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SUPREME COURT OF THE UNITED STATES
_________________
No. 17–1174
_________________
LUIS A. NIEVES, et al., PETITIONERS
v. RUSSELL P. BARTLETT
on writ of certiorari to the united states
court of appeals for the ninth circuit
[May 28, 2019]
Chief Justice Roberts delivered the opinion of
the Court.
Respondent Russell Bartlett sued petitioners—two
police officers—alleging that they retaliated against him for his
protected First Amendment speech by arresting him for disorderly
conduct and resisting arrest. The officers had probable cause to
arrest Bartlett, and we now decide whether that fact defeats
Bartlett’s First Amendment claim as a matter of law.
I
A
Bartlett was arrested during “Arctic Man,” a
weeklong winter sports festival held in the remote Hoodoo Mountains
near Paxson, Alaska. Paxson is a small community that normally
consists of a few dozen residents. But once a year, upwards of
10,000 people descend on the area for Arctic Man, an event known
for both extreme sports and extreme alcohol consumption. The
mainstays are high-speed ski and snowmobile races, bonfires, and
parties. During that week, the Arctic Man campground briefly
becomes one of the largest and most raucous cities in Alaska.
The event poses special challenges for law
enforcement. Snowmobiles, alcohol, and freezing temperatures do not
always mix well, and officers spend much of the week responding to
snowmobile crashes, breaking up fights, and policing underage
drinking. Given the remote location of the event, Alaska flies in
additional officers from around the State to provide support.
Still, the number of police remains limited. Even during the
busiest periods of the event, only six to eight officers are on
patrol at a time.
On the last night of Arctic Man 2014, Sergeant
Luis Nieves and Trooper Bryce Weight arrested Bartlett. The parties
dispute certain details about the arrest but agree on the general
course of events, some of which were captured on video by a local
news reporter.
At around 1:30 a.m., Sergeant Nieves and
Bartlett first crossed paths. Nieves was asking some partygoers to
move their beer keg inside their RV because minors had been making
off with alcohol. According to Nieves, Bartlett began belligerently
yelling to the RV owners that they should not speak with the
police. Nieves approached Bartlett to explain the situation, but
Bartlett was highly intoxicated and yelled at him to leave. Rather
than escalate the situation, Nieves left. Bartlett disputes that
account. According to Bartlett, he was not drunk at that time and
never yelled at Nieves. He claims it was Nieves who became
aggressive when Bartlett refused to speak with him.
Several minutes later, Bartlett saw Trooper
Weight asking a minor whether he and his underage friends had been
drinking. According to Weight, Bartlett approached in an aggressive
manner, stood between Weight and the teenager, and yelled with
slurred speech that Weight should not speak with the minor. Weight
claims that Bartlett then stepped very close to him in a combative
way, so Weight pushed him back. Sergeant Nieves saw the
confrontation and rushed over, arriving right after Weight pushed
Bartlett. Nieves immediately initiated an arrest, and when Bartlett
was slow to comply with his orders, the officers forced him to the
ground and threatened to tase him.
Again, Bartlett tells a different story. He
denies being aggressive, and claims that he stood close to Weight
only in an effort to speak over the loud background music. And he
was slow to comply with Nieves’s orders, not because he was
resisting arrest, but because he did not want to aggravate a back
injury. After Bartlett was handcuffed, he claims that Nieves said:
“[B]et you wish you would have talked to me now.” 712 Fed. Appx.
613, 616 (CA9 2017).
The officers took Bartlett to a holding tent,
where he was charged with disorderly conduct and resisting arrest.
He had sustained no injuries during the episode and was released a
few hours later.
B
The State ultimately dismissed the criminal
charges against Bartlett, and Bartlett then sued the officers under
42 U. S. C. §1983, which provides a cause of action for
state deprivations of federal rights. As relevant here, he claimed
that the officers violated his First Amendment rights by arresting
him in retaliation for his speech. The protected speech, according
to Bartlett, was his refusal to speak with Nieves earlier in the
evening and his intervention in Weight’s discussion with the
underage partygoer. The officers responded that they arrested
Bartlett because he interfered with an investigation and initiated
a physical confrontation with Weight. The District Court granted
summary judgment for the officers. The court determined that the
officers had probable cause to arrest Bartlett and held that the
existence of probable cause precluded Bartlett’s First Amendment
retaliatory arrest claim.
