To his excellency the substitute federal judge of the 3rd federal criminal court of rio de janeiro
Progress Ugland: the dynamic positioning ship Campos Transporter
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Progress Ugland: the dynamic positioning ship Campos TransporterOn 5 February 1999, Petrobras signed a time charter party contract with Progress Ugland Ltd. for the dynamic positioning ship Nordholt, initially for a period of five and a half years (later extended), at the rate of US$ 27,980.00 (twenty seven thousand, nine hundred and eighty US dollars) PDPR (per day or pro rata for part of a day), the ship to be delivered at Rio de Janeiro and returned at the same port or at Salvador. Under an amendment signed on 04/08/1999, as provided for initially, the ship was renamed Campos Transporter, flying the Norwegian flag.81 In his statement to the Federal Public Prosecutor’s Office (on 20/03/2015, at 16h30m – doc. 44), PEDRO JOSÉ BARUSCO FILHO indicated that (no bold type in the original): “ratifies the statement made on 26/11/2014, that ‘Faerman at the time was the commercial representative of Progress Ugland’, referring to the second half of the 1990s; that ‘the deponent explains that during this period he also started to receive from Julio Faerman another U$5000.00 (five thousand dollars) approximately, also in the same account at Republic Bank in Switzerland, for the contract signed between Progress Ugland and Transpetro for the relief ship (dynamic positioning). The deponent explains that he did not play a part in the commercial aspect of this contract, but simply received these sums on the initiative of Julio Faerman (and also of the deponent) on account of his role in the development of this technique for the transfer of oil’; that ‘as regards contracts of Petrobras with Progress Ugland, he received over a period of about 7 years the sum of approximately 7 thousand dollars per month, starting from mid-1999’, adding simply that he is not certain whether the payments were received by the Republic Bank, because it could have been at HSBC or BBA; that JULIO FAERMAN was acting as the representative of Progress Ugland, but he did not know if there was a contract for representation; that this contract could have been signed not with Transpetro, but with Petrobras; that he used to receive monthly bribe payments, in accordance with the invoicing against the company; that the monthly amounts were between 5 and 7 thousand dollars; that as far as he knows, there was no provision for, or payment of, improper sums to political organizations; that he does not know who represented Transpetro and/or Petrobras in this contract, because he did not play a part in the commercial aspect; that JULIO FAERMAN worked on this project for Progress Ugland; that the deponent went to the head office of Progress Ugland in Denmark with FAERMAN to discuss technical details of the project, and were received by the company president, a Danish man called Anders; that he was once in Poland with FAERMAN on account of this project, unless he is mistaken; that this relief ship operated primarily with FPSO Seillean, which was leased by Petrobras from the company Reading and Bates;” JULIO FAERMAN, in his statement to the Federal Public Prosecutor’s Office (on 27/05/2015, at 14h50m – doc. 45), referred to the matter of the relief ship, and explained that (no bold type in the original): As regards any contracts with other companies, the deponent stated there was a big Norwegian shipping company, Lauritzen,82 and another Danish company, Quantum, which through Progress Ugland offered Petrobras the dynamic positioning relief ship Campos Transporter. The naval engineering people, BARUSCO and his team, thought that the best technical solution involved exactly the use of the dynamic positioning ship alongside the FPSO, because it minimized the risk of a collision with the FPSO. The Petrobras Transport department was against this plan. BARUSCO was technically the expert in the matter and counted on the support of Clóvis Antônio Lopes, who was also highly qualified. Both of them chose the relief ship, which met the operating needs of Petrobras. The conversion of the ship was carried out in Gdansk, in Poland, where the deponent, BARUSCO and Clovis travelled together, although the latter did not receive any payment for his part in this operation. With the adoption of this advanced technology, BARUSCO earned commissions which were paid abroad, alongside the salary he received from Petrobras. No part was played in this contract by Transpetro. At present the deponent does not recall the time of this contract, or the amounts of the payments to BARUSCO, which were relatively small and paid in Switzerland. The initial contract was for 2 or 3 years, if he is not mistaken, having been extended. The ship operated alongside FPSO 2 and also on a salvage operation along with P. P. Morais.” “Explains simply that Barusco and Clovis did not ‘choose’ the relief ship, because they did not have this power, but gave their opinion. They, as technical staff from E&P, simply provided advice as specialists, but did not have decision making powers, because the contract was managed by the Transport Department. “Explains that Anderson Mortezen,83 the Danish President or Director of Quantum, knew all the details of the payments to Barusco, having also played a part in the decision to make such payments. He stated that part of his commission was paid in Brazil, and part abroad, because an important part of the work was carried out abroad, and also because it was from the accounts of the deponent abroad that the payments to Barusco came. The deponent states that he had meetings with Mortenzen here in Rio, at Faercom’s offices, where he agreed the payments due to the deponent, as well as the payments to Barusco. Mortenzen dealt directly with Barusco on various occasions on questions relating to this project; he does not recall the year in which these payments occurred, but this is shown on the bank statements that he will hand over. He received sums from Progress Ugland, probably in the account of Bienfaire or Jandell, but he does not recall the time. He explains that Progress Ugland is formed by the Danish company Progress and linked to Quantum84 and Ugland, a Norwegian company linked to Lauritzen.” ANDERS MORTENSEN was a Director of Quantum and President of Progress and was the de facto leader in the discussions with Petrobras. In the visitors’ records available at Petrobras, although details going back to 1999 have not been found, many visits to employees are shown, particularly a visit to PEDRO BARUSCO and a visit to Petrobras in the company of JULIO FAERMAN:85
Although there is no record of visits in 1999, MORTENSEN was certainly in Brazil on the date the contract was signed (05/02/1999), because he entered Brazil on 02/02/1999, and left on 06/02/1999. In the same way, at the time of the amendment signed on 04/08/1999, MORTENSEN had entered the country shortly before, on 25/07/1999.86 As a matter of interest, it should be noted that the accused, JULIO FAERMAN, figures in the above table as “person visited” at the Petrobras building, such was the frequency of his presence there. A quick glance at the bank statements obtained from the accused shows sums which fall within the profile of transfers outlined by those implicated in the improper payments, whether in order of size or in order of time, bearing in mind that the transferor accounts belong to FAERMAN and the transferee accounts to PEDRO BARUSCO, all held at J. Safra in Geneva:
In the same way as with the commissions received from SBM, FAERMAN shared the commission receipts from Progress Ugland in Brazil and Switzerland, where he made the bribe payments. In Brazil, for the period covered by a court order for access to foreign exchange information, payments from the company to FAERCOM Energia Ltda can be seen:87
ANDERS MORTENSEN not only ordered the payment of bribes to BARUSCO but he himself benefited from improper payments, amounting to approximately 300 thousand dollars. In the words of FAERMAN (statement of 21/10/2015, at 14:30 – doc. 46): “MORTENSEN asked him for a fee for the business, by way of a personal benefit for himself, which the deponent agreed to pay; that these payments lasted for about 6 years, during the term of the contract and its extensions; that Progress, like its successor, Quantum, was based in Denmark; that as far as he knows, MORTENSEN today continues to live in Denmark, (…); that the deponent, in the business of Campos Transporter, received part in Brazil and part in Switzerland; that he does not recall what the proportions were in each country; that from the part paid abroad, the deponent made payments to MORTENSEN; that the request was made to him personally in Rio, because MORTENSEN often came to Brazil; that he does not remember how much his commission was, but that MORTENSEN received, as far as he can recall at present, 10% of his commission; that he will look at the total amounts paid to MORTENSEN; that this business was secondary compared with the business with SBM; that the agreement with MORTENSEN took place after the negotiations, at the time the contract with Petrobras was signed; that MORTENSEN gave him the details of an account in Switzerland and the deponent made payments from his accounts in Switzerland; that he does not at present recall the name of MORTENSEN’s account; that he thinks that the account of the deponent was Avellaneda; that the receipt of commission and the payments to MORTENSEN started after the ship commenced operations;” The improper payment was received directly by PEDRO JOSÉ BARUSCO FILHO by virtue of his position as a Petrobras employee. The payment was promised and made by JULIO FAERMAN, acting in concert with ANDERS MORTENSEN, from 1999 until at least February 2007, so that BARUSCO could take official steps and influence the decision as to whether to choose the technological solution proposed by the company represented by FAERMAN and MORTENSEN. The fact that these sums were paid outside Brazil was never declared to the relevant Brazilian federal authorities by JULIO FAERMAN or PEDRO BARUSCO. The nature, origin, location, movement and ownership of these sums, the proceeds of crimes committed against the public purse, were concealed and disguised, inter alia through the use of companies set up in tax havens, especially in the British Virgin Islands and in Panama.
