1016-00009 · Dunmore Energy Holdings · Subpoena Response & DOJ Correspondence

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CONFIDENTIAL — SUBJECT TO FED. R. CRIM. P. 6(e)

CALDERWOOD & HARKNESS LLP Counselors at Law

1750 Pennsylvania Avenue NW, Suite 800 Washington, DC 20006

Telephone: (202) 555-7400 Facsimile: (202) 555-7401 www.calderwoodharkness.com

NEW YORK — 450 Lexington Avenue, 38th Floor, New York, NY 10017 HOUSTON — LONDON — DUBAI

Victoria Chambers Partner, White Collar & Investigations Direct Dial: (202) 555-7438 vchambers@calderwoodharkness.com

January 30, 2023

VIA HAND DELIVERY AND ELECTRONIC TRANSMISSION

Meredith Calloway, Esq. Assistant United States Attorney National Security Division Counterintelligence and Export Control Section U.S. Department of Justice 950 Pennsylvania Avenue NW Washington, DC 20530

Re: United States v. Grand Jury Investigation No. 22-418; Document Production on Behalf of Dunmore Energy Holdings Ltd. — Second Tranche

Matter No.: 1016-00009

cc: Samuel Kovacs, Trial Attorney, Counterintelligence and Export Control Section, DOJ Diana Pressman, Trial Attorney, Counterintelligence and Export Control Section, DOJ

Dear Ms. Calloway:

I. Purpose of This Letter and Reference to the Grand Jury Subpoena

We write on behalf of our client, Dunmore Energy Holdings Ltd. ("Dunmore" or "DEH"), an exempted company incorporated with limited liability under the laws of the Cayman Islands, with its registered office located at Harbour Place, 4th Floor, 103 South Church Street, George Town, Grand Cayman KY1-1002, and its operational headquarters at 1200 McKinney Street, Suite 3400, Houston, Texas 77010. This letter accompanies the second rolling production of documents by Dunmore in response to the grand jury subpoena bearing Grand Jury No. 22-418 (the "Subpoena"), issued by the United States District Court for the District of Columbia, Grand Jury 22-2, dated April 19, 2022.

As you are aware, the original return date for the Subpoena was May 19, 2022. By mutual agreement of the parties, the return date was subsequently extended to July 19, 2022 to allow adequate time for the identification, collection, and processing of documents responsive to the Subpoena's broad scope, which encompasses multiple Dunmore entities, custodians, and jurisdictions. The rolling production protocol under which this production is being made was memorialized in Calderwood & Harkness's letter to you dated July 10, 2022 (the "Production Protocol Letter"), which established, among other things, the format, sequencing, and technical specifications governing document productions in this matter. This second production is made in accordance with that protocol and in furtherance of Dunmore's commitment to cooperate fully with the investigation being conducted by the National Security Division's Counterintelligence and Export Control Section ("CES").

The first tranche of documents responsive to the Subpoena was transmitted to your office on November 1, 2022, and was the subject of our cover letter of the same date. The present letter accompanies the second and, at this time, final anticipated tranche of responsive documents.

II. Description of the Second Production

This second tranche consists of 151,504 documents, Bates-stamped DEH-DOJ-287413 through DEH-DOJ-438916. Taken together with the first tranche of 287,412 documents (Bates DEH-DOJ-000001 through DEH-DOJ-287412) produced on November 1, 2022, this second tranche brings the cumulative production total to 438,916 documents.

Consistent with the Production Protocol Letter and the technical specifications agreed upon by the parties, the documents comprising this second tranche are produced in both native format and TIFF image format, as applicable to the particular document type. The production is delivered on encrypted media, and the encryption keys are being transmitted separately to your office by secure electronic communication, in accordance with the protocol previously established. The documents were collected, processed, and reviewed using technology-assisted review ("TAR") workflows by Nexagen Analytics Inc. ("Nexagen"), Calderwood & Harkness's e-discovery vendor, under Project No. NX-DEH-2204. The Nexagen engagement has been supervised throughout by Thomas Bradshaw, Senior Paralegal and e-discovery Lead at Calderwood & Harkness, who is available to address any technical questions regarding the production format, load files, Bates-stamping conventions, or media specifications.

The accompanying production index and load file (Enclosure 3) provide a complete listing of the documents produced in this tranche, including Bates ranges, custodian designations, document types, and native file metadata where available.

III. Scope of the Second Production

A. Subpoena Categories

The documents included in this second tranche are responsive to the six categories of documents identified in the Subpoena, as follows:

(a) Documents related to Petronova Trading FZE, located at Office 1407, Al Shafar Tower, Dubai Internet City, Dubai, United Arab Emirates, including but not limited to correspondence, transaction records, invoices, contracts, and internal communications referencing or involving Petronova Trading FZE or any of its known affiliates, agents, or representatives;

(b) Documents related to Volkhov Industrial Group JSC, located at 12 Kutuzovsky Prospekt, Moscow 121248, Russian Federation, including corporate records, joint venture agreements, procurement documentation, and any communications between Dunmore personnel and representatives of Volkhov Industrial Group JSC;

