United States District Court

MIDDLE DISTRICT OF ALABAMA
UNITED STATES OF AMERICA
V.
DAWIE GROENEWALD
CRIMINAL COMPLAINT
CASE NUMBER:
4
'1
0
c5C
I, the undersigned complainant being duly sworn state the following is true and correct to the best of
my knowledge and belief. Beginning from a date unknown but no later than 2008 and continuing until October 10,
2009, in South Africa and elsewhere, the defendant did, (Track Statutory Language of Offense)
knowingly and willfully, with intent to defraud the United States, smuggle, and clandestinely introduce and attempt
to smuggle and clandestinely introduce into the United States, any merchandise which should have been invoiced and
make out and pass and attempt to pass through the customhouse any false, forged, and fraudulent invoice, and other
documents and paper,
in violation of Title 18United States Code, Section(s) 545
I further state that I am a(n) Special Agent with U.S. Fish & Wildlife Service and that this complaint is based on the
Official Title
following facts:
SEE ATTACHED AFFIDAVIT
Continued on the attached sheet and made a part hereof: Yes D No
Signature of Complainant
Sworn to before me and subscribed in my presence,
JANUARY 29. 2010 at
Date

City and State
CHARLES S. COODY. U.S. MAGISTRATE JUDGE
Name & Title of Judicial Officer

