Khanh Tran

Disagree. Explanation: The same attorney Ruiz working as District's legal counsel originally written and constructed the Measure J contracts between District and Del Terra when the troubled contracts were awarded back in 2013. He being "Attorney Rogelio M Ruiz employed by Rehon & Roberts, APC" later countered his own work and claimed that Measure I and Measure J Construction Management contracts between the District and Del Terra likely violate Government Code Section 1090. Attorney Ruiz was writing the legal opinion on is own directive for Section 1090 when he was compelled to protect himself and his job. His self-conflicting legal views and self-benefits lead to his termination as counsel at the District. He is being the Superintendent's ally, forgot who his fiduciary duties and responsibilities belong to, overlook the violations of government code, and soften the legal opinion and to help the administration (see Exhibit E - Ruiz Section 1090 legal opinion). This is the reason why we asked new counsel to provide legal opinion on Section 1090. Second legal opinion found section 1090 has not been violated. FPPC sworn complaints by critics about section 1090 was raised to FPPC, the agency that has jurisdiction over Section 1090. With the facts presented to FPPC, the state agency being the FPPC, responded that it will not open investigation at this time. (See Exhibit A). Response to

Disagree. Explanation: The District has to follow the California Ed Codes amd public contract codes. The Board has raised possible public code violations by the administration when it illegally awarded more than 2.8 million dollars in contracts and payments to Harbro. Trustee has not seen the same for Del Terra. The court should look into the complaints the District has filed with the FPPC on the Harbro matter. (See Exhibit B). - A Response to

Disagree. Explanation: The District has already terminated the program manager contracts for Measure I and J between the District and Del Terra.

Disagree. Explanation: As a Trustee, we follow the Brown Act. The District also hires an attorney as our general counsel to ensure Brown Act is followed. Violation of the Brown Act is a misdemeanor. Any legal questions please refer to District counsel.

Agree. Explanation: It is not a surprise Alum Rock School District is highly political and from this Trustee point of view, the Bylaws are not known nor follow by staff or the Board or board members. It depends who or which legal counsel interpret it for political convenience; and for whom the attorney loyal to. This is why this Trustee had voted to waive all attorney client privileged so these types of practice are disclosed and need to stop.

Disagree. Explanation: It took more than 4 months to vet for the current District's general counsel. The District took ample time to vet our legal counsel that meet the needs and requirements of the District and this Board. No one hire someone else attorney who has no fiduciary duties and responsibilities to the Board. This

Disagree. Explanation: The Superintendent whom the Civil Grand Jury commended, is under investigation by FPPC. Per sworn oath and reported by district counsel to various government agencies, the Superintendent has been alleged for violation of public contract codes and misappropriation of funds. The civil grand jury did not based their reports on facts and their report appears to be political driven. (See Exhibit B.C. D)

Disagree. Explanation: Trustee Quintero is an ally of the Superintendent and had overlook the violations of public contract codes (see Exhibit B,C,D). Karen Martinez voted for Del Terra Measure I program management as well as construction management back in November 2016, but she is commended by the Civil Grand Jury wence only Trustee Quintero and Trustee did not participate. However, Civil Grand Jury, without referencing any facts, recommended Trustee Khanh Tran and other Trustees to resign. Regardless, there is a clear separation of powers in our Constitution. The District is a subdivision of the State of California for which the California State Legislature has passed laws to delegate its governing powers to the School Board. Only the voters can decide who to elect or not elect. The Civil Grand Jury has engaged in a smear campaign hurting Trustee Khan hTran for re-election at the same time endorsing two other Trustee Martinez and Trustee Quintero. The Civil Grand Jury by endorsing the two Trustees placed themselves and this court in a political position making of bias and unfairness. ----- end responses to findings ----- As a Trustee, I do not run the day-to-day business nor do I have the authority to review any books without administration cooperation or a majority of the Board directive. When you hear our books are out of balanced, I would assume you know it is staff job to balance the books and not any Trustee or Judge. It is simply not our job. When staff keeps us uninformed and later we found out for ourselves through the news our books are off, we would want to audit and investigate. It is our responsibilities and duties as custodians of the taxpayers to ensure integrity from top to bottom. I pray the court to be more objective and uphold the laws passed by the legislature and interpret by the court. It is the court that holds our Democracy together and not the public pressure and outcry because they do not understand the internal issues and facts. If you read the civil grand jury report, it lacks the facts and unbalance views as I described above. All exhibits provided have been waived by the Board for any attorney client privileged status. Same were also provided to the D.A, SEC, and FPPC. Respectfully, Khanh Tran, Alum Rock School Trustee 385 Linkhorne Ct, San Jose, CA 95133 ~ (408) 380-9001 . . . . Exhibit A STATE OF CALIFORNIA FAIR POLITICAL PRACTICES COMMISSION 1102 Q Street, Suite 3000, Sacramento, CA 95811 (916) 322-5660 • Fax (916) 322-0886 June 13, 2018 Jeffrey Markham Complainant Flor DeLeon Jacobo Complainant Re: FPPC No. COM-05252018-00798: Rojas, Del Terra, Herrera, Tran, Marquez, and Alum Rock Elementary School District Dear Messrs. Markham and Jacobo: This letter is in response to the sworn complaint you filed against the above-named persons that alleged violations concerning: Conflict of Interest in Public Contracts (GC 1090) 1. Government Code Section 1090 (Alum Rock School District) 5 Counts 2. Government Code Section 1090 (b) (Alum Rock School Board Members and Del Terra) 5 Counts per Board Member 3. Government Code Section 87100 (Del Terra Contractors, Louie Moran (former Del Terra and current Alum Rock employee)) 5 Counts for Del Terra contractors and 5 counts for Louie Moran (former Del Terra and current Alum Rock employee). 4. Government Code Section 83116.5 (Alum Rock School Board Members) 5 Counts per Alum Rock School Board Member 5. Government Code Section 87300 (former Del Terra and current Alum Rock employee) One Count for Louie Moran (former Del Terra and current Alum Rock employee). 6. Elections Code Section 7054 (a) (Alum Rock School District) Please accept this letter as an attachment to our sworn complaint, under Government Code Section 83115. This complaint details numerous violations of Government Code Section 1090 and the Political Reform Act (the Act) by the Alum Rock Elementary School District (Alum Rock) and its Board Members, and Del Terra Real Estate Services Inc. (Del Terra) and several of its employees. Based on a review of the documents received and obtained during our initial review of the allegations, the Enforcement Division will not open an enforcement case in this matter at this time. . . FPPC No. COM-05252018-00798: Rojas, Del Terra, Herrera, Tran, Marquez, and Alum Rock Elementary School District If you have any further questions, please contact us at complaint@fppc.ca.gov. Sincerely, GWest Galena West Chief, Enforcement Division GW/tr cc: Luis Rojas, and Alum Rock Elementary School District Board Members Esau Ruiz Herrera, Khanh Tran, Dolores Marquez . . Exhibit B H. FRANCISCO LEAL EAL TREJO WILLIAM J. TREJO MARIBELS. MEDINA ATTORNEYS ΑТ DAVID J. ALVAREZ Sometimes of the state of the state of the state of the state of the state of the state of the state of the state of the state of the state of the state of the state of the state of the state of the state of the state of t MICHAEL E. WOLFSOHN DENISE A. MARTINEZ JENNIFER CHAMBERLAIN 3767 WORSHAM AVENUE LONG BEACH, <b>CALIFORNIA 90808</b> (213) 628-0808 FAX (213) 628-0818 MMEDINA &LEAL LAW.COM MEMORANDUM WWW.LEAL-LAW.COM ***CONFIDENTIAL*** THIS MATERIAL IS SUBJECT TO THE ATTORNEY-CLIENT AND/OR THE ATTORNEY WORK PRODUCT PRIVILEGES. DO NOT DISCLOSE THE CONTENTS HEREOF. DO NOT FILE WITH PUBLICLY ACCESSIBLE RECORDS. To: Honorable President Herrera and Members of the Board From: H. Francisco Leal Maribel S. Medina April 11, 2018 Date: RE: Review Superintendent Bauer's Authorization of Over Two Million Dollars in Payments to Har- Bro Northern California, Inc. Question Presented The Alum Rock Union Elementary School District ("Alum Rock" or "District") Board of Education ("Board") requested an analysis of whether awarding of a contract to Har-Bro Northern California, Inc., in violation of the Education Code, public procurement laws, and Board Policies, and authorization of payments, totaling more than Two Million Dollars ($2,000,000.00) to Har-Bro without Board approval or ratification constitutes a breach of fiduciary obligations to the District and misappropriation of public funds. Brief Answer The California Supreme Court in People v. Hubbard (2016) 63 Cal. 4th 378, held, "where a