Case 2:17-cr-00775-SVW Document 6 Filed 12/15/17 Page 1 of 37 Page ID #:20
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SANDRA R. BROWN Acting United States Attorney LAWRENCE S. MIDDLETON Assistant United States Attorney Chief, Criminal Division J:,1ARK A. WILLIAMS (Cal. Ba;r:- No. 239351) Assistant United States Attorney Deputy Chief, Environmental and Community Safety Crimes Section AMANDA M. BETTINELLI (Cal. Bar No. 233927} Assistant United States Attorney Environmental and Community Safety Crimes Section 1300 United States Courthouse 31.2 North Spring Street L9s Angeles, California 90012 Telephone: (213) 894-0470 F<;3.csimile: (213) 894-6436 E-'mail:
[email protected] Attorneys for Plaintiff UNITED STATES OF AMERICA
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UNITED STATES DISTRICT COURT
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FOR THE QENTRAL DISTRICT OF CALIFORNIA
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UNITED STATES QF AMERICA, Plaintiff,
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77 5
r
PLEA AGRE:EMENT FOR DEFENDANT AMOU:REDX CARRI�RS ·CORP;
v.
16
N;} · fR@7R
AMOOREUX CARRIERS CORP. Defendant.
18 19 20
This coristitutes the plea agreement between AMOUREUX
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CARRIERS CORP,
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fo.r the Cent:t9-l District of California ("the USAO".) in the above-
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refere . nced matter.
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bind any other federal, state; local, or foreign prosecuting,
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epforoement, ac:lministratiye, o:r: regulatory authorities,
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II
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I I. )I
2s
("defendEJ.nt") <;1nd the Unitect States Attorney's Office This agreement is litni.ted to the IJSAO and cannot
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RULE ll (c) (1) (C) AGREEMENT
1 2
2.
Defendant understands that this agreement is entered into
3
pursuant to Federal Rule of Criminal Procedure 11 (c) (1) (C) .
4.
Accordingly, defendant understands that, if the Court determines that
5
it wiil not accept this agreement, absent a br<;:iach of this agreement
p
by defendant prior to that determination and w:hether or not defendant
7
eiects to withdraw any guilty plea entered pursuant to this
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a.g:i;-eement, this agreement will, with the exception of paragraph 20
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below, be renderec\ null and void and both defendant and tn.e USAO will Defendant
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be relieved of their o];):I.igations under this agreement.
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agrees, however, that if defendant breaches this agreement prior to
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the Court 1 s determination whether or not to accept this agreement,
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the breach provisions Of this agreement, paragraphs 22 and 23 below,
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will control, with the result that de�endint will not be able to
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withdraw any guilty plea entered pursuant to thi$ agreement, the USAO
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will be relieved of all of its obiigations under this agreement, and
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the Court's failure to foliow ariy ;r
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sentence s�t forth in this agreew.ent will not: provide a pasis tor
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defendant to withdraw defondarit' s guilty p;Le<'?-;
2Q 21 22
DEF�NDANT'S OBLIGATIONS 3.
Defendant agrees to:
a.
Give up the right.to indictment by giand jury anct, at
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the ea:i:liest mutually convenient opportunity requested by the USAO.
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i3.nd provided by the Court, appear and plead gtiiity to a sihgle�ccmrit
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information that charges defenda,nt with Failing to Maintain an
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.of.33 U,S. C. § 19.0S(a) , 33 C.F.R, §§ 151.2S(d),
26. Accurate Oil Reco;rd Book whiie in United States Waters; in violation 2$
b.
(h) .
Not contest facts agreed to in this agreement. 2
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c.
Abide by all agreements regarding sentencing contained
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in this agreement and a£firma,tively recommend to this court that it
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impose sentence in accordance with paragraph 12 of this agreement. Appear for all court appearancesi obey all conditions
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ct.
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of any bo_nd, and obey
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e,
any
other ongoing cou.rt o·:tder ill this matter.
Not commit any crime; however, offenses that would be
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excluded for sentencing purposes uhder United states sentencing
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Guidelines (''U.S,S.G," o:t "Sentencing Guidelines·") § 4 Al.2(c) are not
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within the scope of this ag:i;-eement, f.
io 11
United St.ates Proba,tion Ofhce, and the Court.
12 13
:ee truthful at i:J.11 times witll P;i;etricl-1 Services, the
9.
Pi;\y tQ.E! a,pplicable special assessment at 6r before the
time of sentencing unless otherwise provided by the Court. h.
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Pun�uant to 33 u.s.c. § 190El (a), not oppose a
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recommendation by the USAQ or a Cou;r:-t order that an amou,nt equal t6
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no more than haif_of any fine imposed by the Court be paid to the
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person or persons giving infQimation leading to a.try conviction ;i.n
.1s
connection w;Lth the underlying investigation.
':!;he names of those
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individuals wiii · b e lodged with the Court, unde.r seal, by· the
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government on the day of sentencing.
Although defendant will not
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oppose such ;;t reql\est or order, defen:dant reserves the right to file
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a memorandu:rµ with ·the Cc;m:i;-t regarding any payments to :be ordered by
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the Court pursuant to 33 u�s.c, § 1908(a).
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i.
Defendant and CA.i?I'rAL S.f.IIP MANAGEMENT CORP. will not
_25
f;i.le or otherwise in,itiate any olaim, lawsuit, or othe"r action under
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33 o,s. n.§ 1904(h) .
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THE USAO'S OB'GIGiATIONS 4.
The {)SAO agrees to�
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a.
Not con;t;e st facts .agreed to iri this agreement.
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b.
Abide by all agreements regarding sentencing contained
3 · in this agreement and affirmatively recommend to the court that it
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impose sentence in accordance with paragraph 13 of this agreement. Except for criminal tax violations (iriclrtding
c.
5
u.s.c.
6
conspiracy to commit such violations chargeable under lfl
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§ 371) , not further q:irttinally ptosecute defendant and/or .CAPITAL
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SHIP MANAGEMENT CORP. for violations arising out of defendant's
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conduct described in the agreed-to factual l;>asis set forth in
n.s.c,
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parc1graph 1 1 l;>elow, including Title 18
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Defendant �md Capital Ship M�mageruent Corp. understand t:,hat the \)SAO
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is free
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§§ 1001, 371.
to criminally prosecute <;i�fendant for any other unlawful ;past
conduct or any unlawful conduct that occ::tirs after the di;J,te .of this Defendant !;lgrees that at the time of ::iente;n<;!ing the Coun
14
agreement.
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fuay consider the uncharged conduct in d.eteri:nining the applicable
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sentencing Guidelines range, the propriety and extent of any
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departure from that r:i;tnge; and the sentence to be :imposed after
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ccmsiderati.on of the Sentencipg Guidelines and all other relevant
19 · factors under 18 tJ. S. C. § 3553 {a) . 20 21
COMPANY AO'tHORIZ_A.TIO}!
5.
Defendant represent;s that it is authorized to enter into on or before the change of plea hearing pursuant to
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this cJ.greement,
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thi.s agreement i defendant shall provide the U$AO and the c;ourt with a·
24 · corporate resolution signed by a company representative for defendant :25
and capit!:ll SJ::iip Management Co:r:p. certifying that defi9nse c:ounS-el il3
26.
authorized to enter into and comply w:Lth .all of the provisions of
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thi(3 cigreement.
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compariy r·epresentative who is authorized to take the actions
.
.
Slich docuI{\ents sha,11, at a minim.uni, des:ignate a 4
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specified in this agreement, including pleading guilty oh behalf of
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the co:mpa)Jy, anct shall al$o state that all legal formalities for -'=luch
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authorizations have been observed.
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ORGANIZATIONAL CHANGES AND APPLICABILITY 6,
This agreement shall bind defendant, its successor entities
(if any), and other person or entity that assumes the liability
7 . contained herein ("successors-in-interest").
Defendant, or its
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successors-in-interest, if applicable, shall provide the USAO and the
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United states Probation Office for the Central District of California
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with immediate notice of any na..me change, l;>m�ines;l reorganizati on,
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s,;3.le or purchase of assets, divestiture of assets, or similar .action
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impacting its · ability to pay the fine or affecting this ag;reement.
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N o change iri name, ch-ahge in corporate or individual control,
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business :teorgan.ization, change in ownership, merger 1 change of legal
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,gtatus, saie or purchase of assets, or similar action shall alter
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defendant's responsibilities under this agreE:iment.
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not engage in any action to seek to avoid the l)bligat.ions and
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conditions set forth in this agreement.
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Defenc;lant sha.;n
NATQRE 0F THE OFFENSE 7.
Defendant unde:i::stands that for defenda,nt to be guilty of
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the crime charged in the single�count Information, that is1 Failing
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to Maintain an Accurate Oil Record B .ook while in United States
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Wate;ri;l, in. violation of 33 u.s.c. § 1908 (a), 33 C.F. R. §§ 151.25(0.),
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(h), the followin9" must be t;rue: by and t):i.rough the acts o;/: its
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agents and/oit' employees, '.defendant knowingly failed to ntaintain an
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accurate Oii Record Book wpile in United States waters in which .all
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discharges, disposals, and t;rans;Eers of bilge wate:t that c:1.coumuiated
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in machinery spaces were required to be .recorded. 5
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PENALTIES
2
Defendant understands that the statutory maximum sentence
8.
u.s.c.
§ 1908 (a) , 33
3
that the Court can impose for a violation of 33
4
C.J;.R. §§ 151.25 (d) ,
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of $500;000 or twice the gross gain or gross loss resulting from the
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offense, whiqh<::,ver is greatest; anc;l a mandatory special assessment of
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$400.
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()1.) is: a five..,-year period of probation; a fine
SUSPENSION, REVOCAT:tow, AND DEBARMENT Defendant understands that if defendant holds any
9.
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regulatory licen$es or permits, the r:::onvictiohs iP this case may
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result in the 13uspension or revocation of those licenses and permits,
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The USA.O makes no representation or promises concerning suspension or
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deba:i::ment of defend:ant from contracting with the United Stateq or
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with any office, agency, or department thereof.
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debarment of organizations convicted under various federal
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e,nvirohmental and criminal statutes is
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action solely within the federal contracting agenctes.
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understa;n<;ls that unanticipated collateral consequences such .a§ thi§
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wili not serve as grounds to withdraw defenda,nt's guilty plea.
22 2'.?
discretionary a,dmini$trati()t1. Defendant
FACTUAL BAS:CS
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a
Suspension and
lb. offense
Defendant adin:i.ts that defendant is, :Ln fact, guilty Of the
to which defendant is agreeing to p:lead guiity
11-\ . bef$ndant a.ti.ct the USAO agree to the statement of facts
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provide9: below ahd agree that this statement of facts is sufficient
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to support a plea bf guilty to the cb,arges desc.tibed in this
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agreement as well .a.s the sE:ntence, conditions of probation,
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environmep.tai compliance program,·
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agreement.
and
fine specified in this
The statement of facts is 11.ot meant to be a complete 6
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recitation of all facts relevant to the underlying criminal conduct
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or all facts known to either p arty that relate to that conduct.
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The M/T Amoureux is a crude oil tanker bearing Jnternati-0nal
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Maritime Organization ("IMO") Number 933701.6 ths,.t was buiit in 2008.
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The ship is approximately 898 feet long arid 78,809 gross tons.
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M/T Ain1.n1re11x sa:Lls under the I,.il;>erian flag and is owned by defendant.