Sig ttuie ixf Judicial Officer
Case 2:10-cr-00020-MEF-CSC Document 1 Filed 01/29/10 Page 1 of 6
AFFIDAVIT IN SUPPORT OF CRIMINAL COMPLAINT
I, Carl R. Wilson, Special Agent for the United States Fish and Wildlife Service, after
being duly sworn, declare as follows:
I. INTRODUCTION
1. I am a Special Agent ("SA") of the United States Fish and Wildlife Service
("USFWS" or "Service"), Office of Law Enforcement, and am therefore an "investigative
or law enforcement officer..." of the United States within the meaning of Title 16, United
States Code, Section 3375. As such, I am a Federal Law Enforcement Officer within the
meaning of Rule 41(a), Federal Rules of Criminal Procedure. I have been so employed
for approximately 16 years. Prior to my current position, I was employed as a State Game
Warden of the Texas Parks and Wildlife Department for approximately 11 years.
2. This affidavit is in support of a criminal complaint charging Dawie Groenewald with
various crimes related to the smuggling of protected wildlife, specifically a Leopard
(Pan thera pardus) in violation of federal law.
II. Legal Background
1. The United States has ratified a treaty known as the Convention on the
International Trade in Endangered Species of Wild Fauna and Flora ("CITES"). Under
CITES, codified at 16 U.S.C. § 1538, et. seq., species are protected according to a
classification system known as "appendices." Wildlife species listed in Appendix I of
CITES (such as the leopard) are species that are threatened with extinction and that are,
or may be affected by trade. This regulation takes the form of particularly strict
requirements for documentation from the country of export or re-export and the country
of import as well as monitoring of trade, and national export quotas.
Case 2:10-cr-00020-MEF-CSC Document 1 Filed 01/29/10 Page 2 of 6
2. Leopard Protected Status
Since 1975, the leopard (Panthera pardus) has been listed as threatened (in
the area in question) under U.S. law and on Appendix I of the international
CITES treaty. This classification requires that leopard parts (including skins and
skulls from sport hunts) crossing any international boundary must be
accompanied by a valid import permit issued by the receiving country and a
valid export permit (or re-export certificate) from the exporting country.
Importation of leopard parts without such documentation, or with false or
fraudulent documents, is contrary to CITES and violates the implementing
statute and regulation (ESA and Title 50 of the CFR), and by extension, the anti-
smuggling statute, 18 U.S.C. § 545, which is charged in this case.
3. Title 18, United States Code, Section 545 makes it unlawful for anyone who
knowingly imports or brings into the United States, any merchandise contrary to
law, or receives, conceals, buys, sells, or in any manner facilitates the transportation,
concealment, or sale of such merchandise after importation, knowing the same to
have been imported or brought into the United States contrary to law.
III. FACTS ESTABLISHING PROBABLE CAUSE
1. On October 16, 2009, U.S. Fish and Wildlife Service (USFWS) Wildlife
Inspector (WI) Michael Martynenko was advised of a shipment of game trophies being
imported into the United States from South Africa. WI Martynenko inspected the
shipment at the Fauna and Flora bonded warehouse in Jamaica, New York, within the
Eastern Judicial District of New York. The shipment contained a total of six animals,
including one leopard and was consigned to Glenn Davey in Kyle, Texas.
Case 2:10-cr-00020-MEF-CSC Document 1 Filed 01/29/10 Page 3 of 6
2. WI Martynenko reviewed that CITES documents that were presented with the
shipment and noted that under block 5 (Special Conditions) of the U.S. import CITES
permit a special condition stated "trophy must have been taken during the 2006 hunting
season." WI Martynenko examined the South Africa CITES export permit and noticed
that under block 5 of that permit the leopard tag number was "ZA PAR 2008000028"
indicating that the leopard was killed and tagged in 2008.
3. On January 22, 2010, USFWS Resident Agent in Charge (RAC) David Hubabrd
received information from Mr. S. P. Coetzee of the Environmental Compliance and
Enforcement Division of the Limpopo Provincial government of South Africa concerning
the possible illegal export of a leopard. Mr. Coetzee provided a permit application
submitted by Dawie Groenewald for the export a leopard that was killed by Glenn Davey
of Kyle, Texas in 2008. Mr. Coetzee stated that he had checked the South African border
crossing information and found that Glenn Davey was last in South Africa in 2006 and
had not entered the country since. Mr. Coetzee also provided a "South African
Professional Hunting Register and Trophy Export Application" that was submitted to the
Limpopo provincial government by Dawie Groenwald in order to obtain a permit for
export of sport hunted trophies. The register showed that the hunt commenced on
October 27, 2008, and ended on November 03, 2008. The client was listed as Glen
Davey of Kyle, Texas and listed D. Groenewald as the outfitter. The register was signed
and dated by both Dawie Groenewald and Glen Davey and listed a total of four animals,
including one leopard.
4. On January 23, 2010, I interviewed Glenn Davey at his residence in Kyle, Texas.
Davey stated that he booked a leopard hunt with Out of Africa Adventurous Safaris in
Case 2:10-cr-00020-MEF-CSC Document 1 Filed 01/29/10 Page 4 of 6
2006 after meeting Dawie Groenewald and his brother at a Safari Club International
(SCI) show. Davey stated that he paid Dawie Groenewald $36,000 for the safari. Davey
traveled to South Africa in July 2006 for the hunt with his wife and kids and during that
hunt he killed a leopard along with several other game animals killed by him and his
family. Davey provided me with a copy of a photograph of his family with the leopard
that was date stamped "18Jul06." Davey further stated that he has not been back to South
Africa since the 2006 hunt.
5. Davey was shown the hunting register and permit application that were used by
Dawie Groenewald to obtain the South African CITES permit and stated that he had
never seen any of those documents before. Davey and his wife examined the signature
under his name on the hunting register and stated that the signature was not his and was a
forgery.
6. Undercover officers with the Alabama Wildlife and Freshwater Fisheries
Department have confirmed through surveillance and undercover contacts as late as this
afternoon that Dawie Groenewald is presently in Autauga County, in the Middle District
of Alabama, visiting his brother, where the two are hunting. Groenewald's brother told
an undercover officer that Groenewald is scheduled to depart from Montgomery Regional
Airport this afternoon. Customs and Border Protection has confirmed through Delta
Airlines that Groenewald has booked a flight at 3:55 pm today bound to Johannesburg,