Asset launderingIn the various types of criminal conduct described above, the commission of money laundering offences is clear, because they involved sums originating in crimes against the public purse, and their nature, origin, location, movement and ownership were concealed and disguised, inter alia through the use of companies set up in tax havens, especially in the British Virgin Islands and in Panama. JULIO FAERMAN took advantage of his elaborate company and bank structure in order to receive commissions, make improper payments and share the proceeds:
Sometimes this structure included the activities of his partner LUIS EDUARDO CAMPOS BARBOSA DA SILVA:
PEDRO JOSÉ BARUSCO FILHO made particular use of the following accounts and offshore companies to receive and make improper payments relating to SBM contracts:
PAULO ROBERTO BUARQUE CARNEIRO used at least the accounts of the offshore companies Aquarius and Seashell at Pictet Bank in Geneva. JORGE ZELADA used the accounts of the offshore company VABRE International SA at J. Safra Bank and STEAMBOAT Commerce Holdings at Lombard Odier Bank, both in Geneva, Switzerland. Their activities included the opening, in the past, of numbered accounts which did not show the name of the account holder and more recently the setting up of offshore companies in tax havens to be shown as account holders, as well as the split of millions into various accounts so as not to draw attention to them, and the adoption of counter-intelligence tactics for the receipt of statements by electronic means, among other methods. The statements of PEDRO JOSÉ BARUSCO FILHO (statement of 26/11/2014, at 13h30m – doc. 08) make the matter clear (no bold type in the original): “That the deponent explains that initially all this money was received in a numbered account which he maintained in Switzerland and believes may have been at BBVA Bank; That the deponent from the time he arrived at the figure of 10 million dollars approximately, started to set up offshore companies to receive these general payments; that from then on, the deponent became accustomed to stop receipts in each one of these accounts as soon as they reached a figure of 10 million dollars, and started to credit a new account and so on successively” In this way these related persons committed offences of money laundering, because the sums transferred came from crimes of corruption, to the detriment of the public purse, whose nature, origin, location, movement and ownership were concealed and disguised, inter alia through the use of companies set up in tax havens, especially in the British Virgin Islands and in Panama. Tax evasionA common feature with regard to the accused Brazilians who are resident in Brazil lies in the fact that they received the amounts abroad and held them there without incurring large expense. Thus, the sums entering their accounts comprised, in almost their entirety, the end of year balances on each account. These sums were not declared at the appropriate time to the Central Bank (nor to the Federal Revenue Service), and this constituted the offence of tax evasion by way of maintaining bank deposits abroad which were not declared to the appropriate federal authority. PEDRO BARUSCO acted in this way from at least 2003, and had the following approximate total balances at 31 December each year on accounts 601244, Dole Tec, Tropez Real Estate, Marl Trader Services and Rhea Commercial, all held at J. Safra Bank in Geneva, which concern only the sums received by virtue of the contracts between Petrobras and SBM (table prepared from statements and information supplied by JULIO FAERMAN and by PEDRO BARUSCO):
Even before opening accounts at J. Safra, PEDRO BARUSCO had accounts in Switzerland for receiving improper payments at the Republic Bank, subsequently taken over by HSBC. The account at HSBC was closed and the money transferred to BBA Creditanstalt Bank. On reaching a figure of 300 thousand dollars, he transferred the funds to J. Safra Bank, and ended his relationship with BBA Creditanstalt. In March 2003, he opened an account at J. Safra numbered 601244. This account accumulated funds until 15/11/2004, when the total was approximately US$ 1,800,000.00, which came from the BBA Creditanstalt account and from illegal commissions, “notably from SBM”.88He states that he has located an approximate total of US$ 21,988,494.00 received from the agents of SBM JULIO FAERMAN and LUIS EDUARDO CAMPOS BARBOSA DA SILVA, which came from the accounts of their offshore companies, at the following part values, these being the principal final transferee accounts for the funds:
The sums are close to those appearing in a subpoena issued by the Public Prosecutor’s Office of the Swiss Confederation, relating to the freezing of the account of PEDRO JOSÉ BARUSCO FILHO in that country, which the latter handed over to the Brazilian Public Prosecutor’s Office under the terms of the plea bargain (doc. 47 – free translation, official translation in progress): 5. Various accounts controlled by PEDRO JOSÉ BARUSCO FILHO at J. SAFRA SARASIN Bank were credited by numerous transfers made by JULIO FAERMAN, which amounted to a total of 22 million dollars between 2003 and 2012. In addition, 2.3 million dollars were credited to account no. 604363 of MARL TRADER SERVICES LTD (on which PEDRO JOSÉ BARUSCO FILHO is the subrogated beneficiary) held at J. SAFRA SARASIN Bank which came from account no. 604496 in the name of MALTON HOLDING SERVICES (on which LUIS EDUARDO DA SILVA CAMPOS BARBOSA is the subrogated beneficiary) held at J. SAFRA SARASIN Bank. PAULO ROBERTO BUARQUE CARNEIRO also held deposits abroad which were not declared to the Brazilian authorities since at least 2003. There were the following approximate total balances at 31 December in each year on his account at Pictet Bank in Geneva, which relate only to sums received as a result of the contracts of Petrobras with SBM (table prepared from statements and information supplied by JULIO FAERMAN):
JORGE LUIZ ZELADA, as far as is known, acted in this way since at least 2007, and there were the following approximate total balances at 31 December in each year on the accounts of his offshore companies VABRE INTERNATIONAL SA at J. Safra Bank and STEAMBOAT COMMERCE HOLDINGS at Lombard Odier Bank, both in Geneva, which relate only to sums received as a result of transactions in which JULIO FAERMAN and/or LUIS EDUARDO CAMPOS BARBOSA DA SILVA participated (table prepared from statements and information supplied by JULIO FAERMAN):
Similarly, JULIO FAERMAN and LUIS EDUARDO BARBOSA CAMPOS DA SILVA held vast sums received from SBM in Swiss banks. They used part of these for improper payments (bribes) paid to Petrobras employees, but they certainly retained a large part (perhaps the greater part) in their own accounts, the balances on which were not declared to the Brazilian authorities. In the subpoena issued by the Public Prosecutor’s Office of the Swiss Confederation, relating to the freezing of the account of PEDRO JOSÉ BARUSCO FILHO in that country, which was handed over to the Brazilian Public Prosecutor’s Office under the terms of the plea bargain, it can be seen in the reasons for the measure that (no bold type in the original – official translation in progress – doc. 47): “4. The dossier shows that between 2003 and 2013 77.6 million dollars from companies in the SBM group were credited to accounts of JULIO FAERMAN and LUIS EDUARDO DA SILVA CAMPOS BARBOSA held at J. SAFRA SARASIN Bank, divided as follows: • 36 million dollars in account no. 602086 in the name of JANDELL INVESTMENTS LTD (on which the subrogated beneficiaries are JULIO FAERMAN and NEIDE BITTENCOURT FAERMAN).89 • 41 million dollars in account no. 606422 in the name of BIEN FAIRE INC. (on which the subrogated beneficiary is JULIO FAERMAN). • 0.6 million dollars in account no. 606031 in the name of TORI MANAGEMENT (on which the joint subrogated beneficiaries are JULIO FAERMAN and LUIS EDUARDO DA SILVA CAMPOS BARBOSA). “5. Various accounts controlled by PEDRO JOSÉ BARUSCO FILHO at J. SAFRA SARASIN Bank were credited by numerous transfers made by JULIO FAERMAN, which amounted to a total of 22 million dollars between 2003 and 2012. “In addition, 2.3 million dollars were credited to account no. 604363 of MARL TRADER SERVICES LTD (on which the subrogated beneficiary is PEDRO JOSÉ BARUSCO FILHO) held at J. SAFRA SARASIN Bank, which came from account no. 604496 in the name of MALTON HOLDING SERVICES (on which LUIS EDUARDO DA SILVA CAMPOS BARBOSA is the subrogated beneficiary) held at J. SAFRA SARASIN Bank.” Analysis Report SPEA/PGR nº 114/2015 contains a list of the final balances for each year for JULIO FAERMAN, including the accounts held jointly with LUIS EDUARDO CAMPOS BARBOSA DA SILVA, which are marked with an asterisk in the table below (the analysis concerned only the accounts used for improper payments):