The Ninth Circuit disagreed. 712 Fed. Appx. 613.
Relying on its prior decision in
Ford v.
Yakima, 706
F.3d 1188 (2013), the court held that a plaintiff can prevail on a
First Amendment retaliatory arrest claim even in the face of
probable cause for the arrest. According to the Ninth Circuit,
Bartlett needed to show only (1) that the officers’ conduct would
“chill a person of ordinary firmness from future First Amendment
activity,” and (2) that he had advanced evidence that would “enable
him ultimately to prove that the officers’ desire to chill his
speech was a but-for cause” of the arrest. 712 Fed. Appx., at 616
(internal quotation marks omitted). The court concluded that
Bartlett had satisfied both requirements: A retaliatory arrest is
sufficiently chilling, and Bartlett had presented enough evidence
that his speech was a but-for cause of the arrest. The only causal
evidence relied on by the court was Bartlett’s affidavit alleging
that Sergeant Nieves said “bet you wish you would have talked to me
now.” If that allegation were true, the court reasoned, a jury
might conclude that the officers arrested Bartlett in retaliation
for his statements earlier that night.
The officers petitioned for review in this
Court, and we granted certiorari. 585 U. S. ___ (2018).
II
We are asked to resolve whether probable cause
to make an arrest defeats a claim that the arrest was in
retaliation for speech protected by the First Amendment. We have
considered this issue twice in recent years. On the first occasion,
we ultimately left the question unanswered because we decided the
case on the alternative ground of qualified immunity. See
Reichle v.
Howards,
566 U.S.
658 (2012). We took up the question again last Term in
Lozman v.
Riviera Beach, 585 U. S. ___ (2018).
Lozman involved unusual circumstances in which the plaintiff
was arrested pursuant to an alleged “official municipal policy” of
retaliation.
Id., at ___ (slip op., at 11). Because those
facts were “far afield from the typical retaliatory arrest claim,”
we reserved judgment on the broader question presented and limited
our holding to arrests that result from official policies of
retaliation.
Id., at ___ (slip op., at 10). In such cases,
we held, probable cause does not categorically bar a plaintiff from
suing the municipality.
Id., at ___–___ (slip op., at
11–12). We now take up the question once again, this time in a more
representative case.
A
“[A]s a general matter the First Amendment
prohibits government officials from subjecting an individual to
retaliatory actions” for engaging in protected speech.
Hartman v.
Moore,
547 U.S.
250, 256 (2006). If an official takes adverse action against
someone based on that forbidden motive, and “non-retaliatory
grounds are in fact insufficient to provoke the adverse
consequences,” the injured person may generally seek relief by
bringing a First Amendment claim.
Ibid. (citing
Crawford-El v.
Britton,
523 U.S.
574, 593 (1998);
Mt. Healthy City Bd. of Ed. v.
Doyle,
429 U.S.
274, 283–284 (1977)).
To prevail on such a claim, a plaintiff must
establish a “causal connection” between the government defendant’s
“retaliatory animus” and the plaintiff’s “subsequent in- jury.”
Hartman, 547 U. S., at 259. It is not enough to show
that an official acted with a retaliatory motive and that the
plaintiff was injured—the motive must
cause the injury.
Specifically, it must be a “but-for” cause, meaning that the
adverse action against the plaintiff would not have been taken
absent the retaliatory motive.
Id., at 260 (recognizing that
although it “may be dishonorable to act with an unconstitutional
motive,” an official’s “action colored by some degree of bad motive
does not amount to a constitutional tort if that action would have
been taken anyway”).
For example, in
Mt. Healthy, a teacher
claimed that a school district refused to rehire him in retaliation
for his protected speech. We held that even if the teacher’s
“protected conduct played a part, substantial or otherwise, in
[the] decision not to rehire,” he was not entitled to reinstatement
“if the same decision would have been reached” absent his protected
speech. 429 U. S.
, at 285. Regardless of the motives of
the school district, we concluded that the First Amendment
“principle at stake is sufficiently vindicated if such an employee
is placed in no worse a position than if he had not engaged in the
[protected speech].”
Id., at 285–286.
