DeclarationCal. Super. - 6th Dist.November 30, 2018hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 180V338652 Santa Clara - Civil WORKMAN LAW FIRM, PC Robin G. Workman (Bar #145810) robin@workmanlawpc.com Rachel E. Davey (Bar #3 16096) rachel@workmanlawpc.com 177 Post Street, Suite 800 San Francisco, CA 94108 Telephone: (415) 782-3660 Facsimile: (415) 788-1028 Attorneysfor Plaintifif Alfred Lax 0n behalfofhimselfand all others similarly situated Electronically Filed by Superior Court of CA, County of Santa Clara, on 10/23/2020 4:39 PM Reviewed By: R. Walker Case #1 8CV338652 Envelope: 5171510 SUPERIOR COURT OF CALIFORNIA COUNTY OF SANTA CLARA ALFRED LAX, 0n behalf of himself and all others similarly situated, Plaintiff, VS. ROTO-ROOTER SERVICES COMPANY, and Does 1 through 50, inclusive, Defendants. DECL OF ROBIN G. WORKMAN -1- No. 18CV33 8652 ASSIGNED FOR ALL PURPOSES TO THE HON. BRIAN C. WALSH, DEPT. 1 DECLARATION OF ROBIN G. WORKMAN IN SUPPORT OF PLAINTIFF’S MOTION FOR PRELIMINARY APPROVAL OF CLASS ACTION SETTLEMENT DATE: November 19, 2020 TIME: 1:30 pm DEPT: 1 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Exhibit A: Exhibit B: Exhibit C: Exhibit D: Exhibit E: Exhibit F: Exhibit G: Exhibit H: Exhibit I: Exhibit J: INDEX OF EXHIBITS Complaint Settlement Agreement Class Notice Depo Notice Request for Admissions Form Interrogatories Inspection Demands dated 3/1 8/19 Inspection Demands dated 2/24/20 Special Interrogatories dated 2/24/20 Special Interrogatories dated 3/ 1 8/ 1 9 DECL OF ROBIN G. WORKMAN -2- 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 I, Robin G. Workman, declare as follows: 1. I am an attorney at law, duly licensed t0 practice before all the courts 0f the State 0f California, and am principal owner 0f the Workman Law Firm, PC, attorneys 0f record herein for Plaintiff Alfred Lax. The following is based 0n my personal knowledge, and if called upon t0 d0 so, I could and would competently testify thereto. 2. Plaintiff filed his original Complaint in this matter 0n November 30, 2018, on behalf of himself and all others similarly situated, asserting various wage and hour claims, including (1) failure t0 timely pay technicians all wages owed, including at termination, in Violation 0f California Labor Code section 201-204; (2) unlawfully taking deductions from commissions earned by technicians, in Violation 0f California Labor Code section 221; (3) failing t0 maintain and provide accurate wage statements t0 employees as required by California Labor Code sections 226 and 1174; (4) failing to separately compensate technicians for rest periods, or provide rest periods and to pay compensation for work Without rest periods to its California technicians, in Violation of California Labor Code sections 226.7; (5) failing t0 pay regular and overtime wages for all hours worked, including the failure t0 pay for all non-productive time, as required by California Labor Code section 510 and 1194; (7) failing to provide a signed contract setting forth the contemplated method ofpayment 0f the commissions, or obtaining a signed receipt for same, in Violation 0f California Labor Code section 275 1; and, (8) failing t0 reimburse Plaintiff, and those similarly situated technicians, for expenses incurred t0 do their job, including the purchase of tools and equipment in Violation of California Labor Code section 2802 and applicable Industrial Welfare Commission Orders. Said conduct, in addition t0 the forgoing, violated each Labor Code section as set forth in California Labor Code section 2699.5. Attached hereto as Exhibit A is a true and correct copy of Plaintiff’ s Complaint. 3. My office conducted significant investigation 0f the facts and law both before and after the Action was filed and prior t0 mediation. This included interviews With class members and potential Witnesses. My office also served discovery on Defendant. This discovery included inspection demands, special interrogatories, form interrogatories, and request for admissions. The discovery requests are attached hereto as Exhibits D-J. DECL OF ROBIN G. WORKMAN -3- 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 4. My office also engaged in informal discovery with Defendant Roto-Rooter Services Company. My office’s discovery and investigation included, but was not limited to, review and analysis of the Defendant’s policies and procedures, time and payroll records, and review and analysis 0f employment records. Counsel for the Parties investigated the applicable law as applied to the facts discovered regarding Mr. LaX’s Claims, the defenses thereto, and the damages and penalties claimed by Mr. Lax in the Action. The Parties exchanged extensive data and information regarding the Class claims prior t0 the two mediation sessions and in negotiating the settlement of this matter, including data relevant t0 damages and the Parties’ legal theories and defenses. Plaintiff also retained an expert, Berger Consulting Group (“Berger”), t0 analyze the data and calculate the potential exposure for the alleged claims. This exchange of information allowed the parties t0 assess the merits and value 0f Plaintiffs claims and defenses thereto, if a settlement was not reached. After conducting an analysis of the materials Defendant produced, I also drew 0n my experience in similar cases t0 assess the strengths and weaknesses of Plaintiff” s claims. 5. As stated, the GSF is $2,598,000.00. The average rate ofpay for the putative class members ranged during the pertinent time period, from $23.43 per hour to $28.43 per hour. Based 0n the data provided by Defendant, I asked Berger t0 analyze the value 0f the various claims. The following is a breakdown of the analysis: A. Non-Productive Time Claim: Given Defendant required technicians t0 keep track 0f all their hours worked, Defendant had time records for all time worked, including that time for Which Mr. Lax alleged Defendant did not separately pay the technicians. As a result, based on the data Defendant provided, Berger could determine, precisely, the time for Which Mr. Lax alleges technicians should have been separately compensated. Berger calculated this loss based 0n the average hourly rates each year. The maximum value 0f this claim t0 be: $1,073,896. B. Failure T0 Separately Compensate For Rest Breaks: Because Defendant provided data showing the technicians’ work periods, Berger was able to determine the value 0f the rest periods, at the minimum wage, if Defendant had separately DECL OF ROBIN G. WORKMAN -4- 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 compensated technicians for rest periods. The maximum value of this claim t0 be: $119,649. C. Failure t0 Provide Rest Breaks Because Defendant provided data showing the technicians’ work periods, Berger was able t0 determine the value of the rest period claim based 0n Mr. LaX’s claim that Defendant did not provide rest periods, and technicians had t0 work through rest periods. Assuming a daily Violation, the value 0f this claim to be: $1,078,103. D. Failure to Provide Reimbursement for Tools/Equipment Through investigation and discovery, it was discovered that Defendant provided most 0f the tools and equipment needed to perform the job. For purposes 0f settlement, however, we valued this claim at $1,000 per technician, for a total 0f: $135,000. E. Wage Statement Claim Using the maximum amounts available under Labor Code section 226, and based 0n the data Defendant provided, Berger determined the maximum value of this claim t0 be: $208,000. F. PAGA Penalties Assuming a PAGA Violation every pay period, based 0n the data Defendant provided, Berger determined the value 0f the PAGA claim to be: $572,000. G. Improper Deductions Claim Through discovery, we learned that Defendant did not make improper deductions. As such, we gave this claim no value. H. Waiting Time Penalties Based 0n the data provided, Berger determined the value of this claim to be: $448,972. I. Claim Under 2751 For Failure t0 Provide Commission Plan Because this claim does not give rise to damages, but rather is a predicate for PAGA penalties, the penalties arising from this claim are included in the analysis for the PAGA penalties. Based 0n Berger’s analysis, the maximum potential damages arising from the claims presented, is $3,635,620. The $2,598,000 settlement is 71% 0f the total value maximum value 0f the claims presented. Each class member will receive, on average, approximately $20,000. DECL OF ROBIN G. WORKMAN -5- 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 6. On November 5, 2019, the Parties attended and participated in good faith, arms’ length, all-day mediation before Mediator David A. Rotman (“Mediator”) in an attempt to resolve the claims alleged in the complaint. The Parties were not able to reach an agreement at this mediation. The Parties continued settlement efforts and participated in a second mediation 0n May 27, 2020. Although the Parties still were not able t0 reach an agreement at the second mediation, the Parties continued to negotiate informally and eventually reached a settlement and memorialized the terms of that settlement in a formal settlement agreement (the “Settlement”). The Parties believe and agree that this Settlement is a fair, adequate, and reasonable resolution 0f this matter and arrived at this Settlement in arms-length negotiations, taking into account all relevant factors, present and potential, each side recognizing the risks 0f an adverse result should litigation continue. The mediations, and subsequent negotiations regarding the terms of the formal settlement documents, while professional, were adversarial. It was only through the efforts 0f Mediator Rotman that the parties were able t0 reach a settlement. 7. The terms 0f the Settlement do not provide a basis to doubt its fairness. Those Who will receive benefits under the Settlement, i.e., the Settlement Class, are all current and former non-exempt technicians employed by Defendant in its Menlo Park and Bristol locations, which total 135 technicians, 99 technicians at the Menlo Park location and 36 at the Bristol location at any time from November 30, 2014, through the date of Preliminary Approval 0f the class action settlement and Who d0 not exclude themselves from the Settlement. Members 0f the Class are referred t0 herein as “Class Members” or “Settlement Class Members.” 8. The Individual Settlement Payments are based 0n each Settlement Class Member’s “Qualifying Workweeks.” The Settlement Administrator, Rust Consulting, Inc., Will allocate the Individual Settlement Payments t0 the Class Members. The Individual Settlement Payment is calculated by dividing the number of Qualifying Workweeks worked by the Settlement Class Member by the aggregate number of Qualifying Workweeks for the entire Class, and multiplying the resulting percentage by the value of the Net Settlement Fund. Each Class Member’s Qualifying Workweeks Will be determined by reference t0 the Defendant’s records. In my opinion, the weighting 0f individual settlements based on workweeks is fair and DECL OF ROBIN G. WORKMAN -6- 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 reasonable, as this gives the participating Class Members Who worked more weeks a greater percentage of the Settlement. A true and correct copy 0f the Joint Stipulation 0f Settlement and Release 0f Claims is attached hereto as Exhibit B. 9. The Settlement Agreement provides for mailed notice to putative class members. The proposed class notice provides an accurate, objective, and understandable explanation 0f the terms of Settlement and the methods by which class members may file obj ections to or request exclusion from the Settlement. Class members have 45 days, a reasonable amount of time, t0 determine whether t0 obj ect t0 0r opt out of the Settlement. This Settlement is not a claims-made settlement. Rather, those who do not opt out 0f the Settlement d0 not need t0 take any action t0 receive benefits from the Settlement. If the putative Class members d0 not opt-out of the Settlement, they will receive a check. The putative class members’ release in the Settlement Agreement pertains solely to the claims alleged in this action. A true and correct copy of the proposed Class notice is attached hereto as Exhibit C. 10. The Settlement Agreement (fl Exhibit B hereto) provides the following salient terms: a) Defendant shall pay Two Million Five Hundred Ninety-Eight Thousand Dollars ($2,598,000.00) t0 create a Gross Settlement Fund (“GSF”); b) The “Settlement Class Members” consist of all current and former non- exempt technicians employed by Defendant at any time during the Class Period in its Menlo Park and Bristol locations, which total 135 technicians, 99 technicians at the Menlo Park location and 36 at the Bristol location. Members 0f the Class are referred t0 herein as “Class Member” or “Class Members.” c) The Net Settlement Fund (“NSF”) for distribution t0 Settlement Class Members is estimated t0 be approximately $1,663,000 (GSF of $2,598,000 minus attorneys’ fees ($825,000); litigation costs (not t0 exceed $25,000); class representative enhancement ($20,000); LWDA payment ($50,000) and administration costs ($15,000)); d) Any checks issued to Settlement Class Members shall remain valid and negotiable for 90 days. Settlement Class Members who failed to cash their checks within the timelines provided shall nevertheless remain members 0f the Settlement Class and shall be bound by all the terms 0f this Agreement and the Court’s Final Approval Order and Judgment. The Claims Administrator shall perform a second distribution of funds on a pro rata basis t0 those Class Members Who cashed their individual settlement checks if the amount of the funds remaining due t0 uncashed checks is at least $4,500.00. Consistent with California Code 0f Civil Procedure section 384, the funds associated With any void, uncashed DECL OF ROBIN G. WORKMAN -7- 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 checks after a second distribution, or if the funds remaining from the initial distribution are less than $4,500.00, shall be paid 0n a cy pres basis t0 Legal Aid at Work, or such other charitable organization as approved by the Court. Upon completion of administration of the Settlement, the Claims Administrator shall provide written confirmation 0f such completion t0 the Court, Class Counsel and Defendant’s Counsel; e) Rust Consulting, Inc. shall be the Settlement Administrator; and, 11. The Workman Law Firm, PC is well qualified to act as class counsel in this case. I graduated from Texas Tech School ofLaw in 1989, after which I clerked for the Honorable Jack Hightower of the Texas Supreme Court. Ithen worked as an associate for the international law firms 0f Sonnenschein Nath & Rosenthal (currently SNR Denton) and Russin & Vecchi. I started my predecessor firm, Qualls & Workman, LLP, in 1996, and my current firm, Workman Law Firm, PC, in 2014. I am admitted to practice before the following Courts: United States Court 0f Appeal, Ninth Circuit; United States District Court for the Northern, Central, Southern, and Eastern Districts of California; all California State Courts; and the United States Supreme Court. I have an AV rating With Martindale Hubbell. 12. At both firms, my practice has specialized in prosecuting wage and hour class action litigation. Rachel Davey, Who also works on this case, graduated from the University 0f San Francisco School 0fLaw in 2016 and was admitted to the California Bar in 2017. At my firm, Ms. Davey’s focus has been 0n the prosecution 0fwage and hour class action litigation and other employment litigation. 13. I routinely represent clients With respect t0 issues involving California employment law before both the California Courts of Appeal and the Ninth Circuit. My firms have represented many employees 0n appeal, resulting in numerous favorable appellate court decisions that are important in wage and hour class action law. These decisions include: a) Oliver V. Konica Minolta Bus. Sols. U.S.A., Inc., 51 Cal. App. 5th 1 (2020)(addressing the compensability 0f drive time by employees); b) Alcantar V. Hobart, 800 F.3d 1047 (9th Cir. 2015) (addressing standards for both summary judgment and also class certification in federal court); c) Reyes V. Macy’s, Inc., 202 Cal. App. 4th 1119 (201 1) (determining that an order granting a motion t0 compel arbitration of individual claims, While DECL OF ROBIN G. WORKMAN -8- 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 staying class claims, is not an appealable order); d) Kullar V. Foot Locker Retail, Inc., 168 Cal. App. 4th 116 (2008) (articulating the standards courts must consider when determining if a class action settlement is fair, adequate, and reasonable); e) Kullar V. Foot Locker Retail, Inc., 191 Cal. App. 4th 1201 (201 1) (addressing questions of conflicts 0f interest and disqualification in the context of objectors t0 class action settlements); and, f) Bufil V. Dollar Financial Group, Inc., 162 Cal. App. 4th 1193 (2008) (addressing concepts 0f collateral estoppel in the context 0f class actions). 14. In May of 2014, I tried a wage and hour class action t0 decision in York Claims Service Wage and Hour Cases, Sacramento County Superior Court Judicial Council Coordination Proceeding No. 4560 (order filed May 27, 2015), obtaining an eight-figure judgment. 15. It is because 0fmy experience that between 2005 and 2014, numerous courts appointed Qualls &W0rkman, LLP, With either Mr. Qualls, Who also practiced in this area for decades, 0r me as lead counsel, t0 act as class counsel in class action employment cases, including: Walsh V. IKON Office Solutions, Inc., San Francisco County Superior Court, Case N0. CGC 04 429428 (order filed April 21, 2006); Dell’Orfano V. IKON Office Solutions, Inc., United States District Court, Middle District Of Georgia, Case N0. 5:05-CV-00245 (order filed February 21, 2007); Lopez V. Market Wire, Inc., San Francisco County Superior Court, Case N0. CGC-06-457732 (order filed August 15, 2007); Byrd V. Autotrader Publishing, et a1., San Francisco County Superior Court, Case No. CGC 07-463062 (order filed March 21, 2008); Righetti V. Inside Track, Inc., San Francisco County Superior Court, Case N0. CGC-06-456053 (order filed April 11, 2008); Dellmore V. Tovs “R” Us, et a1., Alameda County Superior Court, Case N0. RG07306616 (order filed May 30, 2008); Dudash V. Vamell Struck, et a1., United States District Court, Central District of California, Case N0. C-04-02748 MHP, (order filed June 27, 2008); Gamica V. Wells Fargo Bank, NA, et a1., Santa Barbara County Superior Court, Case N0. D1264187 (order filed August 20, 2008); Louie V. Kaiser Permanente, et a1., United DECL OF ROBIN G. WORKMAN -9- 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 States District Court, Southern District 0f California, Case No. 08CV0795 (order filed February 2, 2009); Ralston V. US-Reports, Inc., Alameda County Superior Court, Case N0. RG07328773 (order filed May 22, 2009); Wright V. Centerplate, Inc., Alameda County Superior Court, Case N0. RG07356589 (order filed June 26, 2009); Tate V. Kaiser, Alameda County Superior Court, Case N0. RG073 1 8416 (order filed November 24, 2009); Maciel V. Vance Uniformed Protective Services, Inc., Garda Security, Inc., United States District Court, Northern District 0f California, Case N0. 3:09-CV-01498 (order filed December 18, 2009); Mike V. Kaiser Permanente, United States District Court, Northern District of California, Case N0. C 08-5374 PJH (order filed December 23, 2009); Wolfe, et a1. V. California Check Cashing Stores, Inc, et al., San Francisco County Superior Court, Case N0. CGC-08-479518 (order filed February 19, 2010); Bufil V. Dollar Financial Group, Inc., San Francisco County Superior Court, Case N0. CGC-06-456053 (order filed March 11, 2010); Garnica, et a1. V. Verizon Wireless Telecom, Inc., et a1., San Francisco County Superior Court, Case No. CGC-08-476827 (order filed March 19, 2010); Mann V. NEC Electronics America, Inc., Santa Clara County Superior Court, Case N0. 1-09-CV- 132089 (order filed April 28, 2010); Hendren V. USA Checks Cashed, et a1., Los Angeles County Superior Court, Case No. BC 413393 (order filed May 25, 2010); Rivera V. Riverstone Resid. Group, et a1., Alameda County Superior Court, Case N0. RG08402872 (order filed July 6, 2010); Gonzales V. Lime Energy, San Francisco County Superior Court, Case N0. CGC-09-484745 (order filed December 17, 2010); Green V. Greyhound Lines, Inc., San Francisco County Superior Court, Case No. CGC-O9-484924 (order filed March 11, 201 1); Manulevu, et a1. V. Professional Security Consultants, Los Angeles County Superior Court, Case N0. BC409603 (order filed May 16, 2012); Amezquita V. Classic Beverage and Distributing Group, Inc., Los Angeles County Superior Court, Case N0. BC412216 (order filed May 17, 2012); Young V. World Courier Ground, Inc., Alameda County Superior Court, Case No. RG1 1603420 (order filed August 2, 2012); Nolan V. Kayo Oil, San Francisco County Superior Court, Case N0. CGC- 10-497445 (order filed April 12, 2013); Hall V. O.C. Jones & Sons, Inc., San Francisco County Superior Court, Case No. CGC-12-523668 (order filed May 10, 2013); McCormack V. WinCo Holdings, Inc., Riverside County Superior Court, Case N0. RIC 12005 16 (order filed July 5, DECL OF ROBIN G. WORKMAN -10- 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 2013); Cooper, et a1. V. Eastwestproto, Inc., et a1., Orange County Superior Court, Case No. 30- 2012-00552236-CU-OE-CXC (order filed August 26, 2013); Bunton V. Sephora, San Francisco County Superior Court, Case No. CGC-10-497025 (order filed August 30, 2013); Morris V. Liguidagents, Alameda County Superior Court, Case N0. RG12638618 (order filed August 30, 2013); Martin V. Kasel Enterprises, et a1., Riverside County Superior Court, Case N0. RIC1210121 (order filed October 28, 2013); Vega V. Sensient Dehydrated Flavors, LLC, Stanislaus County Superior Court, Case No. 684568 (order filed March 18, 2014); Nguyen V. JAG Footwear, et a1., Alameda County Superior Court, Case No. RG12649759 (order filed June 19, 2014); LaBoV V. Bare Escentuals, Inc., et a1, Alameda County Superior Court, Case N0. RG12638047 (order filed December 11, 2014). 16. Since I opened Workman Law PC in 2014, courts have continued to appoint my firm as class counsel. E Bennett V. Pride Bakeries, LLC, Orange County Superior Court, Case N0. 30-2012-00595050-CU-OE-CXC (order filed April 22, 2014); Ambrus V. ACE Security, Riverside County Superior Court, Case N0. RIC1303852 (order filed November 14, 2014); Stokes V. CSE Holdings, Inc., et a1., San Francisco Superior Court, Case No. CGC-13-530640 (order filed 0n December 15, 2014); Otts V. C.O.M.P.A.S.S., Alameda County Superior Court, Case No. RG1 1591441 (order filed January 9, 2015); Allen V. UtiliQuest, San Francisco County Superior Court, Case No. CGC-12-525644 (order filed February 16, 2015); Stokes V. Interline, San Francisco County Superior Court, Case No. CGC-12-523274 (order filed April 6, 2015); Battle V. Charming Charlie, San Diego Superior Court, Case N0. 37-2014-00005608 (order filed September 25, 2015); Oliver V. Konica Minolta, Santa Clara Superior Court, Case N0. 114CV263 1 83 (order filed October 8, 2015); Kissinger V. Foot Locker, San Francisco County Superior Court Case No. CGC-O9-487345 (order filed March 24, 2016); Fredrick V. ACE, Riverside Superior Court Case N0. RIC1505009 (order filed June 17, 2016); Alcantar V. Hobart Service et a1., USDC Central District 0f California, EDCV 11-1600 PSG (SPX) (order filed June 22, 2016); Garnett V. ADT, USDC Eastern District of California Case N0. 2: 14-CV-285 1 WBS (order filed June 28, 2016); Stilwell, et a1. V. First Alarm, Santa Clara County Superior Court Case N0. 2015-CV-281763 (order filed December 9, 2016); Murphy V. Care 1st Health Plan, DECL OF ROBIN G. WORKMAN -1 1- 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Alameda County Superior Court Case No. RG15784123 (order filed January 13, 2017); Robinson, et a1. V. Energy Remodeling, Inc., et a1., Santa Clara County Superior Court Case N0. 115CV287674 (order filed March 24, 2017); Schuett V. ALLDATA, LLC, Alameda County Superior Court Case N0. RG15765228 (order filed April 7, 2017); Young V. World Courier Ground, Inc., et al., Alameda County Court Case Number RG1683 141 (Order filed May 26, 2017); McCormack V. WinCo Holdings, Inc., Riverside Superior Court Case N0. RIC 1200516 (Order filed August 21, 2017); Rvpka V. Volume Snacks, Inc., et a1., Sacramento County Superior Court Case No. 34-2015-00184135 (Order filed December 5, 2017); Fortson V. Care Options Management Plans and Supportive Services, Alameda County Superior Court, Case N0. RG168 1 83 19 (Order Filed Sept. 25, 2018); Williams, et a1. V. ETC Institute, et a1., San Francisco County Superior Court, Case No. CGC-17-563308 (Order filed February 19, 2019); Davis et a1. V. WeDriveU, Inc., Santa Clara County Superior Court, Case N0. 18CV322578 (Order filed August 9, 2019); Cortez, et a1. V. United Natural Foods, Inc., et al., USDC Northern District Case N0. 5:18-CV-04603-BLF (order filed Oct. 4, 2019); Wade V. Automobile Club of Southern California et a1., Orange County Superior Court Case N0. 30-2017-00960268-CU-OE-CXC (order filed February 7, 2020); Mostaio, et a1. V. Nationwide Ins. C0., Eastern District of California, Case N0. 2: 17-CV-00350 JAM-AC (Order filed February 26, 2020); Villareal V. Mission Trail Santa Clara Superior Court Case N0. 18CV338479 (order filed July 10, 2020); and Doyle V. Good Eggs, Inc., et a1., San Francisco Superior Court Case No. CGC-18-569499 (order filed August 3 1 , 2020). 17. Because 0fmy experience, I frequently am invited t0 speak on class action and wage-and-hour employment issues. Recently, I spoke at seminars offered by the Practicing Law Institute and Bridgeport Legal Education on the issue of misclassification of employees as independent contractors. I also was on the panel for the Complex Civil Litigation Symposium for Northern California. I routinely speak t0 law students 0n employment law issues at both Hastings Law School and University 0f San Francisco Law School. I have been selected for the Northern California Super Lawyers list from 2013-2020, and named one 0f the Top Women Attorneys for Employment Litigation in Northern California, an honor reserved for those lawyers DECL OF ROBIN G. WORKMAN -12- 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 who exhibit excellence in practice. Only 5% of attorneys in Northern California receive this distinction. 18. The settlement herein is reasonable, particularly since Defendant denies all of the claims and allegations in the Complaint, denies that it has engaged in any illegal conduct whatsoever, and contends that (i) its policies and practices fully comply With all applicable laws; and (ii) Plaintiff and other Class Members have been fully compensated for all hours worked, have been provided accurate wage statements, have been provided and compensated for all rest periods t0 Which they are entitled, and were properly reimbursed for all expenses incurred. Defendant contends, among other things, that it has complied at all times With the California Labor Code, the California Business and Professions Code, and all other laws, statutes, orders 0r regulations alleged in the Complaint. 