South Africa and then to Spain.
6. Based upon the foregoing, your Affiant has probable cause to believe that Dawie
Groenewald violated the following federal laws: Title 16, United States Code, Section
1538(c)(l) and Title 50, Code of Federal Regulations, Part 23.13(a), Title 18 United
Case 2:10-cr-00020-MEF-CSC Document 1 Filed 01/29/10 Page 5 of 6
States Code, Section 545. Pursuant to 18 U.S.C. § 3238, because this offense began or
was committed upon the high seas, and elsewhere out of the jurisdiction of any particular
Sate or district, the trial of the offense shall be in the district in which the offender is
arrested or first brought.
Lx2k
Special Agent Carl Wilson
USFWS/Office of Law Enforcement
Case 2:10-cr-00020-MEF-CSC Document 1 Filed 01/29/10 Page 6 of 6
FILED
IN THE DISTRICT COURT OF THE UNITED STATES
FOR THE MIDDLE DISTRICT OF ALABAMA
NORTHERN DIVISION
UNITED STATES OF AMERICA
FEB 21 2010
CLERK
U. S. DISTRICT COURT
MIDDLE DIST. OF ALA.
V.
DAWIE GROENEWALD,
a/k/a Dawid Jacobus Groenewald
CR.NO.
[18 U.S.C. § 545,
16 U.S.C. § 3372(a)(4),
16 U.S.C. § 3373(d)(1)(A),
18 U.S.C. § 2]
INDICTMENT
The Grand Jury charges:
COUNT 1 (SMUGGLING)
At all times relevant to the Indictment, unless otherwise indicated:
1. On an unknown date but before July 2006, A.G.D., a resident of Kyle, Texas,
lawfully booked a leopard hunt through DAWIE GROENEWALD with Out of Africa
Adventurous Safaris (Out of Africa) of Prachtig Mussina, Limpopo Province, South Africa, during
a Safari Club International Show.
2. In or about July 2006, A.G.D. traveled to South Africa for a safari guided by Professional
Hunter Tielman Eramus, who worked for GROENEWALD at Out of Africa to hunt a variety of
species, including a leopard. A.G.D. hunted and killed a leopard on GROENEWALD's ranch in
Limpopo Province on or about July 18, 2006.
3. As of this date, GROENEWALD had not received or been issued the hunting rights to hunt
and kill the leopard, nor had he received or been issued a valid permit from the provincial
government. This permit, called an Ordinary Permit, is one of the documents required by the
provincial government to legally export the leopard trophy from South Africa.
4.
A.G.D. subsequently returned to the United States on an unknown date in July 2006,
1
Case 2:10-cr-00020-MEF-CSC Document 14 Filed 02/24/10 Page 1 of 4
leaving the leopard trophy in South Africa to be prepared for shipment to his home in Texas.
A.G.D. has not returned to South Africa since the hunt in July 2006.
5. By July 2008, A.G.D. still had not received the leopard trophy.
6. To acquire the paperwork necessary to export the leopard trophy from South Africa, at a
date unknown to the grand jury, but before September 16, 2008, GROENEWALD submitted an
application for hunting rights to the provincial government in Polokwane, Limpopo province.
GROENEWALD received approval for the hunt by means of a letter.
7. On or about September 16, 2008, GROENEWALD submitted an application for an
Ordinary Permit. The application sought permission to conduct a leopard hunt on the farm of
Prachtig Mussina 538 MS. South Africa, where GROENEWALD operates Out of Africa. The
application lists GROENEWALD as the outfitter and Tielman Erasmus as the professional hunter.
The application indicated the hunt would take place between September 28, 2008, and October 30,
2008. GROENEWALD appears to have signed the application.
8. The provincial government then issued GROENEWALD an Ordinary Permit (number
0-15469) on October 27, 2008. The permit holder was A.G.D., but GROENEWALD was listed
as the applicant and outfitter. The permit was not signed by A.G.D., a condition which
invalidates the permit.
9.
GROENEWALD then sought the assistance of a brokerage, Trophy Solutions Africa,
based in South Africa, to arrange the shipment and exportation of the leopard trophy to A.G.D. in
Kyle, Texas. Specifically, GROENEWALD requested that Trophy Solutions Africa apply for a
CITES export permit for the leopard on behalf of A.G.D.
10.
On or about October 19, 2009, a shipment containing a leopard entered the United States at
or near Jamaica, New York.
11.
Beginning from a date unknown but no later than July 18, 2006, and continuing until
2
Case 2:10-cr-00020-MEF-CSC Document 14 Filed 02/24/10 Page 2 of 4
October 10, 2009, in South Africa and elsewhere, the defendant
DAWIE GROENEWALD,
a/k/a Dawid Jacobus Groenewald
a person subject to the jurisdiction of the United States, did knowingly import and bring
merchandise into the United States contrary to law by importing the leopard trophy (Panthera
pardus) into the United States without first obtaining a valid CITES export permit from the
leopard's country of origin. All in violation of Title 18, United States Code, Sections 545 and 2.
COUNT TWO (LACEY ACT EXPORT
FELONY TRAFFICKING VIOLATION)
12. The information contained in Paragraphs 1 through 11 of this Indictment are re-alleged
and incorporated herein.
13. Beginning from an unknown date but no later than July 18, 2006, and continuing until on or
about October 10, 2009, in South Africa and elsewhere, the defendant,
DAWIE GROENEWALD,
a/k/a Dawid Jacobus Groenewald
a person subject to the jurisdiction of the United States, did knowingly import and export wildlife,
that is a leopard trophy (Panthera pardus), in foreign commerce from South Africa to the United
States, knowing that the leopard was taken in violation of and in a manner unlawful under the laws
and regulations of South Africa, specifically Limpopo Environmental Management Act, Act No. 7
of 2003, Section 51(1), which holds that "A hunting-outfitter may not present, advertise, organise,
or conduct the hunting of a wild or alien animal for a client unless the hunting-outfitter is the
holder of hunting-rights on the land on which the hunting is presented, advertised, organised or
conducted or is authorised by the [Member of the Executive Council of the Province responsible
for environmental affairs] in writing, to present a hunt of specific wild or alien animals." All in
3
Case 2:10-cr-00020-MEF-CSC Document 14 Filed 02/24/10 Page 3 of 4
violation of Title 16, United States Code, Sections 33 72(a)(2)(A) and 3373 (d)( 1 )(A) and Title 18,
United States Code, Section 2.
A TRUE BILL:
Is
LEURA G. CANARY
UNITED STATES A
4
caAme
As istant United es
Case 2:10-cr-00020-MEF-CSC Document 14 Filed 02/24/10 Page 4 of 4
Middle District of Alabama
JUDGMENT IN A CRIMINAL CASE
)
)
Case Number:
) USM Number:
)
)
SusanG.James
Defendant's Attorney
2: 1OCR2O-MEF-01
12870-002
AO 245B
(Rev. 09/08) Judgment in a Criminal Case
Sheet 1
UNITED STATES DISTRICT COURT
UNITED STATES OF AMERICA
V.
DAWIE GROENEWALD
THE DEFENDANT:
X pleaded guilty to count(s) Count 2 of Indictment on 3/31/2010
LI pleaded nob contendere to count(s)
which was accepted by the court.
LI was found guilty on count(s)
after a plea of not guilty.
The defendant is adjudicated guilty of these offenses:
Title & Section

