Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-4_04-cv-05356/USCOURTS-cand-4_04-cv-05356-4/pdf.json

Nature of Suit Code: 791
Nature of Suit: Employee Retirement Income Security Act (ERISA)
Cause of Action: 29:1132 E.R.I.S.A.: Employee Benefits

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(PROPOSED) FINDINGS OF FACT AND CONCLUSIONS OF LAW

Case No. C 04 5356 SBA

WEINBERG, ROGER & 

ROSENFELD

1001 Marina Village Parkway, 

Suite 200

Alameda, CA 94501

(510) 337-1001

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BARRY E. HINKLE, Bar No. 071223 

NICOLE M. PHILLIPS, Bar No. 203786

CONCEPCIÓN E. LOZANO-BATISTA, Bar No. 227227

WEINBERG, ROGER & ROSENFELD

A Professional Corporation

1001 Marina Village Parkway, Suite 200

Alameda, CA 94501

(510) 337-1001

Attorneys for Plaintiffs

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

ROBERT ALVARADO, in his capacity as 

Trustee of the CARPENTERS HEALTH AND 

WELFARE TRUST FUND FOR CALIFORNIA; 

CARPENTERS VACATION-HOLIDAY TRUST 

FUND FOR NORTHERN CALIFORNIA; 

CARPENTERS PENSION TRUST FUND FOR 

NORTHERN CALIFORNIA; and 

CARPENTERS TRAINING TRUST FUND FOR 

NORTHERN CALIFORNIA, and 

CARPENTERS 46 NORTHERN CALIFORNIA 

COUNTIES CONFERENCE BOARD for itself 

and on behalf of NORTHERN CALIFORNIA 

CARPENTERS REGIONAL COUNCIL

Plaintiffs,

v.

DIAMOND OAKS CONSTRUCTION CO., 

INC.,

Defendant.

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No. C 04 5356 SBA

(PROPOSED) FINDINGS OF FACT 

AND CONCLUSIONS

OF LAW

I. FINDINGS OF FACT

1. The Plaintiff Robert Alvarado is the Trustees of each of the Plaintiffs Trust Funds 

associated with the Carpenters 46 Northern California Counties Conference Board and its affiliated 

XQLRQVFROOHFWLYHO\3WKH8QLRQ ́(DFKRIWKH7UXVW)XQGVZDVHVWDEOLVKHGWKURXJKFROOHFWLYH

bargaining between employers associations and the Carpenters Union. 

2. Defendant Diamond Oaks Construction Co., Inc.KHUHLQDIWHU3'HIHQGDQW ́RU

3'LDPRQG2DNV ́ZDVVLJQDWRU\DQGERXQGWRDZULWWHQFROOHFWLYHEDUJDLQLQJDJUHHPHQWZLWKWKH

Case 4:04-cv-05356-SBA Document 47 Filed 08/25/2005 Page 1 of 9 Case 4:04-cv-05356-SBA Document 51 Filed 09/26/05 Page 1 of 9
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(PROPOSED) FINDINGS OF FACT AND CONCLUSIONS OF LAW

Case No. C 04 5356 SBA

WEINBERG, ROGER & 

ROSENFELD

1001 Marina Village Parkway, 

Suite 200

Alameda, CA 94501

(510) 337-1001

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Union entitled 46 Northern California CounWLHV&DUSHQWHUV0DVWHU$JUHHPHQWKHUHLQDIWHU30DVWHU

$JUHHPHQW ́RU3$JUHHPHQW ́

3. Diamond Oaks became subject to all the terms and conditions of the Master 

Agreement by virtue of signing an Extension Agreement with the Union, which incorporated by 

reference the Master Agreement.

4. On or about May 5, 2003, the President and Registered Agent for Diamond Oaks 

signed a promissory note in favor of Plaintiff Trust Funds where he acknowledged the 

delinquencies of Diamond Oaks. 

5. The amount of the promissory note was $41,330.08, plus a $300.00 preparation fee, 

for a total sum of $41,630.08, plus interest at the rate of 6.25% per annum on any unpaid balance 

of the sum. 