19. To put this amount in perspective, in the High-Tech Employee Antitrust Litigation, 2015 U.S. Dist. LEXIS 118051, *23 (ND. Cal. Sept. 2, 2015), a case brought by employees alleging that their employers conspired t0 depress their wages, which resulted in a $415,000,000 settlement, the class members received, 0n average, just $5,770 each. A settlement that provides class members with amounts much higher than the amount received by class members in one 0f the largest class action settlements to recover wages for employees militates in favor 0f a finding of reasonableness. Further, Defendant is adamant that it complied with all California Labor Code provisions, and also challenges all class certification elements. 20. The Settlement provides for payment to the putative class members now, rather than a speculative payment years from now. If the litigation continued, and if the Plaintiff was able to obtain class certification, and the class prevailed, payment would occur at some time in the future, as Defendant would n0 doubt appeal any adverse judgment. The Court 0f Appeal could disagree With a certification decision, or any part of a potential judgment. If the Court of Appeal accepted any 0f Defendant’s arguments of error and overturned any part 0f the judgment, it could remand the matter t0 the trial court for further proceedings that, again, could last indefinitely, including yet another appeal. This delay, and the risks inherent in continued litigation and the appellate process, led Plaintiff and myself t0 conclude that reaching this DECL OF ROBIN G. WORKMAN -13- 3286\PRELIMAPPDECLRGW hUJN KOOONOUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 resolution is the best course 0f action. 21. Plaintiff was a current employee 0f Defendant at the time he brought this lawsuit. The requested service award in the Settlement is reasonable in light of the reputational risk that Plaintiff assumed in bringing this action against his former employer. Plaintiff put his future employment prospects at risk by becoming a class representative as the fact that he filed a lawsuit “is searchable on the internet and may become known to prospective employers When evaluating” them for employment. Guippone V. BH S&B Holdings, LLC, 2011 U.S., Dist. LEXIS 126026, *20 (S.D.N.Y. Oct. 28, 201 1). Employers routinely screen employee candidates to determine whether they ever filed a suit against other employers, allowing them to screen out the litigious candidates. An entire industry exists that allows employers t0 run extensive background searches on potential employees. Companies Who provide these services highlight the fact that their services allow employers to weed out litigious employment candidates. One such company, Reliable Plant, outlines ways that employers can “get a sense 0f whether a prospective employee is likely to sue” the employer, through background checks and other means, t0 screen out these employees. See, www.reliableplant.com/Read/6959/a-soluti0n- to-fear-of-hiring-litigious-emplovees. Onicra Credit Rating Agency 0f India states: “Background screening has become a necessity in today’s litigious society.” Back Track Screening also represents: “In today’s litigious culture, employers simply cannot afford t0 hire employees Who will put their company at risk.” http://Www.btscreening.com/Wp- content/uploads/ZO12/09/Screening-101 .pdf. PreciseHire also offers employment screening and similarly warns: “With today’s business climate being extremely competitive and highly litigious, conducting pre employment background checks has become a necessity.” https://precisehireblog.Wordpress.com/ZO 1 3/ 1 1/2 1/pre-employment-background-checkS-have- become-a-busines-necissitv/. The risk Plaintiff took with respect to his future employability by representing the class is real. Also, Plaintiff spent significant time and effort assisting my firm 0n behalf the class prior t0 the lawsuit, throughout the litigation, and in preparation for the mediation and attending the mediation. Plaintiff provided my firm With information and documents regarding Defendant’s operating policies and procedures, and responded t0 any DECL OF ROBIN G. WORKMAN -14- 3286\PRELIMAPPDECLRGW AWN \OOOQQUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 questions that we had. Plaintiff made himself available whenever needed. Plaintiff s knowledge and experience was of great importance t0 me as I performed a factual investigation into Defendant’s employment policies and practices, prepared the case for mediation, and worked with the damages expert. After Mr. Lax filed this action, Defendant changed its practices and started separately compensating for non-productive time and started providing signed commission plans in accordance with Labor Code section 275 1. 22. To my knowledge, neither Plaintiffnor my firm have any conflicts 0f interest with any 0f the proposed Class members. Plaintiff is aware 0fhis duties as a Class representative and, as outlined above, has actively participated in the prosecution 0f this case. 23. As set forth in the declaration of Eric Bishop, the proposed administrator, Rust Consulting Inc., is experienced in class action settlement administration and is capable 0f handling the administration of this settlement. I declare under penalty of perjury under the laws 0f the State of California that the foregoing is true and correct and that this Declaration was executed 0n March 6, 2020, in San Francisco, California. Date: October 23, 2020 0, MAN AW FIRM, PC By: Robin G._Workman Attorneysfor Alfred Lax, and all others similarly situated DECL OF ROBIN G. WORKMAN -15- 3286\PRELIMAPPDECLRGW LWN KOOOQQUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 PROOF OF SERVICE I, Cheryl Porter, am employed in the City and County of San Francisco. I am over the age 0f eighteen years and not a party to the within action. My business address is Workman Law Firm, PC, 177 Post Street, Suite 800, San Francisco, California. My electronic service address is cheryl@workmanlawpc.com. Ihereby certify that 0n October 23, 2020, I served the DECLARATION OF ROBIN G. WORKMAN IN SUPPORT OF PLAINTIFF’S MOTION FOR PRELIMINARY APPROVAL OF CLASS ACTION SETTLEMENT 0n the interested parties in this action by electronic transmission Via the Odyssey eFile California program whose e-filing system will electronically serve the following attorneys of record who have consented t0 receive electronic service of documents in this matter: Attornevs for Defendants REED E. SCHAPER HIRSCHFELD KRAEMER LLP RSchaper@hkemploymentlaw.com I declare under penalty 0f perjury under the laws of the State 0f California that the foregoing is true and correct. DECL OF ROBIN G. WORKMAN -16- 3286\PRELIMAPPDECLRGW EXHIBIT A 18CV338652 E-FILED 11/30/2018 1:59 PM Clerk of Court Superior Court of CA, County of Santa Clara 18CV338652 Reviewed By: R. Walker \OOONONUI-bUJNH NNNNNNNNNHr-‘HHHr-Hu-Ar-t-A OONQKJ‘I-RUJNHOKOOOQQU‘I-bUJNF-‘O WORKMAN LAW FIRM, PC Robin G. Workman (Bar #145810) robin workmanlawpc.com Rache E. Davey (Bar #316096) rachel@workmanlawpc.com 177 Post Street, Suite 800 San Francisco, CA 94108 Telephone: (415) 782-3660 Facsimile: (41 5) 788-1028 Attorneysfor Plaintifif Alfred Lax 0n behalfofhimselfand all others similarly situated SUPERIOR COURT OF CALIFORNIA COUNTY OF SANTA CLARA ALFRED LAX, on behalf 0f himself and all others NO' Slmllarly Sltuateds CLASS ACTION COMPLAINT Plaintiffi W VS The Amount Demanded Exceeds $25,000 ROTO-ROOTER SERVICES COMPANY, and Does 1 through 50, inclusive, Defendants. COMPLAINT -1-- 3286\PLEADINGS\COMPLAINT.DOC \OOOQQUI-PUJN 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Plaintiff Alfred Lax (“Plaintiff’) by his attorneys, brings this action 0n behalf of himself, all others similarly situated, and the general public, 0n information and belief, except those allegations that pertain to the named Plaintiff and his attorneys (which are alleged on personal knowledge), hereby alleges as follows: SUMMARY OF CLAIMS 1. This class action lawsuit arises from ongoing wrongfill conduct by Defendant Roto- Rooter Services Company (“Defendant”), by its unlawful (1) failure t0 separately compensate Plaintiff and proposed class members, for rest breaks, 0r provide compensation for missed rest breaks, as required by California Labor Code sections 201-204, 226.2(a)(1), 226.7, 510, 1194, and section 12 of the applicable Wage Order; (2) failure t0 compensate Plaintiff and proposed class members for all time worked, including non-productive time, as required by California Labor Code sections 201-204, 5 10, 226.2(a)(1), and 1194; (3) taking improper deductions from wages owed, in Violation of California Labor Code section 221; (4) failure t0 reimburse Plaintiff, and those similarly situated, for expenses incurred to do their job, in Violation of California Labor Code section 2802; (5) failure to maintain accurate payroll records showing hours worked daily and all wages earned in Violation 0f California Labor Code section 1174; (6) failure to provide accurate itemized wage statements to Plaintiff and proposed class members containing inme'iation as required by California Labor Code section 226 and 226.2(a)(2); (7) failure to provide Plaintiff, and proposed class members, with the contract setting forth the contemplated method of payment 0f commissions to Plaintiff and proposed class members, in Violation of California Labor Code section 275 1; and, (8) failure to timely pay Plaintiff and proposed class members all wages when. due, in Violation of California Labor Code sections 201-204. Said conduct, in addition, constitutes Violations of California Labor Code sections 558 and 1198. The described conduct renders Defendant liable for civil penalties as set forth in California Labor Code sections 203, 210, 226(e), 226(f), 226.3, 558, 1054, 1174.5, 1194.2, 1197.1, and 1198.5(k). These failures further constitute unfair business practices, in Violation 0f California Business and Professions Code section 17200, et. seq. COMPLAINT -2- 3286\PLEADINGS\COMPLAINT.DOC \OOOQONUI#UJNt-t NNNNNNNNNt-lr-Ar-IHHHp-nr-tn-np-A OOQQU‘I-PWNP-‘OOWNONUI-bWNr-‘O JURISDICTIONAL ALLEGATIONS 2. Defendant Roto-Rooter Services Company, is and at all and at all relevant times was, a corporation doing business within the State of California, including in Santa Clara County, and is an employer under applicable Industrial Welfare Commission (“IWC”) Wage Orders. Venue is therefore proper in Santa Clara County pursuant t0 California Code 0f Civil Procedure sections 395(a) and 395.5, in that liability arose in Santa Clara County and Defendant maintains an office and transacts business in Santa Clara County, the office out 0f Which Plaintiff works. 3. This action seeks relief for unremedied Violations of California law, including, inter alia; damages, reimbursements, restitution, penalties, interest and attorneys’ fees, as appropriate, to members of the proposed class, and t0 victims of the practices at issue, who have not been provided statutory rest breaks, or separately compensated for rest breaks, even upon termination, as required by California Labor Code sections 201-204, 226.7, 226.2(a)(1), 5 10, 558, and 1194; who have not been timely paid for all hours worked, and all wages earned, including for all non- productive time, even upon termination, in violation of California Labor Code sections 201-204, 226.2(a)(1), 5 10, and 1194; who have not been furnished with accurate wage statements in violation of California Labor Code sections 226 and 226.2(a)(2); Who have not been reimbursed for expenses incurred to do their job, in Violation 0f California Labor Code section 2802; who did not receive a signed document setting forth the contemplated terms by which they would earn commissions, in violation 0f California Labor Code section 275 1; and, who have had improper deductions taken from their wages, in violation of California Labor Code section 221. The Superior Court has jurisdiction to preside over this matter because the aggregate relief sought exceeds the minimal jurisdictional limits 0f the Superior Court. Plaintiff is informed and believes that the damages, reimbursements, restitution, penalties, interest and attorneys’ fees d0 not exceed an aggregate of $4,999,999.99 and that Plaintiff’s individual Labor Code claims do not exceed $74,999.99. 4. The names and capacities of defendants sued herein under California Code of Civil Procedure section 474 as Does 1 through 50, inclusive, are presently not known t0 Plaintiff, who therefore sues these defendants by such fictitious names. Plaintiff will seek to amend this COMPLAINT -3- 3286\PLEADINGS\COMPLA|NT.DOC \OOOQQU‘IAUJNH NNNNNNNNNHD-fit-Ip-Ip-AHt-I’dr-dr-A OONONMhWNHOCOONQm-PWNHO Complaint and include these Doe defendants’ names and capacities when they are ascertained. Each fictitiously named defendant is responsible in some manner for the conduct alleged herein and for the inj uries suffered by Plaintiff, the members 0f the class, aggrieved employees, and the general public. 5. At all times mentioned in the causes of action alleged herein, each and every Defendant was an agent and/or employee 0f each and every other Defendant. In doing the things alleged in the causes of action stated herein, each and every Defendant was acting Within the course and scope 0f this agency 0r employment and was acting With the consent, permission and authorization of each of the remaining Defendants. A11 actions 0f each Defendant as alleged in the causes 0f action stated herein were ratified and approved by every other Defendant or their officers or managing agents. 6. Plaintiff is a current employee of Defendant. Defendant operates throughout the United States, including in California, providing plumbing repair, sewer and drain services, and water damage cleanup services t0 residential and commercial customers. Plaintiff has worked for Roto-Rooter as a non-exempt service technician for over a decade. As a service technician, Plaintiff travels t0 customer locations in Defendant’s vehicles t0 provide Defendant’s services t0 customers. GENERAL ALLEGATIONS 7. California Labor Code sections 1182.12, effectiVe July 1, 2014, sets for the applicable minimum wages that must be paid t0 all California employees. California Labor Code section 1194 states in pertinent part: “Notwithstanding any agreement to work for a lesser wage, any employee receiving less than the legal minimum wage . . . is entitled t0 recover in a civil action the unpaid balance 0f the full amount of this minimum wage . . ., including interest thereon, reasonable attorney’s fees, and costs of suit.” During the time period at issue, the minimum wage has ranged from $9.00 per hours (July 1, 2014 t0 December 31, 2015), $10.00 per hour (January 1, 2016 t0 December 3 1, 2016), $10.50 per hour (January 1, 2017 to December 31, 2017), and $11 per hour (January 1, 201 8 to the present). Pursuant to Labor Code section 1197, payment of less than the minimum wage fixed by the Labor Commission is unlawful. Labor Code section 204 COMPLAINT -4- 3286\PLEAD|NGS\COMPLA|NT.DOC \OWNO‘NU‘IAU’Nt-n NNNNNNNNNt-HHHHHH-AHH OOQONU‘I-PUJNHOOWNONMAUJNF-‘O establishes the right of all California employees to be paid wages, including straight and overtime, in a timely fashion for all hours worked. 8. Defendant compensates technicians on either a flat-rate or commission basis, based 0n the services that technicians provide to customers. Because technicians are non-exempt employees, Defendant requires technicians t0 keep track of their hours worked, and informs technicians that it will pay technicians overtime compensation if technicians work more than eight (8) hours in one day or forty (40) hours in one week. However, Defendant does not compensate technicians for all hours worked. 9. Defendant does not compensate technicians for non-productive time, such as travel time between jobs, equipment repair time, and van maintenance time. Because Defendant does not pay technicians a separate hourly minimum wage for this non-productive time, Defendant fails t0 comply with the California Labor Code, as explained by the Court in the Gonzalez V. Downtown LA Motors, LP, 215 Cal. App. 4th 36 (2013), decision. Labor Code section 226.2(a)(1) also provides: “For employees compensated 0n a piece-rate basis during a pay period, the following shall apply for that pay period: (l) Employees shall be compensated for rest and recovery periods and other nonproductive time separate from any piece-rate-compensation.” Defendant also requires technicians t0 clock in on their company-provided cell phones, indicating they are ready for duty, 45 minutes prior t0 technicians’ shifts. However, Defendant does not pay technicians for the time after technicians clock in for work. 10. Defendant’s policy with respect t0 not paying for all time worked by technicians applied to all technicians in California during the pertinent time period. As a result 0f this policy, Defendant did not pay technicians for all time worked. As such, Plaintiff, and those Plaintiff seeks to represent, are entitled t0 obtain the unpaid balance of the full amount 0f the unpaid wages owed pursuant to California Labor Code section 1194(a). Plaintiff, and those he seeks t0 represent, are also entitled t0 recover liquidated damages as provided by California Labor Code section 1194.2(a). Pursuant to Labor Code sections 218.6, 1194(a), and Civil Code section 3287, Plaintiff, and those he seeks to represent, are entitled to recover pre-judgment interest 0n all amounts 0f unpaid wages recovered. Pursuant to Labor Code sections 218.5 and 1194(a), COMPLAINT -5- 3286\PLEADINGS\COMPLAINT.DOC \OOONQUIhUJNH NNNNNNNNNHHr-lr-IHHp-AHHH OONQUI-bWNHOKOOOflQUI-bWNI-‘O Plaintiff, and those he seeks to represent are also entitled t0 recover attorneys’ fees and costs incurred by them t0 bring this action. 11. California Labor Code section 226.7 provides that “[a]n employer shall not require an employee t0 work during a meal or rest 0r recovery period mandated pursuant t0 an applicable statute, or applicable regulation, standard, or order of the Industrial Welfare Commission, the Occupational Safety and Health standards Board, or the Division 0f Occupational Safety and Health.” Labor Code section 516 provides that the IWC “may adopt 0r amend working condition orders with respect to break periods, meal periods, and days 0f rest for any workers in California consistent with the health and welfare 0f those workers.” Section 12(A) of the IWC Wage Orders states: “Every employer shall authorize and permit all employees t0 take rest periods, which insofar as practicable shall be in the middle 0f each work period. The authorized rest period time shall be based on the total hours worked daily at the rate of ten (10) minutes net rest time per four (4) hours 0r maj 0r fraction thereof. However, a rest period need not be authorized for employees whose total daily work time is less than three and one-half (3 1/2) hours. Authorized rest period time shall be counted as hours worked for Which there shall be n0 deduction from wages.” 12. Section 12(B) of the IWC Wage Orders provides: “If an employer fails to provide an employee a rest period in accordance with the applicable provisions 0f this order, the employer shall pay the employee one (1) hour 0fpay at the employee’s regular rate of compensation for each workday that the rest period is not provided.” Labor Code section 226.7(c), provides the same. Labor Code section 226.2(a)(1) states: “For employees compensated on a piece-rate basis during a pay period, the following shall apply for that pay period: (1) Employees shall be compensated for rest and recovery periods and other nonproductive time separate from any piece- rate-compensation.” 13. As stated, Defendant compensated technicians 0n an activity-basis, either through a flat-rate 0r a commission, determined by the type ij0b technicians perform. In addition t0 not paying technicians for non-productive time, Defendant does not separately compensate technicians for rest periods. Defendant’s activity-based compensation system that does not compensate technicians separately for rest period does not comport with California law, as explained by the COMPLAINT ~6- 3286\PLEADINGS\COMPLA|NT.DOC \OWNONUI-PUJNH NNNNNNNNNt-‘t-tt-At-tt-th-IHr-nt-t OONOLA$WNHO©OONONU1AUJNHO courts in Armento V. Osmose, Inc., 135 Cal. App. 4th 314 (2005), and Bluford V. Safeway Stores, g, 216 Cal. App. 4th 864, 872 (2013). This rule applies to those employees who are paid on a commission basis. Vaquero v. Stoneledge Furniture LLC, 9 Cal. App. 5th 98 (2017). 14. As a result 0f Defendant’s established company policy, Defendants failed to pay for required rest periods as required by California Labor Code sections 226.7 and 226.2(a)(1), and IWC Wage Orders. Because ofthis failure, per section 12 0f the IWC Wage Order, California Labor Code sections 226.2(3)(A)(i) and 226.7(b), Plaintiff, and those he seeks to represent, are entitled to one (1) additional hour ofpay at the employees’ regular rate 0f compensation for each work day that the separate compensation was not paid and/or the rest period was not provided. 15. Pursuant to California Labor Code sections 218.6 and Civil Code section 3287, Plaintiff, and those he seeks to represent, are entitled t0 recover pre-judgment interest on all amounts recovered for unpaid rest periods. 16. California Labor Code section 221 provides that “[i]t shall be unlawful for any employer t0 collect or receive from an employee any part ofwages theretofore paid by said employer to said employee.” Section 221 prohibits employers, except in those circumstances specifically authorized by California Labor Code section 224, from taking deductions from employees’ wages. 17. Defendant violates section 221 in two ways. First, Defendant takes deductions from technicians’ wages for technicians use 0f Defendant’s vehicles t0 perform their job, something that Defendant requires technicians to d0. Second, Defendant takes improper deductions from commissions earned by technicians for Defendant’s business expenses, a cost for which Defendants cannot make technicians bear. 18. As a result 0f Defendant’s practice 0f taking improper deductions from technicians’ wages, Plaintiff, and those Plaintiff seeks t0 represent, are entitled t0 obtain the unpaid balance 0f the full amount 0f the unpaid wages owed pursuant t0 California Labor Code section 1194(a). Plaintiff, and those he seeks t0 represent, are also entitled to recover liquidated damages as provided by California Labor Code section 1194.2(a). Pursuant t0 Labor Code sections 21 8.6, 1194(a), and Civil Code section 3287, Plaintiff, and those he seeks t0 represent, are entitled to COMPLAI NT -7- 3286\PLEADINGS\COMPLAINT.DOC \DOONONUI-PUJNt-A NNNNNNNNNr-Ar-‘t-tr-dp-Ap-tt-tt-tp-AH OOQONLh-RWNHOOOONONm-hDJNP-‘O recover pre-judgment interest on all amounts of unpaid wages recovered. Pursuant to Labor Code sections 218.5 and 1194(a), Plaintiff, and those he seeks t0 represent are also entitled to recovery reasonable attorneys’ fees to recover the unpaid wages owed. 19. Defendant requires technicians t0 purchase tools and other equipment to d0 their job. Defendant does not, however, reimburse technicians for the costs incurred by technicians t0 purchase the tools and equipment, in Violation 0f California Labor Code section 2802. 20. California Labor Code section 2751(a) requires employers, when it pays employees 0n a commission basis, t0 provide employees a written, signed contract setting forth the contemplated method of payment 0f the commission. Section 2751(b) also requires that the employer receive a signed receipt from each employee for the contract. Defendant did not provide such a signed contract to Plaintiff, or those he seeks to represent. Defendant also did not receive a signed receipt for same. 21. By failing to pay technicians for all hours worked, failing to separately compensate technicians for rest periods, and all non-productive time, and failing t0 list all deductions taken from wages, Defendant failed t0 keep accurate records of all time worked, and wages due, in Violation of California Labor Code section 1174. This failure gives rise to civil penalties under Labor Code section 1174.5. Defendant also failed t0 provide technicians With accurate wage statements as required by California Labor Code sections 226(a) and 226.2(a)(2), in that Defendant failed to provide technicians wage statements that reflect all hours worked, all gross and net wages earned, all rates of compensation, and all deductions taken from wages. This failure gives rise t0 civil penalties under California Labor Code sections 226(6) and 226.3. 22. Given the Violations of the aforementioned California Labor Code sections and IWC Wage Orders, Defendant is also committed unfair business practices, in Violation 0f California Business & Professions Code section 17200, et. seq. CLASS ALLEGATIONS 23. Plaintiff is, and during all relevant times, was, a resident of the State of California. Plaintiff sues 0n behalf 0f himself and the following class 0f employees of COMPLAINT -8- 3286\PLEADINGS\COMPLAINT.Doc \OOOQQU‘I-PUJNH NNNNNNNNNt-nt-nt-tt-Ir-tr-br-Ar-Ar-AH OONQUI-BUJNHOGOONONUI-bwwb-‘O Defendant in California: all service technicians employed by Defendant in California during the four years preceding the filing 0f this complaint t0 the present. 24. Because Plaintiff, in his employment with Defendant as a service technician, was not paid separately for rest periods, or compensated for missed rest periods, was not paid separately for all time worked, including non-productive time, was paid 0n either 0n a piece- rate or commission basis, from which Defendant deducted its operating costs, had deductions taken from his wages for the use of the required company vehicle, did not receive accurate wages statements, and did not receive a signed, written document setting forth the contemplated method of payment 0f commissions, Plaintiff s claims are typical 0f the proposed class. 25. Plaintiff will fairly and adequately represent and protect the interests 0f the members of the proposed class in that he has no disabling conflict 0f interest that would be antagonistic to those of the other members 0f the proposed class. Plaintiff retained counsel who are competent and experienced in the prosecution 0f class action wage and hour violations. 26. The proposed class is sufficiently numerous and the class members are geographically dispersed throughout California, the joinder ofwhom in one action is impracticable, such that the disposition 0f whose claims in a class action will provide substantial benefits t0 both the parties and the Court. 