Nature of Offense

Offense Ended Count
18:545&2

Lacey Act Export Violation; Aiding and Abetting

10/10/2009 2
The defendant is sentenced as provided in pages 2 through 4 of this judgment. The sentence is imposed pursuant to
the Sentencing Reform Act of 1984.
o The defendant has been found not guilty on count(s)
X Count(s) I of the Indictment is X is LI are dismissed on the motion of the United States.
It is ordered that the defendant must notify the United States attorney for this district within 30 days of any change of name, residence,
or mailing address until all fines, restitution, costs, and special assessments imposed by this judgment are fully paid. If ordered to pay restitution,
the defendant must notify the court and United States attorney of material changes in economic circumstances.
Date of Imposition of Judgment
jECHIEF UNITED STATES DISTRiCT JUDGE
Name and Title of Judge
Ai°i"—
7_01O
Date
Case 2:10-cr-00020-MEF-CSC Document 37 Filed 04/20/10 Page 1 of 4
AO 245B (Rev. 09/08) Judgment in a Criminal Case
Sheet 4—Probation
Judgment—Page 2 - of 4
DEFENDANT: DAWIE GROENEWALD
CASE NUMBER: 2: 1OCR2O-MEF-01
PROBATION
The defendant is hereby sentenced to probation for a term of:
Time served.
The defendant shall not commit another federal, state or local crime.
The defendant shall not unlawfully possess a controlled substance. The defendant shall refrain from any unlawful use of a controlled
substance. The defendant shall submit to one drug test within 15 days of placement on probation and at least two periodic drug tests
thereafter, as determined by the court.
LI The above drug testing condition is suspended, based on the court's determination that the defendant poses a low risk of
future substance abuse. (Check, f applicable.)
X The defendant shall not possess a firearm, ammunition, destructive device, or any other dangerous weapon. (Check, f applicable.)
X The defendant shall cooperate in the collection of DNA as directed by the probation officer. (Check,
if
applicable.)
Li The defendant shall comply with the re quirements of the Sex Offender Registration and Notification Act (42 U.S.C. § 16901, et seq.)
as directed by the probation officer, the Bureau of Prisons, or any state sex offender registration agency in which he or she resides,
works, is a student, or was convicted of a qualit,'ing offense. (Check,
if
applicable.)
LI The defendant shall participate in an approved program for domestic violence. (Check, f applicable.)
If this judgment imposes a fine or restitution, it is a condition of probation that the defendant pay in accordance with the Schedule of
Payments sheet of this judgment.
The defendant must comply with the standard conditions that have been adopted by this court as well as with any additional conditions
on the attached page.
STANDARD CONDITIONS OF SUPERVISION
1) the defendant shall not leave the judicial district without the permission of the court or probation officer;
2) the defendant shall report to the probation officer and shall submit a truthful and complete written report within the first five days of
each month;
3) the defendant shall answer truthfully all inquiries by the probation officer and follow the instructions of the probation officer;
4) the defendant shall support his or her dependents and meet other family responsibilities;
5) the defendant shall work regularly at a lawful occupation, unless excused by the probation officer for schooling, training, or other
acceptable reasons;
6) the defendant shall notify the probation officer at least ten days prior to any change in residence or employment;
7) the defendant shall refrain from excessive use of alcohol and shall not purchase, possess, use, distribute, or administer any controlled
substance or any paraphernalia related to any controlled substances, except as prescribed by a physician;
8) the defendant shall not frequent places where controlled substances are illegally sold, used, distributed, or administered;
9) the defendant shall not associate with any persons engaged in criminal activity and shall not associate with any person convicted of a
felony, unless granted permission to do so by the probation officer;
10) the defendant shall permit a probation officer to visit him or her at any time at home or elsewhere and shall permit confiscation of any
contraband observed in plain view of the probation officer;
11) the defendant shall notify the probation officer within seventy-two hours of being arrested or questioned by a law enforcement officer;
12) the defendant shall not enter into any agreement to act as an informer or a special agent of a law enforcement agency without the
permission of the court; and
13) as directed by the probation officer, the defendant shall notify third parties of risks that may be occasioned by the defendant's criminal
record or personal history or characteristics and shall permit the probation officer to make such notifications and to confirm the
defendant s compliance with such notification requirement.
Case 2:10-cr-00020-MEF-CSC Document 37 Filed 04/20/10 Page 2 of 4
AU 2458 (Rev. 09/08) Judgment in a Criminal Case
Sheet 5 - Criminal Monetary Penalties
Judgment - Page 3 of 4
DEFENDANT: DAWIE GROENEWALD
CASE NUMBER: 2:1OCR2O-MEF-01
CRIMINAL MONETARY PENALTIES
The defendant must pay the total criminal monetary penalties under the schedule of payments on Sheet 6.
Assessment Fine Restitution
TOTALS $ 100.00 $ * 30,000.00 $ * 7,500.00
LI The determination of restitution is deferred until - . An Amended Judgment in a Criminal Case (AO 245C) will be entered
after such determination.
LI The defendant must make restitution (including community restitution) to the following payees in the amount listed below.
If the defendant makes a partial payment, each payee shall receive an approximately proportioned payment, unless specified otherwise in
the priority order or percentage payment column below. However, pursuant to 18 U.S.C. § 3 664(i), all nonfederal victims must be paid
before the United States is paid.
Name of Payee

