P. 1
NCIS FOIA 5720 F07-0028 p 351-379

NCIS FOIA 5720 F07-0028 p 351-379

|Views: 2|Likes:
Published by Kyle Kajihiro
Criminal investigation of Navy contract fraud, mismanagement and abuse related to UH/RCUH contracts; precursor to the UH Applied Research Lab/UARC
Criminal investigation of Navy contract fraud, mismanagement and abuse related to UH/RCUH contracts; precursor to the UH Applied Research Lab/UARC

More info:

Published by: Kyle Kajihiro on Aug 12, 2010
Copyright:Attribution Non-commercial

Availability:

Read on Scribd mobile: iPhone, iPad and Android.
download as PDF, TXT or read online from Scribd
See more
See less

05/12/2014

pdf

text

original

,.

---'

( ,

.. ()

INRIS

PR SUMMARY REPORT

~/ PRODUCT ~004 02PR04228-00

PR Number: 02PR04228-00 Previous PR NUmber: 01PR06948-02

Title: CEC Antenna Miniaturization/USEA Switch Module Development

Award Number: N000140110562

Short C9ntractor Code: hawh

P.I. Name: •• Performer: UNIVERSITY OF HAWAII

P.o. Name: •••••• Award Start Datel

Current Award End Date:

P.O. Requested Start Date:

Req Award End Date:

PR End Date:

q1-MAR-01 31-0CT-03 30-NOV-01 31-AUG-03· 31-AUG-03

PR Type: Incremental Funding

Instrument Type: Grant

Funding Infor.mationl SUB .

PE HEAD TASK PRC

FY

Funds Funds

Increments Due Date

Fiscal Status

Funds Source

0204152 W7HV ESAO 5ESA 2001 $ 2001 $

415,384.00 30-NOV-01 Active 0.00

dir

Thrust Infor.mation:

PRC peT Thrust Title

5ESA 100 Other -35

100

Equipment Cost (Current Year):

$

0.00

Internal Coordination:

External Coordination:

Science & Technology Areas:

Keywords:

Type of Animal:

Human Assurance Number:

Page 1 of 2

.r

(

)

INRIS

PR SUMMARY REPORT

__ •• / PRODUCT ~ 16-DEC-2004

I:-; ~ 02PR04228-00

Work Unit Objective

The Kauai Mountaintop facility and the associated Pacific Missile Range Facility, Kokee site and the RSTER radar were chosen since these provide unique capability that would be difficult and expensive to replace elsewhere. The overall objective is to erihance the RSTER equipment at PMRF and develop a Mountaintop Sensor System Test and Integration Center (MSSTIC) at the PMRF site .

..

Work Unit !pproach

The University of Hawaii will support the design, assembly, testing and maintenance of the ONR UESA radar system and sUb-components at the Kokee Parcel nAil and Makaha Ridge sites on Kauai· and Support project activities on the Island of Niihan and to provide technical and administrative support to the MSSTIC at the Pacific Missile Range Facility (PMRF).

Short Work Statement

The Theater Air Missile Defense (TAMD) Future Naval Capability (FNC) requires rapid detection and track updates of ballistic / cruise missiles to allow for effective defense and counter offensive measures. The University of Hawaii in conjunction with the Office of naval Research is developing.a miniaturized CEC antenna and an improved T/R switch and phase controller for the UESA radar array.

Statement of Cost (for Contracts):

This is the last planned increment for this grant, bringing the total

funding to $712,759.00 . .

Statement of Merit (for Contracts) :

The objective of ONR's Surface/Aerospace Surveillance Program is devoted to the development of enhanced sensor technology, primarily radar and electro-optic/infrared (EO/IR) and associated signal, image and array processing methods. With respect to radar, areas of emphasis include wideband, frequency-agile, multifunctional radar; phased-array affordabilitYi the enhancement of radar functionality through the integration of new operating modes such as aperture radar (SAR), inverse synthetic aperture radar (ISAR), moving target indication (MIT) and moving target imaging (MTlm)i as well as UHF airborne early warning radar and the specific UHF electronically scanned arrays (UESA) required for that mission.

Page 2 of 2

. ----

/ .

