Beshear Complaint Petitions

Filed 20-CI-02157 07/22/2020 NOT ORIGINAL
Vincent Riggs, Fayette Circuit Clerk DOCUMENT

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COMMONWEALTH OF KENTUCKY
FAYETTE CIRCUIT COURT
DIVISION______
MISC. CASE NO. 20-CI-________
IN RE: SUBPOENA TO GWENDOLYN R. PINSON

______________________________________________________________________________
PETITION FOR ORDER TO OPEN MICELLANEOUS CASE

______________________________________________________________________________
Petitioner, Holly M. Johnson, Secretary of the Kentucky Finance and Administration
Cabinet, respectfully petitions this Court for an Order establishing a miscellaneous proceeding
and case number as required for the enforcement of a subpoena pursuant to KRS 45.142. The
subpoena was issued and served upon Gwendolyn R. Pinson. She personally accepted service
via email. A copy of the subpoena is attached. (Exhibit A.). Ms. Pinson withheld all records
Presiding Judge: HON. KIMBERLY BUNNELL (622203)

responsive to the subpoena. (Exhibit B.) Petitioner believes that Ms. Pinson’s response is
deficient and intends to file a motion requesting the Court to compel Ms. Pinson to produce the
responsive records.
Respectfully Submitted,
/s/ Sam Flynn

Brian Thomas (Brian.Thomas@ky.gov)
General Counsel
Sam Flynn (Sam.Flynn@ky.gov)
Deputy General Counsel
Finance and Administration Cabinet
702 Capitol Ave., Room 392
Frankfort, Kentucky 40601
T: (502) 564-6660
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Counsel for Petitioner

Holly M. Johnson, Secretary
Filed 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk

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CERTIFICATE OF SERVICE
I hereby certify that on July 22, 2020, I electronically filed a true and correct copy of the
foregoing Petition and Order via the Court’s electronic filing system, causing all parties of record
to be served, and emailed a true and accurate copy of the foregoing to the following:
Jason Nemes
Commonwealth Counsel Group, PLLC
10343 Linn Station Rd., Ste. 100
Louisville, KY 40223
Office: 502.805.2303
Cell: (502) 648-8418
Jason@ccgattorneys.com
Counsel for Respondent

Gwendolyn R. Pinson
/s/Sam Flynn
Sam Flynn

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July 22, 2020
Via Email
702 Capitol Avenue, Room 386
Frankfort, KY 40601
Re: Administrative Subpoena Duces Tecum
Dear Secretary Johnson:
I have reviewed your response below with my client and am writing to let you know that our
position is unchanged. Nothing in your response refutes our objection to the Secretary's authority (which
is currently under review by the Kentucky Supreme Court in Lassiter v. Landrum, Case No. 18-SC-657)
nor assuages Ms. Pinson's concerns regarding her ethical obligations and duties owed under the
attorney-client privilege. Finally, your response wholly fails to address my client's concerns regarding

the current administration's obvious conflict of interest when it comes to the investigation of the
administration of former Governor Steve Beshear.
In order to try and resolve this matter without your office having to file legal proceedings in
Fayette Circuit Court (per KRS 45.142, enforcement authority lies with "the judge having jurisdiction of
the person to whom the order or subpoena was issued”) at a time when the administration is dealing with
a myriad of pandemic-related issues, we will address each of your points in greater detail below to see if
we can find any common ground.
In your response you make blanket statements about Ms. Pinson being in possession of public
documents, alleging that she used her personal email to conduct state business. As noted in our initial
objection, the documents relating to the awarding and termination of the contracts at issue in the
Subpoena Duces Tecum (Subpoena) are a matter of public record and on file with the Finance and
Administration Cabinet.
Next, you note that Ms. Pinson was General Counsel for the Finance Cabinet and allege that she
was intimately involved with the awarding and performance of the contracts at issue, leading to your
assertion that you "have information demonstrating that she and others may have engaged in
mismanagement of government affairs in related (sic) to that contract." As you can imagine, Ms. Pinson
certainly takes issue with any allegations of mismanagement levied against her. To the extent you
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would like to provide more details on this alleged information, I can discuss with my client, but given
that it was her job as General Counsel of the Finance Cabinet to ensure all procurement statutes and
regulations were followed, it is highly unlikely that she would have knowledge or information regarding
any alleged mismanagement.

10343 Linn Station Rd, Ste 100 • Louisville, KY 40223 • Office: 502.805.2303 • Fax: 502.805.2304 • www.ccgattorneys.com
Vincent Riggs, Fayette Circuit DOCUMENT
Clerk
07/24/2020 07:37:35 AM
Your argument about Ms. Pinson's involvement in the events giving riseWKYT
to the Lassiter case are
also misplaced. What Ms. Pinson may or may not have done in her role as General Counsel during the
prior administration occurred prior to the time when the Finance Secretary's authority had been
contested or was subject to Supreme Court review. Accordingly, our objection on the grounds of
the Lassiter case still stands.
Regarding the issue of attorney-client privilege, you state that, "government lawyers, like the
elected officials they assist, are public servants, and their client is the government, not officeholders in
their personal capacities." Yet, you cite no legal authority for this assertion. To the extent you have
legal authority supporting this argument, I would be happy to review and discuss the same with my
client. Moreover, it is my client's understanding that your Cabinet Chief of Staff and Inspector General,
Ms. Grigsby, who was my client's predecessor as General Counsel of the Finance Cabinet during the
previous Beshear Administration, asserted the very same attorney-client privilege my client now asserts
when she was contacted during one or more investigations into the activities of the prior Beshear
administration. As Ms. Grigsby was then likely motivated by the same ethical concerns that now
motivate my client, she should not find our request for legal authority on this point to be unreasonable.
Finally, as previously noted, your response does not address my client's concerns regarding the
conflict of interest presented by the current Beshear administration seeking to invade the attorney-client
privilege/work product protections surrounding an investigation into improprieties alleged to have
occurred during the previous Beshear administration, nor her concerns regarding protection of the
whistleblowers who cooperated as part of that investigation.

I am available to discuss the above at your convenience. To the extent there is additional
information or legal authority you wish to provide, I will be happy to discuss the same with my
client. At present, however, we stand by our prior objections to the Subpoena.
Kind regards,
Jason M. Nemes
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EXHIBIT A
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EXHIBIT B
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From: Herzig, Aaron M. WKYT
Sent time: 11/26/2019 03:11:26 PM
To: Knadler, Susanna
Cc: Williamson, Philip D.
Subject: Lassiter
Attachments: Fwd: Message from WILLIAM C. WAGNER (63614) RE: Kentucky Corruption Investigation
Susie,
Please search my email for items related to the Lassiter matter and copy them into the appropriate imanage
folder. (A search for the word “lassiter” probably does the trick.)
Also, please make a PDF of my argument binder and put that in imanage too. I think the client code is KEN18 /
GN001.
Needs to be complete by next Friday at the latest, and hopefully earlier.
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From: Herzig, Aaron M.
07/24/2020 07:41:21 AM
Sent time: 11/26/2019 03:11:26 PM
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Subject: Lassiter
Susie,
Please search my email for items related to the Lassiter matter and copy them into the appropriate imanage folder. (A search
for the word “lassiter” probably does the trick.)
Also, please make a PDF of my argument binder and put that in imanage too. I think the client code is KEN18 / GN001.
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RE Kentucky Corruption Investigation.msg

07/24/2020 07:41:21 AM
Sent time: 11/26/2019 03:06:22 PM
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To: Wagner, William; Smoker, Seth; Williamson, Philip D.
Subject: RE: Kentucky Corruption Investigation
Bill,
Got your voicemail and Seth’s email. We will get everything into imanage as quickly as we can, and before the deadline of next
Friday.
Aaron
From: Smoker, Seth <SSmoker@taftlaw.com>

Sent: Tuesday, November 26, 2019 1:15 PM
To: Herzig, Aaron M. <aherzig@taftlaw.com>; Williamson, Philip D. <pwilliamson@taftlaw.com>
Subject: Kentucky Corruption Investigation
Aaron & Philip,
I hope the both of you have been doing well. We have been asked by the state of Kentucky to turn over all documents and
correspondence regarding the corruption investigation for them to review. They are needing this by the close of business next
week. Would you make sure that you and your team have put everything regarding this into iManage? Reviewing the file, it
looks like most if not all of the documents and correspondence are in there but wanted to double check. I appreciate the help
with this and I hope you both have a great Thanksgiving.
Sincerely,
Seth
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Fwd Message from WILLIAM C. WAGNER (63614).msg

07/24/2020 07:41:21 AM
Sent time: 11/26/2019 02:08:37 PM
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To: Williamson, Philip D.
Subject: Fwd: Message from WILLIAM C. WAGNER (63614)
Attachments: VoiceMessage.wav ATT00001.htm
Some additional info.
Begin forwarded message:
From: "WILLIAM C. WAGNER" <wwagner@prpuc.us.taftlaw.com>

Date: November 26, 2019 at 12:40:26 PM EST
To: "aherzig@prpuc.us.taftlaw.com" <aherzig@prpuc.us.taftlaw.com>
Subject: Message from WILLIAM C. WAGNER (63614)
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ATT00001.htm
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From: Herzig, Aaron M. WKYT
Sent time: 11/26/2019 03:11:26 PM
Subject: Lassiter
Susie,
Please search my email for items related to the Lassiter matter and copy them into the appropriate imanage
folder. (A search for the word “lassiter” probably does the trick.)
Also, please make a PDF of my argument binder and put that in imanage too. I think the client code is KEN18 /
GN001.
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VOICEMAIL RECORDING
DATE:
NOVEMBER 26, 2019
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25· ·DATE:· NOVEMBER 26, 2019
YVer1f
Filed 20-CI-02157 07/22/2020 from November
VOICEMAIL RECORDING, Vincent Riggs, NOT ORIGINAL
Fayette Circuit
26, 2019 Clerk DOCUMENT
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·1· · · · BILL OR JACKIE:· Hey, Aaron.· It's Bill and
·2· ·Jackie.
·3· · · · BILL OR JACKIE:· Hey, we just got a call from
·4· ·general counsel to the Finance Cabinet, and they
·5· ·said they have spoken with the Governor's office
·6· ·about what happens going forward in this case, and
·7· ·they have decided that they want to claw back
·8· ·everything, terminate our contract. so we need to
·9· ·spend all the materials we have. Electronic,
10· ·handwritten notes, all that stuff, box it up, and
11· ·ship it to them at the -- to -- essentially to the
12· ·leadership of the Senate to the general counsel for
13· ·Senate's president, Robert Stivers.· The general
14· ·counsel is David Fleenor.· We've got the address and
15· ·all of that, but they need it done by the end of
16· ·business next week because the inauguration is
17· ·coming up very soon, and they want to be able to
18· ·terminate everything and hand over the information
19· ·to the Senate counsel.· And at that point, they will
20· ·probably, he said, reestablish a relationship with
21· ·us and maybe have the Senate retain us going forward
22· ·on the matter.· But we need to get them all of our -
23· ·- all of our file materials ASAP.
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24· · · · · (END OF RECORDING)

25

Fayette Circuit
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·1· · · · · · · · · ·CERTIFICATE OF REPORTER
·2· · · · · · · ·COMMONWEALTH OF KENTUCKY AT LARGE
·3
·4· ·I do hereby certify that the said matter was reduced to
·5· ·type written form under my direction, and constitutes a
·6· ·true record of the recording as taken, all to the best
·7· ·of my skill and ability. I certify that I am not a
·8· ·relative or employee of either counsel, and that I am in
·9· ·no way interested financially, directly or indirectly,
10· ·in this action.
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22· ·COURTNEY BUSICK
23· ·COURT REPORTER / NOTARY
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24· ·COMMISSION EXPIRES ON: 10/18/2021

25· ·SUBMITTED ON: 07/20/2020

Fayette Circuit
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A G P
Aaron 2:1 general 2:4,12, point 2:19

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address 2:14 president 2:13
Governor's
ASAP 2:23
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B
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2:24
back 2:7
hand 2:18
reestablish
Bill 2:1,3
handwritten 2:20
box 2:10 2:10
relationship
business 2:16 Hey 2:1,3 2:20
retain 2:21
C I
Robert 2:13
Cabinet 2:4 inauguration

2:16 S
call 2:3
information
case 2:6 Senate 2:12,
2:18
19,21
claw 2:7
Senate's 2:13
contract 2:8 J
ship 2:11
counsel 2:4,
12,14,19 Jackie 2:1,2,3 spend 2:9
spoken 2:5
D L
Stivers 2:13
David 2:14 leadership stuff 2:10

2:12
decided 2:7
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terminate 2:8,
materials 2:9, 18
Electronic 2:9 23
end 2:15,24 matter 2:22 W
essentially
2:11 N week 2:16
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file 2:23 O
Finance 2:4
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Fleenor 2:14
forward 2:6,21

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April 19, 2016

Governor Matt Bevin Remarks as Prepared for Delivery
Thank you for being here today.
The citizens of Kentucky deserve an honest and transparent government. All government
officials must be good stewards of the taxpayer dollars that fund our state government. The
hard-working men and women who send their tax dollars to Frankfort expect nothing less than
this.
As Governor of this state, I have carefully and thoughtfully hired public servants who are
competent and committed to the Commonwealth. Just as important, we have sought men and
women of high character to serve the Commonwealth.
In the first four months of my administration, my staff has uncovered evidence that
officials in the prior administration failed to meet the high standards that the law and people of
Kentucky demand from state government officials. We are here today to air out some and I
stress some of the questionable activities that our administration has discovered since taking
office 4 months ago.
Even more recently we have learned through a U.S. Department of Justice press
conference and media reports that the pay-to-play method of conducting government was alive
and well at the very highest levels of the past administration.
This method of government must stop and will not be tolerated in our administration. In
fact, it stopped the day I took office.
These discoveries raise questions that must be answered in an open and transparent way.
Only then, will the citizens of this Commonwealth begin to have confidence in their government.
There must be a shift in culture and the way business is done in Frankfort, if we are to move on
from the greedy even corrupt practices of the past. orruption and pay-to-
play, or pay-to-stay, will not be tolerated in this administration.
Upon concluding my remarks, I will announce how we, as a state, are taking the initiative
to move Kentucky forward into a new day one in which the public have confidence in, and
can be proud of, its elected and appointed officials.
1. POLITICAL CONTRIBUTIONS BY STATE EMPLOYEES
Perhaps as disturbing as anything that has come to light is the potential coercion of state
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employees for political contributions by high-level officials of the last administration.
The Tim Longmeyer federal criminal investigation reveals that apparently ill-gotten gains
were directed to Attorney General , to other Democratic candidates and

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to the Democratic Party. But is the apparent coercion of employees

at the Personnel Cabinet while Longmeyer was Secretary there.
Longmeyer helped found ol Club, which appears to have

solicited contributions from scores of donors to Democratic causes and candidates, including
raising money from state employees in the Frankfort area all while he was a top Beshear
administration official.
Public records also show that state employees contributed at least $140,000 to the
Beshear for Attorney General Campaign in 2014 and 2015. We have learned from rank-and-file
state employees of closed door demands by high-level Beshear administration officials that they
make
for Governor and Attorney General.
Employees have stepped forward on numerous occasions and explained how they were
essentially coerced and that they complied out of fear of loss of their jobs or other retribution.
This investigation is preliminary,
This sort of thing was not only wrong if true, it was illegal. It warrants thorough
investigation and exposure in any Cabinet where it may have occurred. And punishment where
warranted. These practices will not be tolerated in our administration.
Records also reveal that Tim Longmeyer and his family made contributions to the
Beshear for Attorney General 2015 campaign of $8,000 and substantial sums to other
Democratic Party causes.
His alleged co-

much as $15,500, according to reports.
is a
serious problem. I ask Attorney General Beshear to return those thousands of dollars of
questionable contributions if he has not done so already.
Return of those contributions by the Beshear campaign will go a long way toward
showing Beshear
eturn
those contributions will say just the opposite.
To the thousands of public employees who work in state government, thank you for your
service. All I ask is that you do your best for Kentucky and take pride in your work. Your job
does not require a political contribution.
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2. SAS INSTITUTE
During the transition period before I took office, I wrote a letter to Governor Beshear
requesting that his administration provide my transition team a copy of all contracts over

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$1,000,000 that they anticipated would be executed before the end of his administration. He
refused.
On its last day in office, the Beshear administration awarded a $3 million no-bid contract
for fraud-detection services to SAS Institute, of North Carolina, a company that retained the
husband of Secretary of the Cabinet as a consultant and employed a former
Office official as a lobbyist.
Rather than put the contract out for bid, this large no-bid contract was extended on the
final day of the Beshear administration, December 7, 2015, even though it was not set to expire
until December 31.
Furthermore, there is clear evidence that the initial SAS contract was improperly
expanded to cover additional state agencies without a competitive bid. In both cases, the no-bid
contracts involved the politically appointed Executive Director of Purchasing in the Finance
Cabinet.
No bid contracts should be used only when absolutely necessary and warrant close
scrutiny. The awarding of a no-bid contract benefitting the husband of the former
Secretary of the Cabinet deserves such scrutiny.
3. MEDICAID IT SYSTEM
The prior administration issued an RFP for an upgrade of the IT system that is the
backbone for Medicaid. It is an enterprise management system requiring the investment of
hundreds of millions of state and federal dollars. Several Fortune 500 IT consulting firms
responded to the RFP.
After eight months, this procurement was abruptly cancelled, presumably after a bidder
complained about its treatment during oral presentations. The bid was reissued and, in November
2015, the Beshear administration was preparing to award the contract to the firm whose
complaints apparently led to the cancellation of the initial solicitation.
There are serious questions about the propriety of this procurement process. First, the
bidder that complained about its treatment was about to lose the initial bid. Second, management
of the second bid was taken away from the career merit-system procurement officer who handled
the first solicitation and put into the hands of a non-merit, political appointee - the Executive
Director of Purchasing in the Finance Cabinet the same person responsible for the no-bid SAS
contracts mentioned earlier. Third, the firm positioned to secure the award following the issuance
of the second solicitation had partnered with a firm owned by the husband of former Governor
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Cabinet yes, the same person who consulted for SAS when it
received its no-bid contracts.

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After complaints resulting in the cancellation of the first solicitation, a losing vendor
receives the highest score following the rebid conducted by a political appointee. This is a
Thankfully, time ran out on the prior administration. Shortly after uncovering these
questionable decisions and relationships, our administration acted quickly to cancel the second
bid. We are now moving forward on two fronts: investigating the potential improprieties of the
previous bids and preparing a new bid that will be fair to all potential respondents.
4.
Two major potential branch of the state

Personnel Cabinet have also come to light.
One involves the claims administrative process for volunteer firefighters. In particular, it
appears former officials in the Personnel Cabinet deviated from routine claims handling practice
to effectuate potentially unjustified awards of lump sum death benefits, medical benefits, and
indemnity benefits to volunteer firefighters. This may have costs millions of dollars over a
number of years.
The second irregularity involves certain directives apparently requiring third party
handling of all claims to certain specified, hand-picked attorneys rather than proceeding in a fair
bidding process. This is yet another example of abuse of the state procurement system.
This investigation is continuing. In fact, Secretary Tom Stephens of the Personnel

Cabinet, has recently formally requested the Finance and Administration Cabinet to conduct an
investigation into these potential irregularities with an emphasis on auditing all of the claims and
billing practices over an extended time period and ensuring compliance with competitive bidding
requirements. This will be done.
CONCLUSION
In light of these areas of serious concern, and still others that are not able to be discussed
publicly at this time, I am asking the Secretary of the Finance and Administration Cabinet, Col.
Bill Landrum, using the extensive investigative powers given to him in KRS Chapter 45, to
prepare and issue an RFP for a thorough, in-depth investigation and report by an attorney or law
firm with experience in investigating activities and contracts like I have outlined.
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Once selected, this firm will work closely with Secretary Landrum and his staff,
, whose appointment will be announced in the
coming days, to make findings and issue a report.

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Under KRS Chapter 45, such investigation will include the ability to subpoena witnesses
and records as may be necessary to accomplish the investigative goals.
A thorough, independent investigation like this can expose and cast light upon prior
unsavory and perhaps illegal practices, but can also provide the public a degree of
confidence in a fair and transparent governance that was so glaringly absent in the past
administration.
I understand that the FBI might be looking into matters related to these issues, but the
FBI is investigating potential violations of federal law. The people of Kentucky also deserve to
know whether any Kentucky laws were violated.
When I campaigned for Governor I committed to running the kind of open, transparent
and honest government that has not always existed in Frankfort.
I have the highest confidence in the caliber and integrity of Sec. Landrum. He will clean
administrative operations running in a way that will
restore confidence in government business. Any sign of corruption will be exposed and
eliminated.
The people of Kentucky elected us to be good stewards and public servants, not to use
their hard-earned taxdollars for political or personal gain. That is our commitment.
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EXHIBIT I
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From: Pitt, Steve (Gov Office) WKYT
Sent time: 04/04/2016 06:12:58 PM
To: Brinkman, Scott (Gov Office); Brickman, Blake (Gov Office); Meredith, Chad (Gov Office)
Subject: Fwd: Got your message ...
Attachments: Bennett, Jackie.vcf ATT00001.htm
FYI. 2:00 Weds for meeting withJackie Bennett. Don't know where yet. He'll probably bring an
associate.
Sent from my iPhone
From: "Bennett, Jackie" <JBennett@taftlaw.com>

Date: April 4, 2016 at 3:40:31 PM EDT
To: "Pitt, Steve (Gov Office)" <Steve.Pitt@ky.gov>, Steve Pitt <mspitt490@gmail.com>
Subject: Re: Got your message ...
Excellent. I will see you then. Thanks Steve. Jackie
From: Steve Pitt <Steve.Pitt@ky.gov>

Date: Monday, April 4, 2016 at 3:38 PM
To: Jackie Bennett <jbennett@taftlaw.com>, Steve Pitt <mspitt490@gmail.com>
Subject: RE: Got your message ...
We are all good at 2:00 and afterwards on Weds. Blake Brickman, Scott Brinkman, Chad Meredith
and I will attend. I’ll set it for 2:00 if that works for you but it could start later. Your call. I-65 to
Lou. Then I-64 to Frankfort. Exit 53B. Follow U.S. 127 for a couple of miles then turn right on U.S.
60. Stay left on 60. In less than a mile you’ll take Lafayette Drive down a steep hill. You’ll see the
Capitol. Continue going forward after the stop sign between the back of the Capitol and front of
the Capitol Annex. There will be a big “floral” clock on your left. In about 1/10 mile or less there
will be a parking lot beside the Annex. Come in the side entrance of the Capitol closest to that
parking lot. Hang a left after the security point at the door and walk down to 101. Thanks.
From: Bennett, Jackie [mailto:JBennett@taftlaw.com]

Sent: Monday, April 04, 2016 12:48 PM
To: Pitt, Steve (Gov Office); Steve Pitt
Subject: Got your message ...
Will call as soon as I free up (by at least 2). Best, Jackie
Taft /
EXH : 000003 of 000017
Jackie M. Bennett, Jr. / Partner

Taft Stettinius & Hollister LLP
One Indiana Square, Suite 3500
Indianapolis, Indiana 46204-2023
Tel: 317.713.3500 • Fax: 317.713.3699
Direct: 317.713.3444
www.taftlaw.com / JBennett@taftlaw.com
07/24/2020 07:53:49 AM
Taft Bio WKYT
This message may contain information that is attorney-client privileged, attorney work product or
otherwise confidential. If you are not an intended recipient, use and disclosure of this message are
prohibited. If you received this transmission in error, please notify the sender by reply e-mail and
delete the message and any attachments.
EXH : 000004 of 000017

07/24/2020 07:53:49 AM
From: Pitt, Steve (Gov Office) WKYT
Sent time: 04/04/2016 11:37:13 AM
Brickman, Blake (Gov Office); Brinkman, Scott (Gov Office); Stephens, Thomas (PERS); Meredith, Chad
To:
(Gov Office)
Subject: Emailing - jackie_m_bennett_jr_.pdf
Attachments: jackie_m_bennett_jr_.pdf
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http://www.taftlaw.com
Ann Arbor / Chicago / Cincinnati / Cleveland / Columbus / Dayton / Indianapolis / Northern Kentucky / Phoenix
Jackie M. Bennett, Jr.

Partner
Office: Indianapolis
Address: One Indiana Square Suite 3500 / Indianapolis / Indiana 46204
Email: jbennett@taftlaw.com
Telephone: (317) 713-3444
Fax: (317) 713-3699
Practice Groups:
JACKIE M. BENNETT represents individuals and corporations in cases expected Corporate Compliance & White
Collar Criminal Defense, Litigation,
to go to trial. His practice concentrates in the areas of commercial, civil and white-
Crisis Management, Securities -
collar criminal litigation, as well as regulatory investigations by state and federal
Litigation, Intellectual Property
agencies. Jackie has experience and expertise in matters involving internal Litigation, First Amendment &
corporate investigations, corporate governance, securities regulation, foreign Media Law, Environmental,
corrupt practices, patent infringement, environmental crimes and an array of Campaign & Election Law, FCPA &
International Anti-Corruption,
contract and business tort actions. Many of these matters have involved requests
Privacy & Data Security,
for expedited injunctive relief. Environmental Transactional
Services
Prior to entering private practice in Indianapolis, Jackie was a federal prosecutor
for 14 years. He served in the Office of Independent Counsel Kenneth W. Starr Bar/Court Admissions:
Federal
from 1995 to 1999, the last two years as the Principal Deputy in charge of the
Southern District of Indiana,
OIC’s Washington, D.C. operations. Jackie supervised the day-to-day operations Northern District of Indiana
of that office and was involved in a number of high profile investigations and
State
prosecutions. He served as senior advisor to Judge Starr on investigative and
Indiana
prosecutorial aspects of several matters, including the Impeachment Referral of
William Jefferson Clinton. In that regard, he was one of three prosecutors selected Year First Admitted to
by Judge Starr to conduct the grand jury questioning of President Clinton. Jackie Practice Law:
1983
also played a principal role in several trials during the Arkansas phase of the
Whitewater Investigation, including the 1996 fraud and conspiracy trial resulting in Education:
the convictions of then-sitting Arkansas Governor Jim Guy Tucker and former Indiana University - Robert H.
Madison Guaranty Savings & Loan owners Jim and Susan McDougal. McKinney School of Law (1983),
Hanover College (1980)
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From 1988 to 1995, he served as Trial Attorney and Senior Trial Attorney in the
elite Public Integrity Section of the Justice Department’s Criminal Division in
Washington, D.C. During his time in that office, he prosecuted numerous public

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WKYT

corruption cases nationwide, including some of the most challenging corruption Professional Affiliations /
cases in the United States in recent years: Recognitions:
AV Peer Review Rating
(LexisNexis/Martindale-Hubbell),
• U.S. v. Albert Bustamante (1993, M.D. Texas) - bribery and racketeering trial
Benchmark Litigation Star, Best
of U.S. Congressman from Texas. Lawyers in America®, Chambers
• U.S. v. Thomas McGill, et al (1990, E.D. Pa.) - bribery, case-fixing and tax USA: America's Leading Lawyers
evasion trial of prominent Philadelphia judge and criminal defense lawyer. for Business, Indiana State Bar
Association, Indiana Super
• U.S. v. Joseph Gieniec, (1991, C.D. Cal.) - Hobbs Act extortion and illegal
Lawyers, Indianapolis Bar
gratuities case against Deputy U.S. Marshal.
Association, Indianapolis Legal Aid
• U.S. v. Darrell Tomblin (1993, M.D. Texas) - prosecution of PAC director in Society, Seventh Circuit Bar
connection with the S&L crisis and efforts to bribe a U.S. Senator. Association
• U.S. v. David Durenberger (1994, D.D.C.) - prosecution of a former U.S.