Total Loss*

Restitution Ordered

Priority or Percenta2e
Alfred Glenn Davey

7,500.00
TOTALS

$

$

7.500.00
Li Restitution amount ordered pursuant to plea agreement $
LI The defendant must pay interest on restitution and a fine of more than $2,500, unless the restitution or fine is paid in full before the
fifteenth day after the date of the judgment, pursuant to 18 U.S.C. § 3612(f). All of the payment options on Sheet 6 may be subject
to penalties for delinquency and default, pursuant to 18 U.S.C. § 3612(g).
X The court determined that the defendant does not have the ability to pay interest and it is ordered that:
X the interest requirement is waived for the
X
fine
X
restitution.
Li the interest requirement for the
Li
fine
Li restitution is modified as follows:
* Findings for the total amount of losses are required under Chapters 1 09A, 110, 11 OA, and 11 3A of Title 18 for offenses committed on or after
September 13, 1994, but before April 23, 1996.
Case 2:10-cr-00020-MEF-CSC Document 37 Filed 04/20/10 Page 3 of 4
AO 245B (Rev. 09/08) Judgment in a Criminal Case
Sheet 6 - Schedule of Payments
Judgment - Page 4 of 4
DEFENDANT: DAWIE GROENEWALD
CASE NUMBER: 2: 1OCR2O-MEF-0l
SCHEDULE OF PAYMENTS
Having assessed the defendant's ability to pay, payment of the total criminal monetary penalties is due as follows:
A x Lump sum payment of$ 37,600.00 due immediately, balance due
LInot later than ______________________ , or
in accordance
LI
C, D,
LI
E, or X F below; or
B Payment to begin immediately (may be combined with
LI
C, 1 D, or F below); or
C Payment in equal ______ _____ (e.g., weekly, monthly, quarterly) installments of $ __________ over a period of
______ (e.g., months or years), to commence _________ (e.g., 30 or 60 days) after the date of this judgment; or
D
LI
Payment in equal _______ (e.g., weekly, monthly, quarterly) installments of $ _____________- over a period of
________ (e.g., months or years), to commence _____ (e.g., 30 or 60 days) after release from imprisonment to a
term of supervision; or
E El Payment during the term of supervised release will commence within _______ (e.g., 30 or 60 days) after release from
imprisonment. The court will set the payment plan based on an assessment of the defendant's ability to pay at that time; or
F x Special instructions regarding the payment of criminal monetary penalties:
* Criminal special penalty assessment of$ 100.00 shall be made payable to the Clerk, U.S. District Court, Middle District of
Alabama, P.O. Box 711, Montgomery, AL 36101. The fine shall be made payable directly to the U.S. Fish and Wildlife Service
for the Lacey Act Reward Account in the amount of $30,000.00 at Denver Finance Center, P.O. Box 272060, Denver, CO 80227.
The restitution owed shall be paid directly to Mr. Alfred Glenn Davey in the amount of $7,500.00.
Unless the court has expressly ordered otherwise, ifthis judgment imposes imprisonment, payment of criminal monetary penalties is due during
imprisonment. All criminal monetary penalties, except those payments made through the Federal Bureau of Prisons' Inmate Financia'
Responsibility Program, are made to the clerk of the court.
The defendant shall receive credit for all payments previously made toward any criminal monetary penalties imposed.
LI Joint and Several
Defendant and Co-Defendant Names and Case Numbers
(including defendant number), Total Amount, Joint and Several Amount,
and corresponding payee, if appropriate.
LI The defendant shall pay the cost of prosecution.
LI The defendant shall pay the following court cost(s):
0 The defendant shall forfeit the defendant's interest in the following property to the United States:
Payments shall be applied in the following order: (1) assessment, (2) restitution principal, (3) restitution interest, (4) fine principal,
(5)
fine interest, (6) community restitution, (7) penalties, and (8) costs, including cost of prosecution and court costs.
Case 2:10-cr-00020-MEF-CSC Document 37 Filed 04/20/10 Page 4 of 4
IN THE DISTRICT COURT OF THE UNITED STATES
FOR THE MIDDLE DISTRICT OF ALABAMA
NORTHERN DIVISION
UNITED STATES OF AMERICA
V.