27. There is a well-defined community of interest in the questions 0f law and fact involved affecting the parties t0 be represented. The questions of law and fact common to the proposed classes predominate over questions that may affect individual class members, include but are not limited t0 the following: (a) Whether Defendant implemented and engaged in a practice whereby Defendant unlawfully failed t0 separately compensate technicians for all work performed, including non-productive work; COMPLAINT -9- 3286\PLEADINGS\COMPLA|NT.DOC \OOOVQUIAUJNH NNNNNNNNNr-‘r-Ip-tr-Ap-Au-tp-At-Ir-tn-t OONQMhWNHOQOONONUI#WN'-‘O (b) (C) (d) (e) (f) (g) (h) 28. Whether Defendant implemented and engaged in a practice whereby Defendant unlawfully failed to separately compensate technicians for rest breaks, 0r provide compensation for missed rest breaks; Whether Defendant unlawfully took deductions from technicians’ wages; Whether Defendant implemented and engaged in a practice whereby Defendant unlawfully failed t0 provide Plaintiff and proposed class members accurate itemized wage statements; Whether Defendant implemented and engaged in a practice whereby Defendant failed to reimburse technicians for work-related expenses; Whether Defendant implemented and engaged in a practice whereby Defendant failed t0 provide technicians with a signed contract setting forth the contemplated method 0f paying technicians commissions; Whether Defendant implemented and engaged in a practice whereby Defendant failed t0 timely pay Plaintiff and proposed class members all wages when due, including at termination; Whether the practices 0f Defendant as alleged herein violated, inflfl, applicable provisions 0f the California Labor Code, including but not limited t0 sections 201-204, 226, 226.2, 226.7, 510, 558, 1174, 1194, 1198, 1198.5, and the Unfair Competition Law codified in California Business and Professions Code section 17200, e_tfl Plaintiff and the proposed class members have all similarly suffered irreparable harm and damages as a result of Defendant’s unlawful and wrongful conduct, including but not limited t0 Defendant’s pattern and practice 0f failing t0 separately compensate technicians for rest periods or provide rest periods 0r compensation for work without rest periods; pattern and practice of failing to compensate technicians for all work performed, including non-productive time; pattern and practice 0f failing t0 furnish technicians accurate itemized wage statements; pattern and practice 0f failing t0 pay technicians all wages when due, including at termination; pattern and practice 0f failing to provide technicians with written signed contracts setting forth the COMPLAINT -1 0- 3286\PLEADINGS\COMPLAINT.Doc \DOONONUI-PUJNH NNNNNNNNNr-Ar-At-IHHr-Ar-tr-nr-‘H OONQMkaJNHooooflam-hWNF-‘O contemplated method of paying commissions; pattern and practice 0f taking deductions from wages earned by technicians; and, pattern and practice of requiring technicians to purchase tools to perform their jobs, yet not reimbursing technicians for the costs incurred to make these purchases. These issues are common to all proposed class members, making class treatment especially appropriate. Because the actions of Defendant toward proposed class members follow common patterns, all ofwhich are reflected in the records possessed by Defendant, this action will provide substantial benefits to all proposed class members. Absent this action, Defendant’s unlawful conduct Will continue unremedied and uncorrected. FIRST CAUSE OF ACTION (Rest Break Violations: Cal. Lab. Code §§ 226.7, 226.2(a)(1) & Applicable IWC Wage Order §12) 29. Plaintiff and proposed class members incorporate by reference the allegations contained in the foregoing paragraphs of this complaint as if fully set fonh herein. 30. Throughout Plaintiff s employment with Defendant, Defendant paid technicians on either a flat-rate or commission basis. Defendant does not, and has not, paid technicians separate compensation for their rest breaks. In addition, given the nature of the work, technicians are not able t0 take rest breaks when 0n a job at a customer’s location. Defendant does not, and has not, paid Plaintiff, 0r proposed class members, an additional hour 0f compensation when Plaintiff or proposed class members did not receive their statutory 10-minute off-duty rest breaks. This failure violates California Labor Code sections 226.7 and 226.2, and section 12 of the applicable IWC Wage Order. This Violation 0f section 12 of applicable Wage Orders is also a Violation of Labor Code sections 558 and 1198. 3 1. As a result 0f Defendant’s failure t0 separately compensate Plaintiff and proposed class members for rest periods, 0r otherwise compensate Plaintiff and proposed class members for missed rest periods, Defendant did not pay Plaintiff, or those similarly situated employees, with all wages due, including upon termination, as required by California Labor Code sections 201 -204, for Which Plaintiff seeks penalties pursuant t0 California Labor Code sections 203, 210, 558, and 1198. COMPLAINT -1 1- 3286\PLEADINGS\COMPLAINT.DOC MLUJN \OWQQ 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 32. As Defendant failed t0 properly compensate Plaintiff and proposed class members for rest periods, Defendant did not furnish Plaintiff 0r proposed class members with accurate wage statements, in violation 0f California Labor Code sections 226 subsection (a), and 226.2(a)(2) as the wage statements do not reflect all gross wages earned, total hours worked, and all applicable rates of compensation. 33. As a result of Defendant’s failures, Plaintiff and the proposed class members are entitled to recover the additional hour 0f compensation for rest breaks as set forth in California Labor Code sections 226.7, 226.2(3)(A)(1) and recoverable pursuant t0 California Labor Code section 558 and 1198. Pursuant t0 California Labor Code sections 21 8.6 and Civil Code section 3287, Plaintiff, and those he seeks t0 represent, are also entitled to recover pre-judgment interest 0n all amounts recovered for unpaid rest periods. 34. Plaintiff and proposed class members are therefore entitled t0 the relief requested below. SECOND CAUSE OF ACTION (Failure T0 Pay For All Hours Worked, All Wages Owed, At Minimum Wage: Cal. Lab. Code §§ 510, 1194) 35. Plaintiff and the proposed class members incorporate by reference the allegations contained in the foregoing paragraphs of this complaint as if fully set forth herein. 36. Although Defendant paid Plaintiff, and proposed class members, 0n either a flat-rate 0r commission basis, Defendant failed t0 pay Plaintiff and proposed class members for all hours worked, including for all non-productive time, such as van maintenance time, equipment repair time, 0r travel time between jobs. As such, Defendant failed t0 pay Plaintiff, and proposed class members the minimum wage, as set forth in California Labor Code section 1182.12, for all work performed. In addition, Defendant took deductions from wages earned by Plaintiff and proposed class members, in Violation 0f California Labor Code section 221. 37. As a result 0f Defendant’s failure t0 pay Plaintiff and those Plaintiff seeks t0 represent for all time worked, and improperly taking deductions from wages earned, Plaintiff, and those Plaintiff seeks t0 represent, are entitled to obtain the unpaid balance 0f the full amount 0f the unpaid wages owed pursuant t0 California Labor Code sections 5 10 and 1194(a). Plaintiff, and COMPLAINT -12- 3286\PLEADINGS\COMPLA|NT.Doc OOONONUI-PWNH NNNNNNNNNHHHr-IHHHHHH OONONUI-PWNt-‘OOWNONUI-PMNl-‘O those he seeks to represent, are also entitled to recover liquidated damages as provided by California Labor Code section 1194.2(a). 38. Pursuant to Labor Code sections 218.6, 1194(a), and Civil Code section 3287, Plaintiff, and those he seeks t0 represent, are entitled to recover pre-judgment interest on all amounts of unpaid wages recovered. Pursuant to Labor Code sections 218.5 and 1194(a), Plaintiff, and those he seeks t0 represent are also entitled t0 recover attorneys’ fees and costs incurred by them to bring this action. THIRD CAUSE OF ACTION (Inaccurate Wage Statements: Cal. Lab. Code §§ 226, 226.2) 39. Plaintiff and proposed class members incorporate by reference the allegations contained in the foregoing paragraphs 0f this complaint as if fully set forth herein. 40. During the relevant time period, Defendant failed t0 pay Plaintiff, and proposed class members, separately for rest periods and all non-productive time and took deductions from wages owed to Plaintiff and proposed class members. As such, Defendant failed t0 furnish accurate itemized wage statements to Plaintiff and proposed class members containing information as required by California Labor Code sections 226 and 226.2. These failures caused Plaintiff and proposed class members t0 suffer injury as defined by California Labor Code section 226(e)(2)(B)(i). As a result 0f Defendant’s failures, Plaintiff and proposed class members are entitled t0 recover the penalties and attorneys’ fees as set forth in California Labor Code section 226(c)(1) and 226.3. 41. Plaintiff and proposed class members are therefore entitled to the relief requested below. FOURTH CAUSE 0F ACTION (Failure To Reimburse For Work-Related Expenses: Cal. Lab. Code § 2802) 42. Plaintiff and proposed class members incorporate by reference the allegations contained in the foregoing paragraphs 0f this complaint as if fully set forth herein. 43. Throughout Plaintiff s employment, Defendant required Plaintiff, and proposed class members, to purchase tools necessary to perform their jobs. Defendant did not reimburse COMPLAINT - 1 3- 3286\PLEADINGS\COMPLAINT.Doc \DWNONUIhWNr-d NNNNNNNNNr-lv-IHHt-IHHHp-Ay-n OONQM-bWNHOCWflQm-bLflNF-‘O Plaintiff, and proposed class members, for the costs incurred t0 purchase the tools. Defendant’s failure t0 reimburse Plaintiff, and proposed class members, for the expenses incurred t0 purchase these tools violated California Labor Code section 2802. 44. Plaintiff and proposed class members are therefore entitled t0 the relief requested below. FIFTH CAUSE OF ACTION (Unlawful, Unfair And Fraudulent Business Practices: Business & Professions Code § 17200, e_t seg.) 45. Plaintiff and proposed class members incorporate by reference the allegations contained in the foregoing paragraphs of this complaint as if fully set forth herein. 46. Business & Professions Code section 17200, e_tfl, prohibits acts of unfair competition, defined as an “unlawful, unfair, or fraudulent business act 0r practice.” 47. The policies, acts and practices described herein were and are unlawful business acts 0r practices because Defendant’s unlawful (1) failure t0 separately compensate Plaintiff and proposed class members, for rest breaks, or provide compensation for missed rest breaks, as required by California Labor Code sections 201-204, 226.2(3)(A)(i), 226.7, 510, 1194, and section 12 of the applicable Wage Order; (2) failure t0 compensate Plaintiff and proposed class members for all time worked, including non-productive time, as required by California Labor Code sections 201-204, 5 1 0, and 1194; (3) taking 0f improper deductions from wages owed, in Violation of California Labor Code section 221; (4) failure t0 reimburse Plaintiff, and those similarly situated, for expenses incurred to do their job, in Violation 0f California Labor Code section 2802; (5) failure to maintain accurate payroll records showing hours worked daily and all wages earned in Violation 0f California Labor Code section 1174; (6) failure t0 provide accurate itemized wage statements t0 Plaintiff and proposed class members containing information as required by California Labor Code sections 226 and 226.2; (7) failure t0 provide Plaintiff, and proposed class members, with the contract setting forth the contemplated method of payment 0f commissions to Plaintiff and proposed class members, in Violation of California Labor Code section 275 1; and, (7) failure t0 timely pay Plaintiff and proposed class members all wages When due, including at COMPLAINT -14- 3286\PLEADINGS\COMPLAINT.Doc \OOOVQUl-PUJNt-A NNNNNNNNNHt-HHHHHHHH WNQm-PWNHOCWNQU‘IgWNHO termination, in Violation of California Labor Code sections 201-204, Violate applicable California Labor Code sections, IWC Wage Orders, and other provisions 0f California common and/or statutory law. Plaintiff reserves the right t0 allege additional statutory and common law Violations by Defendant. Such conduct is ongoing to this date. 48. Further, the policies, acts 0r practices described herein were and are an unfair business acts or practices because any justifications for Defendant’s illegal and wrongful conduct were and are vastly outweighed by the harm such conduct caused to Plaintiff, proposed class members, and the members 0f the general public. Such conduct is ongoing to this date. 49. As a result of its unlawful and/or unfair and/or fraudulent acts, Defendant reaped, and continues t0 reap, unfair benefits and illegal profits at the expense of Plaintiff and proposed class members. Defendant should be made to disgorge ill-gotten gains and provide restitution to Plaintiff and proposed class members for the wrongfully withheld wages pursuant t0 Business and Professions Code section 17203. 50. Accordingly, Plaintiff and proposed class members respectfully request that the Court award judgment and relief in their favor, to provide restitution, and other types of equitable relief. 5 1. Plaintiff and the proposed class members are therefore entitled t0 the relief requested below. PRAYER FORRELIEF WHEREFORE Plaintiff prays for judgment and relief as follows: 1. An order certifying that the action may be maintained as a class action; 2. Compensatory and statutory damages, penalties and restitution, as appropriate and available under each cause of action, in an amount to be proven at trial based on, inflfl, the unpaid balance 0f compensation Defendant owes; 3. Reasonable attorneys’ fees pursuant to California Labor Code sections 21 8.5, 226(c)(1), and 1194; 4. Costs of this suit; 5. Pre- and post-judgment interest; and COMPLAINT -1 5- 3286\PLEADINGS\COMPLAINT.Doc \DOONONU‘IAUJNH NNNNNNNNNt-tp-AHHHHr-tp-‘u-tt-I OOQONUI-wat-‘OKOOONONUl-bLNNP-‘O 6. Such other and further relief as the Court deems just and proper.W Plaintiff hereby demands a trial by jury. Date: November 30, 2018 Wflm,LAW F By: R'obin G(Workman)’ Attorneysfor Alfred Lax, and all others similarly situated COMPLAINT -1 6- ' 3286\PLEADINGS\C0MPLAINT.Doc EXHIBIT B KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO WORKMAN LAW FIRM, PC Robin G. Workman (Bar # 145 8 1 0) robin@workmanlawpc.com Rachel E. Davey (Bar #3 16096) rachel@workmanlawpc.com 177 Post Street, Suite 800 San Francisco, CA 94108 Telephone: (415) 782-3660 Facsimile: (415) 788-1028 Attorneysfor Plaintijf Alfred Lax 0n behalfofhimselfand all others Similarly Situated REED E. SCHAPER (SBN 082792) BENJAMIN J. TREGER (SBN 285283) HIRSCHFELD KRAEMER LLP 233 Wilshire Boulevard, Suite 600 Santa Monica, CA 90401 Telephone: (3 10) 255-0705 Facsimile: (3 10) 255-0986 Attorneysfor Defendant ROTO-ROOTER SERVICES COMPANY SUPERIOR COURT OF CALIFORNIA COUNTY OF SANTA CLARA ALFRED LAX, 0n behalf 0f himself and all others similarly situated, Plaintiff, VS. ROTO-ROOTER SERVICES COMPANY, and Does 1 through 50, inclusive, Defendants. N0. 18CV338652 Assigned For A11 Purposes T0 The Hon. Brian C. Walsh, Dept. 1 JOINT STIPULATION OF SETTLEMENT AND RELEASE DATE: January 31, 2020 TIME: 10:00 am. DEPT: 1 IT IS HEREBY STIPULATED AND AGREED by and between Plaintiff Alfred Lax (“Plaintiff”), on behalf of himself and all others similarly situated, and Defendant Roto-Rooter Services Company (“Defendant”), subj ect t0 the approval 0f the Court, that this litigation is JOINT STIPULATION OF SETTLEMENT -1- 3286\JOINTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO compromised and settled pursuant t0 the terms and conditions set forth below. DEFINITIONS 1. “Action” Shall mean the case entitled Alfred Lax vs. Roto-Rooter Services Company, Case N0. 18CV338652, pending in the Superior Court 0f the State 0f California for the County 0f Santa Clara. 2. “Agreement” shall refer t0 this document. 3. “Claims Administrator” shall mean the third-party administrator appointed by the Court t0 administer the Settlement under the terms 0f this Agreement. 4. “Class” shall mean shall mean all current and former non-exempt technicians employed by Defendant at any time during the Class Period in its Menlo Park and Bristol locations, which total 135 technicians, 99 technicians at the Menlo Park location and 36 at the Bristol location. Members 0f the Class are referred t0 herein as “Class Member” 0r “Class Members.” 5. “Class Period” shall mean the period from November 30, 2014, through the date 0f Preliminary Approval 0f the class action settlement. 6. “Complaint” shall mean the Complaint filed by Plaintiff 0n November 30, 2018, and any amendments thereto. 7. “Court” shall mean the Superior Court 0f the State 0f California for the County 0f Santa Clara. 8. “Defendant” shall refer t0 Defendant Roto-Rooter Services Company. 9. “Defendant’s Counsel” shall mean the law firm of Hirschfeld Kraemer LLP. 10. “Employer Payroll Contributions” shall mean those payroll taxes and other monetary contributions required by state and federal law t0 be made by an employer 0n wage payments, including but not limited t0 FICA, Medicare, FUTA, and SUTA, and any federal and state unemployment taxes, payable by Defendant with respect t0 amounts treated as wages under this Agreement. 11. “Fee and Expense Award” shall mean such award 0f attorneys’ fees and costs as JOINT STIPULATION OF SETTLEMENT -2- 3286\JOINTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO the Court may authorize t0 be paid t0 Plaintiff’s Counsel for the services rendered t0 Plaintiff and the Class in the Action, and the actual costs incurred by Plaintiff’s Counsel in the prosecution 0f the Action. 12. “Final Approval Order and Judgment” means the Order Granting Final Approval 0f the Class Settlement and Judgment issued by the Court within the meaning and for purposes 0f Code 0f Civil Procedure Section 904.1(a), and Rule 3.769 0f the California Rules 0f Court. 13. “Individual Settlement Payment” shall mean the total gross amount each Settlement Class Member is entitled t0 receive from the Net Settlement Fund under the terms 0f this Agreement. 14. “Net Settlement Fund” shall mean the settlement funds available for distribution t0 Settlement Class Members after deducting from the $2,598,000 Gross Settlement Fund provided herein the following, as approved by the Court: (1) the Administration Costs; (2) the Fee and Expense Award; (3) the PAGA Payment; and (4) the Incentive Award. 15. “Notice” shall mean the Court-approved form 0f notice t0 Class Members that will notify Class Members 0f the conditional certification 0f the Settlement Class, Preliminary Approval 0f the Settlement, the procedures for obj ecting t0 the Settlement, and scheduling 0f the Final Approval Hearing. 16. “PAGA Payment” shall mean the payment made t0 the California Labor and Workforce Development Agency, in the amount 0f 75% 0f that portion 0f the GSF allocated t0 settle claims brought pursuant t0 the Private Attorneys General Act, California Labor Code Section 2698 et seq. 17. “Parties” shall collectively refer t0 Plaintiff and Defendant. 18. “Payment Obligation and Class Release Date” means (a) if n0 Class Member files any obj ections t0 the Settlement, then the date upon which the Court grants Final Approval of the Settlement; (b) if any Class Member files an obj ection but it is subsequently withdrawn, then the date upon which the Court grants Final Approval 0f the Settlement, 0r (c) if an obj ection is filed, then the date which is sixty-five (65) days after (i) service 0f notice 0f entry 0f the Final Approval JOINT STIPULATION OF SETTLEMENT -3- 3286\JOINTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO Order and Judgment 0n the Parties t0 the Action and all objectors t0 the Settlement, if any, without any appeals 0r requests for review being taken, 0r (ii) orders affirming said Final Approval Order and Judgment 0r denying review after exhaustion 0f all appellate remedies, if appeals 0r requests for review have been taken. 19. “Plaintiff” shall mean Alfred Lax, the Class Representative in the Action. 20. “Plaintiff’s Counsel” 0r “Class Counsel” shall mean Robin Workman 0f the Workman Law Firm, P.C. 21. “Preliminary Approval” shall mean that the entry 0f and Order by the Court preliminarily approving the terms and conditions 0f this Agreement, including the manner 0f providing notice t0 Class Members. 22. “Settlement” shall mean the terms and conditions set forth in this Agreement. 23. “Settlement Class Members” 0r “Settlement Class” shall mean Class Members who have not excluded themselves from the Settlement in accordance with the requirements set forth herein. 24. “Qualifying Workweek” shall mean each week, 0r fraction thereof, an individual worked for Defendant in a position covered by the definition 0f Class Member during the Class Period. RECITALS 25. The Pleadings. The original Complaint in this matter was filed 0n November 30, 2018, by Plaintiff, on behalf of himself and all others similarly situated, asserting various wage and hour claims, including (1) failure t0 timely pay technicians all wages owed, including at termination, in Violation 0f California Labor Code section 201-204; (2) unlawfully taking deductions from commissions earned by technicians, in Violation 0f California Labor Code section 221; (3) failing to maintain and provide accurate wage statements t0 employees as required by California Labor Code sections 226 and 1174; (4) failing t0 separately compensate technicians for rest periods, 0r provide rest periods and t0 pay compensation for work without rest periods t0 its California technicians, in Violation 0f California Labor Code sections 226.7; (5) failing t0 pay JOINT STIPULATION OF SETTLEMENT -4- 3286\JOINTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO regular and overtime wages for all hours worked, including the failure to pay for all non- productive time, as required by California Labor Code section 510 and 1194; (7) failing t0 provide a signed contract setting forth the contemplated method 0f payment 0f the commissions, 0r obtaining a signed receipt for same, in Violation 0f California Labor Code section 275 1; and, (8) failing to reimburse Plaintiff, and those similarly situated technicians, for expenses incurred t0 d0 their job, including the purchase 0f tools and equipment in Violation 0f California Labor Code section 2802 and applicable Industrial Welfare Commission Orders. Said conduct, in addition t0 the forgoing, violated each Labor Code section as set forth in California Labor Code section 2699.5. 26. Defendant’s Denials. Defendant denies all 0f the claims and allegations in the Complaint. Defendant denies that it has engaged in any illegal conduct whatsoever. Defendant contends that (i) its policies and practices fully comply with all applicable laws; and (ii) Plaintiff and other Class Members have been fully compensated for all hours worked, have been provided accurate wage statements, have been provided and compensated for all rest periods t0 which they are entitled, and were properly reimbursed for all expenses incurred. Defendant contends, among other things, that it has complied at all times with the California Labor Code, the California Business and Professions Code, and all other laws, statutes, orders 0r regulations alleged in the Complaint. 27. Investigation and Informal Discoverv. The Parties conducted significant investigation 0f the facts and law both before and after the Action was filed. This included informal discovery that included but was not limited t0 review and analysis 0f the Defendant’s policies and procedures, time and payroll records, review and analysis 0f employment records by counsel and experts; formal discovery; and, interviews 0f Class Members and potential witnesses. Counsel for the Parties further investigated the applicable law as applied t0 the facts discovered regarding Plaintiff’s claims, the defenses thereto, and the damages and penalties claimed by Plaintiff in the Action. The Parties also exchanged extensive data and information regarding the Class claims prior t0 the two mediation sessions and in negotiating the Settlement, including data JOINT STIPULATION OF SETTLEMENT -5- 3286\JOINTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO relevant t0 damages and the Parties’ legal theories and defenses. 28. Mediation. On November 5, 2019, the Parties attended and participated in good faith, arms’ length settlement discussions at an all-day mediation before Mediator David Rotman (“Mediator”). The parties were not able t0 reach an agreement at this mediation. Plaintiff then propounded formal discovery. The Parties continued settlement efforts and participated in a second mediation 0n May 27, 2020. Although the parties still were not able t0 reach an agreement at the mediation, following the mediation the parties eventually reached a settlement whose terms are memorialized in this Agreement. The Parties believe and agree that this Settlement is a fair, adequate, and reasonable resolution 0f the Action and have arrived at this Settlement in arms- length negotiations, taking into account all relevant factors, present and potential, each side recognizing the risks 0f an adverse result should litigation continue. 29. Non-Admissibilitv. This Agreement represents the compromise and settlement 0f highly disputed claims. Plaintiff claimed, and continues t0 claim, that his contentions have merit and give rise t0 Defendant’s liability, and Defendant claims and continues t0 claim that the claims lack factual and legal merit and that class certification is unwarranted. Nothing in this Agreement, the documents referenced in this Agreement, 0r any action taken t0 carry out this Agreement is, may be construed as, 0r may be used as, an admission, concession 0r other indication by 0r against Defendant 0f any fault, wrongdoing, 0r liability whatsoever, nor construed 0r used against the Plaintiff as t0 the merits 0r lack thereof 0f the claims he has asserted. Therefore, whether 0r not the Settlement is finally approved, and except and t0 the extent that this Agreement becomes a release 0f claims as 0f the Payment Obligation and Class Release Date, as provided for herein, neither the Settlement, nor any 0f its terms, nor any document, statement, proceeding 0r conduct related t0 this Agreement, nor any reports 0r accounts thereof, shall be admissible in evidence for any purpose except for purposes 0f settling the Action, obtaining Preliminary and Final Approval or enforcing the terms 0f this Agreement. 30. N0 Publicity. As a material term 0f the settlement, neither Plaintiff nor Plaintiff s counsel will publicize this settlement by name (Le. identifying Roto-Rooter Services Company), JOINT STIPULATION OF SETTLEMENT -6- 3286\JOINTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO 0r its industry and location (plumbing and drain services in Santa Clara County), through a press release, posting 0n counsels’ website, in social media 0r by any other public means, other than Court filings and proceedings associated with the Settlement. Nothing in this provision is intended to prohibit (i) Plaintiff from discussing this Settlement with his spouse, attorneys 0r tax advisor; (ii) Plaintiff from discussing this Settlement with other Class Members after the Settlement has been preliminarily approved by the Court; (iii) Plaintiffs Counsel from citing the Settlement in this case as evidence supporting her competence as counsel in wage/hour and/or class action matters in public court filings; 0r, (iv) Plaintiff’s counsel from communicating with Class Members in this case 0r the Court in which this action is pending. SETTLEMENT COMPONENTS 3 1. Conditional Certification 0f the Class. Solely for purposes 0f Settlement, the Parties agree t0 the certification 0f the following Class: all current and former non-exempt technicians employed by Defendant at any time during the Class Period in its Menlo Park and Bristol locations which total 135 technicians, 99 technicians at the Menlo Park location and 36 at the Bristol location. If, for whatever reason, the Settlement does not become final, the Parties’ stipulation t0 conditional class certification shall become null and void. 32. Gross Settlement Fund. Subject t0 the terms and conditions 0f this Agreement, and in full settlement 0f the Class claims and all Released Claims, the Defendant shall pay the total amount 0f Two Million Five Hundred Ninety Eight Thousand Dollars ($2,598,000.00) t0 create a Gross Settlement Fund (“GSF”). The GSF shall fully cover: (1) all Individual Settlement Payments; (2) the PAGA Payment; (3) the Fee and Expense Awards t0 Class Counsel; (4) all Administration Costs; and (5) the Incentive Award. The GSF does not include Employer Payroll Contributions 0n the wage portion 0f Individual Settlement Payments, which Defendant shall pay separately, and there shall be n0 reversion t0 the Defendant. 