6. The promissory note covered reporting shortages during the periods of November 

2001 through March 2003.

7. 7KH8QLRQ¶VFROOHFWLYHEDUJDLQLQJDJUHHPHQWELQGVVLJQDWRU\HPSOR\HUVWRPDNH

contributions to the Trust Funds.

8. The Master Agreement by its terms incorporates the various Trust Agreements 

establishing each of the Plaintiff Trust Funds.

9. The collective bargaining agreement provides for prompt payment of all delinquent 

FRQWULEXWLRQVWRWKHYDULRXV3ODLQWLIIV¶7UXVW)XQGVDQGSURYLGHVIRUWKHSD\PHQWRILQWHUHVWRQDOO

GHOLQTXHQWFRQWULEXWLRQVDWWRUQH\V¶IHHVDQGRWKHUFROOHFWLRQFRVWVDQGIRUWKHDXGLt of the 

VLJQDWRU\HPSOR\HURUHPSOR\HUV¶ERRNVDQGUHFRUGVLQRUGHUWRSHUPLWWKH3ODLQWLIIVWRDVFHUWDLQ

whether all fringe benefit contributions have been timely paid. 

10. 'HIHQGDQWSURPLVHGWRFRQWULEXWHDQGSD\WRWKH3ODLQWLIIV¶7UXVW)XQGVWKHKRXUO\

amounts required by the collective bargaining agreements for each hour paid for and/or worked by 

any of its employees who performed any work covered by said agreements, and that it would be 

subject to and bound by all of the terms, provisions and conditions of the Trust Agreements.

11. Section 51 of the Master Agreement provides for the resolution of grievances 

between the parties, setting out a procedure to be followed, the final step of which is the 

submission of the grievance to an impartial arbitrator or a Joint Adjustment Board, whose decision 

is final and binding upon the parties.

12. Diamond Oaks failed to pay the balance of the promissory note, leaving $26,735.76 

in unpaid promissory note default, as well as interest thereon.

Case 4:04-cv-05356-SBA Document 47 Filed 08/25/2005 Page 2 of 9 Case 4:04-cv-05356-SBA Document 51 Filed 09/26/05 Page 2 of 9
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(PROPOSED) FINDINGS OF FACT AND CONCLUSIONS OF LAW

Case No. C 04 5356 SBA

WEINBERG, ROGER & 

ROSENFELD

1001 Marina Village Parkway, 

Suite 200

Alameda, CA 94501

(510) 337-1001

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13. Diamond Oaks failed to pay reporting shortages and liquidated damages for the 

months of August 2003 through December 2003, as well as liquidated damages owed on those 

shortages. The reporting shortages and liquidated damages for these months totaled $10,573.95.

14. Diamond Oaks also failed to remit contributions for the period of January 2004 to 

March 2004. 

15. On May 20, 2004, the Union filed a grievance over the non-payment of 

contributions and the delinquencies on the promissory note.

16. A hearing on the grievance was conducted June 8, 2004 before Arbitrator Gerald R. 

McKay. 

17. On June 9, 2004 the Arbitrator issued a Decision and Award, awarding Plaintiffs 

$37,309.71 in fringe benefit contributions, liquidated damages and interest, $300.00 for the cost of 

the proceedings, and ordered Diamond Oaks to submit to an audit of its books and records. This 

amount represented the promissory note Default and interest, as well as the reporting shortages and 

liquidated damages outside the promissory note.

18. The June 9, 2004 Decision and Award also ordered Diamond Oaks to submit to an 

audit of its books and records for the period of August 1, 2000 through date of audit entry.

19. The Trust Funds demanded compliance with the award, but Diamond Oaks failed to 

comply.

20. A complaint for breach of contract, damages, and breach of fiduciary duty, and 

audit was filed against James Stephen Pelletier, Individually, James Stephen Pelletier, individually 

and doing business as Diamond Oaks, and against Diamond Oaks on December 17, 2004. 

