UNITED STATES OF AM:ERICA U.S. Department of Justice District of Rhode lsland
CIVIL INVESTIGATIVE DEMAND DOCUMENTARY MATERIAL
To:
STATE OF RHODEISLAND AND PROVIDENCE PLANTATIONS EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES HAZARD BUILDING 74 WEST ROAD CRANSTON, RI
CID No.:
CID-17-04
USAO No.:
2016V00241
O292O
This Civil Investigative Demand is issued pursuant to the False Claims Act,3l U.S.C. $$ 3729-3733, in the course of an investigation to determine whether there is or has been a violation of 3 I U.S.C. $ 3729 et seq. The investigation concerns the allegation that false claims for payment for services and/or false statements in support of such payments have been submitted to the U.S. government. These payments relate to services procured by the State of Rhode Island from Deloitte LLP and/or its subcontractors in connection with the establishment of health insurance exchange services under the Affordable Care Act as part of the Unified Health Infrastructure Project; these payments were funded in whole or in part by United States or its agencies. This is the original of the Demand; no copies of this Demand have been served on other parties. Your response to this Demand is necessary to the conduct of the False Claims Act investigation described above. THEREFORE, YOU ARE COMMANDED to produce the documentary material described in Schedules A and B hereto, together with a business records certification in the form attached, to; AUSA Zachary A. Cunha, who has been designated as the False Claims Act Investigator in this case. Nancy DiQuinzio is designated as custodian for purposes of this Demand. HHS-OIG Special Agent Lindsay Walford, and DOJ Investigator David Neill are designated as Deputy Custodians. The information and documents provided in response to this Demand may be shared, used, and disclosed as provided by 3l U.S.C. $ 3733. The documentary material required must be produced within thirty (30) days after the issuance date of this Demand, at 50 Kennedy Plaza, 8ft Floor, Providence, RI 02903, or at such time and place as may be agreed upon between AUSA Cunha and you.
Date of Production:
Apri1 10.2017 9:30a.m。
Place of
Production:
Office of the U.S. Attorney 50 Kennedy Plaza, 8th Floor Providence, RI 02903
Special Instructions: Any correspondence or required documentary material may be mailed to AUSA Zachary A. Cunha, 50 Kennedy Plaza,8th Floor, Providence RI 02903. If you have any questions, you may contact AUSA Cunha at (40f) 709-5000.
IN TESTIMONY WHEREOF The undersigned official o OF JUSTICE has hereunto
DEPARTMENT
PETER F.NERONHA,UNITED STATES ATTORNEY Issued undcr the authority of 31 U.S.C.§ 3733
Failure
to comply with the requirements
of this
subpoena will render you liable to proceedings in l」 .S. district court to enforce the subpoena and to punlsh
default or disobedience.
NAME, ADDRESS AND PHONE NUMBER OF ASSISTANT
U,S.
Zachary A. Cunha Assistant United States Attorney Office of the United States Attorney 50 Kennedy Plaza, Sth Floor
Providence,R102903 401)709‐ 5000
ATTORNEY
PR00F OF SERVICE CID NO
USAO NO
ICID‐ 17‐ 04]
2016V00241
SERVED(DATE)
PLACE OF SERVICE
SERVED ON(PRNTNAME)
MANNER OF SERVICE(PERSONAL DELIVERY OR CERTIFIED/REGISTERED MAIL)
SERVED BY(PRNTNAME)
TITLE
DECLARAT10N OF SERVER I, an employee of the United States working under the direction and supervision of the Assistant United States Attorney identified on the face of this document in connection with a False Claims Act investigation, certify that I served an executed copy of the civil investigative demand listed above. I declare under penalty of perjury under the laws of the United States of America that the forgoing information contained in this Proof of Service is true and correct.
Executed on DATE
SIGNATURE OF SERVER
ADDRESS OF SERVER
SCHEDULE A
I.
DEFINITIONS
A. "Document(s)" means, without limitation, any written, printed, typed, photographed, recorded, transcribed, taped, filmed, or otherwise physically or electronically reproduced or stored communication or representation, whether comprised of letters, words, numbers, pictures, sounds or symbols, or any combination thereof. This definition includes copies or duplicates of documents contemporaneously or subsequently created which have any non-conforming notes or other markings, including any additions, deletions, alterations, or notations, as well as the backsides of any communication or representation which contains any of the above. "Document" also includes all attachments, enclosures, or other matter affixed to or incorporated by reference within documents responsive to this Attachment, including, but not limited to, any pages that show who reviewed, approved or rejected a particular document. By way of example, "document(s)" includes, but is not limited to: writings; correspondence; memoranda; notes; drafts; records; files; Ietters; envelopes; messages; electronic mail; electronic messages; text messages; instant messages; analyses; agreements; accounts; working papers; reports and summaries of investigations; trade letters; press releases; comparisons; books; Iedgers; journals; bills; vouchers; checks; statements; worksheets; summaries; notices; drawings; diagrams; graphic presentations; instructions; manuals; calendars; diaries; telephone message records or logs; routing slips; activity reports; articles; magazines; newspapers; brochures; guidelines; notes or minutes of meetings or of other communications of any type, including inter- and intra-office or Company communications; reports; plans; questionnaires; forecasts; briefing materials; surveys; charts; graphs; diagrams; compilations; computations; photographs; films or videos; tapes; discs; data cells; databases; spreadsheets; software; bulletins; voice mails; information stored or maintained by electronic data processing or word processing equipment; electronic claims filings; invoices; computer and network activity logs; all other data compilations from which information can be obtained including electromagnetically sensitive stored media such as floppy disks, hard disks, hard drives and magnetic tapes; Web pages; any preliminary versions, drafts or revisions of any of the foregoing; and aII attachments to any of the items set forth in this paragraph.