superintendent [has] explicit contractual responsibilities to oversee the 'budget and business affairs' of the district, superintendent owed a duty to safeguard school district funds, and superintendent had a responsibility to ensure such public funds were spent in accordance with the law." Superintendent ATTORNEY-CLIENT AND/OR THE ATTORNEY Bauer's employment agreement explicitly designates her as Chief Executive Officer of the District and gives her "primary responsibility for managing and conducting the business of the District." As such, Superintendent Bauer has a duty to safeguard the District's funds and ensure public funds are spent in accordance with the law. She breached that duty, by authorizing payments to Har-Bro of over Two Million Dollars. Summary of Facts On February 27, 2016, a fire at Mathson Middle School ("Mathson") damaged classroom C1, the Resource Room and the Custodial Room. Daniel Flores, Director of Maintenance, Operations and Transportation, called his previous employer Har-Bro Northern California, Inc. ("Har-Bro") and asked Har-Bro to perform he repairs related to the Mathson fire. The Har-Bro contract has never been approved or ratified by the Board. Har-Bro performed work for the District from February 27, 2016 through June 2017. In early 2017, the Board received information by a District employee about the work being performed by Har-Bro. The Board directed its legal counsel, Rogelio Ruiz of Rehon & Roberts to conduct a review and investigation into the contracts and payments for the repairs at Mathson. The scope of the investigation, by its own terms, was limited to the legality of the contracts. The Rehon & Roberts Report concluded that the awarding of the Har-Bro contract, terms of the Har-Bro contract and 24 change orders were in violation of the Education Code, public procurement laws, and the District's Administrative Regulations. On February 29, 2016, legal counsel Ruiz sent an e-mail, including Superintendent Bauer outlining the process to address the Mathson fire repairs. The e-mail outlined the requirements of Public Contracting Code 20113, which provides that a contract could be awarded without advertising for bids, only if the "board, by unanimous vote, with the approval of the county superintendent of schools" declare an emergency. (Exhibit 1). On March 3, 2016, the Board held a special meeting. Superintendent Bauer signed the Staff Report accompanying Resolution 34-15/16 declaring that an emergency existed and authorizing the execution of contracts for remediation. The Board approved the Resolution. The minutes of the meeting do not reflect that Superintendent Bauer or any District staff member informed the Board the Har-Bro Agreement had already been approved by Mr. Flores. On March 10, 2016, the Board held its regular meeting. Consent Item 12.02 included approval of Professional Services Agreements, but did not include ratification or approval of the Har-Bro Agreement. Item 12.14 of the same agenda was approval of a Resolution Delegating the contracting authority related to emergency work to Superintendent Bauer. Although Superintendent Bauer had the opportunity to disclose to the Board that the Har-Bro agreement had been awarded, she did not. Beginning on February 27, 2016, the same day the contract was awarded to Har-Bro, until May 18, 2017, Har-Bro submitted change orders every month. Most months Har-Bro submitted up to 6 change orders. On July 12, 2017, Jacalyn Stromquist, Executive Assistant for Human Resources Department/Risk Management sent an e-mail to Counsel Ruiz, stating the following: "You had asked who was signing off on the Har-Bro change orders; I did find some copies of the change orders that were signed by Dr. Bauer," (Exhibit 2) Superintendent Bauer signed off on the following change orders: ATTORNEY-CLIENT AND/OR THE ATTORNEY New Contract Sum Change Order # Change Order Amount Date #11 $1,025,144.23 6/21/2016 $476,866.74 $1,096,389.55 $ 71,245.32 #12 7/29/2016 #13 $136,932.00 $1,232,546.04 8/19/2016 #14 $1,577,978.87 10/7/2016 $345,432.83 $2,125,961.73 #18 $ 6,267.12 12/16/2016 Total=$1,036,744.01 Without Board approval or ratification, Superintendent Bauer signed change orders in the amount of $1,036,744.01. (Exhibit 3). From February 27, 2016 to May 18, 2017, the Board of Education met 23 times. Every regular agenda included approval of contracts. Superintendent Bauer prepared the Board agendas. Yet not once did Superintendent Bauer include approval or ratification of the Har-Bro agreement on the Board agenda. The Board agendas are also devoid of any disclosure related to the District's invoicing and receipt of $2.5 million dollars of insurance proceeds. Legal Analysis A. Misappropriation of Public Funds for the Benefit of Another is a Violation of Penal Code Section 424(a) The California Supreme Court in People v. Hubbard (2016) 63 Cal.4th 378, found the Superintendent of Beverly Hills Unified in violation of Penal Code section 424 (a) when he approved a car allowance and stipend for an employee without Board approval. The Supreme Court found, the evidence showed that, during the relevant time period, Hubbard was the chief executive officer of the District. In his capacity as superintendent, Hubbard oversaw various departments related to the expenditure of public funds, including human resources, business, and accounting. His employment contract made clear that he was responsible for implementing policies in the realm of budgeting and business affairs. Hubbard's actual responsibilities mapped onto those prescribed by law. Those statutory duties included: preparing and submitting a budget for the school district, preparing a "local control and accountability plan," assigning and transferring teachers, entering into contracts for and on behalf of the school district, and submitting financial and budgetary reports to the school district's governing board. ( Ed.Code, § 35035, subds. (a)-(i).) The Supreme Court also concluded that the evidence also showed Hubbard was entrusted with the responsibility of bringing expenditures to the Board for approval and then ensuring District funds were spent according to the Board's instructions. These duties entail a material degree of discretion and control over how public funds are allocated. [citation]. The findings of the Supreme Court related to Hubbard's duties as chief executive officer for the District, including overseeing the various department's expenditure of public funds, employment contract which incorporated a superintendent's responsibilities, and duty to inform the governing board, are the identical duties included in Superintendent Bauer's employment agreement. In the case of Superintendent Bauer, however, the facts are more egregious. The payments to Har-Bro were not a one-time directive. In addition to the Har-Bro contract, 24 Change Order were approved. Superintendent Bauer personally ATTORNEY-CLIENT AND/OR THE ATTORNEY signed and authorized over a million dollars in change order. The last change order she signed authorized included the entry, "the new sum will be $2,125,961.73." Penal Code Section 424 (a) provides in relevant part: "Each officer of this state, or of any county, city, town, or district of this state, and every other person charged with the receipt, safekeeping, transfer, or disbursement of public moneys, who without authority of law, appropriates the same, or any portion thereof, to his or her own use, or to the use of another is guilty of a crime. (emphasis added). For purpose of Penal Code section 424 (a) it is therefore, irrelevant that the monies were paid to Har-Bro. The Supreme Court reviewed Penal Code section 424 (a)'s legislative history and concluded the "purpose in enacting section 424: protecting the public fisc [sic] and holding accountable those in positions to place public funds at risk." Hubbard, supra at 387. As discussed below, the contract, change orders and payments were authorized without authority of law. In addition, the statute does not make liability conditional on a public officer's possessing exclusive control over public funds, or unfettered discretion to decide on their disposition. Instead, it requires that the public officer have the sort of actual authority that confers some degree of material control over the funds' disposition. 1. The Awarding of the Har-Bro Contract and Contract Itself Did Not Meet the Legal Requirements of the Education Code, Public Procurement Laws, and <b>Board Policies</b> Board Policy 3312 provides, "to be valid or constitute an enforceable obligation against the district, all contracts must be approved and/or ratified by the Board." As discussed above, to date, neither the agreement nor the 24 change orders have ever been approved or ratified by the Board. In addition, Section 17604 of the Education Code provides in relevant part: "... no contract made pursuant to the delegation and authorization shall be valid or constitute an enforceable obligation against the district unless and until the same shall have been approved or ratified by the governing board, the approval or ratification to be evidenced by a motion of the board duly passed and adopted." Education Code section 17604 further provides, "In the event of malfeasance in office, the school district official invested by the governing board with the power of contract shall be personally liable to the school district employing him or her for any and all moneys of the district paid out as a result of malfeasance." Superintendent Bauer was not interviewed as part of the Rehon & Roberts Report. It would be necessary to determine if either Superintendent Bauer or Mr. Flores had conflicts related to Har-Bro. Although Mr. Flores disclosed he had been employed with Har-Bro immediately prior to beginning his employment with the District, his Form 700 for 2015 fails to disclose his income from Har-Bro. (Exhibit 4). Contentions have also been made that Superintendent Bauer's spouse had a business relationship with Har-Bro. Superintendent Bauer does not disclose any information in her Form 700 related to her spouse in her Form 700 for 2015, 2016, 2017 or 2018 (Exhibit 5). 2. Ignorance of the Facts and Law is No Excuse ATTORNEY-CLIENT AND/OR THE ATTORNEY Superintendent Bauer knew or should have known that the Har-Bro contract, change orders and over $2 million in payments required Board approval. She failed to obtain the Board's approval or ratification. Although based on the information that is available, Superintendent Bauer did not sign change orders 1-10. Change Order 11, for $476,866.74 included the total amount of the previous change orders. Similarly, even though Superintendent Bauer did not personally sign change orders 15-17, she personally signed Change Order 18, which included the total new contract amount of $2,125,961.73. Even if she claims she though the initial Emergency Resolution gave her complete authority to award a contract, with no dollar limit and continue to expand the scope of work, ignorance of the law would not relieve her of liability. The California Supreme Court in People v. Stark (2011) 52 Cal.4th 368, held that public officials are expected to "be aware of and indeed embrace the duties the law imposes on them" and "cannot remain recklessly ignorant of the non-penal laws regulating their conduct." Stark, supra at 400. The Stark court further held that public officials "are expected to take reasonable steps to determine the appropriateness of their actions." Id. at 402. The California Supreme Court reasoned that it would be contrary to the legislative intent if public officials could evade prosecution by failing to conduct the research that would inform them of their duties, or by failing to seek the advice of persons who could provide that information. Id. at 400. Superintendent Bauer received e-mails from the District's legal counsel informing her that remediation work was subject to legal requirements. Supreme Court held that individuals could be convicted under section 424 (a) if they were criminally negligent in failing to know that their actions were not legally authorized. Id. 3. The Safeguards Outlined in the Resolution Purporting to Delegate to the Superintendent the Emergency Contracting Authority Were Ignored On March 10, 2016, the Board adopted Resolution 35-15/16 titled, "Delegation of Authority in Regard to Awarding of Emergency Contracts." Section 2 of the Resolution delegated the authority to award emergency contracts without competitive bidding to Superintendent Bauer. Section 3 provided that if such a contract was awarded, the governing board was to be notified at its next regular meeting and provided information "justifying why the emergency will not permit a delay resulting from a competitive solicitation for bids and why action [was] necessary to respond to the emergency." Section 4 specified that the emergency action had to be reported to the Board no later than 14 days after the action and at least at every regular board meeting." Not only did Superintendent Bauer fail to disclose to the Board that the Har-Bro contract had already been awarded before the Board adopted the Resolution declaring an emergency and before the Board adopted the Resolution delegating the authority, but as outlined above, Superintendent Bauer authorized "action" as described in this Resolution 25 times without once, to date, reporting the action to the Board, let alone seeking ratification of approval from the Board. Superintendent Bauer lacked the authority, even under the Emergency Resolution, to unilaterally approve 24 increases to the Har-Bro contract without seeking Board approval or ratification. Superintendent Bauer lacked the authority under the Emergency Resolution to waive all state law 1 Resolution 25-15/16 purporting to delegate to Superintendent and/or Assistant Superintendent the authority to award emergency contract without competitive bidding was in valid since it was not passed by the requisite vote. (Public Contract Code section 22050). ATTORNEY-CLIENT AND/OR THE ATTORNEY requirements, including paying prevailing wage and securing payment and performance bonds to protect the District's interest.² The fact that the source of funds was insurance proceeds does not excuse Superintendent Bauer's failure to follow the law. Executive officials are not free to spend public funds for any purpose they may choose, but must utilize appropriated funds in accordance with the legislative purpose. Stanson v. Mott (1976) 17 Cal.3d 213. The California Supreme Court in Stanson held, "We start out with the principle that expenditures by an administrative official are proper only insofar as they are authorized." Although it is advisable to review the actual claims or invoices submitted to the Zurich Insurance, the Rehon & Roberts Report did find that the District received 8 payments from the Zurich. Presumably the checks were deposited into a District account. (Exhibit 6). The amounts identified in various documents related to the Mathson fire are inconsistent. The Rehon & Roberts Report found that Har-Bro had been paid $2,024,105.70, and the District had received $2,509,085.11 from the Zurich. However, Change Order 24 identifies a total contract amount as $2,179,678.48-a difference of $155,573. In addition, an e-mail from Ms. Stromquist to Mr. Ruiz, dated July 11, 2017, Ms. Stromquist informed Mr. Ruiz that the District had received $2,861,248.82 from Zurich Insurance, a difference of $352,163.71. (Exhibit 7). These discrepancies warrant an audit. Finally, the work performed at the Mathson site is subject to oversight from the Department of State Architect ("DSA"). This project has not received final approval (close out) from DSA. As part of the audit, it is strongly recommended that the District direct a review the DSA documents to determine the cost represented to DSA. B. General Concerns Related to Superintendent Bauer's Compliance with Fiduciary Obligations and Disclosures to the Governing Board At the last closed session, the Board was advised that Superintendent Bauer had failed to attend or have a District representative attend a meeting called by the rating agency, S & P. Superintendent Bauer indicated that she had not attended the meeting at the direction of the District's bond disclosure counsel. At the last closed session, the Board voted to direct Superintendent Bauer to provide legal counsel all information necessary to prepare the bond disclosure statement and address the SEC matters. Superintendent Bauer has refused to provide the information or meet with the District's legal counsel. She stated in the attached e-mail, "My interview with the SEC was confidential. My attorney never prepared any memo for the board. There are no e-mails nor any other correspondence." (Exhibit 8). The correspondence from the SEC, however, referencing "In the Matter of Alum rock Union Elementary School District (SF-4170), address correspondence as follows, "Alum Rock Union Elementary School District, c/o Dr. Hilaria Bauer, Superintendent." (Exhibit 9). In the Frequently Asked Questions, it is worth noting that under "may I have a lawyer to respond", the answer is "Yes. Alum Rock has the right to consult with and be represented by legal counsel." (emphasis added). The entity. The District retained reputable bond disclosure counsel to provide the District legal guidance on compliance with relevant laws. As the attached e-mail which Superintendent Bauer provided by Superintendent Bauer as evidence that she was directed by bound counsel not to participate in the S & P ² As directed by the Board, we are working with the Department of Industrial Relations to determine what actions, if any, will follow as a result of Har-Bro's failure to pay prevailing wage. ATTORNEY-CLIENT AND/OR THE ATTORNEY meeting, provides, Superintendent Bauer was not going to following the District's legal counsel's directive. Disclosure Counsel on September 26, 2017 asked that Superintendent Bauer's personal attorney write a memo to the District's governing Board regarding her meeting with the SEC. (Exhibit 8). Securities laws require that the District disclose information that a perspective investor would consider material. In order to comply with this information, it is critical that Superintendent Bauer disclose what information she has provided the SEC. It is critical that this Board direct Superintendent Bauer, consistent with her fiduciary obligations to the District, and in compliance with securities laws, that she meet with the General Counsel and bond disclosure counsel and provide truthful and complete information. Finally, the Fiscal Experts and auditors identified approximately Twelve Million dollars that had not properly been accounted for. Mr. Chheng confirmed the District maintains accounts in private banks but indicated there is no master list of accounts or amounts maintained in each account. (Exhibit 10). The discrepancies in the Mathson insurance, are an examples of the reasons this Board should request an complete and thorough list of existing accounts. For any account in a private bank, the Board should request account numbers, balance and the names of authorized signatories. CONCLUSION The approval of the Har-Bro contract, change orders and payments