Leasing and operation of FPSO Cidade de Anchieta (Espadarte)

1.2Leasing and operation of FPSO Cidade de Anchieta (Espadarte)

The international invitation to bid stipulated a period of 30 days for the submission of tenders, and there were requests for an extension by various interested parties, particularly because of the complexity of the technical aspects. SBM, with the experience gained on FPSO II, did not request any extension. The period was shortened to a mere 10 days, which was totally insufficient to ensure the competitiveness of all the bids.

At the time of signature SBM was represented by its former holding company, IHC Inc. S.A., and a part was played in the contractual and amendment process by the SBM Holding Inc companies. S.A., SBM Services Inc S.A., SBM – Baleia Azul S.A.R.L. and SBM do Brasil Ltda.

The contracts signed were BDC.1012108988 and BDC.1012109980 (relating to leasing and operation respectively), as well as various amendments.³⁹

The term of the contract was 30 years, as from 30/06/2000, the date of acceptance of the FPSO by Petrobras.

The total value of the contracts was US$ 2,849,366,807.03.

PEDRO JOSÉ BARUSCO FILHO took part in this contract as a manager in the Exploration and Production Department, which was responsible for the technical specifications of the FPSO.

PAULO ROBERTO BUARQUE CARNEIRO was a member of the Bids Committee (doc. 06), as well as preparing and signing Unitary Price Spreadsheets, both for the leasing contract (BDC.1012108988) and for the operating contract (BDC.1012109980). CARNEIRO was a member of the Contract Negotiating Committee dealing with SBM on this FPSO.⁴⁰

JULIO FAERMAN played a role in this contract, through FAERCOM, as the representative of IHC Inc S.A., from the time of contract proceedings before the Bids Committee (Invitation to Bid 101.010.98-7). He also had a hand in the amendments, such as amendment 2 to the service contract and the leasing contract, and amendment 3 to the leasing contract.

ROBERT ZUBIATE played a role before the Petrobras Bids Committee, for example a letter dated 03/04/1998, raising technical points (doc. 07).

DIDIER KELLER signed both the leasing contract and the operating contract for this FPSO.

For this business FAERMAN received a 1% commission in Brazil, through FAERCOM, as well as 2.5% in Switzerland, basically in the accounts of his offshore companies Jandell and Bien Faire, which were passed on to him by Tobias Cepelowicz of Petroserv, who had previously received 5% from SBM and retained 2.5% for Petroserv or other parties.⁴¹

From the data supplied by FAERMAN, between 21/01/2004 and 06/12/2011 he received payments from SBM to the Jandell and Bien Faire accounts, both held at J. Safra in Geneva, amounting to more than US$ 11,864,080.00, by way of commissions relating to FPSO Espadarte and its conversion into FPSO Cidade de Anchieta.

PEDRO BARUSCO admitted to having received improper payments in Switzerland, initially at the Republic Bank, by means of bank transfers from accounts of offshore companies belonging to FAERMAN, over a period of 10 years from 1999/2000,at a rate of US$ 5,000.00 per month, making a total of US$ 600,000.00.

PAULO ROBERTO BUARQUE CARNEIRO agreed to receive 0.25% of the total value of this contract, directly from JULIO FAERMAN, paid into bank accounts in Switzerland, in the same manner as the improper payments relating to FPSO II. As the total value of the contracts was US$ 2,849,366,807.03, the value of the improper payments agreed was more than US$ 7 million. This amount was not paid in full because the 30 year contractual term only commenced in 2000. Thus the cycle was not completed involving (i) payments from Petrobras to SBM, (ii) payments from SBM to its sales agent(s), and (iii) improper payments from SBM sales agent(s) to employees of Petrobras.

The improper payments received directly by PAULO ROBERTO BUARQUE CARNEIRO and PEDRO JOSÉ BARUSCO FILHO (who held an executive post) originated by virtue of their positions as Petrobras employees. The payments were promised and agreed by ROBERT ZUBIATE and JULIO FAERMAN and paid by the latter, on the orders of DIDIER KELLER, so that they could take official steps. ROBERT ZUBIATE also received sums from JULIO FAERMAN in connection with the contracting of this FPSO by Petrobras from SBM, in a similar scheme to that of FPSO II and at the same percentages and amounts as CARNEIRO and BARUSCO.