CR. NO. 2:1O-cr-20-MEF
DAWIE GROENEWALD
PLEA AGREEMENT
DEFENSE COUNSEL: SUSAN G. JAMES, Esq.
ASSISTANT U.S. ATTORNEY: MONICA A. STUMP
COUNTS AND STATUTES CHARGED:
Count 1 18 U.S.C. 2, 545
Aiding and Abetting Smuggling
Count 2 16 U.S.C. 3372(a)(2)(A), 3373(d)(l)(A)
18 U.S.C. § 2
Aiding and Abetting Lacey Act Import/Export Trafficking Violation
COUNT PLEADING PURSUANT TO PLEA AGREEMENT:
Count 2 16 U.S.C. 3372(a)(2)(A). 3373(d)(1)(A)
18 U.S.C. 2
Aiding and Abetting Lacey Act Import/Export Trafficking Violation
PENALTIES BY COUNT - MAXIMUM PENALTY:
Count 1 18 U.S.C. 2,545
A term of imprisonment not to exceed 20 years, a fine not to exceed $250,000, or
both the fine and the imprisonment; a term of supervised release of no more than
3 years; an assessment fee of $100.00; and restitution to any victims of the offense.
Count 2 16 U.S.C. 3372(a)(2)(A), 3373(d)(1)(A)
18 U.S.C. 2
A term of imprisonment not to exceed 5 years, a fine not to exceed $250,000, or
both the fine and the imprisonment; a term of supervised release of no more than
3 years; an assessment fee of $100.00; and restitution to any victims of the offense.
ELEMENTS OF THE OFFENSE:
To support a conviction under 16 U.S.C. § 3372(a)(4), 3373(d)(1)(A), the Government must
Case 2:10-cr-00020-MEF-CSC Document 29 Filed 03/31/10 Page 1 of 13
prove:
(1) the wildlife was taken, possessed, transported or sold in violation of some valid, wildlife-
related, underlying law or regulation;
(2) the defendant knew the wildlife was taken, possessed, or transported in some illegal manner;
and
(3) the defendant knowingly imported or exported the wildlife, or attempted to do so.
The Government must also show under 18 U.S.C. § 2 (1) that the acts or conduct of an agent,
employee or other associate of the Defendant are willfully directed or authorized by the
Defendant, or (2) that the Defendant aided and abetted another person by willfully joining
together with that person in the commission of a crime.
With the authorization of the defendant, the parties to this action have entered into
discussions with a view towards reaching a pretrial conclusion of the charges pending in the
Indictment. As a result of those discussions, the parties have reached a Plea Agreement. This
Plea Agreement is being submitted to the Court pursuant to Federal Rule of Criminal Procedure
1 l(c)(1)(A) and (c)(1)(C), and both the Government and the defendant understand that, in
accordance with that Rule, if the Court should decide not to follow the terms of the Plea
Agreement, the defendant will have the right to withdraw his plea of guilty.
The specific terms of the Plea Agreement are as follows:
GOVERNMENT'S PROVISIONS
1. Except as expressly stated in this Plea Agreement, the Government reserves the
right to take a position on any issue relating to sentencing.
2. The Government agrees with the defendant that a two-level reduction in the
applicable offense level pursuant to U.S.S.G. § 3E1 .1(a) for the defendant's acceptance of
responsibility is appropriate, and if the defendant's offense level is sixteen or more and should
the Government find that the defendant assisted authorities in the investigation or prosecution of
his own misconduct by timely notifying authorities of his intention to enter a plea of guilty,
thereby permitting the Government to avoid preparing for trial and permitting the Government
2
Case 2:10-cr-00020-MEF-CSC Document 29 Filed 03/31/10 Page 2 of 13
and this Court to allocate their resources efficiently, the Government agrees to move at
sentencing for a further reduction of one level, pursuant to U.S.S.G. § 3E1 .1(b). Determination
of whether the defendant met his obligations to qualify for the reduction pursuant to U.S.S.G.
§ 3E1.l(b) is at the sole discretion of the United States. The Government's obligation under this
paragraph should become null and void if, between the date of this agreement and the date of
sentencing, defendant obstructs justice, commits any new federal or state offenses, or otherwise
fails to accept responsibility for the offense.
3. The Government agrees with the Defendant that if the resultant Guideline
calculation, after all enhancements and reductions, results in a sentence within Zone A, a
sentence of eight days imprisonment and two months home incarceration and/or home detention,
or time served, whichever is greater, is appropriate; but if the resultant Guideline calculation falls
within any other Zone, the Government agrees with the Defendant that a sentence at the lowest
end of the Guidelines is appropriate.
4. The Government agrees with the Defendant to a fine of $30,000 written to the
Lacey Act Reward Account. If this fine amount is above the resultant Guideline fine calculation,
the Government agrees with the Defendant to jointly move at sentencing for an upward variance
on the fine amount.
5. The Government agrees to move at sentencing to dismiss Count 1 of the
Indictment.
6.
The Government reserves the right to inform the Court and the United States
Probation Office of all facts pertinent to the sentencing process, including all relevant
information concerning the offenses and the defendant's background.
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7. If Defendant pleads guilty and is sentenced on Count 2 of the Indictment, the
Government further agrees not to pursue any other criminal charges against the defendant
stemming from the facts supporting his conviction in this case.
DEFENDANT'S PROVISIONS
8. Defendant agrees to plead guilty to Count 2 of the Indictment.
9.
Defendant agrees with the Government that if the resultant Guideline calculation,
after all enhancements and reductions, results in a sentence within Zone A, a sentence of 8 days
imprisonment and two months home incarceration and/or home detention, or time served,
whichever is greater, is appropriate; but if the resultant Guideline calculation falls within any
other Zone, the Defendant agrees with the Government that a sentence at the lowest end of the
Guidelines is appropriate.
10.
Defendant agrees with the Government to a fine of $30,000 written to the Lacey
Act Reward Account. If this fine amount is above the resultant Guideline fine calculation,
Defendant agrees with the Government to jointly move at sentencing for an upward variance on
the fine amount.
11.
Defendant further agrees not to commit any other federal, state, or local offense
while awaiting sentencing. The determination of whether the defendant's conduct is a violation
of this provision is at the complete discretion of the Government.
12.
Should the defendant complete his obligations contained within the Cooperation
Agreement as set forth below, the Government will agree to file a motion for downward
departure pursuant to U.S.S.G. § 5K1.1 and Title 18, United States Code, Section
3553(e), or
Fed. R. Crim. P. 35, to reflect the defendant's substantial assistance. The Government
specifically agrees to file a motion for a downward departure at sentencing to reduce the
defendant's offense level by at least 2 levels pursuant to U.S.S.G. § 5K1.1 and Title 18, United
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States Code, Section 3553(e) based on the defendant's cooperation to date and if he otherwise