were made in violation of the law. The change orders were approved by Superintendent Bauer without ratification or approval from the Board. Neither the Rehon & Roberts Report, nor any files reviewed by this office have identified how the scope of the project was defined, or the costs confirmed. We recommend a forensic audit of all invoices, payments, and insurance claims and payments related to the Har-Bro contract. We also recommend authorization to interview Superintendent Bauer, Kolvira Chheng and a follow up interview with Daniel Flores. It is also critical that this Board direct Superintendent Bauer, consistent with her fiduciary obligations to the District, and in compliance with securities laws, that she meet with the General Counsel and bond disclosure counsel and provide truthful and complete information. ATTORNEY-CLIENT AND/OR THE ATTORNEY 7 Rogelio Ruiz From: efrain.robles@arusd.org Sent Wednesday, July 12, 2017 4:02 PM To: Rogelio Ruiz; kolvira.chheng@arusd.org Subject: Fwd: FW: Mathson (ARUSD/Business Services) Attachments: Emergency Resolution.pdf; Emergency Resolution.pdf ----Forwarded using Multi-Forward Chrome Extension- From: "Sandra J. Harrington" Date: Tue Mar 01 2016 10:35:04 GMT+1100 (AEDT) Subject: FW: Mathson (ARUSD/Business Services) To: "Maria J. Martinez", Efrain Robles Sandra J. Harrington Assistant Superintendent Business Services Alum Rock School District 2930 Gay Avenue San Jose, CA 95127 (408) 928-6847 From: Rogelio Ruiz [mailto:rruiz@rehonroberts.com] Sent: Monday, February 29, 2016 2:38 PM To: Sandra J. Harrington Cc: Hilaria Bauer; E. Luis Saenz; Erica Valdovinos Subject: RE: Mathson (ARUSD/Business Services) Hi Sandy, One other follow-up. The other emergency provisions in the PCC are in 20113: (a) In an emergency when any repairs, alterations, work, or improvement is necessary to any facility of public schools to permit the continuance of existing school classes, or to avoid danger to life or property, the board may, by unanimous vote, with the approval of the county superintendent of schools, do either of the following: (1) Make a contract in writing or otherwise on behalf of the district for the performance of labor and furnishing of materials or supplies for the purpose without advertising for or inviting bids. (2) Notwithstanding Section 20114, authorize the use of day labor or force account for the purpose. (b) Nothing in this section shall eliminate the need for any bonds or security otherwise required by law. Attached is a resolution we used at East Side. But again, this may not be necessary for the demo and remediation work, and only necessary for the rebuilding work. Finally, has the district's insurance carrier been put on notice of the loss? Thanks, rogelio /Rogelio M. Ruíz REHON & ROBERTS, APC 830 The Alameda, San José, CA 95125 (2) Before a governing body takes any action pursuant to paragraph (1), it shall make a finding, based on substantial evidence set forth in the minutes of its meeting, that the emergency will not permit a delay resulting from a competitive solicitation for bids, and that the action is necessary to respond to the emergency. If the cost of rebuilding and/or repairing the damage is expected to exceed the CUPCCAA limits, then we may want to use this approach. If you and the staff believe you will be in a position to let a contract to rebuild within the next few days then we should consider calling a special or emergency board meeting. Otherwise, we can include it on next week's regular board meeting agenda. Thanks, rogelio Rogelio M. Ruíz REHON & ROBERTS, APC 830 The Alameda, San José, CA 95126 408-494-0900 Main | 408-387-5239 Dir | 408-494-0909 Fax muiz@rehonroberts.com | www.rehonroberts.com The information contained in this email message is confidential and may be subject to the attorney-client or work product privileges. If you are not the intended recipient or the person named above as the recipient, any disclosure, re-transmission, or other distribution is strictly prohibited. If you received this email transmission in error, please immediately notify the sender at muz@retvorroberts.com and delete this message from your system. From: Sandra J. Harrington [mailto:sandra.harrington@arusd.org] Sent: Monday, February 29, 2016 1:58 PM To: Rogello Ruiz Subject: Mathson Importance: High is there any reason that we need to notify the county of the fire/emergency? Sandra J. Harrington Assistant Superintendent Business Services Alum Rock School District 2930 Gay Avenue San Jose, CA 95127 (408) 928-6847 . . 408-494-0900 Main | 408-387-5239 Dir | 408-494-0909 Fax rruiz@rehonroberts.com | www.rehonroberts.com The information contained in this email message is confidential and may be subject to the atturney-client or work product privileges. If you are not the intended recipient or the person named above as the recipient, any disclosure, re-transmission, or other distribution is strictly prohibited. If you received this email transmission in error, please immediately notify the sender at mulz@rehonroberts.com and delete this message from your system. From: Rogelio Ruiz Sent: Monday, February 29, 2016 2:24 PM To: 'Sandra J. Harrington' Cc: Hilaria Bauer (hilaria.bauer@arusd.org); E. Luis Saenz; Erica Valdovinos Subject: RE: Mathson (ARUSD/Business Services) Hi Sandy, Not necessarily, but maybe as a simple courtesy to let them know what happened, the extent of the damage, and that the District has secured the area and will be taking appropriate actions to clear all damage and restore the school facilities. Also, with regard to CUPCCAA, Section 22002(c) defines a "public project" as follows: (c) "Public project" means any of the following: (1) Construction, reconstruction, erection, alteration, renovation, improvement, demolition, and repair work involving any publicly owned, leased, or operated facility. (2) Painting or repainting of any publicly owned, leased, or operated facility. (3) In the case of a publicly owned utility system, "public project" shall include only the construction, erection, Ì improvement, or repair of dams, reservoirs, powerplants, and electrical transmission lines of 230,000 volts and higher. CUPCCAA (PCC section 22032) provides: (a) Public projects of forty-five thousand dollars ($45,000) or less may be performed by the employees of a public agency by force account, by negotiated contract, or by purchase order. (b) Public projects of one hundred seventy-five thousand dollars ($175,000) or less may be let to contract by informal procedures as set forth in this article. (c) Public projects of more than one hundred seventy-five thousand dollars ($175,000) shall, except as otherwise provided in this article, be let to contract by formal bidding procedure. As I mentioned, depending on the anticipated cost of the remediation of the site (eg, removal of debris and damaged improvements), you may be able to let the remediation contract pursuant to the CUPCCAA negotiated contract or informal bidding procedures, which will save you considerable time and not require an emergency meeting. Depending on the urgency of the district's need for the classroom facilities to be restored, the district may have to consider passing a declaration of emergency under the PCC to allow for the letting of necessary contracts for reconstruction without giving notice for bids to let contracts (ie, without complying with public bidding requirements). The Public Contract Code also provides for emergency contracting procedures. PCC section 22050(a) provides in pertinent part: (a) (1) in the case of an emergency, a public agency, pursuant to a four-fifths vote of its governing body, may repair or replace a public facility, take any directly related and immediate action required by that emergency, S. and procure the necessary equipment, services, and supplies for those purposes, without giving notice for bids to let contracts. . of American Uyenchi Ho Rogelio Ruiz From: Wednesday, July 12, 2017 9:44 AM Sent: To: Uyenchi Ho More for Stromquist binder Subject: 3512_001.pdf Attachments: 1:13 Hopen A 135 From: Jacalyn Stromquist [mailto:facalyn.stromquist@arusd.org] Sent: Wednesday, July 12, 2017 9:22 AM · 6., To: Rogelio Ruiz Subject: Fwd: Attached Image Rogelio: Here are a few more emails. You may have them already in one of the lengthy email strings. You had asked who was signing off on the Har-Bro change orders; I did find some copies of the change orders in the file that were signed by Dr. Bauer. Business should have all the originals. Let me know if there is anything else I may be able to assist you with. JAME . Jackie Language L 2 860 400 ----- Forwarded message ----- From: <hr.mfp@arusd.org> Date: 2017-07-12-9:15 GMT-07:00 Subject: Attached Image To: Jacalyn Stromquist < jacalyn stromquist@arusd.org> 是有多种的 N 34 LOW HARD! S. Sander School of the 12 Bullion of St Jacalyn Stromquist-Executive Assistant Human Resources Department/Risk Management Alum Rock Union Elementary School District **408-928-6504 TESTO W da torrera '408-928-6435 408-928-6435<br>Jacalyn.stromquist@arusd.org · · · · Har-Bro of Northern <b>EHARBRO</b> CHANGE ORDER California, Inc. Har-Bro. Inc. 6/21/2016 Number Date Har-Bro Construction & Consulting, Inc. 2050KAMMERER Har-Bro of Northern California, Inc. Job Name / Location Har-Bro West, Inc. 2050 Kammerer Ave. Har-Bro of Washington, inc. San Jose, CA 95116 Number of Existing Contract: Date of Existing Contract: TO: ALUM ROCK UNION ELEMENTRY SCHOOL DIST 3/7/2016 8692~ 2050 Kammerer Ave. San Jose, CA 95116 DESCRIPTION AMOUNT We hereby agree to make the change(s) specified below: 11 Work to be performed per attached estimate