW >LQ WKLV FDVH@

1RWLFH RI $SSHDO RI WKH &RXUW>¶V@ 2EYLRXV

)RUWKFRPLQJ 'HFLVLRQ ZKLFK ZLOO &OHDUO\ EH 5XOHG DJDLQVW WKH 3ODLQWLII>@ DQG LQ IDYRU RI WKH
'HIHQGDQWV EDVHG RQ WKLV &RXUW>¶V@ 3UHYLRXV 'HFLVLRQ0DNLQJ WR +HOS 6SHHG XS WKH $SSHDO

3URFHVV LQ WKLV /DVW 5HPDLQLQJ &DVH´ 'NW  7KH &RXUW FRQVWUXHV 3ODLQWLII¶V PRVW UHFHQW
ILOLQJ DV D UHTXHVW IRU D GHFLVLRQ RQ KLV SHQGLQJ REMHFWLRQV WR WKH 5HSRUW DQG 5HFRPPHQGDWLRQ
DQG PRWLRQ LQ WKLV FDVH UDWKHU WKDQ D QRWLFH RI DSSHDO SRWHQWLDOO\ GHSULYLQJ WKLV &RXUW RI
MXULVGLFWLRQ
,Q DFFRUGDQFH ZLWK  86& † E DQG )HG 5 &LY 3 E WKH &RXUW KDV
SHUIRUPHG GH QRYR FRQVLGHUDWLRQ RI WKRVH SRUWLRQV RI WKH 5HSRUW DQG 5HFRPPHQGDWLRQ WR ZKLFK
REMHFWLRQV KDYH EHHQ PDGH 7KH &RXUW GHQLHV 3ODLQWLII¶V REMHFWLRQV GHQLHV 3ODLQWLII¶V PRWLRQ WR
SURFHHG WR WULDO RU IRU VXPPDU\ MXGJPHQW LQ KLV IDYRU JUDQWV 'HIHQGDQWV¶ PRWLRQ IRU VXPPDU\
MXGJPHQW DQG LVVXHV WKLV 2SLQLRQ DQG 2UGHU
, 3ODLQWLII¶V 0RWLRQ IRU 6XPPDU\ -XGJPHQW DQG 5HODWHG 2EMHFWLRQ
,Q KLV ILUVW 2EMHFWLRQ ILOHG 'NW  3ODLQWLII REMHFWV WKDW WKH 0DJLVWUDWH -XGJH IDLOHG WR
FRQVLGHU 3ODLQWLII¶V PRWLRQ IRU VXPPDU\ MXGJPHQW 'NW  ZKLFK KH FODLPV FURVVHG LQ WKH
PDLO ZLWK WKH 5HSRUW DQG 5HFRPPHQGDWLRQ 3O 2EM 'NW  DW 3DJH,' 3ODLQWLII IXUWKHU
JHQHUDOO\ REMHFWV WKDW WKH 0DJLVWUDWH -XGJH KDV VKRZQ VKH FDQQRW EH LPSDUWLDO ZKHUH VKH KDV
FUHGLWHG 'HIHQGDQWV¶ DIILGDYLW RYHU 3ODLQWLII¶V DIILGDYLW DQG KDV IDLOHG WR FRQVLGHU 3ODLQWLII¶V
PRWLRQ IRU VXPPDU\ MXGJPHQW id.
3ODLQWLII¶V PRWLRQ WLWOHG ³3ODLQWLII>¶V@ 0RWLRQ WR 3URFHHG WR 7ULDO RU LQ WKH $OWHUQDWLYH
3ODLQWLII>¶V@ 0RWLRQ IRU 6XPPDU\ -XGJHPHQW %HLQJ (QWHUHG LQ )DYRU RI WKH 3ODLQWLII´ LV XQGDWHG
EXW VKRZV D SURRI RI VHUYLFH GDWH RI 0DUFK   'NW  DW 3DJH,' WKH VDPH GDWH WKH
5HSRUW DQG 5HFRPPHQGDWLRQ ZDV HQWHUHG 7KH PRWLRQ ZDV UHFHLYHG IRU ILOLQJ RQ 0DUFK 

3ODLQWLII¶V PRWLRQ IRU VXPPDU\ MXGJPHQW LV XQWLPHO\ E\ PRUH WKDQ ILYH PRQWKV 2Q 0D\
  WKH 0DJLVWUDWH -XGJH LVVXHG D FDVH PDQDJHPHQW RUGHU GLUHFWLQJ WKDW HDFK SDUW\ FRXOG ILOH