The Brazilian Central Bank has confirmed in Official Letter 025390/2014- BCB/Decon/Diadi/Coadi-02 that the data base was checked for Statements of Brazilian Capital Held Abroad (Declarações de Capitais Brasileiros no Exterior – CBE) and no records of statements filed in the names of the accused have been found.90 Thus, JULIO FAERMAN, LUIS EDUARDO BARBOSA CAMPOS DA SILVA, PEDRO BARUSCO, PAULO ROBERTO BUARQUE CARNEIRO and JORGE LUIZ ZELADA held deposits abroad which were not declared to the relevant Brazilian federal authorities. Legal classificationActing thus, freely and consciously, with unity of purposes, without any exclusion of illegality or guilt: JORGE LUIZ ZELADA: revealed on more than one occasion information that was known to him, that should have remained confidential and to which he had access due to his position, requesting and receiving for these and other unlawful acts undue advantages amounting to at least USD 6,423,887.64, for himself and/or others, by reason of his position in a federal parastatal entity (Criminal Code, Article 327,paragraph 1), being subject to prison sentences of between 2 and 12 years and fines as set out in Article 317 of the Criminal Code (passive corruption), in the presence of trans-nationality, that may be increased by a third if functional duty has been infringed (Criminal Code, Article 317, paragraph 1) and another third if a managerial position is held in a semi-public company (Criminal Code, Article 327, paragraph 2), in the presence of concurrent offences (Criminal Code, Article 69); on at least 55 occasions, concealed or disguised the nature, source, location, type, movement or ownership of property, rights or sums that came - directly or indirectly - from criminal acts against the Public Administration, being subject to prison sentences of 3 to 10 years and fines as set out in Article 1 of Law 9,613/1998 ("money laundering"), that may be increased under paragraph 4 of the same article by one or two thirds in view of it being a repeated crime or one committed through a criminal organisation; kept accounts overseas, in two separate banks, for at least 6 financial years, which were not declared to the relevant federal authorities, being subject to prison sentences of 2 to 6 years and fines as set out in the single paragraph of Article 22 of Law 7,492/1986; formed a stable and long-lasting relationship with more than three people for the specific purpose of committing offences, being subject to prison sentences of 1 to 3 years under Article 288 of the Criminal Code. JULIO FAERMAN: on at least 14 occasions, offered or promised undue advantages to employees of a federal semi-public company, in return for them performing, omitting or delaying official actions, and therefore effectively paying the undue advantages, being subject to prison sentences of 2 to 12 years and fines as set out in Article 333 of the Criminal Code (active corruption), that may be increased by a third where staff have infringed functional duty (Criminal Code, Article 333, paragraph 1), in the presence of trans-nationality and a concurrence of offences (Criminal Code, Article 69); on at least 362 occasions, concealed or disguised the nature, source, location, type, movement or ownership of property, rights or sums that came - directly or indirectly - from criminal acts against the Public Administration, being subject to prison sentences of 3 to 10 years and fines as set out in Article 1 of Law 9,613/1998 ("money laundering"), that may be increased under paragraph 4 of the same article by one or two thirds in view of it being a repeated crime or one committed through a criminal organisation; kept undeclared deposits overseas, in at least three banks and twenty-three bank accounts for at least 10 financial years, which were not declared to the relevant federal authorities, being subject to prison sentences of 2 to 6 years and fines as set out in the single paragraph of Article 22 of Law 7,492/1986; formed a stable and long-lasting relationship with more than three people for the specific purpose of committing offences, being subject to prison sentences of 1 to 3 years under Article 288 of the Criminal Code. LUÍS EDUARDO CAMPOS BARBOSA DA SILVA: on at least five occasions, offered or promised undue advantages to employees of a federal semi-public company, in return for them performing, omitting or delaying official actions and therefore effectively paying the undue advantages, being subject to prison sentences of 2 to 12 years and fines as set out in Article 333 of the Criminal Code (active corruption), that may be increased by a third where staff have infringed functional duty (Criminal Code, Article 333, paragraph 1) in the presence of trans-nationality and a concurrence of offences (Criminal Code, art. 69); on at least 77 occasions, concealed or disguised the nature, source, location, type, movement or ownership of property, rights or sums that came - directly or indirectly - from criminal acts against the Public Administration, being subject to prison sentences of 3 to 10 years and fines as set out in Article 1 of Law 9,613/1998 ("money laundering"), that may be increased under paragraph 4 of the same article by one or two thirds in view of it being a repeated crime or one committed through a criminal organisation; kept undeclared deposits overseas, for at least 9 financial years, in at least four banks, which were not declared to the relevant federal authorities, being subject to prison sentences of 2 to 6 years and fines as set out in the single paragraph of Article 22 of Law 7,492/1986; formed a stable and long-lasting relationship with more than three people for the specific purpose of committing offences, being subject to prison sentences of 1 to 3 years under Article 288 of the Criminal Code. PEDRO JOSÉ BARUSCO FILHO: on at least seven occasions, requested and received undue advantages amounting to at least USD 22,381,888.10 for himself or others, directly or indirectly, by reason of his employment in a federal parastatal entity (Criminal Code, Article 327, paragraph 1), being subject to prison sentences of 2 to 12 years and fines as set out in Article 317 of the Criminal Code (passive corruption), in the presence of trans-nationality, that may be increased by a third if there is an infringement of functional duty (Criminal Code, Article 317, paragraph 1) and a further third if a managerial post is held in a semi-public company (Criminal Code, Article 327, paragraph 2), in the presence of concurrent offences (Criminal Code, Article 69); on at least 168 occasions, concealed or disguised the nature, source, location, type, movement or ownership of property, rights or sums that came - directly or indirectly - from criminal acts against the Public Administration, being subject to prison sentences of 3 to 10 years and fines as set out in Article 1 of Law 9,613/1998 ("money laundering"), that may be increased under paragraph 4 of the same article by one or two thirds in view of it being a repeated crime or one committed through a criminal organisation; kept undeclared deposits overseas, for at least 9 financial years, in at least three banks and seven accounts, which were not declared to the relevant federal authorities, being subject to prison sentences of 2 to 6 years and fines as set out in the single paragraph of Article 22 of Law 7,492/1986; formed a stable and long-lasting relationship with more than three people for the specific purpose of committing offences, being subject to prison sentences of 1 to 3 years under Article 288 of the Criminal Code. PAULO ROBERTO BUARQUE CARNEIRO: on at least five occasions, requested or received undue advantages amounting to at least USD 8,498,603.73 for himself or others, directly or indirectly, by reason of his position in a federal parastatal institution (Criminal Code, Article 327, paragraph 1), being subject to prison sentences of 2 to 12 years and fines as set out in Article 317 of the Criminal Code (passive corruption), in the presence of trans-nationality, that may be increased by a third if there is an infringement of functional duty (Criminal Code, Article 317, paragraph 1) and a further third if a managerial post is held in a semi-public company (Criminal Code, Article 327, paragraph 2), in the presence of concurrent offences (Criminal Code, Article 69); on at least 139 occasions, concealed or disguised the nature, source, location, type, movement or ownership of property, rights or sums that came - directly or indirectly - from criminal acts against the Public Administration, being subject to prison sentences of 3 to 10 years and fines as set out in Article 1 of Law 9,613/1998 ("money laundering"), that may be increased under paragraph 4 of the same article by one or two thirds in view of it being a repeated crime or one committed through a criminal organisation; kept undeclared deposits overseas, for at least 10 financial years, which were not declared to the relevant federal authorities, being subject to prison sentences of 2 to 6 years and fines as set out in the single paragraph of Article 22 of Law 7,492/1986; formed a stable and long-lasting relationship with more than three people for the specific purpose of committing offences, being subject to prison sentences of 1 to 3 years under Article 288 of the Criminal Code. RENATO DE SOUZA DUQUE: on at least three occasions, requested or received undue advantages amounting to at least USD 1,000,000.00, for himself or others, directly