(

~ .. #

INRIS

PR SUMMARY REPORT

(- ~,lP

_/ PRODUCT 16-DEC-2004 02PR04228-03

PR NUmberr 02PR04228-03 Previous PR Numberr 02PR04228-01

Title: CEC Antenna Miniaturization/UESA Switch Module Dev:elopment

Award Numberr N000140110562

Short Contractor Code: hawh

P.I. Name:~ Perfor.mer: ~WAII

P.O. Namef Award Start Current Award End Date:

P.O. Requested Start Dater Req Award End Date:

PR End Date:

01-MAR-01 31-0CT-03 01-JUL-02 31-0CT-03· 30-SEP-02

PR Type: Expansion

Instrument Type: Grant

Funding Infor.mationr SUB

PE HEAD TASK FRC FY

Funds Funds Fiscal Funds
Increments Due Date Status Source
700,000.00 01-JUL-02 Active dir
50,000.00 01-JUL-02 Active dir
0.00 0602235 W2DC TUWO 5TUW 2002 $ 0602235 W2DC CSMO 5CSM 2002 $ 2003 $

Thrust Infor.mation:

FRC peT Thrust Title

STOW 100 Command & Control

100 SCSM 100

Sensors

100

Equipment Cost (Current Year):

$

0.00

Internal Coordinationr External Coordination:

Science & Technology Areas:

Keywords:

Type of Animal:

Human Assurance Number:

Page 1 of 4

;7'

"

~ }JlI

INRIS PR SUMMARY

c· <~

R!!lPORT _ / PRODUCT

16-DEC-2004 b,.e 02PR04228-03

Work Unit Progress

This current effort is on time, however, effort will be expanded to cover additional efforts.

Work Unit Objective

The Kauai Mountaintop facility and the associated Pacific Missile Range Facility, Kokee site and the RSTER·radarwere chosen since these provide unique capability that would be difficult and expensive to replace elsewhere. The overall objective is to enhance the RSTER equipment at PMRF and develop a Mountaintop Sensor System Test and Integration center (MSSTIC) at the PMRF site.

Work unit Approach

The University of Hawaii will support the design, assembly, testing and maintenance of the ONR UESA radar system and sub-components at the Kokee Parcel nAil and Makaha Ridge sites on Kauai and Support project activities on the Island of Niihan and to provide technical and administrative support to the MSSTIC at the Pacific Missile Range Facility (PMRF).

Short Work Statement

The Theater Air Missile Defense (TAMD) Future Naval Capability (FNC) requires rapid detection and track updates of ballistic / cruise missiles to allow for effective defense and counter offensive measures .. The University of Hawaii in conjunction with the Office of naval Research is developing a miniaturized CEC antenna and an improved T/R switch and phase controller for the UESA radar array.

BPS: Submission, Bvaluation, Cost

This proposal was received and evaluated in accordance with the Long Range Scientific and Technology Program COMMERCE BUSINESS DAILY announcement/solicitation of 30-AUG-Ol. Funding is avalailable for this effort. Award is recommended based on evaluation of the proposal (provided separately) in accordance with the criteria stated in the announcement/solicitation.

Financial Considerations:

Labor -

The proposed quantities and types of labor (including any consultants and labor provided by subgrantee) are reasonable and necessary for accomplishing the research project.

The proposed labor rates are in line with standard academic or industrial practice for research of this type.

Any consulting at a rate in .excess of $500.00 per day is justified in the "Additional Consultant Informationll text item.

Other Direct Costs-

Other proposed direct costs (such as supplies, equipment, ADP, travel, etc.) are reasonable and necessary for accomplishing the research project.

Page 2 of 4

__ .~ / PRODUCT 16-DEC-2004 02PR04228-03

I have reviewed and accepted the proposed budget subject to the grant/contracting officer's verification of rates in indirect costs. Where chanqes to the original budget were necessary I have had the principal investigator submit "a revised budget through official university channels and that revised budget is enclosed. The proposal appears to be fair, reasonable, in the interest of the government, and is consistent with other previous and current efforts of this nature.

INRIS "

PR SUMMARY REPORT

BPS: Overall Merits

The proposed effort expands on promising research in the area of space-time adaptive RF modulation that will enhance the capabilities of USN airborne UHF antennas. The research performed by the University of Hawaii over the past two years has demonstrated progress in a high risk development arena. The proposed research builds o~ this progress and includes further advancements into the final stages of development. Rating for this criterion is highly satisfactory.

BPS: ONa ~ssion

This proposal is extremely relevant to projects being funded by the ONR Mid-Pacific Branch which focuses on efforts to build capabilities at the Pacific Missile Range Facility that may be used by the Navy fleet for test and evaluation, advanced development and training.

BPS: Contractor Qualifications

The offeror has demonstrated two years of good progress as a foundation for the proposed effort. Much of the risk of the original concept has been eliminated prior to this stage. This proposal focuses on fabrication and test of elements that were initially and successfully designed in the base contract. The University of Hawaii is uniquely qualified to perform this effort.

