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FILED: NEW YORK COUNTY CLERK 06/28/2023 05:39 PM INDEX NO. 451549/2023
NYSCEF DOC. NO. 543 RECEIVED NYSCEF: 06/28/2023
PETTIGREW EXHIBIT 107
FILED: NEW YORK COUNTY CLERK 06/28/2023 05:39 PM INDEX NO. 451549/2023
NYSCEF DOC. NO. 543 RECEIVED NYSCEF: 06/28/2023
STATE OF NEW YORK
OFFICE OF THE ATTORNEY GENERAL
MEDICAID FRAUD CONTROL UNIT
SUBPOENA DUCES TECUM
IN THE NAME OF THE PEOPLE OF THE STATE OF NEW YORK
To: Holliswood Center for Rehabilitation and Nursing
195-44 Woodhull, Avenue
Hollis, NY 11423-2982
WE HEREBY COMMAND pursuant to Executive Law § 63 (12) that, all business and
excuses being laid aside, you produce to the Office of the New York State Attorney General, to
the attention of Special Assistant Attorney General Spencer Bruck on or before August 2, 2022,
any and all documents requested in the attached Schedule A in accordance with the instructions
and definitions therein, that are in your possession, custody or control, including documents in the
possession, custody and control of any agent you may have.
PLEASE TAKE NOTICE, that the Attorney General deems the documents requested by
this subpoena to be relevant and material to an investigation and inquiry in the public interest into
whether an action or proceeding should be instituted pursuant to New York Executive Law
§ 63(12), New York State Finance Law §§ 187 et seq., and other relevant statutes and regulations.
PLEASE TAKE FURTHER NOTICE, that failure to deliver the documents requested
on the attached Schedule A, in accordance with the attached Definitions and Instructions, which
are incorporated herein, on or before the date and time stated above, or by any agreed-upon
adjourned date or time, may subject you to penalties and any other lawful punishment.
NOTE: Personal Appearance is not required if the subpoenaed documents are delivered to the
undersigned prior to the return date of this subpoena.
WITNESS, Honorable Letitia James, Attorney General of the State of New York, the 19th
day of July, 2022.
/s/
Spencer Bruck
Special Assistant Attorney General
(212) 417-5391
Spencer.Bruck@ag.ny.gov
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DEFINITIONS
1. “Holliswood” means Holliswood Center for Rehabilitation and Healthcare, and any corporate
parent, subsidiary, affiliate, predecessor, or successor of Holliswood Center for Rehabilitation
and Healthcare, and any former or current officer, director, employee, agent, representative or
person acting or purporting to act on behalf of Holliswood Center for Rehabilitation and
Healthcare or its corporate parent, subsidiary, affiliate, predecessor, or successor.
2. “Document(s)” is used herein in the broadest sense of the term and means each and every
writing of whatever nature, whether an original, a draft, or a copy, however produced or
reproduced, and each and every tangible thing from which information can be processed
or transcribed, such as tape or other electronic data communications. The term includes,
but is not limited to, electronic mail, Blackberry or similar messages, instant messages,
letters, voicemail, memoranda, notes, instructions, reports, analyses, telegrams,
facsimiles, diaries, calendars, studies, logs, journals, books, notebooks, plans, records,
forms, charts, graphs, audio, visual and digital recordings, photographs (positive prints
and negatives), slides, work-sheets, customer checks, credit card charge slips, expense
reports, computation sheets, computer printouts and programs, tapes, videotapes,
diskettes and CD-ROMS, microfilm, microfiche, any marginal comments appearing on
any document, and copies of documents which are not identical duplications of the
originals (e.g., because handwritten or “blind” copy notes appear thereon or are attached
thereto). A draft or non-identical copy is a separate document within the meaning of this
term.
3. “Electronic Communication(s)” means the transmittal of electronically stored information
(“ESI”) (in the form of facts, ideas, inquiries, or otherwise) in any form, such as
electronic mail (“e-mail”), instant messages, text messages, smartphones or other
wireless device messages, including but not limited to WhatsApp messages, Signal
messages, social media posts or comments, social media direct messages, voicemail,
video recordings, video messages, telephone messages or telephonic recordings.
4. “Relating to” means referring to, relating to, reflecting, concerning, describing,
evidencing, or constituting.
5. “Including” means “including but not limited to.”
6. The terms “any” and “all” each mean “any and all.”
7. The terms “and” and “or” shall be construed either conjunctively or disjunctively as
necessary to bring within the scope of Schedule A all responses and documents that the
other construction might exclude from its scope.
8. The use of the singular form of any word includes the plural and vice versa.
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INSTRUCTIONS
A. Unless otherwise specified, this subpoena requires production of all documents and
information from January 1, 2017 through December 31, 2021, (the “Relevant Period”)
that are responsive to the requests below, and which are in your possession, custody, or
control, regardless of where such documents or information are located. You shall include
all documents or information that relate to or were used during the relevant time period even
if they had been prepared or published prior. Further, if any document requested in this
subpoena is no longer in your possession, custody, or control, identify such document
completely and provide the following information regarding the document:
i. Its present location and custodian;
ii. The manner in which it was disposed of, including the date of disposal, the reason for
disposal, the person authorizing the disposal, and the person(s) who disposed of the
document.