In the words of PEDRO JOSÉ BARUSCO FILHO, “JULIO FAERMAN invested in the relationship with him in the light of prospects for new contracts” (statement of 26/11/2014, às 13h30m – doc. 08). According to BARUSCO, the improper payments were agreed as far back as 1998, when he travelled with FAERMAN to the United States as they had become friends following the previous contract between SBM and Petrobras (relating to FPSO II).

The fact that these sums were paid outside Brazil was never declared to the relevant Brazilian federal authorities by FAERMAN, BARUSCO or CARNEIRO.

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.

1.3Leasing and operation of FPSO Brasil

The companies SBM Systems lnc., SBM Operações LTDA and SBM do BRASIL LTDA took part on behalf of SBM.

The contracts signed were BDC .1912014012, BDC .1912015015 and 2200.0061864.10.2 (relating, respectively, to leasing, operation and discharge period), as well as amendments.⁴²

The contractual term was 11.3 years, as from 07/12/2002, the date of acceptance of the FPSO by Petrobras.

The total value of the contracts was US$ 786,454,708.39.

JULIO FAERMAN took part in the contracting process as representative of SBM, through FAERCOM, and signed the contracts as a witness. He agreed with SBM on commissions at the rate of 3%, receiving 1% in Brazil through FAERCOM and 2% in Switzerland in accounts of offshore companies.

From the data made available by FAERMAN, simply between 17/02/2003 and 20/01/2012, he received from SBM in his Jandell and Bien Faire accounts, both at J. Safra in Geneva, more than US$ 11,488,842.00 by way of commissions relating to FPSO Brasil.

ROBERT ZUBIATE played a role in the Petrobras negotiating committee, for example by his letter dated 26/04/2011, dealing with the period for delivery of equipment (doc. 09). DIDIER KELLER, accompanied by FAERMAN and ZUBIATE, had a meeting on 7 and 8 May 2001 with PAULO ROBERTO BUARQUE CARNEIRO, as well as Mauro Coutinho and Carlos Mastrangelo, dealing with negotiations for the FPSO (doc. 10). CARNEIRO was a member of the Negotiating Committee as regards the contract with SBM for this FPSO.⁴³

Petrobras took informal market soundings, but announced a very short period for the submission of tenders, which in the end favored SBM, because of its previous contracts with Petrobras and the presence of its agent in Brazil, to the detriment of MODEC and BLUEWATER.

From the data made available by FAERMAN, simply between 17/02/2003 and 20/01/2012, he received from SBM in his Jandell and Bien Faire accounts, both at J. Safra in Geneva, more than US$ 11,488,842.00 by way of commissions relating to FPSO Brasil.

PEDRO BARUSCO admitted the receipt of improper payments in Switzerland, by means of bank transfers from accounts of offshore companies belonging to FAERMAN, over a period of 11 years,at a rate of US$ 24,000.00 per month, making a total of US$ 3,168,000.00.

PAULO ROBERTO BUARQUE CARNEIRO agreed to receive 0.25% of the total value of this contract, directly from JULIO FAERMAN, paid into bank accounts in Switzerland, in the same manner as the improper payments relating to FPSO II. As the total value of the contracts was US$ 786,454,708.39, the value of the improper payments agreed was more than US$ 1,900,000.00.

The improper payments received directly by PAULO ROBERTO BUARQUE CARNEIRO and PEDRO JOSÉ BARUSCO FILHO (who held an executive post) originated by virtue of their positions as Petrobras employees. The payments were promised and agreed by ROBERT ZUBIATE and JULIO FAERMAN and paid by the latter, on the orders of DIDIER KELLER, so that they could take official steps. ROBERT ZUBIATE also received sums from JULIO FAERMAN in connection with the contracting of this FPSO by Petrobras from SBM, in a similar scheme to that of FPSO II.

In the words of PEDRO JOSÉ BARUSCO FILHO, he “started the FPSO Brasil project in around 2001, but right at the beginning he was diverted to deal with the crisis of the accident and sinking of the P-36 platform, which kept him away from the project for something between 1 (one) and 2 (two) years”; and that “he did not abandon the project in law, but in fact, because the demands of the P-36 work took up all his time, between crisis management on board the vessel Seaway Harrier and subsequent commitments with the investigation, case study and enquiry into this fatal accident; In this case, […] he asked JULIO FAERMAN for a share in the contract relating to FPSO Brasil, on the basis that this contract came as a follow-up to FPSO Espadarte, because the project was commenced by him and concluded by his team, to the extent that the deponent himself was not involved during the period” (statement of 26/11/2014, at 13h30m – doc. 08).