RQH PRWLRQ IRU VXPPDU\ MXGJPHQW ³QR ODWHU WKDQ  GD\V DIWHU WKH FORVH RI GLVFRYHU\´ 'NW  DW
3DJH,' 7KH 0DJLVWUDWH -XGJH DOVR RUGHUHG WKDW GLVFRYHU\ EH ³FRPSOHWHG ZLWKLQ  GD\V
IURP WKH GDWH RI WKLV >FDVH PDQDJHPHQW@ RUGHU´ id. $V VXFK 3ODLQWLII FRXOG ILOH D PRWLRQ IRU
VXPPDU\ MXGJPHQW QR ODWHU WKDQ 6HSWHPEHU   +RZHYHU 3ODLQWLII ILOHG KLV RQH DOORWWHG
PRWLRQ IRU VXPPDU\ MXGJPHQW LQ 0DUFK  PRUH WKDQ ILYH PRQWKV DIWHU WKH FDVH PDQDJHPHQW
GHDGOLQH DQG HLJKW PRQWKV DIWHU 'HIHQGDQWV¶ PRWLRQ IRU VXPPDU\ MXGJPHQW ZDV ILOHG
3ODLQWLII¶V PRWLRQ WR SURFHHG WR WULDO RU LQ WKH DOWHUQDWLYH IRU VXPPDU\ MXGJPHQW LV
GHQLHG DV XQWLPHO\ 3ODLQWLII¶V REMHFWLRQ WKDW WKH 0DJLVWUDWH -XGJH IDLOHG WR FRQVLGHU WKH PRWLRQ
LV ZLWKRXW PHULW DQG LV OLNHZLVH GHQLHG 3ODLQWLII¶V IXUWKHU JHQHUDO REMHFWLRQ WKDW WKH 0DJLVWUDWH
-XGJH KDV VKRZQ VKH FDQQRW EH LPSDUWLDO LV UDLVHG UHSHDWHGO\ LQ 3ODLQWLII¶V ODWHUILOHG 2EMHFWLRQ
'NW  DQG LV SURSHUO\ GHQLHG IRU WKH UHDVRQV VWDWHG EHORZ
,, 3ODLQWLII¶V 5HPDLQLQJ 2EMHFWLRQV
3ODLQWLII¶V OHQJWK\ VHFRQGILOHG 2EMHFWLRQ 'NW  LQFOXGHV YDULRXV FRQVHFXWLYHO\
QXPEHUHG REMHFWLRQV DQG RWKHU PLVQXPEHUHG RU XQQXPEHUHG REMHFWLRQV +RZHYHU PRVW RI
3ODLQWLII¶V REMHFWLRQV see id. DW 3DJH,' DUH XQUHODWHG WR WKH FODLPV DGGUHVVHG E\ WKH
5HSRUW DQG 5HFRPPHQGDWLRQ LQ WKLV FDVH 5 5 'NW  DQG LQVWHDG DUH REMHFWLRQV HVVHQWLDOO\
GXSOLFDWLYH RI WKRVH LQ DQRWKHU RI 3ODLQWLII¶V FDVHV WKDW ZDV EHIRUH WKLV &RXUW Smith v Weers et
al. FY :' 0LFK see 'NW  SUHPLVHG RQ DOOHJHG UHWDOLDWRU\ WUDQVIHU SUHYHQWLQJ
3ODLQWLII IURP OLWLJDWLQJ KLV VWDWH FDVH LQ WKH %UDQFK &RXQW\ &LUFXLW &RXUW 7KHVH XQUHODWHG
REMHFWLRQV DUH GHQLHG DV PRRW



7KH GDWH RI 6HSWHPEHU   GRHV QRW WDNH LQWR DFFRXQW GHOLYHU\ WLPH RU DGGLWLRQDO GD\V IRU FHUWDLQ NLQGV RI
VHUYLFH +RZHYHU HYHQ LI VXFK WLPH LV FRQVLGHUHG 3ODLQWLII¶V PRWLRQ IRU VXPPDU\ MXGJPHQW LV VWLOO H[FHHGLQJO\
XQWLPHO\