named "ALUMROCK2-2" dated 6/27/2016 $476,866.74 Total For This Change Order: $476,866.74 Not valid until signed by the Owner. Signature of the Contractor indicates the Contractor's agreement herewith, including any adjustment in the Contract Sum or Contract Time. The original Contract Sum was $548,277.49 The net change by previously authorized Change Orders was ..... $0.00 The Contract Sum prior to this Change Order was ..... $548,277.49 The Contract Sum will be increased by this Change Order . . . . . . . . . . . . . . . . . . . $476,866.74 The new Contract Sum will be ..... $1,025,144.23 The Original Contract Completion Date will be changed by 90 days ACCEPTED - The above prices and specifications of this Change Order are salisfactory and are hereby accepted. All Work to be performed under the same terms and conditions as specified in Original Contract unless otherwise specified. Authorized By Owner: Accepted By Contractor: ALUM ROCK UNION ELEMENTRY SCHOO Har-Bro of Northern California, Inc. Date: 6/27/16 By: Date- By: Tony Everett Signature: Signature: CORPORATE OFFICE: Contractors Licenses: REGIONAL OFFICES: 2750 Signal Parkway Riverside Region (951) 680-8900 Fax (951) 782-8286 California: 6255441, 6736982, 8725529, 8878735 Signal Hill, CA 90755-2207 San Diego Region: (619) 398-0200 Fax (619) 398-0201 Washington: HARBRW944KA, HARBRW925LR San Francisco Region; (510) 887-8500 Fax (510) 887-8530 Tet (562) 528-8000 Santa Clarita Valley Region: (661) 705-0100 Fax (661) 705-0105 Arizona: KG-01 ROC204777 Fax: (562) 528-8050 Portland Region: (503) 482-8720 Fax (503) 482-6721 Nevada: B2-0042160 Las Vegas Region. (702) 891-8900 Fax (702) 891-9100 http://www.harbro.com Phoenix Region: (480) 449-3900 Fax (486) 449-3905 Oregon: 189883 1-800-266-5677 Seattle Region (425) 656-0500 Fax (425) 658-0501 Har-Bro of Northern CHANGE ORDER <b>EHARBRO</b> California, Inc. 12 7/29/2016 Har-Bro, inc. Date Number Har-Bro Construction & Consulting, Inc. 2050KAMMERER Job Name / Location Har-Bro of Northern California, Inc. Har-Bro West, Inc. 2050 Kammerer Ave. Har-Bro of Washington, Inc. San Jose, CA 95116 Number of Existing Contract: Date of Existing Contract: TO: ALUM ROCK UNION ELEMENTRY SCHOOL DIST 3/7/2016 8692- 2050 Kammerer Ave. San Jose, CA 95116 DESCRIPTION We hereby agree to make the change(s) specified below: 12 Work preformed per attached Construction Services Billing dated 7/28/20016. $71,245.32 Although the existing contract is based on time and materials, this change order represents a stipulated sum (fixed price). $71,245.32 Total For This Change Order: Not valid until signed by the Owner. Signature of the Contractor indicates the Contractor's agreement herewith, including any adjustment in the Contract Sum or Contract Time. The original Contract Sum was $548,277,49 $476,866.74 The net change by previously authorized Change Orders was ...... $1,025,144.23 The Contract Sum prior to this Change Order was $71,245.32 The Contract Sum will be increased by this Change Order ..... The new Contract Sum will be ..... $1,096,389.55 The Contract Time will be unchanged ACCEPTED - The above prices and specifications of this Change Order are satisfactory and are hereby accepted. All Work to be performed under the same terms and conditions as specified in Original Contract unless otherwise specified. Accepted By Contractor: Authorized By Owner: Har-Bro of Northern California, Inc. ALUM ROCK UNION ELEMENTRY SCHOO 11 Date: By: Tony Everett Signature: Signature Contractors Licenses: REGIONAL OFFICES: CORPORATE OFFICE: Riverside Region: (951) 880-8900 Fax (951) 782-8288 2750 Signal Parkway California; 8258441, 8736982, 8725529, 8878735 San Diego Region; (619) 398-0200 Fax (819) 396-0201 Signal HIII, CA 90755-2207 San Francisco Region: (510) 887-8500 Fax (510) 887-8530 Washington: HARBRW944KA, HARBRW925LR Tel: (562) 528-8000 Santa Clarita Veltey Region: (661) 705-0100 Fax (661) 705-0106 Artrona: KB-01 ROC204777 Portland Region: (503) 482-6720 Fax (503) 482-6721 Fax: (562) 528-8050 Las Vagas Region: (702) 891-8900 Fax (702) 891-9100 Nevada: 82-0042160 Phoenix Region: (480) 449-3900 Fax (480) 449-3905 hlip://www.haubro.com <b>1-800-2</b>66-5677 Oregon: 169863 Seattle Region: (425) 856-0500 Fax (425) 856-0501 Har-Bro of Northern SHARBRO CHANGE ORDER California, Inc. Har-Bro, Inc. 8/19/2016 Number Date Har-Bro Construction & Consulting, Inc. 2050KAMMERER Job Name / Location Har-Bro of Northern California, Inc. Har-Bro West, Inc. 2050 Kammerer Ave. Har-Bro of Washington, Inc. San Jose, CA 95116 Number of Existing Contract: Date of Existing Contract: TO: ALUM ROCK UNION ELEMENTRY SCHOOL DIST 3/7/2016 8692- 2050 Kammerer Ave. San Jose, CA 95116 DESCRIPTION AMOUNT We hereby agree to make the change(s) specified below: 13 Work to be performed per attached estimate named "ALUMROCKROOF" dated 8/19/2016. $136,932.00 Total For This Change Order: $136,932.00 Not valid until signed by the Owner. Signature of the Contractor indicates the Contractor's agreement herewith, including any adjustment in the Contract Sum or Contract Time. The original Contract Sum was $547,501.98 The net change by previously authorized Change Orders was .................................. $548,112.06 The Contract Sum prior to this Change Order was .... $1,095,614.04 The Contract Sum will be increased by this Change Order $136,932.00 The new Contract Sum will be ..... $1,232,546.04 The Contract Time will be unchanged ACCEPTED -- The above prices and specifications of this Change Order are satisfactory and are hereby accepted. All Work to be performed under the same terms and conditions as specified in Original Contract unless otherwise specified. Authorized By Owner: Accepted By Contractor: ALUM ROCK UNION ELEMENTRY SCHOO Har-Bro of Northern California, Inc. voor intender 8/31/16 9/1/2016 Date: By: Fony Everett Date: Signature Signature: CORPORATE OFFICE Contractors Licenses: REGIONAL OFFICES: 2750 Signal Parkway Riverside Region; (951) 680-8900 Fax (951) 782-8286 California: B258441, B736982, B725529, B878735 San Diego Region: (619) 398-0200 Signal Hill, CA 90755-2207 Fax (619) 398-0201 Washington: HARBRWI944KA, HARBRWI925LR San Francisco Region: (510) 887-9500 Fax (510) 887-8530 Tel: (562) 528-8000 Sarka Clarita Valley Region: (861) 705-0100 Fax (661) 705-0105 Arizona: K8-01 ROC204777 Fax: (562) 528-8050 Portland Region: (503) 482-6720 Fax (503) 482-6721 Nevada: 82-0042160 Las Vegas Region: (702) 891-8900 Fax (702) 891-9100 http://www.harbrg.com Phoenix Region: (480) 449-3900 Fax (480) 449-3905 1-800-266-5677 Oregon: 169883 Seattle Region: (425) 358-0500 Fax (425) 656-0501 ι nar-bro of nortnern CHANGE ORDER California, Inc. Har-Bro, Inc. Har-Bro Construction & Consulting, Inc. 14 10/7/2016 Number Har-Bro Environmental, Inc. Date Har-Bro of Northern California, Inc. 2050KAMMERER Job Name / Location Har-Bro of Washington, Inc. 2050 Kammerer Ave. Har-Bro West, Inc. San Jose, CA 95116 Number of Existing Contract Date of Existing Contract TO: Alum Rock Union S D 8692- 3/7/2016 2050 Kammerer Ave. San Jose, CA 95116 C1617150 DESIGNIEMON 1.1/(6)01213 We hereby agree to make the change(s) specified below: 14 Work to be performed per attached estimate named "ALUMROCKREV" dated 10/7/2016. $345,432.83 Total For This Change Order: $345,432.83 Not valid until signed by the Owner. Signature of the Contractor indicates the Contractor's agreement herewith, including any adjustment in the Contract Sum or Contract Time. The original Contract Sum was . . . . . . . . . . . . . . . . . . . . $547,501.98 The net change by previously authorized Change Orders was ..... $685,044.06 The Contract Sum prior to this Change Order was $1,232,546.04 The Contract Sum will be increased by this Change Order ..... $345,432.83 The new Contract Sum will be $1,577,978.87 The Original Contract Completion Date will be changed by 270 days ACCEPTED - The above prices and specifications of this Change Order are satisfactory and are hereby accepted. All Work to be performed under the same terms and conditions as specified in Original Contract unless otherwise specified. Authorized By Owner: Accepted By Contractor: ALUM ROCK UNION ELEMENTRY SCHOO Har-Bro of Northern California, Inc. 10/17/6 COLAR CONT 1607 . . . . . . . . . . . . . HILAGI ン 111114 By: 120-. By: <b>Lany Everett</b> Signature: Signature: CORPORATE OFFICE: Contractors Licenses: REGIONAL OFFICES: 2750 Signal Parkway Bay Area Region: (510) 887-8500 Fax (510) 887-8530 California: B258441, B725529, B736982, B878407, Las Vegas Region: (702) 891-8900 Fax (702) 891-9100 Signal Hill, CA 90755-2207 8878735, DOSH 1072 Orange County Region: (714) 827.6200 Fax (714) 827-8290 Tel: (562) 528-8000 Washington: HARBRWI925LR, HARBRWI944KA Long Beach Region: (562) 528-8000 Fax (562) 528-8050 Phoenix Region: (480) 449-3900 Fax (480) 449-3905 Fax: (562) 528-8050 Arizona: KB-01 ROC204777 Pertland Region: (503) 482-6720 Fax (503) 482-8721 http://www.harbro.com Nevada: B2-0042160 Riverside Region: (951) 660-8900 Fax (951) 782-8286 San Diago Region: (619) 398-0200 Fax (619) 396-0201 Oregon: 169893 San Jose Region: (408) 320-1421 Fax (408) 320-1427 1-800-266-5677 Santa Clarita Valley Region: (661) 705-0100 Fax (601) 705-0105 Seattle Region: (425) 656-0500 Fax (425) 656-0501 ᄣᅜᄶᅜᅜᅜ mar-bro or nortnern <b>CHANGE ORDER</b> California, Inc. Har-Bro, Inc. Har-Bro Construction & Consulting, Inc. Har-Bro Environmental, Inc. Number 12/16/2016 Date Har-Bro of Northern California, Inc. Job Name / Location 2050KAMMERER Har-Bro of Washington, Inc. Har-Bro West, Inc. 2050 Kammerer Ave. San Jose, CA 95116 Number of Existing Contract: Date of Existing Contract: TO: Alum Rock Union S