or indirectly, by reason of his employment in a federal parastatal entity (Criminal Code, Article 327, paragraph 1), being subject to prison sentences of 2 to 12 years and fines set out in Article 317 of the Penal Code (passive corruption), in the presence of trans-nationality, that may be increased by a third if a managerial post is held in a semi-public company (Criminal Code, Article 327, paragraph 2) in the presence of concurrent offences (Criminal Code, Article 69); formed a stable and long-lasting relationship with more than three people for the specific purpose of committing offences, being subject to prison sentences of 1 to 3 years under Article 288 of the Criminal Code. ROBERT ZUBIATE: on at least 8 occasions, directly or through third parties, offered or promised undue advantages to employees of a federal semi-public company, in return for them performing, omitting or delaying official actions, and therefore effectively paying the undue advantages, being subject to prison sentences of 2 to 12 years and fines as set out in Article 333 of Criminal Code (active corruption), that may be increased by a third where staff have infringed functional duty (Criminal Code, Article 333, paragraph 1) in the presence of trans-nationality and a concurrence of offences (Criminal Code, article 69); formed a stable and long-lasting relationship with more than three people for the specific purpose of committing offences, being subject to prison sentences of 1 to 3 years under Article 288 of the Criminal Code. DIDIER HENRI KELLER: on at least 7 occasions, directly or through third parties, offered or promised undue advantages to employees of a federal semi-public company, in return for them performing, omitting or delaying actions, and therefore effectively paying the undue advantages, being subject to prison sentences of 2 to 12 years and fines as set out in Article 333 of Criminal Code (active corruption), that may be increased by a third where staff have infringed functional duty (Criminal Code, Article 333, paragraph 1) in the presence of trans-nationality and a concurrence of offences (Criminal Code, Article 69); formed a stable and long-lasting relationship with more than three people for the specific purpose of committing offences, being subject to prison sentences of 1 to 3 years under Article 288 of the Criminal Code. ANTHONY (“TONY”) JOHN MACE: on at least 3 occasions, directly or through third parties, offered or promised undue advantages to employees of a federal semi-public company, in return for them performing, omitting or delaying official actions, and therefore effectively paying the undue advantages, being subject to prison sentences of 2 to 12 years and fines as set out in Article 333 of Criminal Code (active corruption), that may be increased by a third where staff have infringed functional duty (Criminal Code, Article 333, paragraph 1) in the presence of trans-nationality and a concurrence of offences (Criminal Code, Article 69); formed a stable and long-lasting relationship with more than three people for the specific purpose of committing offences, being subject to prison sentences of 1 to 3 years under Article 288 of the Criminal Code. BRUNO YVES RAYMOND CHABAS: showed favoritism to people who committed offences which carry prison sentences (in this case, active corruption offences), evading actions by public authorities, being subject to prison sentences of 1 to 6 months and fines as set out in Article 348 of the Criminal Code (cronyism); SIETZE HEPKEMA: showed favoritism to people who committed offences which carry prison sentences (in this case, active corruption offences), evading actions by public authorities, being subject to prison sentences of 1 to 6 months and fines as set out in Article 348 of the Criminal Code (cronyism); PHILIPPE JACQUES LEVY: showed favoritism to people who committed offences which carry prison sentences (in this case, active corruption offences), evading actions by public authorities, being subject to prison sentences of 1 to 6 months and fines as set out in Article 348 of the Criminal Code (cronyism); ANDERS MORTENSEN: directly or through third parties, offered or promised undue advantages to an employee of a federal semi-public company, in return for him performing, omitting or delaying official actions, and therefore effectively paying the undue advantages, being subject to prison sentences of 2 to 12 years and fines as set out in Article 333 of the Criminal Code (active corruption), in the presence of trans-nationality, that may be increased by between a sixth and two-thirds under Article 71 of the Criminal Code, in view of it being a continued offence, given the similarity of time, location and means of execution; Applications and requestsThe Federal Prosecutor requests that this complaint be received and filed; that the accused be summoned to submit their defense; that the accused be tried according to the procedures set out in the Code of Criminal Prosecution, Article 394 et seq., and be convicted under the terms of the law. Following the submission of this complaint, the Federal Prosecutor requests the entry of the attached documents, which are listed at the end, in order to make the records easier to consult, referring also to the further documents entered and requesting that documents such as translations, expert opinions and any ongoing requests for international cooperation are subsequently entered: List of witnesses The Federal Public Prosecutor’s Office requires testimony from the witnesses listed below: A) to give evidence as to the findings of the first Petrobras Internal Committee of Enquiry (2014) into the SBM case: 1. Pedro Aramis de Lima Arruda, of Rua Paulo Moreno, nº 167, Barra da Tijuca, Rio de Janeiro/RJ, tel. (21)2439-1923, former Head of Business Security at Petrobras, president of the Committee; 2. Nilton Antonio de Almeida Maia, former Legal Manager at Petrobras, member of the Committee, based at Head Office at Avenida República do Chile, 65, sala 502, Centro, Rio de Janeiro/RJ, tel. 3224-0707 and 3224-9399; 3. Gerson Luiz Gonçalves, Head of Auditing at Petrobras, member of the Committee, based at Head Office at Avenida República do Chile, 65, sala 701, Centro, Rio de Janeiro/RJ, tel. 3224-1101, extension 7141101; 4. Solange da Silva Guedes, member of the Committee, Director of Exploration and Production, business address at Av. Henrique Valadares, 28, Torre A, 18º andar, Centro, Rio de Janeiro/RJ; 5. Jorge Salles Camargo Neto, member of the Committee, engineer at Petrobras, business address at Av. Henrique Valadares, 28, Torre A, 18º andar, Centro, Rio de Janeiro/RJ, tel. (21) 3224-8785, extension 7148785; B) to give evidence as to the findings of the second Petrobras Internal Committee of Enquiry (2015) into the SBM case: 1. Gilcimar Luiz Nossa, coordinator of the Committee, business address at Av. Nossa Senhora da Penha (Reta da Penha), s/nº, Barro Vermelho, Vitória/ES, tel. (27)2122-5351, (27)3295-5350; 2. Edmar Diniz de Figueiredo, member of the Committee, engineer at Petrobras, business address at Av. República do Chile, 65, Centro, Rio de Janeiro/RJ, tel (21)2144-2504, extension 7042504; 3. Guilherme Castiglioni de Carvalho, member of the Committee, business address at Av. República do Chile, 65, Centro, Rio de Janeiro/RJ, tel (21)3224-5903, extension 7145903; 4. Arlindo Quintão Campos, member of the Committee, auditor at Petrobras, business address at Av. República do Chile, 65, Centro, Rio de Janeiro/RJ, tel (21)3224-3075, extension 7143075; 5. Marina Quindere Burnett Corredor Barbosa, member of the Committee, lawyer at Petrobras, business address at Av. Henrique Valadares, 28, Torre A, 18º andar, Centro, Rio de Janeiro/RJ, tel. (21)2166-2206, extension 7062206; C) to give evidence as to the findings of the CGU (Brazilian Federal Comptroller-General) with regard to the SBM case: Maria Júlia Castro Wegelin, federal civil servant, Head of Control Unit 6 at CGU/RJ, business address at Av. Presidente Antonio Carlos, 375, sala 613, Centro, Rio de Janeiro/RJ; D) to give evidence on the payments relating to contracts between SBM and FAERCOM and other companies of JULIO FAERMAN: Tobias Cepelowicz, representative of Petroserv S.A, residential address at Av. Rui Barbosa, 598/601, Flamengo, tel. (21) 3526-3111, and business address at Av. Almirante Barroso, 52, 7º andar, Centro, tel. (21) 2297-3111, both in Rio de Janeiro/RJ; E) to give evidence on the basis of a letter rogatory addressed to the United Kingdom of Great Britain and Northern Ireland, with regard to the active corruption and personal cronyism within SBM: Jonathan David Taylor, address at 17 Hadrian Way, Chilworth, Southampton, SO16 7HZ, United Kingdom; F) to give evidence regarding the leasing of the vessel Campos Transporter (formerly Nordholt) by Petrobras from Progress Ugland: 1. Clóvis Antônio Lopes, address at Rua Buritana nº 2176, Estrada de Jacarepaguá, Condomínio Village das Pedras, CEP 22753-090, Itanhangá, Rio de Janeiro/RJ, former employee of Petrobras in the Exploration and Production Department; 2. Carlos Alberto Martins de Souza, employee of Petrobras, address at Rua Professor Antonio Maria Teixeira, 33, apto. A 105, Leblon, Rio de Janeiro/RJ, CEP 21277-715, representing Petrobras at the signature of the contract; 3. Nelson de Farias Almeida, address at Av. Jornalista Tim Lopes, 255, bl. 4, ap. 402, Barra da Tijuca, Rio de Janeiro/RJ, tel. (21) 2438-0656, or at Rua Antonio Basilio, 201/601, Tijuca, Rio de Janeiro/RJ, tel. (21) 2572-3668, former employee of Petrobras, signatory of the contract between Petrobras and Progress Ugland Ltd. The Federal Public Prosecutor’s Office requests severance in relation to the accused listed below, who are resident abroad: a) BRUNO YVES RAYMOND CHABAS, SIETZE HEPKEMA and PHILIPPE JACQUES LEVY; b) DIDIER HENRI KELLER, ANTHONY JOHN MACE and ROBERT ZUBIATE; c) ANDERS MORTENSEN. Under the terms of article 387, IV, of the Brazilian Criminal Procedure Code,91 the Federal Public Prosecutor’s Office requests the fixing of a minimum amount for civil indemnification ex delicto, at the equivalent in Brazilian currency to the amounts below, with reference to the amount of improper payments demanded by those who took part:92