3ODLQWLII KDV RQO\ FODLPV
 DQG  UHPDLQLQJ LQ WKLV FDVH &ODLP  FRQFHUQV 3ODLQWLII¶V ³WUDQVIHU OLVW´ FODLP
&ODLP  FRQFHUQV 3ODLQWLII¶V ³GRJ SURJUDP´ FODLP



7KH UHPDLQLQJ UHOHYDQW SRUWLRQV RI 3ODLQWLII¶V 2EMHFWLRQ 'NW  DW 3DJH,' IDLO
WR SRLQW WR DQ\ VSHFLILF HUURU LQ WKH 5HSRUW DQG 5HFRPPHQGDWLRQ ,QVWHDG 3ODLQWLII SUHVHQWV D
³JOREDO´ FKDOOHQJH WKDW WKH 0DJLVWUDWH -XGJH ODFNV LPSDUWLDOLW\ KDV PHUHO\ VLGHG ZLWK
'HIHQGDQWV DQG KDV GHOLEHUDWHO\ SUHYHQWHG 3ODLQWLII IURP SUHVHQWLQJ SUREDWLYH HYLGHQFH RI
H[KDXVWLRQ 3ODLQWLII VWDWHV WKDW WKH 0DJLVWUDWH -XGJH GHQLHG KLV PRWLRQ IRU GLVFRYHU\ DQG QRZ
KDV XVHG WKH GHQLDO RI GLVFRYHU\ WR UXOH LQ IDYRU RI 'HIHQGDQWV RQ WKH JURXQG WKDW 3ODLQWLII KDV
VXEPLWWHG QR HYLGHQFH FUHDWLQJ D JHQXLQH LVVXH RI IDFW see, e.g. 'NW  DW 3DJH,' 
3ODLQWLII DUJXHV WKDW 'HIHQGDQWV KDYH QRW HVWDEOLVKHG WKHLU DIILUPDWLYH GHIHQVH RI VKRZLQJ WKDW
3ODLQWLII IDLOHG WR H[KDXVW KLV DGPLQLVWUDWLYH UHPHGLHV id. DW 3DJH,'
3ODLQWLII DUJXHV WKDW WKH ³JULHYDQFHV DQG OHWWHUV´ KH KDV VXEPLWWHG DUH ³SURRI´ DQG
³SUREDWLYH HYLGHQFH´ id. DW 3DJH,'  +H DVVHUWV WKDW 'HIHQGDQWV ³DUH QRZ O\LQJ XQGHU
RDWK´ ZKHQ VWDWLQJ WKDW 3ODLQWLII¶V ³GRFXPHQWV DUH IDOVH´ id. DW 3DJH,' 7KXV KLV HYLGHQFH
³LV FODLPHG WR EH IDOVH VLPSO\ EHFDXVH WKH 'HIHQGDQWV VD\ LW LV IDOVH´ id. DW 3DJH,'
3ODLQWLII FRQWHQGV WKDW 'HIHQGDQWV RIIHUHG QR HYLGHQFH WR VXSSRUW WKHLU XQVXEVWDQWLDWHG FODLPV
WKDW 3ODLQWLII¶V GRFXPHQWV ZHUH IDOVH DQG WKH 0DJLVWUDWH -XGJH LV PHUHO\ ³ZHGGHG WR´ WDNLQJ
'HIHQGDQWV¶ DIILGDYLWV DV WUXH id. DW 3DJH,' 3ODLQWLII DUJXHV WKDW KLV HYLGHQFH FUHDWHV
³JHQXLQH LVVXHV IRU WULDO´ DQG LV ³D VXEVWDQWLDO VKRZLQJ´ RI DOO HOHPHQWV HVVHQWLDO IRU KLV FDVH
VXFK WKDW ³QR UHDVRQDEOH WULHU RI IDFW FRXOG ILQG RWKHU >WKDQ@ IRU WKH 3ODLQWLII´ id. DW 3DJH,'
7KH &RXUW LV QRW SHUVXDGHG E\ 3ODLQWLII¶V DUJXPHQWV DOO RI ZKLFK DUH LQWHUUHODWHG DQG
JHQHUDOO\ FKDOOHQJH WKH XOWLPDWH RXWFRPH RI WKLV FDVH :LWK UHJDUG WR GLVFRYHU\ 3ODLQWLII DVVHUWV
WKDW KLV UHTXHVWV IRU GLVFRYHU\ ZHUH ³LQ DFFRUGDQFH ZLWK WKH >)@HGHUDO >5@XOHV RI >&@LYLO
>3@URFHGXUH´ 'NW  DW 3DJH,' +RZHYHU WKH 0DJLVWUDWH -XGJH IRXQG QR HYLGHQFH WKDW
3ODLQWLII KDG VXEPLWWHG D GLVFRYHU\ UHTXHVW WR 'HIHQGDQWV DQG HYHQ DVVXPLQJ KH KDG 3ODLQWLII