BPS: PI Qualifications

The team proposed for this effort is largely unchanged from the base contract. It has the benefit of unique experience gained from participating in the previous effort. The Principal Investigator is an industry l~ader in RF and antenna design, "and state-of-the-art physical communication algorithms

BPS: Other"

The complete proposal evaluation is provided under seperate cover to ONR contracts.

n "']i._1= J'I

~ .Ji

INRIS

PR SUMMARY REPORT

(. \.~~c..

___ It/ PRODUCT 16-DEC-2004 02PR04228-03

E~aDSion Scope

T~ expanded effort will include fabrication of 30 transmitter/receiver (T/R) modules, upgrade existing range facilities, and conduct further test and evaluation.

Grant Document Addendum

The purpose of this modification is to expand the research ..

Page 4 ·of 4

883252 10:20

"""" -_"j

2005021Y''''1: !::is'rflMAIL #48706 OUT: DCWAEx{- -c;'E

,

u.s. NAVAL CRIMINAL INVESTIGATIVE SERVICE

INVESTIGATIVE ACTION 10FEB05

CONTROL: 24JUN02-DCWA-0307-4GNA/T

S/RESEARCH CORPORATION OF THE UNIVERSITY OF HAWAII (RCUH)/ HONOLULU, HI

VOICE MAIL MESSAGES FROM RCUH SECURITY OFFICER .......

1. On 4 and also on 10 February 2005, reporting agent received unsolicited voice mail messages from~ a Security Officer for the Research Corporation of the U~ of Hawaii (RCUH). The voice mail messages from~ndicated he has information and potential evidence for this case that he would like to provide. During the 4 February 2005 voice message,~ndicated he had current knowledge of the RCUH hard drive of former RCUH ...........

s potential evidence for this case.

REPORTED BY:

OFFICE:

NCISFO WASHINGTON DC

FORO~EONLV

Page { LAST'" V2 LNY

WARNING

THIS DOCUMENT IS THE PROPERTY OF THE NAVAL CRIMINAL INVESTIGATIVE SERVICE CONTENTS MAY 8E DISCLOSED ONLY TO PERSONS WHOSE OFFICIAL ounss REOUIRE ACCESS "'A. 10"3:>

HERETO, CONTENTS MAV NOT BE DISCLOSED TO THE PARTYISI Cot V

AUTHORIZATION FROM THE NAVAL CRIMINAL INVESTIGATIVE SFRV 14' V" .... .: .... : ~ t a Q \

~

W

883253 10:21 20050211··N:u.:i1:'~MAIL #48707 OUT:DCWAEX(J·~b. ., • .s}3510

u.s. NAVAL CRIMINAL INVESTIGATIVE SERVICE

INVESTIGATIVE ACTION 10FEB05

CONTROL: 24JUN02-DCWA-0307-4GNA/T

S/RESEARCH CORPORATION OF THE UNIVERSITY OF HAWAII (RCUH)/ HONOLULU, HI

CONTACT WITH RCUH SECURITY OFFICER ••••

1. On 10 February 2005, Reporting Agent (RA) telephonically

contacted a Security Officer for the Research Corporation

Hawaii (RCUB). The contact was in response to unsolicited voice mail messages recorded from~o RA (202-433-. 2510) on 4 and 10 February 2005.

2. During the telephonic contact, indicated he has relevant

information for this investigation that he wants to provide. ~ expressed his desire to be personally interviewed for this investigation with or without the presence of an RCUH representative.

BIOGRAPHICAL DATA:

TITLE:

ADDRESS:

PHONE:

REPORTED BY:

OFFICE:

NCISFO WASHINGTON DC

b"C

FOR ~USE ONLY

Page 1 LAST _ V2 LNY

WARNING

THIS DOCUMENT IS THE PROPERTV OF THE NAVAL CRIMINAL INVESTIGATIVE SERVICE CONTENTS MAY BE DISCLOSED ONLY TO PERSONS WHOSE OFfICIAL DUTIES REOUIRE ACCESS '""2-. f 4..

HERETO. CONTENTS MAY NOT BE OISCLDSEOTO THE PARTYISI cr"~--··-- .... _ .. _.-. v\O

AUTHORIZATION fROM THE NAVAL CRIMINAL INVESTIGATIVE SEf

"r.'I ._ ... _.!!.t_ f.

880766 08:28 20050211 (~

~

~$~MAIL #47842 OUT:DCWAEXir I

u.s, NAVAL CRIMINAL INVESTIGATIVE SERVICE

REPORT OF INVESTIGATION (CHANGE)

10FEB05

GENERAL PROCUREMENT (II)

CONTROL: 24JUN02-DCWA-0307-4GNA

S/RESEARCH CORPORATION OF THE UNIVERSITY OF HAWAII (RCUH)!

