81,7('67$7(6&28572)$33($/6)259(7(5$16&/$,06  12(  0$77+(:6+($/( WKH($-$ DSSOLFDWLRQ@ UHSUHVHQW>V@ ZLOOIXO PLVFRQGXFW DQG IDLOXUH WR FRPSO\ ZLWK WKH WHUPV RI WKH $JUHHPHQW,QWHUYHQRUV 5HVSDW7KH\FRQWHQGWKDWWKH$JUHHPHQWDOORZVWKHPWRVHHNIHHV DQG UHFRJQL]HV >WKHLU@ DELOLW\ WR FROOHFW IHHV HYHQ DIWHU ZLWKGUDZDO RI UHSUHVHQWDWLRQ  Id. (VVHQWLDOO\ WKH\ LQWHUSUHW WKH IHH DJUHHPHQW WR UHSUHVHQW WKH DSSHOODQW V FRQVHQW WR WKH ($-$ DSSOLFDWLRQPDNLQJKLVSUHVHQWREMHFWLRQVPHULWOHVV  7KH LQWHUYHQRUV PD\ YHU\ ZHOO EH FRUUHFW WKDW WKH $JUHHPHQW UHSUHVHQWV WKH DSSHOODQW V H[SOLFLW RU LPSOLHG FRQVHQW IRU WKHLU VHHNLQJ RI ($-$ IHHV 7KH\ PD\ DOVR EH FRUUHFW WKDW KLV REMHFWLRQWRWKH($-$DSSOLFDWLRQLVZLOOIXOPLVFRQGXFWDQGIDLOXUHWRFRPSO\ZLWKWKHWHUPVRI WKH$JUHHPHQWId.,QRWKHUZRUGVWKH\PD\EHFRUUHFWWKDWWKHDSSHOODQWLVLQEUHDFKRIFRQWUDFW ,WPD\DOVREHWKDWWKHDSSHOODQWZLOOEHXQMXVWO\HQULFKHGLIZHGRQRWJUDQWWKHDSSOLFDWLRQId. 2QWKHLQWHUYHQRUV YLHZRIWKHIDFWVWKHODZVKRXOGSUHFOXGHVXFKDUHVXOW  7KHSUREOHPZLWKWKHLQWHUYHQRUV DUJXPHQWVKRZHYHULVWKDWWKHSURSHUUHPHG\IRUVXFK FODLPV LV D FRPPRQODZ EUHDFK RI FRQWUDFW RU XQMXVW HQULFKPHQW DFWLRQ FDXVHV RI DFWLRQ RYHU ZKLFKWKLV&RXUWODFNVMXULVGLFWLRQSee In re Fee Agreement of Cox (In re Cox)9HW$SS vacated on other grounds, Cox v. West)G)HG&LU7KH&RXUW V MXULVGLFWLRQLVSUHGLFDWHGRQD%RDUGGHFLVLRQ86&†$VSDUWRIWKDWUHYLHZZHPD\ DOVRDGMXGLFDWHDSSOLFDWLRQVXQGHUWKH($-$86&†G$)%XWWKDWLVQRW ZKDWLQWHUYHQRUVFDOORQXVWRGR7KHLUDVVHUWHGULJKWWRSD\PHQWDULVHVQRWIURPWKH($-$EXW   7KHLQWHUYHQRUVDUHFRUUHFWDERXWRQHSRLQW7KHODZLVFOHDUWKDWLIWKH($-$UHTXLUHPHQWVDUHRWKHUZLVH VDWLVILHGFRXQVHOZKRKDYHEHHQGLVFKDUJHGEHIRUHUHVROXWLRQRIDFDVHPD\VWLOOUHFHLYHDIHHSee, e.g.Bowling v. Principi9HW$SS7KLVOHJDOSULQFLSOHGRHVQRWDVVLVWWKHLQWHUYHQRUVKRZHYHUEHFDXVHLWGRHV QRWPHDQWKDWIRUPHUFRXQVHOPD\REWDLQDIHHXQGHUWKH($-$RYHUWKHLUIRUPHUFOLHQW VREMHFWLRQ7KHLQWHUYHQRUV FRQVLVWHQWO\PLVVWKHLPSRUWDQFHRIWKDWIDFW)RUH[DPSOHZKHQDWWHPSWLQJWRH[SODLQZK\WKHSULQFLSOHIURPRatliff LVQRWIDWDOWRWKHLUFODLPWKHLQWHUYHQRUVQRWHWKDWWKHRQO\GLIIHUHQFHEHWZHHQWKLVVLWXDWLRQDQGDQ\RWKHUVLWXDWLRQ XQGHUWKH($-$LVWKDWWKHLUIRUPHUFOLHQWFRPSODLQHGWRWKH&RXUWDERXW>WKHDSSOLFDWLRQ@,QWHUYHQRUV 5HVSDW 7KDWGLIIHUHQFHLVGLVSRVLWLYHEHFDXVHWKH($-$IHHEHORQJVWRWKHFOLHQWRatliff86DW  7KHLQWHUYHQRUVGRQRWDSSHDUWRDUJXHWKDWWKHDSSHOODQWDVVLJQHGWKHPWKH($-$IHHVDWLVVXH    UDWKHU IURP WKHLU IHH DJUHHPHQW ZLWK WKH DSSHOODQW  7KH LQWHUYHQRUV DUH IUHH WR SXUVXH DQ\ FRPPRQODZFODLPVWKH\PD\KDYHLQDQDSSURSULDWHIRUXP7KLV&RXUWLVQRWWKDWIRUXP   7KH LQWHUYHQRUV VHHN WR DYRLG WKH FOHDU OHJDO DQVZHU KHUH E\ WXUQLQJ WR SROLF\ FRQVLGHUDWLRQV6SHFLILFDOO\WKH\DUJXHWKDWWKHDSSHOODQWZRXOGEHILQDQFLDOO\GLVDGYDQWDJHGE\ EHFRPLQJ SHUVRQDOO\ OLDEOH IRU WKH GDPDJHV FDXVHG E\ KLV EUHDFK LI ZH ZHUH WR GLVPLVV WKH $SSOLFDWLRQ,QWHUYHQRUV 5HVSDW7KH\FLWHMolden v. Peake9HW$SS DQGMartins v. Principi9HW$SSDVH[DPSOHVRIVLWXDWLRQVLQZKLFKWKH&RXUW KDVVXVSHQGHGFHUWDLQUHTXLUHPHQWVRURYHUORRNHGGHIHFWLYH($-$DSSOLFDWLRQVZKHUHDYHWHUDQ ZRXOGEHILQDQFLDOO\KDUPHGRWKHUZLVH,QWHUYHQRUV 5HVSDW   7KHLUDUJXPHQWPLVVHVWKHIXQGDPHQWDOQDWXUHRI($-$IHHV7KHVLPSOHIDFWLVWKDW($-$ IHHV EHORQJ WR OLWLJDQWV QRW WKHLU DWWRUQH\V Ratliff 86DW  7KH 6L[WK &LUFXLW DSWO\ H[SODLQHG WKLV FRQFHSW LQ Bryant v. Commissioner of Social Security 1RWKLQJ LQ WKH ($-$ VXJJHVWVWKDWDOOSHUVRQVSHUIRUPLQJVHUYLFHVIRUWKH SUHYDLOLQJSDUW\ PD\VHSDUDWHO\DVVHUWFODLPV IRU FRPSHQVDWLRQ IURP WKH *RYHUQPHQW 5DWKHU &RQJUHVV DSSHDUV WR KDYH LQWHQGHG WKDW WKHVH SHUVRQV²LQFOXGLQJWKHSDUW\ VDWWRUQH\²UHFHLYHWKHLUFRPSHQVDWLRQIURPWKHSDUW\ZKRXWLOL]HV WKHLUVHUYLFHV)GWK&LU7KHBryantFRXUWDOVRQRWHGWKDWDFWVRI&RQJUHVV RWKHU WKDQ WKH ($-$ H[SOLFLWO\ SURYLGH IRU WKH GLUHFW SD\PHQW RI DWWRUQH\V  IHHV WR D OLWLJDQW V DWWRUQH\UDWKHUWKDQWKHOLWLJDQWFRQFOXGLQJWKDW>L@I&RQJUHVVKDGLQWHQGHGIRU($-$IHHVWREH DZDUGHGWRWKHSDUW\ VDWWRUQH\LWFRXOGKDYHH[SOLFLWO\GRQHVRId.  :KLOHLWLVWUXHWKDWWKHDSSHOODQWPD\EHILQDQFLDOO\GLVDGYDQWDJHGE\KDYLQJWROLWLJDWHD EUHDFKRIFRQWUDFWRUXQMXVWHQULFKPHQWFODLPKHKDVDIILUPDWLYHO\DQGFOHDUO\GHFLGHGWRSUHYHQW WKHDZDUGLQJRIDWWRUQH\V IHHVZKLFKLVKLVULJKWWRGR  1RSROLF\FRQFHUQVFDQRYHUULGHDYHWHUDQ VFOHDUULJKWWRUHIXVHWRDSSO\IRU($-$IHHV ,QGHHGDVWKH6XSUHPH&RXUWVWDWHGLQRatliff>W@KHIDFWWKDWWKH>($-$@VWDWXWHDZDUGVWRWKH SUHYDLOLQJSDUW\IHHVLQZKLFKKHUDWWRUQH\PD\KDYHDEHQHILFLDOLQWHUHVWRUDFRQWUDFWXDOULJKW GRHVQRWHVWDEOLVKWKDWWKHVWDWXWH DZDUGV WKHIHHVGLUHFWO\WRWKHDWWRUQH\>,QIDFW@WKHVWDWXWH V   7KLVLVQRWWRVD\WKDWWKH&RXUWKDVQRMXULVGLFWLRQWRFRQVLGHUDIHHDJUHHPHQW:HGREXWWKDWDXWKRULW\LV OLPLWHG7KLV&RXUWRQO\KDVWKHDXWKRULW\WRLQWHUSUHWIHHDJUHHPHQWVVRWKDWZHPD\SROLFHIHHVWKDWDUHH[FHVVLYHRU XQUHDVRQDEOH86&†G:HODFNWKHSRZHUWRHQIRUFHRUHYHQLQYDOLGDWHIHHDJUHHPHQWVSee In re Cox 9HW$SSDWQRWLQJWKDWLI&RQJUHVVLQWHQGHGIRUWKH&RXUWWRKDYHVXFKDXWKRULW\WKH&RXUWDSSHDUVWRODFN WKHPHDQVWRHIIHFWXDWHVXFKFRQWUDU\LQWHQWsee also In the Matter of Fee Agreement of Wick)G )HG&LU  ,QGHHGZHODFNWKHmeansWRKHDUVXFKDFODLPSee In re Cox9HW$SSDW)RUH[DPSOHXQGHUWKH &RQVWLWXWLRQERWKWKHDSSHOODQWDQGLQWHUYHQRUVZRXOGEHHQWLWOHGWRDWULDOE\MXU\86&2167$0(1'9,,DQGWKH DSSHOODQWZRXOGKDYHWKHULJKWWRUDLVHFRXQWHUFODLPVsee, e.g.,)(' 5 &,9 37KLV&RXUWFDQQRWSURYLGHVXFK SURWHFWLRQVDQGSURFHGXUHV  7KHLQWHUYHQRUVDOVRDUJXHWKDWWKHLUILUPVKRXOGEHDZDUGHGWKHIHHVEHFDXVHWKH\DUHDUDUHQRQSURILW ODZILUPWKDWUHSUHVHQWVLWVFOLHQWVRQUHPDQGHGRUUHYHUVHGFODLPVIRUIUHH>@,QWHUYHQRUV 5HVSDW7KH\FRQWHQG WKDWLIWKH&RXUWZHUHWRGLVPLVVWKH($-$DSSOLFDWLRQ($-$ZRXOGEHFRPHPHDQLQJOHVVDQGLQFUHDVLQJQXPEHUVRI YHWHUDQVZRXOGEHXQUHSUHVHQWHGDWWKLV&RXUWId.DW7KHLQWHUYHQRUV QRQSURILWVWDWXVLVLUUHOHYDQWSee Froio v. McDonald9HW$SS,WLVWKHFOLHQW VILQDQFLDOVWDWXVWKDWLVUHOHYDQWQRWWKHDWWRUQH\ V1RWKLQJ LQWKH($-$VWDWXWHVXJJHVWVWKDWDSUHYDLOLQJSDUW\ VHQWLWOHPHQWWRDQDZDUGRIDWWRUQH\VIHHVDQGH[SHQVHVLV FRQWLQJHQWXSRQWKHLGHQWLW\RUQHHGRIWKHSDUW\ VDWWRUQH\LQWHUQDOFLWDWLRQRPLWWHG   SODLQWH[WGRHVWKHRSSRVLWH>@86DW+HUHWKHDSSHOODQWKDVREMHFWHGWRWKHLQWHUYHQRUV  DSSOLFDWLRQVIRU($-$IHHVDQGEHFDXVHWKHLQWHUYHQRUVKDYHQRVWDQGLQJWRVHHNIHHVXQGHU($-$ LQWKHIDFHRIWKHDSSHOODQW VREMHFWLRQVWKDWLVWKHHQGRIWKHPDWWHU ,,,&21&/86,21  8SRQFRQVLGHUDWLRQRIWKHIRUHJRLQJLWLV 25'(5('WKDWWKH6HSWHPEHU($-$DSSOLFDWLRQLV',60,66(' '$7('-XQH 3(5&85,$0