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Capital $hip Management Corporation ma11-ages the M/T Amoureux vessel.
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The
From on or cl.bo11t March 6, 2017, to on or about May 29, 2017, GHEQRGHE AMZA ("AMZ.A") was the Chief Engineer aboatd the M/T
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.Amoureux.
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operations, maintenance, and wo rk in the engine room, as well as the
1�
engine room crew, aboard the M/T Amoureu,x.
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24, 2017, to on Or about May 29, 2017, \',1ARIUS-STEFAN MARINAS
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("MARINAS") was the Seconc;l Engineer aboard the MIT Amouieux.
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or about Deoemb$r 1, 2016, to on or about May 29, 2017, SANDO
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GBBORGlUTA ("GHEORGHITA") was i;:he Third Engineer aboard the M/T
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Am9µreux.
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worked on the ship,
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As the Chief Engineer, AMZA was responsible for all From on or about February Ftom on
Both MARINAS and GH�ORGHITA reported t o AMZA while they
The M/T Aiuc:>ureux was equipped with pollution control e_quipment
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called an Oily water Separator that was used to remove oil from
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engine room bilge water before th� filtered water wa$ discharged
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overpoard.
23.
employment on the shi:Pr · AMZA. �nd MARINAS directed and supervised six
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tr:ansfers of oiiy t-iater from bilge \ifeHs in the MIT Amoureux r /3 engine
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room to tl)e ship's sewage tank which were not r.eco.r ded in th€l MIT
Whi],e acting within. the course and scope Of their
26 An)oureux Oil Record Book. 27 · 28
In addition, oh or ,;i.b-out March 16. and May
3, 2017; AMZA; MARINAS, and GH.EORGITA, acting within the normal i cou:tse · and sc ope of their employment, knowingly ;hooked up a f:te:!1h 7
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water hose to flush the Oil Content Meter in order to tri·ck the
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sensor so that oil�contaminated water could be continuously
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discharged overboatd from the bilge holding tank without properly
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filtering it through the Oily Water Separator pollution preventio;u
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equipment,
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residues and dischcJ.:rqes overboard or disposals otherwise of bilge
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water that had accumulated in machinery spaces that Should have been
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fully and accurately recorded in the MIT Amoureux's Oil Record Book.
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At leci.st one individual knowingly failed to fully and accurately
The foreqoing · discharges constitute disposals bf oil
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record these overboard discharges in the M/T Amoureux's Oil Re¢ord
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Boo·k, and the omissions were intended at least in part to benefit the
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company.
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On or about May l2, 201,, the MIT Airroureux called the I;'ort bf While in United Stiit.te:ai Wat$rs, shipboard staff faileci
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Los Angeles.
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t o maintain a n accurate Oil Record Book, a s a t lei';lst one transf�r
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and/or discharge of bilge water that accumulate.ct :in Jnc;l.chinery spaces
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was kn,9wingly omitted from the Oil Record Boo]<;.
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Defendant ha$ cl.greed to. voluntarily accept criminal liability
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for the acts of its agents and/or employees as-described in this
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factual bacJis, as the 11).ctnagement of i;:tCcumulated bilgE; water is iyithin
2;1,
the scope of the ¢rewmembers' agency and/or employment. . · .S:e;NT,ENCTNG AGREEME:NT
· 22 2�
12, · Defendant and the 1JSAO agree and $t;:±pt1late that, pursuant
24
to United States Sentencing Guidelines (''U.S.S�G.") §§ 8C2. 1 a.rid
25
sc2.10, the sentencing guidelip.es are not app;J.icable in determining
26
the fine .for an ,9rganization vi¢1,ating 33 U;S,C, § 1908.(a.) and 33
2'7
C. f,R; §§ 151.25 (d) , (h) , but all other sections of Chapter 8 of the
28
U.{:i'.S.G, are a_pplicable in this case, including the provisions
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regarding probation .
2
defendant' s sentence, the Court is alsa required to consider the
'.3
factors set forth in Title 18, United States Code, Sections 3553 ( a)
4
and 3 572, includi:qg the ldnds .of sentences i9.Ud sentencing ranges
5
established under the Sentehcihg Guidelines.
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Defendant unders tands that in determining
1 3 ; . Pur!'mant . to Chapter 8 of the Sentencing Guidelines c3,nd the
7
factors s et forth ·in Title 18 , United States Code, Sections 3553 (a)
8
c;;lnd 35'72, including the natur-e and circumstanqes ot the offense and
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the history and cnaracteristics of the defendant , the need for the
10
s entence imposed, the need for the sent.ent:e impos ed to reflect the
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seriousnes s- of the offense, to promote respect for the law, to
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provide j ust punishment for the offense, to afford adequate
13
deterreno.e to criminal conduct, and to protect the public fro:rp.
14
further crimes -of the defendant, the parties agree that defendant
15
shall be seiitenced . a s fallows ·:
16 1,
a.
:Probat:i,on :
Defendant sha:ll be sentenced to prol:?ation
for a term of three years with .conditiori.i, to be fixed by the Court.
18
.ltnvironmentaJ- Gompl..iance i?;r;ogram :
Defend.ant $hall
19
promptly · implement a n environmental co;mpli;mce p:i;ogram i n accoroance
20
with Exhibit A; which shall al::10 be incorporated as conditions of
2 :J-
defendant ( s probation .
22
c.
Criminal Fine :
Defendant shaii pay a total 13rimina l
The crifnin.al ;fine shall be paici a$ follows :
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fine of $700, 000 .
24
$3 5'0 , G O O within two weeks of the entry of j udgment by certified check
25
or wire trans f$r to th� Clerk of the United states District Court for
26
the Central Dist:i;ict of California ; and two separate payments of
27
$ 17 5 , 000 on U1e first ap.d second anniversaries_ of the date on which
28 · s entence was imposed ,
Defendant rµay p ay the fine ea.:i::lier . 9
All
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payments shall be made by certified check or wire tran$fer to the
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Clerk of the United States Di s tr i ct Court for the Central District of
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California.
4
tQ the USAO.
5
d.
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Confirmation of the cotnpletec;l payr(lent shall be provided Special Assessment :
Defendant s h.all pay a total
spepial �ssessmerit of $4 00 , 14 .
Pursuant .to Federal Rule 6£ Criminal Procedure
8
3 2 ( G ) ( 1 ) (A) (ii) , the parties reqi;iest that the Cou:tt waive the
�
preparation of a presenterice ;report ih this matter.
The parties
J,0
further request that the Court sentence defendant at the time the
11
guilty plea i s entered.
12
15 ;
In the event that the Court defers a,c;ceptance or rejection.
13
of this specified sentence plea until it has reviewed the presentence
i.4
report in this ca,se pursuant to Fec;iE:lral Rule of Criminal Procedure
15
ll (c) ( 3) (A) , both defendant and the USAO are free to : (a) supplement
16
the .facts stiplllated to in this Agreement by supplying relevant
17
inf0rmation to the United States Probation Office and the Court ; and
· 18 19 ·
(b) correct any and all factual misstatements relating to thEl caiculation o.f the sentence .
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WAIVER OF CQNSTI'I'.U'.UONAL. RIGHTS 16 .
Defendant understands that by pleading guilty, de.fendant
gives up the following rights ; a,
The right to persist in a piea .of · not gtdlty .
];) .
The right to a spe�dy and public trial J::>y j ury .
c.
The right to be r�presente(i by counsel at trial .
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26
Defendant understands, however, that, defend.a,nt retains the right to
27
be represented by counsei
28
at
every other stage · ot the proceeding . 10
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d.
The right to be presumed innocent and to have the
2
l::>i;trden of proof placed on the government to prove defendant guilty
3
beyond a reasonable doubt .
4 5
e.
The right to confront and cross--,examine witnesses
against -defendant . f.
6
The right to testify a11d to present evidence in
7
opposition to the charges, inoluding the right to cbmpel the
8
attendance of witnesses to testify .
9
g.
The right not to be compelied to testify, �nd, if
10
defendant chose not to testify or present evidence , to have tl1at
11
choice not be used against de;Eendant .
12
h.
Any and all rights to pursue any affirma,tive defense s /
13
Fourtl+ Amendment claims, and other pretrial motions that haye been
14
filed or could be filed .
WAIVER OF APPEAL QF CONVICTION
15 16
17 .
Defendant understands that, with the exception of an appeal
17 · based 0n a claim that defendant ' s guilty plea was in"i.Toluntary, by 18
pleading guilty defendant is wa.ivi:ri,g i:ind giving \lP any right to
i9
appeal defehdaht's convictions on the offenses to whioh defendaht is
· 20
pleading guilty.
2.1 22
LIMITED MUTUAL WAIVEE OF .P.fPEAli OJ!' SEN+1E1'1CE 18 .
Defendapt agrees that, provided the Court imposes the
;23
S et1tenced specified iµ paragraf>h 13 above, defe:ncl-ant gives up the
�4
t:igh,t to appeal a,.ny portion of the sentence .
26
;')entence specified in paragraph 13 above, the USAO 9ive-s up its right
27
to appeal ariy pm::tion o :t the sehtehce .
2;i
28
19.
The US.AO agrees that, prov:(.ded the Court iiliposes the
11
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RESULT OF WJTHDRAWAL OF GUJLTY PLEA
1 2
20 .
Defendant agrees that if, after entering a guilty plea
3
pursuant to this agJ'..'eemerit, defendant seeks to withdraw and suc:ceeds
4
in withdrawing defendant' s guilty plea on Ei;ny }:;iasis other than a
5
Claim and finding that entry into this plea agreetnf;:lht was
6
involuntary, then ( a } the USAO wi ll be relieved of all of its
7
obligations un-der this agreement , including in particular its
8
obligations regarding the use of Cooperation Information ;
9
investigation, criminal prosecution,
10
or
(b) in any
civil; administrative, or
regulatory action, defendant ag.:r:ees that any Cooperation Information
ll
and any evidence derived from ah,Y Cooperation Information shall be
:1 2
admi 9 sible against defendc1nt, and defendant will not asse:r;t, and
13
hereby waives and gives up,
14
Constitution, any statute, or any federal rule, that any Cooperation
15
Information or any evidence derived from any Cooperation Infor,matioh
.1 6
:ih.ot\ld bl;:! ,suppressed or is iriadmissibl� ; c;3.nd (d} sh9ulct the -'QSAO
17
choose to pu'.l;'!;!Ue any charge or any civ;Li ( admiPi$tratiye , or
.J,8
regulatory action that w,;1s either dismissed or not filed a$ a result
19
·o f thi.s agreement, then (i} any a.pp1i9!;lble $ta.bite 0£ '.Limitations
20
will be tolled between the. date of defendant i s dgning of this
21
i;lg:teement and the filing c:ommen,cihg any such. action; and
22
(ii) defendant waiVel;l and giv-es up all defens.es based on tn.e st.atute
Z.3
o::i: limitations, any c;J.aim of pre-indictment dela. Y, or any s;peedy.
24
tri.a.l claim with respect t.o any such action, except to the extent
·2
5
26
an;{
claim undt;!:r: tl+e United Stp.tes
that sµch clefenses exis.ted as of the date of defendant' s signing U1is c;lgreement .
27 28 12
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EFFECTIVE DATE OF AGREEME.NT
1 2
21.
