FRANCIS LELAND PICO
Assistant United States
Attorney
District of Wyoming
Cheyenne, WY 82003
(307)772-2124
Fax: (307)772-2123
IN THE UNITED STATES DISTRICT COURT
FOR
THE DISTRICT OF WYOMING
UNITED STATES OF AMERICA,
Plaintiff,
v. No. 03CR180-J
Ct. 1: 29 U.S.C. § 501(c)
(Embezzlement Of Union
DOUGLAS W. RODDA, Funds)
Ct. 2: 29 U.S.C. § 439(c)(False
Entries)
Defendant. Ct.
3: 29 U.S.C. § 439 (b) (False
Statement)
INFORMATION
The United States Attorney charges that:
At all times material to this
Information, the Locomotive Engineers, AFL-CIO (BLE), Division 245, was a labor
organization in an industry affecting commerce within the meaning of Sections
402(i) and 402(j) of Title 29, United States Code.
COUNT ONE
From on or about January 22, 1997
through on or about October 18, 1999, in the District of Wyoming, the
Defendant, DOUGLAS W. RODDA, while an officer, that is, Secretary-Treasurer of
Locomotive Engineers, AFL-CIO (BLE), Division 245, did embezzle, steal and unlawfully
and willfully abstract and convert to his own use the moneys and funds of said
labor organization in the approximately amount of $26,150.00.
In violation of 29 U.S.C. §
501(c).
COUNT TWO
From on or about January 22, 1997
through on or about October 18, 1999, in the District of Wyoming, the
Defendant, DOUGLAS W. RODDA, did willfully make or cause to be made false
entries in the records required to be maintained by Section 436 of Title 29,
United States Code, that is the Defendant made checks payable to himself and
his wife and noted in the “memo” portion of certain checks that the checks were
for expenses when in fact reimbursement for expenses was not due, and concealed
from Union officials that he had received the checks.
In violation of 29 U.S.C. §
439(c).
COUNT
THREE
On or about March 14, 1998,
through and including March 25, 1999, in the District of Wyoming, the
Defendant, DOUGLAS W. RODDA, did make and cause to be made false material facts
knowing them to be false in a report or document required to be filed by the Locomotive
Engineers, AFL-CIO (BLE), Division 245, with the Secretary of Labor pursuant to
Section 431 of Title 29, United States Code, that is, the annual financial
report form (LM-3).
In violation of 29 U.S.C. §
439(b).
DATED this _25th_
day of August, 2003.
MATTHEW H. MEAD
United States
Attorney
By: /SIGNED/____________
FRANCIS LELAND PICO
Assistant United
States Attorney
PENALTY
SUMMARY
DATE: 8/25, 2003
DEFENDANT NAME: DOUGLAS W. RODDA
ADDRESS:
OFFENSE AND PENALTIES:
OFFENSE: Ct. 1: 29 U.S.C. § 501(c)
(embezzlement of union funds)
PENALTIES: Not more than 5 YEARS IMPRISONMENT
$250,000 FINE
Not more than 3 YEARS SUPERVISED RELEASE
$100 SPECIAL ASSESSMENT
OFFENSE: Ct. 2: 29 U.S.C. § 439(c) (False
entries into books and
records of Labor Union)
PENALTIES: Not more than 1 YEAR
IMPRISONMENT
$100,000 FINE
Not more than 1 YEAR SUPERVISED RELEASE
$25 SPECIAL ASSESSMENT
OFFENSE: Ct. 3: 29 U.S.C. § 439(b) (False
statement)
PENALTIES: Not more than 1 YEAR
IMPRISONMENT
$100,000 FINE
Not more than 1 YEAR SUPERVISED RELEASE
$25 SPECIAL ASSESSMENT
TOTALS: Not more than 7 YEARS
IMPRISONMENT
$450,000 FINE
Not more than 5 YEARS SUPERVISED RELEASE
$150 SPECIAL ASSESSMENT
AGENT: Karen Sullivan, U.S. AUSA: Lee Pico
Dept. of Labor
ESTIMATED TIME OF TRIAL: INTERPRETER NEEDED:
_X_ five days or less ___ Yes
___ over five days _X_ No
___ other
THE GOVERNMENT:
___ will ___ The court should not
grant bond because
the defendant is not bondable because there
_X_ will not are detainers
from other jurisdictions
SEEK DETENTION IN THIS CASE.
FRANCIS LELAND PICO
Assistant United States
Attorney
Post Office Box 668
Cheyenne, WY 82003-0668
(307)772-2124
MICHAEL D. NEWMAN
Attorney at Law
P.O. Box 1000
Rock Springs, WY 82902
(307)382-6443
IN THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF WYOMING
UNITED STATES OF AMERICA
Plaintiff, Criminal
No. 03CR180-J
V.