For a number of retaliation claims, establishing
the causal connection between a defendant’s animus and a
plaintiff’s injury is straightforward. Indeed, some of our cases in
the public employment context “have simply taken the evidence of
the motive and the discharge as sufficient for a circumstantial
demonstration that the one caused the other,” shifting the burden
to the defendant to show he would have taken the challenged action
even without the impermissible motive.
Hartman, 547
U. S., at 260 (citing
Mt. Healthy, 429 U. S., at
287;
Arlington Heights v.
Metropolitan Housing
Development Corp.,
429 U.S.
252, 270, n. 21 (1977)). But the consideration of causation is
not so straightforward in other types of retaliation cases.
In
Hartman, for example, we addressed
retaliatory prosecution cases, where “proving the link between the
defendant’s retaliatory animus and the plaintiff’s injury
. . . ‘is usually more complex than it is in other
retaliation cases.’ ”
Lozman, 585 U. S., at ___
(slip op., at 8) (quoting
Hartman, 547 U. S., at 261).
Unlike most retaliation cases, in retaliatory prosecution cases the
official with the malicious motive does not carry out the
retaliatory action himself—the decision to bring charges is instead
made by a prosecutor, who is generally immune from suit and whose
decisions receive a presumption of regularity.
Lozman, 585
U. S., at ___–___ (slip op., at 8–9)
. Thus, even when
an officer’s animus is clear, it does not necessarily show that the
officer “induced the action of a prosecutor who would not have
pressed charges otherwise.”
Hartman, 547 U. S., at
263.
To account for this “problem of causation” in
retaliatory prosecution claims,
Hartman adopted the
requirement that plaintiffs plead and prove the absence of probable
cause for the underlying criminal charge.
Ibid.; see
id., at 265–266. As
Hartman explained, that showing
provides a “distinct body of highly valuable circumstantial
evidence” that is “apt to prove or disprove” whether retaliatory
animus actually caused the injury: “Demonstrating that there was no
probable cause for the underlying criminal charge will tend to
reinforce the retaliation evidence and show that retaliation was
the but-for basis for instigating the prosecution, while
establishing the existence of probable cause will suggest that
prosecution would have occurred even without a retaliatory motive.”
Id., at 261. Requiring plaintiffs to plead and prove the
absence of probable cause made sense, we reasoned, because the
existence of probable cause will be at issue in “practically all”
retaliatory prosecution cases, has “high probative force,” and thus
“can be made mandatory with little or no added cost.”
Id.,
at 265. Moreover, imposing that burden on plaintiffs was necessary
to suspend the presumption of regularity underlying the
prosecutor’s charging decision—a presumption we “do not lightly
discard.”
Id., at 263; see also
id., at 265
.
Thus,
Hartman requires plaintiffs in retaliatory prosecution
cases to show more than the subjective animus of an officer and a
subsequent injury; plaintiffs must also prove as a threshold matter
that the decision to press charges was objectively unreasonable
because it was not supported by probable cause.
B
Officers Nieves and Weight argue that the same
no-probable-cause requirement should apply to First Amendment
retaliatory arrest claims. Their primary contention is that
retaliatory arrest claims involve causal complexities akin to those
we identified in
Hartman, and thus warrant the same
requirement that plaintiffs plead and prove the absence of probable
cause. Brief for Petitioners 20–30.
As a general matter, we agree. As we recognized
in
Reichle and reaffirmed in
Lozman, retaliatory
arrest claims face some of the same challenges we identified in
Hartman: Like retaliatory prosecution cases, “retaliatory
arrest cases also present a tenuous causal connection between the
defendant’s alleged animus and the plaintiff’s injury.”
Reichle, 566 U. S., at 668. The causal inquiry is
complex because protected speech is often a “wholly legitimate
consideration” for officers when deciding whether to make an
arrest.
Ibid.;
Lozman, 585 U. S., at ___ (slip
op., at 9). Officers frequently must make “split-second judgments”
when deciding whether to arrest, and the content and manner of a
suspect’s speech may convey vital information—for example, if he is
“ready to cooperate” or rather “present[s] a continuing threat.”
Id., at ___ (slip op., at 9) (citing
District of
Columbia v.
Wesby, 583 U. S. ___, ___ (2018) (slip
op., at 10) (“suspect’s untruthful and evasive answers to police
questioning could support probable cause”)). Indeed, that kind of
assessment happened in this case. The officers testified that they
perceived Bartlett to be a threat based on a combination of the
content and tone of his speech, his combative posture, and his
apparent intoxication.