21. Mr. Pelletier, individually and as the agent for service of process of Diamond Oaks 

was served with the Complaint on March 3, 2005.

22. On March 11, 2005 Plaintiffs amended their Complaint to name only Diamond 

Oaks as the Defendant in this matter.

23. Plaintiffs served the amended Complaint on Diamond Oaks on March 15, 2005.

24. The Clerk of the Court entered the Request for Entry of Default on April 8, 2005, 

against Defendant, for failure to answer or otherwise respond to the complaint.

25. On April 18, 2005, Plaintiffs filed and duly served a Motion for Default Judgment.

26. On May 24, 2005, the Court denied the Motion for Default Judgment, stating:

Pursuant to N.D.Civ.L.R. 7-2 and 7-4, Plaintiffs must file a memorandum of 

points and authorities in support of their Motion, setting forth the factual 

Case 4:04-cv-05356-SBA Document 47 Filed 08/25/2005 Page 3 of 9 Case 4:04-cv-05356-SBA Document 51 Filed 09/26/05 Page 3 of 9
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(PROPOSED) FINDINGS OF FACT AND CONCLUSIONS OF LAW

Case No. C 04 5356 SBA

WEINBERG, ROGER & 

ROSENFELD

1001 Marina Village Parkway, 

Suite 200

Alameda, CA 94501

(510) 337-1001

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bases and legal authority for their argument. Plaintiffs, however, have failed 

to do so. 

 Accordingly, 

,7,6+(5(%<25'(5('7+$73ODLQWLIIV¶0RWLRQIRU(QWU\RI'HIDXOW

Judgment is DENIED WITHOUT PREJUDICE. If appropriate, Plaintiffs 

may re-file a Motion for Entry of Default Judgment that fully complies with 

the local rules of this Court.

27. On June 6, 2005, Plaintiffs re-filed a Motion for Default Judgment, along with a 

memorandum of points and authorities in support of the Motion.

28. Diamond Oaks has to date failed to appear and/or respond in this matter before this 

Court. 

II. CONCLUSIONS OF LAW

The Court finds and concludes as follows: 

1. At all times material herein, each of the above-named Trust Funds was, and is, an 

employee benefit plan created by a written Trust Agreement subject to and pursuant to section 302 

of the LMRA (29 U.S.C. § 186), and a multi-employer employee benefit plan within the meaning 

of sections 3, 4 and 502 of ERISA (29 U.S.C. §§ 1002, 1003 and 1132). Each of the abovenamed Trust Funds is administered by a Board of Trustees which may bring this action in the 

name of the Trust Funds pursuant to the express provisions of the Trust Agreements.

2. At all times material herein, Diamond Oaks was an employer within the meaning of 

section 3(5) and section 515 of ERISA (29 U.S.C. §§ 1002(5), 1145), and an employer in an 

industry affecting commerce within the meaning of section 301 of the LMRA (29 U.S.C. § 185).

3. Diamond Oaks violated the Master Agreement in failing to meet its obligation to its 

employees. 

a. Diamond Oaks violated the Master Agreement by failing to pay the balance of the 

promissory note for reporting shortages during the periods of November 2001 

through March 2003, leaving $26,735.76 in unpaid promissory note Default and 

interest thereon.

b. Diamond Oaks violated the Master Agreement by failing to pay $10,573.95 in 

reporting shortages and liquidated damages for the months of August 2003 through 

Case 4:04-cv-05356-SBA Document 47 Filed 08/25/2005 Page 4 of 9 Case 4:04-cv-05356-SBA Document 51 Filed 09/26/05 Page 4 of 9
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(PROPOSED) FINDINGS OF FACT AND CONCLUSIONS OF LAW

Case No. C 04 5356 SBA

WEINBERG, ROGER & 

ROSENFELD

1001 Marina Village Parkway, 

Suite 200

Alameda, CA 94501

(510) 337-1001

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December 2003, as well as liquidated damages owed on those shortages. 

c. Diamond Oaks violated the Master Agreement by failing to report to Plaintiff Trust 

Funds all hours worked by its employees during the months of January 2004 

through March 2004.

d. Diamond Oaks violated the Master Agreement by refusing to submit to an audit.