(c) Documents related to Zenith Petroleum DMCC, located at Unit 2201, Jumeirah Bay Tower X2, Cluster X, Jumeirah Lakes Towers, Dubai, United Arab Emirates, including trading records, settlement documentation, broker correspondence, and counterparty due diligence materials;

(d) Documents related to Caspian Logistik GmbH, located at Mönckebergstraße 22, 20095 Hamburg, Germany, including freight and logistics agreements, bills of lading, customs declarations, shipping manifests, and related internal and external communications;

(e) Documents related to transactions involving Russian-origin crude oil or refined petroleum products, including purchase and sale agreements, letters of credit, certificates of origin, blending documentation, vessel tracking records, and any internal analyses or communications regarding the sourcing, pricing, or disposition of Russian-origin hydrocarbons; and

(f) Documents related to exports of oilfield equipment or components to Russia, Belarus, or to entities appearing on the OFAC Specially Designated Nationals and blocked Persons List ("SDN List"), the Bureau of Industry and Security's Entity List, or the Denied Persons List, including export license applications, end-user certificates, Export Control Classification Numbers, shipping records, and internal compliance screening records.

B. Custodians and Data Sources

The documents produced in this second tranche were collected from custodians and data sources across multiple Dunmore entities and jurisdictions, including the following entities:

(i) Dunmore Trading International Ltd. ("DTI"), a company licensed in the Dubai International Financial Centre, located at Level 14, Gate Building 3, Dubai International Financial Centre, P.O. Box 506774, Dubai, United Arab Emirates (DIFC License No. CL-4827);

(ii) Dunmore upstream Americas LLC, a Delaware limited liability company with principal offices at 1200 McKinney Street, Suite 3400, Houston, Texas 77010 (EIN 84-2937561);

(iii) Dunmore Renewables GmbH, a German limited liability company with offices at Überseeallee 12, 20457 Hamburg, Germany;

(iv) Dunmore Exploration West Africa Ltd., a Nigerian incorporated entity with offices at 14B Kofo Abayomi Street, Victoria Island, Lagos, Nigeria; and

(v) Dunmore Energy Holdings Ltd., at both its Cayman Islands registered office and its Houston, Texas operational headquarters.

C. Additional Custodians

This second tranche incorporates documents from additional custodians who were identified during the second round of witness interviews conducted between August 5 and September 30, 2022. During that period, Calderwood & Harkness conducted fifteen (15) interviews of current and former Dunmore employees and officers, which yielded information directing counsel to additional data sources and custodial files not encompassed in the initial collection scope.

In particular, this tranche includes materials collected from the files and electronic accounts of the following individuals who departed Dunmore during the course of or in proximity to the investigation:

• Gerald Fisk, former Chief Compliance Officer of Dunmore Energy Holdings Ltd. Mr. Fisk departed the company on June 10, 2022. His files include internal compliance memoranda, OFAC screening records, audit reports, and correspondence with outside counsel regarding sanctions compliance matters.

• Natasha Sorokin, former Senior Trader at Dunmore Trading International Ltd. Ms. Sorokin separated from the company on September 15, 2022. Her files include trade blotters, counterparty correspondence, transaction documentation relating to Petronova Trading FZE and Zenith Petroleum DMCC, and internal instant messaging communications.

• Derek Hargrave, former President of Dunmore Trading International Ltd. Mr. Hargrave separated from the company on October 1, 2022. His files include executive correspondence, board presentation materials, strategic planning documents, and communications with Volkhov Industrial Group JSC representatives.

Dunmore undertook affirmative steps to preserve and collect the documents and electronic data of each of the above-referenced former employees in accordance with its litigation hold obligations and the preservation protocols established in connection with this matter. Where departing custodians maintained company-issued devices, those devices were imaged and forensically preserved by Nexagen prior to decommissioning.

D. Additional Document Categories

In addition to the custodial files described above, this second tranche includes the following categories of documents that were specifically identified during the course of Calderwood & Harkness's internal investigation and the witness interview process:

• Trade finance records from Crescent Commercial Bank PJSC, located at Al Maktoum Tower, DIFC, P.O. Box 335102, Dubai, United Arab Emirates, including letters of credit, bank guarantees, SWIFT messaging records, trade settlement confirmations, and related banking correspondence pertinent to Dunmore Trading International Ltd.'s commodity trading operations;

• Financial records from the files of Rajesh Malhotra, Controller of Dunmore Energy Holdings Ltd., including general ledger entries, intercompany transfer documentation, accounts payable and receivable records, and internal financial reports relating to transactions responsive to the Subpoena; and

• Logistics and shipping documentation related to shipments coordinated by or through Caspian Logistik GmbH, collected from the files of Yves Leclerc, Director of Logistics & Shipping at Dunmore Trading International Ltd., including bills of lading, vessel charter party agreements, customs clearance documentation, port authority filings, and related internal correspondence.

IV. Document Collection and Review Summary

We provide below a summary of the overall e-discovery effort in this matter as of the date of this letter:

We confirm that all responsive, non-privileged documents identified through the TAR and manual review process have now been produced across the two tranches described above. As of the date of this letter, Dunmore does not anticipate additional productions of documents responsive to the Subpoena at this time, subject to any subsequent requests by your office, any further directives of the Court, or the identification of additional relevant materials in the ordinary course of Dunmore's ongoing internal investigation or business operations.