Senator from Minnesota for false claims.
Jackie also served as an Assistant U.S. Attorney for the Southern District of
Indiana from 1985 to 1988. Before that he was a judicial law clerk in the United
States District Court for the Southern District of Indiana for the Honorable Sarah
Evans Barker and her predecessor, the Honorable Cale J. Holder.
Jackie was highly-decorated as a federal prosecutor, having received numerous

awards from the Justice Department. In 1994, Attorney General Janet Reno
presented Jackie with the prestigious John Marshall Award, presented annually
“For Outstanding Legal Achievement,” in recognition of his work in prosecuting
corruption matters.
Since 2005, Jackie has been honored in editions of Chambers USA: America’s
Leading Lawyers for Business in the area of Litigation. The Best Lawyers in
America®, the oldest and most respected peer-review publication in the legal
profession, named Jackie as the “Indianapolis Litigation - Environmental Lawyer of
the Year” for 2012. He has also been recognized by Best Lawyers® for both
Commercial and Environmental Litigation and White Collar Criminal Law. Jackie
has also been honored by Benchmark Litigation for Commercial Litigation and
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White-Collar Crime. For several years he also has been recognized in peer
rankings-based Indiana Super Lawyers and in 2015, Jackie was named a Top 50
Indiana Super Lawyer.
In October 2011, Jackie was honored by the Indiana Bar Foundation for law-

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WKYT

related education and pro bono services at the 2011 Randall T. Shepard
Celebration.
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07/24/2020 07:53:49 AM
From: Wagner, William WKYT
Sent time: 04/06/2016 08:20:06 AM
To: Bennett, Jackie
Subject: RE: fyi
Very informative. Will leave the office a little after 9 and meet you at 10 outside of Cracker Barrel.
From: Bennett, Jackie
Sent: Wednesday, April 06, 2016 8:17 AM
To: Wagner, William
Subject: Re: fyi
http://www.courier-journal.com/story/news/politics/gerth/2016/03/26/gerth-charge-sends-shock-concern-through-
dems/82264152/
From: Jackie Bennett <jbennett@taftlaw.com>
Date: Wednesday, April 6, 2016 at 8:11 AM
To: William Wagner <WWagner@taftlaw.com>
Subject: fyi
In today’s commentary: http://www.americanthinker.com/blog/2016/04/indicting_mrs_boss_hogg.html
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07/24/2020 07:53:49 AM
Sent time: 04/06/2016 08:27:35 AM
To: Bennett, Jackie
Subject: RE: fyi
Attachments: Longmeyer.pdf

To: Wagner, William
Subject: Re: fyi
Okay.
From: William Wagner <WWagner@taftlaw.com>
To: Jackie Bennett <jbennett@taftlaw.com>
Subject: RE: fyi
Very informative. Will leave the office a little after 9 and meet you at 10 outside of Cracker Barrel.
To: Wagner, William
Subject: Re: fyi
http://www.courier-journal.com/story/news/politics/gerth/2016/03/26/gerth-charge-sends-shock-concern-through-
dems/82264152/
From: Jackie Bennett <jbennett@taftlaw.com>
To: William Wagner <WWagner@taftlaw.com>
Subject: fyi
In today’s commentary: http://www.americanthinker.com/blog/2016/04/indicting_mrs_boss_hogg.html
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From: Brickman, Blake (Gov Office) WKYT
Sent time: 04/08/2016 10:48:56 AM
To: Pitt, Steve (Gov Office); Meredith, Chad (Gov Office)
Subject: very rough draft
Attachments: press conference draft.docx
Privileged/confidential
Feel free to edit
Blake Brickman
Chief of Staff
Office of Governor Matt Bevin
(502)-564-2611
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WKYT
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WKYT
EXHIBIT J
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From: Meredith, Chad (Gov Office) WKYT
Sent time: 05/12/2016 11:55:34 AM
To: Pinson, Gwen R (Finance OGC); Pitt, Steve (Gov Office)
Cc: McNeill, Andrew (Gov Office); Landrum, William M (Finance Secretary's Office)
Subject: RE: Draft RFP - Confidential/Privileged Communication
Attachments: DOC006.pdf
Gwen,
Here are my suggestions.
Chad
From: Pinson, Gwen R (Finance OGC)

Sent: Thursday, May 12, 2016 11:19 AM
To: Pitt, Steve (Gov Office)
Cc: McNeill, Andrew (Gov Office); Landrum, William M (Finance Secretary's Office); Meredith, Chad (Gov Office)
Subject: Re: Draft RFP - Confidential/Privileged Communication
I would prefer sticking with $250. It may draw ire of Committee but not as much as a higher rate would.
On May 12, 2016, at 11:13 AM, Pitt, Steve (Gov Office) <Steve.Pitt@ky.gov> wrote:
I’ve looked at it. I have very little to add. Chad and Andrew need to weigh in. Are we okay with
the “blended $250 hourly rate” language? The amount might draw questions from the oversight
committee but I thought that was a minimum for getting a good firm. It should be even higher.
Would $275 or $300 fly? Do we need a maximum, i.e., “not to exceed” number?

Sent: Thursday, May 12, 2016 10:40 AM
To: Pitt, Steve (Gov Office); McNeill, Andrew (Gov Office)
Cc: Landrum, William M (Finance Secretary's Office)
Subject: Draft RFP - Confidential/Privileged Communication
Confidential/Privileged/Preliminary/Draft (including attachment)
Andrew and Steve,
Attached is the revised draft of the RFP for legal services. I apologize for not redlining, but my
changes were extensive, and I figured it was easier to read without the redlines.
Please let us know when you would like to discuss.
Thanks,
Gwen
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Gwen R. Pinson
General Counsel
Frankfort, KY 40601
Ph: (502) 564-6660
Cell: (502) 229-6204
07/24/2020 07:55:13 AM
Fax: (502) 564-9875 WKYT
gwen.pinson@ky.gov
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EXHIBIT K
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From: Pinson, Gwen R (Finance OGC) WKYT
Sent time: 05/20/2016 03:08:08 PM
To: Callaghan, Holly (Finance OAS)
Subject: RE: Legal & Investigative Services
No problem. Happy to accommodate.
Gwen R. Pinson
General Counsel
(502) 564-6660
From: Callaghan, Holly (Finance OAS)

Sent: Friday, May 20, 2016 12:59 PM
To: Pinson, Gwen R (Finance OGC)
This was perfect. I’m working on the assembly of the document now. Thank you!
Fiscal Officer
Finance & Administration Cabinet
Office of Administrative Support
702 Capitol Ave - Capital Annex Rm 195
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
"When GOD solves your problems, you have faith in His abilities; when GOD doesn't
solve your problems HE has faith in your abilities"

To: Callaghan, Holly (Finance OAS); Robinson, Kathy (Finance Administration)
Cc: Graham, Joan E (Finance Administration); Roder, Bob (Finance OAS)
EXH : 000003 of 000020
Per your email below, Holly, attached is a clean version of the document that should be ready for uploading.
Gwen R. Pinson
General Counsel
(502) 564-6660

Filed Sent: Friday, May 20, 2016 12:42
20-CI-02157 PM
07/22/2020 Vincent Riggs, Fayette Circuit Clerk
07/24/2020 07:55:38 AM
To: Pinson, Gwen R (Finance OGC); Robinson, Kathy (Finance Administration) WKYT
I will wait for the changes.
What I mean is instead of redlining the document, just change it/edit it and then send the xml back
to me. This way I receive your changes, but instead of it being a read only version, the document
would basically be ready to upload in eMARS as is. The way you want it to be.
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557

Thanks, Holly.
I understand that some formatting might get messed up when the document is uploaded to eMARS. Not sure
what you mean by “regular xml format.” I did not change the format of the document. I simply opened it and
redlined some changes.
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If you want to give me a few minutes, I just received some additional changes, which I can make and then send
you an updated document.
Thanks,
Gwen

07/24/2020 07:55:38 AM
Sent: Friday, May 20, 2016 12:20 PM WKYT
To: Pinson, Gwen R (Finance OGC); Robinson, Kathy (Finance Administration)
I will review this and get it into eMARS as quickly as I can so you can review the draft before we
submit.
Please keep in mind that the formatting on the xml document will not be the same once uploaded.
Certain changes to the formatting now might not or won’t line up the same once assemble in eMARS.
Changes to the format would be more consist or clear if the document was sent back in regular xml
format.
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557

EXH : 000005 of 000020
Holly,
Attached is a redline showing our final changes, most of which are edits. The Secretary wants to make sure that
we don’t have titles hanging at the end of pages, etc. and also that the spacing is consistent throughout the
document (in terms of being justified, etc.). I told him that eMARS causes some formatting issues but that we
would do the best we could.

07/24/2020 07:55:38 AM
Rather than issue this at the end of the week, we would like to hold off and issue itWKYT
on Monday. The response
deadline has been pushed to June 2, 2016 to allow additional time following the Memorial Day holiday.
Let me know if you have any questions.
Gwen
Gwen R. Pinson
General Counsel
(502) 564-6660

Sent: Friday, May 20, 2016 11:28 AM
To: Robinson, Kathy (Finance Administration); Pinson, Gwen R (Finance OGC)
Thank you. I’ve updated the eMARS document.
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
From: Robinson, Kathy (Finance Administration)

To: Pinson, Gwen R (Finance OGC); Callaghan, Holly (Finance OAS)
That should work. Thanks.

EXH : 000006 of 000020

To: Robinson, Kathy (Finance Administration); Callaghan, Holly (Finance OAS)
The title is fine. As for the description, how’s this:
In order to assist with the investigation of potential violations of state laws governing the behavior of
07/24/2020 07:55:38 AM
elected officials and public servants in conducting the affairs of the state, the FAC’s Office of Inspector
WKYT
General seeks proposals for the provision of legal and investigative services. This Request for Proposals
(RFP) includes, but is not limited to, investigative assistance related to possible violations of the KMPC
and alleged coercion of state employees for campaign contributions in violation of campaign finance
laws. The investigatory scope of the contract may be expanded, at the option of the FAC, to include
additional alleged violations of the public trust and applicable statutes and regulations reported or
discovered as part of this or other ongoing investigations or referred by other agencies to FAC for
investigation. Firms responding to this RFP should be prepared to provide investigative services
anywhere within the Commonwealth.
We have some changes to the document (mainly edits), which I will send in a redline once I hear back from all
parties who are reviewing.
Thanks,
Gwen
Gwen R. Pinson
General Counsel
(502) 564-6660

Gwen,
We named it “Legal & Investigative Services”. If you prefer another title let us know. Also, can you provide a
brief description for the Extended Description on the Commodity Line? The extended description will appear on
VSS.
Thanks,
Kathy

Sent: Thursday, May 19, 2016 6:39 PM
Cc: Robinson, Kathy (Finance Administration)
Thanks, Holly. I will let you know tomorrow (Friday) as soon as I have final approval for release.
Gwen R. Pinson
General Counsel
(502) 564-6660
EXH : 000007 of 000020

Subject: Legal & Investigative Services
Attached are the Terms and Conditions for the Legal & Investigative Services RFP for your review.
07/24/2020 07:55:38 AM
WKYT
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
Confidentiality Notice: This email and any attachments are confidential. If you are not the intended recipient, you do not have permission to disclose, copy, distribute, or open any attachments.
If you have recieved this email in error, please notify me immediately at holly.callaghan@ky.gov or by phone 502-564-4932 and delete this copy from your system.
EXH : 000008 of 000020

07/24/2020 07:55:38 AM
From: Sharpe, Kelly WKYT
Sent time: 05/20/2016 12:46:25 PM
To: Bennett, Jackie
Cc: Wagner, William
Subject: Re: Kentucky matter
Okay great. I'll be ready to help as soon as we have the request details.
> On May 20, 2016, at 12:14 PM, Bennett, Jackie <JBennett@taftlaw.com> wrote:
>
> I believe the RFP for the Kentucky matter we discussed is supposed to be posted on Monday. I don’t know how long it
will remain open at the moment, but we know we will need to make our submission soon.
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07/24/2020 07:55:38 AM
From: Callaghan, Holly (Finance OAS) WKYT
Sent time: 05/23/2016 09:33:32 AM
To: Pinson, Gwen R (Finance OGC); Robinson, Kathy D (Finance)
Attachments: Draft_RFP_750_1600000471_1_SO_FORM.pdf
Attached is the revised RFP that will be released today.
Bob,
I have submitted this to you for first level approval.
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557

Sent: Monday, May 23, 2016 9:17 AM
Subject: Re: Legal & Investigative Services
Holly,
At the top of page 7 of 17, the first paragraph needs to be revised so that it reads as follows:
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An attorney-client relationship will exist between and among the selected Firm and the FAC Secretary, the FAC
Office of Inspector General, the FAC Office of General General, and other state entities with whom the selected
Firm communicates during the course of each investigation assigned to it as may be necessary and appropriate.
Once this change is made, the RFP can be released. Please send me a PDF of the final once it is posted.
Thanks,
Gwen
Clerk
07/24/2020 07:55:38 AM
On May 20, 2016, at 7:26 PM, Pinson, Gwen R (Finance OGC) <Gwen.Pinson@ky.gov>
WKYTwrote:
Thanks, Holly. In case there are any last minute changes, please wait to hear from me before
issuing on Monday.
Gwen R. Pinson
General Counsel
(502) 564-6660

Revised RFP
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
"When GOD solves your problems, you have faith in His abilities; when GOD
doesn't solve your problems HE has faith in your abilities"

The Date Issued and Solicitation Closes date are the original dates.

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Attached is the assembled RFP for review.

07/24/2020 07:55:38 AM
WKYT
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557

Per your email below, Holly, attached is a clean version of the document that should be ready for
uploading.
Gwen R. Pinson
General Counsel
(502) 564-6660

I will wait for the changes.
What I mean is instead of redlining the document, just change it/edit it and then send
the xml back to me. This way I receive your changes, but instead of it being a read only
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version, the document would basically be ready to upload in eMARS as is. The way you
want it to be.

07/24/2020 07:55:38 AM
WKYT
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557

Thanks, Holly.
I understand that some formatting might get messed up when the document is uploaded to
eMARS. Not sure what you mean by “regular xml format.” I did not change the format of the
document. I simply opened it and redlined some changes.
If you want to give me a few minutes, I just received some additional changes, which I can make
and then send you an updated document.
Thanks,
Gwen

I will review this and get it into eMARS as quickly as I can so you can review the draft
before we submit.
EXH : 000013 of 000020
Please keep in mind that the formatting on the xml document will not be the same once
uploaded. Certain changes to the formatting now might not or won’t line up the same
once assemble in eMARS.
07/24/2020 07:55:38 AM
WKYT
Changes to the format would be more consist or clear if the document was sent back in
regular xml format.
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557

Holly,
Attached is a redline showing our final changes, most of which are edits. The Secretary wants to
make sure that we don’t have titles hanging at the end of pages, etc. and also that the spacing is
consistent throughout the document (in terms of being justified, etc.). I told him that eMARS
causes some formatting issues but that we would do the best we could.
Rather than issue this at the end of the week, we would like to hold off and issue it on Monday.
The response deadline has been pushed to June 2, 2016 to allow additional time following the
Memorial Day holiday.
Let me know if you have any questions.
Gwen
EXH : 000014 of 000020
Gwen R. Pinson
General Counsel
(502) 564-6660

Clerk
07/24/2020 07:55:38 AM
WKYT
Thank you. I’ve updated the eMARS document.
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557

That should work. Thanks.

To: Robinson, Kathy (Finance Administration); Callaghan, Holly (Finance OAS)
The title is fine. As for the description, how’s this:
In order to assist with the investigation of potential violations of state laws governing the
behavior of elected officials and public servants in conducting the affairs of the state, the
FAC’s Office of Inspector General seeks proposals for the provision of legal and
investigative services. This Request for Proposals (RFP) includes, but is not limited to,
investigative assistance related to possible violations of the KMPC and alleged coercion of
state employees for campaign contributions in violation of campaign finance laws. The
investigatory scope of the contract may be expanded, at the option of the FAC, to include
EXH : 000015 of 000020
additional alleged violations of the public trust and applicable statutes and regulations
reported or discovered as part of this or other ongoing investigations or referred by other
agencies to FAC for investigation. Firms responding to this RFP should be prepared to
provide investigative services anywhere within the Commonwealth.
We have some changes to the document (mainly edits), which I will send in a redline once I hear
back from all parties who are reviewing.

07/24/2020 07:55:38 AM
Thanks, WKYT
Gwen
Gwen R. Pinson
General Counsel
(502) 564-6660

Gwen,
We named it “Legal & Investigative Services”. If you prefer another title let us know. Also, can you
provide a brief description for the Extended Description on the Commodity Line? The extended
description will appear on VSS.
Thanks,
Kathy

Thanks, Holly. I will let you know tomorrow (Friday) as soon as I have final approval for release.
Gwen R. Pinson
General Counsel
(502) 564-6660

Subject: Legal & Investigative Services
Attached are the Terms and Conditions for the Legal & Investigative Services RFP for your
review.
EXH : 000016 of 000020
Fiscal Officer
07/24/2020 07:55:38 AM
WKYT
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
Confidentiality Notice: This email and any attachments are confidential. If you are not the intended recipient, you do not have permission to disclose, copy, distribute, or
open any attachments. If you have recieved this email in error, please notify me immediately at holly.callaghan@ky.gov or by phone 502-564-4932 and delete this copy
from your system.
EXH : 000017 of 000020

07/24/2020 07:55:38 AM
From: Sharpe, Kelly WKYT
Sent time: 05/23/2016 08:44:57 PM
To: Bennett, Jackie; Wagner, William
Subject: RE: RFP
Yes, it is very detailed – even very specific instructions of what we need to say/commit to in our cover letter. I
am available until 4pm except 11:30-12:30 for the IPS luncheon. I’ll do what I can to get started in the morning
but if we could get together after lunch (or whenever you both are free), that would be helpful. Thanks
Sent: Monday, May 23, 2016 8:29 PM
To: Sharpe, Kelly; Wagner, William
Subject: Re: RFP
Yes I can discuss tomorrow. I’ve never done one of these, it looks pretty detailed.
From: "Sharpe, Kelly" <KSharpe@taftlaw.com>
Date: Monday, May 23, 2016 at 3:59 PM
To: Jackie Bennett <jbennett@taftlaw.com>, William Wagner <WWagner@taftlaw.com>
Subject: RE: RFP
Thanks. I will review this and I will start working on a template for our response in the morning. Deadline is June
2 and it has to be mailed in sealed envelope so we need to have it finalized by June 1 (next Weds) at the latest
so I can overnight it.
Are you both available to get together tomorrow to discuss?
To: Wagner, William
Cc: Sharpe, Kelly
Subject: FW: RFP
Here is the RFP.
From: "M. Stephen Pitt" <mspitt490@gmail.com>
Date: Monday, May 23, 2016 at 3:21 PM
To: Jackie Bennett <jbennett@taftlaw.com>
Subject: Fwd: RFP
The RFP has been posted. I think the email below explains how you go online to print off the form. If you have any
problems, please let me know asap. If it didn't change in the final, I think you have ten days to have your proposal in.
Please call me if you have any questions. Thanks, Steve.
Sent from my iPhone
From: "Pitt, Steve (Gov Office)" <Steve.Pitt@ky.gov>

Date: May 23, 2016 at 3:17:03 PM EDT
To: Steve Pitt <mspitt490@gmail.com>
Subject: FW: RFP

EXH : 000018 of 000020
To: McNeill, Andrew (Gov Office); Pitt, Steve (Gov Office); Ditto, Jessica (Gov Office)
Subject: RE: RFP
Here’s the final, which has posted and is now public.
Gwen R. Pinson
General Counsel
(502) 564-6660
07/24/2020 07:55:38 AM
From: McNeill, Andrew (Gov Office) WKYT
To: Pitt, Steve (Gov Office); Ditto, Jessica (Gov Office); Pinson, Gwen R (Finance OGC)
Subject: RE: RFP
Will be posted @ 2pm
From: Pitt, Steve (Gov Office)
To: Ditto, Jessica (Gov Office); McNeill, Andrew (Gov Office); Pinson, Gwen R (Finance OGC)
Subject: RE: RFP
Has it been posted?
From: Ditto, Jessica (Gov Office)
To: McNeill, Andrew (Gov Office); Pitt, Steve (Gov Office); Pinson, Gwen R (Finance OGC)
Subject: RE: RFP
Thank you. I’ve asked Pamela to prepare a press release and have given Loftus heads up. I asked
her to incorporate some of the messaging from the press conference/IG announcement to drive
home the purpose of this search.
Thanks,
Jessica Ditto
Communications Director
Office of Governor Matt Bevin
Cell: 502.229.0420
Office: 502.564.2611
Jessica.ditto@ky.gov
@GovMattBevin
From: McNeill, Andrew (Gov Office)

Sent: Monday, May 23, 2016 9:57 AM
To: Pitt, Steve (Gov Office); Pinson, Gwen R (Finance OGC)
Cc: Landrum, William M (Finance Secretary's Office); Ditto, Jessica (Gov Office)
Subject: RE: RFP
Gwen – what time will the RFP be posted? I’m sure Jessica Ditto will want to prepare.
To: Pinson, Gwen R (Finance OGC); McNeill, Andrew (Gov Office)
Subject: RE: RFP
Thanks.
To: Pitt, Steve (Gov Office); McNeill, Andrew (Gov Office)
Subject: FW: RFP
Confidential/Privileged/Preliminary
Steve and Andrew,
EXH : 000019 of 000020
I wanted to touch base with you regarding the various means of distributing the legal and
investigative services RFP once it is posted on Monday. There are three (3) primary means of
distribution:
(i) When the RFP posts on Monday, all vendors registered with the state’s Kentucky Vendor
Self Service (VSS) website under the commodity code for legal services will
automatically receive a system-generated notice regarding the RFP;
(ii) If there are specific vendors/firms that we want to ensure see the RFP, you can provide the
Office of Procurement Services (OPS) with a list of those vendors, and, if they are not
07/24/2020 07:55:38 AM
registered (and, thus, will not receive a system-generated notice),
WKYTOPS can send them
a link to VSS and instructions on how to access the RFP; or
(iii) If you would prefer to send notification to specific vendors yourself, see Joan’s email
below, which is a template that can be used along with a PDF of the RFP that I will
send to you on Monday after it is posted.
Let me know if you have additional questions or need additional information.
Gwen
Gwen R. Pinson
General Counsel
(502) 564-6660
From: Graham, Joan E (Finance Administration)
Sent: Tuesday, May 17, 2016 10:48 AM
Subject: RE: RFP
Gwen,
Below is an email that I have sent to notify vendors of solicitation opportunities. The highlighted
part of the language is specific to the RFP and the sender of the email would need to fill that in
before sending. For example, the ‘name of RFP’ would be Pension Audit or whatever this RFP will
be called. eMARS assigns the RFP number so we won’t know that until the RFP is created in
eMARS. Thanks!
The RFP for enter name of RFPcan be located at the Kentucky Vendor Self Service (VSS) website:
https://emars.ky.gov/webapp/vssonline/AltSelfService
After accessing the website, click on Guest Access on the upper left side of the page. On the next
page in the Keyword Search type in enter 10 digit RFP number. That search will take a few minutes
but will return the link to RFP enter 10 digit RFP number documents. Click on the Details tab and
then the Attachments tab to locate all of the attachments pertaining to the RFP.
The VSS website is available for vendors to view all procurement opportunities for the state
agencies in Kentucky. You can access the opportunities via Public Access or you can register and set
up an account. The advantage of registering is that your company will be set up in the
procurement system which will eliminate some time for state agencies desiring to do business with
you.
Vendors must also be registered with the Kentucky Secretary of State and the Department of
Revenue.
http://www.sos.ky.gov/business/
http://revenue.ky.gov/business/salesanduse.htm
EXH : 000020 of 000020

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WKYT
EXHIBIT L
EXH : 000001 of 000018

Doc ID No: RFP 750 1600000471 version 1 Page: 1 of 17
07/24/2020 07:56:46 AM
WKYT
Commonwealth of Kentucky
SOLICITATION
TITLE: LEGAL & INVESTIGATIVE SERVICES
DATE ISSUED SOLICITATION CLOSES SOLICITATION NO.
05/23/2016
Date: 06/02/2016
RECORD DATE RFP 750 1600000471
Time: 12:00:00
05/23/2016
I FIN-OAS
A FINADM
S D
Holly Callaghan Procurement
S D
U R Division of Administrative Support
E E
702 Capital Av Room 195
D S
S
B FRANKFORT KY 40601
Y T
O US
V E N D O R
O Name: P Name:
R A
D Address: Y Address:
E City, State Zip Code: M City, State Zip Code:
R E
Phone #: N Phone #:
A Fax #:
T Fax #:
D
D Email Address: A Email Address:
R D
Contact Name: Contact Name:
E D
S Contact Email: R Contact Email:
S E
Vendor Customer (VC) #: S Vendor Customer (VC) #:
S
FOR INFORMATION CALL: ONLINE BIDDING PROHIBITED OWNERSHIP TYPE:
Holly Callaghan yes Sole Proprietorship Partnership Corporation