This agreement is effectiv.e upon signature and execution of
3
al). required certifications by defendant, clefendant' s coun$el 1 and an
4
Assistant United states Attorney . BREACH OF AGREEMENT
5 6
22.
Defendant agrees that if defendant, .at any time after the
7
signature of this agreemeht and executio:q of all required
8
certifications by defendant, defendant r fJ counsel, and an As sistant
9
United States Attorney , knowing],. y violates or f9"ils to perform any of
l -0
defendant ' s obligations under tµis agreement .(u a brec\.ch") , the USAO
J. :)..
may declare this agreement breached.
12
knowingly, in i;l.D interview , before a gr\;lnd j ury, or at trial, falsely
;1.3
accuses another pe�son of Qriminal conduct or falsely minimizes
14
defendant's own ro:L<:l, or the role of another, in criminal conduct,
15
defendant will have breach�d, this ag:teement .
16
obligations are material , cJ. single bre13.ch pf.' this agreement i.s
17
sufficient for the DSAO to deolare a bre!3,ch ; and defendant sb.all not
18
be dl3emed to have ci+red .a ]:;)reach witlwut t he express agreeh$;nt of the
19
USAO in writing.
20
the Court finds such a breach to hav� occurred, then :
21
a..
For example, if defendant
All .o f defendant's
Ii the t;JSAO dec:lare� tflJ.l? agreement breached, and
If defendant has previously entered guilty ple;';l
22
.pursuant to this agreement_, defendant will not be al;:lle to w;i.thdraw
23
the guilty plea .
24 25
b,
ThEi USAO will b e relieved o f .all its obligations trnder
this agreement ; in particu).ar, the USAO : · (i) will no ionger be bound
26
by any .agreements ,concerning sentencing and. will be .free tp seek cJ.ny
· 27
sentence up to the statutory -maximum for the crime to which defendant
28
has pleaded guilty ;
(ii) will no loh<;'.Je:t. be bound by any agreements 13
Case 2:17-cr-00775-SVW Document 6 Filed 12/15/17 Page 14 of 37 Page ID #:33
1
regarding criminal p rosecution, and will be free to crbninally
2
prosecute defendant for any crime incluc;l.ing char<;:res that the USAO
3
would qtherwise have been obligated to dismiss or not to criminally
4
prosecute pursuant to this agreement ; and ( iii) will no longer be
5
b0und by any a g reement regarding the use of Cooperation Inf6rmati6n ·
6
ano wiil be free to mie any Cooperation Information in any way in any .
7
investigation, criminal prosecution , or civil, administrative, or
8
regulatory action . o.
9
The USAO will be free to criminally prosecute
10
defendant fqr false s tatement, obstruction of j ustice, and perjury
11
based on any knowingly false or mi::iieading $tatetnent b.y defendant.
12
d.
In any invest:i,ga;tion, oriminal pro.sec-ution ; or civil,
i3
administrative, or regulatory action : (i) defengant will not as sert,
l4
and hereby waives and gives up 1 any claim that a.ny Cooperation
is
Information, was obtained in violation of the Fifth Am<;\ndment
j.6
privilege against compelled self-incrimination; and ( ii ) clefendan:t;
17
agrees that a:ny Cooperation Information a.nd any Plea Information, as
· 18
well as any evidencf;l derived from any Cooperation Information o.r any
· 19
Plea Info:ttnation , -shall be ,admissible against · de:t:enc:i.lil.nt, and
20
defendant wi:1 1 not assert, and hereby waives and gives up, any claim
21
under the Unite<;!. Stat�$ constitµtion 1 any statute.i Rule 41 0 of the
22
Federal �ules of Evidence, Rule ll (f) of the Federal Rules of
23
Cri.rttina;l ,Proce.qure, or any other .federai rule, t)J.at any Cooperati<'.:m
24
Infc>rmationf any Plea I_nfortna:tion ; or EinJ evidence der:L ved from any .
25
Cooperation InformatiGh
26
or .;L s inadmiss ible .
27 28
23 .
();r:
any Plea Information should pe suppre:;; :;;ed
Following the court; s fihdin9 of a . knowing breach of this
agreement by o.efoti,daht, 13hould the O'SAO ohbose · to pursue any charge 14
Case 2:17-cr-00775-SVW Document 6 Filed 12/15/17 Page 15 of 37 Page ID #:34
1 2
or . any civil,. administrative, or regulatory action that was either
dismissed or not filed as a result of thi s agre-ement; then : a.
3
Defendant agrees that any applicable stat-ute of
4
limitations is tolled between the date of defendant ' s signing of thi:;;
5
agreement and, i::he fi],ing commencing any such aqt.i cin . b.
6
Defenctant waives and gives up all defenses based on
7
the st!ittUte of limit;3.tions, any claim of pre-indi ctment delay, or any
8
speedy trial claim with respect to any such action, except to the
9
extent that su.ch d e:l;el:l.s$s existed as of the date of qlefendant ' s
10
signing this agreement.
il 12
COURT AND PROBATION OFFICE · NQT PARTIES 24 .
Defendant understands that the Court anq the Uni1:ed States
13
Probation .Office are not parties t o this agreement and need not
14
accept any o f the USAO ' s sentencing recommendations o r the parties '
15
a,greement$ to facts or sentencing factors. Defendant understands tl;J.at
16 the Court wiil <:leterm:Lne the facts, senten cing apd will decide for 17 18
i tself whether i;:.o accept and agree to 25 .
be
bound by this agreement.
Defendant ,understand$ that l:;>oth defendant and the USJ\.O are
19 · free to : (a) supplement the facts by supplying . relevant information
20
to the Uhited States Probation Office and the Coutt,
.21
and 011 factual miss-tateme:p:cs relating to the Court' s Sentencing
22
Guid,eli·nes calculations and determination of sentence, and (c) argue
23
or). appeal and collateral review that the C0urt 1 s . $entencing
24
Guidelines. calcula:tj,on s and the sentence it ch90ses to impose are not
(b) correct any
25
e:i:;ro:i;:, although each pai-ty agrees to maintc;:lin it.s view that the
26
s �p.terwe refe:tre<:l to in parctgraph 13 is consistent with the facts of
27
this cairn..
28
to .s ubmit !ull and complete factual information to the united Sti;i,tes
Wl;iile mis paragraph permits both the tJSAO a n d defendant 15
Case 2:17-cr-00775-SVW Document 6 Filed 12/15/17 Page 16 of 37 Page ID #:35
1
Probatiop Office and the Court , even if that factual information may
2
be viewed as inconsistent with the facts agreed to in this agreement,
3
this paragraph. does not affect defendant' 9 and the USAO ' s obligations
4
not to contest the facts agreed to in this agreement.
NO ADDITIONAii AGREEMENTS
5 26,
6
Defendant understands that, except as set forth herein,
:0r
7
there are no promises, understandings,
8
and defendant o:t defendant' s attorney, and that no add;Ltional
9
promise , understanding, or agreement_ may be entered into unles$ in a
agre$Ilents between the USAO
10
writing signed by all pc;1,rtiE;s o:i:: on the record in court.
11
//
12
//
13
//
14 15 16 17 18
19
?O 21 22 28 24 25 26 27 28 ;1. 6
Case 2:17-cr-00775-SVW Document 6 Filed 12/15/17 Page 17 of 37 Page ID #:36
4
6 7
entire aJ reeme n t had b&eh read i n t o the reco�d of the pToceed i ng .
iJN l'i'ED S'l'A1'!,;�� A'1"2DRNEY ' t\ O f f I Ct� FUR 'l'fil; z:i'� N'l'H.i\L DIS'T RI C'r O F CAtI FO ·.N I A
I« fe_/Jwit_:__ f\t. t o rney
9 10
BE'rT WR UI
Un J t� d st a t�es At Lt.J t-rwiy
11
1
12
13 14
l )} 19
Au thor. i zwJ Represen tq t i ve qf De fendant M,K')UR\mx CARRI ERS COR P .
21 22
GEORGE
�J)l( !¥1__ UJI} ___... _______
, . rr)i\l,Qf> t;,; r Defend a n L •.:AH R IF:RR COR P ,
tJi'l t: •1:'
25 27 28 ., 1
'.
Case 2:17-cr-00775-SVW Document 6 Filed 12/15/17 Page 18 of 37 Page ID #:37
CERT I FT CA 'l' I ON _ 0 E' _ fJE F1'NOAN'1' 2
6
t r,o roug hly di scussed e v e r y pi'l r t o r i t w i. t h de fem1an t ' s 3ttor.ney .
I
1 i unde rs t and LL.•-=- r e rrfis of t h.i s a g r1.:z. emen t , n nd 1 v-0 J 1; n ta r i l y agrE!G to 8
t hose te;;· ms on bPh.:a 1 f o f d <2 t e r,da n t .
9
w i lh defenckint ' " o• \: '.:.o r.r.1 E '/ , .and ck, tendant ' s attorney h a s advised me of
I hfH16 disc1Jssed the evid,;,nce
10
rny r i qh t s , o-;' po:,; s i h l e pi.- e t. ri � l mo t ion.:, t hat w.ight b;:,- f i led, of
12
o f the se1l le t\t�ing factors s e t: fo r c t1 i n 1 8 D . S . C . § 3 5 5 3 t a ) , o f
13
.r e l e vi'! n t: Sen t is•nc.l nq (�1 t i deJ.ines p r o ·, i s ions , a nd o f the conseqitences ,:;.f
14
,;,nt.e r ing -into th.i.51 a.g reern�::-nt .
15
represen t a t i o n s o [ a n y kind h ;; v e b<"Hm made t.o m e or (!,? f0, ndant ot h e r
16
t han tho s e oon tal.ned i n l:J-ihi �gJ:"eemen t .
18
sa t U; f i r,cl w i t h the :repre:c:en t a t ion o f de f1� ndant ' s a t torn•)Y ;in t h i s
19
mc< t t0 r , and J arn p l ead i .n g gui H y on l.)e-,ha l f o f defendan t bRcao s e
21
.-- - ··-- -..... prnm i s e t, .s-e'i:: :f o r t.h lh t hi s l'l{l l'0•::?m,:,rn t , and not for any other reason .
/.
No p rom.is(., :� , indu cemen t ::, , oJ:
\
I
��-----'("'. .-�·�.::!22-:c� �//_ . ---·�---
2.2
-,
,./;
'
,
I
24
1 HAM£ : · �1 Qi�it'c d
25
·n ·r1s :.
26
Au thori zed Represen ta t i ve of Defend a n t ANOUREO>t CARRI ERS COR P .
·I
i)�\ e.. -
No orm ! ,as threat,�ned o r
i:Jl�lJ
/)' '--c. ,,l. 1,,.edov
18
0 ,,, u,
14. t.:.119'lbl,,, ".') 1 r I
l
'l'
Case 2:17-cr-00775-SVW Document 6 Filed 12/15/17 Page 19 of 37 Page ID #:38
5
o f its :riqtH_, � , <:;f poss ible p r n t.. d a l ll\Q l; ion.s Uv,i t m.i g ht be f i leci , o [
8
r e l e vant sentenc i ng Gu idel i ne B p ro v i s i on s , a �d of th0 cons equences of
9
en t e ring i. n to thj_s agte0rnent .
