4DIV, CLOSED, FRC, INFO

U.S. District Court
District of Minnesota (DMN)
CRIMINAL DOCKET FOR CASE #: 0:02-cr-00152-JMR-1


Case title: USA v. Ashland, Inc.

Date Filed: 05/13/2002
Date Terminated: 12/23/2002

Assigned to: Judge James M. Rosenbaum
Appeals court case number: 03-1689

Defendant (1)
Ashland, Inc.
TERMINATED: 12/23/2002
represented byDeborah A Ellingboe
Faegre & Benson LLP
90 S 7th St Ste 2200
Mpls, MN 55402-3901
612-766-7000
Fax: 612-766-1600
Email: dellingboe@faegre.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

James L Volling
Faegre & Benson LLP
90 S 7th St Ste 2200
Mpls, MN 55402-3901
612-766-7758
Fax: 612-766-1600
Email: jvolling@faegre.com
TERMINATED: 12/23/2002
LEAD ATTORNEY
Designation: Retained

Pending Counts

Disposition
42:7413 (c)(4) CLEAN AIR ACT - NEGLIGENT ENDANGERMENT (misdemeanor count)
(2)
Probation for 5 yrs, spec assmt of .00, fine of ,400,000 payable as follows: .5 million to US Atty and .9 million to Nat'l Park Foundation (see details in judgment), restitution in the amt of ,750,000 payable to Randall Danielson ,500,00, David Slack ,000, Steve Hood ,000, Chris Riley ,000, Darren Wilson ,000, Joe Riley ,000, St Paul Fire Dept ,000, Cottage Grove Fire Dept ,000, Newport Fire Dept ,000, St Paul Park Refinery Emergency Response Team ,000
18:1018 - FALSE CERTIFICATION OR WRITING (misdemeanor count)
(3)
Probation for 5 yrs, spec assmt of .00, fine of ,400,000 payable as follows: .5 million to US Atty and .9 million to Nat'l Park Foundation (see details in judgment), restitution in the amt of ,750,000 payable to Randall Danielson ,500,00, David Slack ,000, Steve Hood ,000, Chris Riley ,000, Darren Wilson ,000, Joe Riley ,000, St Paul Fire Dept ,000, Cottage Grove Fire Dept ,000, Newport Fire Dept ,000, St Paul Park Refinery Emergency Response Team ,000

Highest Offense Level (Opening)
Misdemeanor

Terminated Counts

Disposition
42:7411(e) and 7413(c)(1) QQQ - NEW SOURCE PERFORMANCE STANDARDS (felony count)
(1)
prosecution deferred for up to 4 yrs

Highest Offense Level (Terminated)
Felony

Complaints

Disposition
None


Intervenor
Marathon Petroleum Company LLC represented byAndrew M Luger
Greene Espel
200 S 6th St Ste 1200
Mpls, MN 55402-1415
612-373-0830
Fax: 612-373-0929
Email: aluger@gr-espel.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

H Allen Blair
Hamline University School of Law
1536 Hewitt Ave
INACTIVE
St Paul, MN 55104-1237
651-523-2941
Email: hblair01@hamline.edu
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

William P Hefner
The Environmental Law Group, Ltd.
133 1st Ave N
Minneapolis, MN 55401
(612) 623-2362
Fax: (612) 378-3737
Email: whefner@envirolawgroup.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED


Plaintiff
United States of America represented byWilliam H Koch
Address Unknown
INACTIVE
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Date Filed #Docket Text
05/13/2002INFORMATION by USA William H Koch against Ashland, Inc. (1) counts 1 (felony), 2 & 3 (misdemeanors). 9 pgs ( Modified on 05/13/2002 (Entered: 05/13/2002)
05/13/2002WAIVER OF INDICTMENT by defendant Ashland, Inc. 1 pg ( (Entered: 05/14/2002)
05/13/2002Power of Atty as to Ashland, Inc. - Appointing Vice President, Glenn W. Hammer to negotiate, execute, deliver and peform under, and on behalf of the Corporation, a plea agreement. 1 pg ( (Entered: 05/14/2002)
05/13/2002MINUTES: before Chief Judge James M. Rosenbaum first appearance, arraignment & plea of Ashland, Inc; guilty plea entered to misdemeanor counts 2 & 3; prosecution deferred as to count 1 for a period of up to four years from the date of the plea agreement. Power of attorney filed. PSI ordered. Court Reporter: Kim Evavold, Shaddix & Assoc. 1 pg ( (Entered: 05/14/2002)
05/13/2002PLEA AGREEMENT AND SENTENCING STIPULATIONS as to Ashland, Inc. 14 pgs ( (Entered: 05/14/2002)
05/31/2002ORDER FOR REASSIGNMENT (Chief Judge James M. Rosenbaum / date signed 5/31/02) case reassigned to Chief Judge James M. Rosenbaum from Judge Joan E. Lancaster. (cc: all counsel) 1 pg ( (Entered: 05/31/2002)
08/12/2002JOINT MOTION for more time to file objections and proposed amendments to PSI by Ashland, Inc., & USA. 2pgs (LEG) (Entered: 08/13/2002)
09/05/2002POSITION of deft with respect to sentencing Ashland, Inc. (8 pages) (PJS) (Entered: 09/09/2002)
11/12/2002POSITION of govt with respect to sentencing Ashland, Inc. (30 pages) ( (Entered: 11/14/2002)
12/23/200210 MEMORANDUM IN AID OF SENTENCING as to deft Ashland, Inc. (16 pages) (PJS) (Entered: 12/24/2002)
12/23/200211 MINUTES: before Chief Judge James M. Rosenbaum SENTENCING Ashland, Inc. (1) counts 2 & 3 - Probation for 5 yrs, spec assmt of $250.00, fine of $5,400,000 payable as follows: $1.5 million to US Atty and $3.9 million to Nat'l Park Foundation (see details in judgment), restitution in the amt of $3,750,000 payable to Randall Danielson $3,500,00, David Slack $10,000, Steve Hood $10,000, Chris Riley $10,000, Darren Wilson $10,000, Joe Riley $10,000, St Paul Fire Dept $50,000, Cottage Grove Fire Dept $50,000, Newport Fire Dept $50,000, St Paul Park Refinery Emergency Response Team $50,000. Prosecution deferred for up to 4 yrs as to count 1. Attorney's are given 21 days to propose a way to use a specialist as an expert/special probationer. If unable to agree, they will submit position papers to the court. Some funds will be reserved to pay specialist. Court Reporter: Dawn Hansen. 4 pgs ( (Entered: 12/30/2002)
01/13/200312 TRANSCRIPT OF SENTENCING held 12/23/02 before JMR as to defendant Ashland, Inc. (Court Reporter: Dawn M. H. Hansen). 45pg(s) (SEPARATE) (LEG) (Entered: 01/14/2003)
01/15/200313 SENTENCING JUDGMENT as to defendant Ashland, Inc. by Chief Judge James M. Rosenbaum (dated 1/14/03). (Copies dist'd) 6 pages (PJS) (Entered: 01/22/2003)
01/24/200314 POSITION of govt with respect to "Probation Consultant" and MAP as to deft Ashland, Inc. (100 pages) (PJS) (Entered: 01/27/2003)
01/29/200315 JUDGMENT returned executed as to defendant Ashland, Inc. 1/29/03 (Probation). 6 pgs ( (Entered: 01/30/2003)
01/29/200316 NOTICE OF APPEARANCE for Marathon Ashland as to deft Ashland, INc. (1 page) (PJS) (Entered: 01/31/2003)