D 8692- 3/7/2016 2050 Kammerer Ave. San Jose, CA 95116 DESCRIPTION AMOUNT We hereby agree to make the change(s) specified below: 18 Per estimate named "ALUMROCK-CO18" dated 12/13/2016. $6,267.12 Total For This Change Order: $6,267.12 Not valid until signed by the Owner. Signature of the Contractor indicates the Contractor's agreement herewith, including any adjustment in the Contract Sum or Contract Time. The original Contract Sum was $547,501.98 The net change by previously authorized Change Orders was ..... $1,572,192.63 The Contract Sum prior to this Change Order was ..... $2,119,694.61 The Contract Sum will be increased by this Change Order ..... $6,267.12 The new Contract Sum will be .... The Original Contract Completion Date will be changed by 364 days $2,125,961.73 ACCEPTED - The above prices and specifications of this Change Order are satisfactory and are hereby accepted. All Work to be performed under the same terms and conditions as specified in Original Contract unless otherwise specified. Authorized By Owner: Accepted By Contractor: ALUM ROCK UNION ELEMENTRY SCHOO Har-Bro of Northern California, Inc. Ву. Date: Đγ: Date: Signature: Signature: CORPORATE OFFICE: Contractors Licenses: REGIONAL OFFICES: 2750 Signal Parkway Say Area Region: (510) 887-8500 California: 8258441, 8728529, 8736982, 8878407, Fax (510) 887-8530 inal Hill, CA 90755-2207 Las Vegas Region: (702) 891-8900 8878735, DOSH (072 Fax (702) 891-9100 ·ef (562) 528-8000 Orange County Region: (714) 827,6200 Washington: HARBRW1925LR, HARBRW1944KA Fax (714) 827-6290 Long Beach Region: (562) 528-8000 Fax (582) 528-8050 Fax: (562) 528-8050 Arizona: KB-01 ROC204777 Phoenix Region: (480) 449-3900 Fax (480) 449-3905 - http://www.harbro.com Portland Region: (503) 492-5720 Nevada: B2-0042160 Fax (503) 482-6721 Riverside Region: (951) 680-8900 Fax (951) 782-8286 Oregon: 169883 San Diego Region: (619) 398-0200 Fax (619) 398-0201 San Jose Region: (408) 320-1421 1-800-266-5677 Fax (408) 320-1427 Santa Clarita Valley Region: (881) 705-0100 Fax (661) 705-0105 Seattle Region: (425) 656-0500 Fax (425) 656-0501 CALIFORNIA FORM Date Received STATEMENT OF ECONOMIC INTERESTS Giffolal Use Only Project of the de FAIR POLITICAL PRACTICES COMMISSION A PUBLIC DOCUMENT <b>COVER PAGE</b> RECEIVED Please type or print in ink. <u>^ cm 12 nn</u> MAR ORD NAME OF FILER (LAST) (FIRST) THE CIO " 一种心种门门 FLORES, DANIEL 1. Office, Agency, or Court APR 06 2015 Agency Name (Do not use acronyms) COUNTY OF SANTA CLARA Alum Rock Union Elementary School District Clerk of the Hoard of Supervisors Division, Board, Department, District, If applicable Your Position Director, Maintenance, Operations & Transportation ▶ If filling for multiple positions, list below or on an attachment. (Do not use acronyms) Agency: ... Position: _____ 2. Jurisdiction of Office (Check at least one box). State Judge or Court Commissioner (Statewide Jurisdiction) County of Santa Clara Multi-County _____ _____ City of _____ Other ____ 3. Type of Statement (Check at least one box) Annual: The period covered is January 1, 2013, through Leaving Office: Date Left ____/____ December 31, 2013. (Check one) -or- The period covered is _______ through O The period covered is January 1, 2013, through the date of December 31, 2013. leaving office. Assuming Office: Date essumed 03 , 30 , 2015 O The period covered is _______ through the date of leaving office. Candidate: Election year _____ and office sought, if different than Pert 1: _____ 4. Schedule Summary Check applicable schedules or "None." ➤ Total number of pages including this cover page: 1 Schedule A-1 - Investments - schedule attached Schedule C - Incomé, Loans, & Business Positions – schedule attached Schedule A-2 - Investments - schedule attached Schedule D - Income - Gifts - schedule attached Schedule B • Real Property - schedule attached ☐ Schedule E - Income — Gitts - Travel Payments - schedule attached -OF- None - No reportable interests on any schedule 5. Verification MAILING ADDRESS STREET CITY STATE ZIP CODE (Business or Agency Address Recommended - Public Document) 33356 5th Street Union City, ÇA 94587 CASTIME TELEPICINE BUILDER SWAIL ACCIDESS (OPTIONAL) (510)589-7039 I have used all reasonable diligence in preparing this statement. I have reviewed this statement and to the best of my knowledge the information contained herein and in any attached schedules is true and complete. I ecknowledge this is a public document. I cardify under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Date Signed 03/30/2015 Signature (manth, days year) (File the enighnity signed statement with your tiling orticles) FPPC Form 700 (2013/2014) FPPC Advice Email: advice@fppc.ca.gov FPPE Toll-Free Heipline: 865/275-3772 www.fppc.ca.gov CALIFORNIA FORM / Date Initial Filing Received Official Use Caly STATEMENT OF ECONOMIC INTERESTS FAIR POLITICAL PRACTICES COMMISSION A PUBLIC DOCUMENT <b>COVER PAGE</b> Please type or print in Ink. NAME OF FILER (LAST) (FIRST) (MIDDLE) 4065 DANIEL 1. Office, Agency, or Court Agency Name (Do not use acronyms) ALUMPOCK SCHOOL District Electron of Division, Board, Department, District, if applicable Your Position ► If filling for multiple positions, list below or on an attachment. (Do not use acronyms) Agency: . Position: __ 10 2. Jurisdiction of Office (Check at least one box) 1.4 8 State ☐ Judge or Court Commissioner (Statewide Jurisdiction) Multi-County _____ DEGRENTY OF SANTA CLARA City of _____ Other _____ 3. Type of Statement (Check at least one box) Annual: The period covered is January 1, 2017, through Leaving Office: Date Left ____/__/ December 31, 2017. -01- (Check one) The period covered is ________, through O The period covered is January 1, 2017, through the date of December 31, 2017. leaving office. -Or- Assuming Office: Date assumed _____/__/ O The period covered is ________, through the date of leaving office. Candidate: Date of Election _____ and office sought, if different than Part 1; _____ 4. Schedule Summary (must complete) ➤ Total number of pages including this cover page: ___ Schedules attached Schedule A-1 - Investments - schedule attached Schedule C · Income, Loans, & Business Positions - schedule attached Schedule A-2 - Investments - schedule attached Schedule D - Income - Gifts - schedule attached Schedule B - Real Property - schedule attached Schedule E - Income - Gifts - Travel Payments - schedule attached -or- None - No reportable interests on any schedule 5. Verification MAILING ADDRESS STREET CITY (Business or Agency Address Recommended - Public Decument) STATE ZIP CODE > <u>C</u>4- 95116 DATTIME TELEPHONE NUMBER 687-0475 400) daniels Flores e arosa.org I have used all reasonable diligence in preparing this statement. I have reviewed this statement and to the best of my knowledge the information contained herein and in any attached schedules is true and complete. I acknowledge this is a public document. I certify under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Date Signed Signature (Fite the originally signed statement with your filing criticial) FPPC Form 700 (2017/2018) FPPC Advice Email: advice@fppc.ca.gov FPPC Toil-Free Helpline: 866/275-3772 www.fppc.ca.gov Date Initial Filing Received Official Use Only CALIFORNIA FORM / () () STATEMENT OF ECONOMIC INTERESTS FAIR POLITICAL PRACTICES COMPISSION A PUBLIC DOCUMENT Filed Date: 02/15/2018 04:38 PM COVER PAGE SAN: 021300015-STH-0015 Please type or print in Ink. NAME OF FILER (LAST) (FIRST) (MIDDLE) Bauer Hilaria R 1. Office, Agency, or Court Agency Name (Do not use acronyms) Alum Rock Union Elementary School District Division, Board, Department, District, if applicable Your Position Superintendent ▶ If filling for multiple positions, list below or on an attachment. (Do not use acronyms) Agency: Position: 2. Jurisdiction of Office (Check at least one box) ☐ State ☐ Judge or Court Commissioner (Statewide Jurisdiction) Multi-County _____ County of _ City of Other Santa Clara County ... 3. Type of Statement (Check at least one box) Annual: The period covered is January 1, 2017, through Leaving Office: Date Left ____/__/ December 31, 2017. (Check one) -Of- The period covered is _______, through O The period covered is January 1, 2017, through the date of December 31, 2017. leaving office. -01- Assuming Office: Date assumed _______ O The period covered is ________, through the date of leaving office. Candidate: Date of Election _____ and office sought, if different than Part 1; _____ Schedule Summary (must complete) ➤ Total number of pages including this cover page: ... Schedules attached Schedule A-1 - Investments - schedule attached Schedule C - Income, Loans, & Business Positions - schedule attached Schedule A-2 - Investments - schedule attached Schedule D - Income - Gifts - schedule attached Schedule B - Real Property - schedule attached Schedule E - Income - Gifts - Travel Payments - schedule attached -Or- ☐ None - No reportable interests on any schedule 5. Verification MAILING ACCRESS STREET CITY STATE ZIP CODE (Business or Agency Address Recommended - Public Document) 2930 Gay Ave. San Jose CA 95127 DAYTIME TELEPHONE NUMBER E-MAIL ADDRESS 1 hilaria.bauer@arusd.org I have used all reasonable diligence in preparing this statement. I have reviewed this statement and to the best of my knowledge the information contained herein and in any attached schedules is true and complete. I acknowledge this is a public document. I certify under panalty of perjury under the laws of the State of California that the foregoing is true and correct. 