502-564-4932
SIGNATURE OF AUTHORIZED AGENT IS REQUIRED UNLESS RESPONSE IS SUBMITTED ELECTRONICALLY

FAILURE TO SIGN SHALL RENDER THE BID INVALID.
Signature X_______________________________________________________ FEIN#__________________ DATE__________________
All offers subject to all terms and conditions contained in this solicitation.
EXH : 000002 of 000018

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Line Items WKYT
Line Group: Default
Line CL Description Due Date Quantity Unit Issue Unit Cost Line Total Or Contract Amt
1 LEGAL & INVESTIGATIVE 0.00
SERVICES
Comm Code Comm Description Manufacturer Model # Manuf Part #
99052 Investigative Services
Extended Description
In order to assist with the investigation of potential violations of state laws governing the behavior of elected officials and public servants in
conducting the affairs of the state, the FAC’s Office of Inspector General seeks proposals for the provision of legal and investigative services.
This Request for Proposals (RFP) includes, but is not limited to, investigative assistance related to possible violations of the KMPC and alleged
coercion of state employees for campaign contributions in violation of campaign finance laws. The investigatory scope of the contract may be
expanded, at the option of the FAC, to include additional alleged violations of the public trust and applicable statutes and regulations reported or
discovered as part of this or other ongoing investigations or referred by other agencies to FAC for investigation. Firms responding to this RFP
should be prepared to provide investigative services anywhere within the Commonwealth.
B 512160 S
I FAC OFFICE OF GENERAL COUNSEL H
L 702 CAPITOL AVENUE
I
L P
FRANKFORT KY 40601 T
T
o US o
EXH : 000003 of 000018

07/24/2020 07:56:46 AM
Evaluation Criteria WKYT
The following criteria will be used when determining the award of this solicitation
Vendor Response
Code Criteria Description Points (DO NOT LIST PRICES IN THIS SECTION. UNIT PRICES AND TOTAL PRICES MUST BE FILLED
IN ADJACENT TO THEIR LINE ITEMS.)
Background and Relevant 600

Experience
Organizational Capability 100
Cost Proposal 300
EXH : 000004 of 000018

Document Phase Document Description PageAM
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1600000471 Final LEGAL & INVESTIGATIVE SERVICES of 17
WKYT
proposal SUBMISSION CHECKLIST
The offeror MUST include the following with the proposal submission.
If the items highlighted below are not submitted with the proposal submission,
the Agency MUST deem the proposal non-responsive and
SHALL NOT consider for award.
All other items MUST be submitted prior to award.
SIGNED AND COMPLETED SOLICITATION (Section 1.03 of this RFP)
LATEST ADDENDUM SIGNED (Section 1.03 of this RFP
*PROPOSED SOLUTION (TECHNICAL UNDER SEALED COVER) AND BY

CLOSING DATE
(Section 1.02 of the RFP)
*PROPOSED SOLUTION (COST UNDER SEALED COVER) AND BY CLOSING

DATE
(Section 1.02 of the RFP)
TRANSMITTAL LETTER (Section 1.03 of this RFP)
PROOF OF REGISTRATION WITH SECRETARY OF STATE BY A FOREIGN

ENTITY
(PSC STANDARD TERMS AND CONDITIONS of this RFP)
REQUIRED AFFIDAVIT/S (Section 1.03 of this RFP)
*The Agency defines SEALED as “a closure that must be broken to be opened and that thus
reveals tampering.” (Merriam-Webster Dictionary, http://www.merriam-webster.com/dictionary/
seal).
EXH : 000005 of 000018

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REQUEST FOR PROPOSAL

FOR
PERSONAL SERVICE CONTRACT

Office of Inspector General
Legal and Investigative Services
RFP 750 1600000471
This document constitutes a Request for Proposals for a Personal Service Contract from qualified individuals
and organizations to furnish those services as described herein for the Finance and Administration Cabinet,
Office of Inspector General.
Offerors are advised that any personal service contract resulting from this RFP must comply with all
applicable provisions of KRS 45A and KRS 12.210 prior to becoming effective.
A contract, based on this RFP, may or may not be awarded. Any contract award from this RFP is invalid
until properly approved by the Finance and Administration Cabinet and filed with the Legislative Research
Commission, Government Contract Review Committee.
1.00 Purpose and Background
Recognizing that the holding of public office is a public trust, it is the public policy of this Commonwealth
that (i) a public servant shall work for the benefit of the people, (ii) be independent and impartial, and
(iii) not use public office to obtain private benefits. Only when government policy and decisions are made
through established, transparent processes can the people of the Commonwealth maintain confidence in
the integrity of their government and of the public officers who serve them.
To retain public trust in the governmental and electoral institutions of this state and protect state employees
from political pressures, Kentucky’s campaign finance laws prohibit the use of coercive means to pressure
state employees in both classified and non-classified positions to contribute to political campaigns. In
addition, campaign finance laws forbid the awarding of no-bid contracts to persons or entities whose
campaign contributions have exceeded allowable limits or who have personally raised significant funds for
a public official’s campaign during the previous election cycle. See KRS 121.320, 121.330. These rules (in
conjunction with others discussed below) are intended to prevent unscrupulous public servants from using
their access to state government employees as a political fundraising machine and from handing out state
government contracts as political patronage.
Similarly, the Kentucky Model Procurement Code (KMPC) was enacted to (i) increase public confidence in
the procedures followed in public procurement; (ii) ensure fair and equitable treatment of all persons who
deal with the procurement system of the Commonwealth; (iii) promote effective competition; and (iv) provide
safeguards for the maintenance of a procurement system of quality and integrity. See KRS 45A.010. When
the provisions of the KMPC are violated, public confidence in the procurement process is undermined,
causing vendors to question whether there is a level playing field when competing for the Commonwealth’s
business.
Responsibility for ensuring that a level playing field exists through enforcement of the provisions of the
KMPC rests with the Secretary of the Finance and Administration Cabinet (FAC). As the state’s chief
purchasing officer, the FAC Secretary is responsible for all procurement by the Commonwealth (except that
related to turnpikes, highways, bridges and tunnels pursuant to KRS Chapters 175, 176, 177 and 180). See
KRS 45A.030(3), 45A.050(1). Under KRS Chapter 45, the Secretary of the FAC is charged with investigating
any alleged mismanagement of any of the affairs of the state, including the carrying out of any state function
or the management of state funds, by any officer, employee, or governing body within the executive branch
of government. For the purpose of enforcing the provisions of KRS Chapter 45, the Secretary of the FAC
is granted free access to relevant public records and other broad investigatory powers. See KRS 45.131,
45.142. Pursuant to a delegation of concurrent authority from the Secretary of the FAC, the FAC’s Office
EXH : 000006 of 000018
of Inspector General has been charged with investigating allegations of mismanagement of the affairs of
state within the executive branch.
In order to assist with the investigation of potential violations of state laws governing the behavior of elected
officials and public servants in conducting the affairs of the state, the FAC’s Office of Inspector General seeks
proposals for the provision of legal and investigative services. This Request for Proposals (RFP) includes,
but is not limited to, investigative assistance related to possible violations of the KMPC and alleged coercion

07/24/2020 07:56:46 6
WKYT
of state employees for campaign contributions in violation of campaign finance laws. The investigatory scope
of the contract may be expanded, at the option of the FAC, to include additional alleged violations of the
public trust and applicable statutes and regulations reported or discovered as part of this or other ongoing
investigations or referred by other agencies to FAC for investigation. Firms responding to this RFP should
be prepared to provide investigative services anywhere within the Commonwealth.
2.00 Scope of Work
Investigations will be assigned to the selected Firm by the FAC Secretary, including the following:
1. Initiating and conducting investigations into potential violations of the Kentucky Model
Procurement Code, compiling evidence of violations, if any, and providing a written report(s)
through the FAC Office of Inspector General to the FAC Secretary;
2. Initiating and conducting investigations into potential violations of state campaign finance laws,
compiling evidence of violations, if any, and providing a written report(s) through the FAC Office
of Inspector General to the FAC Secretary;
3. Possibly assisting with investigations into unjustified monetary awards (e.g. grants, loans, other
benefits), the compilation of evidence of potential unjustified awards of public funds, if any, and
the completion of a written report(s) through the FAC Office of Inspector General to the FAC
Secretary; and
4. Conducting or assisting with investigations of additional alleged violations of state law reported
or discovered as part of this or other ongoing investigations, including matters referred by other
agencies to FAC for investigation, as assigned by the FAC Secretary.
Services that may be required of the selected Firm acting under the direction and supervision of the FAC
Office of Inspector General include:
- reviewing contracts along with bid, solicitation, and other procurement or contract-related
documents, and interviewing witnesses regarding the procurement process that is the subject of
each investigation assigned to the selected Firm;
- reviewing documents and interviewing witnesses regarding possible violations of state campaign
finance and other laws prohibiting the use of coercive means to pressure state employees and/or
contractors to contribute to or participate in political campaigns;
- communicating with state entities through the Office of the FAC Secretary (or at the Secretary's
direction), the FAC Office of Inspector General or the FAC Office of General Counsel;
- preparing itemized lists as well as detailed summaries of the evidence collected and the interviews
conducted in the course of each investigation assigned to the selected Firm;
- drafting reports setting forth the methods used, evidence collected, witnesses interviewed and
findings and conclusions reached during the course of each investigation assigned to the selected
Firm;
- cooperating with law enforcement officials and any other investigatory bodies who may be
conducting their own investigation into the alleged violations that are the subject of each
investigation assigned to the selected Firm;
- participating in any administrative or court proceedings that might result from or be related to the
alleged violations that are the subject of each investigation assigned to the selected Firm, including
but not limited to providing evidence and testimony when appropriate; and
- providing detailed information regarding hours worked, services performed and costs incurred on
a regular basis or upon request.
Any reports compiled and evidence collected by the selected Firm may be referred by the FAC Office of
Inspector General to federal, state or local law enforcement agencies or any other investigatory bodies for
further investigation, prosecution, or administrative action, as appropriate.
Respondents should possess the necessary investigative experience to properly determine, compile, and
assist the FAC Office of Inspector General with the referral of all information obtained in the course of
EXH : 000007 of 000018
the investigation(s) to the appropriate federal, state, and local law enforcement agencies or any other
investigatory bodies that handle the adjudication of administrative, criminal, and civil complaints such as
those at issue in each investigation assigned to the selected Firm.
Respondents should not have any interest, direct or indirect, which would conflict in any manner or degree
with the performance of services hereunder.

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An attorney-client relationship will exist between and among the selected Firm and the FAC Secretary, the
FAC Office of Inspector General, the FAC Office of General General, and other state entities with whom the
selected Firm communicates during the course of each investigation assigned to it as may be necessary
and appropriate.
Notwithstanding any other provisions of this RFP, nothing set forth herein is intended or should be
construed to operate as a waiver of the Commonwealth’s attorney-client privilege in regard to its
communications with the selected Firm.
3.00 Evaluation Criteria
Proposals will be evaluated using a total of 1,000 points based on the following evaluation factors:
Background and Relevant Experience---60% 600 points

Organizational Capability---10% 100 points
Cost Proposal---30% 300 points
1. Background and Relevant Experience – 600 Points
Each respondent’s proposal should contain the following:
- A detailed description of relevant investigative experience of the respondent. Experience

investigating public corruption and white collar crime strongly preferred.
- A statement that the respondent, or an appropriate number of the responding firm’s members,
are properly licensed to practice law in Kentucky and in good standing with the Kentucky Bar
Association.
- A detailed summary of the respondent’s knowledge of and experience with statutes, regulations
and policies governing the legal and ethical expectations of elected officials and public servants
in Kentucky, if any.
- A list of potential subcontractors, including a description of the proposed services to be provided
by and a summary of the relevant experience of each potential subcontractor. Subcontractors not
identified in the respondent’s proposal may be retained only with the prior written approval of the
agency.
- A list of any contract or other engagement the respondent and any proposed subcontractors have
had with the Commonwealth of Kentucky or any agency thereof during the past twelve years,
together with a statement explaining why such prior engagement(s) by the Commonwealth does
not constitute a conflict of interest in regard to the services sought in this RFP.
- Disclosure as to whether the respondent or any proposed subcontractors have been named as a
defendant in a legal malpractice action, been the subject of a bar complaint or been investigated
by any other regulatory body, and, if so, the details regarding same, including the final disposition,
any monetary awards against the respondent or its proposed subcontractors and any disciplinary
action taken against the respondent or its proposed subcontractors.
- Any other experience, qualifications or information the respondent deems relevant to its suitability
to perform the required services.
2. Organizational Capability – 100 points
Each respondent’s proposal should contain the following:
- A detailed description of the respondent’s ability to provide the services requested herein, including
the number of employees at respondent’s place of business/office location that will have primary
responsibility for providing services under this contract.
- A detailed explanation of the respondent’s capacity to manage multiple investigations.
- A list of personnel who will, or are expected to be, directly involved with the provision of services
under this contract along with a brief statement of the role and experience of each individual
EXH : 000008 of 000018
expected to perform said work. Include full resumes of key personnel as attachments to the
proposal.
- A detailed description of the respondent’s investigative approach and methodology. For example,
respondents should state whether they plan to appoint a project manager for each investigation
assigned to the selected Firm.

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3. Cost Proposal – 300 Points
Respondents are required to provide the hourly rates for the attorneys (including a breakdown of hourly rates
for partners/members and associates) and paralegals they expect to use in connection with this contract,
not to exceed a blended average rate of $250.00/hour.
Respondents should also indicate the types of expenses for which they will be seeking reimbursement.
The Commonwealth will reimburse certain expenses, including travel expenses in accordance with the
travel policy of the government contracts review committee. Expense-related issues will be addressed in
the contract between the parties.
The Commonwealth reserves the right to negotiate any item within the cost proposal prior to
execution of the contract.
4.00 Schedule of RFP Activities
The following schedule presents the major activities associated with the RFP distribution, written questions
and proposal submission. The Agency reserves the right at its sole discretion to change the Schedule of
Activities, including the associated dates and times.
Release of RFP 05/23/2016

Proposals Due by: 12:00 pm EST 06/02/2016
All offerors are cautioned to be aware of the security in the Capitol Annex located at 702 Capital Avenue,
Rm 195, Frankfort, KY 40601. All proposals shall be time stamped in the Office of Administrative Services
no later than the due date and time defined in this Solicitation. In person or courier delivered proposals
in response to this Solicitation shall be delivered to Office of Administrative Services, Room 195. Delays
due to building security checks shall not be justification for acceptance of a late proposal.
*NOTE: ALL TIME REFERENCES ARE TO THE EASTERN TIME ZONE.
5.00 Deleted
6.00 Point of Contact
The Agency Contact named below shall be the sole point of contact throughout the procurement process.
All communications, oral and written (regular mail, express mail, electronic mail or fax), concerning this
procurement shall be addressed to:
Holly Callaghan
702 Capitol Avenue
Capitol Annex, Room 195
Frankfort, KY 40601
(502) 564-4932
Holly.callaghan@ky.gov
From the issue date of this RFP until a Offeror(s) is selected and the selection is announced, Offerors shall
not communicate with any other Agency staff concerning this RFP.
7.00 Questions Regarding this RFP
Questions must be submitted in writing to the Agency Contact. The Agency will respond to salient questions
in writing by issuing an Addendum to the Solicitation. The Addendum shall be posted to the eProcurement
page.
8.00 Proposal Submission
Each qualified Offeror shall submit only one (1) proposal. Alternate proposals shall not be accepted.
EXH : 000009 of 000018
All submitted technical and cost proposals shall remain valid for a minimum of six (6) months after the
proposal due date.
Proposals shall be submitted in two (2) parts: the technical proposal and the cost proposal.

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The RFP technical response shall include one (1) marked original and 5 copies and 2 CDs (in Microsoft
Word, Microsoft Excel or PDF). (Do not submit thumb drives, flash drives, etc.) under separate sealed cover.
The RFP cost proposal shall include one (1) marked original and 1 copies and 1 CDs (in Microsoft Word,
Microsoft Excel or PDF). (Do not submit thumb drives, flash drives, etc.) under separate sealed cover.
All proposals must be received no later than 12:00 pm EST and June 2, 2016.
Proposals shall be submitted to the Agency Contact. The outside cover of the package containing the
technical proposal shall be marked:

RFP 750 1600000471
TECHNICAL PROPOSAL
Name of Offeror
The outside cover of the package containing the cost proposal shall be marked:

RFP 750 1600000471
COST PROPOSAL
Name of Offeror
ELECTRONIC OR FACSIMILE PROPOSALS SHALL NOT BE CONSIDERED.
8.10 Format of Technical Proposal
The Technical Proposal must be arranged and labeled in the manner set forth below.
Transmittal Letter – a Transmittal letter shall be submitted on Offeror’s letterhead and signed by an agent
authorized to bind the Offeror. The Transmittal letter shall include the following:
a. A statement that deviations are included, if applicable

b. A statement that proprietary information is included, if applicable
c. A statement that, if awarded a contract as a result of this Solicitation, the Offeror shall comply
in full with all the requirements of the Kentucky Civil Rights Act and shall submit all data
required by KRS 45.560 to 45.640.
d. A sworn statement that, pursuant to KRS 11A.040, that Offeror has not knowingly violated any
provisions of the Executive Branch Code of Ethics.
e. A statement certifying that the price in this proposal was arrived at independently without collusion,
consultation, communication, or agreement as to any matter relating to such prices with any other
Offeror or with any competitor.
f. A statement affirming that the Offeror is properly authorized under the laws of the Commonwealth
of Kentucky to conduct business in this state and will remain in good standing with the Office of the
Kentucky Secretary of State for the duration of any awarded contract resulting from this Solicitation.
g. The name, address, telephone number, fax number and email address and website address, if
available, of the contact person to serve as a point of contact for day-to-day operations.
h. Subofferor information to include the name of company, address, telephone number and contact
name, if applicable.
i. Foreign entity’s organization number issued by the Secretary of State in a certificate of authority or
a statement of foreign qualification, if applicable.
Completed and Signed Solicitation and Addenda – An authorized representative MUST complete and
sign the Solicitation form and include the following:
a.
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“Vendor” box and “Remit To” box must be completed.

b. Offeror shall indicate ownership type.
c. Offeror shall provide “FEIN” if applicable.
d. Offeror shall provide date the form is completed and signed.
e. Signed face of most recent Addenda, if applicable.

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Signed and Notarized Required Affidavit for Bidders or Offerors (available at the following link: http://
finance.ky.gov/services/forms/Pages/default.aspx)
Signed and Notarized Required Affidavit for Bidders, Offerors and Offerors Claiming Resident
Bidder Status (available at the following link: http://finance.ky.gov/services/forms/Pages/default.aspx).
*Offerors not claiming Resident Bidder Status need not submit this affidavit.
Signed and Notarized Required Affidavit for Bidders, Offerors and Bidders Claiming Qualified Bidder
Status (available at the following link: http://finance.ky.gov/services/forms/Pages/default.aspx).
*Offerors not claiming Qualified Bidder Status need not submit this affidavit.
Response to the Technical Portion of the RFP – Please provide a detailed response to the technical
requirements outlined in the Evaluation Criteria. No cost information shall be provided in the technical
portion.
8.20 Format of Cost Proposal
The Cost Proposal must be submitted under separate cover from the Technical Proposal and must be
arranged and labeled in the manner specified. The proposal with the lowest price receives the maximum
score. The remaining proposals with the next lowest price receive points by dividing the lowest price by the
next lowest price and multiplying that percentage by the available points.
8.30 Certification Regarding Debarment and Suspension
In accordance with Federal Acquisition Regulation 52.209-5, the Offeror shall certify, by signing the
Solicitation, that to the best of its knowledge and belief, the Offeror and/or its Principals is (are) not presently
debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any state
or federal agency.
For the purposes of this certification, “Principals” means officers, directors, owners, partners, and persons
having primary management or supervisory responsibilities within a business entity (e.g., general manager,
plant manager, head of subsidiary, division, or business segment, and similar positions.
9.00 Rules of Procurement
To facilitate this procurement, various rules have been established. These are described in the following
paragraphs.
Offerors should review and comply with the General Conditions and Instructions for Solicitation/Contract
listed under “Response to Solicitation” located on the eProcurement web page at http://finance.ky.gov/
services/eprocurement/Pages/OfferorServices.aspx.
The procurement process will provide for the evaluation of proposals and selection of the winning proposal
in accordance with state law and regulations. KRS Chapter 45A of the Kentucky Model Procurement Code
provides the regulatory framework for the procurement of services by state agencies.
9.10 Technical Proposal Evaluation
The Office of General Counsel will evaluate the proposal based on the technical portion of the Evaluation
Criteria. Each Offeror is responsible for submitting all relevant, factual and correct information with their offer
to enable the evaluators(s) to afford each Offeror the maximum score based on the available data submitted
by the Offeror. Past Offeror Performance may be considered in the award of this Contract. Offerors with
a record of poor performance in the last twelve (12) months may be found non-responsible and ineligible
for award.
9.20 Cost Proposal Evaluation

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The Office of General Counsel will evaluate the proposal based on the cost portion of the Evaluation Criteria.
9.30 Right to Reject/Waiver of Minor Irregularities
The Agency reserves the right at its discretion to reject any and all offers. The Agency also reserves the
right at its discretion to waive informalities and minor irregularities in offers received.

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9.40 Clarification of Proposals
The Agency reserves the right at its discretion to request additional information as may reasonably be
required for selection and to reject any proposals for failure to provide additional information on a timely
basis.
The Agency reserves the right to conduct discussions with any Offeror who has submitted a proposal to
determine the Offeror’s qualifications for further consideration. Such discussions shall not disclose any
information derived from proposals submitted by other Offerors.
9.50 Best and Final Offers
The Agency reserves the right at its discretion to request a Best and Final Offer (BAFO) for technical and/
or cost proposals. Offerors are cautioned to propose their best possible offers at the outset of the process,
as there is no guarantee that any Offeror will be allowed an opportunity to submit a Best and Final technical
and/or cost offer.
9.60 Offeror Response and Public Inspection
This RFP specifies the format, required information and general content of proposals to be submitted in
response to the RFP. The Finance and Administration Cabinet, Office of General Counsel shall not disclose
any portions of the proposals prior to contract award to anyone outside the Finance and Administration
Cabinet, Office of General Counsel, representatives of the agency for whose benefit the contract is
proposed, representatives of the federal government, if required, and the members of the evaluation
committees. After a contract is awarded in whole or in part, the Agency shall have the right to duplicate, use,
or disclose all proposal data submitted by Offerors in response to this RFP as a matter of public record.
Any and all documents submitted by a Offeror in response to the RFP shall be available for public inspection
after contract award pursuant to the Kentucky Open Records Act, KRS 61.870 to 61.884 (“the Act”). When
responding to a request to inspect records submitted in response to this RFP, the Agency will not redact or
withhold any information or documents unless the records sought are exempt from disclosure pursuant to
KRS 61.878 or other applicable law. Similarly, no such documents shall be exempt from public disclosure,
regardless of the Offeror’s designation of the information contained therein as “proprietary,” “confidential,”
or otherwise, except in cases where the requested documents (or information contained therein) would be
excluded from application of the Act under KRS 61.878(1)(c).
The Agency shall have the right to use all system ideas, or adaptations of those ideas, contained in any
proposal received in response to this RFP. Selection or rejections of the proposal will not affect this right.
9.70 Reciprocal Preference for Kentucky Resident Offerors and Preferences for a Qualified Offeror
The scoring of proposals/proposals is subject to the reciprocal preference for Kentucky resident bidders
and preferences for a Qualified Bidder or the Department of Corrections, Division of Prison Industries (See
KRS 45A.490(1), (2), 45A.492, 45A.494, and KAR 200 5:410).
Offerors not claiming resident bidder or qualified bidder status need not submit the corresponding
affidavit.
Determining the residency of a offeror for purposes of applying a reciprocal preference

Any individual, partnership, association, corporation, or other business entity claiming resident Bidder status
shall submit the attached Required Affidavit for Bidders, Offerors, and Offerors Claiming Resident Bidder
Status as part of its response. The AGENCY reserves the right to request documentation supporting a
offeror’s claim of resident Bidder status. Failure to provide such documentation upon request may result in
disqualification of the offeror or contract termination.
As part of its response, a nonresident offeror shall submit its certificate of authority to transact business in
the Commonwealth as filed with the Commonwealth of Kentucky, Secretary of State. The location of the
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principal office indentified therein shall be deemed the state of residency for that Offeror. If the Offeror is
not required by law to obtain said certificate, the state of residency for that Offeror shall be deemed to be
that which is identified in its mailing address as provided in its proposal.
Preferences for a Qualified Bidder or the Department of Corrections, Division of Prison Industries
(KAR 200 5:410).