abides by his obligations under the Cooperation Agreement. Determination of whether the
defendant has met his obligations to qualify for the reduction pursuant to U.S.S.G. §
5K1 .1 and
Title 18, United States Code, Section 3553(e) is at the sole discretion of the United States.
Determination of whether to file a motion for a downward departure pursuant to Rule
35, and if a
departure is filed, the level of that departure, is at the complete discretion of the Government.
13. Defendant agrees to pay restitution to Alfred Glenn Davey in an amount to be
determined at sentencing.
14. Waiver of the Defendant's Right to Appeal or Collaterally Attack the Sentence.
a. Defendant 's Waiver. By
entering into this Plea Agreement, the defendant
knowingly and voluntarily waives any and all of his rights under 18 U.S.C. § 3742 to appeal the
sentence in this case. The defendant specifically waives his right to appeal the sentence on the
grounds that the Sentencing Guidelines are in any respect unconstitutional, or that any fact found
by the Court for sentencing was not alleged in the Indictment, admitted by the defendant, found
by a jury, or found beyond a reasonable doubt. The defendant further expressly waives his right
to appeal the conviction and sentence on any other ground, including any challenge to the
reasonableness of the sentence, and waives the right to attack the sentence in any post-conviction
proceeding.
b. Exceptions.
This waiver does not include (and the defendant expressly
reserves) the right to appeal or collaterally attack his sentence on the grounds of ineffective
assistance of counsel or prosecutorial misconduct. The defendant is released from this waiver if
the Government files an appeal under 18 U.S.C. § 3742(b).
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c. No Waiver by Government. Nothing in this Plea Agreement affects the
Government's right and/or duty to appeal the sentence imposed in the case, as set forth in 18
U.S.C. § 3742(b). Nor does the Government waive its right to appeal any order dismissing the
Indictment, vacating a sentence, or otherwise terminating the prosecution at any stage of the
proceedings.
COOPERATION AGREEMENT
15. Defendant agrees to cooperate fully and testify truthfully against any and all
persons as to whom the defendant may have knowledge at the grand jury, trial, or whenever
called upon to do so. The defendant understands that this agreement does not require the
defendant to implicate any other particular individual or individuals to "make a case," rather it
requires the defendant to be truthful and to testify truthfully whenever called upon. The
defendant agrees to be available, if required, for the review of documents and other materials and
for interviews by law enforcement officers and attorneys for the Government upon reasonable
request and to fully and truthfully respond to all questions asked of the defendant by law
enforcement officers and attorneys for the Government.
a.
The defendant agrees to fully and truthfully disclose to the Government
everything the defendant knows about any and all documents and materials in the defendant's
possession that relate to the violations charged in this Indictment and any other criminal
violations in the Middle District of Alabama and elsewhere. The defendant agrees, if desired by
the Government, to travel with agents outside the Middle District of Alabama to identify others
involved in criminal organizations, locations and/or residences of others involved, or any other
information related to others involved in fraudulent activity. The defendant agrees to submit to a
polygraph examination conducted by the Government if requested to do so.
Case 2:10-cr-00020-MEF-CSC Document 29 Filed 03/31/10 Page 6 of 13
b. Provided that the defendant satisfies the terms of this Plea Agreement, any
information that the defendant truthfully discloses to the Government during the course of the
defendant's cooperation, concerning related offenses, will not be used against the defendant,
directly or indirectly. The defendant understands this agreement does not bar the defendant's
prosecution for capital felonies, perjury, false statements, and/or obstruction ofjustice.
c. If the defendant has failed or should fail in any way to fulfill completely or
comply with the defendant's obligations under the plea agreement, then the Government will be
released from its commitment to honor all of its obligations to the defendant, without the
defendant being allowed to withdraw the guilty plea. Thus, if at any time the defendant should
knowingly and willfully withhold evidence from, or is found to have provided false information
to, the Government investigators or attorneys prior to or during the defendant's testimony before
grand juries or in trials, or fails to return to the Middle District of Alabama for any scheduled
court appearance or any scheduled meeting with law enforcement agents in the Middle District
of Alabama, then the Government will be free: (1) to prosecute the defendant for perjury, false
declaration, false statement, and/or obstruction of justice (18 U.S.C. Sections 1621, 1623, 1001,
1503); (2) to prosecute the defendant for all violations of federal criminal law which the
defendant has committed; (3) to use against the defendant in all of those prosecutions and
sentencing hearings the information and documents that the defendant has disclosed or furnished
to the Government during the course of the defendant's cooperation; (4) to recommend a
maximum sentence; (5) to seek forfeiture of any and all forfeitable properties of the defendant;
(6) to seek forfeiture of any appearance bond made by the defendant if the defendant fails to
appear in the Middle District of Alabama for any scheduled court appearance or any scheduled
meeting with law enforcement agents; and (7) to prosecute the defendant for the defendant's
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failure to appear at any scheduled court appearance, pursuant to 18 U.S.C. § 1073 or any other
applicable state or federal criminal statute. The parties agree that the Government will have the
sole discretion to decide whether the defendant has breached this agreement.
FACTUAL BASIS
The defendant admits the allegations charged in Count of ti
understands that the nature of the charges to which the plea is offered invol'
16.
defendant committed the crime of Lacey Act Import/Export Trafficking Violation:
a. Beginning from a date unknown but no later than July 18, 2006, and continuing
until October 10, 2009, in South Africa and elsewhere, DAWIE GROENEWALD, did
knowingly aid and abet in the importation and exportation of a wildlife, that is a leopard trophy
(Panthera pardus), in foreign commerce from South Africa to the United States, in that he placed
the leopard trophy into the hands of a custom broker for exportation to the United States and
knowing that he had not obtained a valid CITES export permit for the leopard from the
provincial government in Polokwane, Limpopo Province, South Africa. Groenewald did so,
knowing that the leopard trophy was taken or killed in July 2006 when Groenewald knew he did