Notwithstanding the foregoing, Dunmore expressly reserves the right to supplement or correct this production should additional responsive documents be identified, including documents that may come to light through future witness interviews, forensic accounting analyses, or other investigative activities. In the event that supplemental productions become necessary, we will promptly notify your office and produce such documents in accordance with the established Production Protocol.

V. Privilege Withholdings

Accompanying this production is a Supplemental Privilege Log (Enclosure 2), which identifies the documents withheld from this second tranche on the basis of the attorney-client privilege and/or the work product doctrine. The Supplemental Privilege Log has been prepared in accordance with the privilege log protocol agreed upon by the parties and includes the following information for each withheld document: Bates number, document date, author, recipient(s), privilege basis asserted (attorney-client privilege, work product doctrine, or both), and a brief description of the nature and subject matter of the document sufficient to permit evaluation of the privilege claim.

Across both productions, the total number of documents withheld on the basis of privilege is 12,847. The privilege log accompanying the first production (dated November 1, 2022) addressed the initial set of privilege withholdings, and the Supplemental Privilege Log accompanying this second production addresses the additional privilege withholdings applicable to this tranche. Together, these two privilege logs constitute a comprehensive accounting of all documents withheld from the cumulative production on privilege grounds.

Dunmore reserves all rights with respect to the assertion of attorney-client privilege and work product protection, including but not limited to the right to assert privilege over any documents that may have been inadvertently produced without an intent to waive any applicable privilege. In this regard, we reference the clawback protocol agreed upon by the parties, as memorialized in the Production Protocol Letter dated July 10, 2022, and incorporated by reference herein. Pursuant to that protocol, the inadvertent production of any privileged or work-product-protected document shall not constitute a waiver of any privilege or protection, and any such document shall be promptly returned, sequestered, or destroyed upon notification, in accordance with Federal Rule of Evidence 502(d) and the terms of the parties' agreement.

VI. Cooperation and Ongoing Investigation

Dunmore reaffirms its commitment to full and continuing cooperation with the investigation being conducted by the National Security Division's Counterintelligence and Export Control Section. From the outset of this matter, Dunmore has sought to be transparent and proactive in its engagement with your office, and it intends to maintain that posture going forward.

A. Ongoing Internal Investigation

Calderwood & Harkness's internal investigation on behalf of Dunmore remains ongoing. The principal remaining investigative workstreams are as follows:

Witness Interviews. A third round of witness interviews is scheduled for the period of February 15 through March 15, 2023. This round will encompass approximately ten (10) additional interviews, including re-interviews of certain individuals who were previously interviewed during the first and second rounds and newly identified witnesses whose potential relevance became apparent during document review and the forensic accounting analysis. The identities of the interviewees for this third round will be communicated to your office in advance, consistent with our prior practice.

Forensic Accounting Analysis. Calderwood & Harkness engaged Ridgeline Advisory Group LLC ("Ridgeline"), under Engagement No. RAG-2022-0319, to conduct a comprehensive forensic accounting analysis of Dunmore's commodity trading transactions, intercompany fund flows, and financial controls relevant to the matters under investigation. The Ridgeline engagement is led by Dr. Margaret Liu, CPA, CFE, a principal of the firm with extensive experience in sanctions-related forensic investigations. The forensic accounting analysis is ongoing, and the final forensic report is expected to be completed by April 1, 2023. Upon completion, Calderwood & Harkness will arrange to present the findings to your office in the form of a detailed proffer.

B. Prior Proffers

As your office is aware, Calderwood & Harkness provided an initial proffer to you on July 15, 2022, which outlined the factual and organizational background of Dunmore's relevant operations and described the scope and methodology of the internal investigation. A supplemental proffer was provided on November 20, 2022, which summarized preliminary forensic findings, including the identification of certain transaction patterns and fund flows warranting further analysis. Calderwood & Harkness anticipates providing additional proffers to your office as the investigation progresses and ultimately intends to deliver a comprehensive internal investigation report upon the completion of all investigative workstreams.

C. Compliance Remediation

In addition to the investigative activities described above, Dunmore has taken affirmative steps to enhance its sanctions and export controls compliance infrastructure. On December 15, 2022, Dunmore retained Pemberton Investors Solutions LLC ("Marlowe Asset Management"), led by Dr. Anton Bremer, a recognized expert in international trade compliance and sanctions program design, to develop and implement an enhanced sanctions and export controls compliance remediation program. The engagement encompasses a gap analysis of Dunmore's existing compliance framework, the design of enhanced policies, procedures, and internal controls, the implementation of automated screening and transaction monitoring tools, and the development of a comprehensive training curriculum for Dunmore personnel across all relevant business units and jurisdictions. Remediation workstreams are currently underway, and Dunmore intends to provide your office with periodic updates on the status and progress of the remediation program.