33. PAGA Payment. Fifty Thousand Dollars ($50,000.00) 0f the GSF is allocated t0 settle civil penalty claims pursuant t0 the Private Attorneys General Act 0f 2004, Cal. Lab. Code section 2699, et seq. The PAGA Payment shall consist 0f 75% 0f this allocation ($37,500.00), JOINT STIPULATION OF SETTLEMENT -7- 3286\JOINTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO which shall be paid t0 the Labor & Workforce Development Agency (“LWDA”) as required by PAGA. The $ 12,500.00 remainder of the PAGA allocation shall become part 0f the Net Settlement Fund and distributed t0 the Class as part 0f the Individual Settlement Payments. 34. Individual Settlement Pavments t0 Class Members. The Net Settlement Fund (NSF), representing that part 0f the GSF remaining after deduction 0f court-approved Administration Costs, Fee and Expense Award, Incentive Award and the PAGA Payment, shall be distributed t0 Settlement Class Members through Individual Settlement Payments. The entire NSF shall be allocated t0 the payment 0f Individual Settlement Payments t0 Settlement Class Members. (i) Reasonable Allocation Formula. The Parties recognize and agree that the precise amounts 0f compensation claimed in this Action are difficult t0 determine. The Parties agree that the formula for allocating the Individual Settlement Payments t0 Class Members provided herein is reasonable and that the payments provided herein are designed t0 provide a fair settlement for the Class as a whole, in light 0f the uncertainties regarding the calculation 0f alleged compensation t0 each Settlement Class Member (ii) Calculation 0f Individual Settlement Pavments. The Individual Settlement Payment will be calculated based 0n the number 0f the Qualifying Workweeks worked by each Settlement Class Member. Each Class Member shall be entitled t0 a Percentage Share 0f the NSF, calculated by dividing the number 0f Qualifying Workweeks worked by the Settlement Class Member by the aggregate number 0f Qualifying Workweeks for the entire Class, and multiplying the resulting percentage by the value 0f the NSF. Each Class Member’s Qualifying Workweeks will be determined by reference t0 the Defendant’s records. (iii) Allocation and Taxes. The Individual Settlement Payments shall be allocated for tax purposes as follows: 25% t0 unpaid wages, which shall be subj ect t0 required state, federal and local withholdings, and reported 0n JOINT STIPULATION OF SETTLEMENT -8- 3286\JOINTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO Forms W-2 (“Wage Portion”); and 75% t0 reimbursements, interest, and penalties, not subject t0 withholding and reported 0n Forms 1099 (“Non- Wage Portion”). Employer Payroll Contributions shall be paid by Defendant 0n the wage portion 0f the Individual Settlement Payments separately and outside 0f the GSF. 35. Fee and Expense Award. Defendant will not object t0 an application by Plaintiff for an award 0f attorney’s fees not more than one-third 0f the GSF ($825,000.00) and for an award 0f costs and expenses not t0 exceed Twenty-Five Thousand Dollars ($25,000.00) (collectively the “Fee and Expense Award”). 36. Incentive Award. Defendant will not obj ect t0 an application by Plaintiff for an award 0f not more than Twenty Thousand Dollars ($20,000.00) as an Incentive Award, in addition t0 any Individual Settlement Payment that Plaintiff is entitled t0 under this Agreement. The Incentive Award is in consideration 0f Plaintiff having initiated and pursued the Action, undertaking the risk 0f liability for attorneys’ fees and expenses in the event he was unsuccessful in the prosecution 0f the Action, and granting Defendant a general release 0f claims. The Incentive Award is not wages, shall not be subject t0 payroll withholdings, and shall be reported on IRS Forms 1099. 37. Administration Costs. Rust Consulting shall serve as the Claims Administrator, subject t0 the Court’s approval. Administration Costs not t0 exceed $15,000.00 shall be paid from the GSF t0 the Claims Administrator for administering the settlement and otherwise performing duties under this Agreement. PRELIMINARY APPROVAL AND CLASS NOTICE 38. Preliminarv Approval. Class Counsel shall request a hearing before the Court t0 seek Preliminary Approval 0f the Settlement 0n the earliest practical date. In conjunction with such hearing, Class Counsel shall prepare a motion for preliminary approval t0 be submitted t0 the Court along with this Agreement, and any other documents necessary t0 implement the Settlement. The motion will request that the Court enter a Preliminary Approval Order, JOINT STIPULATION OF SETTLEMENT -9- 3286\JOINTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO preliminarily approving the proposed Settlement, conditionally certifying the Class for settlement purposes only, conditionally appointing Plaintiff s Counsel as Class Counsel, approving the Claims Administrator, and setting a date for the Final Approval Hearing. The Preliminary Approval Order shall also provide for Notice 0f the Settlement t0 be disseminated t0 Class Members as specified herein 0r as may otherwise by ordered by the Court, provided that such order is also acceptable t0 the Parties and consistent with the terms 0f this Agreement. Class Counsel shall submit a draft 0f the motion t0 Defendant’s Counsel prior t0 the filing deadline. 39. Notice t0 LWDA. At the same time the Preliminary Approval motion is filed, Plaintiff shall submit a copy 0f this Agreement t0 the LWDA pursuant t0 California Labor Code section 2699(l)(2). Plaintiff shall be responsible for any and all filing fees associated with notice t0 the LWDA, which shall be recoverable as part 0f the Fee & Expense Award. 40. Class List. Within ten (10) business days 0f the date 0f Preliminary Approval, the Defendant will provide the Claims Administrator with the names, most recent known mailing address, social security number, and the total number 0f Qualifying Workweeks 0f each Class Member during the Class Period (collectively the “Class List”). Each Class Member’s total Qualifying Workweeks will be derived from Defendant’s records. The Class List will be treated as confidential by the Claims Administrator and will not be disclosed by the Claims Administrator t0 anyone, except as may be required t0 applicable tax authorities, pursuant t0 the express written consent 0f the Defendant, by order 0f the Court, 0r as may be necessary t0 carry out the reasonable steps described in this Settlement t0 locate missing Class Members. 41. Notice t0 Class. Within twenty (20) calendar days after Preliminary Approval, the Claims Administrator shall mail a copy 0f the Notice in the form approved by the Court in its Preliminary Approval Order t0 all persons shown by Defendant’s records t0 be Class Members, Via first class U.S. mail, using the most current mailing address available. The Notice shall state the total number 0f Qualifying Workweeks for each Class Members, the total approximate amount each Class Member is estimated t0 be entitled t0 receive as their Individual Settlement Payment under the Settlement, and a procedure for disputing the number 0f Qualifying Workweeks JOINT STIPULATION OF SETTLEMENT -10- 3286\J0INTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO (“Notice Packet”). (a) Returns and Remailing. Any Notices returned t0 the Claims Administrator as undelivered and bearing a forwarding address shall be re-mailed by the Claims Administrator within three (3) business days following receipt 0f the returned mail. For any Notices returned t0 the Claims Administrator without a forwarding address, the Claims Administrator shall first conduct a National Change 0f Address search as required for undeliverable notices, followed by a computer/SSN and “skip trace” search t0 obtain an updated address, and shall promptly re-mail the Notices t0 any newly-found address 0r addresses within three (3) business days. The re-mailed Notice shall be identical t0 the original Notice. The Claims Administrator shall undertake all reasonable efforts t0 locate and verify the addresses 0f Class Members and send a copy 0f the Notice t0 all Class Members. (b) Disputes as t0 Qualifying Workweeks. Class Members may dispute the number of Qualifying Workweeks listed 0n their Notices by producing evidence establishing the dates that the Class Member contends t0 have worked during the Class Period. The Claims Administrator shall notify counsel for the Parties 0f any disputes. If there is a dispute, the Defendant shall review its records and provide further information t0 the Claims Administrator, as necessary. Defendant’s records will be presumed t0 be determinative. Unless the Court orders otherwise, the Claims Administrator shall resolve any disputes and notify counsel for the Parties 0f its decision. (c) Informational Website. The Claims Administrator shall also set up a website, the URL for which is t0 be included in the Notice, containing this Agreement and related documents. Any costs incurred by having the Claims Administrator handle these administrative tasks shall be included in the Administration Costs approved by the Court. 42. Procedure for Obiecting t0 0r Requesting Exclusion from the Settlement. Any Class Member 0r other person(s) purporting t0 act 0n behalf 0f a Class Member who wishes t0 object t0 the Settlement, 0r t0 be excluded (opt-out) from the Settlement Class, must submit timely JOINT STIPULATION OF SETTLEMENT -1 1- 3286\J0INTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO written obj ections and/or a request for exclusion and/or dispute information from the Settlement Class within forty-five (45) calendar days from the date Notice Packet is mailed (“Class Member Deadline”), using the following procedures: (a) Obj ections. The Notice shall provide that any Class Member(s) and person(s) purporting t0 act 0n behalf 0f any Class Member(s) who wish t0 obj ect t0 the Settlement may submit t0 the Claims Administrator a written statement obj ecting t0 the Settlement, and any supporting briefs 0r other materials, 0n 0r before the Class Member Deadline. The Claims Administrator shall promptly provide copies 0f all such submissions t0 counsel for the Parties. Such objection shall state whether the Class Member intends t0 appear at the Final Approval Hearing, and if it does not, the obj ecting Class Member shall not be permitted t0 appear. A Class Member who fails t0 submit a timely written objection shall be deemed t0 have waived any objections and shall be foreclosed from making any obj ection t0 the Settlement. (b) Exclusions. The Notice shall also provide that Class Members who wish t0 exclude themselves (opt-out) from the Settlement must mail t0 the Claims Administrator n0 later than the Class Member Deadline a written statement requesting exclusion from the Settlement Class. The request must contain the name, address, and telephone number 0f the Class Member requesting exclusion, a statement that they wish t0 exclude themselves from the settlement and understand that by doing so they will not receive any settlement proceeds. Any request for exclusion postmarked later than forty-five (45) calendar days from the date the Notice is mailed by the Claims Administrator shall not be effective. In addition, any request for exclusion 0f a Class Member who also submits an obj ection shall be deemed invalid. For any Class Member who submits a deficient request for exclusion, the Claims Administrator shall notify the Class Member and give him 0r her fifteen (15) calendar days t0 cure any deficiency. The Claims Administrator will provide Plaintiff’s Counsel and Defendant’s Counsel the names 0f individuals who make timely, valid requests for exclusion. (c) Effect 0f Requesting 0r Failing t0 Request Exclusion. Class Members who submit a timely and valid request for exclusion (opt-out) shall not be part 0f the Settlement JOINT STIPULATION OF SETTLEMENT -12- 3286\J0INTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO Class, will not receive a pro rata distribution from the NSF and will not be allowed t0 obj ect t0 this Settlement. Class Members who fail t0 submit a timely and valid request for exclusion in the manner described herein shall be Settlement Class Members, and shall be bound by all terms 0f the Settlement and the Judgment, if the Settlement is approved by the Court. 43. Claims Administrator Reports. The Claims Administrator shall provide weekly status reports t0 counsel for the Parties, including (a) the number 0f Notice Packets mailed; (b) the number 0f objections received; and (c) the number 0f requests for exclusion received. At least ten (10) calendar days prior t0 the Final Approval Hearing, the Claims Administrator will provide a declaration showing due diligence setting forth its compliance with its obligations under this agreement, including with regard t0: (i) mailing 0f the Notice; (ii) receipt 0f any valid requests for exclusion; and (iii) any inability t0 deliver the Notice t0 Class Members due t0 invalid addresses. Prior t0 the Final Approval Hearing, the Claims Administrator will prepare and submit for filing in support 0f the motion a supplemental declaration as may be necessary 0r requested by counsel for the Parties. FINAL APPROVAL AND JUDGMENT 44. Motion for Final Approval and Hearing. After Preliminary Approval, notice t0 the Class and an opportunity for objection, a Final Approval Hearing shall be held 0n a date set by the Court t0 consider Final Approval 0f the Settlement, whether and in what amount a Fee and Expense Award should be awarded t0 Plaintiff” s Counsel, whether and in what amount an Incentive Award should be awarded t0 the Plaintiff, and the merits 0f any obj ections t0 this Agreement and the Settlement set forth herein 0r any 0f its terms. In connection with the Final Approval Hearing, Class Counsel shall prepare and file a motion for final approval, which shall include the Report 0f the Claims Administrator. The motion shall be submitted in draft form t0 counsel for Defendants prior t0 the filing deadline. 45. Plaintiff’s Application for Fee and Expense Award and Incentive Award. Concurrent with the filing 0f the Motion for Final Approval, Plaintiff shall file with the Court any application for a Fee and Expense Award and Incentive Award authorized by this Agreement. JOINT STIPULATION OF SETTLEMENT -13- 3286\J0INTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO 46. Judgment. Concurrent with Final Approval 0f the Settlement, the Parties shall obtain entry 0f a Final Approval Order and Judgment. The Judgment shall become final upon the Payment Obligation and Class Release date, after which the Court shall retain jurisdiction: (i) t0 enforce the terms 0f this Agreement; (ii) address any Claims Administration matters that may arise; and (iii) address such post-Judgment matters as may be appropriate under the Court’s rules or applicable law. 47. LWDA Notice. Class Counsel shall submit a copy 0f the Court’s Final Approval Order and Judgment t0 the LWDA within ten (10) business days 0f entry and shall pay all filing fees associated with such submissions, which shall be recoverable as part 0f the Fee and Expense Award. EFFECTUATION OF SETTLEMENT 48. Computation 0f GSF Distribution and Emplover Pavroll Contributions. Plaintiff shall immediately submit the Order 0f Final Approval and Judgment t0 the Claims Administrator, who shall calculate forthwith the amount 0f the NSF, the Individual Settlement Payments t0 the Settlement Class, and the amount 0f Employer Payroll Contributions 0n the wage portion 0f the Individual Settlement Payments. Within five (5) business days after the Payment Obligation and Class Release Date, the Claims Administrator shall provide such information t0 the Defendant, along with wiring instructions for submitting sufficient funds t0 cover the GSF and the Employer Payroll Contributions due. 49. Deposit 0f Settlement Funds. Within ten (10) days 0f the Payment Obligation and Class Release Date Defendant shall wire the GSF t0 the Claims Administrator. 50. Individual Settlement Pavments. N0 later than ten (10) days after Defendant wires the GSF t0 the Claims Administrator, the Claims Administrator shall distribute the Individual Settlement Payments t0 the Settlement Class Members. The Claims Administrator shall mail all Individual Settlement Payments t0 Settlement Class Members Via first class mail. 5 1. Pavment 0f Incentive Award t0 Plaintiff. N0 later than ten (10) days after Defendant wires the GSF t0 the Claims Administrator, the Claims Administrator shall forward t0 JOINT STIPULATION OF SETTLEMENT -14- 3286\J0INTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO Plaintiff a check reflecting any Incentive Award approved by the Court for Plaintiff. The Incentive Award shall be reported 0n an IRS 1099 Form t0 the appropriate taxing authorities, with a copy t0 Plaintiff. 52. PAGA Payment. Not later than ten (10) days from Defendant’s payment 0f the GSF, the Claims Administrator shall forward the PAGA Payment t0 the LWDA. 53. Administration Costs. Not later than ten (10) days from Defendant’s payment 0f the GSF, the Claims Administrator shall pay itself pursuant t0 the terms 0f this Agreement. 54. Pavment 0f Fee and Expense Award. Not later than ten (10) days from Defendant’s payment 0f the GSF, the Claims Administrator shall transmit Via wire transfer t0 Class Counsel the amount 0f the Court-approved Fee and Expense Award. The Fee and Expense Award shall be reported 0n an IRS 1099 Form t0 the appropriate taxing authorities, with a copy t0 Plaintiff” s Counsel. 55. Uncashed Checks. Any check issued t0 any Settlement Class Member shall remain valid and negotiable for ninety (90) calendar days from the date 0f its issuance, but if not cashed within that time will be void. Settlement Class Members who failed t0 cash their checks within the timelines provided shall nevertheless remain members 0f the Settlement Class and shall be bound by all the terms 0f this Agreement and the Court’s Final Approval Order and Judgment. The Claims Administrator shall perform a second distribution 0f funds 0n a pro rata basis t0 those Class Members who cashed their individual settlement checks if the amount 0f the funds remaining due t0 uncashed checks is at least $4,500.00. Consistent with California Code 0f Civil Procedure section 384, the funds associated with any void, uncashed checks after a second distribution, 0r if the funds remaining from the initial distribution are less than $4,500.00, shall be paid 0n a cypres basis t0 Legal Aid at Work, 0r such other charitable organization as approved by the Court. Upon completion 0f administration 0f the Settlement, the Claims Administrator shall provide written confirmation 0f such completion t0 the Court, Class Counsel and Defendant’s Counsel. RELEASES JOINT STIPULATION OF SETTLEMENT -15- 3286\JOINTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO 56. Release bv the Settlement Class Members. As 0f the Payment Obligation and Class Release Date, Plaintiff and all Settlement Class Members (0n behalf 0f each 0f them and each 0f their heirs, executors, administrators, and assigns) irrevocably and unconditionally fully release and forever discharge Defendant, and its past, present, and future parents, subsidiaries, divisions, and affiliates, and their respective past, present, and future officers, directors, employees, partners, shareholders, owners, agents, vendors, affiliates, insurers, legal representatives, and all 0f their successors (including persons 0r entities who may acquire it in the future), assigns, representatives, heirs, executors, and administrators and all other persons acting by, though, under 0r in concert with them (collectively, the “Released Parties”), from any and all claims, debts, rights, demands, obligations 0r liabilities 0f every nature and description, whether known 0r unknown, for wages, damages, penalties, liquidated damages, punitive damages, interest, attorneys’ fees, litigation costs, restitution, 0r equitable relief arising out 0f the allegations set forth in the Action and Complaint t0 the extent that such claims arise from Settlement Class Members’ employment with Defendant (the “Released Claims”). The Released Claims include, for example, any and all claims for: (a) failure t0 provide paid rest periods 0r separately compensate for rest breaks under Labor Code § 226.7, and Wage Order 9-2001; (b) failure t0 pay for all hours worked, including for all non-productive time, under Labor Code §§ 510, 1194, and the Fair Labor Standards Act; (c) failure t0 reimburse for expenses under Labor Code § 2802; (d) failure t0 provide 0r maintain accurate wage statements pursuant t0 California Labor Code § 226; (e) taking unlawful deductions from wages under Labor Code § 221; (f) waiting time penalties under Labor Code § 203; (g) unfair business practices pursuant t0 California Business and Professions Code § 17200 based upon the foregoing alleged Violations; and, (h) associated civil penalties based 0n the foregoing alleged Violations under Labor JOINT STIPULATION OF SETTLEMENT -16- 3286\J0INTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO Code §2699 et seq.. 57. Additional General Release 0f Claims bv Named Plaintiff (a) The Parties recognize that Plaintiff has a pending civil action for discrimination and harassment against Defendant, Alfred Lax v. Roto-Rooter Services Company, Case N0. 20CV362444, and that this General Release does not release any 0f the claims asserted by Plaintiff in that action. Except for the claims asserted in Alfred Lax v. Roto-Rooter Services Company, Case N0. 20CV3 62444, as 0f the Payment Obligation and Class Release Date, and for the duration 0f the Class Period, Plaintiff (0n his own behalf and 0n behalf 0f his heirs, executors, administrators, and assigns) knowingly and voluntarily releases and forever discharges the Released Parties from any and all claims, known and unknown, asserted and unasserted, that he has 0r may have had against Defendant 0r any 0f the Released Parties as defined in paragraph 57 above. Such claims include, but are not limited t0: breach 0f contract, whether written, oral 0r implied; Violation 0f public policy; tort claims, including but not limited t0 intentional infliction of emotional distress and negligent infliction 0f emotional distress, defamation, misrepresentation, and fraud; retaliation claims; common law claims; any other claims for damages, costs, fees, 0r other expenses, including attorneys’ fees; and any Violations 0f the following statutes, laws, and regulations: Title VII 0f the Civil Rights Act 0f 1964, as amended; The Civil Rights Act 0f 1991; Sections 1981 through 1988 0f Title 42 0f the United States Code, as amended; The Americans with Disabilities Act 0f 1990, as amended; The Age Discrimination in Employment Act of 1967, as amended; the Older Workers Benefit Protection Act; the Employment Retirement Income Security Act 0f 1974, as amended; the Occupational Safety and Health Act, as amended; the Sarbanes-Oxley Act 0f 2002; the Family and Medical Leave Act 0f 1993, as amended; the Fair Labor Standards Act; the California Fair Employment and Housing Act - Cal. Gov’t Code § 12900 et seq.; the California Family Rights Act - Cal. Govt. Code §12945.2 et seq.; the California Unruh Civil Rights Act - CiV. Code §51 et seq.; the California Whistleblower Protection Law - Cal. Lab. Code §1 102-5(a) t0 (c); the California Occupational Safety and Health Act, as amended, California Labor Code § 6300 et seq., and any applicable regulations thereunder; JOINT STIPULATION OF SETTLEMENT -17- 3286\JOINTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO the California Labor Code; the Labor Code Private Attorneys General Act 0f 2004 - Cal. Lab. Code § 2698 et seq.; California Labor Code § 132a; and any other federal, state, 0r local civil employment law, statute, regulation, 0r ordinance capable 0f being released by Plaintiff, excluding any claims that cannot be released as a matter 0f law. (b) Except for those claims asserted in the separate action 0fAlfred Lax v. Roto-Rooter Services Company, Case N0. 20CV362444, Plaintiff expressly waives and relinquishes all rights and benefits 0f California Civil Code section 1542, and does so understanding and acknowledging the significance and consequence 0f specifically waiving rights under Civil Code section 1542, which states as follows: A general release does not extend t0 claims that the creditor 0r releasing party does not know 0r suspect t0 exist in his 0r her favor at the time 0f executing the release and that, ifknown by him or her would have materially affected his 0r her settlement with the debtor or released party. Thus, notwithstanding the provisions 0f Civil Code section 1542, and t0 implement a full and complete release and discharge, Plaintiff expressly acknowledges this Settlement is intended t0 include in its effect, without limitation, all known and unknown claims, including any claims that he does not know 0r suspect t0 exist in his favor against the Released Parties at the time 0f signing this Agreement, and that this Settlement contemplates the extinguishment 0f any such claim 0r claims. Plaintiff acknowledges that he may later discover facts different from 0r in addition t0 those now know 0r believe t0 be true regarding the matters released 0r described in this Agreement, and nonetheless agree that the releases and agreements contained in this Agreement shall remain fully effective in all respects notwithstanding any later discovery 0f any different 0r additional facts. TAXES AND OTHER CONSEQUENCES OF SETTLEMENT PAYMENTS 58. Tax Pavments and Reporting Obligations. The Claims Administrator shall be responsible for making all necessary tax payments t0 governmental agencies, including but not limited t0 income taxes, required deductions and withholdings, and Employer Payroll Contributions, as well as all tax reports and filings in connection with all payments made under JOINT STIPULATION OF SETTLEMENT -18- 3286\J0INTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO this Agreement, including but not limited t0 issuance 0f Forms W-2 and 1099. 59. N0 Tax Advice. Neither Plaintiff s Counsel nor Defendant’s Counsel intend anything contained herein t0 constitute legal advice regarding the taxability 0f any amount paid hereunder, nor shall it be relied upon as such. The tax issues for each Settlement Class Member are unique, and each Settlement Class Member is advised t0 obtain tax advice from his 0r their own tax advisor with respect t0 any payments resulting from the Individual Settlement Payments. In addition, Defendant makes n0 representations 0r warranties 0r promises 0f any kind 0r nature regarding the taxability 0f any sums paid t0 Plaintiff and Plaintiff’s Counsel in settlement pursuant t0 this Agreement, the risk 0f which rests entirely with Plaintiff and Plaintiffs Counsel. 