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Pursuant to KRS 45A.470 and 200 KAR 5:410, Kentucky Correctional Industries will receive a preference
equal to twenty (20) percent of the maximum points awarded to a Offeror in a solicitation. In addition,
the following “qualified Bidders” will receive a preference equal to fifteen (15) percent of the maximum
points awarded to a Offeror in a solicitation: New Vision Enterprises, Inc., any nonprofit corporation that
furthers the purposes of KRS Chapter 163 and any qualified nonprofit agencies for individuals with severe
disabilities as defined in KRS 45A.465(3). Any Offeror claiming “qualified bidder” status, other than New
Vision Enterprises, Inc., shall submit a notarized affidavit affirming that it meets the requirements to be
considered a qualified bidder as part of its response to the solicitation (affidavit form included as part of this
RFP). If requested, Failure to provide documentation proving qualified Bidder status to a public agency, if
requested, may result in disqualification of the offeror or contract termination.
9.80 Right to Use Oral Presentations to Verify/Expand on Proposal

The Agency reserves the right at its discretion to require oral presentations by the highest ranking offerors
to verify or expand on the technical or cost proposals.
9.85 Oral Presentation Evaluation Criteria
The highest ranking offerors may be requested to provide oral presentations/demonstrations to answer
questions or to clarify the understanding of the evaluators in accordance with the requirements of this RFP.
The Agency reserves the right not to require oral presentations/demonstrations at its discretion or in the
event that they would not affect the final rankings.
9.90 Negotiation
After conducting the evaluation to determine the best proposal received, the Office of General Counsel
reserves the right to negotiate a fair and reasonable compensation based on the pricing submitted in the
Offeror’s proposal. If the negotiations fail to reach an agreement on a fair and reasonable compensation
rate, the Office of General Counsel reserves the right to proceed to the next highest rated proposal. Other
terms and conditions relating to the technical and/or cost proposals may be negotiated at the sole discretion
of the Agency.
9.95 Best Interests of the Agency
The Agency will rank all proposals in the manner set forth in the Evaluation Criteria. However, the Agency
reserves the right to reject any or all proposals in whole or in part before, during, or after negotiation based
on the best interests of the Agency.
CONTRACT AWARD, TERMS, AND CONDITIONS
10.00 Notification of Award
To view the award of contract(s), including the Offeror(s) receiving the award(s) for this solicitation, access
the Kentucky Offeror Self Service site at https://emars.ky.gov/webapp/vssonline/AltSelfService
Offerors can search for the solicitation title or number in the keyword search field or filter their search for
only awarded solicitations by clicking on “Advanced Search” and changing the status to “awarded.” The
award(s) information can be accessed by clicking on the details button of the solicitation and clicking the
“Notice of Award” tab. It is the Offeror’s responsibility to review this information in a timely fashion. No
other notification of the results of an Award of Contract will be provided to unsuccessful Offerors.
10.10 Beginning of Work
This Contract is not effective and binding until approved by the Secretary of the Finance and Administration
Cabinet and filed with the Legislative Research Commission’s Government Contract Review Committee.
The Offeror shall not commence any billable work until a valid Contract has been fully executed. This
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Contract, including the components referenced in Section 10.20, shall represent the entire agreement
between the parties. Prior negotiations, representations, or agreements, either written or oral, between the
parties hereto relating to the subject matter hereof shall be of no effect upon this Contract.

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10.20 Contract Components and Order of Precedence
The Agency’s acceptance of the Offeror’s offer in response to the Solicitation, indicated by the issuance of
a Contract Award, shall create a valid contract between the Parties consisting of the following:
1. Any written Agreement between the Parties.

2. Any Addenda to the Solicitation.
3. The Solicitation and all attachments hereto.
4. Any Best and Final Offer.
5. Any clarifications concerning the Offeror’s proposal in response to the Solicitation.
6. The Offeror’s proposal in response to the Solicitation.
In the event of any conflict between or among the provisions contained in the Contract, the order of
precedence shall be as enumerated above.
10.30 Contract Term and Renewal Option
The initial term of the Contract is anticipated to be from 7/1/2016 through 6/30/2018.
This agreement is not effective until the Secretary of the Finance and Administration Cabinet or his
authorized designee has approved the contract and until the contract has been filed with the Legislative
Research Commission, Government Contract Review Committee.
The Agency reserves the right to renew this contract for up to one (1) additional two (2) year period.
Renewal shall be subject to prior approval from the Secretary of the Finance and Administration Cabinet,
or his authorized designee, and the LRC Government Contract Review Committee in accordance with KRS
45A.695 and KRS 45A.705.
10.40 Changes and Modifications to the Contract
Pursuant to 200 KAR 5:311, no modification or change of any provision in the Contract shall be made, or
construed to have been made, unless such modification is mutually agreed to in writing by the Offeror and
the Agency, and incorporated as a written amendment by the Office of General Counsel prior to the effective
date of such modification or change. Modification shall be subject to prior approval from the Secretary of
the Finance and Administration Cabinet, or his authorized designee, and the LRC Government Contract
Review Committee. Memoranda of Understanding, written clarification, and/or other correspondence shall
not be construed as amendments to the Contract.
10.50 Notices
Unless otherwise instructed, all notices, consents, and other communications required and/or permitted by
the Contract shall be in writing. After the award of the Contract, all communications of a contractual or legal
nature are to be made to the Agency Contact.
11.00 Personal Service Contract Standard Terms and Conditions
Whereas, the first party, the state agency, has concluded that either state personnel are not available to
perform said function, or it would not be feasible to utilize state personnel to perform said function; and
Whereas, the second party, the Contractor, is available and qualified to perform such function; and
Whereas, for the abovementioned reasons, the state agency desires to avail itself of the services of the
second party;
NOW THEREFORE, the following terms and conditions are applicable to this contract:
EXH : 000014 of 000018
Effective Date:
This contract is not effective until the Secretary of the Finance and Administration Cabinet or his
authorized designee has approved the contract and until the contract has been submitted to the Legislative
Research Commission (“LRC”), Government Contract Review Committee. However, in accordance with
KRS 45A.700, contracts in aggregate amounts of $10,000 or less are exempt from review by the committee
and need only be filed with the committee within 30 days of their effective date for informational purposes.

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KRS 45A.695(7) provides that payments on personal service contracts and memoranda of agreement shall
not be authorized for services rendered after Government Contract Review Committee disapproval, unless
the decision of the committee is overridden by the Secretary of the Finance and Administration Cabinet or
agency head, if the agency has been granted delegation authority by the Secretary.
Renewals:
Upon expiration of the initial term, the contract may be renewed in accordance with the terms and conditions
in the original solicitation. Renewal shall be subject to prior approval from the Secretary of the Finance and
Administration Cabinet or his authorized designee and the LRC Government Contract Review Committee
in accordance with KRS 45A.695 and KRS 45A.705, and contingent upon available funding.
LRC Policies:
Pursuant to KRS 45A.725, LRC has established policies which govern rates payable for certain
professional services. These are located on the LRC webpage (http://www.lrc.ky.gov/Statcomm/Contracts/
homepage.htm) and would impact any contract established under KRS 45A.690 et seq., where applicable.
Choice of Law and Forum:
All questions as to the execution, validity, interpretation, construction, and performance of this contract shall
be governed by the laws of the Commonwealth of Kentucky. Furthermore, the parties hereto agree that any
legal action which is brought on the basis of this contract shall be filed in the Franklin County Circuit Court
of the Commonwealth of Kentucky.
Cancellation:
The state agency shall have the right to terminate and cancel this contract at any time not to exceed thirty
(30) days' written notice served on the Contractor by registered or certified mail. (See KRS 45A.695(1); see
also 200 KAR 5:312).
Funding Out Provision:
The state agency may terminate this contract if funds are not appropriated to the contracting agency or are
not otherwise available for the purpose of making payments without incurring any obligation for payment
after the date of termination, regardless of the terms of the contract. The state agency shall provide the
Contractor thirty (30) calendar days’ written notice of termination of the contract due to lack of available
funding.
Reduction in Contract Worker Hours:
The Kentucky General Assembly may allow for a reduction in contract worker hours in conjunction with a
budget balancing measure for some professional and non-professional service contracts. If under such
authority the agency is required by Executive Order or otherwise to reduce contract hours, this contract will
be reduced by the amount specified in that document.
Authorized to do Business in Kentucky:
Businesses can register with the Secretary of State at https://secure.kentucky.gov/sos/ftbr/welcome.aspx.

The Contractor affirms that it is properly authorized under the laws of the Commonwealth of Kentucky to
conduct business in this state and will remain in good standing to do business in the Commonwealth of
Kentucky for the duration of any contract awarded.
If a foreign entity, the Contractor shall maintain a certification of authority to conduct business in the
Commonwealth of Kentucky during the term of this contract. Such registration is obtained from the Secretary
of State pursuant to the process outlined below.
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Registration with the Secretary of State by a Foreign Entity:
Pursuant to KRS 45A.480(1)(b), an agency, department, office, or political subdivision of the Commonwealth
of Kentucky shall not award a state contract to a person that is a foreign entity required by KRS 14A.9-010 to
obtain a certificate of authority to transact business in the Commonwealth (“certificate”) from the Secretary
of State under KRS 14A.9-030 unless the person produces the certificate within fourteen (14) days of the

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proposal or proposal opening. Therefore, foreign entities should submit a copy of their certificate with
their solicitation response. If the foreign entity is not required to obtain a certificate as provided in KRS
14A.9-010, the foreign entity should identify the applicable exception in its solicitation response. Foreign
entity is defined within KRS 14A.1-070.
For all foreign entities required to obtain a certificate of authority to transact business in the
Commonwealth, if a copy of the certificate is not received by the contracting agency within the time
frame identified above, the foreign entity’s solicitation response shall be deemed non-responsive
or the awarded contract shall be cancelled.
Invoices for fees:
The Contractor shall maintain supporting documents to substantiate invoices and shall furnish same if
required by state government. The invoice must conform to the method described in this contract.
Pursuant to KRS 45A.695, no payment shall be made on any personal service contract unless
the individual, firm, partnership, or corporation awarded the personal service contract submits its
invoice for payment on a form established by the committee.
*Invoice form is available on the Legislative Research Commission, Government Contract Review
Committee website: http://www.lrc.ky.gov/Statcomm/Contracts/homepage.htm
Travel expenses, if authorized:
The Contractor shall be paid for no travel expenses, unless and except as specifically authorized by the
specifications of this contract, or authorized in advance and in writing by the Agency. Either original or
certified copies of receipts must be submitted for airline tickets, hotel bills, restaurant charges, rental car
charges, and any other miscellaneous expenses.
Other expenses, if authorized herein:
The Contractor shall be reimbursed for no other expenses of any kind, unless and except as specifically
authorized within the specifications of this contract, or authorized in advance and in writing by the Agency.
If the reimbursement of such expenses is authorized, the reimbursement shall be only on an out-of-pocket
basis. Request for payment of same shall be processed upon receipt from the Contractor of valid, itemized
statements submitted periodically for payment at the time any fees are due. The Contractor shall maintain
supporting documents that substantiate every claim for expenses and shall furnish copies of same in support
of requests for payment submitted to the Agency.
Purchasing and specifications:
The Contractor certifies that he/she will not attempt in any manner to influence any specifications to be
restrictive in any way or respect nor will he/she attempt in any way to influence any purchasing of services,
commodities or equipment by the Commonwealth of Kentucky. For the purpose of this paragraph and the
following paragraph that pertains to conflict-of-interest laws and principles, "he/she" is construed to mean
"they" if more than one person is involved. If a firm, partnership, corporation, or other organization is
involved, then "he/she" is construed to mean any person with an interest therein.
Conflict-of-interest laws and principles:
The Contractor certifies that he/she is legally entitled to enter into this contract with the Commonwealth of
Kentucky, and by holding and performing this contract, he/she will not be violating any conflict-of-interest
statute (KRS 45A.330-45A.340, 45A.990, 164.390), nor KRS 11A.040 of the executive branch code of ethics
relating to the employment of former public servants.
Campaign finance:
The Contractor certifies that neither he/she nor any member of his/her immediate family having an interest
of 10% or more in any business entity involved in the performance of this contract has contributed more
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than the amount specified in KRS 121.056(2) to the campaign of the gubernatorial candidate elected at
the election last preceding the date of this contract. The Contractor further swears under the penalty of
perjury, as provided by KRS 523.020, (i) that neither he/she nor the company which he/she represents,
has knowingly violated any provisions of the campaign finance laws of the Commonwealth, and (ii) that the
award of a contract to him/her or the company which he/she represents will not violate any provisions of
the campaign finance laws of the Commonwealth.

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Access to Records:
The Contractor, as defined in KRS 45A.030(8) and (10), agrees that the contracting agency, the Finance
and Administration Cabinet, the Auditor of Public Accounts, and the Legislative Research Commission, or
their duly authorized representatives, shall have access to any books, documents, papers, records, or other
evidence, which are directly pertinent to this contract for the purpose of a financial audit or program review.
The Contractor also recognizes that any books, documents, papers, records, or other evidence, received
during a financial audit or program review shall be subject to the Kentucky Open Records Act, KRS 61.870
to 61.884. Records and other prequalification information confidentially disclosed as part of the proposal
process shall not be deemed as directly pertinent to the contract and shall be exempt from disclosure as
provided in KRS 61.878(1)(c).
Protest:
Pursuant to KRS 45A.285, the Secretary of the Finance and Administration Cabinet, or his designee,
shall have authority to determine protests and other controversies of actual or prospective contractors in
connection with the solicitation or selection for award of a contract.
Any actual or prospective contractor, who is aggrieved in connection with the solicitation or selection for
award of a contract, may file protest with the Secretary of the Finance and Administration Cabinet. A protest
or notice of other controversy must be filed promptly and, in any event, within two (2) calendar weeks after
such aggrieved person knows or should have known of the facts giving rise thereto. All protests or notices
of other controversies must be in writing and shall be addressed to:
William M. Landrum III, Secretary

Room 383, New Capitol Annex
702 Capitol Avenue
Frankfort, KY 40601
The Secretary of Finance and Administration Cabinet, or his designee, shall promptly issue a decision in
writing. A copy of that decision shall be mailed or otherwise furnished to the aggrieved party and shall state
the reasons for the action taken.
The decision by the Secretary of the Finance and Administration Cabinet shall be final and conclusive.
Social security: (check one)
_____ The parties are cognizant that, pursuant to 42 U.S. Code, section 418, the state is not liable for social
security contributions relative to the compensation of the second party for this contract.
_____ The parties are cognizant that, pursuant to 42 U.S. Code, section 418, the state is liable for social
security contributions relative to the compensation of the second party for this contract.
Violation of tax and employment laws:
KRS 45A.485 requires the Contractor and all subcontractors performing work under the contract to reveal to
the Agency, prior to the award of a contract, any final determination of a violation by the Contractor within the
previous five (5) year period of the provisions of KRS chapters 136, 139, 141, 337, 338, 341, and 342. These
statutes relate to the state sales and use tax, corporate and utility tax, income tax, wages and hours laws,
occupational safety and health laws, unemployment insurance laws, and workers compensation insurance
laws, respectively.
To comply with the provisions of KRS 45A.485, the Contractor and all subcontractors performing work
under the contract shall report any such final determination(s) of violation(s) to the Agency by providing
the following information regarding the final determination(s): the KRS violated, the date of the final
EXH : 000017 of 000018
determination, and the state agency which issued the final determination.
KRS 45A.485 also provides that, for the duration of any contract, the Contractor and all subcontractors
performing work under the contract shall be in continuous compliance with the provisions of those statutes,
which apply to their operations, and that their failure to reveal a final determination, as described above, or
failure to comply with the above statutes for the duration of the contract, shall be grounds for the Agency's

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cancellation of the contract and their disqualification from eligibility for future state contracts for a period
of two (2) years.
Discrimination:
This section applies only to contracts disbursing federal funds, in whole or part, when the terms and
conditions for receiving those funds mandate its inclusion. Discrimination (because of race, religion,
color, national origin, sex, sexual orientation, gender identity, age, or disability) is prohibited. During the
performance of this contract, the Contractor agrees as follows:
1. The Contractor will not discriminate against any employee or applicant for employment because of
race, religion, color, national origin, sex, sexual orientation, gender identity or age. The Contractor further
agrees to comply with the provisions of the Americans with Disabilities Act (ADA), Public Law 101-336,
and applicable federal regulations relating thereto prohibiting discrimination against otherwise qualified
disabled individuals under any program or activity. The Contractor agrees to provide, upon request, needed
reasonable accommodations. The Contractor will take affirmative action to ensure that applicants are
employed and that employees are treated during employment without regard to their race, religion, color,
national origin, sex, sexual orientation, gender identity, age or disability. Such action shall include, but
not be limited to the following: employment, upgrading, demotion or transfer; recruitment or recruitment
advertising; layoff or termination; rates of pay or other forms of compensations; and selection for training,
including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and
applicants for employment, notices setting forth the provisions of this non-discrimination clause.
2. In all solicitations or advertisements for employees placed by or on behalf of the Contractor, the Contractor
will state that all qualified applicants will receive consideration for employment without regard to race,
religion, color, national origin, sex, sexual orientation, gender identity, age or disability.
3. The Contractor will send to each labor union or representative of workers with which he/she has a
collective bargaining agreement or other contract or understanding a notice advising the said labor union
or workers' representative of the Contractor's commitments under this section and shall post copies of the
notice in conspicuous places available to employees and applicants for employment. The Contractor will
take such action with respect to any subcontract or purchase order as the administering agency may direct
as a means of enforcing such provisions, including sanctions for noncompliance.
4. The Contractor will comply with all provisions of Executive Order No. 11246 of September 24, 1965, as
amended, and of the rules, regulations and relevant orders of the Secretary of Labor.
5. The Contractor will furnish all information and reports required by Executive Order No. 11246 of
September 24, 1965, as amended, and by the rules, regulations and orders of the Secretary of Labor,
or pursuant thereto, and will permit access to his/her books, records and accounts by the administering
agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules,
regulations and orders.
6. In the event of the Contractor's noncompliance with the nondiscrimination clauses of this contract or with
any of the said rules, regulations or orders, this contract may be cancelled, terminated or suspended in
whole or in part, and the Contractor may be declared ineligible for further government contracts or federally-
assisted construction contracts in accordance with procedures authorized in Executive Order No. 11246 of
September 24, 1965, as amended, and such other sanctions that may be imposed and remedies invoked
as provided in or as otherwise provided by law.
7. The Contractor will include the provisions of paragraphs (1) through (7) of section 202 of Executive
Order 11246 in every subcontract or purchase order unless exempted by rules, regulations or orders of the
Secretary of Labor, issued pursuant to section 204 of Executive Order No. 11246 of September 24, 1965,
as amended, so that such provisions will be binding upon each subcontractor or vendor. The Contractor
will take such action with respect to any subcontract or purchase order as the administering agency may
direct as a means of enforcing such provisions including sanctions for noncompliance; provided, however,
that in the event a Contractor becomes involved in, or is threatened with, litigation with a subcontractor or
EXH : 000018 of 000018
vendor as a result of such direction by the agency, the Contractor may request the United States to enter
into such litigation to protect the interests of the United States.

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EXHIBIT M
EXH : 000001 of 000018

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EXH : 000002 of 000018

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EXH : 000003 of 000018

07/24/2020 07:57:27 AM
Sent time: 06/06/2016 01:07:04 PM
To: Pinson, Gwen R (Finance OGC); Bihl, Brandy (Finance OGC)
Cc: Roder, Bob (Finance OAS)
Subject: RE: RFP 750 16*0471- LEGAL & INVESTIGATIVE SERVICES
I apologize for the delay. We received 2 bids for this RFP.
Fiscal Officer
702 Capital Ave - Capitol Annex Rm 195
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557

Sent: Monday, June 06, 2016 12:42 PM
To: Callaghan, Holly (Finance OAS); Bihl, Brandy (Finance OGC)
Holly,
Can you let me know how many proposals were submitted in response to this RFP? I am just looking for a
number.
Thanks,
Gwen
Gwen R. Pinson
General Counsel
EXH : 000004 of 000018
(502) 564-6660

Sent: Thursday, June 02, 2016 6:44 PM
To: Callaghan, Holly (Finance OAS); Bihl, Brandy (Finance OGC)
Holly,
07/24/2020 07:57:27 AM
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I apologize for not getting back to you sooner. I was tied up in meetings all afternoon.
We have actually nominated an evaluation team to do the evaluation and scoring of these proposals. The
members of that team are as follows:
Ken Bohac, FAC Office of Inspector General

Patrick McGee, FAC OGC Office of Legal Services for Finance and Technology
Teresa Walker, FAC Office of Policy and Audit
We would like for you to be involved in the process. If you could schedule an initial meeting with the evaluation
committee to discuss the process and then sit in with them and document their decision-making process in
reaching the consensus score for each vendor, that would be great.
I do not need copies of the proposals, but I would like to know how many we received.
If you have any questions or wish to discuss this process before you contact the evaluation committee members,
please let me know.
Thanks,
Gwen
Gwen R. Pinson
General Counsel
(502) 564-6660

Sent: Thursday, June 02, 2016 2:07 PM
To: Pinson, Gwen R (Finance OGC); Bihl, Brandy (Finance OGC)
Subject: RFP 750 16*0471- LEGAL & INVESTIGATIVE SERVICES
Importance: High
Good Afternoon!
I have received the proposals for the above listed RFP. I’ve been told that in the past the copies
of the proposals would be turned over to you and that Legal would conduct the evaluation and
scoring of the Technical Proposals without the Buyer (me). Please let me know if this is how you would
like to proceed or if you would like this executed another way.
EXH : 000005 of 000018
Also please let me know if you would like me to create the score cards for this RFP for you to
use. Thank you!

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Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
EXH : 000006 of 000018

07/24/2020 07:57:27 AM
From: Bihl, Brandy (Finance OGC) WKYT
Sent time: 06/13/2016 04:23:26 PM
Cc: Callaghan, Holly (Finance OAS)
Subject: FW: RFP 750 16*0471- Legal & Investigative Services
Hey Gwen,
I wanted to let you know that after Holly spoke to Pat, she took back the envelope she had brought up to give
you.
Sincerely,
Brandy J. Bihl
Office of Legal Services
Annex Rm. 392, 702 Capitol Avenue
Frankfort, KY 40601
(502) 564-6601
FAX (502) 564-9875
brandy.bihl@ky.gov

Sent: Monday, June 13, 2016 1:28 PM
Cc: Bihl, Brandy (Finance OGC)
Subject: RFP 750 16*0471- Legal & Investigative Services
Good Afternoon!
I have received the approved score cards back from the Selection Team today. MMN
Consulting, LLC is the highest ranking vendor. I will come up shortly and bring a copy of the Cost
Proposal to you for review. Please let me know once you’ve reviewed the Cost if you would like to enter
into negotiations or if you would like to proceed with awarding a contract with the cost submission as
is. Thank you!
EXH : 000007 of 000018
Fiscal Officer
Filed 702 Capital Ave - 20-CI-02157
Capitol Annex Rm07/22/2020
195 Vincent Riggs, Fayette Circuit Clerk
07/24/2020 07:57:27 AM
Frankfort, KY 40601
WKYT
P-502-564-4932
F- 502-564-9557
EXH : 000008 of 000018

07/24/2020 07:57:27 AM
Sent time: 06/13/2016 01:28:25 PM
Good Afternoon!
I have received the approved score cards back from the Selection Team today. MMN
Consulting, LLC is the highest ranking vendor. I will come up shortly and bring a copy of the Cost
Proposal to you for review. Please let me know once you’ve reviewed the Cost if you would like to enter
into negotiations or if you would like to proceed with awarding a contract with the cost submission as
is. Thank you!
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
EXH : 000009 of 000018

07/24/2020 07:57:27 AM
Sent time: 06/13/2016 02:52:13 PM
To: Robinson, Kathy D (Finance)
Subject: RFP 750 16*0471
Good Afternoon!
I figured I would email you so you could get back with me when you have the time. The
Selection Committee for this RFP would like to exercise the oral presentation portion of the RFP and
I’m not sure how to proceed. I’ve never had an Agency do this section. Can you please advise me on
how to proceed. I’m not sure what and if I can release any info to Gwen about the scores or the Cost
Proposal before the Oral Presentation. I just need some direction. Thank you very much in advance!
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
EXH : 000010 of 000018

07/24/2020 07:57:27 AM
Sent time: 06/14/2016 03:37:17 PM
To: Bihl, Brandy (Finance OGC)
Subject: FW: RFP 750 16*0471- Legal & Investigative Services
From: Walker, Teresa (Finance Internal Audit)

Sent: Tuesday, June 14, 2016 3:35 PM
Subject: RE: RFP 750 16*0471- Legal & Investigative Services
Then 1:00 tomorrow will be a good time for me to attend.
Teresa Walker, Internal Audit Supervisor

Office of Policy and Audit
702 Capital Avenue, Rm. 493 Capitol Annex
Frankfort, KY 40601
Phone: 502 564-4602
Fax: 502 564-7882
Teresa.Walker@KY.gov
This communication may contain information which is confidential. It is for the exclusive use of the intended recipient(s). If you are not the intended
recipient(s), please note that any form of distribution, copying, forwarding or use of this communication or the information therein is strictly prohibited
and may be unlawful. If you have received this communication in error, please return it to the sender and send a copy or notify:
SecurityNotice@ky.gov and then delete the communication and destroy any copies. It should be expressly understood that the Finance and
Administration Cabinet cannot guarantee the security of the transmission and assumes no responsibility for intentional or accidental receipt by a third
party.

To: Walker, Teresa (Finance Internal Audit); Bohac, Ken F; McGee, Patrick (Finance OGC)
The meeting shouldn’t and can’t last beyond 2:15pm due to other meetings scheduled.
EXH : 000011 of 000018
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
07/24/2020 07:57:27 AM
WKYT
From: Walker, Teresa (Finance Internal Audit)

To: Callaghan, Holly (Finance OAS); Bohac, Ken F; McGee, Patrick (Finance OGC)
Do you have a estimate of how long this meeting will last? I have a 9:00 meeting tomorrow morning and a 3:00
meeting tomorrow afternoon. I have time available Thursday from 1:00 to 4:30.
Teresa Walker, Internal Audit Supervisor

Office of Policy and Audit
702 Capital Avenue, Rm. 493 Capitol Annex
Frankfort, KY 40601
Phone: 502 564-4602
Fax: 502 564-7882
Teresa.Walker@KY.gov
This communication may contain information which is confidential. It is for the exclusive use of the intended recipient(s). If you are not the intended
recipient(s), please note that any form of distribution, copying, forwarding or use of this communication or the information therein is strictly prohibited
and may be unlawful. If you have received this communication in error, please return it to the sender and send a copy or notify:
SecurityNotice@ky.gov and then delete the communication and destroy any copies. It should be expressly understood that the Finance and
Administration Cabinet cannot guarantee the security of the transmission and assumes no responsibility for intentional or accidental receipt by a third
party.