HONOLULU, HI

COMMAND/NAVAIRSYSCOM/00019

MADE AT/DCWA/NCISFO WASHINGTON DC ' SPECIAL AGENT

REFERENCE(S)

(A) NCISFO WASHINGTON DC ROI(INTERIM)/17DEC04

I/NAVAIRSYSCOM, PATUXENT RIVER, MD/POSSIBLE PROCUREMENT IRREGULARITIES WITH THE DEVELOPMENT OF THE MODULAR COMMAND CENTER (MCC)

NARRATIVE

1. Subsequent to Reference (A), this investigation has progressed with a focus on bid and proposal (B&P) labor and travel charges of three employees of S/Research Corporation of the University of Hawaii IS/RCUH) that were improperly charged by SjRCUH to two U.S. Navy Grants. Accordingly, for future reporting the case title is being changed to reflect as above.

DISTRIBUTION NCISHQ: 0023

INFO: DCWA/HIHN

Gle.

FOR --~E ONLY

Page ~:;S~:S1 _ V2 LNY

WARNING

THIS DOCUMENT IS rttE PROPERTY OF THE NAVAL CRIMINAL INVESTIGATIVE SERVICE CONT£NTS MAY B£ DISCLOSED DIILV TO PERSONS WHOS£ OFFICIAL DLJTI£S REOUIRE ACCESS HERETO. CONTENTS MAY NOT BE DISCLOSED TO THE PARTYISI CONCERNED WITHOUT SPECIFIC

T

I "'___ C' r,I' ~, " -

880766 08:28 20050211 J \,~};MAIL #47842 OUT: CIS, " J ~

REPORT OF INVESTIGATION (CHANGE)

10FEB05

GENERAL PROCUREMENT (II)

CONTROL: 24JUN02-DCWA-0307-4GNA

S/RESEARCH CORPORATION OF THE UNIVERSITY OF HAWAII (RCUH)/ HONOLULU, HI

COMMAND/NAVAIRSYSCOM/00019

MADE AT/DCWA/NCISFO WASHINGTON DC4I .

SPECIAL AGENT

REFERBNCE(S)

(A) NCISFO WASHINGTON DC ROI(INTERIM)/17DEC04 , _

I/NAVAIRSYSCOM, PATUXENT RIVER, Me/POSSIBLE PROCUREMENT IRREGULARITIES WITH THE DEVELOPMENT OF THE MODULAR COMMAND CENTER (MCC)

NARRATIVE

1. Subsequent to Reference (A), this investigation has progressed with a 'focus on bid and proposal (B&P) labor and travel charges of three employees of S/Research Corporation of the University of Hawaii (S/RCUH) that were improperly charged by S/RCUH to two U.S. Navy

Grants. Accordingly, for future reporting the case title is being changed to reflect as above.

DISTRIBUTION NCISHQ: 0023

INFO: DCWA/HIHN

FOR PAGE NNNN

USE ONLY

LAST ~ V2 LNY

It:9.3(Wkfl

~8'l~q 6oo1'3f5ol07- 1(, ( O~ .j -, /' u.s. NA VAL CRIMINAL INVESTIGATIVE SERVICE

REPORT OF INVESTIGATION (ACTION)

07JANOS

GENERAL PROCUREMENT (II)

CONTROL: 24JUN02-DCWA-0307-4GNA

IjNAVAIRSYSCOM, PATUXENT RIVER, Me/POSSIBLE PROCUREMENT IRREGULARITIES WITH THE DEVELOPMENT OF THE MODULAR COMMAND CENTER (MCC)

COMMAND/NAVAIRSYSCOMj00019

MADE AT/HIHNjNCISFO PEARL HARBOR H •••••• ' SPECIAL AGENT

REFERENCE(S)

CA) DCWA ROI (ACTION)/03JANOS

EXBIBIT{S)

(l) IA: Service of Subpoena/07JanOS_COrig DCWA)

NARRATIVE

1. In response to Ref CA), on 07JanOS ,,·t •••••

......... ·RCUH, was served with issued Inspector General Subpoena along with directions for the provision of documents to NCIS Pearl Harbor. Exhibit (1) pertains. Lead tasking is pending receipt of ordered documents.

DISTRIBUTION NCISHQ: 0023A

INFO: DCWA

WARNING

Page 1

LAST

.. V2LNN

THIS POCUMENT IS THE Pf!OPERTY OF THE nAVAL CRIMINAL 'NVESTIGATIVE SERVICE CONTENTI w..y II DllCLOlEtI ONLY TO PEAIONS WHOlE OffICIAI.IlUTIES AEOUIAIACCESS HERETO. COHT!NTS MAY NOT • OIBCLOAIllI TO TNJ II'.A.RTVI •• r"1\I.I,.EtR:II: .... UIITU .... ' ... 1I!t_,..I~.""

