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 RICARDO RIBEIRO PESSOA
1. Did you work at UTC Engenharia?
a. When did you work there?
b. For how long did you work at UTC Engenharia?
c. What positions did you hold at UTC Engenharia?
2. Referring to page 2 of Termo de Colaboração N° 20 (Exhibit 1) that states: “através da empresa ROCKSTAR, . . . sendo que a UTC firmava contratos com essa empresa em valores superiores aos realmente pagos”,
a. Was that statement truthful and accurate?
b. What was the purpose of using fake and overpriced invoices?
3. Referring to page 3 of Termo de Colaboração N° 20 (Exhibit 1) that states, with respect to invoices UTC issued to SM Terraplanagem and Roberto Trombeta’s law office: “QUE o modus operandi era o mesmo”,
a. Was that statement truthful and accurate?
b. Was the arrangement between UTC Engenharia and Rockstar and SM Terraplanagem facilitated by Walmir Pinheiro?
c. What relationship did you have with Walmir Pinheiro?
d. Did Walmir Pinheiro make these arrangements at your request?
4. Referring to page 4 of Termo de Colaboração N° 20 (Exhibit 1) that states: “QUE a única pessoa que tinha conhecimento deste esquema e dele participava, cumprindo as ordens do declarante, era WALMIR PINHEIRO”,
a. Was that statement truthful and accurate?
b. Were any Petrobras personnel involved in helping UTC Engenharia obtain money for the bribery payments through this scheme?
c. Did UTC Engenharia pay bribe payments through Petrobras’s books?
d. To your knowledge, were any bribe payments paid directly from a Petrobras account?
5. Did you attend Cartel meetings?
a. If so, at the meetings you attended, did you see the Cartel members decide who would receive certain Petrobras contracts?
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6. Referring to page 11 of Termo de Colaboração N° 28 (Exhibit 2) that states: “QUE, PAULO ROBERTO COSTA, PEDRO BARUSCO e RENATO DUQUE não acompanhavam as discussões da ‘mesa’”,
a. Was that testimony truthful and accurate?
b. Did ever discuss Cartel meetings negotiations with any of these three individuals?
7. Did you attend ABEMI meetings?
8. Referring to page 5 of Termo de Colaboração N° 28 (Exhibit 2) that states: “QUE, a partir daí, fora do âmbito da ABEMI, formou-se a ‘mesa’”,
a. Was that statement truthful and accurate?
b. By “mesa,” were you referring to the Cartel?
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LEAD PLAINTIFF’S RE-DIRECT QUESTIONS FOR RICARDO RIBEIRO PESSOA
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–J true and accurate copies of your statements and submissions before the Brazilian Federal Police, 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 and submissions.
3. Is there any part of your prior statements, attached hereto as Exhibits A–J that you disavow?
a. If yes, which statements?
b. If yes, why do you disavow such statements?
4. Did you enter a guilty plea before the Brazilian Federal Prosecutors?
a. If yes, was the plea ratified by the Brazilian Court?
b. If yes, was the plea ratified by the Supremo Tribunal Federal?
5. Are you currently imprisoned as part of your plea deal with the Brazilian government?
a. If yes, confirm the anticipated duration or end date of such imprisonment?
SCHEDULE D
DEFENDANTS’ RE-CROSS EXAMINATION QUESTIONS FOR RICARDO RIBEIRO PESSOA
1. Directing your attention to the language on pages 1 through 2 of Exhibits C through E and 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?