02/15/2018 04:38 PM <b>Date Signed</b> Electronic Submission Signature _ (month, day, year) (File lite originally signed statement with your filing official.) FPPC Form 700 (2017/2018) FPPC Advice Email: advice@fppc.ca.gov FPPC Toll-Free Helpline: 866/275-3772 www.fppc.ca.gov CALIFORNIA FORM SCHEDULE E FAIR POLITICAL PRACTICES COMMISSION Income - Gifts Name Travel Payments, Advances, Hilaria Bauer and Reimbursements Mark either the gift or income box. Mark the "501(c)(3)" box for a travel payment received from a nonprofit 501(c)(3) organization or the "Speech" box if you made a speech or participated in a panel. These payments are not subject to the gift limit, but may result in a disqualifying conflict of interest. For gifts of travel, provide the travel destination. ► NAME OF SOURCE (Not an Acronym) ► NAME OF SOURCE (Not an Acronym) Silicon Valley Education Foundation Kidango ADDRESS (Business Address Acceptable) ADDRESS (Business Address Acceptable) 1400 Parkmoor Ave., Suite 200 44000 CITY AND STATE CITY AND STATE San Jose, CA 95126 Fremont, CA 94538 501 (a)(3) or DESCRIBE BUSINESS ACTIVITY, IF ANY, OF SOURCE 501 (c)(3) or DESCRIBE BUSINESS ACTIVITY, IF ANY, OF SOURCE Advocating for AmeriCorps Volunteers in Washington DC Fundraiser DATE(S): 11 , 08 , 17 11 , 08 , 17 AMT. $_ 75.00 DATE(S): 09 , 28 , 17 09 , 28 , 17 AMT: 8 87.00 ► MUST CHECK ONE: MUST CHECK ONE: Gift -or- Income Made a Speech/Participated in a Panel <math>\cap</math> Made a Speech/Participated in a Panel <math>^{\circ}</math> Other - Provide Description __<br>Participated in dinner Other - Provide Description ________ Attended luncheon ► If Gift, Provide Travel Destination If Gift, Provide Travel Destination Fairmont Hotel, 170 S. Market St. San Jose, CA 95113 Rotary Summit Center, 88 4th St. San Jose CA NAME OF SOURCE (Not an Acronym) ► NAME OF SOURCE (Not an Acronym) ADDRESS (Business Address Acceptable) ADDRESS (Business Address Acceptable) CITY AND STATE CITY AND STATE 501 (d)(3) or DESCRIBE BUSINESS ACTIVITY, IF ANY, OF SOURCE 501 (c)(3) or DESCRIBE BUSINESS ACTIVITY, IF ANY, OF SOURCE DATE(8): ____/___ AMT: $ DATE(S):_ (If gift) ___ AMT: $__ (If gift) ► MUST CHECK ONE: Gift -or- Income MUST CHECK ONE: Giff -or- Income Made a Speech/Participated in a Panel Made a Speech/Participated in a Panel Other - Provide Description Other - Provide Description ▶ If Gift, Provide Travel Destination _____ ▶ If Gift, Provide Travel Destination _____ Comments: FPPC Form 700 (2017/2018) Sch. E FPPC Advice Email: advice@fppc.ca.gov FPPC Toll-Free Helpline: 866/275-3772 www.fppc.ca.gov Date Initial Filing Received CALIFORNIA FORM 700 STATEMENT OF ECONOMIC INTERESTS Oth all the Only PART POLITICAL PROCESSES COMMISSION COVER ,3 A PUBLIC DOCUMENT Please type or print in ink. (MODLE) NAME OF FILER (LAST) (FIRST) 11 . 3- Hlar19 auer 1, Office, Agency, or Court Agency Name (Do not use hirroryms) Alum Rock Union Hementary School Distact Superintendent Noted Department, District, if applicable Your Position Division, Board, Department, District, if applicable > If filing for multiple positions, list below or on an attachment. (Do not use acronyms) Position: Agency: ...... Jurisdiction of Office (Check at least one box) ☐ Judge or Court Commissioner (Statewide Jurisdiction) State DO County of Santa Clark Multi-County _____ Other ____ City of 3. Type of Statement (Check at least one box) Leaving Office: Date Left ____/____ Annual: The period covered is January 1, 2016, through (Check one) December 31, 2016. -05- The period covered is January 1, 2016, through the date of The period covered is ____/___ through leaving office. December 31, 2016. -or- Assuming Office: Date assumed 07,01,2014 O The period covered is ______ through the date of leaving office. and office sought, if different than Part 1: Candidate: Election year ..... Schedule Summary (must complete) > Total number of pages including this cover page: - Schedules attached Schedule C - Income, Loans, & Business Positions - schedule attached Schedule A-1 - Investments - schedule attached Schedule D - Income - Gifts - schedule attached Schedule A-2 - investments - schedule attached Schedule E - Income - Gifts - Travei Payments - schedule attached Schedule B - Real Property - schedule attached -0r- IV None - No reportable interests on any schedule 5. Verification Dan Jose WA 6411 CITY MAILBIG ACCRESS STREET (Business or Agency Address Recommended - Public Duccinesti E-MAIL ADDRESS DAY TIME TELEPHONE NUMBER hilaria. bauer@grusd. or 128-6827 (409) I have used all reasonable diagence in preparing this slatement, I have reviewed this statement and to the heat of my knowledge like information contained herein and in any attached achedules is true and complete. I acknowledge this is a public document. i certify under penalty of perjury under the laws of the State of California that the loregoing is true and correct. Signature <b>Date Signed</b> statement with your filing official, 存物を FPPC Form 700 (2016/2017) FPPC Advice Email: advice@fppc.ca.gov FPPC Toll-Free Helpline: 866/275-3772 www.ippc.ca.gov Date Initial Filing Received CALIFORNIA FORM STATEMENT OF ECONOMIC INTERESTS FAIR POLITICAL PRACTICES COMMISSION A PUBLIC DOCUMENT <b>COVER PAGE</b> Filed Date: 03/28/2016 01:37 PM SAN: 021300015-STH-0015 Please type or print in ink. NAME OF FILER (LAST) (FIRST) (MIDDLE) Bauer Hilaria R 1. Office, Agency, or Court Agency Name (Do not use acronyms) Alum Rock Union Elementary School District Division, Board, Department, District, if applicable Your Position SuperIntendent ▶ If filling for multiple positions, list below or on an attachment. (Do not use acronyms) Agency: Position: 2. Jurisdiction of Office (Check at least one box) ☐ State Judge or Court Commissioner (Statewide Jurisdiction) Multi-County _____ County of _____ City of ✓ Other Santa Clara County 3. Type of Statement (Check at least one box) Annual: The period covered is January 1, 2015, through Leaving Office: Date Left ______ December 31, 2015. (Check one) -OT- The period covered is ________ through O The period covered is January 1, 2015, through the date of December 31, 2015. leaving office. -01- Assuming Office: Date assumed _______ O The period covered is _____/____through the date of leaving office. Candidate: Election year _____ and office sought, if different than Part 1: _____ Schedule Summary (must complete) ► Total number of pages including this cover page: _____ 1 Schedules attached Schedule A-1 - investments – schedule attached Schedule C - Income, Loans, & Business Positions - schedule attached Schedule A-2 - Investments - schedule attached Schedule D · Income - Gifts - schedule attached Schedule B - Real Property - schedule attached Schedule E - Income - Gifts - Travel Payments - schedule attached -or- None - No reportable interests on any schedule 5. Verification MAILING ACCRESS STREET CITY STATE ZIP CODE (Business or Agency Address Recommended - Public Document) 2930 Gay Ave. San Jose CA 95127 DAYTIME TELEPHONE NUMBER E-MAIL ACCRESS ) hllarla.bauer@arusd.org I have used all reasonable diligence in preparing this statement. I have reviewed this statement and to the best of my knowledge the information contained herein and in any attached schedules is true and complete. I acknowledge this is a public document. I certify under penalty of perjury under the laws of the State of California that the foregoing is true and correct. 03/28/2016 01:37 PM Date Signed Electronic Submission Signature (month, day, year) (File the originally signed statement with your litting calledd.) FPPC Form 700 (2015/2016) FPPC Advice Email: advice@fppc.ca.gov FPPC Toll-Free Helpline: 866/275-3772 www.fppc.ca.gov CALIFORNIA FORM / () Date Initial Filing STATEMENT OF ECONOMIC INTERESTS PART POLITICAL PRACTICES COMMISSION Received Office the Only A PUBLIC DOCUMENT <b>COVER PAGE</b> ш Please type or print in ink. NAME OF FILER 1 (LAST) Mlaria GRIDDITAL == > Bauci 1. Office, Agency, or Court Agency Name (Do not use acconyms) Hlum Rock Union School District Superintendent Division, Board, Department, District, if applicable Your Position Surper in tendent If filing for multiple positions, list below or on an attachment. (Do not use acronyms) Agency: . Position: ... 2. Jurisdiction of Office (Check at least one box) State 🛚 ☐ Judge or Court Commissioner (Statewide Jurisdiction) Multi-County County of _ Santa City of _____ Domer______ 3. Type of Statement (Check at least one box) Annual: The period covered is January 1, 2014, through Leaving Office: Date Left _______ December 31, 2014, (Check one) •0F• The period covered is ______ through O The period covered is January 1, 2014, through the date of December 31, 2014. leaving office. Assuming Office: Date assumed O The parlod covered is _______ flarguigh the date of leaving office. Candidate: Election year and office sought, if different than Part 1: 4. Schedule Summary Check applicable schedules or "None." ► Total number of pages including this cover page: _ Schedule A-1 - Investments - schedule attached Schedule C - Income, Loans, & Business Positions - schedule attached Schedule A-2 - Investments - schedule attached Schedule D - Income - Giffs - schedule attached Schedule B - Real Property - schedule attached Schedule E - Income - Gifts - Travel Payments - schedule attached - will's Mone - No reportable interests on any schedule 5. Verification San Jose Dore 95132 MAILING ADDRESS STREET DP CODE (Business or Agency Address Recommended - Public Decument) 22 ONE WHERE E-MAIL ADDRESS hilaria bauer @ grusd.org I have used all reasonable diagence in preparing this statement. I have reviewed this statement and to the best of my knowledge the information excitatined herein and in any attached schedules is true and complete. I