US. Department of Justice Ait Division 450 Golden Gate Avenue Rm. 10-0101 San Francisco, CA 94102 December 7,2023 ATTN: Steven E. Lederer ‘Napa County Public Works Department 1195 Third Street Suite 101 ‘Napa, CA 94559 Re: Grand Jury Investigation Mr Lederer Enclosed please find a grand jury subpoens dected to your organization. The subpoena ‘requires the return of ll responsive documents inthe possession, custody, or contol of your ‘organization tothe grand jury inthe Norther District of California on January 16, 2024. Ou that date, your organization's custodian of records shouldbe prepare to testify ast the identity of the documents produced, the identity ofthe persons who conducted the search, the methods by Which the search was carried out, and the identity and locations of the files from where the ‘documents were retrieved. Inthe altemative, the documents may be submited to Jeremy Goldstein ofthe Antitst Divisio at 450 Golden Gate Ave, Rm, 10-0101, San Francisco, CCalfomia, 98102. Pease submit the documents via FedEx or UPS. Ifyou prefer, you may produce documents electronically using the Antitrust Division's JEFS platform, Documents must be accompanied by an affidavit swor to by the officer responsible for ‘complianee as to document production. Instruction M (3) describes the information that must be contained inthe affidavit. Please be advised, however, that opting to deliver the dacuments othe Division may not prevent the grand jury fom requiring your custodian of records to testify at & later date. In ether event, please inform us by a minimum of fourten (14) days before the date ‘of scheduled appearance before the grand jury as to which method of production yout ‘organization will use. The records may not be mailed to the grand jury orto the courthouse, as there are no provisions for receiving them there, sn Possession, Custody, or sanization This grand jury subpoena requires production of all responsive documents, cluding Electronically Stored Information ("ESI"), in your organization's possession, custody, oF control, wherever the documents are located‘Second, we request that you outline the steps taken by the organization to preserve al EST potentially responsive to the grand jury subpoena. ‘hid, the organization must produce responsive ESI in electronic format. Thus, we went to diseiss with you formatting and technical specifications issues before the organization begins to format its submission of responsive materials, Compliance with our specifications for production of electronically stored information may minimize the need for follow-up consultations and/or extended examination of your custodian of records by the grand jury. A ‘sample or test submission of electron data would help to ensure that the submission of responsive eletroni dat is acceptable, Fourth, you shouldbe prepared to addres how you plan to collect materials potentially responsive tothe subpoena and how you plan to decide whieh ofthe collected materials you will produce. Before using software or technology (including search terms, predictive coding, de- ‘duplication, or similar technologies to identify or eliminate documeats, data, o information potentially responsive to this Request, the Organization must submit a written desription ofthe ‘method(s) wed to conduct any part ofits search. In addition, for any process that relies on search terms to identify or eliminate documents, the Organization must submit: (a) list of proposed terms; (b) a tally of all he terms that appea in the collection and the frequency of each fem; () 8 ist of stop words and operators forthe platform being used; and (@) a glossary of industry and organization terminology. We strongly recommend thatthe organization provide these items brior to conducting is collection of potentially responsive information nd consult with 0 void omissions that may cause the grand jury to determine that the orgenization’s response is deficient. Fifth to fuvilitate our discussions about these clectonic production issues, we request that prior to the I call, the organization produce documents responsive tothe subpoena which escrbe the organization's electronic and computer systems, Finally, the Division will presume that any documents and information produced are copies unless they are marked “originals” and will destroy these materials a te conclusion of te investigation (unless the Division determines that some of these materials need tobe retained fora law enforcement purpose or pursuant tothe Federal Records Act) you want the submitted material returned at the conclusion of the investigation you must indicate that reference in writing when the documents are produced. Business Records Certification Please be advised that it may be necessary fora witness