/1J.'6{WAlf 6D01boO~jP

~ \~",Y

"~

/w

u.s. NAVAL CRIMINAL INVESTIGATIVE SERVICE-

INVESTIGATIVE ACTION 07JANOS

CONTROL: 24JUN02-DCWA-OJ07-4GNA

I/NAVAIRSYSCOM, PATUXENT" RIVER, Me/POSSIBLE PROCUREMENT IRREGULARITIES WITH THE DEVELOPMENT OF THE MODULAR COMMAND CENTER (MCC)

SERVICE OF SUBPOENA

1. On 07JanOS, , RCHU, was served

with issued Inspector Gefiet'al SUbpoena"along with directions to provide the documents to Special Agent""" NCIS Pearl Harbor, vice sending them to Washington DC. Certificate of Return of Service is appended.

ENCLOSURE(S)

(A) certificate of Return of Service

REPORTED BY: SPECIAL AGENT

OFFICE: NCISFO PEARL HARBOR, HI

FOR~SEONLY

Page 1 LAST V2 LNN

WARNING

THIS DQCUMENT IS THE PROPERTY OF THE NAVAL CRIMINAL INVESTIGATIVE SERVICE CONTEHTS MAY I.E DISCLOSED ONLY TO PERBOIIS WHOSE OFFICIAL DUTIES REOUIRE ACCESS

HERETO. COmEIITS!MY IIOT I.E DISCLOSEO TO THE PARTY{S) CONCERIIED WITHOUT SP£CIFI"

NCISFO HAWAII

r 1000ived the attacbed:: Mlbpoena.

I t&art!w certify ~ ~ _.-l..",,~~~----L::--___'_'_ ~~

at or altout CJ6S5

. ' (fYme)

amvcd !be s\lbpoeu.upon

. : 'UNIQUE IDENTIPICATXONNlJMBmt: 200504-6-8204 ; ..

, .

DD li'OI'lli 2~1lbveneJ AlA'S (EG)

"

I: '

E~CLOSURE (A )

l' -o~q

847493 14: 22 20ci50103(_: .. ;·-;~pEMAIL #373·44 OU'1': DCWAEXLi

\-.~y

u.s, NAVAL CRIMINAL INVESTIGATIVE SERVICE

REPORT orINVE~TIGATtON{ACTION)

03JAN05

GENERAL PROCUREMENT (II)

CONTROL:· 24JUN02-DCWA-0307-4GNA

I/NAVAIRSYSCOM, PATUXENT RIVER, MD/POSSIBLE PROCRUREMENT IRREGULARITIES WIT~ THE· DEVELOPMENT OF T~E MODULAR COMMAND CENTER (MCC)·

COMMAND/NAVAIRSYSCOM/o6ol9

MADE AT/DCWA/NCISFO WASHINGTON DC ..

SPECIAL AGENT

REFERENCE (S) .

(A) NCI~FO WASHINGTON DC ROI· (INTERI~-U17;DEC04

EXHIBIT (S)

(l)NCISFOWASHINGTON DC COVER LETTER/03JAN05 ..• (DCWA/HIHN ONLY) (2)DEPARTMENT.OF DEFENSE, OFFICE OF· INSpeCTOR· GENERAL SUBPOENA.TO

RCUH/29D~CO-4. . '. (DCNA/HIHN ONLY)· .. .

(3) PRIVACY. ACT NOTICE/UNDATED, .. '(DCWA/HIHN ONLY) .

(4) CERTJ:FICATE OFCOPlPLIANCE FORM/ONDATED .: ;. (DCWA/HIHN ONLY) (5) CERTIFICATE OF RETURN OF SERVICE/UNDl\.TE~ ... : (DCWA!HIHN ONLY)

NARRATIVE

1. On 14 Dedember 2004, a reques± was made to the Office of Inspector General,· Department .of 'De feris e ·(IG, DOD) to obtain. an -IG subpoena for additianalrecorps fram.the Research.Corporation of the· University of Hawaii (ReUH) needed for investigative and audit review,· Refe+ence (A), Exhibit (87) pertains. On 30 December 2004; NCISFOWashington DC received the reCJuested 1G, Doq subpoena for immediate service upon RCUH.

ACTION R.

RCUH

arrange to serve Exhibi·ts (1) - (4) Fa6simile copies are suffi~ient for service. will be provided to RCUH via separate correspondence.

During the service of the subpoena, please ensure that ......... andRCUH are clear that the records required are to be provided to the NelS Field Office Hawaii for investigative and audit review.

Following the subpoena service, please complete the Return of Service document (Exhibit (5)and return for retention with the case file.