'l'o my knnwl e::dg;,i : nQ prc111i s e s ,
10
indu(;eineot.s , or repi::esen tati.ons o f a n y k i n d h;::ive been made t.o illy
11
clien t ot 1Ki i: t.hi'n) t)1ose f:Onta. i ned i n t h i s sH/ re':eme n t ; no O!le haB
1 .,,.
threatened o r f-on•red my cl i.ent in any wa y t o enter int:o i:-�h i s
13
ag.reemen t ; my clien t ' ,;; dec.i s ion t,i enter i n to this a g re
1'l
i n fo rm,�ci n.nd vol u n t.arv or1c ; anct Uw t ;; c t n a l ba:;, .i. ::, s 0 t fo r t h in thi s
16
pursua n t to this agreement .
j (1
GEORGE M A t t o rn y AMOllREUX
20 22
25
19
Case 2:17-cr-00775-SVW Document 6 Filed 12/15/17 Page 20 of 37 Page ID #:39
ATTACHMENT A
Case 2:17-cr-00775-SVW Document 6 Filed 12/15/17 Page 21 of 37 Page ID #:40
A'ITACHM.Jj;N-'I' A Environmental Ma11agemeutSystenVComplin11ce:Pl;m PURSUANT TO PLEA AGREEwmNT United States y. :AMOUREUX CARRIERS CORP. t�e following standards and tequirements for an ENVIRONMENTAL COMPLIANCE PROGRAM (ECP) ·have been prepared . Jllfrsuant to the Plea Agreement between AMOUREUX CARRIERS CORP. (hereinaftei; "AtVI0UREUX CARRIERS") and the United States Attorney's Officl'J .for the Cetitral Distdct of Califor11i11 (hereina�er "Gove1j1ment'' or ''Unfted. States'') · filed tn the Unite<:I Sit1.teii D.1stri<\t. Coiut for the Centt'al ])_i�trict of Caiifomia: C::oinpliance with all of the standards an4 requiremeJ1ts of the ECP is an essential temi of.the P .lea Agreein�iit. The ECP' itfoludes various provi;sio11s t!.i ensure that all vessels directly 01· -fodfrectly owned, operated; teobnlcally 1µaiJi_igt;d, mai:qied artd/o.r controlled by AMOUREUX CARRIERS which call ormay call at ports orph1ces inthe U:11ite-
(2 T11e, ECP is. not intended to replace .the ISM Code� or any.·o(her applicable. intemational legal requirement .or United St\lf�. stµtu.te and t'egulation. The p111pose of this EQi> is to atmmeut the requirements.or existing law by inoreas.ing ll!ld liiiprovl:tig l11$pecH9i1s,· i·eviews, and audits ofAMOUitmUX CARRIERS operated and/or managed vessels, ·fihoresiil(:) fa¢ltiti�s1 and operatlo1is involviH)?; said vesselsi increase fraihing of all of.AMOUREUX CARRIERS . 1:i:ersonneii_tX-Vqlved ,yi.fh said vessels; devefop .and iniplemeJ1t manag
for
1
Case 2:17-cr-00775-SVW Document 6 Filed 12/15/17 Page 22 of 37 Page ID #:41
B. SELECTION OF CCM,IC, ECP CONSULTANT, AND COUJ.ff APPOINTED MONITOR _CORPORATE COMPLIANCE MANAGER ("CCM',} (1) Wit1H11 thirty (30) days ol'e11try ofthe PieaAgreeiw;nt, AMOUREUX CARRIERS s1iall tjesigi1ate a senior co1vorate officer as Gol])orate Compliai1ce Mm)<1gei' {hereinafter "CC:tv111) ,vho. shall report. directly to the President and/or Manag}ng Director ofAMOUREUX CARRIERS, AM.O.UREUX CARRIERS shall provide the natll\'l of the GCM to tht; United S!ales. The CCM could be the same hi.di'vidual as AMOtf.REUXCARRIERS "designated pet'$01111 unc;l�1· t}1y"I$l\1:Cgde unless i'easoifa ar� jWovided to the United States justifyiqg why th.e "designated person" slwuld not also. be the · ccM.. The'CGM shail be 1•esponsible foreoordinating with the Ind.ependent ECP Co11sttl\ant (her¢lrtaft:er "lC"}, i\_s _iii.ore fully qfisci'ihed below, devefoping and:impll')me11th1g a1l oftlie pi'qcedures and syi;tems reqµ.lredlforein, esfablis1iiµg and impiementint rlraining progimns for the o:ffi¢ej's ;iii(! 9re,v ofAt\10tJREUX CARRIERS operated and/or matiaged vessels, ensuring µiat reviews, audits ;me( suiveys are carried ot1i a_s requfred ;;ind er,surhi.gilJat aH documei1ts are propedy maintaine({ and that repotts-�n) In.ado on a tifoely basis (0 the IC and the United States. All reporis tequired undeu tliis ECP shall be tevieWed by tbe CCM at1cl sig1red under the penalty ofpe1jury: (2) AMOUREUXCARRIERS shall provide the name oftlw CCM to the Uniiei:l St<_rt.es:. a, The Irt/kpeiige1it EQP Consultant (heteinafter i1IC11), as more tuHy describeifbe;;(ow, $.hall develop an!l implement ailoftJ1e procedures !!ltd systems required herein, est�blish and ilnpleJl)et}t t.fairiitrg pfogr�ills foi· th.e pffil;ei� and ci'ew ofAMOUREUX CARRIEltS operated iind/¢i· managect vessels, ehstfre that reviews, 11�1�1its !)ild surveys are ca11·ied out as required and e1isure (liat �11 dqcuments a.re properly mai11tained and t11at reP.ons are 11mde on a -iiinely basis to theIC ancl the tJ1i.lted States, b. All t'eP,Qii�requh'ed u11der this EGP shall he prepat:ed by the IC and sigi1ed under- !be pe.uaJty of perjmy, (3) AMOUR.EtJXC.iill.RIERS sJ1all establish a ptocedul'e and repbtting systetn that requires and enables:an·officers, crewn1eml:,ers�nd eiripioye(}s, �Jt_d s1tore�ide perso-iij1el :i11volYed in ihemannh1g @d/or opet1\tion cifAMOUREUX . CARRIERS seiigqit1g yes?els, i1ioluding iill pernons working for AMOVREUX CARRiERS, its substdi!ltles, affilh1fod b�1si)l'.CS:s_ �ntitl.� (o,vned wholly or pa1tially by AMOUREU.X CARRIERf,:) and �gen.ts of AMOUREUX . CARRIERS as either dh'ect (?{1lj:iloyees 01' independen:t contractors; to notffy the CC.&1 of all v_iol!)tipl)S of atiy apiJJicli�le eihiirOninentai xequiremeti\s:<)l' othe.i· .reqnirements of !his ..ECP, and qooperiite fiilly with the Unit.ed States hi ca.11ytpg ol1tihetr revie\ving, auditirig.and oversight. functi:oi1s feqtiire� by appl.ip�ble l'!lW·aild this EOP. Al\10UR.EtJX CARRIERS agrees to establi�h a procecltj1:e tlJat makes (�iluf·e to 1ibtify the COM of any violations ci:i'any apI;?lfoahle environmenial requirenw1Us·and failm'e t9 �oqperate fiillywith the U11ited States itrcarrying o.ut their auditing and oversight functioils reqtiired by ilpplioable laW a�1d this ECP, gtoun:ds fol' dismfssaJ. AMOUREUX CARRJERS ag1'.ets not tOretri[iate against any officei', erewinembei', employee, orshoreside persont1el involved in the n,ii__ntjiqg and/or open\(ion of AMOUREUX CARRIERS,sea:geing vessels, µ1cluding all persons ,vor�ing·for AMOUREUX CARRIERS, its subsidiat'ies1 ah'/Hated b1isiness l:ltiii!ie.s (pw11�d ,vbp!ly or parth111yby AMOUREUX CARRIERS) and agei11rs ofAl\1::0UREUX CA:RRIERS «ii-ei!h.er direct employees ot· i1id.eµe1ith;nf�oJ.1tractors or eiltlty making at1y sucll report, (4) The CCM shall be .auth.orlzed to ai;ce$s · all records and personnel regal'dlllg all vess.els -sti-bjeot to the EC];' fo1: (he pul])ose of ensut:itlg c9j11p\iance with thQ ECP. The CCM shall be anti10rized to il\1plemcnt all i'�qtiitev.ii;nts of 1he EG.P, 011 (!.11 ve�s(}J$ ·subje.tj'ttp the ECP. The·¢'cM shiifl ensure that audits.and surveys ai·e can-Leg ou( as teqi:i1�¢d; that 11Jl dodim.e11t� �i.·e pr9p¢,rly maintah1ed and that repol'ts are made on a tiilwly b.asis tq t11e U.S. Pxol,)ation Offic� �11d tl�\'.1 des.i_gfifted 1tf!i'�61itatlve of the Coast Guard, and Ai\lIC>'iJR:EtJ:X CARRIERS. The GCM p_osltiqn Will be filled l>Y ti t� �ndiyi911ai(�) ,vith s1g11ificai1t 1,mtitime v.essel operationl.l I bl.lckgrp1Jnd, w:\ici iJ\>�$i3sses auditi.iig ¢xpetience .and is tho-rough).y f!)iiiHillr \vjtf1 the requfremenfs oflhis ECP, ai1cJ is "1<�19\v\edgeablf;l about dohl�tic atfd international mildtime ·enviromneti!arlaws ·and re_gulatlons.