from the organization to appest and testify thatthe records produced by the organization are authentic, within the meaning of Rulle 902 of the Federal Rules of Evidence, and that they are business record, within the ‘meaning of Rule 03(6) ofthe Federal Rules of Evidence. Attached tothe subpoena is a cetificate of authenticity of business records for a qualified representative of your organization to sign. Pease review the certification to determine whether iti an accurate statement withregard to the referenced business records. Ith certification is accurate, please sign and return the original centfiation along withthe subpoenaed records tothe grand jury atthe time yout {document custodian testifies or with the documents delivered tothe Antitst Divison. To the extent that you retain or use an outside vendor to process, load, or produce documents or dia, please also provide information sufficient forthe vendor to authenticate the documents produced by you, including the part ofthe Federal Rules of Evidence on which you and/or your vendor are relying, Please include the name ofall vendors and the names of each employee atthe vendors who processed the documents and data, There is no guarantee that you or another appropiate custodian of records will not have to appear a tial to authenticate the records and lay the proper ‘business record foundation, but generally speaking, the United States will make every effort to tse the certificate of authenticity of business records, if completed, instead ofthe testimony of a records custodian to authenticate the records for admissibility purposes, Should you have any questions regarding this eter or should you or your counsel wish to discuss compliance withthe subpoena, please donot hesitate to call me at Jeremy. Goldstein@usdoj gov or (415) 229-2934. Sincerely, AL Jeremy Goldstein Jeremy Goldstein Enclosures Grand Jury Subpoena Cortiticate of Authenticity of Domestic Business Records (Questionnaire on Electronically Stored Information Schedule of Documents0.10 fx co Spore yo UNITED STATES DISTRICT COURT forthe ‘Northern Dist of California ‘SUBPOENA TO TESTIFY BEFORE A GRAND JURY TO: ATTN: Steven €. Lederer ‘Napa County Puble Works Department 1195 Third Soot Suite 101 Napa, CA 94559 YOU ARE COMMANDED to sppearin this United States dst court tthe time, date, and place shown ‘below to testy before the court's gran jary. When you ave, you must emia he court unl the jude ra court officer allows you leave lace: United Sais Distt Court Date and Time 450 Golden Gate Avenue ‘San Franesco, CA 94102 conver 9:208m |___ Grand Jury Room A-17t Floor ‘You mst also bring with you the following documents, lecvoncally sored information, or objects nk ne plea) Pas 08 Atachmant to Gran. ry Spoons Date: 207023 (CLERK OF COURT Hd 6 “Snare Cer or Dell Co “Th ame rs, mal, and elephonenamber of ie Uniod Sates ary, or asian United Sates Some, Who request this sobpoena ar: Jeremy Goldstein ‘Antrst Dusen, Une States Department of ustice 4450 Goiden Gate Avenue Room 10-0107, Box 36046 ‘San Francisco, CA 96102-3478 Jeremy goldstin@Qusdo gov | (618) 220-2654(CERTIFICATE OF AUTHENTICITY OF DOMESTIC RE PURSUANT TO Fi ULES OF ‘EVIDENCE 902(11) AND 902013) attest under penalties of perry bythe laws ofthe United States of America pursuant to28 U.S.C. § 1746, tha the information contained in this certification is true and corect. 1am employed by Napa County Public Works Departnen, and my ie is __. Tameuaified to authenticate the records attached hereto because am familie with how the records were rested, manage, stored nd tetrieved, Lotte that the records attached hereto are true duplicates ofthe original recordin the custody of Napa County Public Works Department. The attached records consist of [GENERALLY DESCRIBE RECORDS (pages/CDs/megabytes). further sat that: a allrecorsattachedto this certifieste were made ator nearthe time ofthe ‘occurrence ofthe matter st forth by, or fom information transmitted by, a person with Iknowiedge of those mates, they were kept in the ordinary course ofthe regularly conducted ‘business activity of Napa County Public Works Department, and they were made by Napa County Public Works Department as a regular practice; and . __suchrecords were generated by Napa County Public Works Department electronic processor system that produces an accurate result, to wit 1. the records were copied from electronic devce(s), storage medium(s), or Sle(s) inthe custody of Napa County Public Works Department in a manner to ensure that they are true duplicates of the original records; and2 the process or system is regularly verified by Napa County Public Works Department, and atall times pertinent fo the records cemtified here the process and system {unctioned properly and normally. ‘further state that this certification is intended to satisfy Rules 992(11) and 902(13) of the Federal Rules of Evidence. Date Signaturem1. tionnaire on Electronically Stored Information Instructions ‘A. Allesponses should include all systems, practices, and procedures used at any time during the subpoens period that may contain potentially responsive information. 