01/29/200317 MOTION AND MEMORANDUM by Marathon Ashland as to deft Ashland, Inc. to intervene (to Chief Judge James M. Rosenbaum). (6 pages) (PJS) (Entered: 01/31/2003)
01/29/200318 MOTION to amend judgment by Ashland, Inc. (3 pages) (PJS) (Entered: 01/31/2003)
01/29/200319 REPLY POSITION of deft on the issue of probation. (7 pgs) (PJS) (Entered: 01/31/2003)
02/03/200320 RESPONSE of pltf USA to deft Ashland, Inc.'s motion to amend judgment [18-1]. 4pgs (LEG) (Entered: 02/04/2003)
02/05/200321 ORDER (Chief Judge James M. Rosenbaum / date signed 2/5/03) that defendant Ashland Inc.'s motion for an extension of time to file a Notice of Appeal is granted. Defendant's time within which to file a Notice of Appeal shall be extended for 30 days, under Fed.R.App.P.4(b)(4) (cc: all counsel) (1pg) (BLW (Entered: 02/05/2003)
02/05/200322 MOTION for extension of time to file appeal by Ashland, Inc. (3 pages) (PJS) (Entered: 02/06/2003)
02/26/200323 SATISFACTION OF MONETARY IMPOSITION as to Ashland, Inc. in the amount of $9,150,250.00. 1pg (cc: FSD) (LEG) Modified on 02/27/2003 (Entered: 02/27/2003)
03/05/200324 AMENDED JUDGMENT as to defendant Ashland, Inc. by Chief Judge James M. Rosenbaum (dated 3/4/03) re probation and special conditions of probation. (Copies dist'd) 6 pages (PJS) (Entered: 03/06/2003)
03/07/200325 NOTICE OF APPEAL TO THE EIGHTH CIRCUIT COURT OF APPEALS by deft Ashland, Inc. (filed by Faegre & Benson) from judgments of JMR filed 1/15/03 and 3/5/03 [13-1] [24-1]. (cc: all counsel) 2 pages (PJS) (Entered: 03/11/2003)
03/10/200326 RECEIPT as to deft Ashland, Inc. in the amount of $105.00 receipt number 265612 for notice of appeal. (PJS) (Entered: 03/11/2003)
03/11/2003  DELIVERED TWO COPIES of each of the following to the Court of Appeals, St. Paul Office: Revised information sheet, Notice of Appeal, Order or Judgment and Docket entries (certified) as to defendant Ashland, Inc. (PJS) (Entered: 03/11/2003)
03/11/2003  Sent to USCA, St Paul, sentencing transcript, Doc. #12, as to Ashland, Inc. (PJS) (Entered: 03/11/2003)
03/14/2003  NOTIFICATION BY CIRCUIT COURT of Appellate Docket Number 03-1689 as to defendant Ashland, Inc. ( (Entered: 03/14/2003)
03/17/200327 Clerk's Record on Appeal delivered to the 8th Circuit Court as to Ashland, Inc. (cc: Counsel). 3pgs (LEG) (Entered: 03/18/2003)
03/20/200328 RECEIPT as to defendant Ashland, Inc. in the amount of $304.00 receipt number 142006 for payment for preparation of the designation of record. 1 pg ( (Entered: 03/20/2003)
03/24/200329 TRANSCRIPT OF GUILTY PLEA held 5/13/02 before JMR as to defendant Ashland, Inc. (Court Reporter: Kimberly Evavold w/Shaddix). 40 pages (SEPARATE) (PJS) (Entered: 03/24/2003)
03/24/2003  Sent to USCA, St Paul, PLEA TRANSCRIPT, Doc. 29, as to Ashland, Inc. (PJS) (Entered: 03/24/2003)
04/07/2003  Three (3) sealed PSIs sent to USCA, St. Paul, as to Ashland, Inc. (LEG) (Entered: 04/07/2003)
04/14/200330 ORDER ( Chief Judge James M. Rosenbaum / 4/14/03) denying Marathon Ashland Petroleum LLC's motion to intervene [17-1] as to Ashland, Inc. (cc: all counsel) 1 page (PJS) (Entered: 04/15/2003)
09/12/200331 STIPULATION AND ORDER by Chief Judge James M. Rosenbaum as to Ashland, Inc. re Probation Consultant. (cc: all counsel, PO) 2 pages (PJS) (Entered: 09/15/2003)
