Subpoena

Received KAMALA D. HARRIS Attorney General of California ML 1 5 2014 MARK GEIGER *1 Senior Assistant Attorney General Coast Health Plan NICHOLAS N. PAUL Supervising Deputy Attorney General RITA L. HANSCOM Deputy Attorney General State Bar No. 097958 1455 Frazee Road, Suite 315 San Diego, CA 92108 Telephone: (619) 688-6831 Fax: (619) 688-4200 E-mail: [email protected] Attorneys for State of California STATE OF CALIFORNIA DEPARTMENT OF JUSTICE OFFICE OF THE ATTORNEY GENERAL SUBPOENA TO PRODUCE PAPERS, BOOKS, ACCOUNTS, AND DOCUMENTS (CAL. GOV. CODE SECTION 11181, et seg.) In the Matter of the Investigation of GOLD COAST HEALTH PLAN TO: Tracy McGinley, Clerk of the Board, Ventura County Medi-Cal Managed Care Commission (V ITS AGENT FOR SERVICE OF PROCESS, AND ITS ATTORNEYS: NOTICE: You are served as an individual. You are served as (or on behalf of) the person doing business under the ?ctitious name of x) You are served on behalf of GOLD COAST HEALTH PLAN Pursuant to the powers conferred upon the Attorney General of the State of California as head of the Department of Justice by Article 2, Chapter 2, Part 1, Division 3, Title 2 of the Government Code of California (Cal. Gov. Code 11181 et seq.), and under the written delegation of authority granted to the undersigned to conduct this investigation. tn Prndut?p panprc and YOU ARE HEREBY COMMANDED to produce to Deputy Attorney General Rita L. Hanscom at 1455 Frazee Road, Suite 315, San Diego, CA 92108, on August 11, 2014, before the close of business of 5:00 pm. PST, then and there at times thereafter, as you may be noti?ed, to produce those papers, books, accounts and documents related to the business dealings between GOLD COAST HEALTH PLAN and AFFILIATED COMPUTER SERVICES, INC., which are more fully described herein, and which are in GOLD COAST HEALTH PLAN ?5 custody, possession or control, whether or not the present location of any of the documents designated is in California. If you have any questions, you may contact Rita L. Hanscom at (619) 688-6831. FAILURE TO COMPLY WITH THE COMMANDS OF THIS SUBPOENA WILL SUBJECT YOU TO THE PROCEEDINGS AND PENALTIES PROVIDED BY LAW. Issued under my hand this 14th day of July, 2014. RITA L. HANSCOM Deputy Attorney General To the person served: You are hereby served in the within investigation on behalf of GOLD COAST HEALTH PLAN as a person upon whom a subpoena must be served to effect service upon such corporation(s) under Section 416.10 of the Code of Civil Procedure. 2 tn Arr-mink and GOLD COAST HEALTH PLAN (hereafter IS HEREBY COMIVIANDED to produce at 1455 Frazee Rd., Ste. 315, San Diego, California 92108, on the 11th day of August, 2014, before the close of business at 5:00 pm, then and there at times thereafter, as you may be noti?ed, the following described documents related to the business dealings of GOLD COAST and AFFILIATED COMPUTER SERVICES as more fully described below, which are in the custody, possession or control of GOLD COAST, whether or not the present location of any such document is in the State of California. If you have any questions, you may contact Rita Hanscom at (619) 688-6831. FAILURE TO COMPLY WITH THE REQUIREMENTS OF THIS SUBPOENA WILL SUBJECT YOU TO LIABILITY FOR PROCEEDINGS AND PENALTIES PROVIDED BY LAW. DEFINITIONS The terms and mean: Gold Coast Health Plan and any of its current or former principals, owners, of?cers, directors, shareholders, agents, employees, representatives, accountants, consultants, or attorneys; (ii) any other persons acting or purporting to act on their behalf; any predecessors, successors, subsidiaries, parents, assignees or af?liates of the foregoing; and (iv) as de?ned below. means: Af?liated Computer Services and any of its current or former principals, owners, of?cers, directors, shareholders, agents, employees, representatives, accountants, consultants, or attorneys; (ii) any other persons acting or purporting to act on their behalf; and any predecessors, successors, subsidiaries, parents, assignees or af?liates of the foregoing. means: Ventura County Medi-Cal Managed Care Commission (whether or not additionally titled ?dba Gold Coast Health Plan?) and any of its current or former commissioners, members, principals, of?cers, directors, agents, employees, representatives, accountants, consultants, or attorneys; (ii) any other persons acting or purporting to act on their behalf; and any predecessors, successors, subsidiaries, parents, assignees or af?liates of the foregoing. means California Department of Health Care Services. 3 tn Panel-q Rnnlu: and refer to, without limitation, originals, duplicates, and non-identical copies of ?writings? as de?ned in Evidence Code section 250, et seq. For purposes of illustration only, ?document? includes: any written, printed, electronically generated/retained or recorded material or electronic data of writings of every kind and description that are ?xed on any tangible thing, including but not limited to typed or handwritten papers; books; drafts; reports; letters; envelopes; post-its; electronic mail; telephone messages; voice mail; appointment calendars; address lists; drawings; photographs; correspondence; marketing materials; business cards; sales pitch books; newspaper clippings; memoranda; notes; agenda of meetings; summaries; outlines; calendars; diaries; transcripts or notes of telephone conversations, meetings or interviews; tape recordings; drafts of agreements and contracts; agreements; contracts; supplements, amendments and modi?cations of contracts; ?les; results