1B, _Allresponses should reflect an inquiry into actual employee practices, and not ust the organization's polices. Background Provide: ‘A. Current organizational charts for your Organization, including the information technology ("IT") unit B. Written poicies related to document retention along wit the period in which the policy was in effet, whether the policy is enforced, and by whom; C._Anyexisting diagrams of your Organization's TT inftastracture: an D. A description of T functions performed by outside contractors. ‘Computer Hardware and Systems Describe the computer hardware and systems sed inthe conduct of your Organization's busines, inctuding ‘A. The kinds of computers wed (eg, mainfiame, work stations, desktops, laptops); BL Thetypes of servers used (eg, Exchange serves), the approximate number of each server type, the physical location of servers, and potentially relevant legacy data that may exist on servers; C. Use of desktops or laptop, including where business information is saved and ‘backed up, how the desktops are connected to the network (e.g, LAN, remote access programs), and any use for telecommuting; D. Use of privately-owned computers to conduct business, how these computers are ‘connected to your organization's network (eg, remote access, web acces), and ‘here work-related EST is saved and backed up for these personal computers; 1Vv. E, Use ofcell phones, smart phones, tablets and other portable digital or handheld devices to conduct business (whether provided by your organization or the «employee, the types of devices used, how these devices are connected t0 your organization's network, and whether they contain business-related messages ot ‘documents not stored on the netwark (eg, SMS, PIN, or other message application or system communications, notes, contact, calendars, and call logs); F. Use of removable storage media (eg, digital storage devices, CDs, external hard drives); G. All third-party storage locations containing ESI created by your organization (©, cloud-based services, externally hosted servers), including storage ouside of ‘the United States fr data created inside the United States; H. All Tegacy systems containing ESI not migrated to curent systems; and 1. Where, and for how long, ESI created by former employees is stored, 1. Whether passwords, encryption keys, or athe access devices willbe necessary to access the eletroni dat Applications and Document Management Software Describe the applications and document management softwareprograms used in your Organization's business, addressing: A. Banal, Text, and Other Blectronie Communication Software and Applications 1, E-mail programs (eg., Microsoft Outlook, web-based e-mail accounts), including version, date system was implemented, and any related applications used (eg, contacts, calendar, notes, asks); 2 Where emails are stored (eon network servers, local drives), including archived e-mails; 3. Limits on e-mail retention (e.g, size of mailbox, length of retention), and ‘when suc limits were put into effect, 4. Schedule and parameters fr email deletions (or auto-deletions); 5. Use of ent, instant, and other messaging applications and programs (eg, Apple Messages, Whats App, Facebook, Snapchat, WeChat, Linkedin), ‘where messages ae stored (eg, locally on device or centrally in Cloud), limits on message retention, and schedule and parameters for message deletions; andB. c 6. Any voicemail system(s) used, the programs used for voicemail retention, ‘how long voicemails are retained, whether voicemail messages are ‘migrated to another electronic system, eg, email, and the format in ‘hich voicemalis stored eg, wav, ee). Other Applications |, Each application (including version) used to create ESI, including word processing, spreadsheet, presentation, financial, or accounting, and any customized or proprietary software applications; and 2. Where ESI created through such programs is stored, and whether each such storage space is shared or personal, Document Management 1. Bach document management application (including version) used 2. Thetypes of ESI stored using such programs; and 3. Where such ESI is stored. Internet, Intranet, and Other Web-based Information A Deseribe the intemet and intranet sites that your Organization maintains, addressing 1, The type of information maintained on each site; 2. Which groups or categories of users (not lists of