2
Case 2:17-cr-00775-SVW Document 6 Filed 12/15/17 Page 23 of 37 Page ID #:42
CCM Responsibilities: (a) bev�lop111ent and Maintenance of Effective Train.hJg Programs -To the extent,not already conipl$ted, the CCM will be responsib.le for devejqpli1g t(aipiilg programs to educate and ·train AMOUREUX CARRIERS eniployees of their environmenfal cqmlili.tnient, the teqtiit�1iie11ts of iiie ECP, the policies 1md pt·oce
y one 1r �iibte ii1divi�uais; f3) The IG nmst notdir�ctly 0W11 'a1�y sto\ik hJ AM'CfUREUX CARRIERS, anyufits si+l:is1dfigi'�s, affiliijted business · ·entities (ow11eJ.J}\iely held -001poration, IfAl\1:0UREUX CARRIERS .has a�ty oih�r ao11tracll1al relationship \\ii\h the iG, bgihAMOUREUX CAiml'.ERS ·and the IC �hn,ll drsc!Ciseto ihe UnitedStates such past or eli:isling c;ontmctual telationships. (4} If (lt<, l}nlted State� de'te1111ines that the proposed IC does 1l0! reasonably 'lileet the qmiliffoations setforth in the pi'C\if9us parligraplis1 orthat past or e,dstiog relatJon�hi!'>s wi!b the ic w011ld affect the iC1s abl:li�y lq exercJ�e the
Case 2:17-cr-00775-SVW Document 6 Filed 12/15/17 Page 24 of 37 Page ID #:43
independent.judgment and discip)iue requited to cond\tct the ECP review anc:1 ev&h.1atioo, su9h IC shall be disapproved and ai1othe1' IC shall be pfoposed by AMOT)REUX CARRIERS ,vi�hin thidy (30) days of AMOUREUX CARRIERS receipt dftlte United States' disapproval. (5) buring i!Jy fii'$.t yearnf probation, the IC shall conduct an Initial Enviroiunental Review ofAMOUREUX · · CARRIERS openitio�is (wssel rind shoi·eside) and AMOUREUX CARRIERS S'r;.tgoing vessels that may calli1pon a U.$._porf i.!.i1ring the period of probation. During the tbite (3)- year fern� pf pi'obatioil, the 011e vessel Hste·dribove shall be audite.d twice. Acc;iordingly; during the fi�t year ofprob.atiq1i, the vessel Will be at1dited; any vessels acquired by AMOUREtJX CARRIERS after the. signi11g of this ECP will be audited in such a manner a� to allow aµd!ts ·Wl!iJe theveils�ls are in port .or while, the vessels �re underway and operating Oil voyages or-short d\U'�tion {3-4 ·days pr less); AMOUREUX CARRIERS at1d Uie JC sh(lll coordit1_ate the unde1wayinspeclions to acc�nnniodate, as iimoh �s pi'acticable; the vessels' O})et�tions, a\ld schedule., The Initial EnvironU1ental Review shall be·perfo1111ed to asce1iain and evahnite yarious aspGc(s of AMOUREUX CARRIERS vessels: the.ii-' systelils, eqt1Ipme11t ai1d .components; cummt I?ractfce.s \Vhqther doouii'iente'd' 01' liot; and the knowledge, sldiley, au.cl �l;iJIHies of ship and sltoreslde personnel as. l!wy i'elale to the i'etjuireme11Js ·ofthis. ECP., and other m11dii\1)e 1,11vironme11tal protection requirements. The IC shall also coµdt1ct a second round of audits fur the y<,5sels ant,! 1i()t tlfe offio¢, 1111Jet the sa111e ciromnstances 11s hi the initial t'eview (i.e. the MITJ1111ot1re11x vessel will be au'dite_d,, atid ali.y later ac4uired .vessels will be !iu,dited whUe 1Jtiderway on yoyages of sliort duration 01· while other vessels in p01t); durii1g · the second year ofprobation. '(6) The hritial Eriviroimieo:tal Review may.he. Gonsiclered as. a di�qoyery actioh ii1 t1mt its purpose is to review .aJI 11rea1> · of the ·operatiq1is th!lt may lmpacf various elements ofpollqtib1i prevention and-enviroiunental protecJion, I_t \Yi!) ex9eed a typi9al .SMS audit-in scope- and wiJl be 1!/;ed 19 determfoe pr!jctices;,Ptocedures and eqtiipmeitl c-9itd1!1.cnis not typically docu111e11ted durhi,g ii routine irisp.ection by the classification society1 p:01i or fl!,1g sfat�. The results of the Ttiitial E11vfro11111et1t(l)Review "�ill\1e 11sed to. shape and 'revise the Envil'omnental Managemimt System est11b)ished . by this ECP, (7) The Initial Envlr011;11ental Revie\v shall meet the following specific. require1ne11t$: (a) Ii shall assess a_ll waste streains developed from any sysfem, equij>ment,and 9ompci11ejl(s fouud in each 'Ulf\cli.lnery spiwe oti hoatd AM.011.REUX ·CARRIERS vessels: :rhJs w'ill ifl\ilude observation.and documentation dcsctil>lng the.leakage!> apparei1t on 'each :System·that c;ati c.oiitrih�te to bilge loaditig;· The audit wil I detenJ1i11e the · staf:i.is <\hd q\1a)ltify leakages stemming from: :(i) (ii) (iii) (tv}' Ev) ·
all pump and valve senls am;! gla�i_ds durirtg operation, all piping system�, flange�; irn�kets; fittlng;; aiidjohits, . ail em1ipi��ni <1il.�it1gs�uch as maih and' a_uxillary engines, and reduc,UQil ge�rs, .ope.1.11tipfi of engin�; b�iie1-s, hiciiieiit�t·s; and evaporators, and all 0Jhet i11ec!i!lnioal 1;!011ipoM1its fotmd ab.o·ardAMOOREUXCARRIERS vessels.
(b) It shall assv.ss the ademiacy and pe1foniianee of the :Oily Water Separator (,0WS) ·a11d Inofoerator, ·Sewage Systeui, ancl a11y otheYpoHt(t!o1rpreveniion equipment to handle the qtia11tttles !iitd iypes of wastes developed dttlirtg 1i9n11aLqperations. To assess. the.pe1fo11n111u;ey·ofthe OWS, the .au�itot shall co11d11ct an operational test using the I1p�111altanlf, q� bHge w<::JI supply as \voutd he used i.11 1i.brtn�l qperr1tio1is. The s(!pply tank or bilge well mustJtpf be diMeci. Tiie Oil Content Metei· ('1 bCM") 15 p111J$, p:e1• 1hHlt¢ri :Se1isor alarmstnust 1iot be defeat�.d \\'ith tbe 1.1se of & fi'tjsl1 water'Hose to bypass the sens.oraud/o.i· �1hde;n11ine the propel· fu11ctiofl of the dCM SeJ1spr, p1'9.1ter ft!\rnfio.Q. of oily mixtures, and OCM alimns tliaf stfrve tq Pfovent �n:.oveit,oard d1scharge. It wiH in¢lu.de.anev�l11atio11 ofthe capacities for all lanks orc01itait\ers}1ssqci�tecl \vith the manageinel1LofsJudges, bilges aiid oily' Wasti'ls'Ol' othei· Wastes, It w11l include a�i c,va.hi(ltiof1 of' d9.c;u1i1entatio11 trackhlg, maintenance a11cl i-epair, aild 11iotlifitatfoils of all pollutio-n prevqntio11.e_qt1iV)n.ent; il_ild 11-o tification of equipment failure to the ¢CM o.i' odwrshoreside persontiel. )
(c trshall assess each vessel's cre:W .and tUejl' .c;uire11t \VO!'kloadsrelatfog to all work perf$1111eg qri the yessel's. systems, .equipment-and cQi.npqJiv'nl�i .in l;lil
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(d) It shall assess the. adequacy of the policy, proc::edun;s, o�m:eutpractice:s ii,nd equipilte,1t, ihoJuding stor�e capabilities used to mall!lge sl1ipbo1Jrd solid was_te� gen\watj::d fo areas of the v()$sel and the effeotiVei1ess of garbage management p.lans.
�n
.{e) It sha11 assess the adequacy of the polioy,ptocedutes, cu11·efit p1'actices and equipment associated willu;;argQ iilimagement developed dutin_g ail evtJ!t1tipns of ciirgo operations: (f) It shall a:ssess the abi !Jty·of each vessel's 0rewmen1bers to create, devise.or implement !111 UtlaUthorizeq prQc.?sS fO dispose ofa shipboard \vaste includhig regufat garbage, machinery 1,pace and carg<;>�ge1}eriitvd wa�tes·. (g) It shall assess the adequa(}y of each vessel's responsible orewmeniber1, to maintain tire followiilgre.cords atii;l shall illclude a cdli1plefe c0111parntive amilysis (against eaJ::h other where possible) of tlie .foilowi ng records: Qi! Record Book, Ei1gine,room Al;mns, Tahk s:ouhding logs (if vess:el11otso ¢quipped, then it 1i1ust stalt maintaining suoh a log), :Pers:ona:L work re¢ords and lists, Maihtcmaiice records, Veiidol' se1vice 1M61'ds, Bilge ,vaste ai1d sludge receiptS; (viii) Deck Log, {ix) · Garb!!ge Record Book;. WastewaterDiscliarge·Log, (x) (xij Oil to Sea Equipme1it lnte\face Logs, (xii) Hazardou1> waste 1n,a1\ifes:!s, (xiii) Solid wasfo dis<;harge recein.t�, (xiv) C<:mtent Mo�1ifor (OWS). piillbri\tfon logs; Training re.cord$, · (xv) {xvi) Vetting·p9cunw1ts, (xvii) In�pe�tiCJn Documents, *id {xyW) $MS oi· SQE Audit docuti1e11ts (i) (ii) (iU} (iv) .(v) (vi) (vii)
Ch) It sh�li assess the adequacy :of the polfcy1 pro.ceckires, ·m\-d et1mmt pracit{<;y$ use.d lo store.and (li�pose of:· Soivenis, (i) Degreasers, (Ii). (fii). Cieanbtg wastes, Blltferl�s, (iv) Paints, (v) Oily rags; tvi) (vii) FltJQrestetit and incandescent buil;Js,. (Viii) ��pired boileq1nd e1\g�ie cheii1ioals, (ix) Used boile1' and ·en:giiie chemicals-; tiitiey gi:ea,sesi · · ·
