SCHEDULE A DEFINITIONS
1. “Cartel Members” includes A.P. Møller - Mærsk A/S, Alstom S.A., Alusa Engenharia S.A., Andrade Gutierrez S.A., Astromarítima Navegação S.A., Carioca Christiani Nielsen Engenharia S.A., Construcap - CCPS Engenharia e Comércio S.A., Construções e Comércio Camargo Corrêa, Construtora OAS S.A., Construtora Queiroz Galvão S.A., Delta Construções Civil S.A., Egesa Engenharia S.A., Engevix Engenharia S.A., Ensco plc, Fidens Engenharia S.A., Galvão Engenharia S.A., GDK S.A., Grupo Odebrecht S.A. (including Odebrecht Óleo e Gás S.A., Odebrecht Ambiental S.A., Construtora Norberto Odebrecht S.A, and Odebrecht Participações e Engenharia S.A.), Grupo Promon S.A., IESA Projeto, Equip. e Montagens S.A., Jaraguá Engenharia e Instalações Industriais Ltda., Keppel Fels & Jurong, Mendes Junior Engenharia S.A., MPE Montagens e Projetos Especiais S.A., Saipem S.p.A., Samsung Heavy Industries Co., Ltd, Sanko-Sider S.A., SBM Offshore NV, Schahin Engenharia S.A., Setal Engenharia e Construções S.A., Skanska AB, SOG Óleo e Gás S.A., Techint Engenharia e Construção S.A., Tomé Engenharia e Transportes Ltda., Toyo Setal Empreendimentos Ltda., UTC Engenharia S.A., and Vantage Drilling Company.
2. “Communication” means the transmission of data, information or ideas, whether orally, in writing, or via electronic media.
3. “Concerning” means relating to, referring to, in connection with, pertaining to, describing, reflecting, discussing, analyzing, summarizing, evidencing, embodying, or constituting.
4. “Identify” or “Identification” means to specify, list, enumerate, catalog, classify, mark or name, and, with respect to a Person (defined below), provide his or her full name and
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any entity affiliation, position, date of employment, and the last known business and/or residential address.
5. “Person” or “Persons” refers to natural persons, proprietorships, governmental agencies, corporations, partnerships, trusts, joint ventures, groups, associations, organizations and all other forms of business entities.
6. “Petrobras” means Petróleo Brasileiro S.A.—Petrobras; Petrobras Global Finance B.V.; Petrobras International Finance Company S.A.; and Petrobras America Inc., and each of their present and former officers, directors, committees, employees, partners, corporate parents, predecessors, successors, subsidiaries, affiliates, divisions, branch offices, agents, representatives, and all other persons acting, or purporting to act, on behalf of any of the foregoing.
RELEVANT TIME PERIOD
Unless otherwise indicated, the time period covered by these Questions is January 1, 2000 to the present.
QUESTIONS
1. Are you aware of any payments (including but not limited to bribes, kickbacks or payments in exchange for the awarding of contracts with Petrobras) made by Cartel Members, either directly or indirectly, to (i) Petrobras; (ii) any person acting on behalf of Petrobras (and their immediate family members); and (iii) Alberto Youssef, José Janene, Fernando Soares (a.k.a., Fernando Baiano) and Júlio Faerman?
a. If so, for each of these payments please identify or explain:
i. The payment;
ii. The approximate date of when the payment was made;
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iii. The amount of the payment;
iv. How and where the payment was made;
v. All Persons involved with the payment, both at Petrobras and the Cartel Members; and
vi. Any other details concerning the payment.
2. Are you aware of any payments of bribes or kickbacks, or payments in exchange for the awarding of contracts with Petrobras, made by any Cartel Member, directly or indirectly, to any Brazilian political party through Alberto Youssef, José Janene, Fernando Soares (a.k.a., Fernando Baiano), Júlio Faerman, or any other individual?
a. If so, for each of these payments please identify or explain:
i. The payment;
ii. The approximate date of when the payment was made;
iii. The amount of the payment;
iv. How and where the payment was made;
v. All Persons involved with the payment, including at Petrobras, the Cartel Members, and the political party; and
vi. Any other details concerning the payment.
3. Are you aware of any meetings where any payments identified in response to Question 1 or 2 above were discussed?
a. If so, for each meeting please identify or explain:
i. When and where the meeting took place;
ii. Who was present;
iii. What was discussed; and
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iv. Any other details concerning the meeting.
4. Are you aware of the process by which Cartel Members were awarded contracts with Petrobras:
a. If so, please identify or explain:
i. How it was determined which Cartel Member would be awarded a Petrobras contract;
ii. Any Person at Petrobras with which a Cartel Member communicated to discuss contracts with Petrobras and the bids for such contracts; and iii. How the winning bid was selected.
5. Are you aware of any Communications between (i) Petrobras and any Cartel Member; or (ii) Petrobras and Alberto Youssef, José Janene, Fernando Soares, Júlio Faerman or any member of a political party; (iii) Cartel Members and Alberto Youssef, José Janene, Fernando Soares, Júlio Faerman or any member of a political party regarding any payments identified in response to Question 1 or 2 above?
a. If so, please identify or explain:
i. The Persons involved in any such Communications;
ii. The date of any such Communications; and iii. The content of any such Communications.
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SCHEDULE B
DEFENDANTS’ CROSS EXAMINATION QUESTIONS FOR PEDRO JOSÉ BARUSCO FILHO
1. When were you hired by Petrobras?
a. How long have you worked at Petrobras?
b. Are you currently employed by Petrobras?
c. When did your employment with Petrobras terminate?
d. What positions did you hold at Petrobras?