4. Diamond Oaks has failed, neglected, or refused to make timely fringe benefit 

contributions as required by the collective bargaining agreements and Trust Agreements and there 

is now due and owing and unpaid to Plaintiffs contributions and reporting shortages in the sum 

estimated to be at least $37,609.71.

5. Diamond Oaks, as a contributing employer, breached its fiduciary duty respecting 

the handling of contributions due to the Trust Funds. The Trust Funds are entitled as a matter of 

law to conduct an audit of employer records to the extent necessary to assure compliance with the 

duty to make benefit contributions. See ERISA § 502(a)(3), 29 U.S.C. § 1132(a)(2) & (3). The 

Trust Funds are entitled to an injunction directing Defendant to submit to an audit of its books and 

records pursuant to the Trust Agreements.

6. 'HIHQGDQWLVOLDEOHWRWKH7UXVW)XQGVIRUWKHLUUHDVRQDEOHDWWRUQH\V¶IHHVH[SHQGHG

LQSURVHFXWLQJWKLVDFWLRQDQGIRUDOOFRVWVLQFXUUHGLQSURVHFXWLQJWKLVDFWLRQIRUDWWRUQH\V¶IHHV

based upon the provisions of the Trust Agreement requirLQJSD\PHQWRIDWWRUQH\V¶IHHVE\

contributing employers in collection actions, and under ERISA § 502(g), 29 U.S.C. § 132(g).

7. Each instance of the failure or refusal of Diamond Oaks to make timely contribution 

reports together with full payment, as mentioned above, constitutes a violation of ERISA § 515, 29 

U.S.C. § 1145. The Trust Funds are entitled to injunctive relief, to enforce the terms of the Trust 

Agreements and the terms of ERISA requiring timely payment of benefit contributions by 

employers signatory to collective bargaining agreements requiring the contributions to be paid. 

Defendant should be enjoined from its failure and refusal to immediately submit to the Trust Funds 

accurate reports of hours of covered work performed by its employees, together with payment of 

all of the amounts of contributions due based upon the rates applicable under the Master 

Agreement, as well as any interest and liquidated damages due and owing.

8. Under the factors in Eitel v. McCool (1986) 782 F.2d 1470, 1471-72, which may be 

considered by courts in exercising discretion as to the entry of default judgment, the Court 

Case 4:04-cv-05356-SBA Document 47 Filed 08/25/2005 Page 5 of 9 Case 4:04-cv-05356-SBA Document 51 Filed 09/26/05 Page 5 of 9
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(PROPOSED) FINDINGS OF FACT AND CONCLUSIONS OF LAW

Case No. C 04 5356 SBA

WEINBERG, ROGER & 

ROSENFELD

1001 Marina Village Parkway, 

Suite 200

Alameda, CA 94501

(510) 337-1001

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concludes the following:

a. Failure to grant default judgment in favor of Plaintiffs will substantially 

prejudice Plaintiffs, as Diamond Oaks has not appeared or otherwise responded 

to any of the filings in this matter thereby making it impossible to hold a hearing 

on the merits of the case. Failure to grant default judgment in favor of Plaintiffs 

will result in the accumulation of additional attorneys fees and costs to Plaintiffs 

with little likelihood of providing additional evidence on the matter before the 

Court.

b. Plaintiffs have provided sufficient evidence to sustain a finding in their favor. 

