UNITED STATES DISTRICT COURT EASTERN DISTRICT OF MICHIGAN SOUTHERN DIVISION UNITED STATES OF AMERICA, v. Plaintiff, JAMES R. ROSENDALL, JR., HONORABLE AVERN COHN No. 09-20025 Defendant. / ARRAIGNMENT AND PLEA HEARING Monday, January 26, 2009 Appearances: Mark Chutkow R. Michael Bullotta Paul J. Denenfeld U.S. Attorney's Office Lagrand & Denenfeld 211 W. Fort Street, #2300 161 Ottawa Ave NW, #404 Detroit, Michigan 48226 Grand Rapids, Michigan 49503 (313) 226-9100 (616) 356-1770 On behalf of Plaintiff On behalf of Defendant - - - To obtain a certified transcript, contact: Sheri K. Ward, Official Court Reporter Theodore Levin United States Courthouse 231 West Lafayette Boulevard, Room 219 Detroit, Michigan 48226 (313)965-4401 sward@fedreporter.com Proceedings recorded by mechanical stenography. Transcript produced by computer-aided transcription.
Arraignment and Plea Hearing Monday, January 26, 2009 I N D E X Arraignment and Plea Hearing Page Arraignment... 3 Plea Hearing... 4 Factual Basis for the Plea... 11 Findings of the Court... 13 Certification of Reporter... 14 - - -
Arraignment and Plea Hearing Monday, January 26, 2009 3 1 Detroit, Michigan 2 Monday, January 26, 2009 3 2:35 p.m. 4 - - - 5 THE CLERK: Now calling Case Number 09-20025, 6 United States of America v. James R. Rosendall, Jr. 7 Will counsel please step up and identify 8 themselves for the record. 9 MR. BULLOTTA: Good afternoon, Your Honor, 10 Michael Bullotta for the United States. 11 MR. CHUTKOW: Good afternoon, Your Honor. 12 THE CLERK: Mr. Denenfeld, you will come up with 13 Mr. Rosendall. He will be in the middle. 14 MR. CHUTKOW: Mark Chutkow from the 15 U.S. Attorney's Office. 16 MR. DENENFELD: Paul Denenfeld on behalf of 17 Mr. Rosendall, Your Honor, who is standing next to me. 18 THE COURT: You are James R. Rosendall, Jr.? 19 THE DEFENDANT: Yes, Your Honor. 20 THE COURT: You are the person named in this 21 information? 22 THE DEFENDANT: Yes, Your Honor. 23 THE COURT: You have received a copy of the 24 information? 25 THE DEFENDANT: Yes, I have.
Arraignment 4 1 THE COURT: And you have also signed a waiver of 2 grand jury indictment? 3 MR. DENENFELD: He's about to do that, Your Honor. 4 THE COURT: You are about to do that? 5 THE DEFENDANT: Yes. 6 THE COURT: But you understand you are waiving 7 grand jury indictment? 8 THE DEFENDANT: Yes, I do. 9 THE COURT: Come a little closer to that mike. 10 Do you understand that you could require the 11 government to proceed by grand jury indictment? 12 THE DEFENDANT: Yes, I do. 13 THE COURT: Okay. Thank you. 14 Anything further on the arraignment? 15 THE CLERK: Mr. Bullotta? 16 MR. BULLOTTA: No, Your Honor. 17 MR. CHUTKOW: Your Honor, we are just handing up 18 the Acknowledgment of Information. 19 THE COURT: Thank you. 20 Now, I understand that you are going to plead 21 guilty to this information? 22 THE DEFENDANT: Yes, I am. 23 THE COURT: Before accepting your plea I have a 24 number of questions to ask to be sure it's a good plea and 25 you know what you are doing when you plea. If you don't
5 1 understand a question, say so. If you want to talk to your 2 lawyer, say so. Do you understand that? 3 THE DEFENDANT: Yes, I do. 4 THE COURT: Swear the defendant. 5 THE CLERK: Raise your right hand. 6 - - - 7 JAMES R. ROSENDALL, JR., 8 being first duly sworn by the deputy clerk to 9 tell the truth, was examined and testified 10 upon his oath as follows: 11 THE COURT: Do you understand if you don't answer 12 a question truthfully you can be charged with perjury? 13 THE DEFENDANT: Yes, I do. 14 THE COURT: How old are you? 15 THE DEFENDANT: Forty-three -- four, I'm sorry. 16 THE COURT: How far did you go in school? 17 THE DEFENDANT: High school. 18 THE COURT: Have you ever been under a doctor's 19 care or in a hospital for drug addiction? 20 THE DEFENDANT: No. 21 THE COURT: Have you had any drugs or medicine or 22 anything to drink in the last 24 hours? 23 THE DEFENDANT: No. 24 THE COURT: Do you have a lawyer? 25 THE DEFENDANT: Yes.