VII. Points of Contact

For purposes of all communications related to this production and the ongoing investigation, the following individuals at Calderwood & Harkness LLP are designated as points of contact:

Primary Contact: Victoria Chambers, Partner Calderwood & Harkness LLP 1750 Pennsylvania Avenue NW, Suite 800 Washington, DC 20006 Telephone: (202) 555-7438

Email: vchambers@calderwoodharkness.com

Day-to-Day Production Contact: Jasmine Thornton, Lead Associate Calderwood & Harkness LLP 1750 Pennsylvania Avenue NW, Suite 800 Washington, DC 20006 Telephone: (202) 555-7452

Email: jthornton@calderwoodharkness.com

Sanctions and Export Controls Substantive Contact: Conrad Reeves, Senior Counsel (Export Controls & Sanctions) Calderwood & Harkness LLP 1750 Pennsylvania Avenue NW, Suite 800 Washington, DC 20006 Telephone: (202) 555-7461

Email: creeves@calderwoodharkness.com

Technical / E-discovery Contact: Thomas Bradshaw, Senior Paralegal & e-discovery Lead Calderwood & Harkness LLP 1750 Pennsylvania Avenue NW, Suite 800 Washington, DC 20006 Telephone: (202) 555-7479

Email: tbradshaw@calderwoodharkness.com

We respectfully request that all communications from the Department of Justice concerning this production be directed to the undersigned, with copies to Ms. Thornton and Mr. Reeves as appropriate.

VIII. Reservation of Rights

This production is made subject to the following express reservations:

(a) Dunmore does not waive, and expressly reserves, any and all objections it may have to the scope, breadth, or burden of the Subpoena, including but not limited to objections based on relevance, proportionality, undue burden, extraterritorial application, foreign data privacy and blocking statutes, and any other applicable grounds. The production of documents in response to the Subpoena shall not be construed as a concession that all documents produced are relevant to the matters under investigation or that the Subpoena's scope is reasonable or appropriate in all respects.

(b) This production is made without prejudice to any and all rights, defenses, privileges, immunities, or objections that Dunmore or any of its subsidiaries, affiliates, officers, directors, employees, or agents may have in connection with this matter, any related proceeding, or any other matter, whether arising under the Constitution of the United States, federal statutes, the Federal Rules of Criminal Procedure, the Federal Rules of Evidence, or any other applicable law or rule.

(c) The documents produced herein are subject to the confidentiality protections agreed upon by the parties, as set forth in the Production Protocol Letter dated July 10, 2022, and any applicable orders of the Court. Dunmore reserves all rights to seek additional protective measures as circumstances may warrant.

(d) Nothing in this production, or in any communication or proffer made by Calderwood & Harkness on behalf of Dunmore in connection with this matter, shall be construed as an admission of liability, wrongdoing, or violation of any law, regulation, executive order, or directive by Dunmore Energy Holdings Ltd. or any of its subsidiaries, affiliates, officers, directors, employees, or agents. Dunmore expressly denies any such wrongdoing and reserves all rights to contest any allegations that may be asserted.

We trust that the foregoing provides a comprehensive description of the second production and the current status of Calderwood & Harkness's internal investigation on behalf of Dunmore. We remain available at your convenience to discuss any questions regarding this production, the accompanying privilege log, or any aspect of the ongoing investigation. Please do not hesitate to contact me directly at (202) 555-7438 should you wish to arrange a meeting or conference call to address any matters arising from this submission.

We appreciate the professionalism and courtesy that you and your colleagues have extended throughout this process, and we look forward to continuing to work with your office in a spirit of cooperation.

Respectfully submitted,

CALDERWOOD & HARKNESS LLP

By: ________

Victoria Chambers Partner, White Collar & Investigations

1750 Pennsylvania Avenue NW, Suite 800 Washington, DC 20006 Telephone: (202) 555-7438

Email: vchambers@calderwoodharkness.com

cc (via electronic transmission):

Samuel Kovacs, Trial Attorney, Counterintelligence and Export Control Section, U.S. Department of Justice Diana Pressman, Trial Attorney, Counterintelligence and Export Control Section, U.S. Department of Justice Marcus Wellbourne, General Counsel, Dunmore Energy Holdings Ltd. Howard Quinn, Billing Partner, Calderwood & Harkness LLP

Enclosures:

1. Encrypted media containing 151,504 documents (Bates DEH-DOJ-287413 through DEH-DOJ-438916), with separately transmitted encryption keys

2. Supplemental Privilege Log — Second Production (January 30, 2023)

3. Production Index and Load File (Second Production)

CONFIDENTIAL — SUBJECT TO FED. R. CRIM. P. 6(e) Calderwood & Harkness LLP — Matter No. 1016-00009

Metric	Total
Total documents collected across six jurisdictions (Cayman Islands, UAE, USA, Germany, Nigeria, UK)	2,347,812
Technology-assisted review (TAR) completed by Nexagen Analytics Inc.	October 15, 2022
Total documents deemed responsive to the Subpoena	438,916
Total documents withheld on the basis of privilege	12,847
Total documents produced — First Tranche (November 1, 2022)	287,412
Total documents produced — Second Tranche (January 30, 2023)	151,504
Cumulative documents produced	438,916