DOUGLAS W. RODDA,
Defendant.
PLEA AGREEMENT
PARTICULARIZED TERMS
1. Pursuant to Rule 11(e), Fed. R.
Crim. P., the United States by and through Assistant United
States Attorney, FRANCIS LELAND PICO, for the District of Wyoming, and the
Defendant, DOUGLAS W. RODDA, and attorney for the Defendant, MICHAEL D. NEWMAN,
mutually agree as follows:
COUNT(S) PLEADING TO:
2. The Defendant, DOUGLAS W. RODDA, agrees to plead guilty to the
following:
(A) Count One of the Information alleging embezzlement of union
funds in violation of 29 U.S.C. § 501(c).
Class: D felony pursuant to 18
U.S.C. § 3559
Penalty: Not more than five (5) years
Fine: $250,000 pursuant to 18
U.S.C. §3571
Supervised
Release: Not more
than three (3) years pursuant to 18 U.S.C. §
3583.
Special Assessment: $100.00.
(B) Count Two of the Information alleging false entries in violation
of 29 U.S.C. § 439(c).
Class: A misdemeanor pursuant to 18
U.S.C. § 3559
Penalty: Not more than one (1) year
Fine: $100,000 pursuant to 18 U.S.C.
§3571
Supervised Release: Not more than one (1) year
pursuant to 18 U..S.C. §
3583.
Special Assessment: $25.00.
(C) Count Three of the Information alleging false statements un the
books and records of a Union in violation of 29 U.S.C. §
439(b).
Class: A misdemeanor pursuant to 18
U.S.C. § 3559
Penalty: Not more than one (1) year
Fine: $100,000 pursuant to 18 U.S.C.
§357 1
Supervised Release: Not more than one (1) year
pursuant to 18 U.S.C. §
439(c).
Special Assessment: $25.00.
WAIVER OF CONSTITUTIONAL RIGHTS:
3. The Defendant acknowledges
that by pleading guilty, he waives certain constitutional rights, including the
following:
a. If Defendant persisted in a plea of not guilty to the charges
against him, he would have the right to a public and speedy trial. The trial
could be either a jury trial or a trial by the judge sitting without a jury.
b. If the trial is a jury trial, the jury would be composed of
twelve lay persons selected at random. Defendant and his attorney would have a
say in jury selection by removing prospective jurors for cause where actual
bias or other disqualification is shown, or without cause by exercising
so-called peremptory challenges. The jury would have to agree unanimously
before it could return a verdict of either guilty or not guilty. The jury would
be instructed that Defendant is presumed innocent, and that it could not
convict him unless, after hearing all the evidence, it was persuaded of
Defendant’s guilt beyond a reasonable doubt.
c. If the trial is held before a judge without a jury, the judge
would find the facts and determine, after hearing all the evidence, whether or
not he was persuaded of Defendant’s guilt beyond a reasonable doubt.
d. At a trial, whether by a jury or a judge, the Government would
be required to present its witnesses and other evidence against Defendant.
Defendant would be able to confront those Government witnesses and his attorney
would be able to cross-examine them. In turn, Defendant could present witnesses
and other evidence in his own behalf. If the witnesses for Defendant would not
appear voluntarily, he could require their attendance through the subpoena
power of the court.
e. At a trial, Defendant would have the privilege against self
incrimination so that he could decline to testify, and no inference of guilt could
be drawn from his refusal to testify. If Defendant desired to do so, he could
testify in his own behalf.
4. Defendant understands that
by pleading guilty, he is waiving all the rights set forth in the prior paragraph.
Defendant’s attorney has explained all of those rights to him and the
consequences of his waiver of those rights. Defendant further understands that
if the court intends to question the Defendant under oath, on the record, and
in the presence of counsel about the offense to which the Defendant has
pleaded, that the Defendant’s answers may later be used against the Defendant
in a prosecution for perjury or false statement, or false declarations before
the Court.
5. The Defendant further
acknowledges that he has read the Information setting forth the aforementioned
charges against him. The Defendant acknowledges that the charges have been
fully and carefully explained to him by his attorney, and that he fully
understands both the nature and elements of the crimes with which he has been charged
and the maximum and minimum penalties to which he could be subjected in the
event he is ultimately convicted on said charges.
6. The Defendant agrees that he
is pleading guilty because he is, in fact, guilty and not for the purpose of
delay, or to protect family members, business associates, or other persons. In
addition, the Defendant agrees that he is aware of no circumstances or reasons
which would entitle him to withdraw his guilty plea. In this regard, the
Defendant further understands and agrees that he will have no right to withdraw
his guilty plea in the event the court does not accept the sentencing
recommendation of the United
States, if any, as
set forth below.