ZDV QRW HQWLWOHG WR UHOLHI IURP WKH &RXUW EHFDXVH KH ³IDLOHG WR VXEPLW RU VXIILFLHQWO\ GHVFULEH WKH
GLVFRYHU\ UHTXHVWV LQ GLVSXWH DQGRU VXIILFLHQWO\ GHVFULEH WKH EDVLV IRU 'HIHQGDQWV¶ DOOHJHG
REMHFWLRQ WKHUHWR RU VXEPLW D FRS\ RI DQ\ VXFK REMHFWLRQ´ 'NW  DW 3DJH,' FLWLQJ /RFDO
5XOH RI &LYLO 3URFHGXUH E PDQGDWLQJ WKDW ³>D@OO GLVFRYHU\ PRWLRQV VKDOO VHW IRUWK YHUEDWLP
RU KDYH DWWDFKHG WKH UHOHYDQW GLVFRYHU\ UHTXHVW DQG DQVZHU RU REMHFWLRQ´ 'NW  DW
3DJH,' 3ODLQWLII KDV VKRZQ QR HUURU LQ WKH GHQLDO RI KLV GLVFRYHU\ PRWLRQV RU WKDW WKH\
ZHUH GHQLHG EDVHG RQ PHUH IDYRULWLVP WRZDUG 'HIHQGDQWV
6HFRQG WKH 0DJLVWUDWH -XGJH SURSHUO\ FRQVLGHUHG WKH DUJXPHQWV DQG WKH UHFRUG HYLGHQFH
FRQFHUQLQJ H[KDXVWLRQ 7KH 0DJLVWUDWH -XGJH FRUUHFWO\ QRWHG WKDW ³WKH QRQPRYLQJ SDUW\ FDQQRW
GHIHDW D SURSHUO\ VXSSRUWHG PRWLRQ IRU VXPPDU\ MXGJPHQW E\ VLPSO\ DUJXLQJ WKDW LW UHOLHV VROHO\
RU LQ SDUW XSRQ FUHGLELOLW\ GHWHUPLQDWLRQV´ 5 5 'NW  DW 3DJH,' )XUWKHU 3ODLQWLII PXVW
SUHVHQW ³VLJQLILFDQW SUREDWLYH HYLGHQFH´ HVWDEOLVKLQJ WKH H[LVWHQFH RI D JHQXLQH IDFWXDO GLVSXWH
id. 7KH 0DJLVWUDWH -XGJH IXOO\ DQG SURSHUO\ FRQVLGHUHG DOO SOHDGLQJV DIILGDYLWV H[KLELWV DQG
RWKHU HYLGHQFH SUHVHQWHG 7KH 0DJLVWUDWH -XGJH QRWHG WKDW 3ODLQWLII ³VXEPLWWHG QR HYLGHQFH
FUHDWLQJ D JHQXLQH TXHVWLRQ RI IDFW´ DQG ZKLOH 'HIHQGDQWV KDG VXEPLWWHG GRFXPHQWDU\ HYLGHQFH
ZLWK WKHLU DIILGDYLWV 3ODLQWLII RIIHUHG ³QR HYLGHQFH UHJDUGLQJ WKH VSHFLILFV RI KLV DOOHJHG DWWHPSWV
WR VXEPLW WKH JULHYDQFHV LQ TXHVWLRQ´ id. DW 3DJH,'

/LNHZLVH 3ODLQWLII RIIHUHG QR

VSHFLILFV UHJDUGLQJ KLV DOOHJHG OHWWHUV RU FRPPXQLFDWLRQV LQ TXHVWLRQ id. 3ODLQWLII¶V UHDUJXPHQW
WKDW KLV DVVHUWLRQV DUH WUXWKIXO DQG KLV FRPSODLQWV WKDW WKH 0DJLVWUDWH -XGJH VLPSO\ IDYRUV
'HIHQGDQWV DUH QRW VXSSRUWHG E\ WKH UHFRUG
7KH 0DJLVWUDWH -XGJH SURSHUO\ GHWHUPLQHG WKDW 'HIHQGDQWV ³SUHVHQWHG HYLGHQFH WKDW
ZKLOH 3ODLQWLII SURSHUO\ VXEPLWWHG QXPHURXV JULHYDQFHV QRQH RI WKHVH JULHYDQFHV FRQVWLWXWH
SURSHU H[KDXVWLRQ RI DQ\ RI WKH FODLPV UHPDLQLQJ LQ WKLV PDWWHU´ 'NW  DW 3DJH,' 7KH