In addition, “[l]ike retaliatory prosecution
cases, evidence of the presence or absence of probable cause for
the arrest will be available in virtually every retaliatory arrest
case.”
Reichle, 566 U. S., at 668. And because probable
cause speaks to the objective reasonableness of an arrest, see
Ashcroft v.
al-Kidd,
563 U.S.
731, 736 (2011), its absence will—as in retaliatory prosecution
cases—generally provide weighty evidence that the officer’s animus
caused the arrest, whereas the presence of probable cause will
suggest the opposite.
To be sure,
Reichle and
Lozman
also recognized that the two claims give rise to complex causal
inquiries for somewhat different reasons. Unlike retaliatory
prosecution cases, retaliatory arrest cases do not implicate the
presumption of prosecutorial regularity or necessarily involve
multiple government actors (although this case did).
Reichle, 566 U. S., at 668–669;
Lozman, 585
U. S., at ___ (slip op., at 10). But regardless of the source
of the causal complexity, the ultimate problem remains the same.
For both claims, it is particularly difficult to determine whether
the adverse government action was caused by the of- ficer’s malice
or the plaintiff’s potentially criminal conduct. See
id., at
___ (slip op., at 9) (referring to “the complexity of proving (or
disproving) causation” in retaliatory arrest cases). Because of the
“close relationship” between the two claims,
Reichle, 566
U. S., at 667, their related causal challenge should lead to
the same solution: The plaintiff pressing a retaliatory arrest
claim must plead and prove the absence of probable cause for the
arrest.
Bartlett, in defending the decision below,
argues that the “causation in retaliatory-arrest cases is not
inherently complex” because the “factfinder simply must determine
whether the officer intended to punish the plaintiff for the
plaintiff’s protected speech.” Brief for Respondent 36–37; see also
post, at 5 (Sotomayor, J., dissenting). That approach fails
to account for the fact that protected speech is often a legitimate
consideration when deciding whether to make an arrest, and
disregards the resulting causal complexity previously recognized by
this Court. See
Reichle, 566 U. S., at 668;
Lozman, 585 U. S., at ___ (slip op., at 9).
Bartlett’s approach dismisses the need for any
threshold showing, moving directly to consideration of the
subjective intent of the officers. In the Fourth Amendment context,
however, “we have almost uniformly rejected invitations to probe
subjective intent.”
al-Kidd, 563 U. S., at 737; see
also
Kentucky v.
King,
563 U.S.
452, 464 (2011) (“Legal tests based on reasonableness are
generally objective, and this Court has long taken the view that
evenhanded law enforcement is best achieved by the application of
objective standards of conduct, rather than standards that depend
upon the subjective state of mind of the officer.” (internal
quotation marks omitted)). Police officers conduct approximately
29,000 arrests every day—a dangerous task that requires making
quick decisions in “circumstances that are tense, uncertain, and
rapidly evolving.”
Graham v.
Connor,
490 U.S.
386, 397 (1989). To ensure that officers may go about their
work without undue apprehension of being sued, we generally review
their conduct under objective standards of reasonableness. See
Atwater v.
Lago Vista,
532 U.S.
318, 351, and n. 22 (2001);
Harlow v.
Fitzgerald,
457 U.S.
800, 814–819 (1982). Thus, when reviewing an arrest, we ask
“whether the circumstances, viewed objectively, justify [the
challenged] action,” and if so, conclude “that action was
reasonable
whatever the subjective intent motivating the
relevant officials.”
al-Kidd, 563 U. S., at 736
(internal quotation marks omitted). A particular officer’s state of
mind is simply “irrelevant,” and it provides “no basis for
invalidating an arrest.”
Devenpeck v.
Alford,
543 U.S.
146, 153, 155 (2004).
Bartlett’s purely subjective approach would
undermine that precedent by allowing even doubtful retaliatory
arrest suits to proceed based solely on allegations about an
arresting officer’s mental state. See
Lozman, 585
U. S., at ___ (slip op., at 9). Because a state of mind is
“easy to allege and hard to disprove,”
Crawford-El, 523
U. S., at 585, a subjective inquiry would threaten to set off
“broad-ranging discovery” in which “there often is no clear end to
the relevant evidence,”
Harlow, 457 U. S., at 817. As a
result, policing certain events like an unruly protest would pose
overwhelming litigation risks. Any inartful turn of phrase or
perceived slight during a legitimate arrest could land an officer
in years of litigation. Bartlett’s standard would thus “dampen the
ardor of all but the most resolute, or the most irresponsible, in
the unflinching discharge of their duties.”