To: Walker, Teresa (Finance Internal Audit); Bohac, Ken F; McGee, Patrick (Finance OGC)
Importance: High
Good Afternoon!
After reviewing and scoring the proposals it is apparent that some clarification/expansion of
the proposals is needed. You all had some concerns with each vendor and an Oral Presentation will
address and hopefully clarify these concerns.
EXH : 000012 of 000018
Gwen Pinson, as a representative of the Agency, has received copies of both technical proposals
to review and aid as a technical advisor for preparation of the Oral Presentation.
As a team we’ll need to meet to assign an Agenda for the Vendors presentations. The Selection
Committee Members will score the presentations. The Vendors do not know they are being scored, but
07/24/2020 07:57:27 AM
WKYT
this presentation will be added into the technical score evaluations. This means the criteria in the
Agenda will need to be assigned points and this will be decided as a consensus with the team.
Please keep in mind this presentation is a chance for the vendors to verify, clarify, or expand on
information from their proposals. When the presentations are being held the evaluators may ask
questions, but you cannot go outside the scope of the RFP or information in the proposals. Also as
evaluators, you cannot discuss or reference information from the others Vendor(s) that submitted
proposals.
Please let me and Brandy know if you have time tomorrow to meet at or around 1:00 pm to
discuss the Oral Presentation Agenda and points so we can notify the Vendors and set up the
presentations. If you cannot meet tomorrow, please let us know when you are available so we can
coordinate everyone’s schedules and assign a meeting as soon as possible.
If you have any questions let me know. Thank you!
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
EXH : 000013 of 000018

07/24/2020 07:57:27 AM
WKYT
Matthew G. Bevin Finance and Administration Cabinet William M. Landrum III
Governor DIVISION OF ADMINISTRATIVE SUPPORT Secretary
Room 195, Capitol Annex
702 Capital Avenue Troy Robinson
Frankfort, KY 40601-3462 Executive Director
(502) 564-8097
Fax (502) 564-9557 Bob Roder
Director
ORAL PRESENTATIONAGENDA
RFP 750 1600000471
LEGAL & INVESTIGATIVE SERVICES
LOCATION:
702 Capital Ave.

Frankfort, KY 40601
PRESENTATION CRITERIA:
Please expand on your Firm’s investigative approach and methodology, including the steps
in the investigative process, work flow and project management. Be prepared to discuss examples
of your Firm’s investigative approach and methodology as employed in investigations you handled
in the past.
Explain how your Firm would balance its existing work load with the addition of the
projects assigned under this contract, if awarded to you.
Please expand upon the resources your Firm would have available to devote to timely
completion of projects assigned under this contract, if awarded, including your plans for staffing
projects, coordinating with Commonwealth personnel, and overseeing the work being done. EXH : 000014 of 000018
END OF AGENDA
HOLLY CALLAGHAN
Finance.ky.gov An Equal Opportunity Employer M/F/D

07/24/2020 07:57:27 AM
Sent time: 06/23/2016 04:04:08 PM
Subject: RFP 750 16*0471
Good Afternoon!
I received the Official Score Cards back from the Committee and Taft is the highest ranked
vendor. Please let me know if you would like to proceed with negotiations( I believe you still have a
copy of their Cost Proposal) or an award for this contract and I will get started. Thank you!
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
EXH : 000015 of 000018

07/24/2020 07:57:27 AM
Sent time: 06/24/2016 09:23:57 AM
Subject: Re: RFP 750 16*0471- Legal & Investigative Services
Sounds good, Holly. Please proceed.
On Jun 24, 2016, at 9:14 AM, Callaghan, Holly (Finance OAS) <holly.callaghan@ky.gov > wrote:
Below is the response I received from Taft regarding their Cost Proposal. They confirm the
$250.00 per hour rate. I will get the contract process started unless you tell me otherwise.
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
From: Bennett, Jackie [mailto:JBennett@taftlaw.com]

Sent: Friday, June 24, 2016 9:11 AM
Subject: Re: RFP 750 16*0471- Legal & Investigative Services
Holly: yes that is correct, we propose a blended rate of $250 for each person assigned to work on
these matters.
Bill and I enjoyed meeting in person with you and your colleagues yesterday. Let us know if you
have any other questions. Have a great weekend. Best regards, Jackie
Sent from my iPhone

EXH : 000016 of 000018
On Jun 24, 2016, at 8:48 AM, Callaghan, Holly (Finance OAS) <holly.callaghan@ky.gov> wrote:
Good Morning!
This email is in regards to your Cost Proposal submitted for the above
07/24/2020 07:57:27 AM
WKYT
listed RFP. I wanted to clarify/confirm that your proposed cost is a blended
rate of $250.00 per hour for services under this contract, if awarded. Please
let me know if this is correct. Thank you!
Fiscal Officer
Frankfort, KY 40601
P-502-564-4932
F- 502-564-9557
"When GOD solves your problems, you have faith in His abilities;
when GOD doesn't solve your problems HE has faith in your
abilities"
Confidentiality Notice: This email and any attachments are confidential. If you are not the intended recipient, you do not have permission to
disclose, copy, distribute, or open any attachments. If you have recieved this email in error, please notify me immediately at
holly.callaghan@ky.gov or by phone 502-564-4932 and delete this copy from your system.
Taft /
Tel: 317.713.3500 • Fax: 317.713.3699
Direct: 317.713.3444
Taft Bio
EXH : 000017 of 000018
prohibited. If you received this transmission in error, please notify the sender by reply e-mail and
Filed delete the20-CI-02157
message and any attachments.
07/22/2020 Vincent Riggs, Fayette Circuit Clerk
07/24/2020 07:57:27 AM
WKYT
EXH : 000018 of 000018

07/24/2020 07:58:39 AM
WKYT
EXHIBIT N
EXH : 000001 of 000013

07/24/2020 07:58:39 AM
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EXH : 000002 of 000013

07/24/2020 07:58:39 AM
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EXH : 000003 of 000013

07/24/2020 07:58:39 AM
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EXH : 000004 of 000013

07/24/2020 07:58:39 AM
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EXH : 000005 of 000013

07/24/2020 07:58:39 AM
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EXH : 000006 of 000013

07/24/2020 07:58:39 AM
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EXH : 000007 of 000013

07/24/2020 07:58:39 AM
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EXH : 000008 of 000013

07/24/2020 07:58:39 AM
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EXH : 000009 of 000013

07/24/2020 07:58:39 AM
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EXH : 000010 of 000013

07/24/2020 07:58:39 AM
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EXH : 000011 of 000013

07/24/2020 07:58:39 AM
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EXH : 000012 of 000013

07/24/2020 07:58:39 AM
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EXH : 000013 of 000013

07/24/2020 07:59:11 AM
WKYT
EXHIBIT O
EXH : 000001 of 000033

Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Gmail - Fwd: Riggs,
Correspondence NOT ORIGINAL
Fayette Circuit Clerk DOCUMENT
07/24/2020 07:59:11 AM
WKYT
Chad Meredith <chad.meredith1@gmail.com>
Fwd: Correspondence
Blake Brickman <blakebrickman@gmail.com> Sat, Oct 15, 2016 at 6:40 PM
Cc: Chad Meredith <chad.meredith1@gmail.com>
Absurd. We need to escalate this fight ASAP
Sent from my iPhone
On Oct 15, 2016, at 6:20 PM, Steve Pitt <mspitt490@gmail.com> wrote:
Sent from my iPhone

Date: October 15, 2016 at 5:20:00 PM EDT
To: "M. Stephen Pitt" <mspitt490@gmail.com>
Subject: FW: Correspondence
fyi
Taft /
Tel: 317.713.3500 • Fax: 317.713.3699
Direct: 317.713.3444
Taft Bio
Subscribe to our law updates

EXH : 000002 of 000033
This message may contain information that is attorney-client privileged, attorney work
product or otherwise confidential. If you are not an intended recipient, use and disclosure of
this message are prohibited. If you received this transmission in error, please notify the
sender by reply e-mail and delete the message and any attachments.
From: Samantha Young <syoung@truelawky.com>

Date: Friday, October 14, 2016 at 12:39 PM
To: "Jackie Benne , Jr." <JBennett@taftlaw.com>
SCM000154
https://mail.google.com/mail/u/1?ik=2af39561c3&view=pt&search=all&permmsgid=msg-f%3A1548297169992288081&dsqt=1&simpl=msg-f%3A1548297169992… 1/2
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Gmail - Fwd: Riggs,
Cc: Guthrie True <gtrue@truelawky.com> 07/24/2020 07:59:11 AM
Subject: Correspondence WKYT
Mr. Bennett –
Please find attached, correspondence from Mr. True.
Thank you,
Samantha Young
Paralegal to J. Guthrie True
TRUE GUARNIERI AYER LLP
124 West Clinton Street
Frankfort, KY 40601
Telephone: 502-605-9900
Facsimile: 502-605-9901
<10.14.16 Ltr to J. Bennett.pdf>
<Bennett, Jackie.vcf>
EXH : 000003 of 000033

SCM000155
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Gmail - Fwd: Privileged and Riggs,
Conﬁdential Fayette
- Motion NOT ORIGINAL
Circuit
to Compel DOCUMENT
Clerk
07/24/2020 07:59:11 AM
WKYT
Fwd: Privileged and Confidential - Motion to Compel

Chad Meredith <chad.meredith1@gmail.com> Thu, Nov 3, 2016 at 11:14 AM
To: "Pitt, Steve (Gov Office)" <Steve.Pitt@ky.gov>
Cc: "blakebrickman@gmail.com" <blakebrickman@gmail.com>, "andrewvmcneill@gmail.com" <andrewvmcneill@gmail.com>
Bcc: chad.meredith1@gmail.com
I think it's fine, but I would like to see a statement along these lines at the beginning:
"Did the Commonwealth waste money in order to enrich the husband of a member of then-Governor Beshear's Executive
Cabinet? That is what the current Secretary of Finance is trying to find out. And it is what Frank Lassitter - the husband in
question - is trying to prevent the Secretary from finding out."
Sent from my iPhone
On Nov 3, 2016, at 7:26 AM, "Pitt, Steve (Gov Office)" <Steve.Pitt@ky.gov> wrote:
Sent from my iPhone
From: "Pinson, Gwen R (Finance OGC)" <Gwen.Pinson@ky.gov>

Date: November 2, 2016 at 7:14:32 PM EDT
Subject: FW: Privileged and Confidential - Motion to Compel
Steve,
Sorry to keep sending you different drafts, but I wanted to make sure you had the most current
version. Attached is my redline.
Gwen
Gwen R. Pinson
EXH : 000004 of 000033
General Counsel
(502) 564-6660

SCM000163
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
07/24/2020 07:59:11 AM
Sent: Wednesday, November 02, 2016 7:13 PM
To: Meredith, Mason (Finance Secretary's Office); Wagner, William; Bohac, Ken F (Finance)
Cc: Bennett, Jackie
Subject: RE: Privileged and Confidential - Motion to Compel
Importance: High
Gentlemen,
Attached is a redline setting forth my recommended revisions and comments. I made my

changes to Mason’s redline, so that there would only be one revised version floating around.
Please note that the local rules require the filing of an affidavit in support of a motion to
compel, so I have offered suggestions in regard to what should be included in said affidavit.
Gwen
Gwen R. Pinson
General Counsel
(502) 564-6660
From: Meredith, Mason (Finance Secretary's Office)

To: Wagner, William; Pinson, Gwen R (Finance OGC); Bohac, Ken F (Finance)
Cc: Bennett, Jackie
All:
EXH : 000005 of 000033
The redlined version from Ken and I is attached. It just has a few small changes.
-M
From: Wagner, William [mailto:WWagner@taftlaw.com]

Filed Sent: Wednesday, November
20-CI-02157 02, 2016 4:48 PM Vincent Riggs, Fayette Circuit Clerk
07/22/2020
SCM000164
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
DOCUMENT
Circuit
to Compel Clerk
07/24/2020
To: Pinson, Gwen R (Finance OGC); Bohac, Ken F (Finance); Meredith, Mason (Finance 07:59:11 AM
Secretary's Office) WKYT
Cc: Bennett, Jackie
Subject: Privileged and Confidential - Motion to Compel
Privileged and Confidential
Gwen, Ken, and Mason,
Here is a slightly revised motion/memo. I apologize in advance that it does not have tracked
changes.
Best regards,
Bill
Taft /
William C. Wagner / Partner
Tel: 317.713.3500 • Fax: 317.715.4537
Direct: 317.713.3614 • Cell: 317.431.5979
www.taftlaw.com / WWagner@taftlaw.com / LinkedIn
<2016-11-02 Motion to Compel Memo - Woodford County_MWM & GRP Edits.docx>
EXH : 000006 of 000033

SCM000165
07/24/2020 07:59:11 AM
From: Steve Pitt <mspitt490@gmail.com> WKYT
Sent time: 10/21/2016 07:33:51 PM
To: Gwen Pinson <gwenrpinson@gmail.com>
Bennett, Jackie; Wagner, William; Blake Brickman <blakebrickman@gmail.com>; Chad Meredith
Cc: <chad.meredith1@gmail.com>; Andrew McNeill <andrewmcneill@gmail.com>; Secretary William M. Landrum III
<collandrum@gmail.com>
Subject: Re: Lassiter and HealthTech subpoenas - no Monday interview
I didn't have it. Thanks.
Sent from my iPhone
On Oct 21, 2016, at 2:55 PM, Gwen Pinson <gwenrpinson@gmail.com> wrote:
Steve,
I understand that you and Jackie have spoken. And while I certainly understand your
concerns, any other response to True would have most assuredly led to our case being
compromised in court because we were unreasonable in regard to the response time for the
subpoena. We are all keenly aware of what is at stake and are all doing everything we can
to keep things moving forward in an expeditious manner.
Jackie tells me that you and he discussed the strategy for moving forward and that we are
all on the same page. I am available by phone or email all weekend should you wish to talk
further. Also, please note that I have deleted the Colonel's work email address and added
his personal address. Please be sure to use his personal address for sensitive conversations
like this going forward.
Thanks,
Gwen
On Friday, October 21, 2016, Steve Pitt <mspitt490@gmail.com> wrote:

CONFIDENTIAL--ATTORNEY-CLIENT PRIVILEGED
COMMUNICATION.
Pushing communication about the Lassiter subpoena off till the week of Oct
31 is very problematic. The strategy developed with the Governor on Sept 27,
which I assume the Secy or Gwen discussed with you, was to issue a
subpoena for Lassister asap and then force him to either appear and testify,
not appear or move to quash, well in advance of the magic date we've all
discussed. This would have allowed us to either respond to his motion or file
a motion to compel we'll before the magic date so we could justifiably lay out
EXH : 000007 of 000033
on the public record what we think happened, what the case is about, what
we think happened, and why we. See to question Lassiter in as forceful and
persuasive a manner as we can. I am in great fear we are going to lose any
ability to gain in the public eye for all of this because time is going to run out
on us. We may need to schedule a call asap with the Gov, Jack, the Secy ,
Blake and whoever else to discuss whether we can fulfill the strategy we
discussed on Sept 27.

07/24/2020 07:59:11 AM
Sent from my iPhone WKYT
From: "Pitt, Steve (Gov Office)" <Steve.Pitt@ky.gov>

To: 'Steve Pitt' <mspitt490@gmail.com>
Subject: FW: Lassiter and HealthTech subpoenas - no
Monday interview

Sent: Friday, October 21, 2016 1:05 PM
Subject: Fwd: Lassiter and HealthTech subpoenas - no Monday
interview
Steve,
See below. I am available to discuss at your convenience. Please call my

cell (859-552-6188).
Gwen
---------- Forwarded message ----------

Date: Fri, Oct 21, 2016 at 12:46 PM -0400
Subject: Lassiter and HealthTech subpoenas - no Monday interview
To: "Pinson, Gwen R (Finance OGC)" <Gwen.Pinson@ky.gov>
Cc: "Wagner, William" <WWagner@taftlaw.com>, "Meredith, Mason
(Finance Secretary's Office)" <mason.meredith@ky.gov>, "Bohac, Ken F
EXH : 000008 of 000033
(Finance)" <Ken.Bohac@ky.gov>
Gwen: I just spoke with Guthrie True, who is representing both Frank
Lassiter and HealthTech. He has seen the subpoenas and spoken with his
client, and expects to do so again today, but Monday morning is
unrealistic for an interview or document production. He stated that he
did not know what their position ultimately will be, but that he does not
07/24/2020 07:59:11 AM
rule out objecting to the subpoenas and resisting responses. HeWKYT
agrees
that we may have to litigate over the subpoenas. He said he will try to
get back with me by next Wednesday to convey their position, but (like
me) he has travel next week and doesn’t know whether they will have a
response by then. We agreed that, at the very latest, we will
communicate about the subpoenas by early the following week (week of
Oct. 31). So, you should not expect either a witness or document
production in response to the subpoenas next Monday.
FYI, in response to my statement that we intend to interview Mary

Lassiter, he confirmed that he intended to represent her as well. I told
him that when the time came for us to seek her testimony, I would
contact him directly. Best regards, Jackie
Taft /
Tel: 317.713.3500 • Fax: 317.713.3699
Direct: 317.713.3444
Taft Bio
This message may contain information that is attorney-client privileged,

attorney work product or otherwise confidential. If you are not an
intended recipient, use and disclosure of this message are prohibited.
If you received this transmission in error, please notify the sender by
reply e-mail and delete the message and any attachments.
EXH : 000009 of 000033
--
Gwen R. Pinson
(859) 552-6188
gwenrpinson@gmail.com

07/24/2020 07:59:11 AM
Sent time: 11/02/2016 11:38:35 AM
To: Pieczonka, Nicholas
Subject: RE: Kentucky Investigative Services
Jackie bought more time – may not file until tomorrow. I thought you could file electronically?
From: Pieczonka, Nicholas

Sent: Wednesday, November 02, 2016 11:38 AM
To: Wagner, William
Subject: RE: Kentucky Investigative Services
FYI, courthouse closes at 4. Our office is 1.5 hours away; Gwen’s office is 22 minutes away.
Nick
From: Wagner, William

To: Pieczonka, Nicholas
Subject: FW: Kentucky Investigative Services
Nick,
See below. Also, the client wants to file the complaint today, but it’s still a work in process. Hope you are
around later today if we need to file by 4ish….
From: Wagner, William

To: Terp, Thomas; Hicks, Robert; Bennett, Jackie
Cc: Dunn, Lori; Kilkenny, Susan B.; Sharpe, Kelly; Kohnen, Ralph W.; Nalbandian, John B.; Duncombe, Barbara
A.; Weeks, Steven W.; Sumner, Suzanne; Dickerson, James M. (Jay); Thomas, David H.; Parsons, James E.;
Nilles, Victoria L.; Hamilton, Trenton A.; Kilgard, Celia M.; Talkers, Valerie M.; Wallrabenstein, Kathryn S.
Subject: Kentucky Investigative Services
Today we are submitting our report on the “Pay to Stay” Campaign Finance Investigation to Secretary Landrum
of Kentucky’s Finance and Administration Cabinet. This may generate significant media interest. To that end,
our client has asked that we not make any comments in response to the inquiries and direct any and all such
inquiries to:
Pamela Trautner, Director of Communications

Office of Public Information
Kentucky Finance and Administration Cabinet
Ph. 502-564-4240
Email Pamela.Trautner@ky.gov
If you receive a call, please direct the caller to contact Ms. Trautner.
EXH : 000010 of 000033
Best regards,
Bill

07/24/2020 07:59:11 AM
From: Bennett, Jackie WKYT
Sent time: 10/26/2016 10:47:45 AM
To: M. Stephen Pitt <mspitt490@gmail.com>
Subject: FW: latest version of pay to stay
Attachments: 10-26 version draft Report to FAC Secretary re Pay to Play[1].docx Bennett, Jackie.vcf
Steve: Here is latest version. We are awaiting comments from several people, and will need to make edits after
named Beshear officials get chance to be interviewed or not (which should happen soon). We are also going to
include more factual detail, but this is about 95% done. Let me know your thoughts. JMB
Taft /
Tel: 317.713.3500 • Fax: 317.713.3699
Direct: 317.713.3444
Taft Bio
This message may contain information that is attorney-client privileged, attorney work product or otherwise
confidential. If you are not an intended recipient, use and disclosure of this message are prohibited. If you
received this transmission in error, please notify the sender by reply e-mail and delete the message and any
attachments.
EXH : 000011 of 000033

07/24/2020 07:59:11 AM
From: Pinson, Gwen R (Finance OGC) <Gwen.Pinson@ky.gov> WKYT
Sent time: 11/03/2016 10:51:48 PM
To: Bennett, Jackie; Wagner, William
Subject: Fwd: SAS articles
FYI
_____________________________
From: Trautner, Pamela (Finance Secretary's Office) <pamela.trautner@ky.gov>
Sent: Thursday, November 3, 2016 10:50 PM
Subject: SAS articles
To: Pinson, Gwen R (Finance OGC) <gwen.pinson@ky.gov>, King, Edwin D (Finance Secretary's
Office) <edwin.king@ky.gov>, Bunning, Mark D (Finance Secretary's Office)
<mark.bunning@ky.gov>, Bohac, Ken F (Finance) <ken.bohac@ky.gov>, Landrum, William M
(Finance Secretary's Office) <william.landrum@ky.gov>
The Courier and Herald posted articles this evening
Bevin seeks testimony in Beshear inquiry

By Tom Loftus
FRANKFORT, Ky. — Gov. Matt Bevin's investigation into the administration of his predecessor, Steve Beshear,
went to court Thursday to try to compel the cooperation of Frank Lassiter, a technology executive and consultant
who is the husband of Beshear's executive cabinet secretary, Mary Lassiter.
Bevin created an office of inspector general within his Finance and Administration Cabinet this year and
announced that office would be investigating what Bevin said he suspected was significant corruption in
Beshear's administration. Beshear rejected the accusation and called Bevin's move political.
On Thursday – in the first public action of the inspector general and coming five days before the high-stakes
general election – Bevin's Finance and Administration Cabinet secretary, William Landrum, filed a petition in
Woodford County Circuit Court seeking an order to compel Lassiter to make himself available for a deposition
by the inspector general investigators and to provide documents.
The court filing shows that the inspector general is examining a $3 million contract awarded on the final day of
the Beshear administration last December to SAS Institute of North Carolina to detect fraud in billings made to
Medicaid and other state programs. Frank Lassiter is a consultant who represents SAS Institute in Kentucky.
The Courier-Journal first reported in February that Frank Lassiter was a consultant for SAS, which had won that
no-bid contract. But Lassiter said in that story he had no involvement in representing SAS – and made no money
– on that contract.
The court filing comes as the Bevin administration refuses to allow Highway Department officials to testify before
a Kentucky House committee's investigation into why the Bevin administration has not started a construction
contract in the district of a Democratic House member. That member, Rep. Russ Meyer, has said Bevin stopped
EXH : 000012 of 000033
the project because he refused Bevin's request that he switch to the Republican Party. Bevin denies that charge.
Lassiter's attorney, Guthrie True, of Frankfort, said Thursday afternoon that Lassiter has done nothing wrong in
the SAS contract matter. He agreed that Lassiter has declined to cooperate with Bevin's inspector general, but
said he did so because he believes the investigation to be political.
"We think this is not about fact-finding, this is really about politics. And I think it's inappropriate for Frank to be
used as a political pawn, so we'll be resisting their subpoena, " True said. "It's our position that the secretary of
the Finance and Administration Cabinet and his inspector general do not have the authority or jurisdiction to
07/24/2020 07:59:11 AM
compel testimony from, or the production of documents from, persons that are notWKYT
state government
employees."
But Pamela Trautner, spokeswoman for the Finance and Administration Cabinet, said later in a statement, "This
investigation is to determine the facts in this particular instance and to ensure the integrity of the process by
which Kentucky procures goods and services."
Frank Lassiter served in the Beshear administration as executive director of the Health and Family Services
Cabinet's Office of Administration and Technology Services until August 2011. After he left state government,
Lassiter and other former technology officials within that cabinet formed their own technology company called
HealthTech Solutions.
But Lassiter also became a consultant on his own and landed SAS Institute, of Cary, N.C., as a client.
Documents filed by the Bevin Finance Cabinet in court Thursday say that SAS began dealing with Kentucky state
government as a subcontractor providing data analytics software on Deloitte Consulting's big contract to build
Kentucky's health benefit exchange. Those documents also say that contract modifications greatly expanded how
much Kentucky paid to SAS in the following years.
The documents say the inspector general wants to ask Lassiter about any role he played, and what he knows
about, state government's dealings with Deloitte and SAS before and after he left state government. The
documents also say the inspector general wants to ask if any "insider information" was obtained by Frank
Lassiter from Mary Lassiter.
Mary Lassiter told the CJ in February she "wasn't involved at all" with any state government dealings with SAS.
Bevin aide asks court to enforce subpoena in probe of Beshear administration
By Jack Brammer, H-L
FRANKFORT--An aide to Gov. Matt Bevin asked a judge Thursday to force the husband of a top
official in the administration of former Gov. Steve Beshear to comply with a subpoena seeking
information about a nearly $3 million no-bid contract awarded to a technology company on Beshear’s
last day in office.
Finance Secretary William Landrum filed a motion Thursday in Woodford Circuit Court in Versailles,
asking the court to force Frank Lassiter, the husband of Beshear’s executive cabinet secretary, to
comply with its subpoena.
Lassiter’s attorney, J. Guthrie True, said he will fight the state’s motion.
The state does not have the authority or jurisdiction to compel documents from people not employed by
state government, True said.
“Frank has followed all the rules in this situation,” True said. “We think this is not about fact-finding by
EXH : 000013 of 000033
the state but is about politics. I do not intend to let Frank be used as a political pawn here.”
Bevinannounced in April that he had ordered Landrum to hire investigators to conduct a wide-ranging
inquiry of actions taken by Beshear administration officials. The state has sinceawarded a two-year,
$500,000 contract to an Indianapolis law firm to conduct the investigation.
The Courier-Journalreported in February that the Beshear administration awarded the contract on Dec.
Filed
7 to SAS Institute of Cary, N.C.,
20-CI-02157
to extend for one year
07/22/2020
work that SAS was doing for state government
Vincent Riggs, Fayette Circuit Clerk
07/24/2020 07:59:11 AM
analyzing data to detect fraud in billings made to Medicaid and other state programs.
WKYT
Lassiter, the husband of then-Executive Cabinet Secretary Mary Lassiter, has been a consultant for SAS
Institute since 2012, according to personal financial disclosure reports that his wife filed with the
Executive Branch Ethics Commission.
Frank Lassiter told The Courier-Journal that he played no role in helping get the contract for SAS and
did not make any additional fees because SAS got the contract. Mary Lassiter said she “wasn’t involved
at all” with any government dealing with SAS.
Frank Lassiter resigned as executive director of the Office of Administration and Technology Services
in the Cabinet for Human Services in August 2011.
SAS is a major developer and marketer of analytics software that has 13,873 employees
worldwide,according to its website.
In its 31-page motion Thursday, the Finance Cabinet said it is investigating, at Bevin’s direction, the
awarding of no-bid contracts to SAS Institute.
“The state has reason to believe that Lassister has documents and information relevant to the state
procurement of goods and services from SAS as it relates to no-bid contracts that were issued to SAS
beginning in 2012 through the last day of the Beshear administration,” the motion said.
It said the Beshear administration did not follow proper procedures for awarding such contracts. The
state is asking the court to hold a hearing on its motion Dec. 16.
EXH : 000014 of 000033

Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Gmail - Fwd: Riggs,
07/24/2020 07:59:11 AM
WKYT
Fwd: Correspondence
Blake Brickman <blakebrickman@gmail.com> Sat, Oct 15, 2016 at 6:40 PM
Cc: Chad Meredith <chad.meredith1@gmail.com>
Absurd. We need to escalate this fight ASAP
Sent from my iPhone
On Oct 15, 2016, at 6:20 PM, Steve Pitt <mspitt490@gmail.com> wrote:
Sent from my iPhone

To: "M. Stephen Pitt" <mspitt490@gmail.com>
Subject: FW: Correspondence
fyi
Taft /
Tel: 317.713.3500 • Fax: 317.713.3699
Direct: 317.713.3444
Taft Bio

EXH : 000015 of 000033
From: Samantha Young <syoung@truelawky.com>

Date: Friday, October 14, 2016 at 12:39 PM
To: "Jackie Benne , Jr." <JBennett@taftlaw.com>
SCM000154
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Gmail - Fwd: Riggs,
Cc: Guthrie True <gtrue@truelawky.com> 07/24/2020 07:59:11 AM
Subject: Correspondence WKYT
Mr. Bennett –
Please find attached, correspondence from Mr. True.
Thank you,
Samantha Young
Paralegal to J. Guthrie True
TRUE GUARNIERI AYER LLP
124 West Clinton Street
Frankfort, KY 40601
Telephone: 502-605-9900
Facsimile: 502-605-9901
<10.14.16 Ltr to J. Bennett.pdf>
<Bennett, Jackie.vcf>
EXH : 000016 of 000033

SCM000155
Filed
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Circuit
to Compel DOCUMENT
Clerk
07/24/2020 07:59:11 AM
WKYT

Chad Meredith <chad.meredith1@gmail.com> Thu, Nov 3, 2016 at 11:14 AM
Cc: "blakebrickman@gmail.com" <blakebrickman@gmail.com>, "andrewvmcneill@gmail.com" <andrewvmcneill@gmail.com>
"Did the Commonwealth waste money in order to enrich the husband of a member of then-Governor Beshear's Executive
Cabinet? That is what the current Secretary of Finance is trying to find out. And it is what Frank Lassitter - the husband in
question - is trying to prevent the Secretary from finding out."
Sent from my iPhone
Sent from my iPhone

Steve,
Sorry to keep sending you different drafts, but I wanted to make sure you had the most current
version. Attached is my redline.
Gwen
Gwen R. Pinson
EXH : 000017 of 000033
General Counsel
(502) 564-6660

SCM000163
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
07/24/2020 07:59:11 AM
Cc: Bennett, Jackie
Importance: High
Gentlemen,
Attached is a redline setting forth my recommended revisions and comments. I made my

changes to Mason’s redline, so that there would only be one revised version floating around.
Please note that the local rules require the filing of an affidavit in support of a motion to
compel, so I have offered suggestions in regard to what should be included in said affidavit.
Gwen
Gwen R. Pinson
General Counsel
(502) 564-6660

Cc: Bennett, Jackie
All:
EXH : 000018 of 000033
-M

Filed Sent: Wednesday, November
20-CI-02157 02, 2016 4:48 PM Vincent Riggs, Fayette Circuit Clerk
07/22/2020
SCM000164
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
DOCUMENT
Circuit
to Compel Clerk
07/24/2020
To: Pinson, Gwen R (Finance OGC); Bohac, Ken F (Finance); Meredith, Mason (Finance 07:59:11 AM
Secretary's Office) WKYT
Cc: Bennett, Jackie
Here is a slightly revised motion/memo. I apologize in advance that it does not have tracked
changes.
Best regards,
Bill
Taft /
Tel: 317.713.3500 • Fax: 317.715.4537
Direct: 317.713.3614 • Cell: 317.431.5979
EXH : 000019 of 000033

SCM000165
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
07/24/2020 07:59:11 AM
WKYT

Blake Brickman <blakebrickman@gmail.com> Thu, Nov 3, 2016 at 11:25 AM
To: Chad Meredith <chad.meredith1@gmail.com>
Cc: "Pitt, Steve (Gov Office)" <Steve.Pitt@ky.gov>, "andrewvmcneill@gmail.com" <andrewvmcneill@gmail.com>
I like it
Sent from my iPhone
On Nov 3, 2016, at 10:14 AM, Chad Meredith <chad.meredith1@gmail.com> wrote:
"Did the Commonwealth waste money in order to enrich the husband of a member of then-Governor
Beshear's Executive Cabinet? That is what the current Secretary of Finance is trying to find out. And it is
what Frank Lassitter - the husband in question - is trying to prevent the Secretary from finding out."
Sent from my iPhone
Sent from my iPhone

Steve,
Sorry to keep sending you different drafts, but I wanted to make sure you had
the most current version. Attached is my redline.
EXH : 000020 of 000033
Gwen
Gwen R. Pinson
General Counsel

SCM000166
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
(502) 564-6660 07/24/2020 07:59:11 AM
WKYT

To: Meredith, Mason (Finance Secretary's Office); Wagner, William; Bohac,
Ken F (Finance)
Cc: Bennett, Jackie
Importance: High
Gentlemen,
Attached is a redline setting forth my recommended revisions and comments. I

made my changes to Mason’s redline, so that there would only be one revised
version floating around.
Please note that the local rules require the filing of an affidavit in support of a
motion to compel, so I have offered suggestions in regard to what should be
included in said affidavit.
Gwen
Gwen R. Pinson
General Counsel
(502) 564-6660

Cc: Bennett, Jackie
EXH : 000021 of 000033
All:
The redlined version from Ken and I is attached. It just has a few small
changes.

SCM000167
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
-M 07/24/2020 07:59:11 AM
WKYT

To: Pinson, Gwen R (Finance OGC); Bohac, Ken F (Finance); Meredith, Mason
(Finance Secretary's Office)
Cc: Bennett, Jackie
Here is a slightly revised motion/memo. I apologize in advance that it does not

have tracked changes.
Best regards,
Bill
Taft /
Tel: 317.713.3500 • Fax: 317.715.4537
Direct: 317.713.3614 • Cell: 317.431.5979
This message may contain information that is attorney-client privileged,

attorney work product or otherwise confidential. If you are not an intended
recipient, use and disclosure of this message are prohibited. If you received
this transmission in error, please notify the sender by reply e-mail and delete
the message and any attachments. EXH : 000022 of 000033

SCM000168
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
07/24/2020 07:59:11 AM
WKYT

Pitt, Steve (Gov Office) <Steve.Pitt@ky.gov> Thu, Nov 3, 2016 at 12:04 PM
To: Blake Brickman <blakebrickman@gmail.com>
Cc: Chad Meredith <chad.meredith1@gmail.com>, "andrewvmcneill@gmail.com" <andrewvmcneill@gmail.com>
I like it, but better with. Had's suggested addition.
Sent from my iPhone
On Nov 3, 2016, at 11:25 AM, Blake Brickman <blakebrickman@gmail.com> wrote:
I like it
Sent from my iPhone
"Did the Commonwealth waste money in order to enrich the husband of a member of then-
Governor Beshear's Executive Cabinet? That is what the current Secretary of Finance is
trying to find out. And it is what Frank Lassitter - the husband in question - is trying to prevent
the Secretary from finding out."
Sent from my iPhone
Sent from my iPhone

Confidential/Privileged/Preliminary/Draft (including attachment) EXH : 000023 of 000033
Steve,
Sorry to keep sending you different drafts, but I wanted to make

sure you had the most current version. Attached is my redline.
Gwen
SCM000169
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
07/24/2020 07:59:11 AM
WKYT
Gwen R. Pinson
General Counsel
(502) 564-6660

To: Meredith, Mason (Finance Secretary's Office); Wagner,
William; Bohac, Ken F (Finance)
Cc: Bennett, Jackie
Importance: High
Gentlemen,
Attached is a redline setting forth my recommended revisions and

comments. I made my changes to Mason’s redline, so that there
would only be one revised version floating around.
Please note that the local rules require the filing of an affidavit in
support of a motion to compel, so I have offered suggestions in
regard to what should be included in said affidavit.
Gwen
Gwen R. Pinson
General Counsel
(502) 564-6660
EXH : 000024 of 000033

To: Wagner, William; Pinson, Gwen R (Finance OGC); Bohac,
Ken F (Finance)
Cc: Bennett, Jackie
SCM000170
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
All: 07/24/2020 07:59:11 AM
WKYT
The redlined version from Ken and I is attached. It just has a few
small changes.
-M

To: Pinson, Gwen R (Finance OGC); Bohac, Ken F (Finance);
Meredith, Mason (Finance Secretary's Office)
Cc: Bennett, Jackie
Here is a slightly revised motion/memo. I apologize in advance

that it does not have tracked changes.
Best regards,
Bill
Taft /
Tel: 317.713.3500 • Fax: 317.715.4537
Direct: 317.713.3614 • Cell: 317.431.5979

EXH : 000025 of 000033
This message may contain information that is attorney-client

privileged, attorney work product or otherwise confidential. If you
are not an intended recipient, use and disclosure of this
message are prohibited. If you received this transmission in
error, please notify the sender by reply e-mail and delete the

SCM000171
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Conﬁdential DOCUMENT
Fayette
Circuit
to Compel Clerk
07/24/2020
<2016-11-02 Motion to Compel Memo - Woodford County_MWM & GRP 07:59:11 AM
Edits.docx> WKYT
EXH : 000026 of 000033

SCM000172
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
07/24/2020 07:59:11 AM
WKYT

Chad Meredith <chad.meredith1@gmail.com> Thu, Nov 3, 2016 at 12:40 PM
To: "gwenrpinson@gmail.com" <gwenrpinson@gmail.com>, Steve Pitt <mspitt490@gmail.com>, Blake Brickman
<blakebrickman@gmail.com>
Gwen,
See my comments below. Thanks.
Chad
Sent from my iPhone
From: Blake Brickman <blakebrickman@gmail.com>

Date: November 3, 2016, 11:25:36 AM EDT
To: Chad Meredith <chad.meredith1@gmail.com>
Cc: "Pitt, Steve (Gov Office)" <Steve.Pitt@ky.gov>, "andrewvmcneill@gmail.com"
<andrewvmcneill@gmail.com>
Subject: Re: Privileged and Confidential - Motion to Compel
I like it
Sent from my iPhone
"Did the Commonwealth waste money in order to enrich the husband of a member of then-
Governor Beshear's Executive Cabinet? That is what the current Secretary of Finance is
trying to find out. And it is what Frank Lassitter - the husband in question - is trying to prevent
the Secretary from finding out."
Sent from my iPhone
Sent from my iPhone

EXH : 000027 of 000033


SCM000173
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
07/24/2020 07:59:11 AM
WKYT
Steve,
Sorry to keep sending you different drafts, but I wanted to make

sure you had the most current version. Attached is my redline.
Gwen
Gwen R. Pinson
General Counsel
(502) 564-6660

To: Meredith, Mason (Finance Secretary's Office); Wagner,
William; Bohac, Ken F (Finance)
Cc: Bennett, Jackie
Importance: High
Gentlemen,
Attached is a redline setting forth my recommended revisions and

comments. I made my changes to Mason’s redline, so that there
would only be one revised version floating around.
Please note that the local rules require the filing of an affidavit in
support of a motion to compel, so I have offered suggestions in
regard to what should be included in said affidavit. EXH : 000028 of 000033
Gwen
Gwen R. Pinson
General Counsel
Filed (502) 564-6660

20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk
SCM000174
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
07/24/2020 07:59:11 AM
WKYT
To: Wagner, William; Pinson, Gwen R (Finance OGC); Bohac,
Ken F (Finance)
Cc: Bennett, Jackie
All:
The redlined version from Ken and I is attached. It just has a few
small changes.
-M

To: Pinson, Gwen R (Finance OGC); Bohac, Ken F (Finance);
Meredith, Mason (Finance Secretary's Office)
Cc: Bennett, Jackie
Here is a slightly revised motion/memo. I apologize in advance

that it does not have tracked changes.
Best regards,
Bill
Taft /
EXH : 000029 of 000033

Tel: 317.713.3500 • Fax: 317.715.4537
Direct: 317.713.3614 • Cell: 317.431.5979

SCM000175
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
07/24/2020 07:59:11 AM
Subscribe to our law updates WKYT
This message may contain information that is attorney-client
privileged, attorney work product or otherwise confidential. If you
are not an intended recipient, use and disclosure of this
message are prohibited. If you received this transmission in
error, please notify the sender by reply e-mail and delete the
<2016-11-02 Motion to Compel Memo - Woodford County_MWM & GRP

Edits.docx>
EXH : 000030 of 000033

SCM000176
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
07/24/2020 07:59:11 AM
WKYT

andrewvmcneill . <andrewvmcneill@gmail.com> Thu, Nov 3, 2016 at 10:00 AM
Cc: "blakebrickman@gmail.com" <blakebrickman@gmail.com>, "chad.meredith1@gmail.com" <chad.meredith1@gmail.com>
This looks solid. Agree with Gwen's comments that additional footnotes/citations are needed.
What is the plan with it? When will it be filed? Shouldn't we tip off Loftus that it's going to be filed?
On Thu, Nov 3, 2016 at 7:26 AM, Pitt, Steve (Gov Office) <Steve.Pitt@ky.gov> wrote:
Sent from my iPhone

Steve,
Sorry to keep sending you different drafts, but I wanted to make sure you had the most current version.
Attached is my redline.
Gwen
Gwen R. Pinson
General Counsel
(502) 564-6660 EXH : 000031 of 000033

Cc: Bennett, Jackie
Importance: High

SCM000177
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
Confidential/Privileged/Preliminary/Draft (including attachment) 07/24/2020 07:59:11 AM
WKYT
Gentlemen,
Attached is a redline setting forth my recommended revisions and comments. I made my changes to
Mason’s redline, so that there would only be one revised version floating around.
Please note that the local rules require the filing of an affidavit in support of a motion to compel, so I have
offered suggestions in regard to what should be included in said affidavit.
Gwen
Gwen R. Pinson
General Counsel
(502) 564-6660

Cc: Bennett, Jackie
All:
-M

EXH : 000032 of 000033
To: Pinson, Gwen R (Finance OGC); Bohac, Ken F (Finance); Meredith, Mason (Finance Secretary's
Office)
Cc: Bennett, Jackie

SCM000178
Filed
6/26/2020 20-CI-02157 07/22/2020 Vincent
Circuit
to Compel DOCUMENT
Clerk
Gwen, Ken, and Mason, 07/24/2020 07:59:11 AM
WKYT
Here is a slightly revised motion/memo. I apologize in advance that it does not have tracked changes.
Best regards,
Bill
Taft /
Tel: 317.713.3500 • Fax: 317.715.4537
Direct: 317.713.3614 • Cell: 317.431.5979
prohibited. If you received this transmission in error, please notify the sender by reply e-mail and delete
the message and any attachments.
EXH : 000033 of 000033

SCM000179
07/24/2020 08:00:19 AM
WKYT
EXHIBIT P
EXH : 000001 of 000011

07/24/2020 08:00:19 AM
From: Alexander, Mike (Gov Office) WKYT
Sent time: 09/23/2016 10:47:32 AM
Subject: RE: OOR/Matt Bricken/TaftLaw-Hollister[CORRECTED REQUEST]
Steve,
The request is from Matt Bricken. His e-mail address is Matt@Grindstoneresearch.com. Grindstone Research is
a political opposition research group out of Nashville, Tennessee, with an office in Lexington. Matt Bricken is a
partner of the group. (See website http://grindstoneresearch.com/

Sent: Thursday, September 22, 2016 6:16 PM
To: Alexander, Mike (Gov Office)
Subject: RE: OOR/Matt Bricken/TaftLaw-Hollister[CORRECTED REQUEST]
Who made the request? Who is Bricken?
From: Alexander, Mike (Gov Office)

Sent: Thursday, September 22, 2016 5:39 PM
To: Governor's Staff Capitol
Subject: OOR/Matt Bricken/TaftLaw-Hollister[CORRECTED REQUEST]
Governor’s Staff:
This office has received an open records request for “Copies of all email correspondence from
December 8, 2015 to the present [between]…employees of the Office of the Governor and the Office of
the Secretary within the Finance Administration Cabinet with an individual with an email address
ending with: “@taftlaw.com”[along with] Copies of any interagency communication [between]…the
Office of the Governor and Office of the Secretary within the Finance Administration Cabinet that
contains: “Taft, Stettinius, and Hollister, LLP”.
We believe many of the records, if any, will be exempt from disclosure under certain sections of the
Kentucky Open Records Act. However, if you have any records/documents, electronic or otherwise,
relating to the above, please provide hard copies to this office on or before the close of business
MONDAY, SEPTEMBER 26, 2016..
If you have any questions, please let us know. Thanks
Michael T. Alexander
Office of the Governor
700 Capitol Avenue
EXH : 000002 of 000011
Frankfort, KY 40601
502.564.2611

07/24/2020 08:00:19 AM
WKYT
EXH : 000003 of 000011

07/24/2020 08:00:19 AM
WKYT
EXH : 000004 of 000011

07/24/2020 08:00:19 AM
WKYT
EXH : 000005 of 000011

07/24/2020 08:00:19 AM
WKYT
EXH : 000006 of 000011

07/24/2020 08:00:19 AM
WKYT
EXH : 000007 of 000011

07/24/2020 08:00:19 AM
WKYT
EXH : 000008 of 000011

07/24/2020 08:00:19 AM
From: Alexander, Mike (Gov Office) WKYT
Sent time: 10/03/2016 12:46:18 PM
Cc: Meredith, Chad (Gov Office); Stamper, Amanda (Gov Office); Bowman, Selina (Gov Office)
Subject: RE: ORR/Matt Bricken/Taft Law etc
Yes, of course. Thanks

Sent: Monday, October 03, 2016 12:46 PM
To: Alexander, Mike (Gov Office)
Subject: RE: ORR/Matt Bricken/Taft Law etc
The May 16 @11:15 one will need to have the Tax I.D. No. redacted before this goes out.
From: Alexander, Mike (Gov Office)

Sent: Monday, October 03, 2016 12:32 PM
Subject: ORR/Matt Bricken/Taft Law etc
Steve, this is a draft response to the open records request from Matt Bricken which I plan to send
around the close of business today. He has asked for copies of records concerning Taft Law etc. Chad
and I have reviewed the responsive documents relating to this request. Some will be withheld as
“preliminary”, “attorney client privilege” exempt records. I’ve attached copies of the responsive
document to be released. If this is ok, please let me know.
____________________________________________________________________________________________
____
Mr. Bricken,
This letter serves to respond to your recent request for documents/records pursuant to the Kentucky
Open Records Act. Specifically, you have asked to be provided “Copies of all email correspondence
from December 8, 2015 to the present [between]…employees of the Office of the Governor and the
Office of the Secretary within the Finance Administration Cabinet with an individual with an email
address ending with: “@taftlaw.com”[along with] Copies of any interagency communication
[between]…the Office of the Governor and Office of the Secretary within the Finance Administration
Cabinet that contains: “Taft, Stettinius, and Hollister, LLP”. Copies of responsive records are attached
for your convenience and review.
We have located additional e-mail records which are exempt from disclosure. These records are
privileged and protected under the attorney/client privilege pursuant to KRE 503 and KRS 61.878(1)(i)
and (j). KRS 61.878(1)(l) authorizes public agencies to withhold “public records or information the
EXH : 000009 of 000011
disclosure of which is prohibited or restricted or otherwise made confidential by enactment of the

General Assembly.” This provision operates in tandem with KRE 503 to exclude from public inspection
otherwise public records protected by the attorney-client privilege. KRE 503(b) establishes the general
rule of privilege:
A client has a privilege to refuse to disclose and to prevent any other person from
disclosing a confidential communication made for the purpose of facilitating the
07/24/2020 08:00:19 AM
rendition of professional legal services to the client [.] WKYT
With respect to the privilege, the Attorney General has observed:
Thus, the privilege consists of three elements: The relationship of attorney and
client, communication by or to the client relating to the subject matter upon
which professional advice is sought, and the confidentiality of the expression for
which the protection is claimed. Robert G. Lawson, The Kentucky Evidence Law
Handbook § 5.10 (Michie, 3d ed 1993), citing United States v Schwimmer, 892
F2d 237, 243 (2d Cir 1989). Its purpose is to insure that confidences exchanged
by an attorney and client are protected, thereby encouraging them to freely
communicate. The term “client” is defined to include “a person, including a
public officer, corporation, association, or other organization or entity, either
public or private, who is rendered professional legal services by a lawyer. . . .”
KRE 503(a)(1). The privilege extends to communications from attorney to client
“if they constitute legal advice, or tend directly or indirectly to reveal the
substance of a client confidence.” Kentucky Evidence Law Handbook at § 5.10
citing United States v Defazio, 899 F.2d 626, 635 (7th Cir 1990). Of course, the
privilege ”must be strictly construed and given no greater application than is
necessary to further its objective.” Kentucky Evidence Law Handbook § 5.10.
In this instance, the withheld documents consist primarily of communications between Steve Pitt and
Chad Meredith, General Counsel and Deputy General Counsel, respectively, Office of the Governor,
Nate Kellum, Chief Counsel, Center for Religious Expression, Mike Johnson, Virginia Snell, Doug
McSwain, Robert Craig, Jay Dickerson, attorneys at law, and others. The e-mails contain legal
opinions, conclusions and advice, or communications generated by and between them for the purpose of
facilitating the rendition of legal services and advice. Moreover, all such communications have
remained confidential.
The documents that you have requested also are exempt from disclosure under other provisions of the
Open Records Act. KRS 61.878(i) & (j) state:
(i)Preliminary drafts, notes, correspondence with private individuals, other than
correspondence which is intended to give notice of final action of a public
agency;
(j) Preliminary recommendations, and preliminary memoranda in which opinions

are expressed or policies formulated or recommended;
The Attorney General “has consistently recognized that preliminary inter-office and intra-office
memoranda or notes setting forth opinions, observations and recommendations, as well as
correspondence with private individuals, may be withheld from public inspection pursuant to KRS
61.878(1)(g) and (h), unless such documents are incorporated into, or give notice of, final agency
action. OAG 83-41; OAG 87-10; OAG 87-32; OAG 87-64; OAG 88-25; OAG 89-69; OAG 91-23.”
OAG 92-112. The Attorney General has explained that these exemptions are “intended to protect the
integrity of the agency's decision-making process by encouraging the free exchange of opinions and
ideas, and to promote informed and frank discussions of matters of concern to the agency.
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We believe the withheld documents fall squarely within the parameters of the exception set forth
above. Accordingly, in an effort to protect the integrity of the on-going internal decision making
process so as to further facilitate the free exchange of opinions and recommendations, your request
concerning exempt records is hereby denied.
Should you have any questions or need additional information, please feel free to immediately inquire.
07/24/2020 08:00:19 AM
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Michael T. Alexander
Office of the Governor
700 Capitol Avenue
Frankfort, KY 40601
502.564.2611
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EXHIBIT Q
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EXHIBIT R
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07/24/2020 08:01:27 AM
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July 22, 2020
Via Email
Frankfort, KY 40601
Re: Administrative Subpoena Duces Tecum
Dear Secretary Johnson:
I have reviewed your response below with my client and am writing to let you know that our
position is unchanged. Nothing in your response refutes our objection to the Secretary's authority (which
is currently under review by the Kentucky Supreme Court in Lassiter v. Landrum, Case No. 18-SC-657)
nor assuages Ms. Pinson's concerns regarding her ethical obligations and duties owed under the
attorney-client privilege. Finally, your response wholly fails to address my client's concerns regarding
the current administration's obvious conflict of interest when it comes to the investigation of the
administration of former Governor Steve Beshear.
In order to try and resolve this matter without your office having to file legal proceedings in
Fayette Circuit Court (per KRS 45.142, enforcement authority lies with "the judge having jurisdiction of
the person to whom the order or subpoena was issued”) at a time when the administration is dealing with
a myriad of pandemic-related issues, we will address each of your points in greater detail below to see if
we can find any common ground.
In your response you make blanket statements about Ms. Pinson being in possession of public
documents, alleging that she used her personal email to conduct state business. As noted in our initial
objection, the documents relating to the awarding and termination of the contracts at issue in the
Subpoena Duces Tecum (Subpoena) are a matter of public record and on file with the Finance and
Administration Cabinet.
Next, you note that Ms. Pinson was General Counsel for the Finance Cabinet and allege that she
was intimately involved with the awarding and performance of the contracts at issue, leading to your
assertion that you "have information demonstrating that she and others may have engaged in
mismanagement of government affairs in related (sic) to that contract." As you can imagine, Ms. Pinson
certainly takes issue with any allegations of mismanagement levied against her. To the extent you
EXH : 000004 of 000005
would like to provide more details on this alleged information, I can discuss with my client, but given
that it was her job as General Counsel of the Finance Cabinet to ensure all procurement statutes and
regulations were followed, it is highly unlikely that she would have knowledge or information regarding
any alleged mismanagement.

