INTERTANKO NORTH AMERICAN PANEL Developments in Department of Justice Prosecutions Jonathan K. Waldron October 22

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INTERTANKO NORTH AMERICAN PANEL Developments in Department of Justice Prosecutions Jonathan K. Waldron October 22, 2007 The data contained in this is condensed and compressed from various sources, the exactness and fulfillment of which can't be guaranteed. This ought not be understood as lawful exhortation or conclusion and is not a substitute for the guidance of direction.

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How could we have been able to we arrive? Mid-1990s, U.S. started centering authorization endeavors on the sea business Largely centered around refuse releases from journey transports First OWS case identified with a US-hail coordinated pull freight boat Trend proceeded, and as of late people, and also organizations, have gotten to be targets Enforcement activities are turning into a need abroad too

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DOJ's Vessel Initiative Ongoing since around 1995 and does not separate by vessel sort or banner Prosecutors committed to oceanic ecological arraignments, alongside prepared EPA, FBI, and Coast Guard criminal examiners Hundreds of state/government natural wrongdoings teams Criminal requirement of OWS infringement has been a reality for over 10 years – with not a single ebb to be seen

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Summary of U.S. Requirement All sorts of business vessels – U.S. also, remote banner. Most incessant offense is consider infringement of MARPOL Annex I. Corporate respondents: criminal fines, group benefit, probation, court administered ecological consistence programs. Singular respondents: imprison time, probation, criminal fines. Most cases include consider releases of huge amounts of waste oil, muck and different contaminations. Purposeful misrepresentation of vessel records to hoodwink port powers.

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Summary of U.S. Authorization (proceeded with) Concealment : releases made around evening time, stowing away of sidestep gear, utilization of dispersants, deceiving of OCM, adulteration of Oil Record Book and Tank Sounding Log, and so forth. Numerous cases include check of equity (witness altering, demolition of confirmation, modification of records, prevarication).

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Motives Saves cash on building, obtaining and introducing best accessible innovation. Spares cash on the cost of offloading waste oil in port and related port charges. Spares cash on the cost of OWS/OCM/incinerator parts. Spares cash and time on work and upkeep of gear and on administration of corporate culture. Budgetary rewards to Chief Engineers for keeping inside anticipated spending plan. For team individuals: to keep up employment in a military-like hierarchy of leadership. For administrators: to lessen costs for proprietors and clients.

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Prosecution Goals Protection of the earth. Usage of MARPOL. Rebuff knowing and purposeful infringement by those particularly prepared and authorized to know better. Hold senior shipboard and shore-side directors responsible. Auspicious practice of prosecutorial caution. Create notwithstanding playing field where well behaved organizations are not distraught. Deflect future criminal direct. Advance self-reviews, deliberate revelations.

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Recent Trends Continued resistance. Expanded worldwide implementation and participation. Expanded informant grants. Expanded criminal punishments. Expanded yet insufficient consistence endeavors inside industry. Decreased acknowledgment of obligation (i.e. expanded prosecution and trials). Enterprises faulting their representatives. Crewmembers faulting their managers.

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Act to Prevent Pollution from Ships Puts restricts on releases, sets up reporting, observing gear, and record keeping necessities Annex I (oil) prerequisites apply in the safe waters (3 NM) of the United States Annex V (trash) necessities apply both in the traversable waters and the Exclusive Economic Zone Civil Penalties Up to $25,000 for every day of an infringement Up to $5,000 for a false, invented, or fake articulation or distortion

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Act to Prevent Pollution from Ships (proceeded with) Criminal Penalties Class D lawful offense for "knowing" infringement, which means up to six years in jail and fines up to $250K for people and $500K for organizations Enforcement Options Prohibit a ship from entering port Detain a ship in port Administrative punishments Refer the matter to the banner state Prosecute the infringement – common or criminal

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Other Key Environmental Legislation and Theories of Liability Federal Law Clean Water Act (CWA) Oil Pollution Act of 90 (OPA 90) Resource Conservation and Recovery Act (RCRA) Ocean Dumping Act Refuse Act Migratory Bird Treaty Act State Law False Statements, Obstruction of Justice, Conspiracy

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"False Statements" - What's the Crime? 18 U.S.C. § 1001: "[W]hoever, in any matter inside the purview of the official, administrative, or legal branch of the Government of the United States, purposely and unshakably : (1) adulterates, hides, or conceals . . . a material truth; (2) makes any physically false, invented, or deceitful proclamation or representation; or (3) makes or uses any false written work or report knowing the same to contain any tangibly false, imaginary, or fake explanation or section; should be fined under this title or detained not over 5 years, or both. . ."