Gregoire v.
Biddle, 177 F.2d 579, 581 (CA2 1949) (Learned Hand,
C. J.). It would also compromise evenhanded application of the
law by making the constitutionality of an arrest “vary from place
to place and from time to time” depending on the personal motives
of individual officers.
Devenpeck, 543 U. S., at 154.
Yet another “predictable consequence” of such a rule is that
officers would simply minimize their communication during arrests
to avoid having their words scrutinized for hints of improper
motive—a result that would leave everyone worse off.
Id., at
155.
Adopting
Hartman’s no-probable-cause rule
in this closely related context addresses those familiar concerns.
Absent such a showing, a retaliatory arrest claim fails. But if the
plaintiff establishes the absence of probable cause, “then the
Mt. Healthy test governs: The plaintiff must show that the
retaliation was a substantial or motivating factor behind the
[arrest], and, if that showing is made, the defendant can prevail
only by showing that the [arrest] would have been initiated without
respect to retaliation.”
Lozman, 585 U. S., at ___
(slip op., at 8) (citing
Hartman, 547 U. S., at
265–266).[
1]
C
Our conclusion is confirmed by the common law
approach to similar tort claims. When defining the contours of a
claim under §1983, we look to “common-law principles that were well
settled at the time of its enactment.”
Ka- lina v.
Fletcher,
522 U.S.
118, 123 (1997);
Manuel v.
Joliet, 580 U. S.
___, ___ (2017) (slip op., at 12) (common law principles “guide”
the definition of claims under §1983).
As the parties acknowledge, when §1983 was
enacted in 1871, there was no common law tort for retaliatory
arrest based on protected speech. See Brief for Petitioners 43;
Brief for Respondent 20. We therefore turn to the common law torts
that provide the “closest analogy” to retaliatory arrest claims.
Heck v.
Humphrey,
512 U.S.
477, 484 (1994). The parties dispute whether the better analog
is false imprisonment or malicious prosecution. At common law,
false imprisonment arose from a “detention without legal process,”
whereas malicious prosecution was marked “by
wrongful
institution of legal process.”
Wallace v.
Kato,
549 U.S.
384, 389–390 (2007).[
2]
Here, both claims suggest the same result: The presence of probable
cause should generally defeat a First Amendment retaliatory arrest
claim. See generally
Lozman, 585 U. S., at ___–___
(slip op., at 4–6) (Thomas, J., dissenting).
Malicious prosecution required the plaintiff to
show that the criminal charge against him “was unfounded, and that
it was made without reasonable or probable cause, and that the
defendant in making or instigating it was actuated by malice.”
Wheeler v.
Nesbitt, 24 How. 544, 549–550 (1861); see
also Restatement of Torts §653 (1938). It has long been “settled
law” that malicious prosecution requires proving “the want of
probable cause,” and Bartlett does not argue otherwise.
Brown v.
Selfridge,
224 U.S.
189, 191 (1912); see also
Wheeler, 24 How., at 550
(noting that “[w]ant of reasonable and probable cause” is an
“element in the action for a malicious criminal prosecution”).
For claims of false imprisonment, the presence
of probable cause was generally a complete defense for peace
officers. See T. Cooley, Law of Torts 175 (1880); 1 F. Hilliard,
The Law of Torts or Private Wrongs 207–208, and n. (a) (1859). In
such cases, arresting officers were protected from liability if the
arrest was “privileged.” At common law, peace officers were
privileged to make warrantless arrests based on probable cause of
the commission of a felony or certain misdemeanors. See Restatement
of Torts §§118, 119, 121 (1934); see also Cooley, Law of Torts, at
175–176 (stating that peace officers who make arrests based on
probable cause “will be excused, even though it appear afterwards
that in fact no felony had been committed”); see generally
Atwater, 532 U. S., at 340–345 (reviewing the history
of warrantless arrests for misdemeanors). Although the exact scope
of the privilege varied somewhat depending on the jurisdiction, the
consistent rule was that officers were not liable for arrests they
were privileged to make based on probable cause.