Specifically, Plaintiffs have presented testimony and documentary evidence 

showing the amounts owed to Plaintiffs by Defendant. Plaintiffs followed the 

grievance procedures established in the Master Agreement by filing a grievance 

against Diamond Oaks. This grievance was arbitrated on June 8, 2004 before 

Arbitrator Gerald R. McKay. At the hearing, the Union presented evidence and 

testimony regarding the delinquencies of Defendant Diamond Oaks. On June 9, 

2004 the Arbitrator issued a Decision and Award, awarding Plaintiffs 

$37,309.71 in fringe benefit contributions, liquidated damages and interest, 

$300.00 for the cost of the proceedings, and ordered Diamond Oaks to submit to 

an audit of its books and records. Moreover, Plaintiffs have provided the Court 

ZLWKDFRS\RIWKHSURPLVVRU\QRWHLQZKLFK'LDPRQG2DNV¶3UHVLdent and 

registered agent admits liability to the Trust Funds for reporting shortages. 

c. 3ODLQWLIIV¶&RPSODLQWVXIILFLHQWO\SOHDGVODZDQGIDFWVVXFKDVZRXOGVXSSRUWD

finding in their favor. 

d. In their Complaint, Plaintiffs request that the Court confirm the June 9, 2004 

Decision and Award, awarding Plaintiffs $37,609.71 in fringe benefit 

contributions, liquidated damages and interest. This amount is not so excessive 

as to require the Court to hold Plaintiffs to a heightened standard of proof in 

their Motion for Default Judgment. Plaintiffs have provided the court with the 

testimony of Michael Plommer, as well as the June 9, 2004 Decision and Award 

of arbitrator Gerald R. McKay. These filings provide a sufficient basis to allow 

the Court to find in favor of Plaintiffs.

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(PROPOSED) FINDINGS OF FACT AND CONCLUSIONS OF LAW

Case No. C 04 5356 SBA

WEINBERG, ROGER & 

ROSENFELD

1001 Marina Village Parkway, 

Suite 200

Alameda, CA 94501

(510) 337-1001

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e. There is little or no possibility of a dispute concerning material facts. Diamond 

Oaks has not appeared or otherwise responded to any of Plaintiffs filings and/or 

prior requests for compliance with the arbitration award. Diamond Oaks has

already admitted liability in the amount of $26,735.76 on the reporting shortages 

during the periods of November 2001 through March 2003 by signing the May 

5, 2003 promissory note and making partial payments on the Note. As to the 

remaining $10,573.95 in reporting shortages and liquidated damages for the 

months of August 2003 through December 2003, as well as liquidated damages 

owed on those shortages, this amount is based on Diamond Oaks monthly 

reports to the Trust Funds based on hours worked by its employees. If any 

dispute does arise between the parties it is likely to be over amounts found to be 

due and owing under the audit to be performed by Plaintiffs. Since the Court 

will maintain jurisdiction over this matter until such time, this potential dispute 

is not relevant for purposes of the Motion for Default Judgment before the 

Court.

f. The Court finds that default on the part of Diamond Oaks is not due to 

excusable neglect on its part. Despite being served with the Complaint and all 

other documents in this matter, Diamond Oaks has chosen not to appear. 

g. Despite the strong policy underlying the F.R.C.P. favoring decisions on the 

merits, the Court finds that Plaintiffs have sufficiently proven damages in the 

amount of $37,609.71. Moreover, the lack of a dispute as to any material facts 

LQWKLVPDWWHUDQG'LDPRQG2DNV¶IDLOXUHWRDSSHDULQWKLVPDWWHUIXUWKHU

supports a finding in favor of Plaintiffs. 

9. The Trust Funds are entitled to interest on all monetary awards from this Court.

/ / /

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/ / /

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(PROPOSED) FINDINGS OF FACT AND CONCLUSIONS OF LAW

Case No. C 04 5356 SBA

WEINBERG, ROGER & 

ROSENFELD

1001 Marina Village Parkway, 

Suite 200

Alameda, CA 94501

(510) 337-1001

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10. Default was properly entered in this matter, as Diamond Oaks failed to appear or 

otherwise respond to the Complaint which was served on them on March 3, 2005, and for which 

proof of service was filed before this Court with the Summons on April 5, 2005.

Dated: August 25, 2005

WEINBERG, ROGER & ROSENFELD

A Professional Corporation

By: /s/ CONCEPCIÓN E. LOZANO-BATISTA

Attorneys for Plaintiffs

108119/394581

Case 4:04-cv-05356-SBA Document 47 Filed 08/25/2005 Page 8 of 9

 Good cause appearing, the Court hereby recommends that judgment be 

entered in Plaintiffs' favor in the amount of $37,609.71, and that Defendant submit to 

an audit by Plaintiffs under the conditions expressed in the Trust Agreement.. The 

Court further recommends that Plaintiffs be awarded $3,850.00 in attorneys' fees. 

