EASTERN DISTRICT OF VIRGINIA
The United States of America, by undersigned counsel, the defendant,
WILLIAM ALAN POTTS, and the defendant's counsel have entered into the
following agreement pursuant to Rule 11 of the Federal Rules of Criminal
Procedure. The terms of the agreement are as follows:
The defendant agrees to waive indictment and plead guilty to a single
count criminal information charging the defendant with participating
in a conspiracy to suppress and eliminate competition by allocating
customers and rigging bids for contracts for sale of plastic marine
pilings in the United States and elsewhere from in or about December
2000, continuing until in or about May 2003, in violation of the Sherman
Antitrust Act, 15 U.S.C. § 1. The maximum penalties for this offense
are a term of three years of imprisonment, a fine in an amount equal
to the greatest of (1) $350,000, (2) twice the gross pecuniary gain
the conspirators derived from the crime, or (3) twice the gross pecuniary
loss caused to the victims of the crime by the conspirators (15 U.S.C.
§ 1; 18 U.S.C. § 3571(b) and (d)), full restitution, a special
assessment, and one year of supervised release. The defendant understands
that this supervised release term is in addition to any prison term
the defendant may receive, and that a violation of a term of supervised
release could result in the defendant being returned to prison for the
entire term of supervised release.
The defendant will plead guilty because the defendant is in fact guilty
of the charged offense. The defendant admits the facts set forth in
the Statement of Facts filed with this Plea Agreement and agrees that
those facts establish guilt of the offense charged beyond a reasonable
doubt. The Statement of Facts, which is hereby incorporated into this
Plea Agreement, constitutes a stipulation of facts for purposes of Section
1B1.2(a) of the Sentencing Guidelines.
The defendant is satisfied that the defendant's attorney has rendered effective assistance. The defendant understands that by entering into this agreement, defendant surrenders certain rights as provided in this agreement. The defendant understands that the rights of criminal defendants include the following:
The defendant understands that the Court has jurisdiction and authority to impose any sentence within the statutory maximum described above but that the Court will determine the defendant's actual sentence in accordance with 18 U.S.C. § 3553(a). The defendant understands that the Court has not yet determined a sentence and that any estimate of the advisory sentencing range under the U.S. Sentencing Commission's Sentencing Guidelines Manual ("U.S.S.G.") the defendant may have received from the defendant's counsel, the United States, or the Probation Office, is a prediction, not a promise, and is not binding on the United States, the Probation Office, or the Court. Additionally, pursuant to the Supreme Court's decision in United States v. Booker, 543 U.S. 220, the Court, after considering the factors set forth in 18 U.S.C. § 3553(a), may impose a sentence above or below the advisory sentencing range, subject only to review by higher courts for reasonableness. The United States makes no promise or representation concerning what sentence the defendant will receive, and the defendant cannot withdraw a guilty plea based upon the actual sentence. Pursuant to U.S.S.G. § 1B1.11(b), the United States and the defendant agree that the November 1, 2002 version of the U.S.S.G., which was in effect on the date that the offense of conviction was committed, should be used since the November 1, 2006 version of the U.S.S.G. would result in a higher adjusted offense level for the offense to which the defendant is pleading guilty. Pursuant to U.S.S.G. § 6B1.4, the United States and the defendant enter into the following stipulations. The United States and the defendant understand and agree that these stipulations are not binding upon either the Probation Office or the Court. The Court may make factual determinations that differ from these stipulations and that may result in an increase or decrease in the Sentencing Guidelines range and the sentence that may be imposed on the defendant.
The defendant also understands that Title 18, United States Code,
Section 3742 affords a defendant the right to appeal the sentence imposed.
Nonetheless, the defendant knowingly waives the right to appeal the
conviction and any sentence within the statutory maximum described above
(or the manner in which that sentence was determined) on the grounds
set forth in Title 18, United States Code, Section 3742 or on any ground
whatsoever, in exchange for the concessions made by the United States
in this Plea Agreement. This agreement does not affect the rights or
obligations of the United States as set forth in Title 18, United States
Code, Section 3742(b). The defendant also hereby waives all rights,
whether asserted directly or by a representative, to request or receive
from any department or agency of the United States any records pertaining
to the investigation or prosecution of this case, including without
limitation any records that may be sought under the Freedom of Information
Act, Title 5, United States Code, Section 552, or the Privacy Act, Title
5, United States Code, Section 552a.
Pursuant to Fed. R. Crim. P. 11(c)(1)(B), the United States and the defendant agree that the appropriate disposition of this case is, and agree to recommend jointly, that the Court impose a sentence requiring the defendant to pay to the United States a criminal fine and to serve a sentence to be determined by the Court. The defendant understands and agrees that, subject to the full and continuing cooperation of the defendant, as described in Paragraph 10 of this Plea Agreement, the United States will recommend to the Court a sentence no higher than one within U.S.S.G. Offense Level 11, and a criminal fine not to exceed $50,000. The United States agrees that the defendant is free to recommend a lesser sentence and a lower criminal fine (the "Sentencing Agreement").
Before sentencing in this case, the defendant agrees to pay a mandatory
special assessment of one hundred dollars ($100.00) per count of conviction.
The defendant understands and agrees that, pursuant to Title 18, United
States Code, Section 3613, whatever monetary penalties are imposed by
the Court will be due and payable immediately and subject to immediate
enforcement by the United States as provided for in Section 3613. Furthermore,
the defendant agrees to provide all of his financial information to
the United States and the Probation Office and, if requested, to participate
in a pre-sentencing debtor's examination. If the Court imposes a schedule
of payments, the defendant understands that the schedule of payments
is merely a minimum schedule of payments and not the only method, nor
a limitation on the methods, available to the United States to enforce
the judgment if necessary.