names of individuals) hhave rights toad, delete, or alter data on each site; 3. Where cach siti stored; 4. Wheter ESI contained in each site i routinely deleted (or auto-dleted) and the schedule or parameters for such deletions; and 5, Any approval processiprocedures to alte content on each ite Deserbe the web-based services your employees or the Organization use in ‘elation tthe busines, addressing: 1. Which, ifany, social networking sites (e.g, Facebook, Myspace, Twit), personal e-mail boxes (., Hotmail, Gmail, AOL, Yahoo), collaboration tools (eg, wikis, SharePoint, Google docs, Dropbox, blogs, WeDE), or veo or photo sharing ses (eg, YouTube, Flicks, Snapfish, arevu. sed 2. Which groups or categories of users (not ists of names of individuals) hhave rights to add, delete, or alter data in each web-based service; 3. Where the information foreach web-based service is stored; 4. How employees use each web-based service; 5. Whether BSI contained in each web-based service is routinely deleted (or aulo-delted) and the schedule or parameters for such deletions; and 6. Any approval process/procedures to alter content on any web-based Databases Deseribe databases used inthe conduct of your organization's busines, addressing: A ‘The name ofeach such database, its underlying software including version) and developer (eg, isthe database developed internally or licensed from third arty); The group or individual that manages or maintains the database; ‘The type of information each database contains and what it is used for; ‘Which groups or categories of users (not Hist of names of individuals) have rights toadd, delete, or alte data in each database; ‘Where each database is stored; ‘Whether ESI contained in each database is routinely deleted (or auto-dleted), the schedule or parameters for such deletions, and whether a log of each entry andor ‘modification inthe database is maintained; and ‘The availability of regular or standard reports, data dictionaries, diagrams, field trees, manuals, and training materials foreach database Disaster Recovery Backup and Archiving Procedures A For each repository of ESI identified in response to this questionnaire, describe ‘Your organization's backup procedures, addressing 1. Thetypes of backups performed (, 4 {ul backups, inremental backups);2 ‘The types of data backed up (emails, word processing documents); 3. The backup schedule (er, cach business day, weekly, and monthly); 4. The period for which EST contained on backups may be restored (ie, the number of months or years backup media ae retained before being overwritten); 5. Whether backup media are individually labeled by typeof data stored on the media, or by employees whose datas stored on the tepe; 6. Whether an individual e-mail box canbe restored or the files of a single custodian restored, without restoring the entre backup media; 7. Whether backup me ia are indexed and/or logged by backup software; 8. The type of media on which the backup data is stored, and the backup application (inluding version) used; 9. The use of any remote or on-line backup service including wse of backups for cell phone ESI (eg, Apple iCloud), 10, The location of any and all hackup media, whether on or offsite: 11, Whether backup media have been restored within the last two years, for any purpose, including for other litigation orto retrieve data inadvertently ‘deleted from computer systems and B. _Foreach repository of ESI identified in response to this questionnaire, deseribe ‘yur organization's archiving practices, addressing: 1, Thetypes of ESL archived; 2 ‘The fequency with which each typeof ESI is archived; 3, Whether archiving occurs atomically ors dane manually, nd 4. Where archived ESI is store, C. Have backups or archives been made of ESI ouside of your normal procedures? If so, deseribe what was backed up or archived and whether it as been retained ‘VEIL Preservation Efforts Describe the actions that have been undertaken to preserve ESI, addressing: 5‘When steps were taken to preserve responsive ESI, including when preservation notices were sent to employees, when backup media or cloud-based recycling and ‘overuiting was suspended, when auto-delete functions were tured off, and when stang-lone desktops, cell phones, tablets, and laptops were imaged; ‘The individuals and business groups covered, including contractors and third partis, including a description of where thos individuals are located; and ‘The time period covered.