of investigations; court papers; bank records; minutes; accounting work papers and reports; ledgers; business records; ?nancial reports; ?nancial statements; facsimile transmissions; invoices; charts; graphs; directories; ?le folders, ?le tabs and labels appended to or containing any documents; logs; and transcriptions. Without limiting the generality of the above and for purposes of illustration only, a tangible thing on which documents may be ?xed includes, but is not limited to, paper; audio tapes or cassettes; phonographic media; photographic media (including but not limited to prints, ?lms, slides, videos, micro?lm, and digitally recorded photographs); computer media (including but not limited to hard disks, ?oppy disks, compact disks and magnetic tapes of any kind); and optical media. means every disclosure, transfer, exchange, or transmission of information, whether oral, written, or electronic, and whether face to face, by telecommunications, computer, mail, telecopier, facsimile machine, or otherwise. means any verbal or written agreement, contract or memorandum of understanding, including any attaclunents or amendments thereto. ?Any? and ?each? should be understood to include and encompass ?all.? ?And? and ?or? should be understood as interchangeable. 4 tn Produce Panprs Arommtq and ALAN INSTRUCTIONS For the purposes of this subpoena, the following instructions shall apply: Unless otherwise indicated, the time period covered by this subpoena is from January 1, 2010 up to ?ve days before YOUR full compliance with this subpoena. Any documents relating to this time period are to be produced, regardless of whether the documents came into existence before or during this period. At the date, time and location for production of the documents requested, YOU should provide a declaration or af?davit. It should state that a diligent search for all requested documents has been conducted and that the af?ant or declarant was in charge of the search or otherwise monitored and reviewed the search suf?ciently to be able to represent under oath that such a search was conducted. It should identify or incorporate by reference attachments or other information required by the de?nitions, and state that all such information about the documents has been provided. It should be signed under oath by the person most knowledgeable about the documents and YOUR efforts to comply with the subpoena. If different people are the most knowledgeable about portions of the search one person is most knowledgeable about documents contained in computer media and a different person is most knowledge about documents contained on paper) each should sign an af?davit or declaration identifying the numbered requests for documents for which that person is the most knowledgeable. Unless otherwise indicated, for any document stored in a computer, including all electronic mail messages, YOU should produce the document in the original electronic ?le format in which it was created Microsoft email should be provided in its original format, which would have the .pst suf?x, not in a tif ?le; spreadsheets should be in their original ?le form, such as an Excel ?le and word-processed documents should be in their original ?le format, such as a Word or WordPerfect together with instructions and all other materials necessary to use or interpret the data. Electronic mail messages should be provided, even if only available on backup or archive tapes or disks. Computer media should be accompanied by an identi?cation of the generally available software needed to open and view the documents or a c0py of the software needed to open and view the document. Note, however, that if a print-out from a computer 5 in-snnono tn Dana-re car-r] nnr-nmnn'l-cv document is a non-identical copy of the electronic form in which it was created (non-identical as described in the de?nition of ?Document,? by way of example, but not limitation, because it has a signature, handwritten notation, or other mark or attachment not included in the computer document), both the electronic form in which the document was created and the original print-out should be produced. For each document contained in an audio or video medium, YOU should provide both the tape, disk or other device from which the audio or video can be played and the transcript of the document. Unless otherwise indicated, for each document, other than those stored in a computer medium, YOU should produce the original as de?ned in Evidence Code section 255, except that YOU may submit photocopies on white paper (color photocopies if the original was in color) in lieu of original documents, provided that such copies are accompanied by an af?davit of an of?cer of LCF stating that the copies are true, correct and complete copies of the original documents. If there is in YOUR possession, custody or control no original, but only a copy or photographic record thereof, then YOU should produce a true and legible copy of each such document. If a document is responsive to this subpoena and is in YOUR control, but is not in YOUR possession or custody, in addition to obtaining and producing the document, identify the person who had possession or custody of the document, their telephone number and current business and residence addresses. If any document subpoenaed is no longer in YOUR possession, custody, control or care, YOU should provide a written statement identifying the document with Speci?city, stating whether it is lost or missing, has been destroyed, has been transferred to others, or has otherwise been disposed of. The written statement should also identify the person who disposed of the document, explain the circumstances and authorization for the disposition and the approximate date of the disposition of the document. If there are no documents responsive to a document request, as to each such document request, YOU should include a statement to that effect in the accompanying declaration or af?davit. 