acknowledge this is a public document. I certify under penalty of perjury under the laws of the State of California that the foragoing is tipe and correct. Date Signed. Signature (month, day, year) 伊油菜 réwih yearding ciligist) FPPC Form 700 (2014/2015) FPPC Advice Emails advice@fppc.ca.gov FPPC Toll-Free Helpfine: 866/275-3772 www.fppc.ca.gov 10 2 2 8 SCHEDULE OF HAR-BRO CONTRACTS AND CHANGE ORDERS, AND INSURANCE PROCEEDS RECEIVED: *The data and information contained in this report is a summary of information provided by the District's Business Services Department and has not been independently verified as accurate or complete. L Α В C D F Е G Date Description HarBro Charges Insurance Total Cumul. Paid to Har- rotal Cumul. to District proceeds Ins. Proceeds Bro Paid to Har- from Zurich Rec'd Bro 02/27/2016 Commercia: Service T&M based on Agreement (Schodule Jan. 2016 of Fees) between schedule of fees District and Har-Bro of Northern California, Inc. 2/27/2016 Change Order #1 "TBD" 3/1/2016 Change Order #2 $7,425.00 3/1/2016 Change Order #3 $1,390.00 3/2/2016 Change Order #4 $10,440.00 1 3/21/2016 Change Order #5 $18,777.00 3/21/2016 Change Order #6 $25,968.00 3/29/2016 Zurich In. Payment to 7 -- UQ,000 X $300,000 District 4/5/2016 Change Order #7 $30,440.00 4/5/2016 Change Order #8 $12,520.00 4/19/16 Change Order #9 $40,894.96 5/26/2016 Change Order #10 $22,754.00 5/26/2016 Payment to Har-Bro $185,965.54 Check # 129805 $64,000.00 $190,927.48 $83,854.96 5524.747 L A B c D Ε F G Description Date HarBro Charges to Dist. Ins. Proceeds from Total Cumul. Ins. Pald to HarBro by Total Cumul. Paid Zurich <b>Proceeds Received</b> District to HarBro By District. 6/21/2016 Change Order #11 $476,866.74 6/28/2016 Zurich In. Payment to $249,965.52 $ 549,965.52 District 6/30/2016 Zurich In. Payment to $477,363.82 $1,027,329.34 District 7/15/2016 Payment to Har-Bro $22,754.00 $547,501.98 Check #130917 7/29/2016 Change Order #12 $71,245.32 8/19/2016 Change Order #13 $136,932.00 9/16/2016 Payment to Har-Bro $244,383.59 $791,885.57 Check #131519 9/26/2016 Zurich In. Payment to $136,932.00 $1,164,261.34 District 10/7/2016 Change Order #14 $345,432.83 10/20/2016 Payment to Har-Bro $334,760.36 Check #131980 $71,647.84 $1,198,293.77 11/1/2016 Zurich In. Payment to $43,513.14 $1,207,774.48 District 11/10/2016 Change Order #15 $446,859.28 11/30/2016 Payment to Har-Bro $34,252.27 Check #132582 $69,938.90 $1,302,484.94 12/8/2016 Change Order #16 $17,097.94 12/12/2016 Change Order #17 $77,758.52 12/15/2016 Payment to Har-Bro $250,921.77 $1,553,406.71 Check #132958 12/16/2016 Change Order #18 $6,267.12 1/11/2017 Change Order #19 $-15,295.98 1/13/2017 Zurich In. Payment to $388,480.32 $1,596,254.80 District 1/13/2017 Zurich In. Payment to $678,999.93 $2,275,254.73 A В Ç D E F G Description Date HarBro Charges to Dist. ins. Proceeds from Total Cumul, Ins. Paid to HarBro by Total Cumul. Paid Zurich Proceeds Received District to HarBro By District. District 1/24/2017 Payment to Har-Bro $284,662.94 $1,838.069.65 Check #133311 2/2/2017 Change Order #20 $21,697.21 3/3/2017 Payment to Har-Bro $53,064.76 $1,891,134.41 Check #133919 3/22/2017 Change Order #21 $40,612.37 3/22/2017 Payment to Har-Bro $24,572.16 $1,932,316.32 Check #134264 $16,609.75 4/12/2017 Change Order #22 $2,016.00 5/1/2017 Change Order #23 $2,401.15 5/4/2017 Payment to Har-Bro $54,041.93 $1,986,358.25 Check #134933 5/9/2017 Change Order #24 $2,016.00 5/18/2017 Change Order #25 -$16,701.84 6/1/2017 Payment to Har-Bro $37,747.45 $2,024,105.70 Check #135447 6/13/2017 Zurich In. Payment to $233,830.38 $2,509,084.84 District Totals $2,509,085.11 Uyenchi Ho Rogelio Ruiz From: Tuesday, July 11, 2017 3:27 PM Sent: Uyenchi Ho To: Fwd: Money Subject: Stronquist binder Sent from my iPhone Begin forwarded message: From: Jacalyn Stromquist < jacalyn.stromquist@arusd.org> Date: July 11, 2017 at 3:13:50 PM PDT To: Rogelio Ruiz <rraiz@rehonroberts.com> Subject: Money Rogelio: The amount of money received from Zurich thus far is $2,861,248.82 which includes the $300,000.00 advance monies we discussed on the phone earlier this afternoon. Jackie Jacalyn Stromquist-Executive Assistant Human Resources Department/Risk Management Alum Rock Union Elementary School District 408-928-6504 408-928-6435 Jacalyn.stromquist@arusd.org Re: Confidential Attorney-Client Privilege RE: Alum Rock Union Elementary School District Credit Rating Hilaria Bauer <hilaria.bauer@arusd.org> Tue 3/27/2018 9:37 AM To:Maribel Medina <mmedina@leal-law.com>: Cc:Esau Herrera <esaulawyer@gmail.com>; Francisco Leal <hfl@leal-law.com>; Dear Maribel, I can talk to you about the Mathson fire the week of April 9. My interview with the SEC was confidential. My attorney never prepared any memo for the board. There are no emails nor any other correspondence. Thank you, Sent from my iPhone On Mar 27, 2018, at 9:07 AM, Maribel Medina <a href="mmedina@leal-law.com">mmedina@leal-law.com</a> wrote: Good morning Dr. Bauer: I am following up on the e-mail below. It is critical that David Casnocha and I meet with you to discuss your meeting with the SEC. Please also let me know as soon as possible if your personal attorney prepared the memo for the Board as directed by the District's disclosure counsel. The Board has requested an update on the Matheson fire matter at the next closed session. If you recall, the Board took action to direct you to provide us the information necessary for these time sensitive, critical matters. Consistent with the Board directive, please let me know if either of the dates listed below work for you. Thank you for your anticipated cooperation. Maribel Maribel S. Medina Partner LEAL TREJO APC 3767 Worsham Avenue Long Beach, California 90808 Tel: (213) 628-0808 Fax: (213) 628-0818 mmedina@leal-law.com Privileged and Confidential Communication. This electronic transmission, and any documents attached hereto, (a) are protected by the Electronic Communications Privacy Act (18 USC §§ 2510-2521), (b) may contain confidential and/or legally privileged information, and (c) are for the sole use of the intended recipient named above. If you have received this electronic message in error, please notify the sender and delete the electronic message. Any disclosure, copying, distribution, or use of the contents of the information received in error is strictly prohibited. From: Maribel Medina Sent: Wednesday, March 21, 2018 10:44 AM To: 'Hilaria Bauer' < hilaria.bauer@arusd.org> Cc: Esau Herrera <esaulawyer@gmail.com>; Francisco Leal <hfl@leal-law.com> Subject: Confidential Attorney-Client Privilege RE: Alum Rock Union Elementary School District Credit Rating Confidential Attorney-Client Privilege Good morning Dr. Bauer: Did your personal attorney prepare the memo to the Board that was requested by the District's bond disclosure counsel, David Casnocha (see e-mail below)? If so, please send me a copy of the memo. If you recall, the Board directed a detailed disclosure memo of your meeting with the SEC in order to fully comply with the District's disclosure obligations and to better understand the impact of that meeting with S & P's subsequent down grade of the District. I shared the paragraph you wrote below with David Casnocha. We both agreed the paragraph does not provide the necessary information. David and I will need to meet with you to discuss your meeting with the SEC. Please let me know if you are available either April 1 or 2. We will need approximately 2 hours. Please also provide us any correspondence you or your attorney had with the SEC, including the name of the SEC representative that contacted your attorney. I will also need to interview you regarding the Har-Bro/ Mathson matter. Please let me know if you can also make yourself available for this interview on April 1 or 2^nd. Thank you, Maribel Maribel S. Medina Partner LEAL TREJO APC 3767 Worsham Avenue Long Beach, California 90808 Tel: (213) 628-0808 Fax: (213) 628-0818 mmedina@leal-law.com Privileged and Confidential Communication. This electronic transmission, and any documents attached hereto, (a) are protected by the Electronic Communications Privacy Act (18 USC §§ 2510-2521), (b) may contain confidential and/or legally privileged information, and (c) are for the sole use of the intended recipient named above. If you have received this electronic message in error, please notify the sender and delete the electronic message. Any disclosure, copying, distribution, or use of the contents of the information received in error is strictly prohibited. From: Hilaria Bauer < hilaria.bauer@arusd.org> Sent: Monday, March 12, 2018 6:25 PM To: Maribel Medina <mmedina@leal-law.com> Cc: Esau Herrera < esaulawyer@gmail.com> Subject: Fwd: Alum Rock Union Elementary School District Credit Rating Dear Maribel, As per your request. Also, in regards to the SEC issue, at first I found the inquiry curious in that I have been involved in previous disclosures and they usually come from Bond Counsel. I haven't heard anything from either Dave or Carlos. Those inquiries were also limited to the financial well-being of the district. Regardless, I am happy to comply with what I understand to be the direction of the board. Mr. Lee contacted my ACSA attorney directly. My attorney recommended that I comply with interview request from federal law-enforcement agency. They asked about Dr. Rono's report. I explained that when invoicing and performance issues concerning Del Terra were brought to my attention I asked our General Counsel then, Luis Saenz, and he recommended Dr. Rono prepare a report. Based on the report's findings, Mr. Saenz told me to share with the Board. I followed his