CONFIDENTIAL — SUBJECT TO FED. R. CRIM. P. 6(e)
CALDERWOOD & HARKNESS LLP Counselors at Law
1750 Pennsylvania Avenue NW, Suite 800 Washington, DC 20006
Telephone: (202) 555-7400 Facsimile: (202) 555-7401 www.calderwoodharkness.com
NEW YORK — 450 Lexington Avenue, 38th Floor, New York, NY 10017 HOUSTON — LONDON — DUBAI
Victoria Chambers Partner, White Collar & Investigations Direct Dial: (202) 555-7438 vchambers@calderwoodharkness.com
January 30, 2023
VIA HAND DELIVERY AND ELECTRONIC TRANSMISSION
Meredith Calloway, Esq. Assistant United States Attorney National Security Division Counterintelligence and Export Control Section U.S. Department of Justice 950 Pennsylvania Avenue NW Washington, DC 20530
Re: United States v. Grand Jury Investigation No. 22-418; Document Production on Behalf of Dunmore Energy Holdings Ltd. — Second Tranche
Matter No.: 1016-00009
cc: Samuel Kovacs, Trial Attorney, Counterintelligence and Export Control Section, DOJ Diana Pressman, Trial Attorney, Counterintelligence and Export Control Section, DOJ
Dear Ms. Calloway:
I. Purpose of This Letter and Reference to the Grand Jury Subpoena
We write on behalf of our client, Dunmore Energy Holdings Ltd. ("Dunmore" or "DEH"), an exempted company incorporated with limited liability under the laws of the Cayman Islands, with its registered office located at Harbour Place, 4th Floor, 103 South Church Street, George Town, Grand Cayman KY1-1002, and its operational headquarters at 1200 McKinney Street, Suite 3400, Houston, Texas 77010. This letter accompanies the second rolling production of documents by Dunmore in response to the grand jury subpoena bearing Grand Jury No. 22-418 (the "Subpoena"), issued by the United States District Court for the District of Columbia, Grand Jury 22-2, dated April 19, 2022.
As you are aware, the original return date for the Subpoena was May 19, 2022. By mutual agreement of the parties, the return date was subsequently extended to July 19, 2022 to allow adequate time for the identification, collection, and processing of documents responsive to the Subpoena's broad scope, which encompasses multiple Dunmore entities, custodians, and jurisdictions. The rolling production protocol under which this production is being made was memorialized in Calderwood & Harkness's letter to you dated July 10, 2022 (the "Production Protocol Letter"), which established, among other things, the format, sequencing, and technical specifications governing document productions in this matter. This second production is made in accordance with that protocol and in furtherance of Dunmore's commitment to cooperate fully with the investigation being conducted by the National Security Division's Counterintelligence and Export Control Section ("CES").
The first tranche of documents responsive to the Subpoena was transmitted to your office on November 1, 2022, and was the subject of our cover letter of the same date. The present letter accompanies the second and, at this time, final anticipated tranche of responsive documents.
II. Description of the Second Production
This second tranche consists of 151,504 documents, Bates-stamped DEH-DOJ-287413 through DEH-DOJ-438916. Taken together with the first tranche of 287,412 documents (Bates DEH-DOJ-000001 through DEH-DOJ-287412) produced on November 1, 2022, this second tranche brings the cumulative production total to 438,916 documents.
Consistent with the Production Protocol Letter and the technical specifications agreed upon by the parties, the documents comprising this second tranche are produced in both native format and TIFF image format, as applicable to the particular document type. The production is delivered on encrypted media, and the encryption keys are being transmitted separately to your office by secure electronic communication, in accordance with the protocol previously established. The documents were collected, processed, and reviewed using technology-assisted review ("TAR") workflows by Nexagen Analytics Inc. ("Nexagen"), Calderwood & Harkness's e-discovery vendor, under Project No. NX-DEH-2204. The Nexagen engagement has been supervised throughout by Thomas Bradshaw, Senior Paralegal and e-discovery Lead at Calderwood & Harkness, who is available to address any technical questions regarding the production format, load files, Bates-stamping conventions, or media specifications.
The accompanying production index and load file (Enclosure 3) provide a complete listing of the documents produced in this tranche, including Bates ranges, custodian designations, document types, and native file metadata where available.
III. Scope of the Second Production
A. Subpoena Categories
The documents included in this second tranche are responsive to the six categories of documents identified in the Subpoena, as follows:
(a) Documents related to Petronova Trading FZE, located at Office 1407, Al Shafar Tower, Dubai Internet City, Dubai, United Arab Emirates, including but not limited to correspondence, transaction records, invoices, contracts, and internal communications referencing or involving Petronova Trading FZE or any of its known affiliates, agents, or representatives;
(b) Documents related to Volkhov Industrial Group JSC, located at 12 Kutuzovsky Prospekt, Moscow 121248, Russian Federation, including corporate records, joint venture agreements, procurement documentation, and any communications between Dunmore personnel and representatives of Volkhov Industrial Group JSC;
(c) Documents related to Zenith Petroleum DMCC, located at Unit 2201, Jumeirah Bay Tower X2, Cluster X, Jumeirah Lakes Towers, Dubai, United Arab Emirates, including trading records, settlement documentation, broker correspondence, and counterparty due diligence materials;
(d) Documents related to Caspian Logistik GmbH, located at Mönckebergstraße 22, 20095 Hamburg, Germany, including freight and logistics agreements, bills of lading, customs declarations, shipping manifests, and related internal and external communications;