Lastly, it should be stressed that the non-inclusion of facts or persons in the indictment does not imply that such matters have been closed, and the right is reserved to make objective or subjective amendments in the light of new circumstances or the identification of new persons. Rio de Janeiro, RJ, _____ December 201593 Leonardo Cardoso de Freitas Renato Silva de Oliveira Federal Prosecutor Federal Prosecutor
1The indictment is also fundamentally based on the files of the following related proceedings, all of which are assigned to this 3rd Federal Criminal Court of Rio de Janeiro: Criminal case 0022179-65.2014.4.02.5101 (legal confidentiality), a criminal interlocutory application for access to financial, foreign exchange and tax information; Criminal case 0024633-18.2014.4.02.5101 (legal confidentiality), in summary, access to emails of Petrobras and SBM; Criminal case 0042568-71.2014.4.02.5101 (legal confidentiality), a plea bargain case relating to PEDRO JOSÉ BARUSCO FILHO; Criminal case no. 0503595-53.2015.4.02.5101 (legal confidentiality), a criminal interlocutory application for access to financial, foreign exchange and tax information; Criminal case no. 0505269-66.2015.4.02.5101 (legal confidentiality), a plea bargain case relating to JULIO FAERMAN. 2In statements made to the Federal Public Prosecutor’s Office (FPPO), JULIO FAERMAN described the manner in which he became the principal representative of SBM in Brazil:“from 1975 he represented IMODCO in the Brazilian oil and gas market, concentrating his activities on Petrobras, in view of its legal monopoly in oil-related matters; that IMODCO, a company from Los Angeles/California, was a direct competitor of SBM, and had its own representative, who operated in the same market as the deponent; that SBM, which is now a company whose shares are traded on the stock exchange, was at the time a subsidiary of IHC; that after losing a Petrobras bidding process to IMODCO in 1995, IHC decided to buy IMODCO; that even after being taken over, IMODCO continued to be represented by the deponent in Brazil; that, however, a short time later, still in 1995, SBM and IMODCO were consolidated, with SBM remaining as the company resulting from the consolidation; that, with this consolidation, it became necessary to unify the representation of the companies in Brazil; that Robert Zubiate had been the Latin America Regional Vice-President, for the oil and gas sector at IMODCO for the whole period during which the deponent was the chief representative of IMODCO in Brazil; that Robert Zubiate kept this position at SBM after the consolidation; that because of their functions at IMODCO, the deponent and Robert Zubiate had known each other for a long time; that after taking up his new position at SBM, Robert Zubiate supported the choice of the deponent as the sole representative of SBM/IMODCO in Brazil; that the management of SBM also carried out research with regard to the Brazilian oil and gas market, the result of which indicated that the deponent would be the best choice for the post of commercial agent, following the unification of representation as a result of the consolidation; that it was in this way that the professional relationship of the deponent with SBM began.” 3As from 2013, when it acquired Sarasin bank, the J. Safra bank became the J. Safra Sarasin bank. 4Before Taylor, his superior Jay Printz, who conducted the internal investigation, had also resigned from SBM in April 2012. 5Available at 6Set out below is the main passage relating to Brazil (pp. 17/18):“3. BRAZIL (Main agent through whom bribes were paid was Julio FAERMAN (‘JF’) and his Group of Companies) “3.1 Services Agreement Commercial Representation between SBM Inc.and JF’s company Oildrive Consultoria EM Energia Petroleo dated 2 June 2006 and its amendments. “3.2 Amendment to an Agreement of 2 July 1999 dated 7 February 2007 with Faercom Energia Ltd. confirming a ‘commission’ of 3% signed by HT for SBM Inc. Cf. HT Interview 27 March 2012 in which HT confirmed that the 3% was split as to 1% for JF and 2% for Petrobras officials. “3.3 ‘Payments to Agents’ Task Force document of 17th April 2012 prepared by SBM Internal Audit showing (inter alia) payments of US$139,216,000 to the JF Group of Companies: Faercom, Bienfaire, Oildrive, Jandell, Journey Advisors and Hades Production Inc., including payments made by SBM’s Houston office. Cf. HT Interview 27 March 2012 in which HT confirmed that these payments (ie. money allocated for bribes) were paid on to Petrobras officials. “3.4 Numerous E-mails implicating, for example, JPL, BC and MW, including: – 9 April 2011 JPL asking HT when ‘work’ (ie. bribes) will need to be done in Brazil – 18 and 21 April 2011 from JPL to (inter alia) BC and MW attaching confidential Petrobras Minutes (not information which is provided free of charge) and referring to a future meeting with Petrobras engineering chief Figueiredo to extend a lease ‘without going via an open bid’.”
7Hanny Tagher is mentioned in the Wikipedia text as the intermediary for the improper payments allegedly made to officials in Equatorial Guinea, through his company in the British Virgin Islands, Moswen Resources S.A.In an article published in the Dutch magazine Vrij Nederland (available at Interviewed in England by way of international cooperation, Tagher argued that his words had been distorted in the Wikipedia article, because what he really heard from FAERMAN was that at the end of all operations he would be left with only 1% of his commission, but FAERMAN did not say that the rest would go to employees of PETROBRAS, nor did he reveal the reason why only 1% of the commission which he received from SBM would be left for him. 8According to the text: meeting “with Petrobras engineering chief Figueiredo to extend a lease ‘without going via an open bid”. ‘Figueiredo’ means José Antonio de Figueiredo, Director of Engineering at Petrobras between May 2012 and February 2015. Earlier he held the post of executive manager. The email mentioned in Wikipedia was obtained through international cooperation with the Netherlands (file TR_ RE_ FPSO BRASIL AND MARLIM SUL.rtf – doc. 48). No criminal conduct on the part of Figueiredo was observed during the investigation procedures. 9In this connection, an article published later in the Dutch magazine Vrij Nederland (available at 10pp. 19/20 (Available at “A shocking example of how FE was being forced to participate in SBM’s cover-up of criminal activity, under threat of having to leave the company. SBM’s CGCO again stresses the importance of “containment” and how he did not want FE to review the PH scoping interviews. He also acknowledges that he wanted to ‘take Brazil out’ (which ultimately has been done), that the attempted destruction of evidence by JPL was criminal and that JPL would most likely end up in prison and asserts that ‘we are not here to distribute morally right and morally wrong’ (contrary to the view expressed in the company’s 2011 Annual Report – cf. above). As a result of FE’s refusal to collaborate in SBM’s cover-up, SH issues the blunt threat that ‘we’re coming to the end of the road here’!” An explanation has been given as to the initials noted in the text transcribed above: SH is Siezte HEPKEMA, who became the CGCO - Chief Governance and Compliance Officer at SBM; JPL is Jean- Philippe LAURES, Chief Operating Officer at SBM; PH is Paul HASTINGS; lastly, FE stands for former employee, i.e. SBM’s ex-employee Jonathan Taylor, who disclosed the alleged irregularities on Wikipedia. 11“3.4 Numerous E-mails implicating, for example, JPL, BC and MW, including: – 9 April 2011 JPL asking HT when ‘work’ (ie. bribes) will need to be done in Brazil – 18 and 21 April 2011 from JPL to (inter alia) BC and MW attaching confidential Petrobras Minutes (not information which is provided free of charge) and referring to a future meeting with Petrobras engineering chief Figueiredo to extend a lease ‘without going via an open bid’.” 