‘SUBPOENA ATTACHMENT NOTICE CONCERNING DOCUMENT DESTRUCTION AND. ‘OF JUSTICE [Any person who withholds, alters, deletes, or destroys documents—including documents stored only in electronic form or accesible only through computer or other information-retrieva systems—demanded by this subpoena, or who removes or transfers stuch documents to outside the jurisdiction ofthe United States, may be subject to criminal Prosecution for obstruction of justice, contempt of court, or other federal criminal violations. Conviction of any ofthese offenses may be punishable by substantial fine, imprisonment, or both. ‘DEFINITIONS 1, “Agreement” means any contrect, arrangement, understanding, proposal, or other type of ‘agreement, formal or informal, oal or written, director indirect, tacit or express, implemented or unimplemented, successful of unsuccessful, between two or more persons. 2. “Bid” means any formal or informal offer, proposal, or quotation to produce sell, or supply any product or service 3. “Communication” means any discussion, conversation, inquiry, disclosure, transfer, of exchange of statements or information, however made, including orally, electronically, in ‘writing, by facsimile, in person, by telephone, or by any other means. 4. “Organization,” “the Organization,” “you,” or “your organization” means the entity to which this subpoena is addressed, any parent, predecessor, successor, division, affiliate, ot subsidiary (whether wholly owned or not) ofthat entity, any join venture to which any such entity is or was a party; and each current or former owner, officer, director, board member, ‘manager, partner, employee, atlomey, agent, representative, consultant, afiiated person, or ‘other person acting or purporting o act for or on behalf of any them. 5, “Documents” includes all writen, printed, recorded, graphic, or eletroncally stored information including email, ext messages, instant mestages, spreadsheets, Microsoft Word files, Adobe PDF files, photos, databases, and information sored on soci media accounts like Twitter or Facebook. “Documents” includes metadata, formulas, and other embedded, hidden, and bibliographic or histrial data desribing or relating to any document. 6, “Include” or “Including” means including, but no limited to, 7. “Waste Management” means services related tothe collection, transportation, processing, and disposal of solid wast, organic materials, debris, and recyclable products8. “Upper Valley Waste Management Agency” means the agency formed under a joint powers agreement for the purpose of preparing and implementing an integrated waste management plan forthe cites of Calistoga, St. Helena, and Yountville. 8 means the company responsible forthe colleto processing, and the recycling of solid waste, organic material, and th ites of Calistoga, St sen, nd Yori 10 II st ase magne company ts ian wich oes, Craporernlr, an poses fsa wae, db cad organ tral 11. “Person” means any natural person, essoviation (including trade association), company, cooperative, firm, publi, or private corporation (whether or not organized fr profit), joint ‘Yenture, institute partnership, sole propritorship, governmental entity (whether local, county, state of federal), or other form of business o legal entity, and shall include any oficer, director, employee, or agent thereof. Price” means actual, proposed, suggested, or recommended monetary values oF rates, 6 wel as price increases or decreases, retail prices, wholesale prices ist prices, transaction prices, transfer prices, exchange pices, markups, profit margins, discounts, rebates, promotions, oF promotional allowances, and al related charges 13. "Relate of “Relating to” means in whole o in part constituting, containing, conceming, discussing, describing, analyzing, identifying o sting 14.You" or your" means the person to which ths subpoena addressed; any parent, redecges, successor division, alate, or subsidiary whether wholly owned or no) of ‘that person, any joint venture to which any such person is or was a party; and each officer, director, manages, partner, employee, atomey, agent represeatative, consultant, afiliated person, o other person sctng da hebal of any of then, 15. Re enijunctive form “apd” andthe disjunctive form “oe” are mutually interchangeable and ‘encompass each other. The terms “any” and “all” are mutually interchangeable and encompass cach other. Use ofthe singular or the plural in this subpoena should not be ‘deemed a limitation, INSTRUCTIONS 1. Unless otherwise state, the documents that must be produced in response to this subpoena include all responsive documents dated, reated, modified, prepared, sent, received, used or infect at anytime during the period between January 1, 2019, andthe date of service of ‘this subpoena 2, This subpoena and schedule of documents call forthe production of ll responsive documents in your possession, custody or control without regard to the physical location of 2‘the documents; without regard to storage medium (wether i ing cabinets, laptops, cell ‘phones, thumb drives, or