(e) Documents related to transactions involving Russian-origin crude oil or refined petroleum products, including purchase and sale agreements, letters of credit, certificates of origin, blending documentation, vessel tracking records, and any internal analyses or communications regarding the sourcing, pricing, or disposition of Russian-origin hydrocarbons; and
(f) Documents related to exports of oilfield equipment or components to Russia, Belarus, or to entities appearing on the OFAC Specially Designated Nationals and blocked Persons List ("SDN List"), the Bureau of Industry and Security's Entity List, or the Denied Persons List, including export license applications, end-user certificates, Export Control Classification Numbers, shipping records, and internal compliance screening records.
B. Custodians and Data Sources
The documents produced in this second tranche were collected from custodians and data sources across multiple Dunmore entities and jurisdictions, including the following entities:
(i) Dunmore Trading International Ltd. ("DTI"), a company licensed in the Dubai International Financial Centre, located at Level 14, Gate Building 3, Dubai International Financial Centre, P.O. Box 506774, Dubai, United Arab Emirates (DIFC License No. CL-4827);
(ii) Dunmore upstream Americas LLC, a Delaware limited liability company with principal offices at 1200 McKinney Street, Suite 3400, Houston, Texas 77010 (EIN 84-2937561);
(iii) Dunmore Renewables GmbH, a German limited liability company with offices at Überseeallee 12, 20457 Hamburg, Germany;
(iv) Dunmore Exploration West Africa Ltd., a Nigerian incorporated entity with offices at 14B Kofo Abayomi Street, Victoria Island, Lagos, Nigeria; and
(v) Dunmore Energy Holdings Ltd., at both its Cayman Islands registered office and its Houston, Texas operational headquarters.
C. Additional Custodians
This second tranche incorporates documents from additional custodians who were identified during the second round of witness interviews conducted between August 5 and September 30, 2022. During that period, Calderwood & Harkness conducted fifteen (15) interviews of current and former Dunmore employees and officers, which yielded information directing counsel to additional data sources and custodial files not encompassed in the initial collection scope.
In particular, this tranche includes materials collected from the files and electronic accounts of the following individuals who departed Dunmore during the course of or in proximity to the investigation:
• Gerald Fisk, former Chief Compliance Officer of Dunmore Energy Holdings Ltd. Mr. Fisk departed the company on June 10, 2022. His files include internal compliance memoranda, OFAC screening records, audit reports, and correspondence with outside counsel regarding sanctions compliance matters.
• Natasha Sorokin, former Senior Trader at Dunmore Trading International Ltd. Ms. Sorokin separated from the company on September 15, 2022. Her files include trade blotters, counterparty correspondence, transaction documentation relating to Petronova Trading FZE and Zenith Petroleum DMCC, and internal instant messaging communications.
• Derek Hargrave, former President of Dunmore Trading International Ltd. Mr. Hargrave separated from the company on October 1, 2022. His files include executive correspondence, board presentation materials, strategic planning documents, and communications with Volkhov Industrial Group JSC representatives.
Dunmore undertook affirmative steps to preserve and collect the documents and electronic data of each of the above-referenced former employees in accordance with its litigation hold obligations and the preservation protocols established in connection with this matter. Where departing custodians maintained company-issued devices, those devices were imaged and forensically preserved by Nexagen prior to decommissioning.
D. Additional Document Categories
In addition to the custodial files described above, this second tranche includes the following categories of documents that were specifically identified during the course of Calderwood & Harkness's internal investigation and the witness interview process:
• Trade finance records from Crescent Commercial Bank PJSC, located at Al Maktoum Tower, DIFC, P.O. Box 335102, Dubai, United Arab Emirates, including letters of credit, bank guarantees, SWIFT messaging records, trade settlement confirmations, and related banking correspondence pertinent to Dunmore Trading International Ltd.'s commodity trading operations;
• Financial records from the files of Rajesh Malhotra, Controller of Dunmore Energy Holdings Ltd., including general ledger entries, intercompany transfer documentation, accounts payable and receivable records, and internal financial reports relating to transactions responsive to the Subpoena; and
• Logistics and shipping documentation related to shipments coordinated by or through Caspian Logistik GmbH, collected from the files of Yves Leclerc, Director of Logistics & Shipping at Dunmore Trading International Ltd., including bills of lading, vessel charter party agreements, customs clearance documentation, port authority filings, and related internal correspondence.
IV. Document Collection and Review Summary
We provide below a summary of the overall e-discovery effort in this matter as of the date of this letter:
We confirm that all responsive, non-privileged documents identified through the TAR and manual review process have now been produced across the two tranches described above. As of the date of this letter, Dunmore does not anticipate additional productions of documents responsive to the Subpoena at this time, subject to any subsequent requests by your office, any further directives of the Court, or the identification of additional relevant materials in the ordinary course of Dunmore's ongoing internal investigation or business operations.