Clerk
07/24/2020 08:01:27 AM
Your argument about Ms. Pinson's involvement in the events giving riseWKYT
to the Lassiter case are
also misplaced. What Ms. Pinson may or may not have done in her role as General Counsel during the
prior administration occurred prior to the time when the Finance Secretary's authority had been
contested or was subject to Supreme Court review. Accordingly, our objection on the grounds of
the Lassiter case still stands.
Regarding the issue of attorney-client privilege, you state that, "government lawyers, like the
elected officials they assist, are public servants, and their client is the government, not officeholders in
their personal capacities." Yet, you cite no legal authority for this assertion. To the extent you have
legal authority supporting this argument, I would be happy to review and discuss the same with my
client. Moreover, it is my client's understanding that your Cabinet Chief of Staff and Inspector General,
Ms. Grigsby, who was my client's predecessor as General Counsel of the Finance Cabinet during the
previous Beshear Administration, asserted the very same attorney-client privilege my client now asserts
when she was contacted during one or more investigations into the activities of the prior Beshear
administration. As Ms. Grigsby was then likely motivated by the same ethical concerns that now
motivate my client, she should not find our request for legal authority on this point to be unreasonable.
Finally, as previously noted, your response does not address my client's concerns regarding the
conflict of interest presented by the current Beshear administration seeking to invade the attorney-client
privilege/work product protections surrounding an investigation into improprieties alleged to have
occurred during the previous Beshear administration, nor her concerns regarding protection of the
whistleblowers who cooperated as part of that investigation.
I am available to discuss the above at your convenience. To the extent there is additional
information or legal authority you wish to provide, I will be happy to discuss the same with my
client. At present, however, we stand by our prior objections to the Subpoena.
Kind regards,
Jason M. Nemes
EXH : 000005 of 000005
2
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EXHIBIT S
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Flynn, Sam R (Finance)
From: Flynn, Sam R (Finance)

Sent: Tuesday, July 21, 2020 6:41 PM
To: Jason Nemes
Cc: Grigsby, Geri E (Finance)
Subject: RE: Ms. Gwendolyn Pinson's Response to Subpoena
Mr. Nemes,
I am following up on my phone call and voicemail I left you this evening regarding the subpoena Secretary Johnson
issued to your client. As you are aware, your client is in possession of public records that belong to the Commonwealth
of Kentucky. The Secretary has lawfully issued a subpoena to your client to produce those records. As your response to
that subpoena makes clear, Ms. Pinson has refused to provide any records in response to this subpoena.
As you know, on Monday, June 20th, I sent you an email and called you on two separate occasions, attempting to resolve
this issue in good faith. This morning you responded in the email below, stating you would be speaking with your client
and would get back to me today as soon as possible. Having not heard from you, I followed up this evening, again
attempting to resolve this issue.
Please let me know whether your client intends to comply with the Secretary’s subpoena. If you do not contact me
by Noon tomorrow, I will consider that as a refusal to partake in good faith efforts to resolve this dispute and will
proceed accordingly.
Thanks,
Sam Flynn
Sam Flynn
702 Capital Avenue
Capitol Annex, Suite 392
Frankfort, KY 40601
Email: Sam.Flynn@ky.gov
Tele: (502)-564-2822
CONFIDENTIALITY NOTICE
EXH : 000002 of 000005
This e-mail message, together with any attachments, is intended only for the personal and confidential and
exclusive use of the intended recipient(s) named above. This message may be an attorney-client communication
or work product, and as such is privileged and confidential. If you are not the intended recipient(s), you are
hereby notified that you have received this document in error and that any review, dissemination, distribution,
or copying of this message is strictly prohibited and may be unlawful. If you have received this message in
error, please return it to the sender, notify the sender immediately by telephone (502) 564-2822 or by return e-
mail, and delete or destroy this message, along with any attachments, from your computer. It should be
Filed 20-CI-02157 07/22/2020 1 Vincent Riggs, Fayette Circuit Clerk
Vincent Riggs, Fayette Circuit ClerkDOCUMENT
07/24/2020 08:01:57 AM
understood that the Finance and Administration Cabinet cannot guarantee the security of the transmission and
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assumes no responsibility for intentional or accidental receipt by a third party.
From: Jason Nemes <Jason@ccgattorneys.com>

Sent: Tuesday, July 21, 2020 10:28 AM
To: Flynn, Sam R (Finance) <Sam.Flynn@ky.gov>
Cc: Grigsby, Geri E (Finance) <GeriE.Grigsby@ky.gov>
Subject: Re: Ms. Gwendolyn Pinson's Response to Subpoena
Sam,
I have received your email. I am meeting with my client today and will get back with you as soon as possible, but it may
not be before noon. I was unable to take your phone calls yesterday because I was in meetings with clients. I’ll get back
with you soon.
Thanks.
Jason
__________
Jason M. Nemes
COMMONWEALTH COUNSEL GROUP PLLC|10343 Linn Station Rd., Ste 100| Louisville, KY 40223
Office: 502.805.2303 | Cell: (502) 648-8418 | Fax: 502.805.2304
jason@ccgattorneys.com| ccgattorneys.com
The information contained in this e-mail message is intended only for the personal and confidential use of the
recipient(s) named above. This message may be an attorney-client communication and as such is privileged and
confidential. If the reader of this message is not the intended recipient or an agent responsible for delivering it to the
intended recipient, you are hereby notified that you have received this document in error and that any review,
dissemination, distribution, or copying of this message is strictly prohibited. If you have received this
communication in error, please notify us immediately by e-mail, and delete the original message. Thank you.
From: "Flynn, Sam R (Finance)" <Sam.Flynn@ky.gov>

Date: Monday, July 20, 2020 at 6:59 PM
To: Jason Nemes <Jason@ccgattorneys.com>
Cc: "Grigsby, Geri E (Finance)" <GeriE.Grigsby@ky.gov>
Subject: RE: Ms. Gwendolyn Pinson's Response to Subpoena
Mr. Nemes,
I am in receipt of your client, Gwendolyn R. Pinson’s response to Secretary Johnson’s subpoena. As you are aware, we
have information that indicates Ms. Pinson has records related to awarding and performance of contracts PON2 750
EXH : 000003 of 000005
1600003972 3 and PON2 757 1900000085 1 between the Commonwealth of Kentucky and the law firm Taft, Stettinius,
& Hollister, LLP. Ms. Pinson has public records in her personal possession related to the performance of her duties as
General Counsel in the Finance and Administration Cabinet during the administration of former Governor Matthew G.
Bevin. We are aware she used her personal email account, gwenrpinson@gmail.com to conduct state business during
that period of time. In particular, this Office seeks all records and documents that refer or relate to the following:

07/24/2020 08:01:57 AM
Documents relating to the awarding, performance, and termination of contracts PON2
WKYT750 1600003972 3 and
PON2 757 1900000085 1 between the Commonwealth of Kentucky and the law firm Taft, Stettinius, & Hollister,
LLP, including all relevant emails to and from recipients using an “@taftlaw.com email address”
Because Ms. Pinson and others used their personal email accounts to conduct state business, including sending and
receiving legal and investigative files belonging to the Finance and Administration Cabinet, we sought records related to
her personal email account gwenrpinson@gmail.com.
Ms. Pinson was the General Counsel in the Finance and Administration Cabinet in 2016 when the Taft contract was
awarded. She was intimately involved in the process of drafting and awarding this contract. She was also intimately
involved in the performance of the contract. We have information demonstrating that she and others may have engaged
in mismanagement of government affairs in related to that contract. As you are well aware, the subpoena is within the
Secretary’s statutory investigative authority in KRS Chapter 45. You note that the Supreme Court is still determining the
scope of this authority in the case styled Lassiter v. Finance Secretary. That case arose from a subpoena your client
issued to a person outside of state government related to an investigation into the award and performance of certain
government contracts. In sum, when Pinson was employed in the Finance and Administration Cabinet, she believed the
scope of that authority to include exactly what is being sought here.
As we further discussed, you claim that the attorney-client privilege precludes Ms. Pinson from providing any documents
in response to the subpoena. Your argument is misplaced. Ms. Pinson is being asked to provide records she created or
received in providing legal services to the Commonwealth as Executive Director of the Finance and Administration
Cabinet. As you are aware, government lawyers, like the elected officials they assist, are public servants, and their client
is the government, not officeholders in their personal capacities. While Ms. Pinson may have been advising government
officials about their duties, that mere fact does not convert her into that official’s private attorney. As a result, Ms.
Pinson is required to provide such government records and communications she maintains in her personal possession.
Thus, your client is in possession of public records that belong to the Commonwealth of Kentucky. The Secretary has
lawfully issued a subpoena to your client to produce those records. As your response to that subpoena makes clear, Ms.
Pinson has refused to provide any documents in response to this subpoena.
I contacted you twice today in a good faith effort to resolve this dispute, both on your cell phone and on your office
phone. Cabinet Chief of Staff and Inspector General was present for those attempts to contact you. She is cc’d here.
This email will further demonstrate my good faith efforts to resolve this dispute. Please contact me via-email or at (502)-
564-2822 by 12:00pm EST tomorrow, July 21, 2020, so that we can attempt to resolve this issue. If you do not contact
me by that time, I will consider that as a refusal to partake in good faith efforts to resolve this dispute and will proceed
accordingly.
Thanks,
Sam Flynn
Sam Flynn
702 Capital Avenue
EXH : 000004 of 000005
Capitol Annex, Suite 392

Frankfort, KY 40601
Email: Sam.Flynn@ky.gov
Tele: (502)-564-2822

07/24/2020 08:01:57 AM
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CONFIDENTIALITY NOTICE
This e-mail message, together with any attachments, is intended only for the personal and confidential and
exclusive use of the intended recipient(s) named above. This message may be an attorney-client communication
or work product, and as such is privileged and confidential. If you are not the intended recipient(s), you are
hereby notified that you have received this document in error and that any review, dissemination, distribution,
or copying of this message is strictly prohibited and may be unlawful. If you have received this message in
error, please return it to the sender, notify the sender immediately by telephone (502) 564-2822 or by return e-
mail, and delete or destroy this message, along with any attachments, from your computer. It should be
understood that the Finance and Administration Cabinet cannot guarantee the security of the transmission and
assumes no responsibility for intentional or accidental receipt by a third party.
From: Jason Nemes <Jason@ccgattorneys.com>

Sent: Wednesday, July 15, 2020 11:15 AM
To: Flynn, Sam R (Finance) <Sam.Flynn@ky.gov>
Subject: Ms. Gwendolyn Pinson's Response to Subpoena
**CAUTION** PDF attachments may contain links to malicious sites. Please contact the COT Service Desk
ServiceCorrespondence@ky.gov for any assistance.
Mr. Flynn,
Please see the attached letter in response to the Subpoena Duces Tecum sent to my client, Gwendolyn Pinson.
Thank you.
Jason
__________
Jason M. Nemes
COMMONWEALTH COUNSEL GROUP PLLC|10343 Linn Station Rd., Ste 100| Louisville, KY 40223
Office: 502.805.2303 | Cell: (502) 648-8418 | Fax: 502.805.2304
jason@ccgattorneys.com| ccgattorneys.com
The information contained in this e-mail message is intended only for the personal and confidential use of the
recipient(s) named above. This message may be an attorney-client communication and as such is privileged and
confidential. If the reader of this message is not the intended recipient or an agent responsible for delivering it to the
intended recipient, you are hereby notified that you have received this document in error and that any review,
EXH : 000005 of 000005
dissemination, distribution, or copying of this message is strictly prohibited. If you have received this
communication in error, please notify us immediately by e-mail, and delete the original message. Thank you.

07/24/2020 08:02:43 AM
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EXHIBIT T
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07/24/2020 08:03:12 AM
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DIVISION 9
MISC. CASE NO. 20-CI-2157

______________________________________________________________________________
MOTION TO COMPEL
______________________________________________________________________________
NOTICE
Please take notice that, pursuant to the Rules of the Fayette Circuit Criminal and Civil
Court (“RFCC”) the undersigned with make the following motion before the Fayette Circuit
Court, Division 9, located at 120 N Limestone, Lexington, KY 40507, on Friday, July 31, 2020
at 8:30 a.m., or as soon thereafter as counsel may be heard.
MOTION
Comes the Petitioner, Holly M. Johnson, Secretary of the Finance and Administration
Cabinet, pursuant to KRS 45.131, KRS 45.142, CR 45.06, and the RFCC and respectfully moves
this Court for an Order instructing Gwendolyn R. Pinson to comply with the administrative
subpoena duces tecum. Secretary Johnson issued a subpoena duces tecum to pursuant to KRS
45.142, to produce public records he admits are in her personal possession related to the
performance of her duties as a public employee in the administration of former Governor Matthew
G. Bevin. Secretary Johnson issued the subpoena pursuant to an investigation into alleged
mismanagement of government funds and government affairs. See KRS 45.131. While Pinson
has refused to produce any records in her possession that were generated in connection with her
COM : 000001 of 000003
employment as Executive Director, Office of General Counsel, Finance and Administration
Cabinet. Pinson asserts that the Secretary may not issue a subpoena to her pursuant to KRS 45.131
and KRS 45.142. She further attorney-client and work product privileges preclude her production

07/24/2020 08:03:12 AM
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of records that are the property of the Commonwealth – records produced and transmitted in
connection with her employment in the Finance and Administration Cabinet and related to state
contracts, investigations, and legal matters.
Pinson is incorrect. The subject records were created in connection with and during the
performance of her employment in the Finance and Administration Cabinet. In short, they are the
property and legal documents of the Commonwealth. Pinson does not hold the privilege as to
these records, cannot assert the privilege on behalf of the Finance and Administration Cabinet or
on behalf of the Office of Governor, to the extent any such privilege would apply.
WHEREFORE, the Petitioner, Holly M. Johnson, Secretary of the Finance and
Administration Cabinet moves this Court for an Order pursuant to KRS 45.131, KRS 45.142, CR
45.06, and the RFCC to compel Gwendolyn R. Pinson to comply with the subpoena.
/s/ Sam Flynn

General Counsel
T: (502) 564-6660

Finance and Administration Cabinet COM : 000002 of 000003
2
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CERTIFICATE OF SERVICE
I hereby certify that on July 22, 2020, I electronically filed a true and correct copy of the
foregoing Motion to Compel and Memorandum in Support of Motion to Compel via the Court’s
electronic filing system, causing all parties of record to be served, and mailed a true and accurate
copy of the foregoing to the following:
Jason Nemes
Office: 502.805.2303
Cell: (502) 648-8418

Gwendolyn R. Pinson
/s/Sam Flynn
Sam Flynn
COM : 000003 of 000003
3
NOT ORIGINAL DOCUMENT
AOC-E-105 Sum Code: CI 07/24/2020 08:03:35 AM
Rev. 9-14 Case #: 20-CI-02157
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Court: CIRCUIT
Court of Justice Courts.ky.gov County: FAYETTE
CR 4.02; Cr Official Form 1 CIVIL SUMMONS
Plantiff, FINANCE AND ADMINISTRATION CABINET VS. PINSON, GWENDOLYN R, Defendant
TO: GWENDOLYN R PINSON

3053 WAVECREST WAY
LEXINGTON, KY 40509
The Commonwealth of Kentucky to Defendant:
You are hereby notified that a legal action has been filed against you in this Court demanding relief as shown on
the document delivered to you with this Summons. Unless a written defense is made by you or by an attorney
on your behalf within twenty (20) days following the day this paper is delivered to you, judgment by default may be
taken against you for the relief demanded in the attached complaint.
The name(s) and address(es) of the party or parties demanding relief against you or his/her (their) attorney(s) are shown on the
document delivered to you with this Summons.

Fayette Circuit Clerk
Date: 7/22/2020
Proof of Service
This Summons was:
Served by delivering a true copy and the Complaint (or other initiating document)
To:
Not Served because:

CI : 000001 of 000001
Date: , 20
Served By
Title
Summons ID: @00000918570

CIRCUIT: 20-CI-02157 Return to Filer for Service
FINANCE AND ADMINISTRATION CABINET VS. PINSON, GWENDOLYN R
Page 1 of 1
Tendered 20-CI-02157 07/22/2020 NOT ORIGINAL
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DIVISION______
MISC. CASE NO. 20-CI-________

______________________________________________________________________________
ORDER
______________________________________________________________________________
This matter having come before the Court on Petition for Order to Open a Miscellaneous
Case for the purpose of enforcing a subpoena on Gwendolyn R. Pinson, and the Court having
found good cause for said Petition:
IT IS ORDERED: that a miscellaneous case number be assigned for the purpose of
permitting the Petitioner, Holly M. Johnson, Secretary of the Finance and Administration

Cabinet, to file a motion to enforce said subpoena.
SO ORDERED, this____day of July, 2020.
____________________________________
Circuit Judge
Fayette Circuit Court, Division__
Tendered By:
/s/ Sam Flynn

General Counsel
T: (502) 564-6660
TD : 000001 of 000002

Tendered 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk

Tendered 20-CI-02157 07/22/2020 NOT ORIGINAL
07/24/2020 08:04:09 AM
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Distribution List:
Jason Nemes
Office: 502.805.2303
Cell: (502) 648-8418

Gwendolyn R. Pinson

TD : 000002 of 000002
2
Tendered 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk
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DIVISION 9
MISC. CASE NO. 20-CI-2157
IN RE: SUBPOENA TO GWENDOLYN PINSON

______________________________________________________________________________
MEMORANDUM IN SUPPORT OF MOTION TO COMPEL

______________________________________________________________________________
Petitioner, Holly M. Johnson, Secretary of the Finance and Administration Cabinet, seeks
to recover missing public records in the possession of Gwendolyn Pinson related to the procuring
of a state contract. Pinson refused to return or produce any of the missing public records to the
Commonwealth of Kentucky pursuant to a subpoena, necessitating this Motion to Compel.
The missing public records pertain to the investigation of allegations of misconduct
related to the award of state contracts and other misconduct discovered during that investigation.
The initial investigation began in December 2019, when Cabinet officials discovered that public
records – including legal and investigative files related to two state contracts with the law firm
Taft, Stettinius, & Hollister, LLP (“Taft”) – had been removed from Cabinet offices at the
direction of outgoing officials immediately before Governor Andy Beshear took office. After
several requests, Taft reluctantly provided a copy of its client file to the Cabinet in January 2020.
After reviewing the file, Cabinet officials discovered additional instances of apparent
misconduct. Records confirm that Bevin Administration officials met with Taft lawyers weeks
prior to the issuance of a competitively bid contract to discuss the scope, terms, and timing of an
RFP, and then manipulated the scoring to award the contract to Taft.
MEM : 000001 of 000020
Records also show the Taft investigation had ulterior political motives, including a
specific focus on the party makeup in the Kentucky House of Representatives, using the
investigation to “trash” a member of then-Attorney General Beshear’s staff, and an intention to

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use the legal process to “gain in the public eye” in advance of the November 2016 elections.
During the performance of the contract, Bevin Administration officials used and directed others
to use personal email accounts to conduct state business and transmit legal and investigative
documents, circumventing the Kentucky Open Records Act.
Upon discovering that this conduct also involved former members of the Governor’s
Office, the Cabinet notified the Office of Governor. The Office of the Governor provided the
Cabinet with other records showing apparent misconduct related to political activity and personal
legal work that may have occurred on state time and with state resources.
As a result, the Secretary sent open records requests and issued subpoenas to current and
former state employees to produce additional records, including a subpoena issued to Pinson. In
response to the Secretary’s subpoena, Pinson admits to having missing records related to the
apparent misconduct, but refuses to return or produce any of the records. Secretary Johnson
moves to compel compliance with a subpoena issued to Pinson related to the Secretary’s
investigation, pursuant to KRS 45.131, KRS 45.142, CR 26, 37, 45.06, and Rule 15(A)(4) of the
Rules of the Fayette Circuit and Criminal and Civil Court.
FACTUAL BACKGROUND
I. Pinson’s Government Employment
Pinson served in the administration of former Governor Matt Bevin. In December 2015,
she began her employment in the role of Executive Director of the Office of General Counsel in
the Finance and Administration Cabinet. Pinson left her employment in that position in September
2017 and subsequently became the Executive Director of the Public Service Commission.
MEM : 000002 of 000020
2
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II. Bevin Administration Officials Direct the Removal of Sensitive Legal and
Investigative Files from Cabinet Offices.
The Secretary’s investigation stems from the discovery that Bevin Administration
officials removed legal and investigative files from Cabinet Offices in anticipation of Governor
Beshear’s inauguration. On November 22, 2019, officials from Governor-elect Beshear’s
transition team met with Bevin Administration officials in the Cabinet. (Exhibit A). At that
meeting, J. Christian Lewis, then-Executive Director of the Office of General Counsel (“OGC”)
provided transition officials with, among other things, a list of the on-going legal and
investigative matters. (Id.). The matters listed included litigation styled Lassiter v. Landrum,
Appeal No. 2018-SC-000657, which related to an underlying investigation. (Id.) To conduct that
investigation, in 2016 the Bevin Administration awarded a supposedly competitively-bid
contract to the Taft firm.1
Unknown to the transition officials at the time, shortly after that meeting, on November
26, 2019, the Cabinet Office of Inspector General (“FAC OIG”) requested that Taft turn over “all
documents and correspondence” regarding the investigation for review. (Exhibit B.) An email
from December 4, 2019 states that all documents were to be Bates-Stamped, all Relativity
licenses for FAC OIG were to be terminated, and that Cabinet Office of the Inspector General
was “willing to have someone drive and pick up the files this Friday” as “[t]he new
administration gets sworn in Monday at midnight.” (Exhibit C.) On December 6, Taft attorney
Hon William C. Wagner sent a letter to Chris Lewis, informing him that Taft was “… producing
all files kept and maintained by Taft in connection with our engagement in this matter. This
MEM : 000003 of 000020
production includes six boxes of hard-copy documents and devices containing copies of
electronically stored materials from our iManage and Relativity systems.” (Exhibit D.) On
1
See PON2 750 1600003972 3 and PON2 757 1900000085.
3
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December 9, 2019, then-Secretary, William M. Landrum, III, sent a letter informing Taft that
FAC was cancelling the contract. (Exhibit E.)
Following the inauguration, incoming Beshear Administration officials in the Cabinet’s
Office of General Counsel (“OGC”) and Office of Inspector General (“OIG”), began reviewing
all on-going legal and investigative matters. (Exhibit F). They soon became aware that neither
office possessed a copy of the Taft client file.
The Cabinet immediately requested Taft provide the full client file. (Exhibit G.). To aid
its review, OGC requested Taft provide a separate transition memorandum detailing the history
and current posture of any investigation, litigation, or other activities undertaken pursuant to the
contract. Taft responded, claiming that “[p]ursuant to former FAC General Counsel Chris
Lewis’s request, we produced all of our documents and electronic records to Inspector General
Jeff Jett on December 6, 2019.” Taft refused to provide either the file or the memo to FAC.
On January 6, 2020, the Cabinet again requested that Taft provide these documents.
(Id.). Taft responded on January 10, 2020, reluctantly agreeing to produce another copy of the
file. (Id.). Taft ultimately produced a thumb drive, which alone contains 4.14 gigabytes (GB) of
data, including some 4,624 data files in native format, produced in some 59 separate folders.
(Id.). Taft also produced a hard drive to OIG containing 165 GB, including 1,207,721 data files,
produced in 3,612 folders. (Id.).
III. Review of the Taft File Reveals Misconduct.
In January 2020, the Cabinet began a review of the Taft file. Only after reviewing that
material did Cabinet officials discover that out-going Bevin administration officials removed
MEM : 000004 of 000020
legal and investigative files from both offices in anticipation Governor Beshear’s inauguration.
An internal audio recording of Taft attorneys Hon. Jackie M. Bennett and Hon. William C.
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Wagner confirm this was to be done at the direction of “the Governor’s Office.” (Exhibit B).
The recording reflects the records were transported to the Office of the Senate President, Robert
Stivers, II.
It soon became apparent that Bevin Administration officials engaged in other
inappropriate conduct during the award and performance of the Taft contracts. A review of the
Taft file suggests Bevin Administration officials, including Ms. Pinson, engaged in the following
misconduct: directed a “competitively-bid” personal service contract to Taft, concealed their
activities and communications related to the contract by using and directing others to use
personal email to conduct state business, and used state funds for an apparently political
investigation.
A. Bevin Administration officials directed a competitive bid contract to Taft.
Bevin Administration officials appear to have directed a personal service contract to Taft.
This misconduct includes meeting with Taft lawyers before the Request for Proposals was issued
to discuss the purpose, pricing, and timing of the contract. These officials also altered the
competitive bid scoring to ensure Taft was awarded the contract.
On April 19, 2016, former Governor Bevin announced that he would ask the Cabinet to
launch an investigation of state employees’ campaign contributions and contracts issued during
the administration of Governor Steve Beshear. (Exhibit H.) On April 21, Cabinet Secretary,
William Landrum, III, (“Landrum”) appointed Kenneth Bohac as Inspector General to conduct the
investigation. On May 23, 2016, the Cabinet issued a Request for Proposals, asking for competitive
bids for a personal service contract to provide legal and investigative services for the Cabinet. That
MEM : 000005 of 000020
contract was ultimately awarded to Taft.
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However, before former Governor Bevin announced the investigation, Bevin
Administration officials had already met with Taft lawyers. Emails and notes demonstrate that
Bevin’s General Counsel M. Stephen Pitt, his deputy General Counsel S. Chad Meredith, and
others met with Taft attorneys in early April 2016 to discuss the later-announced investigation.
Records show that their intent was to arrange for an “outsider” personal service contract with a
law firm for the purpose of investigating public employees who had made campaign contributions
to Democratic Party candidates. (Exhibit I.) An April 9 email following up on the earlier meeting
shows Taft expected to win the contract. (Id.). Taft attorney Jackie Bennett emailed Pitt, stating,
“…We are enthused to be involved.” (Id.). No documents reflect communications with any other
firm.
Taft attorneys’ notes reflect that former Governor Bevin’s team, including Pitt, Brickman,
Secretary Brinkman, and Meredith, discussed that the vendor under the proposed personal service
contract for investigative services would bill the Commonwealth at a “blended rate.” (Id.). Emails
including Pinson, Pitt, Meredith, and others show that the contract was written to reflect a “blended
rate.” (Exhibit J.)
Bevin Administration officials also gave advance notice of non-public procurement
information, including the date the RFP would be posted. Notes reflect that Taft attorneys were
informed when the RFP would be issued, stating “I understand the RFP might actually go out
‘early next week.’ I’ll let you know when it’s posted and how to access it… .” (Exhibit K). Emails
show there were additional communications like this one. On May 20, 2016, Pinson, then the
Cabinet General Counsel, informed Cabinet employees that the RFP issue date would change from
MEM : 000006 of 000020
that day to the following Monday, May 23, 2016. (Id.) That same day, at 12:14 p.m., Bennett sent
an email to a Taft employee, writing: “I believe the RFP for the Kentucky matter we discussed is
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supposed to be posted on Monday.” (Id.). The RFP was then posted. (Exhibit L, RFP.) On May
23, 2020, upon receiving notice that the RFP was published, Pinson emailed Pitt, who forwarded
that email chain from his state email to his private email. He then forwarded it from that account
to Bennett’s Taft account. (Exhibit K.)
Records also indicate that Bevin Administration officials subverted the proposal-scoring
process to award the contract to Taft despite another, in-state firm scoring higher. When Pinson
learned that MMN Consulting, LLC, and not Taft, had been selected as the winning vendor, the
MMN selection was withdrawn, oral presentations by the two bidders were scheduled, and the
scoring changed. An additional 250 points were added to the possible total score on the bid score
sheet. Taft then received a perfect oral presentation score of 250 new points, making it the higher-
ranking bidder. (Exhibit M).
The contract was awarded to Taft at a blended rate, exactly as Pitt and others had discussed
in April 2016 before the RFP was issued. (Exhibit N, Contract).
B. Bevin Administration officials used the investigation to achieve political aims.
Pinson and other Bevin Administration successfully steered the award of the investigation
contract to Taft and communications indicate that the contract may have been used for political
purposes. Documents indicate Bevin Administration officials discussed with Taft attorneys the
partisan make-up of the General Assembly and their desire to present a plan to Governor Bevin to
hire a law firm outside the Commonwealth to investigate campaign contributions from merit
employees and members of the University of Louisville Board of Trustees to Democratic
candidates. (Exhibit I). In addition, Taft notes from the April meeting show the parties discussed
MEM : 000007 of 000020
a specific intent to “[t]rash AG’s Rebecca Goodman,” referring to then-Executive Director of the
Office of Rate Intervention in the Office of then-Attorney General Andy Beshear. (Id.)
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Records created during the investigation also suggest another underlying political
motivation. An October 15, 2016 email indicates Blake Brickman, former Chief of Staff to
Governor Bevin, immediately sought to “escalate” a fight over the investigation. (Exhibit O).
Emails and notes from October 18 and 21, show that Administration officials used the investigation
and legal process to achieve a political strategy. One such email from Pitt’s personal account to
Pinson, Meredith, and the Taft lawyers states:
Pushing communication about the Lassiter subpoena off till the week of Oct
31 is very problematic. The strategy developed with the Governor on Sept
27, which I assume the Secy or Gwen discussed with you, was to issue a
subpoena for Lassister asap and then force him to either appear and testify,
not appear or move to quash, well in advance of the magic date we've all
discussed…
Pitt goes on to state:
I am in great fear we are going to lose any ability to gain in the public eye
for all of this because time is going to run out on us. We may need to
schedule a call asap with the Gov, Jack, the Secy , Blake and whoever else
to discuss whether we can fulfill the strategy we discussed on Sept 27.
(Id.) The circumstances of these emails, including the timing of these discussions, the
specific focus on the party makeup in the House from its first meeting with Pitt, Meredith
and others, and an ongoing investigation into Bevin by the House majority, all suggest the
“magic date” was the November 2016 elections. On Thursday, November 3, 2016,
consistent with Pitt’s instructions, Taft filed in Woodford County Circuit Court a motion
to compel Frank Lassiter to comply with the subpoena. An email from that date specifically
references “tipping off” then Courier-Journal reporter, Tom Loftus. (Id.) MEM : 000008 of 000020
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The Lassiter motion to compel generated at least two news stories immediately
prior to the 2016 election, including one from Tom Loftus.2
C. Pinson Directed Bevin Administration Officials To Use Private Email to