B. If no documents exist that are responsive to a request below, you shall include, in your
response to this subpoena and at the time of production, a written statement to that effect.
C. The obligation of production pursuant to this subpoena is a continuing one. Documents or
information located at any time after a response is due shall be promptly produced in the
manner specified by the subpoena.
D. In responding to this subpoena, all documents produced shall be segregated and labeled so
as to identify which request(s) such documents respond to. Alternatively, you shall identify,
by bates-numbers, the documents responsive to each request herein.
E. In responding to this subpoena, you shall locate, gather, and produce documents from your
files and other sources, including documents stored electronically, in such a manner as to
ensure that the source and location of each document may be readily determined.
F. In responding to this subpoena, if you locate responsive documents, including documents
stored electronically, in file folders or other containers, you shall produce these folders and
containers, including any labels identifying such folders or containers, together with the
responsive documents contained therein.
G. In responding to this subpoena, documents attached to each other shall not be separated
unless you also identify such separation and provide records sufficient to permit the
reconstruction of such grouping of documents.
H. In responding to this subpoena, if you locate documents that have markings on both sides
of a document, you shall produce both sides.
I. For any document or part thereof that you decide not to produce by reason of a claim of
privilege, you shall state the privilege being claimed, give an explanation for your claim of
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such privilege, and provide the following information concerning the putatively privileged
document:
i. The type of document;
ii. The date of the document;
iii.The subject matter of the document;
iv. The author of the document, including his or her address, telephone number and
business function;
v. All recipients of the document, including their addresses, telephone numbers, and
business function;
vi. The number of pages of the document.
J. In responding to this subpoena, you shall locate, gather, and produce documents or
information stored electronically in accordance with the “Document and ESI Production
Specifications,” attached as a rider to the subpoena.
K. In order for your response to the Documents Requested set forth in Schedule A of this
subpoena to be complete, the attached statement entitled “Verification” must be completed
and executed on behalf of your company, under oath, by a person supervising compliance
with the subpoena, and submitted with the responsive documents.
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Schedule A: Documents Requested
1) All documents, including, but not limited to, all loan agreements, schedules, payments, and
correspondence, regarding any loans, exchanges, payments, and/or financial transfers
between Holliswood and any other nursing home owned and/or operated by Kenneth
Rozenberg, and/or any other nursing home managed by Centers for Care, LLC, including,
but not limited to, the following nursing homes:
a) Beth Abraham Center for Rehabilitation and Nursing;
b) Bannister Center for Rehabilitation and Nursing;
c) Brooklyn Center for Rehabilitation and Nursing;
d) Bushwick Center for Rehabilitation and Health Care;
e) Carthage Center for Rehabilitation and Nursing;
f) Ellicot Center for Rehabilitation and Nursing;
g) Fulton Center for Rehabilitation and Nursing;
h) Glens Falls Center for Rehabilitation and Nursing;
i) Granville Center for Rehabilitation and Nursing;
j) Martine Center for Rehabilitation and Nursing;
k) New Paltz Center for Rehabilitation and Nursing;
l) Oceanview Nursing & Rehabilitation Center;
m) Onondaga Center for Rehabilitation and Nursing;
n) Schenectady Center for Rehabilitation and Nursing;
o) Kinston Center for Rehabilitation and Health Care;
p) Troy Center for Rehabilitation and Nursing; and
q) Washington Center for Rehabilitation and Health Care.
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VERIFICATION
This response to the Subpoena of the Attorney General of the State of New York dated
_________________, including without limitation production of the requested information and
documents, was prepared and assembled under my personal supervision from the records of
_______________________________in accordance with the definitions and instructions set
forth in such Subpoena and is complete and correct to the best of my knowledge and belief. The
documents produced in response to this Subpoena are authentic, genuine, and what they purport
to be.
(Signature of Official (Title)
(Type or Print Name of Above Official)
*******************************
Subscribed and sworn to before me this
day of , 2022.
NOTARY PUBLIC
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Rider: Document and ESI Production Specifications
Attachment 1: Production Specifications
A. General Production Requirements
1. Productions to be copied to the OAGCLOUD.
B. Production of Hard Copy (Paper) Documents
1. Formatting Files. Hard copy (paper) documents are to be produced as black-and-white
TIF images files using the Relativity format or as Adobe PDF Files, except where noted
below with searchable OCR text. Specifications for the Relativity format is below.
2. Document Families Kept Together. Document families are to be produced together (i.e.
Emails shall be produced with their attachments, documents that exist in the same folder
shall be produced together).