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What's the False Statement?

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2006 Prosecutions Corpus Christi Day Cruises: TX – organization ($300K); boss architect MK Shipmanagement Company: NJ – organization ($350K) Wallenius Ship Management: NJ – organization ($6.5M); boss specialist (ORB/GRB) Chian Spirit: DE – boss designer; ace M/V Sun New: NJ – organization ($500K); two architects M/T Georgis Nikolos: CA – boss architect Pacific-Gulf Marine: MD – organization ($1.5M); two specialists arraigned U.S. v. Stickle: FL – conviction of CEO maintained (33 months in jail) Danaos Shipping Co. Ltd.: CA – organization ($500K) for conceal identified with little spills Overseas Shipholding Group: TX, CA, ME, MA, NC – organization ($37M); biggest including conscious vessel contamination Celebrity Cruises: WA – ace ($15K and one year boycott for being tipsy) Rickmers Reederei: AL – ace and organization ($375K) liable of sailor's homicide United States v. Noel Abrogar – 3 rd Circuit turned around one year jail sentence for boss architect; held contamination infringement happening in worldwide waters couldn't be arraigned criminally in the United States and in this way couldn't be utilized to improve sentences

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2007 Prosecutions 12 Overseas Shipholding Group Vessels – In June, OSG was sentenced to pay $10 million of a $37 million criminal settlement for 33 natural infringement happening in Boston; Portland, ME; Los Angeles; San Francisco; and Wilmington, NC. OSG will likewise serve three-years probation and execute an Environmental Compliance Plan ("ECP"). Twelve ebb and flow and previous crewmembers were granted $437,000 each under the APPS informant arrangement for their part in blowing the shriek on the unlawful lead New OSG Development – New Grand Jury test opened in May M/T Clipper Trojan - Three organizations in the Clipper Group prosecuted in March regarding concealing illicit releases of sleek bilge and ooze in global waters. The claims in the 11-check prosecution incorporate MARPOL infringement, connivance, false articulations, and impediment of equity. The prosecution additionally asserts that the organizations neglected to give adequate preparing and uphold organization approaches. On June 13, the main architect was sentenced to five months in jail for his part in endeavoring to conceal the illicit releases M/V Kriton – On September 6 in Connecticut, the Greek organization Ionia Shipmanagement was indicted on 18 checks related: APPS infringement (13), distorting records (3), block of equity (1), and connivance (1). The organization pled blameworthy in 2004 identified with releases from another of its vessels

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2007 Prosecutions (proceeded with) Fishers Island Ferry – In March, the Fishers Island Ferry District was fined $200,000 in a common arraignment after its operations chief pled liable in 2005 for damaging the Rivers and Harbors Act. The operations supervisor was detained for 30 days for requesting the release of crude sewage and untreated slop into Long Island Sound Pacific Gulf Marine – In March, two boss architects serving on U.S.- signal auto transporters pled liable to intrigue, false proclamations, and infringement of APPS for bypassing the OWS. Another central designer pled liable in May. On August 24 in Maryland, yet another central designer from the U.S.- signal auto transporter, M/V Fidelio, was arraigned on six tallies identified with unlawfully releasing bilge and the main specialist on the M/V Tanabata as sentenced on October 16 on three numbers identified with illicit releases Little Lady Water Taxi – In February, the commander of a New York ship was indicted steering a vessel utilizing a fake ace's permit and putting forth false expressions to the Coast Guard. The commander will serve five months in prison, trailed by three-years probation Princess Cruise Lines – In January, Princess pled blameworthy to a charge of purposely neglecting to work its vessel at a sheltered speed while close to two humpback whales, and will pay a $750,000 for infringement of the Marine Mammal Protection Act. One of the whales, which was pregnant, was struck and killed

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2007 Prosecutions (proceeded with) M/V New Sun - The main designer and second architect of the bulker New Sun were sentenced in January. The main specialist got five months in jail took after by two months administered discharge, and the second architect got three years probation. Both pled blameworthy in December 2006 M/V Irika – In January, Irika Maritime was sentenced subsequent to conceding and requested to pay $750,000 for neglecting to keep up an exact oil record book and bypassing the oil-water separator of a Panamanian-hail bulker. Irika Maritime will be on post trial supervision for a long time and should actualize an ECP. The court coordinated tha