12The final report of the Petrobras Internal Commission of Enquiry states (p. 6 of the report) that enquiries made at SBM in the Netherlands disclosed “copies in PDF format of the DIPs E&P-SERV 610/2010 and DE&P-PRE-SAL 2010/2011: III Report of Master Plan for Integrated Development of Sub-Salt Stratum in Santos Basin, cycle 2010/2011”. Further on, it mentions the same two documents (p. 104): “we identified the Internal Petrobras Document E&P PRESAL 21/2011 (confidential), of 18 March 2011, along with the Sub-Salt Master Plan approved by the Executive Board on 18 April 2011. We also identified the Internal Petrobras Document E&P-SERV 610/2010 (confidential), of 11 October 2010, requesting authorization from the Executive Board of Petrobras for the signing of leasing contracts for PLSV vessels with J. Ray McDermott Inc and McDermott Construction Services.” 13These contracts were made with various companies of the SBM Offshore N.V. group, comprising companies registered not only in the Netherlands (SBM Offshore N.V., SBM Schiedam B.V. and Gusto MSC Schiedam, the latter sold in 2011), but also (in a non-exhaustive list), in Switzerland (SBM Holding Inc SA), Monaco (Single Buoy Moorings Inc. and SBM Productions Contractors Inc), the United States (SBM Atlantia Inc. in Houston/Texas), Canada (in Dartmouth), Angola, Equatorial Guinea, England, China, Malaysia (SBM Malaysia Sdn. Bhd.) and Brazil, where they were registered with the CNPJ (Company Registration Office) (although some were domiciled abroad): SBM CAPIXABA OPERACOES MARITIMAS LTDA; SBM DO BRASIL LTDA; SBM FRADE SERVICOS MARITIMOS LTDA.; SBM HOLDING INC SA; SBM HOLDING INC. S.A.; SBM INDUSTRIA MARITIMA LTDA.; SBM JUBARTE OPERACOES MARITIMAS LTDA; SBM OFFSHORE DO BRASIL LTDA.; SBM OPERACOES LTDA.; SBM PRODUCTION CONTRACTOS SA; SBM PRODUCTION INC.; SBM SEATECH INC; SBM SERVICOS LTDA.; SBM SERVS.INC S A; SBM SYSTEMS INC; FPSO BRASIL VENTURE S.A. (shareholder in SBM Operações Ltda); FPSO Capixaba Venture SocieteAnonyme (shareholder in SBM Capixaba Op. Marítimas Ltda). 14Final report of Petrobras Internal Commission of Enquiry on the SBM case, p. 13, which appears in the file of criminal investigation proceedings MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 2. 15Technical Information PR/RJ/ASSPA no. 031/2015, Appendix I, appearing in the file of criminal investigation MPF/PR/RJ no. 1.30.001.000837/2014-68, Appendix III, Volume 6. 16Available at 17“Aggregate payments to sales agents by Group companies in relation to Brazil in the years 2007 through 2011 totalled US$139.1 million, of which US$123.7 million was paid to the primary agent.” 18Although the enquiries carried out by SBM referred to a period since the year 2000, the contracts between Petrobras and SBM commenced in the preceding decade, the first contract having been signed on 30/12/1996 (the only contract now expired).Contracts were also signed in 1999, 2001, 2003, 2005, 2008, 2012 and 2013, which are still in force. SBM imposed a time limit for the start of the enquiry period owing to the provisions of Dutch law as regards the subject matter. Thus, in reality, the amounts paid by SBM to JULIO FAERMAN and his companies was clearly more than US$ 139,100,000.00, because he was representing SBM in Brazil from 1995 through FAERCOM and, as from 2005, through OILDRIVE, with his new partner LUIS EDUARDO CAMPOS BARBOSA DA SILVA. 19Available at 20In the original, available on the website indicated in the preceding footnote:“Brazil “With regard to Brazil, certain “red flags” relating to the main sales agent used in Brazil were found during the internal investigation commissioned by SBM Offshore. These red flags included: “•the high amounts (in absolute terms) of commission that were paid to the sales agent and its companies; “•a split between commissions paid to the sales agent between its Brazilian and its offshore entities; and “•documents indicating the sales agent had knowledge of confidential information about a Brazilian client.
21Although SBM came with some good references, an email between Petrobras employees on 15/10/2013 shows dissatisfaction with SBM owing to “the inefficient manner in which this company has handled the operation of FPSO Cidade de Anchieta” (criminal case no. 0503595-53.2015.4.02.5101 – legal confidentiality, criminal injunction with regard to access to financial, exchange and tax information). 22The contracts and amendments relating to this business are to be found on CD-ROMS at pp. 40/41 of the file of Criminal Investigation Procedure MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 8. 23DIDIER KELLER was President of IMODCO from 1990 to 1994, President of SBM Offshore from1994 to 2000, Director of IHC Calland (former controller of SBM) from 2000 to 2004, Chief Executive Officer (CEO) of SBM Offshore from 2004 to 2008 and a member of the Audit Committee of SBM in 2008/2009. 24PAULO ROBERTO BUARQUE CARNEIRO, joined Petrobras in January 1978 (“Employee details” of Petrobras – doc. 49). He was in a paid managerial role as Sector Chief during the 1980s. As from 2001, he was in a specialist paid role as Senior Consultant.From 1997 he made various trips to Monaco, the Netherlands, France, Singapore, Houston-USA, Oslo-Norway, and Dubai, as well as dozens of journeys within Brazil, all of them related to FPSOs. He left the company at his own request on 24 June 2014. 25The account of the offshore company Valinor was an alternative route used by JULIO FAERMAN for improper payments, and served as an intermediate account between the Jandell account, which received payments from SBM, and the accounts of the beneficiaries. 26Case File PIC MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 14, p. 28. 27Swiss banks are obliged to retain documentation for 10 years, which makes it difficult to obtain earlier information, both for the Swiss authorities and for any other parties. 28The statements made by PAULO ROBERTO BUARQUE CARNEIRO to the first Petrobras Internal Commission of Enquiry into the SBM case, on 11/03/2014, appear in the case file for Criminal Investigation Procedure MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 4. 29At the start of his time as representative of SBM, at least in the negotiations relating to FPSO II and FPSO Espadarte, FAERMAN received through FAERCOM commissions of 1% in Brazil, paid by SBM,and 2.5% abroad, with the assistance of Tobias Cepelowicz, paid via PETROSERV (which in turn received it from SBM abroad), and used part of the sums received abroad to pay BARUSCO, ZUBIATE and PAULO ROBERTO CARNEIRO, each at a rate of 0.25%.FAERMAN, and subsequently LUIS EDUARDO CAMPOS BARBOSA DA SILVA, always adhered to this scheme of receiving 1% of the commission in Brazil and the rest in Switzerland. So, if the commission was, for example, 3.5%, SBM would pay 1% in Brazil (to Faercom or later to Oildrive) and 2.5% to one of their offshore companies (Jandell, Hades, Journey, Tori, Bien Faire) in an account in Switzerland. A file received from the Netherlands as a result of international cooperation (“PETROSERV SPLIT.xls”, on CD-ROM, file BRZ-00H) shows the precise split of commission payments relating to FPSO Espadarte in 2010, being 1% to Faercom, 2.5% to Jandell or Bien Faire and 2.5% to Petroserv. 30It was only at the end of 2011 that an invoice was issued by Bien Faire with reference to FPSO P-57, in the sum of US$ 66,045.45 (page 11 of file 43.pdf contained on the pen drive of the reply from the Netherlands to the request for international cooperation), signed by Luis A. Davis and Pamela D. Hall, whose names appear as founding members of certain offshore companies in the British Virgin Islands. 31Available at page 1 of the file “41.pdf” on the pen drive supplied by the Netherlands, doc BRZ-00H. 32As well as OSX, FPSO Fradewas related to Chevron Texaco, while the FPSO for field BC10 was related to Shell. 33The shaded lines show the main Petrobras projects appearing in the table. Shown in bold type are the high percentages paid abroad in the name of offshore companies,without either a contract or a receipt or tax invoice.Although they were billion-dollar contracts, the FPSOs Cidade de Paraty and Cidade de Ilhabela occurred during the initial phase, hence the low payments. 34“TONY” MACE joined SBM in 1977, and had been Head of Engineering in Monaco between 2000 and 2002 and president of the group’s companies in Houston (SBM-Imodco and Atlantia Offshore) between 2002 and 2007. He was Chief Executive Officer (CEO) of SBM from 15 May 2008 until the end of 2011. 35According to interviews with Jean Philippe Laures, a former employee of SBM (doc. 42 – translation in progress). 36PEDRO JOSÉ BARUSCO FILHO joined Petrobras in January 1979, working until June 1995 in Cenpes, where he became Sector Head (Petrobras “Employee Details” – doc. 50).Thereafter he was employed in management roles in the Exploration and Production Department (Diretoria de Exploração e Produção - DE&P) until February 2003 (E&P/GERPRO/GETINP/GESEM from 01/07/1995 to 27/04/2000; E&P/GERPRO/GETINP from 28/04/2000 to 31/10/2000; E&P-CORP/ENGP/EM from 01/11/2000 to 20/02/2003). In the DE&P, he started to obtain improper benefits from SBM’s agent, JULIO FAERMAN. In February 2003, BARUSCO became Engineering Executive Manager in the no longer existing Services Department. He continued to obtain improper benefits from the SBM agents JULIO FAERMAN and LUIS EDUARDO CAMPOS BARBOSA DA SILVA, even after he left the post in 2011, as a result of what was agreed in previous negotiations. 