3. Combining Single Images into one Document (Unitization). Multi-page documents
must be produced as a single document and not as single-page documents. In addition,
documents must be properly unitized, that is, a PDF or a range of TIF images must
consist of one document. For example, a medical file consisting of multiple reports
should be unitized that each report in the file is a separate PDF or a specific range of TIF
images.
4. Overlay a Unique Identifying Number to each page or image (Bates Stamp). Each
page should have a sequential bates stamp. If producing PDFs, the name of the file
should be the first bates number in the document.
C. Production of Electronic Documents
1. Formatting Files. Electronic documents should be produced in their original source
format (native format), or where agreed using the Relativity format. Specifications for
the Relativity format is below.
2. Establishing a Naming Convention. Use the following file naming convention if
producing electronic files in native format. Each file name should consist of a unique
alphanumerical prefix followed by the original file name. For example:
AB0001_[Original FileName].DOC, AB0002_[OriginalFileName].XLSX,
AB0003_[Original FileName].EML, etc.
3. Document Families Kept Together. Document families are to be produced together (i.e.
Emails shall be produced with their attachments, documents exist in the same folder shall
be produced together).
4. Databases. As soon as possible, provide a description of all potentially responsive
databases or information generated from proprietary databases. After providing the
information, a discussion will be held to how to provide the data.
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D. Relativity Production Format
1. Deliverables of the Production. The Relativity production format consists of a Data file
(.DAT), an Opticon file (.OPT), images, natives, and text files.
2. Required Natives. Any file type that cannot be converted to TIFF/JPEG should be
produced in the original source format (native). In addition, Excel and other spreadsheets,
PowerPoints, emails, and AutoCAD and similar file types should be produced in the
native format.
3. Document Families Kept Together. All document family groups, i.e. email
attachments, embedded files, etc., should be produced together and children files should
follow parent files sequentially in the Bates numbering.
4. DAT File. The data file consists of the metadata and path information to the native file
and searchable text file. The requirements for the data are:
a. The first line must consist of a header row identifying the field names.
b. The data file must use the Relativity default delimiters: Comma/column ASCII
character (020) and Quote ASCII character (254)
c. The attachment ranges of parent/child relationships must be captured.
d. The OCR text and Native path information must be included.
e. A complete list of metadata filed is available in Attachment 2.
5. OPT File. The Opticon image cross-reference file links the images to the records in the
database. It should be a comma-delimited file consisting of seven fields per line with a
line in the cross-reference for every image in the database. For example, ImageID,
VolumeLabel, ImageFilePath, DocumentBreak, FolderBreak,BoxBreak,PageCount:
a. BATES-00001, VOLUME01, D:/IMAGE/0001/ BATES-00001.TIF,Y,,,3
b. BATES-00002, VOLUME01, D:/IMAGE/0001/ BATES-00002.TIF,,,,
c. BATES-00003, VOLUME01, D:/IMAGE/0001/ BATES-00002.TIF,,,,
6. Text Files. Extracted text associated with imaged files must be produced as separate
document level text files, not as fields within the .DAT file. The text files must be named
after the first bates number of the document and the path information must be included in
the .DAT file. Text files must be in a top-level folder named TEXT and the number of
text files per sub-folder in the TEXT folder must not exceed 1000.
7. Linked Native Files. Native documents must be named after the first bates number of the
document with the path of native provided in the .DAT file. Native files must be in a top-
level folder named NATIVE and the number of native files per sub-folder in the
NATIVE folder must not exceed 1000.
8. Image Files.
a. Unless color is required, image must be produced in black and white
with 300 DPI Group IV single-page TIFF files.
b. Color images must be produced in JPEG format.
c. Images must be endorsed with sequential Bates number in the lower
right corner of each image.
d. All images must be named after the bates numbers associated with the
page.
e. Image files must be in a top-level folder named IMAGES and the
number of image files per sub-folder in the IMAGES folder must not
exceed 1000.
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f. Excel spreadsheets and similar files types should have a placeholder
image named after the Bates number assigned to the native file.
g. AUTOCAD, PowerPoints, photographs, or other images that need color
to interpret the contents should be produced as a single page JPEG files.
Attachment 2: Metadata and Information for .DAT file
1. BatesBegin
2. BatesEnd
3. BatesAttachBegin
4. BatesAttachEnd
5. BatesParent
6. GroupID
7. AttachBates – First Bates number of each attachment or child
8. Custodian
9. Email From
10. Email To
11. Email CC
12. Email BCC
13. Email Subject
14. File Extension
15. Date Sent
16. Time Sent
17. File Name
18. File Type
19. Author
20. Last Author – last author who modified the document
21. Company
22. Date Created – Date and Time can be combined into a single field
23. Time Created
24. Date Modified – Date and Time can be combined into a single field
25. Time Modified
26. Time Zone
27. Date Printed – Date and Time can be combined into a single field
28. Time Printed
29. MD5Hash
30. Header
31. Native File Path
32. OCR Path
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FILED: NEW YORK COUNTY CLERK 06/28/2023 05:39 PM INDEX NO. 451549/2023
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