B.
"Communication" or "Communications" means the transmittal of information (in the form of facts, ideas, inquiries, or otherwise), whether oral or written, including but not limited to transmittal via telephone, voicemail, letter, memorandum, email, text message, electronic messaging, and/or notes. 1
C. "Concerning" means referring to, evidencing, discussing, memorializing, describing, recording, or constituting. D.
"Contract" and "Agreement" will be synonymous and include oral as well as written agreements and all amendments and modifications thereto.
E.
"Contractor" means any entity that performs work for another under a contract or agreement and includes the parties to the contract as well as their agents, representatives, employees, servants, consultants, contractors, subcontractors, investigators, attorneys, and any other persons or entities acting or purporting to act their behalf.
F.
"Deloitte" means Deloitte Consulting, LLP, its parents, predecessors, divisions, subsidiaries, affiliates, partnerships, and joint ventures, and all directors, officers, employees, agents, and representatives.
G.
"EOHHS," "yor," or "your" means the Rhode Island Executive Office of Health and Human Services and includes any departments, parents, subsidiaries, affiliates, segments, divisions, both presently existing and those which previously existed, of EOHHS, and any present or former officers, directors, employees, consultants, contractors, attorneys, agents, and members of the board of directors of any of the foregoing entities. "EOHHS," "you," and "your" specifically includes the Rhode Island Department of Health and the Rhode Island Health Benefits Exchange.
H.
"Employee" means any person, including but not limited to any past or present independent contractor or agent, all past and present directors, officers, agents, representatives, attorneys, accountants, advisors, and consultants who acted or purported to act on behalf of EOHHS, or on behalf of any of its agencies, including the Rhode Island Department of Health and the Rhode Island Health Benefit Exchange, or who have performed any service for EOHHS, or any of its agencies, or under the name of EOHHS or any of its agencies (whether on a full-time, part-time, piece-work, commission, or other basis, and whether paid or unpaid).
I.
"Person" includes within its meaning natural persons and corporations, companies, partnerships, unincorporated business associations and any other entity composed of natural persons.
J. "Unified Health Infrastructure Project" or "IJHIP" means the work described in Rhode Island RFP #7 449637 dated April 16, 2012 and in an Agreement with Deloitte dated on or about January 11, 2013, and subsequent change orders, to design, develop, implement, and operate a technology platform and system to support
new and existing health insurance initiatives under the Patient Protection and Affordable Care Act, support existing human services programs, provide hosting services for the Rhode Island Health Benefits Exchange, the Integrated Eligibitity System, and RlBridges.
K.
The "UHIP Contract" means the Agreement between Deloitte and the State of Rhode Island dated on or about January 11, 2013 in response to Rhode Island RFP #7449637, as amended, including all interim agreements and counterparts.
L. The words "and" and "or" in this subpoena shall be read in both the conjunctive and the disjunctive (i.e., "and/or"), so as to give the document request its broadest meaning. M.
The term "any and all" means all documents and records that respond in whole or in part to any part or clause of any paragraph of this subpoena, and shall be produced in their entirety, including all attachments and enclosures. The term "arry" shall be construed to include the word "all" and the term "all" shall be construed to include the word "arry." Ｔ■ Ｔ■
INSTRUCTIONS
A.
Please send responsive documents to AUSA Zachary A. Cunha, Office of the United States Attorney for the District of Rhode Island, 50 Kennedy Plaza, Sth Floor, Providence, RI 02903.
B.
If a claim of privilege is asserted in response to any document
requested by this subpoena, and such document, or any part thereof, is not produced on the basis of such claim, for each such document or part thereof that is not produced, you are directed to provide a privilege log wherein you identify the type of document being withheld (e.g. letter, memorandum, handwritten notes, marginalia, etc.), all actual and intended recipients of the document, its date, and the specific privilege being asserted, all with sufficient particularity so as to allow the United States, and potentially a court, to assess the validity of the claim of privilege.
C. All documents provided in response to this subpoena are to be the original documents and are to include all copies that differ in any respect (such as marginalia and/or notations), and are to include all markings and post-it notes and other similar documents attached thereto, as well as all attachments referred to or incorporated by the documents.