37The Avellaneda account, like the Valinor account, was an alternative used by JULIO FAERMAN for improper payments, and served as an intermediate account between the Jandell account, which received payments from SBM, and the accounts of the beneficiaries. 38This FPSO was originally intended for the Espadarte field, and was later assigned to the Baleia Azul field (both situated in the Campos Basin), with its name being changed to FPSO Cidade de Anchieta. 39The documents, contracts and amendments relating to the business are to be found on CD-ROMs at pp. 40/41 of the file of Criminal Investigation Procedure MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 8. 40Case File PIC MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 14, p. 28. 41For a long period, however, SBM used to pay only 2.5% to Petroserv S.A., paying the other 2,5% directly to an offshore company of FAERMAN. 42The contracts and amendments relating to the business are to be found on CD-ROMs at pp. 40/41 of Criminal Investigation Proceedings MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 8. 43Case File PIC MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 14, p. 28. 44Statement of PAULO ROBERTO BUARQUE CARNEIRO to the first Petrobras Internal Committee of Enquiry on the SBM case, on 11/03/2014, contained in the file of Criminal Investigation Proceedings MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 4. 45The documents, contracts and amendments relating to the business are to be found on CD-ROMs at pp. 40/41 of Criminal Investigation Proceedings MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 8. 46Case File PIC MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 14, p. 28. 47Bluewater Energy Services B.V., registered in The Netherlands. 48The leasing of FPSOs is a procedure overseen by the Production and Exploration Department (DE&P) of Petrobras. At the time of the contracts for FPSO Capixaba, PEDRO BARUSCO had already left the DE&P and had gone to work in the Services Department (SD), at the invitation of, and reporting directly to, RENATO DUQUE. Thus BARUSCO did not take any further part in the leasing contracts for FPSOs. However, he played a part in the acquisition of FPSO P-57, as will be seen below, because he was involved in the matter on behalf of the SD. 49The documents, contracts and amendments relating to the business are to be found on CD-ROMs at pp. 40/41 of the file of Criminal Investigation Procedure MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 8. 50Case File PIC MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 14, p. 28. 51File entitled “Payments due to BIENFAIRE SO 18000.pdf” appearing in the BRZ-00H section of the CD-ROM received from the Netherlands in response to the request for international cooperation made by the Brazilian Federal Public Prosecutor’s Office. 52The name is an abbreviation of the English expression “Catenary Anchor Leg Mooring”. 53The documents, contracts and amendments relating to the business are to be found on CD-ROMs at pp. 40/41 of Criminal Investigation Proceedings MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 8. 54When making the initial plans for the way in which they would work together, FAERMAN and LUIS EDUARDO had envisaged the creation of a company by LUIS EDUARDO, which would supply services to FAERCOM.Accordingly, LUIS EDUARDO set up OILADVISE Consultoria e Engenharia Ltda ME on 08/07/2005 in Rio de Janeiro. They soon realised, however, that it would be better to form a company with LUIS EDUARDO and FAERCOM as shareholders, which became OILDRIVE. In any event, their company had been established in 2004, through the offshore company Hades Productions Inc., registered in the British Virgin Islands on 17/09/2004, with an account opened at J. Safra Bank in Geneva on 09/11/2004. 55Available in the file “Circularesesclar e respectivasconsultas proponentes.pdf”, on the CD-ROMS at pp. 40/41 of Criminal Investigation Proceedings MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 8. 56Available in the file “Documentaçãoreferente à PropostaComercial e DFP.pdf”, on the same CD-ROMs. 57File entitled “Payment approval from T. Mace.pdf” contained in the folder BRZ-00H on the CD-ROM received from the Netherlands in response to the request for international cooperation by the Brazilian Federal Public Prosecutor’s Office. 58The contracts and amendments relating to the business are to be found on a CD-ROM attached to Ofício Petrobras 4094/2015 of 12/03/2015, at p. 262 of Criminal Investigation Proceedings MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 8. 59In another passage in the same statement, BARUSCO explains the codes Sab and MW: Sab refers to the name of an old girlfriend of his, while MW means “My Way”, the code name by which the deponent referred to Duque, although DUQUE himself was not aware of this nickname”. 60The documents, contracts and amendments relating to the business are to be found on CD-ROMs at pp. 40/41 of Criminal Investigation Proceedings MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 8. 61Criminal Investigation Procedure MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 8, pp. 40/41, folder EXHIBIT XXXII.pdf in file (19) 0801.0000032.07.2 of the CD-ROM. 62File “43.pdf” contained on the pen drive received from the Netherlands in response to the request for international cooperation made by the Brazilian Federal Public Prosecutor’s Office. 63In the original: “Note that it should refer only to Oildrive, and not to Bienfaire.” 64Emails received from the Netherlands through international cooperation, contained in the file “BRZ-00E1.pdf”, on pen drive Patriot Memory Supersonic 32 GB nº 55602, code HBT73fkCQP2O15. The emails also appear in other files contained on another device received from the Netherlands, the ‘Cryptex’ CD-ROM marked with the same number 55.602 (identical code as the pen drive). 65PIC MPF/PR/RJ 1.30.001.000837/2014-68, Appendix III, Volume 7 – identity details of user of code SG9W. 66By accessing its data base of company emails, Petrobras discovered that on 11/04/2011, JORGE LUIZ ZELADA, at his email address of zelada@petrobras.com.br, received an e-mail from LUIS EDUARDO CAMPOS BARBOSA DA SILVA, entitled “Mendoza, friends and wines”, arranging a 6-day leisure trip, with visits to wine producers and vineyards in Argentina. On the trip, departing on 31/05/2011 and returning on 05/06/2011, in addition to LUIS EDUARDO and ZELADA, there were Renato de Souza Duque, JULIO FAERMAN and his daughter Eline Faerman, all of them with their respective spouses.Showing that the trip in fact took place, Petrobras found records in “Employees Movements” showing that ZELADA did not appear at work between 31/05/2011 and 06/06/2011 and Duque between 31/05/2011 and 05/06/2011 (PIC MPF/PR/RJ 1.30.001.000837/2014-68, Appendix III, Volume 7). In addition, the “travel records” maintained by the Federal Police show that JULIO FAERMAN and LUIS EDUARDO CAMPOS BARBOSA DA SILVA travelled precisely on the dates 31/05/2011 and 05/06/2011, on the flights mentioned in the email, namely flight JJ 8012 on the way out and flight JJ 8013 on the way back (PIC MPF/PR/RJ 1.30.001.000837/2014-68, Appendix II, Volume 1, entries 35 and 36 for FAERMAN and entries 23 and 24 for LUIS EDUARDO). 67PIC MPF/PR/RJ 1.30.001.000837/2014-68, Appendix III, Volume 7 – “DocID RB_MCO3_00000589”. 68PIC MPF/PR/RJ 1.30.001.000837/2014-68, Appendix III, Volume 7 – Record of actions in DIP system – Petrobras Internal Documents. 69File “E&P-PRESAL 000021_2011 – Versão.pdf”, on ‘Cryptex’ CD-ROM nº 55602, BRZ_00E folder, case 4, files. 70In total, more than 6 million dollars, where the offences of corruption will be the subject of specific proceedings. 71Statements obtained from this employee. 72RENATO DE SOUZA DUQUE joined Petrobras in March 1978.He worked in the Exploration and Production Department (DE&P) from 20/04/1995 to 31/01/2003, and was sector manager (E&P/GEREC, E&P/GERPRO/GETEP, E&P/SSE/SC-SL/CNTR, E&P/SERV/US-AP/CNTR). In the DE&P, he developed a close relationship with his colleague PEDRO JOSÉ BARUSCO FILHO. On 01/02/2003, with the assumption of federal power by the Workers Party, he skipped the posts of general manager and executive manager and was elevated to the post of Director of Services at Petrobras, a position he held until 29/04/2012, when he resigned from the company. His appointment to the post is thought to be through the influence of the former federal deputy (PT-SP) and ex Chief of Staff José Dirceu (found guilty by the Federal Supreme Court in Criminal Case 470): http://colunas.revistaepoca.globo.com/felipepatury/tag/renato-duque/(on 26/4/2012); http://podereconomico.ig.com.br/index.php/tag/renato-duque/(on 27/04/2012). During the time in which he was Director of Services, his subordinate was PEDRO JOSÉ BARUSCO FILHO, with whom he set up a scheme for receiving improper payments which, according to BARUSCO, was intended to raise a total sum of 150 to 200 millions for the Workers Party.