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(i) lt shall assess a11d evaluate docu111enfati01i co1itafaing the cenifications that each vessel's officers m.iderstand !Iw requirements off.his ECP and shall require signed statements by aff vessel,offlcers, including !nit not liinifecft9 the ChiefEngineet', !hf;: Se!,!olld E11ginee1; the Tl)itd Engineet; as well:as all other enghie rnom crew, attesting that th�y u�derstiind that f!)!se e11t,ri<;S ir1 iiieOH Record Book fot machine1y space.operations is .a viofation. of laW' aqd thi; �1se .of.ii fresh water hose to fric� the Oil Content Meter in order to bypass the OWS pol!tition pteve!1.ti911 1i,qujpii1eht, Ie�ding to ah overboard .dischatge that is not properly recnrded, is:.a vjofatio1i offow. (j) It shati as�e;,s the po!icy; procedures, and cm·rentprnctices. associated with th¢ M�s.t¢x an4 Chi�f-:i�1�gihe�r's capabi.lity to cotmmmicatewith shoreside personnel,·incfuding the CCM and designated pei'so11s, and shal1 1tview sm;ih co1i1mu11foatio11s. (k) lt �fr�li assess the frequency and adequacy of, through interviews of orewm�,111be1� sliipboat'a ·polluHon prevention and environmetital ptotection meetings and training. (l) H shah assess the policy, procedurns, and cunent practice;; u_seq on ves.sels a11d ashore to track crewn'iember environlnental trainii�g, as well as·tlie avaifabHify ofa,19 access to trainitig resow'.ces. (ni) Jt shafl asi;ess the adequacy of existing methods fot employees to repc;nt elwll'oilmeilta_l conC()i'11s and e.va1uate the capability ofa l'epotting-fodiv'idual tp .re1itain.anmw�nmis, anq review pi'.ocesses ofhanclling env.honmental c'oi\)l)faitits fi'ont crewmel)lhe!:ll andft\IOf<,;Siqe perSO!.lllef. (11) it sfrnii assess .the polk,y, proc_edures, i:ind cµm�nt p11!ctlces to ensm'e that vessel' vendors,lechnicians, and.other 110·11scre.wnrembers follow AMOUREUX CARRIERS 'requlretneiHs regatding pcillunon prevention .and . ehVj1·onme11tal ·protection. (o) it shall assess tlw pciJicy; pr.ocedtJtes, \lQO G�JiTent pra<;illces u�ed to niana�e the existing_ seaI ti:acking andvalve Jocklng program, including ilie storage of seals and preventing the 1..1se o.f
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to analyze available iliformation, or to gather additional info111mtion,. bi' to complete the Report of Findings,
AMOUREUX CARRIERS !'nay reqnest that ihe Government grant the JC s.uch additional iilw�, 11s reguin;d, ,vhich
reqHest shall Mt be, unreasona\)ly clenied. If necessary; the Govemment may grant additional time in t.hfrty (30) day increiiit,i:i,\s for coiupl¢tiM of the Repo1t -0f Findings. The Repo1t-of Findin&s shall be provided to AMOUREU.X CARRIERS ah\'.I the United States. Based on the Repo1t ofFin"dings, AMOUREUX CARRIERS �hall devel9p �n En:v.u:(j1n11e1ftal Management ·systent antl Manual as rlescribed below. The JC shall cond11ct a .s.e�on<;l ;iu(lit i1#t1g the -above criteria during the second year of probation in orckr to a�cer\,1111 if AMOUREUX .CARRIERS has continued to implement the EMS system and whether tlie vessels are in conwliance with :eirvh·on111emal requireiuents. C. MASTER AND C.lllEF I):N0l.l'{EER (1) '.fhe Milstei"of each of AMOUREUX CARRIERS ves.sels subje9t to this EC;F $h!\ll etJsure that j)rotnpt i'ii_potts �1'e . n'iade to the CCM of any .noiHJci'tilpliant condition qf any Qf AMOUREUX CARRIERS vessels that call 1ipofHmy -port or place ln the United Statesorcsail h)to any waters iinc!e1· tJw jqrisdiction of t)1eUirited States. (2) The Chief En&Ineer on board all ves1,els sul)Ject to this ECP. shail perforin: the follo\vlng duties regatding tl1is ECP: -To cfoily 111easure; mo1iito1· ail9 nianage shiphoard geilerafed wastes;, -Report to: the CGM and cooperate with AMOUREUX CARRIERS lo te_solve envfromnental c-0nce111s, suoh as fooperative .or ineffective: po-llution pfr:\renti<;i11 eqµjpme1it at'ld docutileti.t all efforts to do so in a log tlrat is available. for review and audit af @H tii1le$, E. EJ'W.UlON'MENTAL.MA,NAGEMENT SYSTEM (1) The-CCM shall bJJ f()l;ponsibk for �tab1i$/ijng �1iE1w.iro11me11tal Mailageillent Systeur (EMS). To the extent possible, the EMS slml.l b.e based \1PDJ1 Jh� lSO 14001 / 2004 st$ndn1'ds. The EMS shall include ihefollowing 00re requfre1jmrits: (2) Enviro11me111alPolfoy, The EMS sho.uld be ba�d upon a dotunwnted and clearly communicated policy. This policy 'Should set 011( th(', ,AMOUREllX CARRIERS cqmmittne1it t9,vatds a cleiJnel' 111arine envirciurterit. It shcittld include: pj·ovi$friji for ¢olllpliartce With. envirortiiiental tequirements; · (i) ¢on11nitment to yofltinua\is ;iinproveuieitt in e1tvfro111uental pt::Ti:orma1w�, ·i,ncluding tho_se a.reas reqt,ii:ed by (i t) . �� -connJ1itMent t9 pollution prevention that emphasi;,:es s0urce redijcti9i1, to lnclude :l;\ll\dlng and h�1man (iii) resou1'ces ilecessary to train employees, ef(Jctively 111afil(a111 and i·epafr the systems, equipii1ent and components found inmad1jne;yspaoes gfy¢s�ds; (iV) commiimentto co11tinuousr educ.ifon of�nv:ircmt11t::11J!.il risks; and. (v) commitment to.s1uiing h1fonna.tio11 \'iith e�\emal st,1kehci[cfots 'on ehviro1ui1e11tal ·performance. (3) Commi.lil_icat.lon ofEi1Vh:01imental Requii'emeiltS: The EMS 111irst)Jin-yrde.a -meansto identify,:eiplaJn, anc(comilJtm�ciate !Jll wMn;imiJeiltal require1nents1 i\itd atty additional hest practices or indnsiry 1101'n1s w11ich .AMOUREUX CARRIERS ihay choos-e to.adopt, to AMOUREUX CARRIERS empfoyecs, .and other vcn.dors, t<::Chn�<,ia.t�s cfr /1ci11�cre\y-meilibers 1tnMged in the wastessfream management of AMOUREUX CARRIERS operateil yes-��ls:, The �MS hrnst ali;o specify pl'ocedures .for incorporating ohang(j)s · .in · operatibns .or ehvirohmenlal reqi1irein<::nt.s i11to'th:e _eotnh��inication pla11. (4) OhNctives and Targets; (a) 1'he EMS shall establish specific objeGtives iji.1d targets fon
-m (lt)
ac{1iwi11.g at1d fnaintaiili:tig compiiance with ;tll marine .(;t.lVJrom11(!Ji(ij:l p\'otection reqi1irements a11.cJ the reqttiremeflts ·�if this ECP; envlromnental peif'onrnmce demonsh'athig ooiitint10us iiripl'oyeilient id 1'egulated and 110iH·egulated 7
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(Hi) (iv)
areas; polhition prevention that emphasizes solt/'ce reduction ,vith respect to machiiieiy space waste str<;iams and effective mmiagement of cargo iehited wastes; and ·sharing infonmition with exte111al stakehold�t� 0,1 env/ronQ1ental pe1fom1ai1ce agilinst all EMS <;ibjel}tiye� au�Uarg�ts.
(b) The EMS shall estiiblish appropriate time frames to meet these objeciives and targets, These mus(be documented and upda.ted as environinental reqt1ireinents change or ·as ·modifications · occur .in· activities and stmctures within Ol'g@faafions iti ii manner that affects envfroiunental pe1fonnanee or as a resttltofrecommendations mmle by the IC; .CCM, and Auditol'. (5) Stmctnre,'Respqnsibf,Uty aw). Resources: with sufficient personnel and other resources to. meet its AMOUREUX CARRIERS will ensnre that it is equipped l -.objeotives iirtd targets. The EMS will descdbe fo detai the procedures ,md steps for a<;hievingthose objeQtives,and target�. the EM$. will .define the eompliunce roles ·1.1nd ·respo11slbillties of all ·vess!',l a1icl sliore$ide persi).n�1eJ ilwolved wtth .th� operation maintenance andi-epair of AMOUREUX CARRIERS ' vessel�, and_,vill f11<;!19i:tte how they �rrd ot_t1�r cw-potate personnel wm be held accounll!b1e for achieving a11d 1jfaintafning compliance w.tth !his EMS, �.tid ot4et' i'eqtiii-em:ents of that EMS, and other marine env-ironmerital prot\icticin requirei_nei\1$. The EMS WiJI also establi$h pi'O
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T11e EMS must describe how these elements. will Ire integrated into the AMOUREUX CARRIERS ·over�Jl decision fmiking and pla1rnihg, in particular, decisioJts 011 c11pita! Jmprovemen!s, h'i\ihing prngi·!ltiis; aiicf vessel opei"ati011s, maintenance, and repair activities. (10) Document'Co11t.rol: The EMS 11rnst establish _procedureS' to ensure maintenance of app!'ciprfale doctuiienf!ltion rel11ting to ·its obje·etives .and targets and :should also ensure that ihose records will ,be a deqwiie foi' s11.bsequenl evaluat.io11 a!ld hnpl'ovement of the opei·ation of the EMS. Additionally, .ill recoi:
I )
Tlw Efy[S ,viii identify an 61igoihffprocess for assessing when a .vessel is t�r b-e taken ot)t of se1yice for an .eiivit'olui1eiltal dfsol1arge 1"elated,repair, such as When a disc;lrnrge js ca�tsed by]ea�itlg stern l\tbes, thl1iS�et's' Oi' othet' equipine11t.
(c) The EMS will include organization charts1 as �ppropriate, that identJfy shp-reside and v.essel"individuals having environmental performauct;, risk recluc.tlcm, :a11d tegul�to1y complianceresponsibillties. The cha1ts shall also specify responsibilities ofPo1i Captaiiis, Fprl Eiigineers, µnd 13nglileed1ig Superintelidents to report infonnation related to environmentiil relel!.�e::;. or inadequ.11te pe1fom1ance of enviroh1)1ehtal p6lhition ptotectioi1 eqt1ip111e11t,:cas1udties oausihg tntenrnI spilts,.e�ce�s/:ve\Vaste develqpment ilncl leaking·equiJ,Jinent·w1th oil-tossea hite1faees. (d) ·111e EMS wltl promote nq1Heta!iato1y practices afid eiisure tliat e11i-pJoyees:are tiot puirished oi· otherwise suffer negative consequeoces'foi· reporting violations of enviromne!i!ai Ja,vs, reguiations?· or policies; . (e) The EMS wlll d.esorlbe. potential..:otiseqhenc¢\S for d,epi\lit1re ff01i1 §pecified <:>1,eradng poiides atid procedures, inchidfog possible ter111lnatici1). of�mploy113.e11f,((s weJI a�ci'in1inailclvil/admiiiistrative penaliies,as a result. of i101100111pliance. (f) "The EM$ win 1na!