DISTRIBITUION NCISHQ: 0023 ACTION: HIHN(F) (M)

INFO: DCWA

FORO~EONLY

Page 1 LAST" V2 LNY

WARNING

THIS OOCUME.NT IS THe PROPeRTY OF THE NAVAL CRIMINAL INVE5TIGATlve.§;~.':!:!g CONTENTS MAY 8~ DISCloseD ONlV TO PERSOPIS WHOse OFfICIAL DimES REQUIRf AI;"~;~ HliAeTO. CDNHNTS MAV NOT 8[ DISClOSED 10 fliE PAr-lVIS' ,-IJNCfRNfD WITHOI)T ~,'U:,,·r

Ali"fHORI7.AiIOO FRUM THE NAVAL CAIMINf.L nt ... r~n(,}I·: IVE SVi"'!l"1 ......,... ~

', .~.

c'·--r.

,Q}PARTMENT OF THE NA'ii~O

NAVAL CRIMINAL INVESTlCiATIVIE SERVICE FIELD OFFICa:·WASHINGTON '

1014 N STREET SE SUITE 102 WASHINGTON NAVY YARD DC 20374·6008

I.·~I

-

NCISFO-WA 5580 DC23MU0001 03 JAN 05

From:

To:

Special Agent !nCharge, Washington Field Office

SubJ:

Ene.:

2800 In,,'u,,,... Honolulu f Hawaii aU~I'L

SUBPOENA ISSUED

(1) Subpoena Duces Tecum (2) Privacy Act Notice

Pursuant to the appendix to Title 5, United States Code, subsection 6(a)(4). the enclosed subpoena duces tecum has been issued. The matenels identified should be produced by the date and time indicated on the subpoena at:

Naval Criminal Investigative Service Field Office, Hawaii

449 South Avenue, Building # 221(B) Pearl Harbor, Hawaii 96860

Your personal appearance is required at the time indicated on the subpoena in order to testify as to the completeness, accuracy and authenticity of the documents produced, Failure to appear at the time and place set forth and as specified in the subpoena will be taRen as a failure to comply with the subpoena. However by mutual agreement, the material may be sent by U. S. registered mail to the above address. Or, upon request a Special Agent of the Naval Criminal Investigative Service, Field Office Hawaii will personally assume custody of the requirea materials at your office.

Fully legible and complete copies of the records caffed for by the, subpoena will be accepted in response to the subpoena provided that the original records will be made available upon request, during normal business hours. Otherwise, ' original documents including copies as maintained in your files should be produced.

Materials required by the subpoena should be accompanied by an index identifying each document or other materials and the Item or items of the subpoena to which it relates. If for any reason any of the required materials are not furnished, prepare an itemized list of the 'location of materials and the reason for non-productlon,

This investigation is private and we reQ,uest such ~rivacy be maintained. Enclosed is a notice pursuant to the Privacy Act of 1974.

'---.., ~,

.~ ~j)

You should bear in mind you have the right to consult with and have an attorney represent you in this matter. If you have any questions concerning the subpoena or the m~ed to be produced, you may calf the case agent. Sp~cial Agent____'ofthe Naval CrimInal Investigative Service. Field Office

Washington at 202 trc

2

7036048720 P.05/08

u j'~

c. United States of America

Department of Defense " Office of the Inspector General

SUBPOENA DUCES TECUM

TO Custodian of Records." Research Corporation of the University of Hawaii. 280Q Woodlawn Drive. Suite 200. Honolulu. Hawaii 96822

YOU ARE HEREBY COMMANDED TO APPEAR BEFORE ~~~.!!I or any Special Agent of the Naval Criminal In~stigative Service (NelS) acting on behalf of the Inspector General, pursuant to the Inspector General Act of 1978 (5 u.s.e. App. 3), at NelS Field Office Washington. 1014~. Street SE. Suite 1002, Building 200. Washington Navy Yard. Washington. District of Columbia 20374 on the 28th day of Januaty, 2005 at 10 o'clock a.m. of that day.

You are hereby required to bring with you and produce at said time and place the following information, documents, reports, answers, records, accounts, papers, and other data and documentary evidence pertaining to Research" COJporation of the University of Hawaii. a Department of Defense contractor. for Nayy contract N00421-02-D-3151 and Navy grants N00421-01-1-0176 and N000014-01-1-0562. as specified in Awendix A. which are necessary in the performance of the responsibility of the Inspector General under the Inspector General Act: to conduct and supervise audits and investigations relating to the programs and operations of the Department of Defense; to promote economy, efficiency, and effectiveness in the administration of the programs and operations of the Department of Defense; and to prevent and detect fraud and abuse in the programs and operations of the Department of Defense.