It should be noted that CARNEIRO formed part of this team of BARUSCO on FPSO Brasil, bearing in mind also that “in Naval Engineering, he worked with the manager Pedro Barusco for approximately 10 years”.⁴⁴

The fact that these sums were paid outside Brazil was never declared to the relevant Brazilian federal authorities by FAERMAN, BARUSCO or CARNEIRO.

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.

1.4Leasing and operation of FPSO Marlim Sul

The companies SBM Seatech lnc. and a SBM Serviços S/C Ltda. represented SBM.

The contracts signed were BDC 1912001035 and BDC 1912002038 (for leasing and operation respectively), together with various amendments.⁴⁵

The contractual term was 10 years, as from 13/05/2004, the date of acceptance of the FPSO by Petrobras.

The total value of the contracts was US$ 724,656,280.02.

PAULO ROBERTO BUARQUE CARNEIRO was a member of the Bidding Committee and was present at various meetings, including an initial meeting with SBM on 22 and 23/01/2003 in Rio, with the presence of JULIO FAERMAN (doc. 11), who took a full part in the contracting process, bearing in mind the contract of FAERCOM Energia Ltda with SBM and his specific accreditation to the bidding process (doc. 12).

CARNEIRO took part in the fundamental and decisive phases of the bidding process, such as the formulation of a method for fixing the price by reference to the daily operating rate for the FPSO (doc. 13), which was considered inaccurate, and an analysis of the technical proposals of the bidders. Moreover, he was a member of the Contract Negotiating Committee dealing with SBM on this FPSO.⁴⁶

ROBERT ZUBIATE took part, for example the fixing of SBM prices for the bidding process (doc. 14).

PAULO ROBERTO BUARQUE CARNEIRO agreed to receive 0.25% of the total value of this contract, directly from JULIO FAERMAN, paid into bank accounts in Switzerland, in the same manner as the improper payments relating to FPSO II. As the total value of the contracts was US$ 724.656.280,02, the value of the improper payments agreed was more than US$ 1,800,000.00.

FAERMAN stated that he did not make any payment to BARUSCO with regard to FPSO Marlim Sul, because “BARUSCO told the deponent that he would make every effort to ensure that BW⁴⁷ won the contract against SBM.The deponent believes that BARUSCO was upset with the small percentage of commission received or by the fact that SBM had been winning all the contests of this kind. However, SBM won with the lowest price. As BARUSCO had declared that he was going to act in favor of BW and against SBM, the deponent decided not to pay anything to BARUSCO as regards the FPSO Marlim Sul contract. The relationship of the deponent with BARUSCO was not affected.” (statement of 21/05/2015, 10h30m – doc. 05).

FAERMAN received a 5% commission from this business, 1% in Brazil through FAERCOM and 4% in Switzerland in accounts of offshore companies.

From the data made available by FAERMAN, simply between 14/10/2004 and 22/12/2011, he received from SBM in his Jandell and Bien Faire accounts, both at J. Safra in Geneva, more than US$ 18,146,376.00, by way of commissions relating to FPSO Marlim Sul.

In Switzerland, FAERMAN made improper payments to CARNEIRO, at the rate of 0.25%, following the same scheme as that used with FPSO II.

The improper payments received directly by PAULO ROBERTO BUARQUE CARNEIRO originated by virtue of his position as a Petrobras employee. The payments were promised and agreed by ROBERT ZUBIATE and JULIO FAERMAN and paid by the latter, on the orders of DIDIER KELLER, so that Carneiro could take official steps, in breach of his duty to the company. ROBERT ZUBIATE also received sums from JULIO FAERMAN in connection with the contracting of this FPSO by Petrobras from SBM, in a similar scheme to that of FPSO II and at the same percentages and figures as CARNEIRO.

The fact that these sums were paid outside Brazil was never declared to the relevant Brazilian federal authorities by FAERMAN or CARNEIRO.

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.

1.5Leasing and operation of FPSO Capixaba

The contracts relating to FPSO Capixaba were signed by Petrobras and companies of the SBM group on 25/04/2005, in the form of international invitation to bid 162.8.005.04-7.⁴⁸

The companies SBM Espírito do Mar Inc. and SBM Golfinho Operações Marítimas Ltda. represented SBM.