cloud services, for example); and without regard to whether the documents were prepared by you or someone else, ‘You must produce originals ofall responsive paper documents and an electronic copy of al ‘documents having responsive information that is electronically stored. Contact United States Department of lustice Antitrust Division attorney Jeremy Goldstein at Jesemy.Goldsteiniusdoj gov or (415) 229-2934 in advance of providing electronically Stored information, to confirm that the format of production is useable by the Grand Jury. If document olds privileged material, the entire document must be produced, with the privileged material redacted. Ir documeats or content are withheld 3s privileged, provide a Drivilege log that identifies the document or content and explains why itis privilege. Any document of prt ofa document withheld under a lai of privilege mus be preserve, ‘Any limitation to this subpoena must be confimed in writing by the United States Department of Justice Antitrust Division, Immediately take steps to preserve any potentially responsive material, including electronic documents suchas emails and text messages. Such steps should include the suspension of, automatic deletion or overvriting processes.DOCUMENTS TO BE PRODUCED Part ‘Your organization must produce tothe grand jury documents sufficient to show, or in lew thereof, at your option «statement certified by your representative setting forth the fllowing information. IFyeu elect to respond to these requests by producing documents that do not contain all the requested information, and the Organization is otherwise in possession of documents that contain some oral of the missing information, you must provide a written statement supplying ‘hat missing information. 1. Your organization’ legal name; all assumed, trade, or fictitious names uilized by your organization; its principe place of busines; its status asa corporation, partnership, proprietorship, or some other type of organization; the date and state of your ‘organization's formation; and the full names and business and home addresses ofeach present or former officer and director. Responsive documents inchude operating agreement, articles of incorporation, by-laws, and officer and director lists 2. For each calendar year from January 1, 2019, othe present, organizational charts, personne! lists, or other related directories of your organization, 3. For each calendar year from January 1, 2019, tothe present, the name, address, and telephone number for every administrator andlor purchasing agent responsible for procuring Waste Management services. Part? ‘Your organization must produce tothe grand jury the following documents. For each cover leer or other transmittal accompanying documents produced in response tothe paragraphs below, your organization must identify the specific paragraph of the subpoena to Which each document or group of documents is responsive andthe eustodian() from whose files the document(s) originated. 1, From January 1, 2019, tothe presen, all documents relating to quotes bids, proposals, oF offers your organization solicited for Waste Management services. Responsive documents include inquiries rgarding Waste Management services; requests for quotes, bids, or proposes; submitted quotes, bids, or proposals; submitted quotes, bids, or proposals; and communications wth entities that submitted or contemplated submiting quotes, bids, or proposals, 2. All documents related to contracts, performance of contracts, o the contracting process {or providing Waste Management services tothe cites of Calistoge, St Helena, and ‘Yountville, including documents evaluating providers or potential providers of WasteManagement services and communications with providers or potential providers of Waste Management services, ‘Communications with elected officials, administrators, oficers, agents, and other persons affiliated with Upper Valley Waste Management Agency or te cities of Ci fi Flas and Younus ening Waste Management services provided i —_———n- ony other company er person tat srovides Wane een sees All documents esting or ling tay sca possi, proposed mesg, Gicusen, conversation, conto sommentaon beeen sy canto oar ‘fcr, dito employee or agent of le eguizaon an any cat tf fet director, employee, or agent of any company er person that provides Waste Management services in Marin, Sonoma, Napa, Yolo, and Solsne Counties {Al documents addressing or discussing competition for Waste Management service in ‘Marin, Sonoma, Napa, Yolo, and Solano Courts, including documents addressing or siscussing actual or potential competitors or discussing potential or actual changes to the contracting proces for Waste Management services in Marin, Sonoma, Napa, Yolo, and Solano Counties.