IN TESTIMONY WHEREOF, the signature of the undersigned General of the Department of

at this

UNIQUE IDENTIFICATION NUMBER: 2005046-8204

DD Form 2287, APR 95 (EG)

Previous editions are obsolete,

lJo,JU tU ...... .Lru

7036048720

APPENDIX A

1. Definitions:

a. The term "document(s)" means all written or printed matter of any kind, formal or informal, including the originals and all non-identical copies thereof, whether different from the original by reason of notation made on such copies or otherwise in the possession, custody or control of the company, wherever located, including, hut not limited to, work papers, correspondence, memoranda, notes, diaries, statistical materials, letters, electronic fOnDS of communications, minutes, contracts, reports, studies, billing statements, receipts, su.mmaries, pamphlets, booksand interoffice communications, telephonecalls, meetings or other communications, bulletins, computer printouts, hard discs, floppy discs. mainframe and personal computer data bases, teletypes, fax materials, invoices, worksheets and all drafts, alterations, modifications, changes and amendments of any nature or kind to the foregoing, and all graphic and representations of any kind, including, but not liptited to, photographs, charts, graphs, microfilm, videotapes, sound records, motion pictures and any electronic, mechanical or electrical recordings, or representations of any kind, including, but not limited to, tapes, cassettes, discs, recordings and films.

h. The term "document(s)" also means any container, file folder or other enclosure bearing any marking or identification in which other "documents" are kept, but does not include file cabinets. In all cases where any original or non-identical copy of any original is not in the possession, custody or control of the university, the term "document" shall include any copy ofthe original and any non-identical copy thereof.

c. The term "employee" means all persons who worked for Research Corporation of the University of Hawaii (RCUH) (hereafter RCUH), whether paid or unpaid, including, contract employees and temporary employees provided andlor paid by any temporary agency.

2. Documents Requested:

a. All policy documents that were in effect during calendar years 2001 and 2002, for the recording of time and labor on contracts and grants concerning the Department of Defense.

h. All Chart of Account records for calendar years 2001 and 2002.

For Navy contract N00421-02-D-31S1

c. All records pertaining to the award of proposed Navy contract N00421-02-D-3tSl, including, but not limited to, proposal work papers and drafts, e-mail records relating to the proposal, correspondence including mail records and facsimile transmissions, records identifying RCUH employees involved with writing, assembling, and preparing the RCUH submissions for the proposed contract, records identifying the internal account number(s) for charging proposal preparation labor, printouts from the RCUH accounting system(s) showing

UNIQUE IDENTIFICATION NUMBER: 2005046-8204

1

7036048720 P.08/08

the proposal labor hours charged by individual RCUH employees involved with the proposal effort.

For Navy grant N00421-01-I-0176

d. Printouts from the Ram accounting system showing labor hours, rates and travel expense details for aU RCUH employees charged to the following SF-270 payment requests

submitted by the University of Hawaii: .

I. Payment request number S8 19467

2. Payment request number S819821

3. Payment request number 88 20094

4. Payment request number SS 20361

5. Payment request number SS 20697

6. Payment request number S8 21099

7. Payment request number SS 21298

8. Payment request number SS 21659

9. Payment request number SS 22035

10. Payment request number 5S 22411

11. Payment request number SS 22762

12. Payment request number SS 23137

For Navy grant NOOOOI4-01-I-0562

e. All SF-270 payment requests submitted by, on behalf of, or through the University of Hawaii. Records shall include labor hours, rates and travel expense details for all RCUH employees charged for each SF-270 payment request for the time period September 1, 2001 through December 31, 2002.

UNIQUE IDENTIFICATION NUMBER: 2005046-8204

2

TOTAL P.08

NOTICE PURSUANT TO PRIVACY ACT OF 1974

The Privacy Act of 1974 directs that persons, such as those required by the Inspector General of the Department of Defense (DoD) to supply information in response to a subpoena, be informed of the following:

1. Authorifyfor Solicitation of the Informatiog:

The authority for requiring production of the information is set forth in the Inspector General Act of 1978. PL 95-452 and PL 97-252. Disclosure of information is mandatory.

2. Principal Uses of the Information:

The Inspector General's principal purpose in soliciting the information is to promote economy, efficiency, and effectiveness in the administration of the programs and operations of DoD and to prevent and detect fraud and abuse in such programs and operations.

3. Effect of Noncompliance:

Failure to comply with a subpoena may result in the Inspector General's requesting a court order for compliance. If such an order is obtained and you thereafter fail to supply the information, you may be subject to civil andlor criminal sanctions for contempt of court.