The contracts signed were 2300.009461.05.2 and 2300.009462.05.2 (for leasing and operation respectively), together with various amendments.⁴⁹

The term of the contract was 16 years from 13/04/2006, the date of acceptance of the FPSO by Petrobras.

The total value of the contracts was US$ 1,746,455,051.90.

PAULO ROBERTO BUARQUE CARNEIRO was a member of the Bidding Committee (doc. 15) and was present at various meetings, including a meeting with SBM on 19/10/2004, with the presence of JULIO FAERMAN (doc. 16), who played a full part in the contracting process.

CARNEIRO took part in the fundamental and decisive phases of the bidding process, such as the formulation of a method for fixing the price by reference to the daily operating rate for the FPSO (doc. 17), which was considered inaccurate, and an analysis of the technical proposals of the bidders. Moreover, he was a member of the Contract Negotiating Committee dealing with SBM on these FPSOs.⁵⁰

FPSO Capixaba was intended to operate in the Golfinho field, in Espírito Santo Basin. Only about three years after the signature of the contracts, there were amendments so that it could operate in the Cachalote field, in Campos Basin, after adaptations were made in Singapore. One of the reasons for the change was its much lower than expected level of performance in the Golfinho field, which shows the inaccuracy of the initial studies. The contract price was amended by more than 250%, far higher than the limit of 25% imposed by Decree 2.745/1998, subparagraph 7.2, letter “b” (Amendment 4 to the leasing contract and Amendment 5 to the operating contract).

ROBERT ZUBIATE played a part before the Bidding Committee by, for example, requesting formal clarification by email (doc. 18) and by requesting a review of the decision which classified all the bidders (doc. 19). This request was submitted to Petrobras by none other than JULIO FAERMAN (doc. 20), who was acting through FAERCOM ENERGIA LTDA (doc. 21).

DIDIER KELLER, in his capacity as President of SBM Espírito do Mar, accredited JULIO FAERMAN and ROBERT ZUBIATE, as well as Jacques Burger, to represent the company in the proceedings (doc. 22).

FAERMAN received a 3.5% commission on this business, 1% in Brazil through FAERCOM and 2.5% in Switzerland in offshore company accounts.

From the data made available by FAERMAN, simply between 10/03/2005 and 27/12/2011, he received from SBM in his Jandell and Bien Faire accounts, (both at J. Safra Bank) and Journey Advisors (Pictet Bank), all of them in Geneva, at least US$ 13,301,291.00, by way of commissions relating to FPSO Capixaba.

During the contractual period, KELLER was succeeded by “TONY” MACE, who in a memorandum dated 22/12/2011 dealing with the receipt of US$ 17,197,512.92 from Petrobras on 17/12/2011, which related to the relocation of FPSO Capixaba, ordered the payment of 5% of this sum, amounting to US$ 859,875.65, to FAERMAN’s Bien Faire, at the J. Safra Bank in Geneva (doc. 23).⁵¹

In this connection, see the passage from the Memorandum:

PAULO ROBERTO BUARQUE CARNEIRO agreed to receive 0.25% of the total value of this contract, from JULIO FAERMAN, paid into bank accounts in Switzerland, in the same manner as the improper payments relating to FPSO II. As the total value of the contracts was US$ 1,746,455,051.90, the value of the improper payments agreed was more than US$ 4,300,000.00. This amount was not paid in full because the contractual term of 16 years started on 13/04/2006. Thus the cycle was not completed involving (i) payments from Petrobras to SBM, (ii) payments from SBM to its sales agent(s), and (iii) improper payments from SBM sales agent(s) to employees of Petrobras.

The improper payments received directly by PAULO ROBERTO BUARQUE CARNEIRO originated by virtue of his position as a Petrobras employee. The payments were promised and agreed by ROBERT ZUBIATE and JULIO FAERMAN and paid by the latter, on the orders of DIDIER KELLER and subsequently by his successor “TONY” MACE, so that Carneiro could take official steps, in breach of his duty to the company. ROBERT ZUBIATE also received sums from JULIO FAERMAN in connection with the contracting of this FPSO by Petrobras from SBM, in a similar scheme to that of FPSO II and at the same percentages and figures as CARNEIRO.

The fact that these sums were paid outside Brazil was never declared to the relevant Brazilian federal authorities by FAERMAN or CARNEIRO.

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.

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