0DJLVWUDWH -XGJH WKXV FRQFOXGHG WKDW 'HIHQGDQWV PHW WKHLU EXUGHQ RI VKRZLQJ WKDW 3ODLQWLII
IDLOHG WR H[KDXVW KLV DGPLQLVWUDWLYH UHPHGLHV UHJDUGLQJ FODLPV

 DQG  id. DW 3DJH,'

3ODLQWLII¶V REMHFWLRQV IDLO WR GHPRQVWUDWH DQ\ IDFWXDO RU OHJDO HUURU LQ WKH 0DJLVWUDWH
-XGJH¶V DQDO\VLV RU FRQFOXVLRQ DQG DUH WKHUHIRUH GHQLHG
,,, &RQFOXVLRQ
3ODLQWLII¶V REMHFWLRQV WR WKH 0DJLVWUDWH -XGJH¶V 5HSRUW DQG 5HFRPPHQGDWLRQ DUH GHQLHG
3ODLQWLII¶V PRWLRQ WR SURFHHG WR WULDO RU LQ WKH DOWHUQDWLYH PRWLRQ IRU VXPPDU\ MXGJPHQW LQ KLV
IDYRU LV GHQLHG 'HIHQGDQWV¶ PRWLRQ IRU VXPPDU\ MXGJPHQW LV SURSHUO\ JUDQWHG
$FFRUGLQJO\ WKLV &RXUW DGRSWV WKH 0DJLVWUDWH -XGJH¶V 5HSRUW DQG 5HFRPPHQGDWLRQ DV
WKH 2SLQLRQ RI WKLV &RXUW $ -XGJPHQW ZLOO EH HQWHUHG FRQVLVWHQW ZLWK WKLV 2SLQLRQ DQG 2UGHU
See )HG 5 &LY 3  %HFDXVH WKLV DFWLRQ ZDV ILOHG in forma pauperis WKLV &RXUW FHUWLILHV
SXUVXDQW WR  86& † D WKDW DQ DSSHDO RI WKLV GHFLVLRQ ZRXOG QRW EH WDNHQ LQ JRRG
IDLWK See McGore v. Wrigglesworth  )G   WK &LU  RYHUUXOHG RQ RWKHU
JURXQGV E\ Jones v. Bock  86    
+DYLQJ QRZ UHVROYHG DOO FODLPV LQ WKLV FDVH WKH &RXUW ZLOO HQWHU D -XGJPHQW FRQVLVWHQW
ZLWK WKLV 2SLQLRQ DQG 2UGHU
7KHUHIRUH
,7 ,6 +(5(%< 25'(5(' WKDW WKH 2EMHFWLRQV 'NW   DUH '(1,(' DQG WKH
5HSRUW DQG 5HFRPPHQGDWLRQ RI WKH 0DJLVWUDWH -XGJH 'NW  LV $33529(' DQG $'237('
DV WKH 2SLQLRQ RI WKH &RXUW
,7 ,6 )857+(5 25'(5(' WKDW 'HIHQGDQWV¶ 0RWLRQ IRU 6XPPDU\ -XGJPHQW 'NW
 LV *5$17('



,7 ,6 )857+(5 25'(5(' WKDW 3ODLQWLII¶V PRWLRQ WR SURFHHG WR WULDO RU LQ WKH
DOWHUQDWLYH PRWLRQ IRU VXPPDU\ MXGJPHQW LQ KLV IDYRU 'NW  LV '(1,('
,7 ,6 )857+(5 25'(5(' WKDW WKLV &RXUW FHUWLILHV SXUVXDQW WR  86&
† D WKDW DQ DSSHDO RI WKLV GHFLVLRQ ZRXOG QRW EH WDNHQ LQ JRRG IDLWK

/s/ Janet T. Neff
-$1(7 7 1())
8QLWHG 6WDWHV 'LVWULFW -XGJH

'DWHG 0D\ 12