Further, Plaintiffs are entitled to costs pursuant to Rule 54 of the Federal Rules of Civil 

Procedure, and should be directed to file a Bill of Costs in compliance with the Local 

Rules of this Court. However, the Court recommends that the District Court deny 

Plaintiffs' request for an injunction. "[T]he bases of injunctive relief are irreparable 

injury and inadequacy of legal remedies." Amoco Prod. Co. v. Village of Gambell, 480

U.S. 541, 542 (1986); see also Midgett v. Tri-County Metropolitan Transp. Dist. of 

Oregon, 254 F.3d 846, 850 (9th Cir.2001) ("In order to be entitled to injunctive relief 

plaintiff must make a showing that he faces a real or immediate threat of substantial or 

irreparable injury."). Plaintiffs have not demonstrated that it faces a threat of 

substantial or irreparable injury nor has it established that its legal remedies are 

inadequate. In light of the judgment for unpaid contributions and attorneys' fees and 

costs, there is no need for an affirmative injunction.

 Any party may serve and file specific written objections to this recommendation 

within ten (10) business days after being served with a copy. 28 U.S.C. § 636(b)(1); 

Fed.R.Civ.P. 72(b); Civil Local Rule 72-3. Failure to file objections within the specified

time may waive the right to appeal the District Court's order. 

IT IS SO RECOMMENDED.

Dated: September 26, 2005

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

Judge Maria-Elena James

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(PROPOSED) FINDINGS OF FACT AND CONCLUSIONS OF LAW

Case No. C 04 5356 SBA

WEINBERG, ROGER & 

ROSENFELD

1001 Marina Village Parkway, 

Suite 200

Alameda, CA 94501

(510) 337-1001

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PROOF OF SERVICE

I am a citizen of the United States, and a resident of the State of California. I am over the 

age of eighteen years, and not a party to the within action. My business address is 1001 Marina 

Village Parkway, Alameda, California 94501-1091. On August 25, 2005, I served upon the 

following parties in this action:

James S. Pelletier

463 Summit Road

Walnut Creek, CA 94598

copies of the document(s) described as:

(PROPOSED) FINDINGS OF FACT AND CONCLUSIONS OF LAW

[X] BY MAIL I placed a true copy of each document listed herein in a sealed envelope, 

addressed as indicated herein, and caused each such envelope, with postage thereon fully 

prepaid, to be placed in the United States mail at Alameda, California. I am readily familiar 

with the practice of Weinberg, Roger & Rosenfeld for collection and processing of 

correspondence for mailing, said practice being that in the ordinary course of business, mail 

is deposited in the United States Postal Service the same day as it is placed for collection.

[ ] BY PERSONAL SERVICE I placed a true copy of each document listed herein in a 

sealed envelope, addressed as indicated herein, and caused the same to be delivered by 

hand to the offices of each addressee.

[ ] BY OVERNIGHT DELIVERY SERVICE I placed a true copy of each document listed 

herein in a sealed envelope, addressed as indicated herein, and placed the same for 

collection by Overnight Delivery Service by following the ordinary business practices of 

Weinberg, Roger & Rosenfeld, Alameda, California. I am readily familiar with the practice 

of Weinberg, Roger & Rosenfeld for collection and processing of Overnight Delivery 

Service correspondence, said practice being that in the ordinary course of business, 

Overnight Delivery Service correspondence is deposited at the Overnight Delivery Service 

offices for next day delivery the same day as Overnight Delivery Service correspondence is 

placed for collection.

[ ] BY FACSIMILE I caused to be transmitted each document listed herein via the fax 

number(s) listed above or on the attached service list.

I certify that the above is true and correct. Executed at Alameda, California, on August 25, 

2005.

/s/________________________________

Linda Dobbins

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