10/17/200332 STIPULATION AND ORDER by Chief Judge James M. Rosenbaum as to deft Ashland Inc. re: Probation Consultant (cc: all counsel & PROB). 3pgs (LEG) (Entered: 10/20/2003)
10/17/200333 PROBATION CONSULTANT'S AGREEMENT (Chief Judge James M. Rosenbaum / date signed 9/11/03) as to Ashland, Inc. (cc: all counsel & PROB). 8pgs (LEG) Modified on 10/20/2003 (Entered: 10/20/2003)
11/06/2003  Sent to USCA, St Paul, the original file consisting of two (2) blue folders as to Ashland, Inc. (LEG) (Entered: 11/06/2003)
02/23/200434 OPINION FROM EIGHTH CIRCUIT COURT OF APPEALS (certified copy) as to Ashland, Inc. that the amended judgment of the district court is modified. (8 pages)(PJS) (Entered: 02/25/2004)
02/23/200435 JUDGMENT FROM EIGHTH CIRCUIT COURT OF APPEALS (certified copy) as to Ashland, Inc. 25 that the amended judgment of the district court is modified. (copies dist'd) 1 page(PJS) (Entered: 02/25/2004)
03/10/200536 STIPULATION AND ORDER that Count 1 of the Information in this matter dated 5/13/02 is hereby dismissed with prejudice and on the merits, and no further prosecution of said Count 1 may be brought. Signed by Cheif Judge James M Rosenbaum on 2/22/05. (JMM) (Entered: 03/11/2005)
03/11/200537 JUDGMENT as to Ashland, Inc. re: 36 Stipulation and Order . Signed by Chief Judge James M Rosenbaum on 2/22/05. (JMM) (Entered: 03/11/2005)
12/15/200538  MOTION for Order for Early Termination of Probation by Ashland, Inc.. (Volling, James) (Entered: 12/15/2005)
12/15/200539 MEMORANDUM in Support by Ashland, Inc. re 38 MOTION for Order for Early Termination of Probation (Volling, James) (Entered: 12/15/2005)
12/15/200540 LR7.1 WORD COUNT COMPLIANCE CERTIFICATE by Ashland, Inc. re 39 Memorandum in Support of Motion (Volling, James) (Entered: 12/15/2005)
12/15/200541 STIPULATION of No Opposition to the Motion for Early Termination of Probation by Ashland, Inc., United States of America (Volling, James) (Entered: 12/15/2005)
12/15/200542 Certificate of Service by Ashland, Inc..(Volling, James) (Entered: 12/15/2005)
12/30/200543 Minute Entry for proceedings held before Chief Judge James M Rosenbaum :Motion Hearing as to Ashland, Inc. held on 12/30/2005 re 38 MOTION for Order for Early Termination of Probation filed by Ashland, Inc. Motion taken under advisement. (Court Reporter Dawn Hansen) (HLL) (Entered: 01/03/2006)
01/05/200644 ORDER denying 38 Motion for early discharge from probation; matter continued for reconsideration on June 30, 2006. Signed by Judge James M Rosenbaum on 01/05/06. (kmc)cc: Prob. on 1/6/2006 (LPH). (Entered: 01/05/2006)
07/03/200645 ORDER as to Ashland, Inc. reconsidering and granting 38 MOTION for Order for Early Termination of Probation filed by Ashland, Inc. Defendant is discharged from probation as of June 30, 2006. Signed by Judge James M Rosenbaum on 06/30/2006. (kmc) Modified text on 7/3/2006 (mkf). cc: PO (Entered: 07/03/2006)
05/11/200746 ORDER as to Ashland, Inc. That all duties and responsibilities originally assigned to the National Park Foundation by way of this Court's original Judgment shall be transferred to the Mississippi River Fund, a 501(c)(3) non-profit entity. This reassignment is being made at the request of the National Park Foundation and the Mississippi river Fund, and with the consent of the US and Ashland, Inc. . Signed by Judge James M. Rosenbaum on 5/10/07. (KNK) Modified text on 5/15/2007 (leg). Copy to FLU and USDC Financial Unit. (Entered: 05/14/2007)