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i
l
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I ! II
1
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Q) The EMS will identify the types of records i.levelqped and ina-lntaitted in. suppmt of tlie ECP. such as repmis, audit working papers, co1wsj101.1den.ce, co1nmunicatio11s, reports from the co11fideutial system for uon·compfiance reporting, and identify personnel respo11S.i�le for theh' 111\lintenance; and procedures for r�pondlng to inquit'ies and requ�sti fo:i· i'�lease qf it:if01'111ation, The EMS shall provide a systein for conducting- and docum�mting rontine, objective self�HispeoWms by AMOUREUX CARRIERS lnteiniil auditors, supervisors, and trail)ed staff to gheck fol' malfu11ctions, deterioration, atid inadequate maintenance of pollution prevention equiptne1it, worker ac;lhereiloe to SOPs, ui1usuat sitt1ations., and unauthorized releases. F. COURT Al'J'OINTED MONITOR As.part of the ECP, AMOUREUX CARRIERS agrees to pay for a Co\itt App9h1ted Monitor (het'einaftet "Monitot'") that wltl report to ilm Court and tlw United S.tate1> during (he entire pei'iod of probation. The Monitor .can, .at AMdtlREUX , CARRIERS option, sc!'Ve co1icut,-e11f[y in tl1e a·dditiohal ·cap·acity of Tl.rfrd Paity Auditor (hereillafter '"fPA")·und_er the terms ofthis Agreeni¢nt. At AMOUREUX CARRIERS option, ·the IC can also serve concm1·ently in- the additfomil capii..c1ty as the MonHor. IfAMOUREUX CARRIERS elects tp have a different i11dividual who fa noHhe IGserve as the lyfonitor, .the.n. AMOUREUX CARRIERS shal.l siibn'iit a list of th1·e-e qualified candidates for the Moni101• from wfifoh tlie United SMes ,villseleot olie of the candidates, In the event that the UiiHed StatC!> does nqt find qn�. of the oal]di<;i_aJes satisfactoty, or if the Uiiiled State.is does not find the work of the Monitor satisfactory, ,it a11y time tlwy llli!Y reque,st AMOUREUX CARRIERS to supply addittonal candidates. Fiu:ther, 'if l\ll ;igree.ment cam�ot be reaqhed 1'eg!l.t'ding the selection,. the decision.shall be left up to the Gomt. 'the Monitor 1mist liave stafhvith the followihg experieitce: (a) Expertis(;l and co1i1pele11c. e in fl\e 1'egulato1ypfog1'an1s mide1:Unitt;id States and intematimial illllrllle safety and environmental laws; (.lXpertise · and comjJetence to assess ,vhethe1· AMOUREUX CARliIERS: has adequate hi�nageJt)\i�tt ::;ystems 41 place to ensure reguh1t01y con1ptianoei correct non,compliance, and,prevent f'uture �1qn6QmpHljnce; and deinonstrated capabillty to evaluate .AMOUREUX CARRIERS r required effo1t ancl i:Qi\iiilittheitt !t1 satisfying the reqitirements of this ECP and tf1e EMS. AMOUREUX CARRIERS sl1all ensure that the Monitor is fjrovided all repotts and notificaHons as estl!\Jlished i11 this plan, (b) the Monitor sball be assignecl the fo1lowing tasks and responsibiilties a11d provide wdtten submissions to the · · C:oud as :set forth l>eh:n�:: -Cp1id�tct a i·ev{ew .a.nc1 stjbniJt !iii an:tM1.l i"epoii to the U.S. Pl'Ob'aHon Offke, AMOTJRE:DX CARRIERS, cle.signilteij repry3entative ofthe. Coast Guard aha tlif Envil'o1irne11tal Cdn1es Sectionregardh1g each of the andifs condm::te.o by U1e IC p11�ul)nt .16 the Ple:a Agreem�rit :and the ECP. The M011itor's re_porls · �hall prf:)vide a sunmrnry qf thi;; fiti1.mieµtal protection req1ih:ement or requiremen( of this EC)?, the Nlrnitor 1m11;,1 jm111ediately r.�j)Qli the 6ccurre11ce :to the tr;S, Prnbation :ofttee and to the United. States .. Ata11y timey d11iihg the probati<:>n!Jty pe#od thi,: fyfo1fiton'nay Inspect oi· investigatea1iy aspect ofAMOUREUXCARRIERS op�ratforis and shall. be provided to all records,vesselsand shoi:e side. . . . fhli access facilities as is n�oessary to peifwni. its c;lutiei,. -Pl'ovide arty.a dditional reports, i n lmth electronic .and hard copy fo11111 tQ tlie U.S. Ptobatit:m Qfnc¢, AM0UREUX _ CARRIERS, designated representative of the Coas{ Gn(lrd and the I:lnvlrq111nental aJt!l C9mniu1Hty Safety Ci'ifrtes Section of the United SJatc,s Attomey's Office oftI\� Ce11tr�I .Q.!�ti·19t of'C?lifotJ'ii
10
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appropriate and to include .Jnadeqmwies in the audit process, viol,itions of the terms and conditions ofthe ECP ·and EMS and any other findings of slgnificanfproblem$ 01'.defa:i<::.ncies. G, E.NVJRONMENTAL MANAGEMENT SYSTEM l\1:A,NU.l\L (1) Within six (6) month.s of ret;eivllig tlieRepoi't ofFltidings on the Initial Eilvfroirn1ental Revle-iv froln the re, AMOUREUXCARRJERS shaiI prepare an Efy!'S Maimal)ewli:ich shali descrlbe and document the EMS and ·c9i1tain aQy aqditional ;EMS imple!tJentatim;i sd1�dt1Ies iis ne_eded to elisute con1plete compliance In all openitio11s 'arid j)i'oced�it'es. IfAMO:URIDUX CARRIERS believes that additional tilt1e is needed to analyze available infoi'niation Oi' to gather addltronal iil:formafion to prepare the EMS Manual, AMOtJitil:'ctx CARRIERS may request that the·Gov.enunent grant it such additional time as needed to pi:epai-e and submit the EMS Mam1al, whid1 . request shall not be unreasonably denied.. I-f necessiu:y, the United State1,11iay grant additipnal tim.e in thirty (3'0) day increments for comp!eHon of the EMS Manual. (2JAMOUREUXCARRIERS shall submit a proposed final EMS M.lltn)al to CCM and the United S.tii.tes ii\1h)edtately · µpo.ti its co1)1pli,Ho11. The United States shail provide c<1.nu1w�(s on tµe. proposed �M.S ¥!!tX()at wit.biiiµJii.ety (9Q) (lrws of r�ceipt vnl¢ss adclitio11�l tithe for i'(:wiew is teqHested. in writing. AMOUREUX CARRIERS sha1l st1bn1it a sµppleJne11tfo the EMS or.a )yl'ftten resp6i1se, us ap_propdate; withfo sixty (60) days of receipt o.ftlle coinlile1its, The EMS is s,iigject to ffnlll apptova1 froin the United Stales, ,vhfoh aµproval sh�ll 1iot be llhi:i.:iJS<:illably withheld. (3) All e11')111eqts ofthe EMS::-Manual shall be fully in1pieme1ited no later tha1i three (2)'inonths followii1g liual 11pproval by the Uni(ed States, Up9i1 receipt of filla,l approval, AMOUREUX CARRIERS shall hnmediately c0il1h1ei1ce lmpi�111entl1tio1� of the EMS in �c<:iorda11ce with die �chediile containeo i11 the EMS Manual. AMOUR.EUX CA.RIUERS sha.ll submit reports to tl1e -desigi1ated repi-esentative of the Coast Guard and'the-Environmental and 'Co111imirtity SafetyCdme-s Se.ctfon oftlie Ulrited States Attorn.eyts Office ofthe Central District of-California b('rg/nning no later than one hundred twenty (120) days followlng the publiA; AMOUREUX CARR.mils fleet. manag\lment .offioes. Iu l6tal, at le,i�t ihree.au.dits-wil.l bJt ·co11duoted .o-f the:ve$se.Is during the three year pe.rkid of probation. The fii111I��1dlts a(e t\'l·oe co1iduciyg l;>y a ',1Jlik4Patfy Auditor (''TPA"), to·vedfy complionoe wiih.:iipp_l ic.able /invfronnwntal laws a.nd reguJ�ti.Q1\� ijtig the requiremei\ts of this EMS and ECP. Tl\eTfA will .have f\¥11 aos;�s fo AMOUREUX CARRIERS facilities, i'ecords, ei11pioyees aild .officers at alt tinies. Du)'ing this fatal atJditpfui�eAl\11:0UREUX CARRIERS shat! ini;nediat<;ly advis� the"TPA Qfany isspe th11t qomes to its i\tte11tion that iidverseiy fo1pacts AMOUREUX CARRIERS .¢omp1iarii::e with all applicable 111,v� and i'egul�tfons atld lhe EMS/EGP. (Q) Th.¢ TPA .,vm be �eiti,fieci by the 1).mericall NatlMal �tjlt1darc,ls Ins\ifit .te �Registration AccrecHtatio11.Board or \\di!
hiwe co;1i_pat1\Jlecred.entials and experienoeln perfotming EMS/ECP audits. At AMOtiREiIX CARRIE11S optim1, t fhe Q 9ail. also seiVi;l conctntently in the additional capacity as the 1'.PA. lf AM{)U.REUX CARRIERS e!ecti, fo have a dlft'erent h1dlvldua1 "ihois not the IC serve as the TPA; then AMOUREUX CARRIERS shall sul,Jmit a list ofthree 9.uatified cmrdl:ifaies fodi1e TPA from \Vhioh the United States will select one oftl1e candidates
(S)'The Final BMS/ECP CoinplfanceAudits shall be co,rducled, as much as is practicable under the circumsta11.-ces, in M·tordance with the pl'i11oii:ifes set forih. in ISO 9'.0-00 and ISO l 4.011, 1,1si11g IS.0 14b 12- 11s supplem�1l!al guid,anoe. 'rhe TPA shail assess conf611ninice wiih the.eleme11ts. oover�d i11 the Jl\.itial En.vil:01.mi�nt.!l( R�v.ie,v, w!!Ji <.111 a
i1
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to be present.
I I
I
(4) The TPA $11a1l d¢Hver each vesse1's and facili\y's auditrepott to the appropriate <;ompany o:fl1qial 11pt111 completion; In ·acldilion, the TPA w!U deiiver a n Audit Report to the tr.S. ProbJ1tion Office, de.s.ign11ted represeotative of the Ceast Guard, ahd Ertv'ft·onmeiltiil at1d domtnt1nity Safety Crim.es SectiQn of Jlw United States AttoJ·ney.'s Office-fat the Central District of California, within thirty(30) cfays afte!' the con1pletion of each audit. If tlfe TPA believes that additional tithe is i1eeded to analyze available info1tuation or to gl)ilu:'r addidonal ii1fo111111tion, -AMOUREUX CARRiERS may request that the Government grant {he TPA si1ch additional time as needed to prepare and·submit the Audit Report, ifnecess@ry_,_ the Govenune11i inay grant a.dditional tiine ii1 thirty (30) day increments for compleHon of the A11dit Report. Should the Govel'ni1�e1it or t.he '(Jti�ted St11tes P1·ob11tion Office seek to 1:evoke AMOUREUX CARRIERS probatioi1 base.cl on t!ie TPA failtire to fiie a time!y.EMSiECp Final C01np1ianGCcAir�tlt Rep01t; AMOUREUX CARRIERS shall have th� dght to contest the reasonableness of su.ch revoo�tien fa the appropriate U.S. Distdcit Coi1d. (5) T.l1e Fiilal EMS/EQP Conipliance Audit Repofis shall present the Audit Findings and shall, at a 111jnit11u111, colltain the follo"iviilg 'infon11atioii: (a) Audkscope, itioluding the time pe1'iod covered by {ht,l audit;
(b) _The date(s) the on-site portion of the audit was conducted; (c) identification or the audit team. tllfltllbers; {d) I1e11tificati011 ofthe compmty representatives ati.tmtered; (g) Detaiied Audit Findin�s, including the b<1sis for ellph finding �11d the Are11 of Co:ncemidentified; (b) Identification of 1111y Audit finctings eorreoted qr �reas of Goncein addressed · duritlg the audit; and a descr.iptio)1 .of.the co.rrective meiiiiu.res and wl\en tbey .\'iefo !mple1l'l.�11ted; (i) Cerfificatiou by the. TPA that tlie. fiilal EfyISLEGJJ Cohlpliance Auditwas conducted i1t accordance with this docw:nent and ge.t\entl au(Jlt pri11eip)es. (6) Witbi.n sixJ'.y (6Q) d11ys .froli1 g9111J>tetion of the FillaI EMS/ECP Compllanpe Audit of q par(iot1I.ar f<1ollily, or vessel,. · AMOOREUX CARRIIBRS sh.all develop and sub1t1it to the tJiJ{ted St.ii tG$, for rev(e\Y a1id con11Jw1it a11 A¢�iO\i. Pl11n · foj, expec!itfo:ijslybrii1glpg AMOUREUX CARRIERS fofo Fµl\'co1tfotm.anoe \Yith l!II �pplfoable iawia11d .r�g1Ilatio11s aga tl1e EMS/ECP Manual. the Aetien J:l!ln sJliill iiwhid,i:: thet'e-solrof_ !itJy root cause ,u�a.Itsis; speciffo de]iveral,)les,-responsibility assignments, and an inipk,1iiei}lafions'<;ihedl1le. AMOUREUX CARRIERS1nay request that the U1iifed States penriit a briefextension ofthe tbh� lit1iit state� aJ;ove on a case by casebasis. Such permis�ion. shall irot he unre<1so11abLy w1t.bheld. (7) The Aotioi1 Plah shait be revlewed by'the!Jnited $\l)te$ which sljfill pfoVicle- writtef1 colnnieilts within thirty (30) days of receipt. After ma1d11g any necessary :mod(fii;:iitf011}; fo the Action Pllih l:ias
( 1 ) '.fllfs EM$/EQP does not iii 11nyw�y releaseAMOUREtJX CARRIERS from i;omplyini with i,111y iiJ{P.licable intetiiational :C{)ll\relltions !j11d·treaties, State.or Fedei11l statJ.11;-;s Rnd/oi· 1:egulatiqq�, th� IS1.vf Go_de, of other hiten1ational tn�1·1(ime conventfons or itre11tles and does not limit ii11posiUon ur 1niy $.anctiohs, pe.tiaJtie�, ot· aiiy other !{otio11s; available 1inder thosefoternat.onal:qonventions and treaHei, Stafe or Fed�ral st�tntes and regulaticms, the ISM Code, ot other inten1at!on11l 111aritinie slifi,!y cpnve_htii;ms cir th:aties.