not have a hunting right to present, organize, and conduct a leopard hunt, a violation of and in a
manner unlawful under the laws and regulations of South Africa, specifically the Limpopo
Environmental Management Act, Act No. 7 of 2003, Section 51(1), which holds that "A hunting-
outfitter may not present, advertise, organise, or conduct the hunting of a wild or alien animal for
a client unless the hunting-outfitter is the holder of hunting-rights on the land on which the
hunting is presented, advertised, organised or conducted or is authorised by the {Member of the
Executive Council of the Province responsible for environmental affairs] in writing, to present a
hunt of specific wild or alien animals." All in violation of Title 16, United States Code, Sections
3372(a)(2)(A) and 3373(d)(1)(A) and Title 18, United States Code, Section 2.
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DEFENDANT'S UNDERSTANDING AND ACKNOWLEDGMENT
17. After conferring with his attorney, and before entering a plea of guilty as to Count
2, the defendant advises the Court that he understands the following to be true:
a. The defendant has the right to plead not guilty, the right to be tried by a jury,
the right to the assistance of counsel at every stage of the proceedings, the right to confront and
cross-examine witnesses against him, the right to call witnesses on his behalf, and the right not to
be compelled to incriminate himself. By entering a plea of guilty, the defendant waives all of
those rights, and there will be no trial of any kind in this case.
b. In entering a plea of guilty herein, the Court may ask the defendant questions
about the offense to which the plea is entered. Evidence of a plea of guilty later withdrawn, an
offer to plead guilty to the crime charged in the Indictment, or statements made in connection
with and relevant to a guilty plea are not admissible in any civil or criminal proceedings against
the defendant, except in a criminal proceeding for perjury or false statement, and only if the
defendant makes a false statement under oath, on the court record, and in the presence of
counsel.
c. In entering a plea of guilty herein, the defendant further recognizes that his
immigration status with the U.S. Department of Homeland Security, Immigration and Customs
Enforcement may be affected and he may face administrative removal or deportation from the
United States.
d. The United States Probation Office will prepare for the Court a pre-sentence
investigation report, in which the Probation Officer will recommend a sentence based upon the
calculated offense level and the defendant's criminal history, as well as any relevant conduct
related to the offense to which the plea is offered. The offense level and criminal history
category calculated by the Probation Officer, as well as those ultimately determined by the
Case 2:10-cr-00020-MEF-CSC Document 29 Filed 03/31/10 Page 9 of 13
Court, may differ from each other, or from what is projected by defendant's counsel or the
Government.
e. At sentencing, the Court will find by a preponderance of the evidence the facts
used to determine the defendant's Guidelines offense level, criminal history category, and
sentence. For that purpose, the Court may consider any reliable evidence, including hearsay.
f. The Court is not bound to accept the terms of this Plea Agreement. If the
Court rejects this Plea Agreement, the defendant will be given an opportunity to withdraw his
plea. If the defendant does not withdraw his plea at that time, the Court may dispose of the case
either more favorably or less favorably toward the defendant than this Plea Agreement
contemplated.
g. In determining the particular sentence to impose, the Court will consider the
United States Sentencing Guidelines, as well as all of the factors listed in Title 18, United States
Code, Section 3553(a).
h. The maximum penalty allowed by law for conviction of the offense charged in
Count 2 of the Indictment is no more than 5 years in prison, a $250,000 fine, or both the fine and
the imprisonment; 3 years on supervised release; and restitution to any victims of the offense.
i. There is no possibility of parole in the federal prison system, and the
defendant will likely serve all or substantially all of his prison sentence.
j. If the Court imposes a fine in this case, the defendant will be required to make
an honest, good faith effort to pay the fine as directed by the Financial Litigation Section of the
United States Attorney's Office. To that end, the defendant will meet with a member of the
Financial Litigation Section on the day of sentencing and complete a written personal financial
statement, setting forth the defendant's assets and liabilities as of the date of the offense. The
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defendant further understands that by completing the financial statement, he is representing that
it is true and accurate to the best of his information, knowledge, and belief.
k. Pursuant to 18 U.S.C. § 3013, the defendant will be ordered at sentencing to
pay an assessment fee of $100.00, which will be due and payable to the Court immediately.
1. This Plea Agreement is the result of prior discussions between the attorney for
the Government and the attorney for the defendant. Those discussions were all conducted with
the defendant's authorization, knowledge, and consent.
m. This Plea Agreement and the plea to be entered by the defendant as a result
thereof are voluntary and are not the result of any force or threats, or of any promises apart from
what has been expressly agreed upon in this Plea Agreement itself.
REPRESENTATIONS OF THE PARTIES
18. The undersigned attorneys for the Government and for the defendant represent to
the Court that the foregoing Plea Agreement is the agreement of the parties that has been reached
pursuant to Rule 11, Federal Rules of Criminal Procedure, as Amended.
19. The attorney for the defendant represents to the Court that he has advised the
defendant on all of the contents of this Plea Agreement, including specifically all of the
provisions listed in Paragraph 17 herein, and he is satisfied the defendant adequately understands
all of the contents of this Plea Agreement.
This 31st day of March, 2010.
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Respectfully submitted,
LEURA G. CANARY
UNflAT
Monica A. Stump
Assistant United States Attorney
131 Clayton Street
Montgomery, Alabama 36104
Tel: (334) 223-7280
Fax: (334) 223-7560
Email: monica.stump@usdoj.gov
Louis V. nklin, Sr., Chief
Criminal Division
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I have read the Plea Agreement, understand the same, and agree that it accurately states
both the representations that have been made to me and the conditions of the agreement that has
been reached. I am satisfied that my attorney, Susan G. James, Esq., has represented my
interests in this matter competently and effectively. IN ADDITION TO THE FOREGOING
PROVISIONS TO WHICH I AGREE, I SWEAR UNDER PENALTY OF PERJURY THAT
THE FACTS IN THE ACTUAL BASIS" PARAGRAPH ABOVE ARE TRUE AND
C
ALD

Date
SUSAN G.J(MES,Isq. Date
Attorney for t'hekidant
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