D
Although probable cause should generally
defeat a retaliatory arrest claim, a narrow qualification is
warranted for circumstances where officers have probable cause to
make arrests, but typically exercise their discretion not to do so.
In such cases, an unyielding requirement to show the absence of
probable cause could pose “a risk that some police officers may
exploit the arrest power as a means of suppressing speech.”
Lozman, 585 U. S., at ___ (slip op., at 10).
When §1983 was adopted, officers were generally
privileged to make warrantless arrests for misdemeanors only in
limited circumstances. See Restatement of Torts §121, Comments
e,
h, at 262–263. Today, however, “statutes in all 50
States and the District of Columbia permit warrantless misdemeanor
arrests” in a much wider range of situations—often whenever
officers have probable cause for “even a very minor criminal
offense.”
Atwater, 532 U. S., at 344–345, 354; see
id., at 355–360 (listing state statutes).
For example, at many intersections, jaywalking
is endemic but rarely results in arrest. If an individual who has
been vocally complaining about police conduct is arrested for
jaywalking at such an intersection, it would seem insufficiently
protective of First Amendment rights to dismiss the individual’s
retaliatory arrest claim on the ground that there was undoubted
probable cause for the arrest. In such a case, because probable
cause does little to prove or disprove the causal connection
between animus and injury, applying
Hartman’s rule would
come at the expense of
Hartman’s logic.
For those reasons, we conclude that the
no-probable-cause requirement should not apply when a plaintiff
presents objective evidence that he was arrested when otherwise
similarly situated individuals not engaged in the same sort of
protected speech had not been. Cf.
United States v.
Armstrong,
517 U.S.
456, 465 (1996). That showing addresses
Hartman’s causal
concern by helping to establish that “non-retaliatory grounds
[we]re in fact insufficient to provoke the adverse consequences.”
547 U. S., at 256. And like a probable cause analysis, it
provides an objective inquiry that avoids the significant problems
that would arise from reviewing police conduct under a purely
subjective standard. Because this inquiry is objective, the
statements and motivations of the particular arresting officer are
“irrelevant” at this stage.
Devenpeck, 543 U. S., at
153. After making the required showing, the plaintiff’s claim may
proceed in the same manner as claims where the plaintiff has met
the threshold showing of the absence of probable cause. See
Lozman, 585 U. S., at ___ (slip op., at 8).
* * *
In light of the foregoing, Bartlett’s
retaliation claim cannot survive summary judgment. As an initial
matter, the record contains insufficient evidence of retaliation on
the part of Trooper Weight. The
only evidence of retaliatory
animus identified by the Ninth Circuit was Bartlett’s affidavit
stating that Sergeant Nieves said “bet you wish you would have
talked to me now.” 712 Fed. Appx., at 616. But that allegation
about
Nieves says nothing about what motivated
Weight, who had no knowledge of Bartlett’s prior run-in with
Nieves. Cf.
Lozman, 585 U. S., at ___ (slip op., at 10)
(plaintiff “likely could not have maintained a retaliation claim
against the arresting officer” when there was “no showing that the
officer had any knowledge of [the plaintiff’s] prior speech”).
In any event, Bartlett’s claim against both
officers cannot succeed because they had probable cause to arrest
him. As the Court of Appeals explained:
“When Sergeant Nieves initiated Bartlett’s
arrest, he knew that Bartlett had been drinking, and he observed
Bartlett speaking in a loud voice and standing close to Trooper
Weight. He also saw Trooper Weight push Bartlett
back. . . . [T]he test is whether the information
the officer had at the time of making the arrest gave rise to
probable cause. We agree with the district court that it did; a
reasonable officer in Sergeant Nieves’s position could have
concluded that Bartlett stood close to Trooper Weight and spoke
loudly in order to challenge him, provoking Trooper Weight to push
him back.” 712 Fed. Appx.
, at 615 (citations and internal
quotation marks omitted).
Because there was probable cause to arrest
Bartlett, his retaliatory arrest claim fails as a matter of law.
Accordingly, the judgment of the United States Court of Appeals for
the Ninth Circuit is reversed, and the case is remanded for further
proceedings consistent with this opinion.
It is so ordered.