FACTUAL BASIS:
7. The Defendant agrees to give
to the court a complete and truthful factual basis for this offense to allow
the court to accept his plea of guilty.
RELEVANT CONDUCT:
8. Defendant has been advised
of § 1B1.3 of the Sentencing Guidelines regarding use of relevant conduct in
establishing sentence and has read the advisement regarding supervised release
as stated in this Plea Agreement.
JUDGE NOT A PARTY:
9. The parties understand that
the sentencing judge is not a party to this Agreement and is free to impose
whatever sentence he determines to be justified within the frame-work
established by the Federal Sentencing Guidelines and other applicable federal
law.
10. The Defendant acknowledges
and agrees that he has no right to withdraw his guilty plea once it is
voluntarily made upon the basis that he receives a sentence that is different
from the recommendation made by the United States and/or his counsel.
NO OTHER AGREEMENT:
11. The parties agree that this
Plea Agreement supersedes any and all other agreements or negotiations which
the parties may have previously reached or discussed, and this written Plea
Agreement embodies each and every term of the agreement among the parties.
DEFENDANT AGREES:
12. The Defendant agrees to
cooperate fully and truthfully with the United States as follows:
a. The Defendant agrees that if the United States determines, in
its sole discretion, that he has not provided full and truthful cooperation;
has committed any federal, state, or local crime between the date of this Plea
Agreement and sentencing; or has otherwise violated any other provision of the
Plea Agreement, the Plea Agreement may be voided by the United States. The
Defendant shall then be subject to prosecution for any federal crime of which
the United States has knowledge, including, but not
limited to, perjury, obstruction of justice, and the substantive offenses
arising from the instant investigation.
b. The Defendant agrees to pay to the United States District Court
Clerk for the District of Wyoming a Special Assessment in the amount of
$150.00, in cash, prior to the time of his entry of plea.
c. The Defendant agrees that he will not serve as an officer,
director, trustee, member of any executive board or similar governing body,
business agent, manager, organizer, employee, or representative in any capacity
of an labor organization (as defined in 29 U.S.C. 402) and/or as a consultant
or adviser to any labor organization. The Defendant also agrees that he will
not serve in any capacity, other than his capacities as a member of any labor
organization, that involves decision making authority concerning, or decision
making authority over, or custody of, or control of, the moneys, funds, assets,
or property of any labor organization.
d. The Defendant further agrees that he will not serve in a
position which entitles him to a share of the proceeds of, or as an officer or
executive or administrative employee of, any entity whose activities are in
whole or substantial part devoted to providing goods or services to any labor
organization. In addition, he will not serve as a labor relations consultant or
labor adviser to a person engaged in an industry or activity affecting
interstate commerce, or as an officer, director, agent, or employee of any
group or association of employers dealing with any labor organization. The
Defendant agrees he will not serve in a position having specific collective
bargaining authority or direct responsibility in the area of labor-management
relations in any corporation or association engaged in an industry or activity
affecting interstate commerce.
e. Defendant further agrees he will not serve as an administrator,
fiduciary, officer, trustee, custodian, counsel, agent, employee, or
representative in any capacity of any employee benefit plan (as defined in 29
U.S.C. 1002); as a consultant or advisor to an employee benefit plan, including
but not limited to any entity whose activities are in whole or substantial part
devoted to providing goods or services to any employee benefit plan; or in any
capacity that involves decision making authority or custody or control of the
moneys, funds, assets, or property of any employee benefit plan.
f. Defendant further agrees that he will not serve in any of the
positions and capacities listed above until thirteen (13) years after the date
of the agreement. However, it is specifically understood that he may accept
employment with persons, firms or corporations in a consulting, marketing or
public relations capacity wherein he may make presentations to employers and
employees (both union and non-union) for promotion of goods and services of
said employer, consistent with the restrictions as set out above.
g. In the event the Defendant violates the provision under the
heading Special Conditions prior to the expiration of thirteen (13) years, he
agrees to consent to the jurisdiction of the District court of the District of
Wyoming, to hear and determine the civil action enforcing the said provisions
herein.
13. The Defendant agrees to
waive his right to appeal the sentence he receives as a result of this Plea
Agreement. However, if the United States
appeals the Defendant’s sentence pursuant to 18 U.S.C. § 3742(b), the Defendant
is released from his waiver.