Notwithstanding the foregoing, Dunmore expressly reserves the right to supplement or correct this production should additional responsive documents be identified, including documents that may come to light through future witness interviews, forensic accounting analyses, or other investigative activities. In the event that supplemental productions become necessary, we will promptly notify your office and produce such documents in accordance with the established Production Protocol.
V. Privilege Withholdings
Accompanying this production is a Supplemental Privilege Log (Enclosure 2), which identifies the documents withheld from this second tranche on the basis of the attorney-client privilege and/or the work product doctrine. The Supplemental Privilege Log has been prepared in accordance with the privilege log protocol agreed upon by the parties and includes the following information for each withheld document: Bates number, document date, author, recipient(s), privilege basis asserted (attorney-client privilege, work product doctrine, or both), and a brief description of the nature and subject matter of the document sufficient to permit evaluation of the privilege claim.
Across both productions, the total number of documents withheld on the basis of privilege is 12,847. The privilege log accompanying the first production (dated November 1, 2022) addressed the initial set of privilege withholdings, and the Supplemental Privilege Log accompanying this second production addresses the additional privilege withholdings applicable to this tranche. Together, these two privilege logs constitute a comprehensive accounting of all documents withheld from the cumulative production on privilege grounds.
Dunmore reserves all rights with respect to the assertion of attorney-client privilege and work product protection, including but not limited to the right to assert privilege over any documents that may have been inadvertently produced without an intent to waive any applicable privilege. In this regard, we reference the clawback protocol agreed upon by the parties, as memorialized in the Production Protocol Letter dated July 10, 2022, and incorporated by reference herein. Pursuant to that protocol, the inadvertent production of any privileged or work-product-protected document shall not constitute a waiver of any privilege or protection, and any such document shall be promptly returned, sequestered, or destroyed upon notification, in accordance with Federal Rule of Evidence 502(d) and the terms of the parties' agreement.
VI. Cooperation and Ongoing Investigation
Dunmore reaffirms its commitment to full and continuing cooperation with the investigation being conducted by the National Security Division's Counterintelligence and Export Control Section. From the outset of this matter, Dunmore has sought to be transparent and proactive in its engagement with your office, and it intends to maintain that posture going forward.
A. Ongoing Internal Investigation
Calderwood & Harkness's internal investigation on behalf of Dunmore remains ongoing. The principal remaining investigative workstreams are as follows:
Witness Interviews. A third round of witness interviews is scheduled for the period of February 15 through March 15, 2023. This round will encompass approximately ten (10) additional interviews, including re-interviews of certain individuals who were previously interviewed during the first and second rounds and newly identified witnesses whose potential relevance became apparent during document review and the forensic accounting analysis. The identities of the interviewees for this third round will be communicated to your office in advance, consistent with our prior practice.
Forensic Accounting Analysis. Calderwood & Harkness engaged Ridgeline Advisory Group LLC ("Ridgeline"), under Engagement No. RAG-2022-0319, to conduct a comprehensive forensic accounting analysis of Dunmore's commodity trading transactions, intercompany fund flows, and financial controls relevant to the matters under investigation. The Ridgeline engagement is led by Dr. Margaret Liu, CPA, CFE, a principal of the firm with extensive experience in sanctions-related forensic investigations. The forensic accounting analysis is ongoing, and the final forensic report is expected to be completed by April 1, 2023. Upon completion, Calderwood & Harkness will arrange to present the findings to your office in the form of a detailed proffer.
B. Prior Proffers
As your office is aware, Calderwood & Harkness provided an initial proffer to you on July 15, 2022, which outlined the factual and organizational background of Dunmore's relevant operations and described the scope and methodology of the internal investigation. A supplemental proffer was provided on November 20, 2022, which summarized preliminary forensic findings, including the identification of certain transaction patterns and fund flows warranting further analysis. Calderwood & Harkness anticipates providing additional proffers to your office as the investigation progresses and ultimately intends to deliver a comprehensive internal investigation report upon the completion of all investigative workstreams.
C. Compliance Remediation
In addition to the investigative activities described above, Dunmore has taken affirmative steps to enhance its sanctions and export controls compliance infrastructure. On December 15, 2022, Dunmore retained Pemberton Investors Solutions LLC ("Marlowe Asset Management"), led by Dr. Anton Bremer, a recognized expert in international trade compliance and sanctions program design, to develop and implement an enhanced sanctions and export controls compliance remediation program. The engagement encompasses a gap analysis of Dunmore's existing compliance framework, the design of enhanced policies, procedures, and internal controls, the implementation of automated screening and transaction monitoring tools, and the development of a comprehensive training curriculum for Dunmore personnel across all relevant business units and jurisdictions. Remediation workstreams are currently underway, and Dunmore intends to provide your office with periodic updates on the status and progress of the remediation program.