Conceal Public Records.
Bevin Administration officials concealed legal and investigative files and other records by
conducting state business related to the Taft contract on their private email accounts. Indeed, May
23, 2016 emails indicate that upon receiving notice from Pinson of the publication of the RFP that
was ultimately awarded to Taft, Pitt forwarded that email chain from his state email address to this
private email account and then forwarded it from that account to the Taft lawyers, in an apparent
effort to obfuscate his role in steering the contract to Taft. (Exhibit K). Emails from August 2016,
reflect that Pitt and Bennett communicated about the Taft personal service contract via their
personal email accounts.
This activity was pervasive. (See, e.g., Exhibits I, K, O). Indeed, Pinson expressly
admonished the Governor’s General Counsel, Steve Pitt for using state email. (Exhibit O.) On
October 21, 2016, Steve Pitt used his private email address to send what he deemed “confidential—
attorney-client privileged communication” regarding the Taft investigation, to high-level officials
and the Taft attorneys. (Id.) This email included his plan to use the investigation to “gain in the
public eye” before “the magic date.” On the same date, Pinson responded to Pitt and others, stating
“[p]lease be sure to use [Secretary Landrum’s] personal address for sensitive conversations like
this going forward.” (Id.) Pitt sent this email to the private email accounts of Pinson, Meredith,
Brickman, and Andrew McNeill, suggesting all of these state employees were engaged in the effort
MEM : 000009 of 000020
to hide public records and subvert the Open Records Act. (Id.) Following that email, on October
2
See Tom Loftus, Bevin seeks testimony in Beshear inquiry, Courier-Journal, Nov. 3, 2016, available at
https://www.postcrescent.com/story/news/politics/ky-governor/2016/11/03/bevin-seeks-testimony-beshear-
inquiry/93255874/ (last visited July 22, 2020).
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26th, Bennett sent at least one email to Mr. Pitt’s private account, which included a draft version
of Taft’s final report. (Id.)
Kentucky taxpayers were billed for the Taft emails that Pinson, Meredith, Pitt and others
sought to have sent only to their personal email addresses, and which are the subject of the
subpoena that gives rise to this case.
D. Public Officials Violated The Open Records Act By Failing To Disclose Public Records
Sent Using Personal Email Accounts.
Bevin Administration officials also violated the Open Records Act by failing to disclose
records, which would have made public their April meeting with the Taft lawyers. For example,
on September 22, 2016, the Governor’s office received an open records request for:
“[c]opies of all email correspondence from December 8, 2015 to the present

[between]…employees of the Office of the Governor . . . with an individual with
an email address ending with: ‘@taftlaw.com’….”
(Exhibit P.) The records provided in response to the request did not include at least two emails
from April 4, 2016 between Pitt and Bennett that were in Pitt’s state email. The documents
provided also did not include any of the numerous emails with Taft that had been sent using
personal email accounts, at Pinson’s direction, concerning Taft’s taxpayer-funded work under the
state contract. (See generally Exhibits I, K, O.)
E. The Office of Governor Reviews its Files and Discovers Additional Apparent
Misconduct.
Because of the involvement of individuals in the office of former Governor Bevin, the
Cabinet informed the Office of the Governor of its investigation. The Office of Governor
confirmed that apparent misconduct involving these individuals did, indeed, extend to that Office.
MEM : 000010 of 000020
After reviewing its files, that Office was able to provide additional information and documents
confirming the scope of the apparent misconduct did, in fact, extend beyond the Cabinet. That
Office provided the Cabinet documents showing apparent misconduct related to the issuance of
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pardons, as well as political activity and personal legal work that may have occurred on state time
and with state resources. As a result, the Secretary issued administrative subpoenas to current and
former state employees to produce records. (See Exhibit F.)
IV. The Secretary Issues The Subject Subpoena to Pinson.
In conducting the investigation, Secretary Johnson lawfully issued a subpoena duces tecum
to Pinson on July 8, 2020, pursuant to KRS 45.142 and KRS 45.131, commanding her to produce
documents to her or her designee by July 15, 2020. The subpoena sought:
all records “that refer or relate to … the awarding, performance, and termination of
contracts PON2 750 1600003972 3 and PON2 757 1900000085 1 between the
Commonwealth of Kentucky and the law firm of Taft, Stettinius & Hollister LLP. Please
include all relevant emails, including but not limited to, any [and] all emails sent to and/or
received from senders and/or recipients using a ‘@taftlaw.com’ email address as well as,
but not limited to, any of the following: … .”
(Exhibit Q.) The subpoena then listed individual email addresses, both work email and personal
email addresses, of prior officials. (Id.) Pinson accepted service of the subpoena via email July
9, 2020. On July 14, she requested an extension of time to respond, until July 16, which the Cabinet
granted.
V. Pinson Refuses to Provide Any Records.
Without producing a single record or a privilege log, Pinson, through counsel, submitted
her written objections to the subpoena by letter dated July 15, 2020. (Exhibit R.) Pinson first
asserts the litigation of Lassiter v. Landrum, Supreme Court Case No. 18-SC-657, pending in the
Kentucky Supreme Court, the authority of the Secretary to issue subpoenas to former state
government employees now in the private sector. (Id.) Pinson raises this argument even though
MEM : 000011 of 000020
the records sought under the subpoena are public records belonging to the Commonwealth that are
wrongfully in her possession.
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In addition, Pinson raises “grave concerns regarding her ethical obligations to her former
clients,” as a basis to refuse to produce any records. (Id.) She claims that the list of email addresses
listed in the subpoena indicates the subpoena seeks “to invade areas covered by the attorney-client
privilege” and the work-product doctrine. (Id.) Thus, Pinson contends that even if the Secretary’s
authority to issue the subpoena “were not in doubt,” she would object to it on the grounds the
information sought is privileged and not subject to disclosure. (Id.)
Pinson next asserts that because the subpoena seeks information about the Taft contract –
the subject of the Cabinet’s lawful investigation – it raises a conflict of interest. (Id.) She claims
the Cabinet is conflicted from seeking the Taft records, and that the work-product doctrine allows
her to refuse to provide the public records she possesses. (Id.) Again, Pinson possesses records that
belong to the Commonwealth. Those records were created at significant taxpayer expense. Pinson
also argues that any records related to the Taft contract should be in the Cabinet’s possession,
challenges the definition of the word “Document” in the subpoena, and objects to producing emails
from her personal email account and to the blanket assertion that she used that account to conduct
state business. (Id.)
All of the records the Secretary seeks in the subpoena are the property of the
Commonwealth. The Finance and Administration Cabinet Secretary demands production of these
records in order to complete her investigation of the alleged mismanagement of government funds
and government affairs. Pursuant the Kentucky Rules of Civil Procedure (“CR”) 26 and 37, as well
as the Rule 15(A)(4) of the Rules of the Fayette Circuit and Criminal and Civil Court, the
undersigned counsel conferred with Jason Nemes, counsel for Pinson, regarding these issues in a
MEM : 000012 of 000020
good-faith attempt to resolve same. (Exhibit S.) Counsel repeatedly refused to provide a single
document, so no resolution was reached. This motion followed.
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STANDARD OF REVIEW
The Secretary may issues subpoenas under KRS 45.131 to investigate mismanagement of
the affairs of the Executive Branch. This Court has the authority to compel compliance with such
a subpoena:
If any person fails to comply with the order of, or to obey a subpoena issued by
them or their designated agents, or refuses to testify as a witness to any matters
regarding which he may be lawfully interrogated, the judge having jurisdiction of
the person to whom the order or subpoena was issued may, on their application
compel obedience by proceedings for contempt as in the case of disobedience of a
subpoena or order issued from such court or a refusal to testify therein, and may
adjudge such person guilty of contempt of court and punish him as provided by law
in other contempt cases.
KRS 45.142.
CR 37.01 provides for orders compelling compliance with subpoenas. As the Third Circuit
wrote, the enforcement of such subpoenas depends on a judicial determination that “(1)
the subpoena is within the statutory authority of the agency; (2) the information sought is
reasonably relevant to the inquiry; and (3) the demand is not unreasonably broad or burdensome.”
United States v. Westinghouse Elec. Corp., 788 F.2d 164, 166 (3d Cir. 1986). For the purposes of
CR 37.01, “an evasive or incomplete answer is to be treated as a failure to answer.” CR 37.01(c).
ARGUMENT
This Court should direct Pinson to comply with the administrative subpoena. The subpoena
is within the Secretary’s statutory investigative authority in KRS Chapter 45. The evidence
recovered to date shows Pinson appears to have engaged in misconduct, and the Secretary’s
subpoena seeks information relevant to an investigation of that apparent misconduct and that of
MEM : 000013 of 000020
other individuals. The Secretary’s requests are specific, not unreasonable or burdensome, and
tailored to this investigation. As such, the Court should direct Pinson to fully comply with the
Secretary’s subpoena duces tecum.
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I. Pinson Must Comply With The Lawful Subpoena.
The Secretary’s subpoena is within her statutory, investigative authority under KRS
Chapter 45. The Secretary of the Finance and Administration Cabinet (“the Secretary”) has the
duty and broad authority to investigate alleged mismanagement of state funds and affairs in the
Executive Branch of state government. See KRS 45.131. Indeed, she has broad authority to
conduct investigations of alleged mismanagement of state funds and affairs in the Executive
Branch of state government. See KRS 45.131. The General Assembly gave the Secretary the
express duty to do so under KRS 45.131. To carry out this duty, the General Assembly provided
the Secretary broad authority to review documents, issue subpoenas, and compel witness testimony
and the production of documents. KRS 45.142. Persons refusing to comply with the Secretary or
her designee’s lawful requests and/or subpoenas may be subject to a finding of criminal contempt
of court or criminal prosecution. See e.g., KRS 45.142; KRS 45.990; KRS 45.991.
The Secretary’s subpoena seeks records relevant related to Pinson’s apparent misconduct
and the misconduct of others. This apparent misconduct occurred during the course of their
employment in the administration of former Governor Matthew G. Bevin. The apparent
misconduct appears to have occurred on state time, using state resources, and related to state
contracts and other state business. That apparent misconduct includes directing a competitively
bid contract to a specific firm, using taxpayer funds for political purposes, and concealing or
otherwise tampering with public records. Indeed, Pinson specifically directed former officials to
use personal email accounts to shield records from the public who paid for the creation of those
records. (Exhibit O.) As a result of Pinson’s apparent misconduct, the Secretary issued a
MEM : 000014 of 000020
subpoena to Pinson to produce public records – the Commonwealth’s records – in her personal
possession related to the performance of her duties as a public employee in the Bevin
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Administration, including on her gmail account – an account used to avoid public review of those
records. (Exhibit F.)
In short, Pinson must comply with the Subpoena.3
II. The Attorney-Client Privilege Does Not Apply.
While refusing to produce a single record or a privilege log, Pinson asserts both the
attorney-client privilege and the work-product doctrine. Thus, at issue here are communications
made 1) by a government attorney in her capacity as such, 2) to government officials in her
capacity as such, 3) regarding government business. Here, Pinson claims these privileges are
held by former officials in the Bevin Administration, or “her former clients.” She is incorrect.
The privilege is held by the office itself, and not by the former officeholder. The Ninth
Circuit addressed this issue in In re Grand Jury Subpoena, JK-15-029, 828 F.3d 1083 (9th Cir.
2016). There, the former Governor of Oregon claimed that attorney-client privilege shielded his
communications with government attorneys regarding his ethical obligations as Governor. The
Court disagreed. “Whatever privilege such communications may implicate is held by the State of
Oregon, not [the former governor] personally.” Id. at 1092. This was the case even though “any
liability resulting from breaking those obligations would be personal.” Id. Thus, the fact that the
former Governor identified a personal interest in the subject matter of the communications did
not afford any special protection from disclosure by the State of Oregon. This is because:
Where courts have acknowledged the attorney-client privilege to apply to

conversations between government officials and government lawyers, they have
construed the privilege to mean that “the Government may invoke the attorney-
client privilege,” not that officeholders in their personal capacity may invoke the
privilege.
MEM : 000015 of 000020
3
Petitioner specifically reserves the right to use additional legal process to recover any public records that Pinson
has unlawfully taken.
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Id. (citing United States v. Jicarilla Apache Nation, 564 U.S. 162, 170, 131 S.Ct. 2313, 180
L.Ed.2d 187 (2011) (emphasis added); see also In re Grand Jury Investigation, 399 F.3d at 534–
35 & n.3). In fact, the court went so far as to say that it was aware of no instance where “a
former officeholder successfully claimed that a government staff lawyer discussing a matter
relating to official business was representing the officeholder personally during a conversation
had while both were government employees.” 828 F.3d at 1092. On the subject of special duties
held by government counsel, the court wrote:
Government lawyers, like the elected officials they assist, are public servants, and
their client is the government, not officeholders in their personal capacities.
“[G]overnment lawyers have responsibilities and obligations different from those
facing members of the private bar. While the latter are appropriately concerned first
and foremost with protecting their clients ... government lawyers have a higher,
competing duty to act in the public interest.” In re Special Grand Jury, 288 F.3d at
293.
In re Grand Jury Subpoena, JK-15-029, 828 F.3d 1083, 1093 (9th Cir. 2016).
Indeed, in a case similar to this one, the Seventh Circuit held that attorney-client privilege
“runs to the office, not to the employees in that office.” In re Witness Before Special Grand Jury
2000-2, 288 F.3d 289, 293 (7th Cir. 2002). There, a subpoena was directed to an attorney
“employed by the state of Illinois as Chief Legal Counsel to the Secretary of State's office during
the first four years of former Secretary (now Governor) George Ryan's administration” who
“provided legal counsel and advice to Ryan and other Secretary of State officials as they carried
out their public duties.” Id. at 290. The attorney had also served as a personal lawyer to Ryan,
his wife, and Ryan's campaign committee. Id. The Government was investigating allegations of
bribery that occurred during Ryan’s tenure as Secretary of State. Id. The Government secured a
MEM : 000016 of 000020
letter from the current Illinois Secretary of State waiving his office’s privilege as to all of the
official conversations with the attorney and “all personnel and officials of the Secretary of State,
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regardless of their particular position or office.” Id. at 291. The attorney refused to comply with
the subpoena, and the trial court granted the Government’s motion to compel. Id.
On appeal, the Seventh Circuit identified the privilege as one that “runs to the office, not
to the employees in that office.” Special Grand Jury 2000-2, 288 F.3d at 294 (citing Ill. Sup. Ct.
R. 1.13 (2001) (making clear that an organizational lawyer's duty is to the organization, not the
organization's individual officers)). The Court emphatically stated that “a government attorney
should have no privilege to shield relevant information from the public citizens to whom she
owes ultimate allegiance, as represented by the grand jury.” 288 F.3d at 294.
Here, Pinson provided legal counsel and advice to former officials in the Bevin
Administration and other Executive Branch officials as they carried out their public duties. (See
e.g., Exhibit J, M, and O.) The Office of Governor has agreed to the disclosure to Petitioner of
any privileged documents related to the subjects of the subpoena served upon Pinson. (Exhibit
T.) And, of course, the Secretary of the Finance and Administration Cabinet served the
subpoena. The privilege runs to the Office of the Governor and the Finance and Administration
Cabinet, not Governor Bevin and the former Secretary of the Finance and Administration
Cabinet, individually. Pinson’s duty is to the Office of the Governor and the Finance and
Administration Cabinet. Ky. Sup. Ct. R. 3.130(1.13) (“A lawyer employed or retained by an
organization represents the organization acting through its duly authorized
constituents.”). Pinson claims that she is obeying her duty, but she is in fact violating that duty
by refusing to produce public records in her possession that are the property of the
Commonwealth.4 Pinson should be compelled to provide the records as requested in the

MEM : 000017 of 000020
subpoena or face sanctions for contempt.
4
The only exception to the general rule that the privilege is held by government and not the former official exists
where a government attorney is provided by the government specifically for the purpose of representing a public
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Of course, communications between former Governor Bevin or Secretary Landrum and a
privately-retained attorney regarding personal matters would certainly be protected by attorney-
client privilege and not subject to the Secretary’s subpoena power. But that is not the case here.
Pinson’s refusal to produce any public records does not carry her burden of establishing an
attorney-client relationship, much less that such a relationship protects the documents Petitioner
has sought. See Collins v. Braden, 384 S.W.3d 154, 161 (Ky. 2012) (“[T]he burden is on the
party claiming the privilege to prove that it exists as to the communications so claimed. . . .”
(citation omitted)).
Nor can Pinson assert work product protection in this case. That protection pertains to his
former clients, the Finance and Administration Cabinet and the Office of the Governor. The
people of Kentucky did not pay Pinson’s salary, or Taft’s attorney fees, for the personal benefit
of those officials. To the extent Pinson has retained records belonging to the Cabinet or the
Office of Governor, she is obligated to return those records to her former client. See Kentucky
Bar Ass'n v. Roberts, 431 S.W.3d 400, 416 (Ky. 2014) (citing Rule of Professional Conduct
3.130(1.16)).5
The records at issue here are the property of the Commonwealth. They are relevant to the
Finance and Administration Cabinet Secretary’s investigation of mismanagement. See KRS
Chapter 45. Pinson must provide them.
MEM : 000018 of 000020
employee sued in her personal capacity. See, e.g., Restatement (Third) of the Law Governing Lawyers § 74 cmt. d
(Am. Law Inst. 2000). In such a case, the government attorney has assumed the role of private counsel. Such is not
the case here.
5
Even assuming for the sake of argument that the privilege did not belong to the Cabinet, Pinson cannot invoke that
privilege to hide her involvement in unlawful activity. The crime-fraud exception to that privilege would prevent
such abuse.
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III. The Taft Investigation Does Not Shield Pinson From Producing Public Records.
Just as with the attorney-client privilege and the work-product doctrine, the fact that the
records the Secretary seeks in the subpoena does not protect the public records Pinson possesses
from disclosure. As stated herein, records show Pinson and other prior officials engaged in
misconduct to ensure the Taft firm was awarded the contract. (Exhibits I-M.) Moreover, Pinson
directed prior officials to use their personal email accounts to communicate about the awarding
of the same contract – for the purpose of avoiding the Open Records Act.6 (Exhibit O.) Without
citing any law, Pinson now claims the Taft investigation awarded through the apparent
misconduct of herself and other prior officials somehow allows her to refuse to produce public
records related to that contract and other matters. Again, the public records in Pinson’s
possession are the property of the Commonwealth – not of the Taft firm, not of any prior official,
and not of Pinson.
III. The Lassiter Litigation Does Not Prohibit Production of Public Records In Pinson’s
Possession.
Like all of Pinson’s other grounds for refusing to produce any public records, her
argument that the litigation of Lassiter v. Landrum, Supreme Court Case No. 18-SC-657, pending
in the Kentucky Supreme Court allows her to refuse to produce any public records is baseless. As
the Executive Director of the Office of General Counsel in the Finance and Administration
Cabinet, Pinson was counsel of record for the former Secretary in that litigation. The case involves
the same subpoena authority the Secretary now exercises – authority that, in her role as counsel to
the former Secretary, Pinson previously defended in the litigation. (Exhibit O.) Furthermore, the
MEM : 000019 of 000020
client in that litigation is the same client in this action: the Secretary of the Finance and
6
For the same reason, the Court should reject as meritless Pinson’s argument about records sought from her
personal email account.
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Administration Cabinet. Pinson owes no duty to the former Secretary or any prior official. Instead,
she owes a duty to the Commonwealth to produce public records that belong to the
Commonwealth. This Court should compel Pinson to comply with the subpoena.
CONCLUSION
For the foregoing reasons, Petitioner, Holly M. Johnson, in her official capacity as
Secretary of the Finance and Administration Cabinet, requests this Court grant her Motion and
compel Gwendolyn Pinson to comply with the administrative subpoena duces tecum. Pinson
possesses records responsive to the subpoena relevant to the investigation into her alleged
misconduct during the performance of her duties as a public employee in the administration of
former Governor Matthew G. Bevin.
/s/ Sam Flynn

General Counsel
T: (502) 564-6660

MEM : 000020 of 000020
20

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Filed 20-CI-02157 07/22/2020 NOT ORIGINAL

Vincent Riggs, Fayette Circuit Clerk DOCUMENT

IN RE: SUBPOENA TO GWENDOLYN R. PINSON

PETITION FOR ORDER TO OPEN MICELLANEOUS CASE

Petitioner, Holly M. Johnson, Secretary of the Kentucky Finance and Administration

Presiding Judge: HON. KIMBERLY BUNNELL (622203)

/s/ Sam Flynn

Counsel for Petitioner

Filed 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk

Counsel for Respondent

Presiding Judge: HON. KIMBERLY BUNNELL (622203)

Presiding Judge: HON. KIMBERLY BUNNELL (622203)

Filed 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk

Presiding Judge: HON. KIMBERLY BUNNELL (622203)

Filed 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk

Presiding Judge: HON. KIMBERLY BUNNELL (622203)

Filed 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk

Presiding Judge: HON. KIMBERLY BUNNELL (622203)

Filed 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk

Presiding Judge: HON. KIMBERLY BUNNELL (622203)

Filed 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk

Presiding Judge: HON. KIMBERLY BUNNELL (622203)

Filed 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk

July 22, 2020

Re: Administrative Subpoena Duces Tecum

Dear Secretary Johnson:

Presiding Judge: HON. KIMBERLY BUNNELL (622203)

Filed 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk

Presiding Judge: HON. KIMBERLY BUNNELL (622203)

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Filed 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk

Needs to be complete by next Friday at the latest, and hopefully earlier.

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Filed 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk

Needs to be complete by next Friday at the latest, and hopefully earlier.

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Filed 20-CI-02157 07/22/2020 Vincent Riggs, Fayette Circuit Clerk