UNITED STATES AGREES:
14. If the Defendant fully and
completely satisfies the requirements set out above, the United States agrees to the following:
a. If the Defendant fully accepts responsibility during the presentence
investigation conducted by the United States Probation Office, the United States agrees to recommend the court
grant a reduction of three (3) offense levels to reflect the Defendant’s
acceptance of responsibility. See U.S.S.G. § 3E1.1(a).
b. The United
States will comment
on the evidence and circumstances of the case and bring to the Court’s
attention all aggravating and mitigating facts relevant to sentencing. The
Government reserves the right to rebut any statement made by or on behalf of
the Defendant at sentencing. Nothing in this Agreement shall limit the United States in its comments, responses, or
the filing of any motions regarding sentencing matters.
c. The United
States shall
recommend that the Defendant be allowed to remain free on an unsecured bond,
between the time of entry of his plea of guilty and the time of his sentencing.
d. The United
States agrees that
it will not oppose Defendant’s request that he be allowed to voluntarily
surrender at the commencement of his incarceration.
e. The United
States further
agrees that it will not oppose Defendant’s request for designation to a penal
institution located near his family consistent with the security level
allowable for him.
f. The United
States agrees that
this Agreement does not prevent the Defendant from asking the Court for a
further downward departure at the time of sentencing.
ADDITIONAL MATTERS:
SUPERVISED RELEASE:
15. The Defendant understands
and agrees that in the event the court imposes a term of supervised release as
a part of his sentence, that the terms of that Supervised Release will include
conditions that he not commit any other federal, state or local crimes, that he
not unlawfully possess controlled substances, and any other terms and
conditions which the Court deems appropriate. Defendant further understands and
agrees that if he is found to have violated any of the terms of and
conditions of Supervised Release, such release may be revoked and he then may
be sentenced to serve an additional term of imprisonment, in addition
to the term of imprisonment originally imposed.
SPECIAL ASSESSMENT, FINE AND/OR RESTITUTION:
16. The Defendant agrees to pay
the special assessment amount of $150.00 in cash, to the United States District
Court for the District of Wyoming prior to the time of his entry of plea. The
Defendant further agrees that any court-ordered fine or restitution will be
payable either immediately at the time of his sentencing or in accordance with
a payment schedule established by the court or by the federal probation office
at the direction of the court, which payment schedule will in any event provide
that the total amount of said fine or restitution shall be payable in full no
later than 30 days prior to the expiration of his period of supervised release
or probation.
17. A fine or restitution which
the Court states is due “in full immediately” is deemed delinquent if not paid
within 30 days from the date of entry of judgment, and a penalty of ten percent
(10%) of the principal amount delinquent will be imposed. A fine or restitution
is considered in default if payment is more than 90 days past due, and a
penalty of fifteen percent of the principal amount in default will be imposed.
A penalty equal to 25 percent of the principal amount in default will thus be
imposed if the Court orders payment “in full immediately”; and the required
payment is not made within 90 days of entry of the judgment. 18 U.S.C. § 3612(g).
The Court may allow payment of a
fine or restitution in installments. An installment payment is deemed
delinquent if not paid within 30 days from the date due, and a penalty of ten
percent (10%) of the principal amount delinquent will be imposed. An
installment payment is considered in default if payment is more than 90 days
past due, and a penalty of fifteen percent of the principal amount in default
will be imposed. Failure to pay an installment within 90 days of the due date
also permits the United
States to declare
the entire unpaid balance of the fine or restitution, including penalties and
interest if appropriate, due in full within 30 days. 18 U.S.C. § 3612(g).
Payment of a fine or restitution,
whether due in full immediately or by installment payments, may be made by
check or money order payable to the Clerk of the United States District Court,
and mailed to 2120 Capitol Avenue, Room 2131, Cheyenne, Wyoming, 82001.
In the event the court does not
make a fine or restitution award payable immediately, the Defendant further
agrees that he will participate in the Bureau of Prison’s Inmate Financial
Responsibility Program in order to make regular payments on his fine or
restitution obligation during any period of imprisonment to which he may be sentenced.
18. If the terms of this Plea
Agreement require the Defendant to pay a fine and/or make restitution
subsequent to the imposition of any sentence by the court, the Defendant agrees
to make a complete financial disclosure to the United States and in the form requested by the United States prior to the imposition of that
sentence. If the fine and/or restitution is paid in full prior to any sentence,
then such a financial disclosure is not required unless ordered by the court.
DOUGLAS W. RODDA MICHAEL D. NEWMAN
Defendant Attorney
for Defendant
/SIGNED/______________ /SIGNED/_________________
8-20-03 8/21/03
DATED DATED
/SIGNED/______________ /SIGNED/_________________
JOHN R. BARKSDALE FRANCIS
LELAND PICO
Criminal Chief Assistant
United States Attorney
Attorney for the Government Attorney
for the Government
25 Aug 03 8/25/03
DATED DATED