6 tn prndurp Danprc Am?mmfc and Document: All documents requested to be produced in this subpoena should be brought before the Department of Justice at the time and place speci?ed above, including any documents with respect to which YOU intend to assert any privilege. YOU may then and there assert the privilege before the Department of Justice and withhold the Speci?c documents involved pending determination by the superior court of a petition ?led by the Attorney General seeking production of the documents to which YOU claim the privilege, or YOU may waive YOUR privilege and release the documents to the Department of Justice. If any data bases or spreadsheets contain certain ?elds which YOU claim are privileged, YOU should also bring before the Department of Justice at the time and place speci?ed a copy of the data base or spreadsheet in which the ?elds claimed privileged have been made inaccessible. If such removal ?'om access to those ?elds would cause information in the other ?elds in the data base or spread sheet to become un?linked or otherwise affect the ability to access information in the remaining ?elds, YOU should insert a ?eld with identi?cation numbers or codes suf?cient to maintain all links and to allow all information in the remaining ?elds to be accessed as easily as if the original ?eld had not been made inaccessible. If YOU assert a privilege to portions of any paper documents, YOU should at the time and place speci?ed bring before the Department of Justice a copy redacted according to YOUR asserted privileges. Documents provided should be complete and, unless privileged, un-redacted, submitted as found in YOUR ?les documents that in their original condition were stapled, clipped, attached as a ?post?it,? or otherwise fastened together shall be produced in the same form). Each document produced pursuant to this subpoena should be identi?ed according to the numbered request in the subpoena to which it is responsive. In lieu of indicating on each document the request to which it is responsive, on the date set for production, YOU may instead provide an index if YOU provide it in both paper and in electronic form (such as a computerized spread sheet in Excel or a Word or WordPerfect document set up in a table format) of all documents YOU produce, as long as this index shows by document control number the request(s) to which each document or group of documents is responsive. Responsive documents from each person?s ?les should be produced together, in one box or in consecutive boxes, or on one disk or 7 tn Prnrim'r-I Panerq Ar?r?mqu and consecutive disks. Mark each page of a paper document and each tangible thing containing audio, video, computer or other electronic documents cassette, disk, tape or CD) with corporate identi?cation and consecutive document control numbers LCF 00001, LCF CD 001, LCF audio tape 001). Number each box of documents produced and mark each with the name(s) of the person(s) whose ?les are contained therein, the requests(s) to which they are responsive, and the document control numbers contained therein. For data produced in spreadsheets or tables, include in the declaration or af?davit the identi?cation of the ?elds and codes and a description of the information contained in each coded ?eld. The document requests contained in this subpoena should be deemed to include a request for all relevant documents in the personal ?les, including but not limited to ?les contained on laptops, palm devices, home computers and home ?les of all YOUR of?cers, employees, accountants, agents and representatives, including sales agents who are independent contractors, and unless privileged, attorneys. If any documents are withheld from production based on a claim of privilege, provide a log under oath by the af?ant or declarant, that includes each document?s authors, addressees, date, a description of each document, all recipients of the original and any copies, and the request(s) of this subpoena to which the document is responsive. Attachments to a document should be identi?ed as such and entered separately on the log. For each author, addressee, and recipient, state the person?s full name, title, and employer or ?rm, and denote all attorneys with an asterisk. To the extent the claim of privilege relates to any employee, agent, representative, or outside attorney, identify the person?s name, division, and organization. Include the number of pages of each document and in the description of the document, provide suf?cient information to identify its general subject matter without revealing information over which a privilege is claimed. For each document withheld under a claim that it constitutes or contains attorney work product, also state whether YOU assert that the document was prepared in anticipation of litigation or for trial and, if so, identify the anticipated litigation or trial on which the assertion is based. Submit all non-privileged portions of any responsive document (including non-privileged or redactable 8 thnnena tn Prnrian Pans-rt: and attachments) for which a claim of privilege is asserted (except where the only non-privileged information has already been produced in response to this instruction), noting where redactions in the document have been made. Whenever necessary to bring within the scope of this subpoena documents that might otherwise be construed as outside its scope: the use of the verb in any tense shall be construed as the use of that verb in all other tenses; the use of a word in its singular form shall be deemed to include within its use the plural form as well; and the use of the word in its plural form shall be deemed to include within its use the singular form as well. DOCUMENTS SUBPOENAED 1. All contracts, all DOCUMENTS and COMMUNICATIONS RELATING TO any contract, contract amendment, task order, agreement, including attachments or exhibits, between YOU and ACS between January 1, 2010 and the present. 2. All DOCUMENTS and COMMUNICATIONS RELATING TO the ?Implementation Payment? referred to in the Task Order #1 Section 2.8 as part of the Master Work Agreement FINAL 6-17-2010. Types of documents responsive to this request may include: a. The initial communication proposing the implementation payment by ACS, b. Subsequent communications RELATING TO terms of payment, characterization of the payment, repayment, c. Transmittal documents, checks, receipts, acknowledgment of receiving payment from ACS, d. All DOCUMENTS and COMMUNICATIONS recording the use of any payments received from ACS, e. All DOCUMENTS and COMMUNICATIONS indicating the total amount of money received from ACS, f. The ?nalized Project Plan and RTM referred to as Attachment in ACS- 9 tn pilan Ranks and AWN Task Order #1 Section 2.1 of the Master Work Agreement FINAL 6-17- 2010. All DOCUMENTS and COMMUNICATIONS RELATING TO anticipated future repayment by YOU to ACS. All DOCUMENTS and COMMUNICATIONS RELATING TO anticipated future contracts between YOU and ACS. All DOCUMENTS and COMIMUNICATIONS between YOU and DHCS RELATING TO any monetary payment YOU received from ACS. All DOCUMENTS and COMMUNICATIONS between YOU and RELATING TO any monetary payment YOU received from ACS. All DOCUMENTS and COMMUNICATIONS RELATING TO any payments not included in Interrogatory 2 above, made by ACS to YOU between January 1, 2010 and the present. This request includes, but is not limited to, email, correspondence, notes, bank statements, deposit records, ledgers, statements of accounts, expense reports, and reimbursement records. 4. All DOCUMENTS and COMMUNICATIONS RELATING TO any loans, letters of credit, notes, bonds, certi?cates, mortgages, leases or other debt instruments made to, including repayment by, YOU for the time period January 1, 2010 to present. 5. All DOCUMENTS and COMMUNICATIONS RELATING TO any request for proposals (RFPs) or bid process prepared by YOU involving any contract with ACS. Types of documents responsive to this request may include: a. Correspondence, memos, emails, directives or instructions outlining any requirement to prepare RFPs for administrative services to be provided to YOU. Correspondence, memos, emails, directives or instructions outlining the content of a RFP for administrative services to be provided to YOU. The published RFP for administrative services to be provided to YOU. Correspondence, memos, emails, or other documents generated by YOU or received from ACS as a result of the RFP, including the responsive bid or inquiries about the 10 in'mnE-nn tn Pane-rs Ranks and Dar-"merits bidding process. 6. All ACS reports RELATING TO YOUR claims receivable aging or claims aging for the time period July 1, 2011 to present. 7. All ACS reports RELATING TO YOUR claims receivables or accounts receivables for the time period July 1, 2011 to present. 8. All YOUR bank statements for the time period July 1, 2011 to present. 9. All checks issued from YOU to Earl Greenia, Darlane ohnsen, and Terri Stanley. 10. All independent audit reports of YOU. 10. All statements from all credit cards paid by YOU. 11. All YOUR ?nancial statements or other ?nancial representations made by YOU provided to 12. YOUR bylaws and any other guidelines or policies which specify when YOU must seek approval from 13. YOUR current, and any prior, organizational charts. 14. All bank statements or other ?nancial DOCUMENTS which re?ect receipt of ?mds from ACS and/or re?ect transfer of payments to GOLD COAST HEALTH PLAN from ACS. Dated: July 14, 2014 Respectfully submitted, KAMALA D. HARRIS Attorney General of California RITA L. HANSCOM Deputy Attorney General Attorneys for State of California 11 tn PanPrs Arommtc and DECLARATION OF SERVICE BY OVERNIGHT COURIER RE: Gold Coast Health Plan No.: OAH No. 2012080548 I declare: I am employed in the Of?ce of the Attorney General, which is the of?ce of a member of the California State Bar, at which member?s direction this service is made. I am 18 years of age or older and not a party to this matter; my business address is: 11455 Frazee Road, Suite 315, San Diego, CA 92108. On July 14, 2014, I served the attached SUBPOENA TO PRODUCE PAPERS, BOOKS, ACCOUNTS, AND DOCUNIENTS (CAL. GOV. CODE SECTION 11181, et seq.) by placing a true copy thereof enclosed in a sealed envelope with Federal Express, addressed as follows: TRACI R. MCGINLEY Gold Coast Health Plan 711 East Daily Drive, Suite 106 Camarillo, CA 93010 I declare under penalty of perjury under the laws of the State of California the foregoing is true and correct and that this declaration was executed on July 14, 2014, at San Diego, California. Rachel Chang; Declarant SignaturU LA2012109057 32027210 doc