VII. Points of Contact
For purposes of all communications related to this production and the ongoing investigation, the following individuals at Calderwood & Harkness LLP are designated as points of contact:
Primary Contact: Victoria Chambers, Partner Calderwood & Harkness LLP 1750 Pennsylvania Avenue NW, Suite 800 Washington, DC 20006 Telephone: (202) 555-7438
Email: vchambers@calderwoodharkness.com
Day-to-Day Production Contact: Jasmine Thornton, Lead Associate Calderwood & Harkness LLP 1750 Pennsylvania Avenue NW, Suite 800 Washington, DC 20006 Telephone: (202) 555-7452
Email: jthornton@calderwoodharkness.com
Sanctions and Export Controls Substantive Contact: Conrad Reeves, Senior Counsel (Export Controls & Sanctions) Calderwood & Harkness LLP 1750 Pennsylvania Avenue NW, Suite 800 Washington, DC 20006 Telephone: (202) 555-7461
Email: creeves@calderwoodharkness.com
Technical / E-discovery Contact: Thomas Bradshaw, Senior Paralegal & e-discovery Lead Calderwood & Harkness LLP 1750 Pennsylvania Avenue NW, Suite 800 Washington, DC 20006 Telephone: (202) 555-7479
Email: tbradshaw@calderwoodharkness.com
We respectfully request that all communications from the Department of Justice concerning this production be directed to the undersigned, with copies to Ms. Thornton and Mr. Reeves as appropriate.
VIII. Reservation of Rights
This production is made subject to the following express reservations:
(a) Dunmore does not waive, and expressly reserves, any and all objections it may have to the scope, breadth, or burden of the Subpoena, including but not limited to objections based on relevance, proportionality, undue burden, extraterritorial application, foreign data privacy and blocking statutes, and any other applicable grounds. The production of documents in response to the Subpoena shall not be construed as a concession that all documents produced are relevant to the matters under investigation or that the Subpoena's scope is reasonable or appropriate in all respects.
(b) This production is made without prejudice to any and all rights, defenses, privileges, immunities, or objections that Dunmore or any of its subsidiaries, affiliates, officers, directors, employees, or agents may have in connection with this matter, any related proceeding, or any other matter, whether arising under the Constitution of the United States, federal statutes, the Federal Rules of Criminal Procedure, the Federal Rules of Evidence, or any other applicable law or rule.
(c) The documents produced herein are subject to the confidentiality protections agreed upon by the parties, as set forth in the Production Protocol Letter dated July 10, 2022, and any applicable orders of the Court. Dunmore reserves all rights to seek additional protective measures as circumstances may warrant.
(d) Nothing in this production, or in any communication or proffer made by Calderwood & Harkness on behalf of Dunmore in connection with this matter, shall be construed as an admission of liability, wrongdoing, or violation of any law, regulation, executive order, or directive by Dunmore Energy Holdings Ltd. or any of its subsidiaries, affiliates, officers, directors, employees, or agents. Dunmore expressly denies any such wrongdoing and reserves all rights to contest any allegations that may be asserted.
We trust that the foregoing provides a comprehensive description of the second production and the current status of Calderwood & Harkness's internal investigation on behalf of Dunmore. We remain available at your convenience to discuss any questions regarding this production, the accompanying privilege log, or any aspect of the ongoing investigation. Please do not hesitate to contact me directly at (202) 555-7438 should you wish to arrange a meeting or conference call to address any matters arising from this submission.
We appreciate the professionalism and courtesy that you and your colleagues have extended throughout this process, and we look forward to continuing to work with your office in a spirit of cooperation.
Respectfully submitted,
CALDERWOOD & HARKNESS LLP
By: ________
Victoria Chambers Partner, White Collar & Investigations
1750 Pennsylvania Avenue NW, Suite 800 Washington, DC 20006 Telephone: (202) 555-7438
Email: vchambers@calderwoodharkness.com
cc (via electronic transmission):
Samuel Kovacs, Trial Attorney, Counterintelligence and Export Control Section, U.S. Department of Justice Diana Pressman, Trial Attorney, Counterintelligence and Export Control Section, U.S. Department of Justice Marcus Wellbourne, General Counsel, Dunmore Energy Holdings Ltd. Howard Quinn, Billing Partner, Calderwood & Harkness LLP
Enclosures:
1. Encrypted media containing 151,504 documents (Bates DEH-DOJ-287413 through DEH-DOJ-438916), with separately transmitted encryption keys
2. Supplemental Privilege Log — Second Production (January 30, 2023)
3. Production Index and Load File (Second Production)
CONFIDENTIAL — SUBJECT TO FED. R. CRIM. P. 6(e) Calderwood & Harkness LLP — Matter No. 1016-00009
Metric | Total
Total documents collected across six jurisdictions (Cayman Islands, UAE, USA, Germany, Nigeria, UK) | 2,347,812
Technology-assisted review (TAR) completed by Nexagen Analytics Inc. | October 15, 2022
Total documents deemed responsive to the Subpoena | 438,916
Total documents withheld on the basis of privilege | 12,847
Total documents produced — First Tranche (November 1, 2022) | 287,412
Total documents produced — Second Tranche (January 30, 2023) | 151,504
Cumulative documents produced | 438,916

CONFIDENTIAL — SUBJECT TO FED. R. CRIM. P. 6(e)

VIA HAND DELIVERY AND ELECTRONIC TRANSMISSION

CALDERWOOD & HARKNESS LLP

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