D. Relevant tilne period: Unless otherwise indicated,the relevant tiIIle period for each dOcument request in this subpoena shall be Januarv l.2011 through the present,and shallinclude all documents created or prepared during that period,or referring or relating to that period,regardless of when the document was created or prepared. E. Scope of search required: This subpoena calls fbr all documents in your possession,custody or control,as deflned above,including,but not liIIlited to,if you are a business,your officers,directors,employees,agents,consultants and contractors. You are required to search all files reasonably likely tO cOntain responsive documents,including flles left behind by forlner officers,directors, agents and employees.
F. ⅣIanner of production: All documents produced in response to this subpoena shall cOmply with the following instructions: 1. You shall conduct a search for responsive documents in a manner sufflcient to identiら rthe source and location where each responsive document is found.
2.
´Lll documents produced in response to this subpoena shall be segregated and labeled to show the document request to which the
documents are responsive and the source and location where the document was found. 3. To the extent that documents are found in file folders and other similar containers which have labels or other identifying information,the documents shall be produced with such file folder and labelinformation intact.
4. To the extent that documents are found attached to Other documents,by lneans of paper clips,staples or other llleans of attachment,such documents shall be produced together in their condition when found. G. In the event there are no documents respOnsive tO a particular subpoena request,please specifシ that yOu have nO responsive documents.
H. If you know of dOcuments that you once pOssessed or controlled,but no longer possess or control,which would have been responsive tO this subpOena,state what disposition was made ofsuch dOcuments,including identification Of the person(s)whO are Or are believed to be in possession or cOntro1 0f such documents currently.
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I. To facilitate the handling and return of the submitted documents, please mark each page with an identifying logo or the first three letters of your name and number each page sequentially beginning with "00001." The marks should be placed in the lower right hand corner of each page but should not obscure any information on the document. All documents should be produced in enclosures bearing the name of your company, the date of the subpoena and the paragraphs of the subpoena to which the documents respond. SCHEDULE B
1.
AII Documents and Communications relating to precontractual negotiations of the UHIP Contract, including but not limited to requests for proposals, bids, proposals, qualification statements, analyses of all bids and proposals received, presentations, examples, specifications, descriptions of technical capability or capacity, benchmarks, targets, or other materials or documents presented to the State of Rhode Island in connection with Deloitte's bid, competition, or proposal for selection as a contractor on the UHIP project.
2.
Documents and Communications relating to negotiation of the UHIP Contract including, but not limited to: (a) Documents sufficient to identifii all persons involved in negotiating the UHIP Contract; (b) all Documents and Communications relating to, describing, discussing, evaluating, or analyzing the work required under the UHIP Contract, including specifications, test plans, test scripts, and test results; (c) all Documents and Communications relating to similar work or analysis performed or proposed for other states; (d) all Documents and Communications relating to, describing, discussing, evaluating, or analyzing the amounts to be paid under the UHIP Contract; (e) all drafts of the UHIP Contract; and (g) the final and complete signed UHIP Contract. A11
3. All Documents and Communications relating to any amendments, modifications, addenda, exhibits, or change orders related to the UHIP Contract, including but not limited to: (a) Documents sufficient to identifu all persons involved in negotiating each amendment, modification, addendum, exhibit, or change order; and (b) a1l drafts of any amendments, modifications, addenda, exhibits, or change orders. 4.
All Documents and Communications relating to work
performed pursuant to the UHIP Contract, and any amendments, modifications, addenda, exhibits, or change orders thereof, including Documents sufficient to identifu: (a) all contractors and subcontractors and each individual employee who 5
performed work; ft) the time period that each individual performed work; (c) the nature of the work performed by each individual; (d) the number of hours billed by each individual; and (e) the amount each individual was paid for the work.
5.
AII invoices or payment records relating to the UHIP
6.
All Documents and Communications, and any records
Contract.
thereof, concerning performance of the UHIP Contract, including but not limited to, timelines of goals/objectives, presentations, status or progress reports, meeting minutes, cure letters, and all Documents and Communications discussing or analyzing the quality of the work performed by Deloitte and its subcontractors.
AII Documents and Communications relating to any issue, 7. problem, glitch, or deficiency identified during design, implementation, testing, evaluation or other phase of performance of the UHIP Contract, including but not limited to proposed solutions, work-arounds, or other resolutions of any such issue, problem, glitch, or deficiency.
8.
All Documents and Communications relating to any
internal or external audits of UHIP including any discussion of the results of such audits and any penalties, sanctions, or remedies resulting from such audits.
9.
Documents sufficient to identify all individuals employed by or on behalf of the State of Rhode Island with responsibility for awarding, approving, overseeing, supervising, directing, or authorizing the UHIP Contract or any component thereof, specifically including, but not limited to, the approval, authorization, evaluation, or oversight of any change order, addition, alteration, or modification to the UHIP Contract.
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