60. Tax Obligations 0f Plaintiff and Plaintiff’s Counsel. Plaintiff and Plaintiff” s Counsel acknowledge and agree that they are and will be responsible for the payment 0f any and all Federal, State, and Local taxes 0r penalties associated with their respective allocated portions 0f the payments described herein. The Parties acknowledge and agree that Plaintiff’s Counsel is not responsible for the payment 0f any 0r all Federal, State, and local taxes 0r penalties associated with the Incentive Award t0 Plaintiff and Individual Settlement Payments t0 Settlement Class Members. The Parties further acknowledge and agree that Plaintiff’s Counsel has n0 duty t0 indemnify, defend, 0r hold the Released Parties harmless from any and all claims by any Federal, State, 0r Local taxing authority that Plaintiff 0r Settlement Class Members failed t0 pay 0r underpaid their share 0f taxes associated with the payments set forth in this Agreement. In the event that the Defendant 0r any Released Party receives any notice 0r demand regarding a claim by a taxing authority that Plaintiff 0r Plaintiff” s Counsel has failed t0 pay 0r underpaid their share 0f any taxes associated with payments they received under this Agreement, the Defendant agrees to notify Plaintiff and Plaintiff’s Counsel so as t0 provide each 0f them with an opportunity t0 defend, at their expense, the Released Parties from any such claim based 0n their respective payments; provided, however, that the opportunity t0 defend the Released Parties shall not relieve Plaintiff or Plaintiff’s Counsel (or both, as applicable) 0f their obligation t0 indemnify and defend the Defendant and/or the Released Parties for their respective share. JOINT STIPULATION OF SETTLEMENT -19- 3286\J0INTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO 61. Settlement Class Member Tax Obligations. Each Settlement Class Member will be responsible for paying all applicable state, local, and federal income taxes 0n all amounts the Settlement Class Member receives pursuant t0 this Agreement and shall not seek indemnification from Defendant or Plaintiff’s counsel in this regard. Should any taxing authority 0r agency determine that any Settlement Class Member owes additional personal income taxes and/or employee contributions 0n any portion 0f his 0r her Individual Settlement Payment based 0n a challenge t0 the allocation 0fwage and non-wage portions set forth in paragraph 34(iii) of this Agreement, such Settlement Class Member shall be solely responsible for the payment 0f his 0r her personal income taxes and/or employee contributions. Accordingly, if any taxing authority 0r agency seeks such amounts from Defendant based 0n a challenge t0 the allocation 0fwage and non-wage portions 0f the Individual Settlement Payment, the Settlement Class Member shall reimburse Defendant for any 0f his 0r her personal income taxes and/or employee contributions that Defendant has actually made t0 any such taxing authority 0r agency. 62. N0 Effect 0n Emplovee Benefits. The Individual Settlement Payments available t0 Settlement Class Members and the Incentive Award paid t0 Plaintiff shall not be deemed t0 be “pensionable” earnings and shall not have any effect 0n the eligibility for, 0r calculation 0f, any of the employee benefits (e.g., vacations, holiday pay, retirement plans, etc.) 0f the Plaintiff 0r Class Members. The Parties agree that any Individual Settlement Payment 0r Incentive Award paid under the terms 0f this Agreement does not represent any modification 0f Settlement Class Members’ previously credited hours 0f service 0r other eligibility criteria under any employee pension benefit plan 0r employee welfare benefit plan sponsored by the Defendant, and any union- sponsored plan in which Class Members participate(d) as a consequence 0f their employment by Defendant. Further, any Individual Settlement Payment 0r the Incentive Award paid hereunder shall not be considered “compensation” in any year for purposes of determining eligibility for, or benefit accrual within, an employee retirement benefit plan, employee welfare benefit plan, employee bonuses, 0r employee past, current, 0r future compensation levels. The Parties further agree that Plaintiff and all Settlement Class Members will be deemed t0 have waived any claims JOINT STIPULATION OF SETTLEMENT -20- 3286\J0INTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO 0r benefits under the Employee Retirement Income Security Act 0f 1974 (29 U.S.C §1001 et seq.) premised upon any and all amounts they receive under this Settlement as part 0f their Released Claims under this Agreement. CONDITIONS OF SETTLEMENT, EFFECT OF DISAPPROVAL, CANCELLATION AND TERMINATION 63. Nullification 0f Agreement. The Parties expressly agree that this Agreement shall be null and void, and shall not be enforceable, in the event: (i) the Court does not enter any order specified herein; or (ii) the Court does not enter a Final Approval and Judgment order finally approving the Settlement as provided herein 0r as otherwise acceptable t0 the Parties; 0r (iii) The Judgment does not otherwise become final due t0 the non- occurrence 0f the Payment Obligation and Class Release Date. (a) The Defendant shall have the sole and exclusive right t0 rescind this Agreement and the Settlement if Class Members representing more than twenty percent (20%) 0f all Qualifying Workweeks opt-out 0f the Settlement. If the Defendant rescinds this Agreement pursuant t0 this provision, the Defendant shall be solely responsible for any and all costs incurred by the Claims Administrator. (b) If the Settlement does not become final for any reason, this Agreement shall be null and void ab initio, n0 Party shall be bound by the terms thereof, and the Agreement shall not be admissible 0r offered into evidence in the litigation 0r any other action for any purpose whatsoever, and any order 0r judgment entered by the Court in furtherance 0f this Settlement shall be treated as withdrawn 0r vacated by stipulation 0f the Parties. In such case, the Parties shall be returned t0 their respective positions as 0f the date immediately prior t0 the execution 0f this Agreement, the Parties shall proceed in all respects as if this Agreement had not been executed, and the Defendant shall have n0 obligation t0 make any payments provided in this Agreement. (c) Notwithstanding the foregoing, an appeal 0f, a modification 0f, a reversal JOINT STIPULATION OF SETTLEMENT -21- 3286\J0INTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO 0n appeal, 0r the reduction 0f any Fee and Expense Award 0r Incentive Award shall not constitute grounds for cancellation and termination 0f this Agreement. GENERAL PROVISIONS 64. Cooperation. The Parties agree t0 cooperate in the settlement administration process, t0 use their best efforts t0 carry out the terms 0f this Settlement, and t0 make all reasonable efforts t0 control and minimize the costs and expenses in settlement administration. 65. N0 Solicitation 0f Obiections 0r Exclusions. Neither the Parties nor their counsel 0r agents will contact Class Members for the purpose 0f attempting t0 influence them t0 not participate in this Settlement. If contacted by a Class Member, Counsel for the Parties and representatives 0f the Defendant may provide information 0r assistance regarding any aspect 0f the Settlement requested by the Class Member. At n0 time shall any 0f the Parties or their counsel, agents, 0r representatives solicit 0r otherwise encourage Class Members 0r any other persons (including but not limited t0 the State 0f California Labor & Workforce Development Agency) t0 submit written obj ections t0 the Settlement 0r requests for exclusion from the Settlement, 0r encourage Class Members 0r any other person t0 appeal from the Judgment. 66. General Duties 0f Claims Administrator. In addition t0 those obligations detailed elsewhere in this Agreement, the Clams Administrator shall consult with counsel for the Parties concerning any relevant issue, shall keep counsel for the Parties apprised 0f the status 0f the distributions 0f Individual Settlement Payments, and shall perform such other tasks as the Parties mutually agree 0r the Court orders the Claims Administrators t0 perform, including responding t0 questions from Class Members. 67. N0 Liabilitv for Carrving Out Settlement Terms. N0 person shall have any claim against the Parties based 0n mailings, distributions, and payments made, 0r any other action taken, in accordance with, 0r pursuant t0, this Agreement 0r any order 0f the Court. In addition, n0 person shall have any claim against the Parties 0r the Claims Administrator based 0n mailings, distributions, and payments made in accordance with this Agreement 0r any order 0f the Court. The Claims Administrator shall not be deemed t0 be an employee 0r agent 0f any Party. JOINT STIPULATION OF SETTLEMENT -22- 3286\J0INTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO 68. Headings and Captions. The headings and captions contained in this Agreement are inserted for convenience and in n0 way define, limit, extend, 0r describe the scope 0f this Agreement 0r the intent 0f any provision thereof. 69. Interim Stav 0f Proceedings. Pending the Final Approval Hearing to be conducted by the Court, 0r earlier if for any reason the settlement contemplated by this Agreement will not occur, the Parties agree t0 hold in abeyance all proceedings in the Action, except such proceedings as are necessary t0 implement and complete the Settlement, 0r t0 comply with any Court Order. 70. Amendment 0r Modification. This Agreement may not be amended 0r modified in any respect except by a written instrument duly executed by all 0f the Parties t0 this Agreement or their counsel and approved by the Court. 71. Entire Agreement. This Agreement constitute the entire Agreement 0f the Parties with respect t0 the matters discussed herein, and n0 oral 0r written representations, warranties, 0r inducements have been made t0 any Party concerning this Agreement other than the representations, warranties, and covenants contained and memorialized in such documents. A11 prior 0r contemporaneous negotiations, agreements, understandings, and representations, whether written 0r oral, are expressly superseded and are 0f n0 further force and effect. Each 0f the Parties acknowledges that it has not relied 0n any promise, representation, 0r warranty, express 0r implied, not contained in this Agreement. 72. Authorization t0 Enter into Settlement Agreement. Each signatory t0 this Agreement warrants and represents that he 0r they have the authority t0 execute this Agreement, thereby binding the respective party t0 take all appropriate action required 0r permitted t0 be taken by the Parties pursuant t0 this Agreement t0 effectuate its terms and t0 execute any other documents required t0 effectuate the terms 0f this Agreement. The Parties and their counsel agree t0 cooperate with each other and t0 use their best efforts t0 effect the implementation 0f this Agreement. 73. Binding Effect 0f the Agreement. This Agreement shall be binding upon, and JOINT STIPULATION OF SETTLEMENT -23- 3286\J0INTSTIPULATIONSETTLEMENTDOC \DOONOUl-PUJNt-t NNNNNNNNNHHHHHHHHHH OONONUI-bwwt-‘OKDOONONUI-PUJNHO inure to the benefit 0f, the Parties and their respective heirs, legal representatives, executors, administrators, successors, and assigns. 74. Choice 0f Law. In determining the rights 0f the Parties hereto, this Agreement shall be governed by, construed, and interpreted in accordance with the laws 0f the State 0f California, without regard t0 the conflict 0f laws principles thereof. 75. Counterparts. This Agreement may be executed in one 0r more counterparts, each 0f which shall be an original, provided that counsel for the Parties shall exchange among themselves original signed counterparts. 76. Representation bv Counsel and Cooperation in Drafting. A11 of the Parties acknowledge that they have been represented by counsel throughout negotiations and in the execution 0f this Agreement, and that this Agreement has been executed with the consent and advice 0f counsel. Each 0f the Parties has cooperated in the drafting and preparation 0f this Agreement. Hence, any rule which construes ambiguities against the drafter shall have n0 force 0r effect. 77. Invaliditv 0fAnv Provision. If any provision of this Agreement is held t0 be invalid, void, 0r unenforceable, the remaining provisions shall continue in full force and effect. 78. Terminology and Construction. A11 personal pronouns used in this Agreement, whether used in the masculine, feminine, 0r neutral gender, shall include all other genders, and the singular shall include the plural and Vice versa. 79. Notices. Any notices 0r other documents that must 0r may be transmitted t0 Plaintiff’s Counsel and/or Defendant’s Counsel, pursuant t0 any provision 0f this Agreement, shall be transmitted to each 0f the following: For documents to Defendant’s Counsel: For documents to Plaintiff" counsel: Reed Schaper HIRSCHFELD KRAEMER LLP 505 Montgomery Street, 13th Floor San Francisco, CA 941 11 Telephone: (415) 835-9000 Robin G. Workman WORKMAN LAW FIRM P.C. 177 Post Street, Suite 800 San Francisco, CA 94108 Telephone: (415) 782-3660 JOINT STIPULATION OF SETTLEMENT -24- 3286\JOINTSTIPULATIONSETTLEMENTDOC - \DOOQQUIAUJN NNNNNNNNN mqomawu~o$§o3333$528 Facsimile: (415)834-0443 Facsimile: (415)788-1028 80. The Parties and all counsel acknowledge and agree that for the purposes ofany claims, actions, and/or proceedings arising out of this Agreement, notice provided to Plaintiff’s Counsel shall be deemed to be notice to the Plaintiff. 8 1. The Parties and their Counsel will fully cooperate with each other and use their best efforts, including all efforts contemplated by this Settlement and any other efforts that may become necessary or ordered by the Court, or otherwise, to accomplish the terms of this Settlement, including but not limited to, executing such documents and taking such other action as may reasonably be necessary to obtain preliminary and final approval of this Settlement and to implement its terms. 82. It is agreed that, because the Class Members are so numerous, it is impossible or impractical to have each Class Member who does not timely and validly opt-out execute this Agreement. Therefore, the Notice Packet will inform all Class Members ofthe binding nature of the releases contained in this Agreement will have the same force and effect as if this Agreement were executed by each Class Member who does not timely and validly opt-out. EXECUTION BY PARTIES AND COUNSEL The Parties and their counsel hereby execute this document to evidence their acceptance of and agreement to the Settlement memorialized in this Agreement. Date: 8 ‘/ 97720, 2020 ALFRED LAX éfl7fi/¢ / Date: , 2020 ROTO-ROOTER SERVICES 0MPANY By:6 V 1'le Date: , 2020 WORKMAN LAW FIRM, PC By: /s/ Robin G. Worlgman JOINT STIPULATION OF SETTLEMENT -25- 3286\JOINTSTIPULATIONSETTLEMENTDOC KOOONONUI-bwwu-t NNNNNNNNNHHHHHHHHHH OONONM-PWNHOKOOONONm-PWNHO Date: , 2020 JOINT STIPULATION OF SETTLEMENT Robin G. Workman Attorneysfor Alfred Lax, and all others similarly situated HIRSCHFELD KRAEMER LLP By: /s/ Reed Schaper -26- Reed Schaper Attorneysfor Defendant Roto-Rooter Services Company Attorney for Defendants 3286\JOINTSTIPULATIONSETTLEMENTDOC EXHIBIT C NOTICE OF PENDENCY OF CLASS ACTION SETTLEMENT AND FINAL APPROVAL HEARING Lax v. Roto-Rooter Services Company SUPERIOR COURT OF CALIFORNIA, COUNTY OF SANTA CLARA (CASE NO. 18CV338652) IF YOU WORKED FOR ROTO-ROOTER AS A NON-EXEMPT SERVICE TECHNICIAN AT THE MENLO PARK OR BRISTOL LOCATIONS, YOU COULD GET A PAYMENT FROM A CLASS ACTION SETTLEMENT. This is a court-authorized notice. This is not a solicitationfrom a lawyer. If approved, a proposed Settlement will provide up to $2,598,000 to resolve a class action lawsuit filed against Roto-Rooter Services Company (“Roto-Rooter” or “Defendant”) to resolve claims under California’s labor laws for Defendant’s alleged failure t0 provide rest breaks, separately pay for rest breaks 0r pay the extra hour 0f compensation for missed rest breaks, failure t0 provide accurate wage statements, failure to pay all wages owed, taking deductions from commissions earned, failing t0 provide a signed contract setting forth the method of calculating commissions, 0r obtaining a signed receipt for same, failing to reimburse for expenses incurred, including the purchase of tools and equipment, on behalf of all current and former non-exempt service technicians employed by Defendant at any time from November 30, 2014, t0 date the Court grants preliminary approval 0f the Settlement (the “Class Period”). o The Settlement is a compromise. The two sides disagree on how much money, if any, might have been awarded if the lawsuit went t0 trial. The Court did not find that Defendant violated the law. Defendant denies that it did anything wrong and maintains that it complied at all times With applicable laws, rules, and regulations. 0 There is no money available now. Your legal rights are affected whether you act 0r don't act. Read this notice carefully. N0 RETALIA TION: Defendant will notfire, punish, retaliate, 0r otherwise discriminate against any employee because he 0r she chooses to participate in this Settlement, chooses not t0 participate, 0r objects t0 the Settlement. E YOUR LEGAL RIGHTS AND OPTIONS IN THIS LAWSUIT j Stay in this lawsuit. Await the outcome. Give up certain rights. DO NOTHING By doing nothing, you keep the possibility of getting money or benefits that may come from the Settlement. But, you give up any rights t0 sue Defendant separately about the same legal claims in this lawsuit. Get out 0f this lawsuit. Get no benefits from it. Keep your rights. ASK T0 BE EXCLUDED If you ask t0 be excluded and the Court later awards money or benefits, you won‘t share in those. But, you keep any rights t0 sue Defendant separately, at your own expense, about the same legal claims in this lawsuit. Questions? Call [Phone Number] Page 1 0f 8 o This Notice explains your options - and the deadlines that you must meet. 0 The Court in charge 0f this case still must decide Whether t0 grant final approval 0f the Settlement. Payments will be made if the Court approves the Settlement and after any appeals are resolved. Please be patient. o Any questions? Read 0n 0r call the Claims Administrator, Rust Consulting, at (000) 000-0000 WHAT THIS NOTICE CONTAINS BASIC INFORMATION ............................................................................................................... Page 3 1. Why did I get this notice package? 2. What is this lawsuit about? 3. What is a class action and who is involved? WHO IS IN THE CLASS SETTLEMENT ............................................................................. Pages 3-4 4. How do I know if I am part of the Settlement? 5. Are there exceptions to being included? 6. I’m still not sure if I am included. THE SETTLEMENT BENEFITS - WHAT YOU GET ..................................................................... Pages 4-5 7. What does the Settlement provide? 8. What am I giving up to get a payment or stay in the Class? 9. How d0 I get a payment? 10. When would I get my payment? 1 1. How much will my payment be? EXCLUDING YOURSELF FROM THE SETTLEMENT .....................................................Page 5-6 12. How do I get out of the Settlement? 13. If I don't exclude myself, may I sue Defendant for the same thing later? 14. If I exclude myself, may I get money from this lawsuit? OBJECTING TO THE SETTLEMENT ...................................................................................... Page 6 15. HOW do I tell the Court that I don’t like the Settlement? 16. What's the difference between objecting and excluding? IF YOU DO NOTHING ................................................................................................................. Page 6 17. What happens if I do nothing at all? THE LAWYERS REPRESENTING YOU ...................................... Pages 6-7 18. D0 I have a lawyer in this case? 19. Should I get my own lawyer? 20. How will the lawyers be paid? THE COURT'S FAIRNESS HEARING ...................................................................................... Page 7 21. When and Where Will the Court decide Whether to approve the Settlement? 22. Do I have t0 come to the hearing? 23. MayI speak at the hearing? Questions? Call [Phone Number] Page 2 0f 8 GETTING MORE INFORMATION ......................................................................................... Pages 8 24. Are more details available? BASIC INFORMATIONt Why did I get this notice package? - Defendant’s records show that you either currently work for Defendant, or previously worked for Defendant, as a non-exempt service technician in California in its Menlo Park and/or Bristol locations, during the Class Period. The Court authorized this Notice because you have a right to know about the proposed Settlement of this class action lawsuit, and about all of your options, before the Court decides Whether to approve the Settlement. This Notice explains the lawsuit, the Settlement, your legal rights, what benefits are available, who is eligible for them, and how t0 get them. g What is this lawsuit about? ‘w" ‘”i The Santa Clara County Superior Court is in charge 0f the case. The lawsuit is known as Lax v. Roto-Rooter Services Company, Case N0. 18CV338652. The lawsuit alleges that Defendant failed t0 provide rest breaks, failed to separately compensate service technicians for rest breaks or pay the extra hour 0f compensation for missed rest breaks, failed t0 provide accurate wage statements, failed t0 pay all wages owed, took deductions from commissions, failed t0 provide a signed contract setting forth the method of calculating commissions, or obtaining a signed receipt for same, failed to reimburse for expenses incurred, including the purchase 0f tools and equipment, and, committed other Violations of the California Labor Code. On November 19, 2020, at 9:00 a.m., in Department 1 0f the Superior Court 0f California, County 0f Santa Clara, the Court held a hearing where it provisionally approved the terms of the proposed Settlement, found that this case can fairly be settled 0n a class basis, approved this Notice, and scheduled a hearing where the Court will consider whether to grant “final approval” of the proposed Settlement. Further information about that hearing is sat forth in section 21, below. I What is a class action and who is involved? W 7 7 3 In a class action lawsuit, a person called a “Class Representative” (in this case Alfred Lax) sues on behalf 0f other people who have similar claims. The people together are a “Class” 0r “Class Members.” The individual who sues is called the Plaintiff. The company he 0r she sues (in this case Roto-Rooter Services Company.) is called the Defendant. One court resolves the issues for everyone in the Class-except for those people who exclude themselves from the Class, as described in Question 12 below. WHO IS IN THE CLASS SETTLEMENT?t How do I know if I am part of the Settlement? t The Court decided that all current and former non-exempt service technicians in California Who worked at Defendant’s Menlo Park and Bristol locations, from November 30, 2014, to preliminary approval, are Class Members. Questions? Call [Phone Number] Page 3 0f 8 tAre there exceptions to being: includnd? 7 _ Only those employees 0f Defendant who meet the requirements of Question 4 are a part of the Settlement. If you exclude yourself from the Settlement pursuant to the instructions in Question 12, you will no longer be included in the Settlement. s I'm still not sure if I am includad. ; If you are still not sure whether you are included, you can get free help by calling or writing to the Claims Administrator 0r lawyers in this case using the contact information provided in Questions 15 and 24. THE SETTLEMENT BENEFITS - WHAT YOU GET lWhat does the Settlement provide? ‘- Under the proposed Settlement, Defendant agrees t0 pay $2,598,000 (the “Gross Settlement Amount”) to resolve Settlement Class Members’ claims. The Gross Settlement Amount includes: (a) expenses and fees of the Claims Administrator up t0 $15,000; (b) an Incentive Award 0fup t0 $20,000 to Class Representative Lax; (c) attorneys’ fees ofup to $825,000 and litigation costs not to exceed $25,000, to Class Counsel; and, (d) a PAGA payment 0f up to $50,000. The Court must approve these payments at the Final Approval Hearing. E What am I giving up to get a payment or stay in the Class? I Unless you exclude yourself, you are staying in the Class, and that means that you can’t sue, continue t0 sue, 0r be part of any other lawsuit against Defendant about the legal issues in this case. It also means that all of the Court’s orders will apply t0 you and legally bind you. See Question 12 ifyou want t0 find out how to exclude yourself from the Class. Unless you exclude yourself, you will release all claims, demands, rights, liabilities, and any causes 0f action, whether known or unknown, arising from the claims alleged in this lawsuit, including, the failure to provide rest breaks, separately compensate for rest breaks or pay the extra hour of compensation for missed rest breaks, failure t0 pay all wages owed, taking deductions from commissions, failing t0 provide a signed contract setting forth the method 0f calculating commissions, or obtaining a signed receipt for same, failing t0 reimburse for expenses incurred, including the purchase 0f tools and equipment, and the failure to provide accurate pay statements in Violation of the California Labor Code, applicable Wage Order(s), the California Private Attorneys General Act, and the California Business and Professions Code section 17200 et seq. E How do I get apayment? T0 receive a settlement payment, you d0 not need t0 take any action. You must however keep a current address on file with the Claims Administrator to ensure that you receive your settlement payment should the Court order final approval of the Settlement. IF YOU MOVE AND THE CLAIMS ADMINISTRATOR CANNOT LOCATE A CURRENT ADDRESS FOR YOU, YOU WILL NOT RECEIVE A PAYMENT. Questions? Call [Phone Number] Page 4 0f 8 t When would I get my payment? - The Claims Administrator Will send Individual Settlement Awards after the Court enters an order granting final approval of the Settlement. If there is an appeal of an order granting final approval of the Settlement, payments will be delayed until all appeals are resolved in favor 0f the Settlement. Please be patient. i How much will my payment be? g The distribution formula in the Settlement is based on the number of work weeks that you worked for Defendant as a non-exempt service technician during the Class Period as compared t0 the total number of work weeks worked by all Class Members for the same period. Your work weeks were determined from Defendant’s records. Based 0n the settlement distribution formula, your estimated minimum Individual Settlement Payment under the terms of the Settlement Will be: $_. Your Individual Settlement Payment may be higher or lower depending 0n a number of factors. Ifyou disagree with the number 0fwork weeks, you may complete Section B 0f the Form and submit any records t0 the Claims Administrator t0 support your claim. The amount of your individual settlement award reflected in this notice is just an estimate. Your payment may be higher or lower, depending 0n the Court’s rulings. EXCLUDING YOURSELF FROM THE SETTLEMENT If you don’t want a payment from this Settlement, but you want to keep the right to sue or continue to sue Defendant, at your own expense about the legal issues in this case, then you must take steps to get out. This is called excluding yourself- 0r is sometimes referred t0 as opting out 0f the Settlement. E How do I get out of the Settlement? g To exclude yourself from tha Settlement, you must send a letter stating