73These trips were agreed following contact by DUQUE with FAERMAN and LUIS EDUARDO at the birthday party of the latter’s daughter.The first trip by this “fraternity” was to Argentina, as already referred to in this indictment, leaving on 31/05/2011 and returning on 05/06/2011. Those taking part were JULIO FAERMAN and his daughter Eline, LUIS EDUARDO, RENATO DUQUE and JORGE ZELADA, each of them with their respective spouses. The second trip also had wine appreciation as its theme, and this time involved the Bordeaux region in France (PIC MPF/PR/RJ 1.30.001.000837/2014-68, Appendix III, Volume 8). Petrobras, by accessing its data base of company emails, discovered an email from LUIS EDUARDO CAMPOS BARBOSA DA SILVA (luiseduardo@oildrive.com.br) to RENATO DE SOUZA DUQUE (renatoduque@gmail.com), JULIO FAERMAN (julio@oildrive.com.br), JORGE LUIZ ZELADA (zelada@petrobras.com.br), José Orlando Melo de Azevedo (orlandomelo@petrobras-usa.com) and Roberto Gonçalves (r.gonçalves@petrobras.com.br), dated 16/08/2011, and headed “Wine with Friends part #2”. At the beginning the sender greets the addressees with the phrase “Dear Members of the Fraternity” and invites them for a “beautiful trip” to the Bordeaux region of France, “accompanied by first class wines”. The trip was originally planned for the period 01 to 08/10/2011, the first part being to the Hotel Cordeillanges-Bages, in the Pauillac region, and the second part to the Chateau Hotel Spa Grand Barraial, in the Saint Emilion region. Later, from the sequence of emails contained in the Petrobras data base, it can be seen that the programming was changed to 14 to 22/10/2011. 74Statementsmadeto Pedro Aramis de Lima Arruda, Jorge Salles Camargo Neto, Gerson Luiz Gonçalves, Solange da Silva Guedes and Nilton Antonio de Almeida Maia. 75The question was put in English in the following terms: “9. The above mentioned investigation ‘centers around potentially improper sales practices in two countries in Africa, and in one other country outside Africa’. Is it Brazil this third country?”HEPKEMA’s answer was as follows: “Investigators review all these documents, may have taken notes, presented their preliminary findings in power point. SBM publicly only talks about two countries in Africa and one outside.” 76PIC MPF/PR/RJ nº 1.30.001.000837/2014-68, volume 1. 77Item 5.10, p. 27 of this Final Report, which can be found in PIC MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, vol. 14, pp. 25/27. 78Free translation (official translation in progress). No original: “Ms. Lammers began the interview by explaining the purpose of the interview. She also provided Mr. Laures an Upjohn warning, explaining that Paul Hastings represents the Company and not Mr. Laures. She also explained that the interview was covered by attorney-client privilege, but that privilege belongs to the Company. She noted that the Company may choose to share the information provided by Mr. Laures in the interview to third parties, including government enforcement authorities.”The “Upjohn warning” mentioned refers to the case of Upjohn Co. v. United States, 449 U.S. 383 (1981), heard in the United States Supreme Court, in which it was established that the company’s lawyer must make it clear to the employee that he represents the company and not the employee; this being the case, it is the company that is protected by the confidential lawyer-client relationship and the company may decide to disclose the statements of the employee to third parties without the employee being able to object. 79FIOD (FiscaleInlichtingen- enOpsporingsdienst) is the Dutch Fiscal Intelligence and Investigation Service. 80Free translation (official translation in progress). In the original: “- It soon became clear to FE [former employee] that this approach, referred to by SBM’s Chief Governance and Compliance Officer Siezte HEPKEMA (‘SH’) as ‘containment’, was nothing less than a cover-up of major and crucially important elements of SBM’s criminal activities. Despite protesting against this approach to the Chief Executive Officer Bruno CHABAS (‘BC’) and CGCO SH, he was told very clearly, in particular by SH, to participate in this ‘containment’ (ie. cover-up) in the way SBM wanted, under threat of ‘coming to the end of the road”. Faced with such duress, FE had absolutely no choice but to leave SBM.” (Autos do PIC MPF/PR/RJ1.30.001.000837/2014-68, volume principal). In a report published on 13 February 2015, the Dutch magazine Vrij Nederland dealt with other circumstances relating to the same matter (available at 81Criminal Investigation Proceedings MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix VI. 82In the statement, the name was recorded incorrectly as “Laurentzen”. 83Recorded incorrectly, because the name is ANDERS MORTENSEN, as will be confirmed below. 84Quantum Ship Management A/S and Quantum Tankers A/S, which in 2004 was acquired by Lauritzen Tankers A/S. 85Extracted from CD-ROM attached to Official Letter of Petrobras 4339/2015 of 07/07/2015, in file of Criminal Investigation Proceedings MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix III, Volume 14, pp. 32/34. 86As per records from the National System of International Traffic, in file of Criminal Investigation Proceedings MPF/PR/RJ nº 1.30.001.000837/2014-68, Appendix II, Volume 1. 87File from interlocutory application nº 0022179-65.2014.4.02.5101. 88Information appearing in “History of banking transactions abroad relating to receipts from the companies owned by the representatives of SBM” supplied as part of plea bargain by PEDRO BARUSCO. 89NeideBittencourt Faerman played no part in either the illegal conduct or the professional activities of her husband and in practice did not exercise any powers in relation to the accounts. 90File from interlocutory application nº 0022179-65.2014.4.02.5101.The Statement of Brazilian Capital Held Abroad has been required since January 2002, under the terms of Central Bank Circular no. 3.071, of 7 December 2001. Under current rules, the CBE must be filed by residents in Brazil who possess assets abroad worth US$ 100,000.00 or more, or the equivalent in other currencies, on the last day of each year (annual period), and worth US$ 100,000,000.00 or more, or the equivalent in other currencies, on the last day of each quarter (quarterly period). 91There is nothing to prevent the application of the provision in question in sentences passed after it came into force, even in relation to earlier facts, because it is a procedural rule. In this context, see the following headnote:“The change introduced by Law no. 11.719/2008, which provided that the judge, on passing sentence, should fix a minimum value to compensate the loss caused by the offence in the light of the damage suffered by the victim (article 387, IV, of the Brazilian Criminal Procedure Code), is a procedural rule. The rule changed only the time at which the said amount must be fixed, by applying it immediately to sentences passed after it came into force.” (STJ, REsp 1.176.708-RS, Rel. Min. Sebastião Reis Júnior, judgment on 12/6/2012) 92As regards PEDRO JOSÉ BARUSCO FILHO and JULIO FAERMAN, steps have already been taken in the plea bargaining process towards the compensation now requested. 93Federal Prosecutor Daniella Sueira, who is also dealing with the case, is authorized. 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