6 1 THE COURT: Have you had a chance to talk to your 2 lawyer? 3 THE DEFENDANT: Yes. 4 THE COURT: Are you satisfied with your lawyer? 5 THE DEFENDANT: Yes. 6 THE COURT: Do you understand under our 7 Constitution and laws you are entitled to a jury trial on 8 the charge against you? 9 THE DEFENDANT: Yes. 10 THE COURT: Do you understand if there was a trial 11 you would be presumed innocent, the government would have to 12 overcome that presumption, prove you guilty by competent 13 evidence and beyond a reasonable doubt, and you would not 14 have to prove you were innocent? 15 THE DEFENDANT: Yes. 16 THE COURT: Do you understand during the course of 17 a trial witnesses for the government would have to come into 18 the courtroom and testify in front of you, your lawyer could 19 cross-examine the witnesses, object to the evidence offered 20 by the government, and offer evidence on your behalf? 21 THE DEFENDANT: Yes. 22 THE COURT: Do you understand if there was a trial 23 you would have the right to subpoenas to force the 24 attendance of witnesses whether they wanted to come into the 25 courtroom or not?
7 1 THE DEFENDANT: Yes. 2 THE COURT: Do you understand if there was a trial 3 you would have the right to testify if you wanted to, you 4 would have the right not to testify and no inference or 5 suggestion of guilt could be drawn from the fact that you 6 did not testify? 7 THE WITNESS: Yes. 8 THE COURT: Do you understand if you plead guilty 9 and I accept your plea you waive your right to a trial and 10 all of the other rights I have described and there will not 11 be a trial and I will simply enter a judgment of guilty and 12 sentence you on the basis of your guilty plea? 13 THE DEFENDANT: Yes. 14 THE COURT: If you plead guilty, you also 15 understand you waive your right not to incriminate yourself 16 since I may ask you questions about what you did to satisfy 17 myself that you are guilty and you will have to acknowledge 18 the fact that you are guilty? 19 THE DEFENDANT: Yes. 20 THE COURT: Now, considering all that I have said, 21 are you willing to give up all of these rights and plead 22 guilty? 23 THE DEFENDANT: Yes. 24 THE COURT: Have you read the information? 25 THE DEFENDANT: Yes, I have.
8 1 THE COURT: Have you discussed with your lawyer 2 the charge to which you intend to plead guilty? 3 THE DEFENDANT: Yes, I have. 4 THE COURT: You understand you are charged with 5 bribery, conspiracy to engage in bribery? 6 THE DEFENDANT: Yes. 7 THE COURT: Do you know the maximum sentence under 8 the law for that offense? 60 months? 9 THE DEFENDANT: 60 months, correct. 10 THE COURT: Has anyone threatened you or forced 11 you to plead guilty? 12 THE DEFENDANT: No. 13 THE COURT: You have entered into a plea agreement 14 with the government, have you not? 15 THE DEFENDANT: Yes, I have. 16 THE COURT: What's your understanding of that 17 agreement? 18 That you will plead guilty to the charge, right? 19 THE DEFENDANT: Yes, I do. 20 THE COURT: You will be sentenced under 21 guidelines? 22 THE DEFENDANT: Correct. 23 THE COURT: But the guideline range -- 24 You have no criminal history? 25 THE DEFENDANT: That's correct.
9 1 THE COURT: The guideline range under the 2 agreement because of the magnitude of the bribery is -- 3 What is it? 4 MR. CHUTKOW: It's 260 -- 5 THE COURT: It's 210 to 262 months; do you 6 understand that? 7 THE DEFENDANT: Yes, I do. 8 THE COURT: But the offense itself carries a 9 maximum of 60 months, right? 10 THE DEFENDANT: That's correct. 11 THE COURT: And there is a potential for a fine of 12 between 20,000 and 200,000? 13 THE DEFENDANT: I understand. 14 THE COURT: Right? And you have agreed to -- 15 there is a period of -- 16 If you go to prison, there is a period of 17 supervised release when you come out; do you understand 18 that? 19 THE DEFENDANT: Yes, I do. 20 THE COURT: There is a $100 special assessment? 21 THE DEFENDANT: Correct. 22 THE COURT: And you have also agreed to cooperate 23 with the government; isn't that correct? 24 THE DEFENDANT: That is correct. 25 THE COURT: And if you cooperate, tell them
10 1 everything you know, testify, et cetera, the government in 2 its discretion can file a motion for downward departure? 3 THE DEFENDANT: Correct. 4 THE COURT: And the government's recommendation, 5 if it files such a motion in its discretion, is a sentence 6 of a maximum of 11 months? 7 THE DEFENDANT: I understand. 8 THE COURT: And your lawyer can argue for 9 something lower than 11 months, right? 10 THE DEFENDANT: Yes. 11 THE COURT: And the government can argue, I 12 believe, for more than the 11 months -- no, the most the 13 government can argue for is the 11 months? 14 THE DEFENDANT: I understand. 15 THE COURT: But in the last analysis it's my 16 discretion or my judgment that determines the sentence and 17 the fine? 18 THE DEFENDANT: I fully understand that. 19 THE COURT: And you waive your right to appeal if 20 everybody conforms to the agreement? 21 THE DEFENDANT: Yes. 22 THE COURT: Right? Is there anything else that I 23 have missed? 24 MR. CHUTKOW: No, Your Honor. We have the Waiver 25 of Indictment here for him to sign.