that you want to be excluded from the Lax v. Roto-Rooter Services Company settlement and that you understand that by doing so you will not receive any money from the settlement. Be sure t0 include your name, address, telephone number, and your signature. You must mail your exclusion request postmarked no later than <> to: Lax v. Roto-Rooter Services Company Class Action Rust Consulting [ADDRESS] [TELEPHONE NUMBER]I If I don't exclude myself, may I sue Defendant for the same thing later? t N0. Unless you exclude yourself, you give up any right to sue Defendant for the claims this Settlement resolves. Ifyou have a pending lawsuit against Defendant, speak to your lawyer in that case immediately. Remember, the exclusion deadline is <>. If you start your own lawsuit against Defendant after you exclude yourself, you’ll have to hire and pay your own lawyer for that lawsuit, and you’ll have to prove your claims. Questions? Call [Phone Number] Page 5 0f 8 No. If you exclude yourself, you Will not receive any money from this Settlement. But, you may sue, continue to sue, or be part of a different lawsuit against Defendant. im excluds myself, may I get money fiom this Settlement? OBJECTING TO THE SETTLEMENT rHfiW do I'tell the Court that I don’t like the Settlement? - As a Class Member, you may obj ect to the Settlement ifyou don’t like any part of it. To submit your obj ections in writing, you must sign the obj ection and state the following: (1) your full name; (2) the dates of your employment; (3) the last four digits 0f your Social Security number or your Employee ID number; and, (4) your factual and legal basis for the obj ection with any supporting documents and evidence. You may also appear in person at the final approval hearing to inform the Court of your objections whether or not you submit a written obj ection. You must state that you obj ect to the Settlement in Lax v. Roto-Rooter Services Company Class Action, Case No. 18CV338652. You must mail your obj ection postmarked no later than <> to the Claims Administrator at the following address: Lax v. Roto-Rooter Services Company Class Action Rust Consulting [ADDRESS] [TELEPHONE NUMBER] r What is the difference between objecting and excluding? - Objecting is simply telling the Court that you don’t like something about the Settlement. You can object only if you stay in the Class. Excluding yourself is telling the Court that you don’t want to be part of the Class. Ifyou exclude yourself, you cannot obj ect because the case no longer affects you. You have 45 days from <> t0 obj ect 0r exclude yourself from the class. IF YOU DO NOTHING t What happens if I do nothing at all? t By doing nothing you choose t0 stay in the Class. If you stay in and the Court approves the Settlement, you will receive a portion 0f the Settlement proceeds. Keep in mind that ifyou do nothing now, you Will not be able to sue, 0r continue to sue Defendant about the same legal claims that are the subj ect of this lawsuit. You will also be legally bound by all orders and judgments of the Court in this class action. THE LAWYERS REPRESENTING YOU ififi have a lawyer in this case? The Court decided that the Workman Law Firm, PC, 177 Post Street, Suite 800, San Francisco, CA, 415-782- 3660, is qualified to represent you and all Class Members. You Will not be charged for these lawyers. The law firm is referred to as “Class Counsel.” They are experienced in handling similar cases against other employers. Questions? Call [Phone Number] Page 6 0f 8 More information about the Workman Law Firm, PC, their practices, and their experience is available at www.workmanlawpc.com. You can also find the most important documents in this case, this notice, the complaint, eta, at this website. E. Should I get my own lawyer? t You d0 not need t0 hire your own lawyer because Class Counsel is working for you. But, ifyou want your own lawyer, you Will have t0 pay that lawyer. For example, you can ask him or her to appear in Court for you ifyou want someone other than Class Counsel to speak for you. Ea How Will the lawyers be paid? l II 7 g Class Counsel Will ask the Court to approve payment 0f attorneys’ fees not t0 exceed $825,000 and litigation costs not to exceed $25,000. THE COURT’S FAIRNESS HEARING The Court Will hold a Final Approval Hearing t0 decide whether to approve the Settlement. You may attend and you may ask t0 speak, although you don’t have t0. fl. When and where will the court decide whether to approve the settlement? g The Final Approval Hearing is scheduled to occur 0n , 2020,_ a.m. in Dept. 1 0f the Superior Court 0f California, County of Santa Clara, located at 191 N. First St., San Jose, California. The Court may continue 0r adjourn the final approval hearing without further notice to the Class. At this hearing the Court will consider whether the Settlement is fair, reasonable and adequate. If there are objections, the Court will consider them. The Court Will listen t0 people Who have asked to speak at the hearing. The Court may also decide how much to pay Class Counsel. After the hearing, the Court will decide Whether to approve the Settlement. We d0 not know how long these decisions Will take. E Do I have to come to the Final Approval Hearing? - i No. Class Counsel Will answer any questions the Court may have. But, you are welcome to come at your own expense. Ifyou file an obj ection, you d0 not need t0 come t0 Court to talk about it. As long as you filed and mailed your written objection, the Court will consider your objection 0r may allow you t0 speak at the hearing. You may also pay your own lawyer to attend, but it's not necessary. g; MayI speak at the Final Approval Hearing? g You may ask the Court for permission t0 speak at the Final Approval Hearing. Unless the Court allows it, you cannot speak at the hearing ifyou excluded yourself. Questions? Call [Phone Number] Page 7 0f 8 GETTING MORE INFORMATIONt Are more details available? The Court-appointed Claims Administrator for this Settlement is as follows: Lax v. Roto-Rooter Services Company Class Action Rust Consulting [ADDRESS] [TELEPHONE NUMBER] Ifyou have questions, you may call the Claims Administrator toll free at [TELEPHONE NUMBER]. Ask about the Lax v. Roto-Rooter Services Company Class Action, Case No. 18CV338652. You may also contact Class Counsel using the contact information provided in Question 15. PLEASE DO NOT CALL THE COURT. You may also View documents filed in this case, including the complete Settlement Agreement, on the Rust Consulting web site (fill in cite) website or the Court’s website at: WWW.scscourt.0rg/online_serVices/case_inf0.shtml. You may also review documents in person at the Office of the Clerk at the Superior Court of California, City and County of Santa Clara, 191 N. First St., San Jose, California 951 13, between the hours 0f 8:30 am. and 3:00 p.m., Monday through Friday, excluding Court holidays. Questions? Call [Phone Number] Page 8 0f 8 EXHIBIT D .bUJN \OOOQO‘xLJI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 WORKMAN LAW FIRM, PC Robin G. Workman (Bar #145810) robin@workmanlawpc.com Rachel E. Davey (Bar #3 16096) rachel@w0rkmanlawpc.com 177 Post Street, Suite 800 San Francisco, CA 94108 Telephone: (415) 782-3660 Facsimile: (415) 788-1028 Attorneysfor Plaintijj’, Alfred Lax 0n behalfofhimselfand all others similarly situated SUPERIOR COURT OF CALIFORNIA COUNTY 0F SANTA CLARA ALFRED LAX, 0n behalf of himself and all NO' 18CV338652 Others Slmllarly mated, ASSIGNED FOR ALL PURPOSES To THE . . HON. BRIAN c. WALSH, DEPT. 1 Plalntlff, VS- NOTICE 0F TAKING DEPOSITION 0F ROTO-ROOTER SERVICES COMPANYROTO'ROOTER SERVICES COMPANY, and PERSON(S) MOST KNOWLEDGEABLE Does 1 through 50, 1nclu51ve, Defendants. DEPOSITON NOTICE; PMK -1- 3286\DISCOVERY\DEP0NOTIPMK \OOOflQUl-RWNH NNNNNNNNNHHHH TO EACH PARTY AND TO EACH ATTORNEY OF RECORD IN THIS ACTION: YOU ARE HEREBY NOTIFIED that, pursuant t0 Code 0f Civil Procedure sections 2025.010 and 2025.230, Plaintiff Alfred Lax will take the deposition 0f Roto-Rooter Services Company (“deponent”) who shall designate and produce at the deposition those of its officers, directors, managing agents, employees or agents who are most qualified t0 testify on its behalf, to the extent 0f any information known 0r reasonably available t0 the deponent regarding the topics listed below. The deposition will commence on the dates and times listed below at the Workman Law Firm, PC, 177 Post Street, Suite 900, San Francisco, CA, upon examination before a notary public duly authorized to administer oaths. Said deposition t0 continue from day t0 day until completed, Saturdays, Sundays and holidays excepted. The deposing party intends to record the proceedings by stenographic method, through the instant Visual display of the testimony and/or Videotape recording. Plaintiff will not provide t0 any 0f the parties or their counsel technological equipment with which to receive the instant Visual display 0f the testimony. Plaintiff expressly reserves the right t0 introduce and use any audiotape and/or Videotape deposition testimony at the time of trial. TOPIC DATE 1. The method, if any, by which YOU April 8, 2020 compensated service technicians in California for rest breaks from November 30, 2014 t0 the present. 2. The method, if any, by which YOU April 8, 2020 reflected rest breaks taken by service technicians in California from November 30, 2014 t0 the present. 3. The method, if any, by which YOU April 8, 2020 compensated service technicians in California for meal breaks from November 30, 2014 to the present. 4. The method, if any, by which YOU April 8, 2020 reflected meal breaks taken by service technicians in California from November 30, 2014 t0 the present. DEPOSITON NOTICE; PMK -2- 3286\DISCOVERY\DEPONOTIPMK OWNQUI-PUJN 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 The method, if any, by which YOU compensated service technicians in California from November 30, 2014 t0 the present for equipment repair time. April 8, 2020 The method, if any, by Which YOU reflected equipment repair time worked by service technicians in California from November 30, 2014 t0 the present April 8, 2020 The method, if any, by which YOU compensated service technicians in California from November 30, 2014 t0 the present, for van maintenance time. April 8, 2020 The method, if any, by Which YOU reflected van maintenance time worked by service technicians in California from November 30, 2014 to the present. April 8, 2020 The requirement that service technicians in California clock in for work on their cellular phones from November 30, 2014 t0 the present. April 8, 2020 10. The method, if any, by which YOU compensated service technicians in California from November 30, 2014 t0 the present, for stand by time. April 8, 2020 11. The method, if any, by which YOU reflected stand by time worked by service technicians in California from November 30, 2014 t0 the present. April 8, 2020 12. The method by which YOU calculated compensation owed t0 service technicians in California from November 30, 2014 to the present. April 8, 2020 13. How YOU determined the regular rate 0fpay for purposes of overtime calculations for service technicians in California from November 30, 2014 to the present. April 8, 2020 DEPOSITON NOTICE; PMK -3- 3286\DISCOVERY\DEPONOTIPMK H \OOOQGUI-bwk) NNNNNNNNNHHH DEFINITIONS Unless specifically indicated otherwise, the following definitions are applicable throughout this notice (including this Definitions section) and are incorporated by reference into each specific request. The definitions are limited, if at all, only t0 the extent necessary t0 avoid a nonsensical meaning of any request. 1. The terms "YOU", "YOUR", and "YOURS" include the deponent, deponent’s predecessors, affiliates, subsidiaries, successors, and assigns, each 0f their past or present officers, directors, employees, representatives, and agents, and any person acting 0r purporting to act on behalf 0f any of the foregoing. Date: February 24, 2020 N LAW F1 / MAA/PC ROWG/ Wfirkman Attorneysfor Alfi'ed Lax/and all others similarly situated DEPOSITON NOTICE; PMK -4- 3286\DISCOVERY\DEPONOTIPMK \OOONONU‘I-PLNN 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 PROOF OF SERVICE I, Cheryl Porter, hereby declare: I am employed in the City and County of San Francisco, California in the office of a member 0f the bar 0f this court at whose direction the following service was made. I am over the age 0f eighteen years and not a party t0 the Within action. My business address is Workman Law Firm, PC, 177 Post Street, Suite 800, San Francisco, California. On February 24, 2020, I served NOTICE OF TAKING DEPOSITION OF ROTO- ROOTER SERVICES COMPANY PERSON(S) MOST KNOWLEDGEABLE 0n the interested parties in this action as follows: E via mail b lacing a true copy thereof, on the above date, enclosed in a sealed envelope o lowing the ordinary business practice ofWorkman Law Firm, PC, for collection and mailing in the United States mail addressed as set forth below: Via email as set forth below: D Via messenger service by placing a true copy thereof, 0n the above date, enclosed in a sea_led envelope and providing them t0 a professional messenger service for serv1ce. I served the documents 0n the person 0r person below as follows: REED E. SCHAPER (SBN BENJAMIN J. TREGER (SBN 285283) HIRSCHFELD KRAEMER LLP 233 Wilshire Boulevard, Suite 600 Santa Monica, CA 90401 Telephone: (310) 255-0705 Facsimile: (310) 255-0986 I am personally and readily familiar with the business practice 0f Workman Law Firm, PC for collection and processing 0f documents for mailing with the U.S. Postal Service, pursuant t0 which mail placed for collection at designated stations in the ordinary course of business is deposited the same day, proper postage prepaid, with the U.S. Postal Service. I declare under penalty 0f perjury under the laws of the State 0f California that the foregoing is true and correct, and that this declaration was executed on February 24, 2020, at San QMMD - a] Francisco, California. cryl ‘Pt‘il’te‘f’ ' DEPOSITON NOTICE; PMK -5 EXHIBIT E \OWNONUILUJNH NNNNNNNNNHHHP-‘Hfl WORKMAN LAW FIRM, PC Robin G. Workman (Bar #145810) r0bin@w0rkmanlawpc.com Rachel E. Davey (Bar #3 16096) rachel@w0rkmanlawpc.com 177 Post Street, Suite 800 San Francisco, CA 94108 Telephone: (415) 782-3660 Facsimile: (41 5) 788-1028 Attorneysfor Plaintifif Alfi’ed Lax 0n behalfofhimselfand all others similarly situated SUPERIOR COURT OF CALIFORNIA COUNTY 0F SANTA CLARA ALFRED LAX, on behalf of himself and all NO' 18CV338652 Others Slmllafly Sltuateda ASSIGNED FOR ALL PURPOSES T0 THE . . HON. BRIAN C. WALSH, DEPT. 1 Plalntlff, PLAINTIFF ALFRED LAx’s VS- REQUESTS FOR ADMISSIONS T0 DEFENDANT ROTO-ROOTER Does 1 through 50, inclusive, D f d t We en an S. The Amount Demanded Exceeds $25,000 PROPOUNDING PARTY: Plaintiff Alfred Lax RESPONDING PARTY: Defendant Roto-Rooter Services Company SET: One REQUEST FOR ADMISSION, SET ONE -1- 3286\DlSCOVERY/RFAROTO-ROOTER1ST.DOC U‘I-wa \DOONON 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Pursuant t0 California Code of Civil Procedure Section 2033.010, Plaintiff Alfred Lax("P1aintiff') hereby requests, within thirty (3 0) days after service 0f these requests, that Defendant Roto-Roqter Services Company (“Defendant ") admit under oath the matters 0f fact specified in the following requests for admission: REQUESTS FOR ADMISSION REQUEST FOR ADMISSION NO. 1: From November 30, 2014 to the present, YOU have not separately compensated service technicians in California for rest breaks. (The terms "YOU," "YOUR" or "YOURS" refer t0 Defendant Roto-Rooter Services Company and, if applicable, the agents, employees, officers, and directors 0f same or of any subsidiary 0r divisions thereof, and their attorneys and those persons employed by their attorneys.) REQUEST FOR ADMISSION NO. 2: From November 30, 2014 to the present, YOU d0 not have ANY DOCUMENTS reflecting rest breaks taken by service technicians in California. (As used herein, the term "ALL" is synonymous with "ANY" and the term "OR" means "AND/OR.") (The terms "DOCUMENT" 0r "DOCUMENTS" shall mean any tangible thing upon which any expression, communication or representation has been recorded by any means including, but not limited t0, “COMPUTER RECORDS,” “E-MAIL RECORDS,” handwriting, typewriting, printing, photographing, audio taping, videotaping, magnetic impulse, 0r mechanifial or electronic recording and any non-identical copies (whether different from the original because 0fnotes made 0n such copies, because of indications that said copies were sent t0 different individuals than were the originals, 0r because of any other reason), including but not limited t0 working papers, preliminary, intermediate or final drafts, correspondence, memoranda, spreadsheets, charts, notes, scn'pts, records 0f any sort of meetings, invoices, financial statements, financial calculations, diaries, reports 0f telephone 0r other oral conversations, desk calendars, appointment books, audio or Video tape recordings, computer tape, computer disk, computer printout, computer card, and all other writings and recordings of every kind that are in your actual or constructive possession, custody or control. The term "COMPUTER RECORDS” shall mean any tangible thing upon which any expression, communication or REQUEST FOR ADMISSION, SET ONE -2- 3286\DlSCOVERY/RFAROTO-ROOTER1ST.DOC \OOONQU‘I-RUJNH NNNNNNNNNp-nt-Hp-Ar-tu-Ap-‘HHH OOQONU‘l-bWNHOOOONOthUJNHO representation has been recorded by any means including, but not limited t0, network server storage, backup storage, online server storage, computer tape, computer disk, computer floppy diskette, computer printout, computer card, computer hard drive, computer floppy drive, removable computer drive storage, scanner, computer facsimile, printing, photographing, Video recording, audio recording, magnetic impulse, or other means of electronic recording and any non-identical copies (whether different from the original because 0f notes made on such copies, because of indications that said copies were sent t0 different individuals than were the originals, or because 0f any other reason), including but not limited t0 working papers, preliminary, intermediate 0r final drafts, correspondence, memoranda, spreadsheets, charts, notes, scripts, records 0f any sort 0f meetings, invoices, financial statements, financial calculations, diaries, reports oftelephone or other oral conversations, calendars, task schedulers, audio or Video recordings, and all other writings and recordings of every kind that are in your actual or constructive possession, custody or control. The term “E-MAIL RECORDS” shall mean any and all tangible thing upon which any expression, communication 0r representation has been recorded by any means including, but not limited to, any form 0f electronic mail, Internet online e-mail, any form of interoffice and/or intraoffice network e-mail, printouts 0f documents from Internet online e-mail or interoffice and intraoffice network e-mail, including any copies which may be stored electronically in any manner including, but not limited t0, network server storage, backup storage, online server storage, computer tape, computer disk, computer floppy diskette, computer printout, computer card, computer hard drive, computer floppy drive, removable computer drive storage, scanner, computer facsimile, printing, photographing, Video recording, audio recording, magnetic impulse, 0r other means 0f electronic recording and any non-identical copies (whether different from the original because of notes made on such copies, because 0f indications that said copies were sent t0 different individuals than were the originals, 0r because of any other reason), including but not limited to working papers, preliminary, intermediate 0r final drafts, correspondence, memoranda, spreadsheets, charts, notes, scripts, records of any sort of meetings, invoices, financial statements, financial calculations, diaries, reports oftelephone 0r other oral conversations, calendars, task schedulers, audio 0r Video recordings, and all other writings and recordings 0f every kind that are in your actual 0r constructive possession, custody 0r control.) REQUEST FOR ADMISSION, SET ONE -3- 3286\DISCOVERY/RFAROTO-ROOTER1ST.DOC \OOONONU‘IAWNH NNNNNNNNNHHHHu-HHp-tr-tt- OONQUl-PUJNHOOOONONU‘I-RWNHO REQUEST FOR ADMISSION NO. 3: From November 30, 2014 t0 the present, YOU d0 not have ANY DOCUMENTS reflecting meal breaks taken by service technicians in California. REQUEST FOR ADMISSION NO. 4: From November 30, 2014 to the present, YOU have not separately compensated service technicians in California for equipment repair time. REQUEST FOR ADMISSION NO. 5: From November 30, 2014 t0 the present, YOU d0 not have not have ANY DOCUMENTS reflecting separate compensation for service technicians in California for equipment repair time. REQUEST FOR ADMISSION NO. 6: From November 30, 2014 t0 the present, YOU have not separately compensated service technicians in California for van maintenance time. REQUEST FOR ADMISSION NO. 7: From November 30, 2014 t0 the present, YOU do not have not have ANY DOCUMENTS reflecting separate compensation for service technicians in California for van maintenance time. REQUEST FOR ADMISSION NO. 8: From November 30, 2014 t0 the present, YOU required service technicians in California to clock in for work through cellular phones 45 minutes before their assigned shift 0f the day. REQUEST FOR ADMISSION NO. 9: From November 30, 2014 to the present, YOU deducted a set amount from the wages of service technicians in California for service technicians’ use 0f company-supplied vehicles. REQUEST FOR ADMISSION NO. 10: From November 30, 2014 t0 the present, YOU did not pay service technicians in California an additional hour 0f compensation for missed rest breaks. REQUEST FOR ADMISSION NO. 11: From November 30, 2014 to the present, YOU did not pay service technicians in California an additional hour 0f compensation for missed meal breaks. REQUEST FOR ADMISSION, SET ONE -4- 3286\DISCOVERY/RFAROTO-ROOTER1ST.DOC \OOONONUIhUJNH NNNNNNNNNt-tr-lr-tp-‘y-np-At-tr-Ar-nt-t OONONUIAUJNHOKOwNQUl-meHO Date: March 18, 2019 REQUEST FOR ADMISSION, SET ONE WORKMA W FIRM, PC 0 m . offiman I’ Attorneysfor Alfi'ed Lax, and all others similarly situated -5- 3286\DISCOVERY/RFAROTo-ROOTER1ST.DOC OOONQUI-P 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 PROOF OF SERVICE I, the undersigned, hereby declare: I am employed in the City and County 0f San Francisco, California in the office 0f a member of the bar 0f this court at whose direction the following service was made. I am over the age 0f eighteen years and not a party t0 the within action. My business address is Workman Law Firm, PC, 177 Post Street, Suite 800, San Francisco, California. Ihereby certify that 0n March 18, 2019, I served the PLAINTIFF ALFRED LAX’S FIRST SET OF REQUEST FOR ADMISSIONS TO DEFENDANT ROTO-ROOTER SERVICES COMPANY 0n the interested parties in this action Via mail by placing a true copy thereof, 0n the above date, enclosed in a sealed envelope following the ordinary business practice 0f Workman Law Firm, PC, for collection and mailing in the United States mail addressed as set forth below: REED E. SCHAPER BENJAMIN J. TREGER HIRSCHFELD KRAEMER LLP 233 Wilshire Boulevard, Suite 600 Santa Monica, CA 90401 I am personally and readily familiar with the business practice of Workman Law Firm, PC for collection and processing 0f documents for mailing with the U.S. Postal Service, pursuant to which mail placed for collection at designated stations in the ordinary course 0f business is deposited the same day, proper postage prepaid, with the U.S. Postal Service. I declare under penalty 0f perjury under the laws 0f the State 0f California that the foregoing is true and correct. REQUEST FOR ADMISSION, SET ONE -6-- 3286\D|SCOVERY/RFAROTO-ROOTER1 ST.DOC EXHIBIT F DlSC-OO‘I A‘I'roRN_EY OR PARTY WITHOUT A‘I'I'ORNEY (Name Stare Bar number, and address): Robln G. Workman (Bar # 145810) -W0rkman Law Firm, PC 177 Post Street, Suite 800 égefifiasngfi 219 mém muoropnunau; 415 788-1028 E-MAILADDREss (Optional): robingfl/workmanla o.com ATrORNEY FOR (Name): Alfie Lax, Plainti SUPERIOR COURT 0F CALIFORNIA, COUNTY 0F SANTA CLARA SHORT TITLE OF CASE: Alfred Lax V. Roto-Rooter Services Company Asking Party: Alfred Lax Answering Party: Roto-Rooter Services Company Set No.: 1 FORM INTERROGATORIES-GENERAL CASE NUMBER: 18CV338652 Sec. 1. Instructions to All Parties (a) Interrogatories are written questions prepared by a party to an action that are sent to any other party in the action to be answered under oath. The interrogatories below are form interrogatories approved for use in civil cases. (b) For time limitations, requirements for service on other parties, and other details. see Code of Civil Procedure sections 2030.010-2030.41O and the cases construing those sections. (c) These form interrogatories do not change existing law relating to interrogatories nor do they affect an answering party’s right to assert any privilege or make any objection. Sec. 2. Instructions to the Asking Party (a) These interrogatories are designed for optional use by parties in unlimited civil cases where the amount demanded exceeds $25,000. Separate interrogatories, Form lnterrogatories-Limited Civil Cases (Economic Litigation) (form DISC-004), which have no subparts, are designed for use in limited civil cases where the amount demanded is $25,000 or less; however, those interrogatories may also be used in unlimited civil cases. (b) Check the box next to each interrogatory that you want the answering party to answer. Use care in choosing those interrogatories that are applicable to the case. (c) You may insert your own definition of INCIDENT in Section 4, but only where the action arises from a course of conduct or a series of events occurring over a period of time. (d) The interrogatories in section 16.0, Defendant’s Contentions-Personal Injury, should not be used until the defendant has had a reasonable opportunity to conduct an investigation or discovery of plaintiff‘s injuries and damages. (e) Additional interrogatories may be attached. Sec. 3. Instructions to the Answering Party (a) An answer or other appropriate response must be given to each interrogatory checked by the asking party. (b) As a general rule, within 30 days after you are served with these interrogatories, you must serve your responses on the asking party and serve copies of your responses on all other parties to the action who have appeared. See Code of Civil Procedure sections 2030.260-2030.270 for details. Form Approved for Optional Use Judicial Council of California DISC-001 [Rev January 1, 2008] (c) Each answer must be as complete and straightfonNard as the information reasonably available to you, including the information possessed by your attorneys or agents, permits. If an interrogatory cannot be answered completely. answer it to the extent possible. (d) If you do not have enough personal knowledge to fully answer an interrogatory, say so, but make a reasonable and good faith effort to get the information by asking other persons or organizations, unless the information is equally available to the asking party. (e) Whenever an interrogatory may be answered by referring to a document, the document may be attached as an exhibit to the response and referred to in the response. If the document has more than one page, refer to the page and section where the answer to the interrogatory can be found. (f) Whenever an address and telephone number for the same person are requested in more than one interrogatory. you are required to furnish them in answering only the first interrogatory asking for that information. (g) If you are asserting a privilege or making an objection to an interrogatory, you must specifically assert the privilege or state the objection in your written response. (h) Your answers to these interrogatories must be verified, dated, and signed. You may wish to use the following form at the end of your answers: I declare under penalty of perjury under the laws of the State of Califomia that the foregoing answers are true and correct. FORM INTERROGATORIES-GENERAL (DA TE) (S/GNATURE) Sec. 4. Definitions Words in BOLDFACE CAPITALS in these interrogatories are defined as follows: (a) (Check one of the following): (1) INCIDENT includes the circumstances and events surrounding the alleged accident, injury, or other occurrence or breach of contract giving rise to this action or proceeding. Page 1 of 8 Code of Civil Procedure, §§ 2030.01 0-2030 410, 2033 710 www.courtinfo.ca.gov LexisNexis® Automated California Judicial Council Forms E] (2) INCIDENT means (insen‘ your definition here or on a separate, attached sheet labeled "Sec. 4(a)(2)")-' (b) YOU OR ANYONE ACTING ON YOUR BEHALF includes you. your agents. your employees, your insurance companies, their agents, their employees. your attorneys, your accountants, your investigators, and anyone else acting on your behalf. (c) PERSON includes a natural person. firm. association. organization, partnership, business, trust, limited liability company, corporation, or public entity. (d) DOCUMENT means a writing. as defined in Evidence Code section 250, and includes the original or a copy of handwriting. typewriting. printing, photostats, photographs, electronically stored information. and every other means of recording upon any tangible thing and form of communicating or representation, including letters, words, pictures, sounds, or symbols, or combinations of them. (e) HEALTH CARE PROVIDER includes any PERSON referred to in Code of Civil Procedure section 667.7(e)(3). (f) ADDRESS means the street address. including the city. state, and zip code. Sec. 5. Interrogatories The following interrogatories have been approved by the Judicial Council under Code of Civil Procedure section 2033.710: CONTENTS 1.0 Identity of Persons Answering These Interrogatories 2.0 General Background Information-Individual 3.0 General Background Information-Business Entity 4.0 Insurance 5.0 [Reserved] 6.0 Physical. Mental, or Emotional Injuries 7.0 Property Damage 8.0 Loss of Income or Earning Capacity 9.0 Other Damages 10.0 Medical History 11.0 Other Claims and Previous Claims 12.0 Investigation-General 13.0 Investigation-Surveillance 14.0 Statutory or Regulatory Violations 15.0 Denials and Special or Affirmative Defenses 16.0 Defendant’s Contentions Personal Injury 17.0 Responses to Request for Admissions 18.0 [Reserved] 19.0 [Reserved] 20.0 How the Incident Occurred-Motor Vehicle 25.0 [Reserved] 30.0 [Reserved] 40.0 [Reserved] 50.0 Contract 60.0 [Reserved] 70.0 Unlawful Detainer [See separate form DlSC-003] 101 .0 Economic Litigation [See separate form DISC-004] 200.0 Employment Law [See separate form DISC-002] Family Law [See separate form FL-145] DlSC-001 1.0 Identity of Persons Answering These Interrogatories 1.1 State the name, ADDRESS, telephone number, and relationship to you of each PERSON who prepared or assisted in the preparation of the responses to these interrogatories. (Do not identify anyone who simply typed or reproduced the responses.) 