2. Referring to page 24 of your testimony to the Tribunal Regional Federal da 4a Região (Exhibit 1) that states: “Então a aprovação final era da Diretoria Executiva, mas toda assim, a parte laborial, técnica, era a comissão de licitação, que ela era soberana. Por isso que eu digo que era muito difícil eu ou outra pessoa querer interferir no trabalho da comissão”,
a. Was that testimony truthful and accurate?
b. Were you referring to the bidding committee procedures?
c. In what ways did the bidding committee procedures make it difficult to affect the bidding process?
3. Referring to page 2 of your testimony to the Tribunal Regional Federal da 4a Região
(Exhibit 1) that states: “eu, particularmente, nunca participei de reunião com essas empresas, nunca sentei junto nessas reuniões do cartel”,
a. Was that testimony truthful and accurate?
4. Did you inform Petrobras of the bribery and kickback scheme?
a. Did you intend to keep the bribery and kickback scheme a secret?
b. Did you make efforts to keep the bribery and kickback scheme a secret?
c. What efforts?
5. Was Petrobras a victim of the bribery and kickback scheme?
6. Have you repaid to the government money that you received from the bribery and kickback scheme?
a. How much money have you repaid?
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SCHEDULE C
LEAD PLAINTIFF’S RE-DIRECT QUESTIONS FOR PEDRO JOSÉ BARUSCO FILHO
1. Did you communicate with any person or persons regarding this deposition?
a. If yes, who?
b. If yes, when?
c. If yes, what did you discuss?
2. Are Exhibits A–K true and accurate copies of your statements before the Brazilian Federal Police, Brazilian Federal Prosecutors, Comissão Parlamentar de Inquérito–Petrobras, and Tribunal Regional Federal?
a. If no, identify which Exhibit or Exhibits are not true and accurate copies of your statements.
3. Were your prior statements, attached hereto as Exhibits A–K, truthful and accurate?
4. Is there any part of your statements, attached hereto as Exhibits A–K, that you disavow?
a. If yes, which statements?
b. If yes, why do you disavow such statements?
5. Did you have ownership or control over any consulting firm, partnership, company, or corporation from January 1, 2004 to the present?
a. If yes, please identify.
b. If yes, did any of these entities have accounts in the United States?
i. If yes, which banks?
c. If yes, did any of these entities transact business through banks in the United States?
i. If yes, which banks?
d. If yes, did any of these entities receive any funds related to the bribe payments, kickback, or other transactions referenced in your statements in Exhibits A–K?
i. If yes, did any of these transactions use banks in the United States?
1. If yes, which banks?
6. Did you personally receive any funds related to the bribe payments, kickback, or other transactions referenced in your statements in Exhibits A–K?
a. If yes, from which transactions?
b. If yes, from what sources?
c. If yes, when?
d. If yes, under what pretense?
7. Did you ever hold personal or business bank accounts with any bank in the United States?
a. If yes, please identify whether personal or business.
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b. If yes, were any of the funds held in those accounts related to the bribe payments, kickback, or other transactions referenced in your testimony in Exhibits A–K?
8. Did you enter a guilty plea before the Brazilian Federal Prosecutors?
a. If yes, was the plea ratified by the Brazilian Federal Court?
b. If yes, was the plea ratified by the Supremo Tribunal Federal?
9. As a result of the Lava-Jato investigation, did you return any funds to Petrobras?
a. If yes, identify the approximate amount.
10. Are you currently under house arrest as part of your plea deal with the Brazilian government?
a. If yes, confirm the anticipated duration or end date of such house arrest, restraint, or monitoring.
SCHEDULE D
DEFENDANTS’ RE-CROSS EXAMINATION QUESTIONS FOR PEDRO JOSÉ BARUSCO FILHO
1. Directing your attention to the language on pages 1 through 2 of Exhibits A through G that states in part: “QUE o declarante afirma estar ciente de que . . . os efeitos da colaboração premiada dependem de um ou mais dos seguintes resultados, dentre outros, conforme o art.
4° da Lei n° 12.850/2013: I – a identificação dos demais coautores e partícipes da
organização criminosa e das infrações penais por eles praticadas; II – a revelação da estrutura hierárquica e da divisão de tarefas da organização criminosa; III – a prevenção de infrações penais decorrentes das atividades da organização criminosa; IV – a recuperação total ou parcial do produto ou do proveito das infrações penais praticadas pela organização criminosa;
bem como a concessão do beneficio levará em conta a personalidade do colaborador, a natureza, as circunstâncias, a gravidade e a repercussão social do fato criminoso e a eficácia da colaboração”,
a. Is it correct that you included information in your statement that you believed was related to the issues of your testimony but you did not personally observe?
2. Is it correct that when you were testifying before the Comissão Parlamentar de Inquérito–
Petrobras (CPI-Petrobras) and the courts overseeing the Lava Jato proceedings, you provided information that you believed was related to the issues of your testimony but you did not personally observe?
3. Referring to page 2 of Termo de Colaboração N° 2 (Exhibit B) that states: “QUE indagado se possui provas relacionadas ao “cartel” na PETROBRÁS, o declarante apresenta um
documento oficial contemporâneo a julho de 2008, que se refere ao encaminhamento do pedido para instaurar doze pacotes para obras na REFINARIA ABREU E LIMA – RNEST;
QUE nestes processos que envolveram a contratação dos consórcios para obras na RNEST, o declarante entende que houve a atuação do cartel de empresas, pois os pacotes de obras foram divididos entre vários consórcios compostos pelas empresas do cartel e os contratos foram firmados com preços perto do máximo do orçamento interno PETROBRÁS”,
a. With respect to any of these agreements, did you have access to the internal maximum price set by Petrobras in advance of the bid?
b. With respect to any of these agreements, did you provide cartel members with the internal maximum price set by Petrobras in advance of the bid?