4. Routine Uses of the Information:

Information you give may be used and disseminated in the routine operation of ODD, including criminal, civil, and administrative proceedings. Routine uses include, but are not limited to, the following categories:

a. In any case in which there is an indication of a violation or a potential violation of Iaw, whether civil, criminal, or regulatory in nature, the record in question may be disseminated to the appropriate federal, state, local, or foreign agency charged with the responsibility for investigating or prosecuting such violation or charged with enforcing or implementing such law;

b. In the course of investigating the potential or actual violation of any law, whether civil, criminal, or regulatory in nature, or during the course of a trial or hearing or the preparation for a trial or hearing for such violation, a record may be disseminated to a federal, state, local or foreign agency, or to an individual organization, if there is reason to believe that such agency, individual, or organization possesses information relating to the investigation, trial, or hearing and the dissemination is reasonably necessary to elicit such information or to obtain the cooperation of a witness or an informant;

c. A record relating to a case or matter may be disseminated in an appropriate federal, state, local, or foreign court or grand jury proceeding in accordance with established constitutional, substantive, or procedural law or practices;

v1-'lQ F,yhlhif' ~ \

.---."

d. A record relating to a case or matter may be disseminated to an actual or potential party or his attorney for the purpose of negotiation or discussion on such matters as settlement of the case or matter, plea bargaining, or informal discovery proceedings;

e. A record relating to a case or matter that has been referred by an agency for investigation, prosecution, or enforcement, or that involves a case or matter within the jurisdiction of an agency, may be disseminated to such agency to notify the agency of the status of the case or matter or of any decision or determination that has been made, or to make such other inquiries and reports as are necessary during the processing of the case or matter;

f. A record relating to a case or matter may be disseminated to a foreign country pursuant to an international treaty or convention entered into and ratified by the United States or to an executive agreement;

g. A record may be disseminated to a federal, state, local, foreign, or intemationallaw enforcement agency to assist in the general crime prevention and detection efforts of the recipient agency or to provide investigative leads to such agency;

h. A record may be disseminated to a federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of license, grant, or other benefit by the requesting agency to the extent that the information relates to the requesting agency's decision on the matter;

i. A record may be disseminated to the public, news media, trade associations, or organized groups, when the purpose of the dissemination is educational or informational, such as descriptions of crime trends or distinctive or unique modus operandi, provided that the record does not contain any information identifiable to a specific individual other than information such as a modus op.erandi.

5. Freedom ofInformation Act:

The Freedom ofInformation Act (FOIA), Title 5, U.S.C., Section 552, and DoD rules pursuant thereto, generally provide for access by members of the public to governmental records, unless the requested records fall within specified exemptions. If you believe that one or more of the documents required under this subpoena should be considered exempt in whole or in part from public release under the FOIA, Title 5, U.S.C., Section 552, you must mark each document which you believe exempt. In a letter accompanying the documents, you should cite all exemptions contained in the FOIA that. you believe apply and the reasons for each. It is the policy of the Office ofthe Inspector General to seek to notify you in the event that it receives a request under the FOIA for records for which you have claimed exemption or in the event that legal proceedings are initiated against the Office of the Inspector General to obtain such records.

CERTIFICATE OF COMPLIANCE

I, ~of

'(Name)

(Title)

(CompanylInstitution/ Agency)

certify the records I provided (either) to Special Agent _'

or by certified mail accountability number __" return receipt

requested, are accurate, complete, and in full compliance with the Department of Defense

Inspector General Duces Tecum number _

(Unique Identification Number)

The following subpoenaed records are not provided. (If documents are withheld based on privilege, identify each document, specify its author and addressee, date, subject matter, all persons or entities to whom copies were furnished, and the basis of your claim of privilege.)

(Use attachment if necessary)

In accordance with Title 28, United States Code, Section 1746,1 certify under penalty of perjury the foregoing is true and correct.

(Signature of Respondent)

(Date)

t.~ If.vhihit { LL '\

, ,

7036048720

CERTIFICATE OF RETURN OF SERVICE

I HEREBY CERTIFY that on ---J 2004

at

____ --,- --.....;..;..;....r. I received the attached subpoena;

(Location)

I further certify that on , 2004

at or about ~--

(Time)

m. at -:--_---,.- _' I personally (Location)

served the subpoena upon __ -::-:- __ ":"'::"'" ~_:__-------

(Name and Position or Title)

By ~--~----------

(Name)

(fitle)

Date _

UNIQUE IDENTlFICATION NUMBER: 2005046-8204

DD Form Z287 Reverse, APR 9S (EG)

P.06/08

Wvhlhlt {r\

You're Reading a Free Preview

Download
scribd
/*********** DO NOT ALTER ANYTHING BELOW THIS LINE ! ************/ var s_code=s.t();if(s_code)document.write(s_code)//-->