Subject to the full, truthful, and continuing cooperation of the defendant,
as described in Paragraph 10 of this Plea Agreement, and upon the Court's
acceptance of the guilty plea called for by this Plea Agreement and
the imposition of a sentence, the United States will not bring further
criminal charges against the defendant for any act or offense committed
before the date of this Plea Agreement that was undertaken in furtherance
of (1) antitrust conspiracies or fraud involving the manufacture or
sale of plastic marine pilings or foam filled marine fenders; and (2)
offenses involving a conspiracy to bribe an employee of the New York
City Department of Citywide Administrative Services in conjunction with
the sale of plastic marine pilings ("Relevant Offenses"). The nonprosecution
terms of this paragraph do not apply to civil matters of any kind, to
any violation of the federal tax or securities laws, or to any crime
The defendant agrees to cooperate fully and truthfully with the United States in the prosecution of this case, the conduct of the current federal investigation of violations of federal antitrust and related criminal laws involving the plastic marine pilings industry, the marine fenders industry, any other federal investigation resulting therefrom, and any litigation or other proceedings arising or resulting from any such investigation to which the United States is a party ("Federal Proceedings"). In that regard:
Pursuant to Section 1B1.8 of the Sentencing Guidelines, no truthful
information that the defendant provides pursuant to this agreement will
be used to enhance the defendant's guidelines range. The United States
will bring this Plea Agreement and the full extent of the defendant's
cooperation to the attention of other prosecuting offices if requested.
Nothing in this Plea Agreement, however, restricts the Court's or Probation
Office's access to information and records in the possession of the
United States. Furthermore, nothing in this agreement prevents the government
in any way from prosecuting the defendant should the defendant provide
false, untruthful, or perjurious information or testimony or from using
information provided by the defendant in furtherance of any forfeiture
action, whether criminal or civil, administrative or judicial.
This Plea Agreement is not conditioned upon charges being brought
against any other individual. This Plea Agreement is not conditioned
upon any outcome in any pending investigation. This Plea Agreement is
not conditioned upon any result in any future prosecution which may
occur because of the defendant's cooperation. This Plea Agreement is
not conditioned upon any result in any future grand jury presentation
or trial involving charges resulting from this investigation. This Plea
Agreement is conditioned upon the defendant providing full, complete
and truthful cooperation.
The parties agree that the United States reserves the right to seek
any departure from the applicable sentencing guidelines, pursuant to
Section 5K1.1 of the Sentencing Guidelines and Policy Statements, or
any reduction of sentence pursuant to Rule 35(b) of the Federal Rules
of Criminal Procedure, if, in its sole discretion, the United States
determines that such a departure or reduction of sentence is appropriate.
The defendant agrees that, should the United States determine in good faith, during the period that any Federal Proceeding is pending, that the defendant has failed to provide full and truthful cooperation, as described in Paragraph 10 of this Plea Agreement, or has otherwise violated any provision of this Plea Agreement, the United States will notify the defendant or his counsel in writing by personal or overnight delivery or facsimile transmission and may also notify his counsel by telephone of its intention to void any of its obligations under this Plea Agreement (except its obligations under this paragraph), and the defendant shall be subject to prosecution for any federal crime of which the United States has knowledge including, but not limited to, the substantive offenses relating to the investigation resulting in this Plea Agreement. The defendant agrees that, in the event that the United States is released from its obligations under this Plea Agreement and brings criminal charges against the defendant for any Relevant Offense, the statute of limitations period for such offense will be tolled for the period between the date of the signing of this Plea Agreement and six (6) months after the date the United States gave notice of its intent to void its obligations under this Plea Agreement.
The defendant understands and agrees that in any further prosecution
of him resulting from the release of the United States from its obligations
under this Plea Agreement based on the defendant's violation of the
Plea Agreement, any documents, statements, information, testimony, or
evidence provided by him to attorneys or agents of the United States,
federal grand juries, or courts, and any leads derived therefrom, may
be used against him in any such further prosecution. In addition, the
defendant unconditionally waives his right to challenge the use of such
evidence in any such further prosecution, notwithstanding the protections
of Fed. R. Evid. 410.
This written agreement constitutes the complete Plea Agreement between
the United States, the defendant, and the defendant's counsel. The defendant
and his attorney acknowledge that no threats, promises, or representations
have been made, nor agreements reached, other than those set forth in
writing in this Plea Agreement, to cause the defendant to plead guilty.
Any modification of this Plea Agreement shall be valid only as set forth
in writing in a supplemental or revised Plea Agreement signed by all
parties. The undersigned attorneys for the United States have been authorized
by the Attorney General of the United States to enter this Plea Agreement
on behalf of the United States.
Defendant's Signature: I hereby agree that I have consulted
with my attorney and fully understand all rights with respect to the
pending Criminal Information. Further, I fully understand all rights
with respect to 18 U.S.C. § 3553 and the provisions of the Sentencing
Guidelines Manual that may apply in my case. I have read this Plea Agreement
and carefully reviewed every part of it with my attorney. I understand
this agreement and voluntarily agree to it.
Defense Counsel Signature: I am counsel for the defendant in
this case. I have fully explained to the defendant the defendant's rights
with respect to the pending Criminal Information. Further,
I have reviewed 18 U.S.C. § 3553 and the Sentencing Guidelines
Manual, and I have fully explained to the defendant the provisions that
may apply in this case. I have carefully reviewed every part of this
Plea Agreement with the defendant. To my knowledge, the defendant's
decision to enter into this agreement is an informed and voluntary one.