2.0 General Background Information-individual D 2.1 State: (a) your name; (b) every name you have used in the past; and (c) the dates you used each name. D 2.2 State the date and place of your birth. D 2.3 At the time ofthe INCIDENT, did you have a driver's license? If so state: (a) the state or other issuing entity; (b) the license number and type; (c) the date of issuance; and (d) all restrictions. D 2.4 At the time ofthe INCIDENT, did you have any other permit or license for the operation of a motor vehicle? If so. state: (a) the state or other issuing entity; (b) the license number and .type; (c) the date of issuance; and (d) all restrictions. D 2.5 State: (a) your present residence ADDRESS; (b) your residence ADDRESSES for the past five years; and (c) the dates you lived at each ADDRESS. D 2.6 State: (a) the name, ADDRESS, and telephone number of your present employer or place of self-employment; and (b) the name, ADDRESS, dates of employment, job title, and nature of work for each employer or self-employment you have had from five years before the INCIDENT until today. D 2.7 State: (a) the name and ADDRESS of each school or other academic orvocational institution you have attended, beginning with high school; (b) the dates you attended; (c) the highest grade level you have completed; and (d) the degrees received. D 2.8 Have you ever been convicted of a felony? If so, for each conviction state: (a) the city and state where you were convicted; (b) the date of conviction; (c) the offense; and (d) the court and case number. D 2.9 Can you speak English with ease? If not. what language and dialect do you normally use? D 2.10 Can you read and write English with ease? If not. what language and dialect do you normally use? DlSC-001 [Rev January 1, 2008] FORM lNTERROGATORIES-GENERAL Page 2 of 8 LexisNexis® Automated California Judicial Council Forms D 2.11 Atthetime of the INCIDENT were you acting as an D agent or employee for any PERSON? If so, state: (a) the name, ADDRESS, and telephone number of that PERSON: and (b) a description of your duties. 2.12 At the time of the INCIDENT did you or any other person have any physical, emotional, or mental disability or condition that may have contributed to the occurrence of the INCIDENT? lf so, for each person state: (a) the name, ADDRESS, and telephone number; (b) the nature of the disability or condition; and (c) the manner in which the disability or contributed to the occurrence of the INCIDENT. condition 2.13 Within 24 hours beforethe INCIDENT did you or any person involved in the INCIDENT use or take any of the following substances: alcoholic beverage. marijuana, or other drug or medication of any kind (prescription or not)? If so, for each person state: (a) the name, ADDRESS, and telephone number; (b) the nature or description of each substance; (c) the quantity of each substance used or taken; (d) the date and time of day when each substance was used ortaken; (e) the ADDRESS where each substance was used or taken; (f) the name. ADDRESS, and telephone number of each person who was present when each substance was used ortaken; and (g) the name, ADDRESS. and telephone number of any HEALTH CARE PROVIDER who prescribed or furnished the substance and the condition for which it was prescribed or furnished. 3.0 General Background Information-Business Entity E] 3.1 Are you a corporation? If so, state: (a) the name stated in the current articles of incorporation; (b) all other names used by the corporation during the past 10 years and the dates each was used; (c) the date and place of incorporation; (d) the ADDRESS of the principal place of business; and (e) whether you are qualified to do business in California. 3.2 Are you a partnership? lf so, state: (a) the current partnership name; (b) all other names used bythe partnership during the past 1O years and the dates each was used; (c) whether you are a limited partnership and, if so, under the laws of what jurisdiction; (d) the name and ADDRESS of each general partner; and (e) the ADDRESS of the principal place of business. 3.3 Are you a limited liability company? If so. state: (a) the name stated in the current articles of organization; (b) all other names used by the company during the past 10 years and the date each was used; (c) the date and place of filing of the articles of organization; (d) the ADDRESS of the principal place of business; and (e) whether you are qualified to do business in California. D DISC-001 3.4 Are you a joint venture? If so. state: (a) the currentjoint venture name; (b) all other names used by the joint venture during the past 10 years and the dates each was used; (c) the name and ADDRESS of each joint venturer; and (d) the ADDRESS of the principal place of business. 3.5 Are you an unincorporated association? If so, state: (a) the current unincorporated association name; (b) all other names used by the unincorporated association during the past 10 years and the dates each was used; and (c) the ADDRESS of the principal place of business. 3.6 Have you done business under a fictitious name during the past 10 years? If so, for each fictitious name state: (a) the name; (b) the dates each was used; (c) the state and county of each fictitious name filing; and (d) the ADDRESS of the principal place of business. 3.7 VWthinthe pastfive years has any public entity regis- tered or licensed your business? If so, for each license or registration: (a) identify the license or registration; (b) state the name of the public entity; and (c) state the dates of issuance and expiration. 4.0 Insurance D D 4.1 Atthetime ofthe INCIDENT, was there in effect any policy of insurance through which you were or might be insured in any manner (for example. primary. pro-rata, or excess liability coverage or medical expense coverage) for the damages, claims, or actions that have arisen out of the INCIDENT? If so. for each policy state: (a) the kind of coverage; (b) the name and ADDRESS ofthe insurance company; (c) the name, ADDRESS, andtelephone number of each named insured; (d) the policy number; (e) the limits of coverage for each type of coverage con- tained in the policy; (f) whether any reservation of rights or controversy or coverage dispute exists between you and the insurance company; and (g) the name, ADDRESS, and telephone numberof the custodian ofthe policy. 4.2 Are you seIf-insured under any statute for the damages. claims, or actions that have arisen out of the INCIDENT? If so, specify the statute. 5.0 [Reserved] 6.0 D D Physical, Mental, or Emotional Injuries 6.1 Do you attribute any physical, mental. or emotional injuries to the INCIDENT? (If your answer is “no,” do not answer interrogatories 6.2 through 6. 7). 6.2 Identify each injury you attribute to the INCIDENT and the area of your body affected. DlSC-OO1 [Rev January 1, 2008] FORM lNTERROGATORIES-GENERAL Page 3 of B LexisNexis® Automated California Judicial Council Forms D 6.3 Do you still have any complaints that you attribute to the INCIDENT? If so, for each complaint state: (a) a description; (b) whether the complaint is subsiding, remaining the same, or becoming worse; and (c) the frequency and duration. D 6.4 Did you receive any consultation or examination (except from expert witnesses covered by Code of Civil Procedure sections 2034.210-2034.310) or treatment from a HEALTH CARE PROVIDER for any injury you attribute to the INCIDENT? If so. for each HEALTH CARE PROVIDER state: (a) the name, ADDRESS, and telephone number; (b) the type of consultation, examination. or provided; (c) the dates you received consultation, examination, or treatment; and (d) the charges to date. treatment D 6.5 Have you taken any medication. prescribed or not, as a result of injuries that you attribute to the INCIDENT? If so. for each medication state: (a) the name; (b) the PERSON who prescribed or furnished it; (c) the date it was prescribed or furnished; (d) the dates you began and stopped taking it; and (e) the cost to date. D 6.6 Are there any other medical services necessitated by the injuries that you attribute to the INCIDENT that were not previously listed (for example, ambulance, nursing, prosthetics)? If so, for each service state: (a) the nature; (b) the date; (c) the cost; and (d) the name, ADDRESS, and telephone number of each provider. D 6.7 Has any HEALTH CARE PROVIDER advised that you may require future or additional treatment for any injuries thatyou attributetothe INCIDENT? If so. for each injury state: (a) the name and ADDRESS of each HEALTH CARE PROVIDER; (b) the complaints for which the treatment was advised; and (c) the nature, duration, and estimated cost of the treatment. 7.0 Property Damage D 7.1 Do you attribute any loss of or damage to a vehicle or other property to the INCIDENT? If so. for each item of properly: (a) describe the property; (b) describethe nature and location of the damage to the prOPerty; D2 D DDDDDD DlSC-001 (c) state the amount of damage you are claiming for each item of property and how the amount was calculated; and (d) if the property was sold. state the name, ADDRESS, and telephone number of the se||er, the date of sale, and the sale price. 7.2 Has a written estimate or evaluation been made for any item of property referred to in your answer to the preceding interrogatory? lf so, for each estimate or evaluation state: (a) the name, ADDRESS, and telephone number of the PERSON who prepared it and the date prepared; (b) the name, ADDRESS, and telephone number of each PERSON who has a copy of it; and (c) the amount of damage stated. 7.3 Has anyitem of property referred to in your answer to interrogatory 7.1 been repaired? If so, for each item state: (a) the date repaired; (b) a description of the repair; (c) the repair cost; (d) the name. ADDRESS, and telephone number of the PERSON who repaired it; (e) the name. ADDRESS, and telephone number of the PERSON who paid for the repair. Loss of Income or Earning Capacity 8.1 Do you attribute any loss of income or earning capacity to the INCIDENT? (If your answer is ”no," do not answer interrogatories 8.2 through 8.8). 8.2 State: (a) the nature of your work; (b) yourjob title at the time ofthe INCIDENT; and (c) the date your employment began. 8.3 State the last date before the INCIDENT that you worked for compensation. 8.4 State your monthly income at the time ofthe INCIDENT and how the amount was calculated. 8.5 State the date you returned to work at each place of employment following the INCIDENT. 8.6 State the dates you did not work and for which you lost income as a result ofthe INCIDENT. 8.7 State the total income you have lost to date as a result of the INCIDENT and how the amount was calculated. 8.8 VWI you lose income in the future as a result of the INCIDENT? If so. state: (a) the facts upon which you base this contention; (b) an estimate of the amount; (c) an estimate of how long you will be unable to work; and (d) how the claim for future income is calculated. DlSC-OO1 [Rev. January 1, 2008] FORM INTERROGATORIES-GENERAL Page 4 of 8 LexisNexis® Automated California Judicial Council Forms 9.0 Other Damages D 9.1 Arethere any other damages thatyou attribute to the INCIDENT? If so. for each item of damage state: (a) the nature; (b) the date it occurred; (c) the amount; and (d) the name, ADDRESS, and telephone number of each PERSON to whom an obligation was incurred. D 9.2 Do any DOCUMENTS support the existence or amount of any item of damages claimed in interrogatory 9.1? If so, describe each document and state the name. ADDRESS, and telephone number of the PERSON who has each DOCUMENT. 10.0 Medical History D 10.1 At any time before the INCIDENT did you have com- plaints or injuries that involved the same part of your body claimed to have been injured in the INCIDENT? If so, for each state: (a) a description ofthe complaint or injury; (b) the dates it began and ended; and (c) the name, ADDRESS, and telephone number of each HEALTH CARE PROVIDER whom you consulted or who examined or treated you. D 10.2 List all physical, mental, and emotional disabilities you had immediately before the INCIDENT. (You may omit mental or emotional disabilities unless you attribute any mental or emotional injury to the INCIDENT.) D 10.3 At any time after the INCIDENT, did you sustain injuries of the kind for which you are now claiming damages? If so, for each incident giving rise to an injury state: (a) the date and the place it occurred; (b) the name. ADDRESS, and telephone number of any other PERSON involved; (c) the nature of any injuries you sustained; (d) the name, ADDRESS, and telephone number of each HEALTH CARE PROVIDER who you consulted or who examined or treated you; and (e) the nature of the treatment and its duration. 11.0 Other Claims and Previous Claims D 11.1 Except for this action, in the past 1O years have you filed an action or made a written claim or demand for compensation for your personal injuries? If so, for each action. claim, or demand state: (a) the date. time, and place and location (closest street ADDRESS orintersection) ofthe INCIDENT giving rise to the action, claim. or demand; (b) the name, ADDRESS, and telephone number of each PERSON against whom the claim or demand was made or the action filed; DlSC-001 (c) the court. names of the parties. and case number of any action filed; (d) the name. ADDRESS, and telephone number of any attorney representing you; (e) whether the claim or action has been resolved or is pending; and (f) a description of the injury. 11.2 |_n the past 10 years have you made a written claim or demand for workers‘ compensation benefits? If so, for each claim or demand state: (a) the date, time. and place ofthe INCIDENT giving rise to the claim; (b) the name, ADDRESS, and telephone number of your employer at the time ofthe injury; (c) the name. ADDRESS, and telephone number of the workers’ compensation insurer and the claim number; (d) the period of time during which you received workers’ compensation benefits; (e) a description of the injury; (f) the name, ADDRESS, and telephone number of any HEALTH CARE PROVIDER who provided services; and (g) the case number at the Workers’ Compensation Appeals Board. 12.0 Investigation-General D 12.1 State the name, ADDRESS, and telephone number of each individual: (a) who witnessedthe INCIDENT or the events occurring immediately before or after the INCIDENT; (b) Who made any statement at the scene of the INCIDENT; (c) who heard any statements made about the INCIDENT by any individual at the scene; and (d) who YOU OR ANYONE ACTING ON YOUR BEHALF claim has knowledge of the INCIDENT (except for expert witnesses covered by Code of Civil Procedure section 2034). 12.2 Have YOU OR ANYONE ACTING ON YOUR BEHALF interviewed any individual concerning the INCIDENT? If so, for each individual state: (a) the name, ADDRESS, and telephone number of the individual interviewed; (b) the date of the interview; and (c) the name. ADDRESS, and telephone number of the PERSON who conducted the interview. 12.3 Have YOU OR ANYONE ACTING ON YOUR BEHALF obtained a written or recorded statement from any individual concerning the INCIDENT? If so, for each statement state: (a) the name, ADDRESS, and telephone number of the individual from whom the statement was obtained; (b) 'the name, ADDRESS, and telephone number of the individual who obtained the statement; (c) the date the statement was obtained; and (d) the name, ADDRESS, and telephone number of each PERSON who has the original statement or a copy. DISC-om [Rev- January 1- 20°81 FORM INTERROGATORIEs-GENERAL Page s ow LexisNexis® Automated California Judicial Council Forms D 12.4 Do YOU OR ANYONE ACTING ON YOUR BEHALF know of any photographs. films. or videotapes depicting any place, object, or individual concerning the INCIDENT or plaintiff‘s injuries? If so, state: (a) the number of photographs or feet of film or videotape; (b) the places. objects, orpersons photographed. filmed, or videotaped; (c) the date the photographs. films. or videotapes were taken; (d) the name, ADDRESS, and telephone number of the individual taking the photographs, films, or videotapes; and (e) the name, ADDRESS, and telephone number of each PERSON who has the original or a copy of the photographs, films, or videotapes. D 12.5 Do YOU OR ANYONE ACTING ON YOUR BEHALF know of any diagram, reproduction, or model of any place or thing (except for items developed by expert witnesses covered by Code of Civil Procedure sections 2034.210- 2034.310) concerning the INCIDENT? If so, for each item state: (a) the type (i.e., diagram, reproduction, or model); (b) the subject matter; and (c) the name, ADDRESS, and telephone number of each PERSON who has it. D 12.6 Was a report made by any PERSON concerning the INCIDENT? If so, state: (a) the name. title, identification number, and employer of the PERSON who made the report; (b) the date and type of report made; (c) the name, ADDRESS, and telephone number of the PERSON for whom the report was made; and (d) the name, ADDRESS, and telephone number ofeach PERSON who has the original or a copy of the report. D 12.7 Have You 0R ANYONE ACTING 0N YOUR BEHALF inspected the scene of the INCIDENT? If so, for each inspection state: (a) the name, ADDRESS, and telephone number of the individual making the inspection (except for expert witnesses covered by Code of Civil Procedure sections 2034.210-2034.31 0); and (b) the date of the inspection. 13.0 Investigation-Surveillance D 13.1 Have YOU 0R ANYONE ACTING ON YOUR BEHALF conducted surveillance of any individual involved in the INCIDENT or any party to this action? If so, for each sur- veillance state: (a) the name, ADDRESS, and telephone number of the individual or party; (b) the time. date, and place ofthe surveillance; (c) the name, ADDRESS, and telephone number of the individual who conducted the surveillance; and (d) the name. ADDRESS, and telephone number of each PERSON who has the original or a copy of any surveillance photograph, film. or videotape. _ DlSC-001D 13.2 Has a written report been prepared on the surveillance? If so. for each written report state: (a) thetitle; (b) the date; (c) the name. ADDRESS, and telephone number of the individual who prepared the report; and (d) the name. ADDRESS, and telephone number of each PERSON who has the original or a copy. 14.0 Statutory or Regulatory Violations D 14.1 Do YOU OR ANYONE ACTING ON YOUR BEHALF contend that any PERSON involved in the INCIDENT violated any statute, ordinance. or regulation and that the violation was a legal (proximate) cause of the INCIDENT? If so. identify the name, ADDRESS, and telephone number of each PERSON and the statute. ordinance, or régulation that was violated. D 14.2 Was any PERSON cited or charged with a violation of any statute, ordinance. or regulation as a result of this INCIDENT? If so, for each PERSON state: (a) the name. ADDRESS, and telephone number ofthe PERSON; (b) the statute, ordinance. or regulation allegedly violated; (c) whether the PERSON entered a plea in response to the citation or charge and, if so. the plea entered; and (d) the name and ADDRESS of the court or administrative agency, names of the parties, and case number. 15.0 Denials and Special or Affirmative Defenses D 15.1 Identify each denial of a material allegation and each special or affirmative defense in your pleadings and for each: (a) state all facts upon which you base the denial or special or affirmative defense; (b) state the names, ADDRESSES, and telephone numbers of all PERSONS who have knowledge of those facts; and (c) identify all DOCUMENTS and other tangible things that support your denial or special or affirmative defense, and state the name. ADDRESS, and telephone number of the PERSON who has each DOCUMENT. 16.0 Defendant’s Contentions-Personal Injury D 16.1 Do you contend that any PERSON, other than you or plaintiff, contributed to the occurrence of the INCIDENT or the injuries or damages claimed by plaintiff? If so. for each PERSON: (a) statethe name.ADDRESS, and telephone number of the PERSON; (b) state all facts upon which you base your contention; (c) state the names, ADDRESSES, and telephone numbers of all PERSONS who have knowledge of the facts; and (d) identify all DOCUMENTS and other tangible things that support your contention and state the name, ADDRESS, and telephone number of the PERSON who has each DOCUMENT or thing‘ D 16.2 Do you contend that plaintiff was not injured in the INCIDENT? lf so: (a) state all facts upon which you base your contention; (b) state the names, ADDRESSES, and telephone numbers of all PERSONS who have knowledge of the facts; and (c) identify all DOCUMENTS and othertangible things that support your contention and state the name, ADDRESS, and telephone number of the PERSON who has each DOCUMENT or thing. DlSC-OO1 [Rev January 1, 2008] FORM INTERROGATORIES-GENERAL Page 6 of 8 LexisNexis® Automated California Judicial Council Forms D 16.3 Do you contend that the injuries or the extent of the injuries claimed by plaintiff as disclosed in discovery proceedings thus far in this case were not caused by the INCIDENT? If so, for each injury: (a) identifyit; (b) state all facts upon which you base your contention; (c) statethe names,ADDRESSES,andtelephone numbers of all PERSONS who have knowledge of the facts; and (d) identify all DOCUMENTS and othertangiblethingsthat support your contention and state the name, ADDRESS, and telephone number of the PERSON who has each DOCUMENT or thing. D 16.4 Do you contend that any of the services furnished by any HEALTH CARE PROVIDER claimed by plaintiff in discovery proceedings thus far in this case were not due to the INCIDENT? If so: (a) identify each service; (b) state all facts upon which you base your contention; (c) state the names, ADDRESSES, and telephone numbers of all PERSONS who have knowledge of the facts; and (d) identify all DOCUMENTS and other tangible things that support your contention and state the name, ADDRESS, and telephone number of the PERSON who has each DOCUMENT or thing. D 16.5 Do you contend that any of the costs of services furnished by any HEALTH CARE PROVIDER claimed as damages by plaintiff in discovery proceedings thus far in this case were not necessary or unreasonable? If so: (a) identify each cost; (b) state all facts upon which you base your contention; (c) state the names, ADDRESSES, and telephone numbers of all PERSONS who have knowledge ofthe facts; and (d) identify all DOCUMENTS and othertangiblethingsthat support your contention and state the name. ADDRESS, and telephone number of the PERSON who has each DOCUMENT or thing. D 16.6 Do you contend that any part of the loss of earnings or income claimed by plaintiff in discovery proceedings thus far in this case was unreasonable or was not caused by the INCIDENT? If so: (a) identify each part of the loss; (b) state all facts upon which you base your contention; (c) state the names, ADDRESSES, and telephone numbers of all PERSONS who have knowledge ofthe facts; and (d) identify all DOCUMENTS and other tangible things that support your contention and state the name, ADDRESS, and telephone number of the PERSON who has each DOCUMENT or thing. D 16.7 Do you contend that any of the property damage claimed by plaintiff in discovery Proceedings thus far in this case was not caused by the INCIDENT? If so: (a) identify each item of property damage; (b) state all facts upon which you base your contention; (c) state the names. ADDRESSES, and telephone numbers of all PERSONS who have knowledge of the facts; and (d) identify all DOCUMENTS and other tangible things that support your contention and state the name. ADDRESS, and telephone number of the PERSON who has each DOCUMENT or thing. DlSC-001 E 16.8 Do you contend that any of the costs of repairing the property damage claimed by plaintiff in discovery proceedings thus far in this case were unreasonable? If so: (a) identify each cost item; (b) state all facts upon which you base your contention; (c) state the names, ADDRESSES, and telephone numbers of all PERSONS who have knowledge of the facts; and (d) identify all DOCUMENTS and othertangiblethings that support your contention and state the name. ADDRESS, and telephone number of the PERSON who has each DOCUMENT or thing. D 16.9 Do YOU OR ANYONE ACTING ON YOUR BEHALF have any DOCUMENT (for example, insurance bureau index reports) concerning claims for personal injuries made before or after the INCIDENT by a plaintiff in this case? If so, for each plaintiff state: (a) the source of each DOCUMENT; (b) the date each claim arose; (c) the nature of each claim; and (d) the name, ADDRESS, and telephone number of the PERSON who has each DOCUMENT. D 16.10 Do YOU 0R ANYONE ACTING ON YOUR BEHALF have any DOCUMENT concerning the past or present physical. mental. or emotional condition of any plaintiff in this case from a HEALTH CARE PROVIDER not previously identified (except for expert witnesses covered by Code of Civil Procedure sections 2034.210-2034.310)? If so, for each plaintiff state: (a) the name. ADDRESS, and telephone number of each HEALTH CARE PROVIDER; (b) a description of each DOCUMENT; and (c) the name. ADDRESS, and telephone number of the PERSON who has each DOCUMENT. 