11 1 THE COURT: Okay. Now, have I missed anything in 2 the agreement? 3 MR. CHUTKOW: Nothing, unless you want me to read 4 the elements of the offense. 5 THE COURT: No, that's all right. The elements of 6 the offense are set out in the Rule 11 agreement, isn't that 7 right, Mr. Rosendall? You have read the elements of the 8 offense? 9 THE DEFENDANT: Yes, I have. 10 THE COURT: And, Mr. Denenfeld, you are satisfied 11 that's correct? 12 MR. DENENFELD: I am, Your Honor. 13 THE COURT: Okay. Has anyone made any promise to 14 you other than the plea agreement to get you to plead 15 guilty? 16 THE DEFENDANT: No. 17 THE COURT: Has anyone made any prediction or 18 prophesy or promise to you as to what the sentence will be? 19 THE DEFENDANT: No. 20 THE COURT: Did you, as charged in the 21 information, engage in a conspiracy to bribe public 22 officials? 23 THE DEFENDANT: Yes. 24 THE COURT: Tell me briefly what you did. 25 THE DEFENDANT: I worked for Synagro Technologies.
12 1 One of my responsibilities was to bring this contract with 2 the City of Detroit to fruition. Shortly after I began work 3 on this contract I discovered officials expected me to give 4 things to get their support. I began giving to those 5 demands, took various officials on trips, contributed to 6 campaigns and pet projects, made some cash payments or loans 7 to some officials, and I provided these things in order to 8 get the necessary support for the Synagro contract to be 9 approved. 10 THE COURT: You have signed a Rule 11 agreement, 11 right? 12 THE DEFENDANT: Yes, I have. 13 THE COURT: And you have read the portion that 14 says, "Factual Basis for Guilty Plea. The following facts 15 are a sufficient and accurate basis for defendant's guilty 16 plea"? 17 THE DEFENDANT: Yes. 18 THE COURT: It runs about five pages? 19 THE DEFENDANT: That's correct. 20 THE COURT: And it's accurate in your view? 21 THE DEFENDANT: Yes, it is. 22 THE COURT: Thank you. 23 Anything more? 24 MR. CHUTKOW: Nothing with respect to the plea 25 agreement, Your Honor.
13 1 THE COURT: Thank you. 2 MR. CHUTKOW: I can hand up the -- as soon as 3 Mr. Denenfeld signs the -- okay. 4 We should also address his pretrial release 5 conditions. 6 THE COURT: I will. I'll get to that. 7 MR. CHUTKOW: Thank you, Your Honor. 8 THE COURT: Since you acknowledge you are in fact 9 guilty as charged in the information, since you know you 10 have a right to trial and what the maximum punishment is, 11 since you are voluntarily pleading guilty, I accept your 12 plea of guilty and enter a judgment of guilty on the plea. 13 I find your plea is free and voluntary, you 14 understand the charge and penalty, the plea agreement has 15 been properly executed, and there is a factual basis for the 16 plea. The clerk is ordered to enter the plea of guilty. 17 You now stand convicted. I'm going to get a 18 presentence investigation report. I urge you to cooperate 19 with the probation officer. Your lawyer will explain to you 20 what that is, and I expect you to be back here for the time 21 and date set for your sentence. 22 Now I'm going to set conditions of pretrial 23 release: $10,000 unsecured bond; report as directed to the 24 Pretrial Services; surrender your passport and do not obtain 25 another passport.
14 1 Now, I understand your lawyer, Mr. Denenfeld, is 2 leaving the country; do you understand that? 3 THE DEFENDANT: Yes, I do. 4 THE COURT: So you will have a new lawyer at the 5 time of sentencing? 6 THE DEFENDANT: Yes. 7 THE COURT: Are you taking him to probation? 8 MR. DENENFELD: I am, Your Honor. 9 THE COURT: Okay, fine. 10 Anything further? 11 MR. CHUTKOW: Nothing further, Your Honor. 12 MR. BULLOTTA: No, Your Honor. 13 MR. DENENFELD: Not on behalf of defendant, 14 Your Honor. 15 THE COURT: Thank you. That concludes the plea. 16 MR. DENENFELD: Thank you. 17 MR. BULLOTTA: Thank you. 18 THE CLERK: All rise. 19 (Proceedings concluded at 2:45 p.m.) 20 - - - 21 C E R T I F I C A T I O N 22 I, Sheri K. Ward, official court reporter for the 23 United States District Court, Eastern District of 24 Michigan, Southern Division, appointed pursuant to the 25 provisions of Title 28, United States Code, Section 753,
15 1 do hereby certify that the foregoing is a correct 2 transcript of the proceedings in the above-entitled cause 3 on the date hereinbefore set forth. 4 I do further certify that the foregoing 5 transcript has been prepared by me or under my direction. 6 7 January 26, 2009 8 Sheri K. Ward Date Completed Official Court Reporter 9 - - - 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25