12
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(2) 'fl1e EMS/ECP shall be part of the Plea Agteement and adhere11ce to-it will be a cond/tion of pl'obation. Failiire t o comply with any pmt of this EMS/ECP (:inc1ltding but liot limited to ref'usal to pay V-{llid. and reascrnable chatghNe ip thy United States or sails, into a11.y watets 11,ndei· the. judsdtction of the. Unitempliance, EMS' implementation, i!lid manag(;'l1� officei'; ai1d crew traini11g. Copie� of.those 1:fol'lions oi' the 111eeti11g agen'das and internal company reporls co1foeri1ing these items shall be included iii the n,potts to·tlre United States.
{1) The CCM will be i"esponsible for developing !qi(i111ig pf·9gr�nis: to educate and train At'\t!OU.REUX CARRIERS. . . vessel -and iihore:i'ide employees as.sociated \Vith the opei'ation ai1d managet11.e11t of iis vess61s. The COM may peJ·Smially conduct t11e trainings fo: et)$Ure ·t11at th¢ teqiliremellts of this seclio11 iire ,11et. The CCM ,vill docume.t1t. the. successful completion of the.ttainhi.g program. (2) Trahtiti� shall occur annnaJly{or all ;m1ploye�s a�1d bep�rforn1ed qy quaHfo,d ii1stiiJo\oi� at.a (ra1ntng f�cmtybefo:re ;it\ ¢t11pioyee assumes hfa 01· lwr clutieli, The:traipfog shall consist of.perHne'tit sedio1is oftl1iil'ECP, ·the EMS, and existing niarine environn1e11ta) prqte9tioi1 requirements. The· trainhtg �hall in.du.de shipboard,related teclmicaland practfoal h1formaiioi1 w;�ocfate4 with pollution preventiou a:nd (be <:iper{lH.01�, n'lai11te11i111ee a1rd i·epair of poJJut/o.n prevention equipt11€t1t and systetm,, and be appt:opriate fol' th,e w¢i'k i'esp¢insil,iHties and depadnwllt in whicll ;111. emph:iyee \vorks; The fi:ait\l1m m�1st iticlucfe, disc.ussiott ofthe
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(c) !he repenting !;ystefo 11.secl io n�port 1ion-cb1hpli�nce. (cl) $ancti911s and cotisequei\ces for violations such as retnedial training, suspensio11, tenni1Jatio11, a11� cMl and crhi1ina:J liability. (e) Pol.httio11 prev�iltion aild iruiiimizatioll programs specifically relating to sfoward, deck, and C;)flgine department procedul'es and operations. (f) AlLreqpire1ilents set forth in the Engineering section of this ECP. (g) Position specific traiutng in the.operation, thait�tenance_ and 1'epafr of oiiy water separators,inciilerntorsi oil cotllent discI1arge monitoring equip1i1enl, and other polli1tiol'1 pl'eventioh equipment. (Ii) :E'roce
(1) Unless othetwise stated,:all .of the requirements &et fotih 1,i:;Iow, if not i!i. co1]Jr!l\1ent!ox1 of �ily Chrssification Society, Tt'eaty ot' other Flag-State reqno:emen·t,. shall be imple1nenteq.pn tlW·Yessels qovere4 u_nµer tlris ECP as soon a& practicable, as determfued by the C.CM a11d. 11ot latei thiin ant ye11rfr¢1h the d�te of tiie s.i gnfn� of the plea agreement. (2) Biige M11i11 Cross -Connections; (a) AMOUREUX CAiUUERS shall immediately i1otify all .of 'it,r vessel$ regatdh1g the 1Ji'ohibfrion against non -emergency use of:v/Od�11 pnet1mattp)'li.1111p,s to fransfer piiy ,v�ter mixtures dlrectfy frot11 the biige holding tanks to the sewagi:; tauk. The in�i;age slu.1l l s.h!fe t_hat. the usage oftftese wilclen pumps to conduct such transfet-s-from the 'bilge holctlng tan/{s to tliQ se,\:aM ta11k l'�sults in overboard discharges and is &imilar to bypa�sing th1, QWS · · equi_pnienf !Jtid strictly pfohibited, (b} Tl,e de9.k plates (lbove oi''near the fooatio11s ofihe sounding tiibe for the sew11ge (aiik and tli,e bHge tank& sli�ll he painted'inteniat/onal orange. A-bdghHy colored sign with three itichletters '�hall be pe11il\11.1eritlyfixed nearby teading, 110il Transfers from the Bilge Holding Ta11ks fo .(he Sewage Tanks-Etne1·geimy U:se 0tily, 11 (d) To p1'e\ren.tJillJ1ttthodzed il�llge, Chie.fEngfoeenr sh ail p1acenumbered se.als on these v-a lve_s. (d) Th.e seal nu111ber$. sh!\11 lJe h'aGk1:� in a se�I n4mlier logbook ailcl explailatio'Ils provided whell seals are. op(ln,e.cl,
Seals shall \je used it1 other areas of tiJirnrachiiie�·y spa�e. The Muster of the vesstl shall retain the repl11cement seal.s ln'the vessei'.s safe. TlwMl!Ster wm keep ati. additional log dooumeniihg when s�il)& �re i'eplaeed and their i-¢specJive ·1141nbers. °The CCM wflf be 1·espol1sible for ensuring fleet wLdeihiit rio dhplioation ofse·al 1iu1h�e!'s ocMt a.1i'd will have il 11iastet tracking document hidicating whfcJ1 s!,rieJ; �ver<, j,_uppl.ie4. to ea.oh v�s.�el. ;t4
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(e) If the valves are remotely opetilted from the ti1gine colitrol 1'001\1, the cont1·ol:inust.also be disabied and notice made i\eat' the assooiMed push buttons or switches. Tirey shall also be sealed. (t) All other bilge su
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maintain d1i board the vessel, a ll tecotds teqnii'ed by Intenrational .conve11tiot1s an_d treaties including SOLAS, the JSM Code, and MARPOL and appfioable State tmd Federal statutes and regulations and any additional dqcminents requj1'�d under this EMS1ECP; such as crew training,records, and will make. these rec9rds .avaihMe· to the TPA and the::: United St11tes C.oast Guard llPOll request. A sun1111ary of lhis infom1ati.011 and any explanation, 'ivhere appi'opriate, sliail he included in the rep01is to· be submitted to the United State;;s by the TPA. (}. C;:EJANG.ES IN O\VNERSIITP!MAN.AG!!(MENT 'the padies recognize ihat di1flng the Jenn o.fpmbation1 the l!um,ber !!lliit fri no event later thah 21 clays follo,vfo.g a change) notify the United S.fotes ofa1iy_�haf1gefo nalj1e, flag of registry1 recognized organizatfo11,. ow11ership ordass socioty or-any .such of _AMOUREUX CARRIERS -vessels, to iimh,rde the operatto1i., management, 111anriing or control of which fa assiuned by AMOUR.ElUX CARRIERS and which cal1s- i11 the tli1ited .States. AMOUllliUX CA.iiiUERS agrees that this EMS/ECP shaH remain in effect for all ofihe aforesaid vessels regardless o'fchanges in the,vessels' flag of registry, l'ecognized :organiza'iions, name, .or class society, so Jong as the vesse1s are managed, operated.oJ' l.llamiid by AM(JiJREUX C.AR.R:IERS. Al\10UREtrX CARRIERS sh11ll 11ofify the United Stat-e,s b�fore any vess1;1J i.s release4 froin the requi_remen.ts ofthe EMS/ECP d\1e to a chaiige in ow1ietship, im:11uige1.ne11J, 1rian1iing oi· co1,trol, or ff S\t5!h vessels ce<1se calting on po.rts 01• places in the U,iiled States. Any vesiel that AMOUREUX CARRIERS assul\les operational, manrilrig, Pl/ tecluiical control of dt1)'i11g the coilrse of probatkm shall insut'eUtat Stich vessel is audited ill accorda11ce withth1s ECP, l\nd 1ip 1.ate:t than 7� days after assuming co11tr9l of the vessel, pl'Ovided the yes$ei's schedule pe.111,its, othc:wwis.e wi.tlihi a reiwmable tin1e thereafter. P. SELF-ENFORCEMENT AMOUREUX CARRIERS f'q1'the.r ;igrt'it;s that it wiil �m(l�rta!c� a11d iJnpleiilpnt the lie
(a) U.S. Attorney's Offic.e · Envlronmenfal at\d C!mili1qi1Hy Safety CI'in1es Si:ictlon '31i N. Spring St, 1�1h.Flq.ot LQs Ai1geles, qalifo1111a 9001·2 At!\1: AUSA A1iianda M. Bctthielli 16
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(b) U.S. Coa�! G11�1·d Conunandnat (C0-543) Office of Vessel Aetivltfos Att.n: Designated Re1irese1uativ.: of the Con�t· Gllilrd '.H OO S,;,coi1d Street, SW Washihgtdn, D,C. 20S9Jc000l (d) U.S. Probation Departtnc11t 312 N. Sp1:ing St; 6'" Floor Los Ar1ge.l-0!.1, Cqllfornia 900J 2 Pefoncf!lill h,1s renc! this 1�GP .ciu-efufly and 1.1nd�rst,mds it thonmghly. Defohdmit enters iuto-t!tis HCP knowingly and vohm\adty, and thel'(;foJ-o'a'gi-ees to abide b)' ill1terms, By Its signatures be)uw, the corpotnte rc[iresentativ.e Ogi'(!es.thnt lielshe 1s duly authoiiieifby the eoqiofation's .B:oard ofi°'lireotQrs 01· eqnlvallJ11t gowrning s.tmcture pursuant to the siimi'l. notarized !eMJ doo\rm\llll filed ln Unitec1 States ,,. AMOUJUWX CARRIERS CORP, certifying !l1n.t befondnnl comp;my is authorized to ci;tcr in!o and -comp1y wlih a[! qfthe pi'oVislons efthi$ Ple-a Agreement.
��---......
AM9PRt�\RRIER1 CORP.
!l!).__/ %Po.llJQ. "'Ho{�
' !o\d([])ivec� ·
As counsel for Defundant, we rq rmat we have d!�cnsscd wtth our corpornto client and i!s duly authorized repre.$entntive(s} the terms of this h111S/ECP and hove fully-explained its requirements. We have no reason to doubt that our client is knowingly ai1d volunlnri�y enle1fog into this EMS/ECP.
DATED:
On b(llrnlf of the United State1; Attf!TIWY' of the EMS/ECl':
DATHD:
tic� fot the C-entriil Dlsfricit ofCrtliforllin, the foHowiug agte.e (o the le,m$
M.
#I
it&u
AM�DA BTI'IT!NELU Asslstailt lJnfted Status A(Jorncy
17
l