17.0 Responses to Request for Admissions 17.1 ls your response to each request for admission served with these interrogatories an unqualified admission? If not. for each response that is not an unqualified admission: (a) state the number of the request; (b) state all facts upon which you base your response; (c) statethe names,ADDRESSES, andtelephone numbers of all PERSONS who have knowledge of those facts; and (d) identify all DOCUMENTS and other tangible things that support your response and state the name, ADDRESS, and telephone number of the PERSON who has each DOCUMENT or thing. 18.0 [Reserved] 19.0 [Reserved] 20.0 How the Incident Occurred-Motor Vehicle D 20.1 State the date, time, and place of the INCIDENT (closest street ADDRESS or intersection). D 20.2 Foreach vehicle involved in the INCIDENT, state: (a) the year, make, model. and license number; (b) the name, ADDRESS, and telephone number of the driver; DlSC-001 [Rev. January 1, 2008] FORM INTERROGATORIES-GENERAL Page 7 of 8 ZexisNexis® Automated California Judicial Council Forms (c)the name. ADDRESS, and telephone number of each occupant other than the driver; (d)the name. ADDRESS, and telephone number of each registered owner; (e)the name, ADDRESS, and telephone number of each lessee; (f) the name. ADDRESS, and telephone number of each owner other than the registered owner or lien holder; and (g)the name of each owner who gave permission or consent to the driver to operate the vehicle. D 20.3 State the ADDRESS and location where your trip began and the ADDRESS and location of your destination. D 20.4 Describe the route that you followed from the beginning of your trip to the location of the INCIDENT, and state the location of each stop, other than routine traffic stops, during the trip leading up to the INCIDENT. D 20.5 State the name of the street or roadway, the lane of travel, and the direction of travel of each vehicle involved in the INCIDENT for the 500 feet of travel before the INCIDENT. D206 Did the INCIDENT occur at an intersection? If so, describe all traffic control devices, signals, or signs at the intersection. D 20.7 Was there a traffic signal facing you at the time of the INCIDENT? If so, state: (a) your location when you first saw it; (b) the color; (c) the number of seconds it had been that color; and (d)whetherthe color changed between the time you first saw it and the INCIDENT. D 20.8 State howthelNClDENT occurred, giving the speed. direction, and location of each vehicle involved: (a) just before the INCIDENT; (b) at the time ofthe INCIDENT; and (c) just after the INCIDENT. D 20.9 Do you have information that a malfunction or defect in a vehicle caused the INCIDENT? If so: (a) identify the vehicle; (b) identify each malfunction or defect; (c) state the name, ADDRESS, and telephone number of each PERSON who is a witness to or has information about each malfunction or defect; and (d)state the name, ADDRESS, and telephone number of each PERSON who has custody of each defective part. D2010 Do you have information that any malfunction or defect in a vehicle contributed to the injuries sustained in the INCIDENT? If so: (a) identify the vehicle; (b) identify each malfunction or defect; (c)state the name. ADDRESS, and telephone number of each PERSON who is a witness to or has information about each malfunction or defect; and DISC-001 (d) statethe name. ADDRESS, and telephone number of each PERSON who has custody of each defective part. D 20.11 Statethe name. ADDRess,andteIephone number of each owner and each PERSON who has had possession since the INCIDENT of each vehicle involved in the INCIDENT. 25.0 [Reserved] 30.0 [Reserved] 40.0 [Reserved] 50.0 Contract D 50.1 For each agreementalleged in the pleadings: (a) identify each DOCUMENTthatis part of the agreement and for each state the name. ADDRESS, and telephone number of each PERSON who has the DOCUMENT; (b) state each part of the agreement not in writing, the name, ADDRESS, and telephone number of each PERSON agreeing to that provision, and the date that pan of the agreement was made; identify all DOCUMENTSthat evidence any part of the agreement not in writing and for each state the name. ADDRESS, and telephone number of each PERSON who has the DOCUMENT; (d) identify all DOCUMENTS that are part of any modification to the agreement, and for each state the name, ADDRESS, and telephone number of each PERSON who has the DOCUMENT; state each modification notin writing, the date, and the name. ADDRESS, and telephone number of each PERSON agreeingtothe modification, and the date the modification was made; (f) identify all DOCUMENTSthatevidence any modification of the agreement not in writing and for each state the name, ADDRESS, and telephone number of each PERSON who has the DOCUMENT. (cV (eV D 50.2 Was there a breach of any agreement alleged in the pleadings? If so. for each breach describe and give the date of every act or omission that you claim is the breach of the agreement. D 50.3 Was performance of any agreement alleged in the pleadings excused? If so. identify each agreement excused and state why performance was excused. D 50.4 Was any agreement alleged in the pleadings terminated by mutual agreement, release, accord and satisfaction, or novation? If so, identify each agreement terminated, the date of termination, and the basis of the termination. D 50.5 Is any agreement alleged in the pleadings unenforce- able? If so. identify each unenforceable agreement and state why it is unenforceable. D 50.6 Is any agreement alleged in the pleadings ambiguous? If so. identify each ambiguous agreement and state why it is ambiguous. 60.0 [Reserved] DlSC-001 [Rev January 1, 2008] FORM INTERROGATORIES-GENERAL Page 8 of 8 LexisNexas® Automated California Judicial Council Forms kIIJ>UJN COOQON 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 PROOF OF SERVICE I, the undersigned, hereby declare: I am employed in the City and County 0f San Francisco, California in the office 0f a member 0f the bar of this court at whose direction the following service was made. I am over the age 0f eighteen years and not a party to the within action. My business address is Workman Law Firm, PC, 177 Post Street, Suite 800, San Francisco, California. I hereby certify that on February 24, 2020, I served the FORM INTERROGATORIES- GENERAL 0n the interested parties in this action Via mail bly placing a true copy thereof, on the above date, enclosed in a sealed envelope following the ordinary business practice of Workman Law Firm, PC, for collection and mailing in the United States mail addressed as set forth below: REED E. SCHAPER BENJAMIN J. TREGER HIRSCHFELD KRAEMER LLP 233 Wilshire Boulevard, Suite 600 Santa Monica, CA 90401 I am personally and readily familiar with the business practice of Workman Law Firm, PC for collection and processing 0f documents for mailing with the U.S. Postal Service, pursuant to Which mail placed for collection at designated stations in the ordinary course 0f business is deposited the same day, proper postage prepaid, With the U.S. Postal Service. I declare under penalty of perjury under the laws 0f the State 0f California that the By- foregoing is true and correct. SPECIAL INTERROGATORIES, SET ONE -7- 3286\.D|SCOVERY\SIREQ1ST.DOC EXHIBIT G \OOONONKII-PUJN 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 WORKMAN LAW FIRM, PC Robin G. Workman (Bar #145810) r0bin@w0rkmanlawpc.com Rachel E. Davey (Bar #3 1 6096) rachel@workmanlawpc.com 177 Post Street, Suite 800 San Francisco, CA 94108 Telephone: (415) 782-3660 Facsimile: (415) 788-1028 Attorneysfor Plaintiffi Alfred Lax 0n behalfofhimselfand all others similarly situated SUPERIOR COURT OF CALIFORNIA COUNTY OF SANTA CLARA ALFRED LAX, on behalf of himself and an NO- 180V338652 Others Similarly Situated» ASSIGNED FOR ALL PURPOSES T0 THE Plaintiff HON. BRIAN C. WALSH, DEPT. 1 PLAINTIFF ALFRED LAX’S FIRST SET VS' OF INSPECTION DEMANDS TO DEFENDANT ROTO-ROOTER Does 1 through 50, inclusive, Defendants. PROPOUNDING PARTY: Plaintiff Alfred Lax RESPONDING PARTY: Defendant Roto-Rooter Services Company SET NO: One INSPECTION DEMANDS, SET ONE -1- 3286\.D|SCOVERY\IDREQ1ST.DOC \OOONQUIhbJNy-n NNNNNNNNNr-lt-dr-‘r-‘Hr-tr-Ar-At-tr-A WNONU‘I-PUJNt-‘OCWNONU‘IAUJNt-‘O Pursuant t0 California Code 0f Civil Procedure Section 203 1 .010, Plaintiff Alfred Lax (“Plaintiff”) hereby requests that, pursuant to California Code 0f Civil Procedure section 203 1 .010, subdivision (b), Defendant Roto-Rooter Services Company (“RESPONDING PARTY” 0r “Defendant”) produce for inspection, copying, 0r photographing all documents, papers, books, accounts, letters, notes, correspondence, photographs, objects, etc. on the terms and conditions hereafter set forth. You must produce and permit the inspection, copying, 0r photographing of all documents, papers, books, accounts, letters, photographs, objects, or tangible things falling within the categories described herein which are within RESPONDING PARTY’S possession, custody, 0r control. SAID PRODUCTION SHALL TAKE PLACE within thirty (30) days of service at the offices 0f Workman Law Firm, PC, 177 Post Street, Suite 800, San Francisco, CA 94108. DEFINITIONS Unless specifically indicated otherwise, the following definitions are applicable throughout this demand (including this Definitions section) and are incorporated by reference into each specific demand. The definitions are limited, if at all, only t0 the extent necessary to avoid a nonsensical meaning 0f any demand. A. The terms “YOU”, “YOUR”, “YOURS” 0r “RESPONDING PARTY” refers to Defendant Roto-Rooter Services Company and its agents, representatives, attorneys and investigators, predecessors, affiliates, subsidiaries, successors and assigns, each 0f their past 0r present officers, directors, employees, and any person acting 0r purporting t0 act 0n behalf of any 0f the foregoing. B. The term “DOCUMENTS” as used herein shall mean any tangible thing upon which any expression, communication 0r representation has been recorded by any means including, but not limited t0, “COMPUTER RECORDS,” “EMAIL RECORDS,” “POLICY DOCUMENTS,” all written, typed, or other graphic material 0f any kind 0r nature, and any other tangible thing by Which information 0r data is stored, including, without limitation, any writing as defined by Evidence Code section 250, including any originals as defined by Evidence Code section 255 and any duplicates as defined by Evidence Code section 260, any drawing, film, INSPECTION DEMANDS. SET ONE -2- 3286\.D|SCOVERY\|DREQ1ST.DOC \DOONONkh-b 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 graph, chart, photograph, phone record, mechanical or electrical sound recording 0r transcript thereof, any retrievable data, whether in computer storage, carded, punched, taped, coded 0r stored electrostatically, electromagnetically, 0r otherwise, and any other data compilation for which information can be obtained, all contacts, forms, correspondence, letters, emails, instant messages, web site postings, facsimile transmissions, telephone messages, telephone statements or bills, checks, receipts, notices, notes 0f conversation, memoranda, reports, diaries, minutes, recitals, statements, worksheets, abstracts, resumes, summaries, notes, jottings, books, journals, ledgers, audits, maps, charts, diagrams, drafts, newspapers, appointment books, desk calendars, expense reports, tape recordings, Video recordings, agreements, appraisals, financial statements, calendars, analyses, and other tangible writings, including all partial and complete copies, drafts, and final versions thereof, and attachments and enclosures therewith, all copies 0f documents by whatever means made, except that where a document is identified or produced, identical copies thereof which d0 not contain any markings, additions, 0r deletions different from the original need not be separately produced, and all materials as described above within the possession, control, 0r custody 0fRESPONDING PARTY, 0r any duly authorized representative ofRESPONDING PARTY, including agents, attorneys, accountants, consultants, and advisors. Without limiting the term “control,” a document is deemed to be within RESPONDING PARTY’S control if RESPONDING PARTY has ownership, possession, 0r custody 0f the document, or the right t0 secure the document from any person 0r public 0r private entity having physical possession thereof. C.I “COMPUTER RECORDS” shall mean any tangible thing upon Which any expression, communication 0r representation has been recorded by any means including, but not limited t0, network server storage, backup media storage, online server storage, active computer systems, stand-alone computers, computer tape, computer disk, computer printout, computer card, computer hard drive (whether internal, external 0r portable), USB flash sticks, flash storage cards, optical disks, computer floppy drive, removable computer drive storage, scanner, computer facsimile, printing, photographing, Video recording, audio recording, magnetic impulse, or other means 0f electronic recording and any non-identical copies (whether different from the original INSPECTION DEMANDS, SET ONE -3- 3286\.D|SCOVERY\|DREQ1ST.DOC \OOONON 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 because 0f notes made on such copies, because 0f indications that said copies were sent t0 different individuals than were the originals, 0r because of any other reason), including but not limited to working papers, preliminary, intermediate 0r final drafts, correspondence, memoranda, spreadsheets, charts, notes, scripts, records of any sort ofmeetings, invoices, financial statements, financial calculations, diaries, reports 0ftelephone 0r other oral conversations, calendars, task schedulers, audio or Video recordings, and all other writings and recordings 0f every kind that are in your actual 0r constructive possession, custody 0r control. D. “EMAIL RECORDS” shall mean any and all tangible thing upon which any expression, communication or representation has been recorded by any means including, but not limited t0, any form of electronic mail, Internet online e-mail, any form of interoffice and/or intraoffice network e-mail, printouts 0f documents from Internet online e-mail 0r interoffice and intraoffice network e-mail, including any copies which may be stored electronically in any manner including, but not limited to, network server storage, backup media storage, online server storage, active computer systems, stand-alone computers, computer tape, computer disk, computer printout, computer card, computer hard drive (whether internal, external or portable), USB flash sticks, flash storage cards, optical disks, computer floppy drive, removable computer drive storage, scanner, computer facsimile, printing, photographing, video recording, audio recording, magnetic impulse, 0r other means 0f electronic recording and any non-identical copies (whether different from the original because 0f notes made on such copies, because of indications that said copies were sent t0 different individuals than were the originals, 0r because 0f any other reason), including but not limited t0 working papers, preliminary, intermediate 0r final drafts, correspondence, memoranda, spreadsheets, charts, notes, scripts, records 0f any sort 0f meetings, invoices, financial statements, financial calculations, diaries, reports 0ftelephone 0r other oral conversations, calendars, task schedulers, audio 0r Video recordings, and all other writings and recordings 0f every kind that are in your actual 0r constructive possession, custody 0r control. E. As used herein, the term “POLICY DOCUMENTS” means any of RESPONDING PARTY’S DOCUMENTS, policies, procedures, bulletins, EMAIL RECORDS, INSPECTION DEMANDS, SET ONE -4- 3286\.D|SCOVERY\IDREQ1ST.DOC H \DOONONkh-bww NNNNNNNNNHr-p-AHr-AHHt-Ar-Ar-t OONQU‘IAUJNHOOOONQU‘I-DWNHO handbooks, and/or manuals that define processes and procedures for how particular tasks are to be carried out 0r aspects 0f the business are t0 be conducted. F. As used herein, the term “EMPLOYEE” means a current 0r fonner employee of Defendant in California. G. As used herein, the term “ALL” is synonymous With “ANY” and the term “OR” means “AND/OR.” H. The term “PERTAINING TO” as used herein means and includes relating to, referring t0, alluding t0, responding t0, pertaining t0, evidencing, supporting, proving, disproving, concerning, connected with, commenting 0n, in respect of, arising out of, caused by, regarding, discussing, showing, describing, reflecting, analyzing, and constituting.w 1. Emails and Electronic Documents. If any emails 0r other electronic DOCUMENTS are responsive t0 any 0f the foregoing demands, in addition to producing hard copies 0f any such emails/electronic DOCUMENTS, you are instructed t0 maintain any such emails/electronic DOCUMENTS, including all related email strings and attachments, in their original format, including, if applicable, 0n the applicable email account and/or server, for inspection. RESPONDING PARTY is instructed not t0 delete, 0r permit the deletion of, any responsive emails/electronic DOCUMENTS 0r any emails/electronic DOCUMENTS concerning any claims asserted in the complaint from any email accounts, computers 0r other electronic storage device 0r system within RESPONDING PARTY’S possession, custody 0r control or t0 which RESPONDING PARTY has access. 2. Instant Messages/Text Messages. RESPONDING PARTY is instructed to preserve and produce all responsive instant messages and text messages, and all instant messages and text messages which RELATE T0 any claims asserted in the complaint, in their original format for inspection. In the event that the instant messages or text messages cannot be preserved 0r saved electronically, please print out hard copies of any instant messages 0r text messages which are responsive 0r potentially discoverable as such messages are sent 0r received. INSPECTION DEMANDS, SET ONE -5- 3286\.D|SCOVERY\|DREQ1ST.DOC \OOOQO’NUI-PWNH NNNNNNNNNi-‘b-tb-IHy-Ar-At-dr-Ar-AH OOQQU’I-bUJNF-‘OQOOQQUI#UJNHO 3. Each demand contained herein requires RESPONDING PARTY t0 produce all documents that are in your actual 0r constructive possession, custody 0r control 0r that are in the possession, custody 0r control of your attorneys, investigators, accountants, representatives, consultants, agents, employees, or anyone else acting on your behalf, whether in electronic or paper format. 4. IfRESPONDING PARTY is unable t0 comply With ANY 0f the demands contained herein, YOU must state YOUR inability to comply with the particular demand for inspection, copying, testing, or sampling. Pursuant t0 California Code 0f Civil Procedure section 203 1 .230, this statement shall affirm that a diligent search and a reasonable inquiry has been made in an effort t0 comply with the demand. This statement shall also specify Whether the inability t0 comply is because the particular item 0r category has never existed, has been destroyed, has been lost, misplaced, 0r stolen, 0r has never been, 0r is no longer, in the possession, custody, 0r control of the responding party. The statement shall set forth the name and address 0f any natural person 0r organization known 0r believed by that party t0 have possession, custody, 0r control of that item 0r category 0f item. 5. The scope 0f this discovery request is employee work history, payroll data and/or other information relevant t0 the matter for the time period defined for the case. Plaintiffs have n0 interest in, and are not requesting that RESPONDING PARTY provide trade secret 0r confidential business information such as: a) Product information - Research and development, client lists, product plans, sales data, etc. b) Customer information - Names, contact information, credit information, purchase history, etc. c) EMPLOYEE personal information - health and medical data, etc. except What is relevant to this matter (e.g. payroll, work history, etc.) 6. With respect t0 any DOCUMENT withheld under claim 0f privilege, 0r for any other reason, identify: a) The name, title, description 0r type 0f each such DOCUMENT; INSPECTION DEMANDS. SET ONE -6- 3286\.DISCOVERY\|DREQ1 ST.DOC \OOONQU‘ILWNr-t NNNNNNNNNr-‘HHHHp-Ap-nr-nu-nr-A OONQM-PMNHOOWNQLh-RWNHO b) The subj ect matter with which each such DOCUMENT deals; c) The name, address and telephone number 0f the person drafting 0r originating each such DOCUMENT; d) The date each such DOCUMENT was drafted or originated; e) The intended recipient of each such DOCUMENT; f) The name, address and telephone number 0f the person having custody of each such DOCUMENT; g) The nature 0f the privilege or other ground asserted for Withholding each such DOCUMENT; and, h) The factual basis for the claim 0f privilege or other ground for Withholding each such DOCUMENT. FORMAT OF PRODUCTION FOR ELECTRONIC MATERIALS 1. Production Format in General. ALL DOCUMENTS (Whether originally electronic 0r hard copy paper) should be produced as TIFF 0r JPEG image files in electronic form 0n a CD-ROM, or on other remoVable media. A11 production documents should be accompanied by a .DAT load file. The .DAT file should contain the following delimiters: o Field Separator 1] (ASCII:0020) o Quote ID (ASCII:0254) o Multi-Entry Delimiter ; (ASCI:0059) o Value in Data ® (ASCII:0174) The TIFF images should be produced as single-page, Group IV TIFF files, scanned at 300 dpi. Each TIFF 0r JPEG image should be individually Bates numbered (each party using a unique prefix 0f letters as appropriate, without punctuation, and each page having a unique number 0f at least six digits, with no separator between the letters and numbers). The Bates number must not obliterate, conceal, 0r interfere with any information 0n the produced document. Each TIFF 0r JPEG file should include fully searchable text. INSPECTION DEMANDS, SET ONE -7- 3286\.DISCOVERY\|DREQ1ST‘DOC \OOONQU‘I#UJt\)p-n NNNNNNNNNHp-Ir-tu-AHHHHr-‘u-A WNQUIJ>UJNHO©OOQONLII$UJNHO 2. Production Format from Electronic Format. For documents that are produced directly from electronic format, the filll extracted text Will be provided by a link in the main (.DAT) load file. T0 the extent readily available at the time 0f retrieval, the following extracted data and metadata fields shall to be provided in the .DAT file: - FOR EMAIL AND E-DOCS (REQUIRED) - PRODUCTION BEG NUM - PRODUCTION END NUM - PRODUCTION BEG ATTACH‘ - PRODUCTION END ATTACH ° CUSTODIANZ - CONFIDENTIALITY DESIGNATION - MESSAGE FROM - MESSAGE TO - MESSAGE CC ° MESSAGE BCC - MESSAGE SUBJECT - MESSAGE DATE/TIME SENT - MESSAGE DATE/TIME SENT OFFSET o MESSAGE DATE/TIME RECEIVED ° MESSAGE DATE/TIME RECEIVED OFFSET - MESSAGE ATTACHMENT COUNT o MESSAGE ATTACHMENT NAMES ° MESSAGE HAS ATTACHMENTS o TIME ZONE OFFSET - FILE AUTHOR 1 PRODUCTION BEG ATTACH should contain the PRODUCTION BEG NUM value 0f an attachment’s parent document. PRODUCTION BEG ATTACH for a parent document is equal t0 the PRODUCTION BEG NUM for the parent document. 2 If it has been captured. INSPECTION DEMANDS, SET ONE -8- 3286\.D|SCOVERY\|DREQ1ST.DOC \OOONOU‘I-bWNH NNNNNNNNNt-tr-Awr-tr-t’dr-Ap-Ap-‘H OOQQU‘IAL'JNHOOOOHOUI-PUJNF-‘O ° FILE DATE CREATED o FILE DATE CREATED OFFSET o FILE DATE MODIFIED - FILE DATE MODIFIED OFFSET ° FILE NAME ° FILE SIZE - FILE EXTENSION - ORIGINAL FOLDER NAME3 - PAGE COUNT - MD5 HASH - LINK TO NATIVE FILE4 ~ LINK TO EXTRACTED TEXTS - FOR SCANNED HARDCOPY DOCUMENTS - PRODUCTION BEG NUM - PRODUCTION END NUM - PAGE COUNT - LINK To TEXT6 3. DeDuplication. Cross-Custodian DeDuplication (also known as Horizontal Duplication) will be applied t0 all data. Duplicate custodian name and a duplicate custodian path will be provided t0 memorialize the location 0f all deduped data. 4. Native Production. Where feasible, non-redacted Excel, Multi-Media and PowerPoint files shall be produced in their native format. 5. Databases 0r Structured Data. If a party is providing databases 0r structured data, the parties will confer t0 discuss the appropriate delivery format. 3 Mailbox Path for E-Mails or Original Path for E-Docs. 4 Only for data being produced natively; see Section 3 below. 5 Extracted text will be provided at the document level - not the page level. 6 Microsoft Outlook only. INSPECTION DEMANDS, SET ONE -9- 3286\.D|SCOVERY\|DREQ1ST.DOC \OOONONUI#UJN 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 6. Social Media and Web Content. Social media and other web content shall be produced as Group IV TIFF and JPEG with associated metadata load files. The parties will further confer regarding the specific web pages and available metadata. Pursuant t0 California Code 0f Civil Procedure Section 2030.010, Plaintiff Alfred Lax ("Plaintiff') hereby requests that Defendant Roto-Rooter Services Company (“Defendant”) answer in writing and under oath the following specially prepared interrogatories: INSPECTION DEMANDS INSPECTION DEMAND NO. 1: ALL DOCUMENTS setting forth the methods by which YOU have compensated service technicians from November 30, 2014, t0 the present, including, but not limited t0 commission plans and documents setting forth flat rate payments for services performed. INSPECTION DEMAND NO. 2: ALL of Plaintiff’ s wage statements from November 30, 2014, t0 the present. INSPECTION DEMAND NO. 3: ALL DOCUMENTS setting forth the hours worked by Plaintiff from November 30, 2014, t0 the present. INSPECTION DEMAND NO. 4: ALL policies and procedures applicable t0 service technicians in California from November 30, 2014, t0 the present, including, but not limited to, employee manuals, employee handbooks, rest break policies, meal break policies. INSPECTION DEMAND NO. 5: ALL DOCUMENTS setting forth, OR in ANY way discussing, how service technicians are compensated for rest breaks, including payment t0 service technicians in California an additional hour 0f compensation for missed rest breaks. INSPECTION DEMAND NO. 6: ALL DOCUMENTS setting forth, OR in ANY way discussing, the payment t0 service technicians in California from November 30, 2014, to the present an additional hour 0f INSPECTION DEMANDS. SET ONE -10- 3286\.D|SCOVERY\IDREQ1ST.Doc \OOONOUIhUJN 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 compensation for missed meal breaks. INSPECTION DEMAND NO. 7: ALL DOCUMENTS reflecting the time spent by service technicians in California from November 30, 2014, t0 the present for equipment repair time. INSPECTION DEMAND NO. 8: ALL DOCUMENTS setting forth, OR in ANY way discussing, the assignment 0f company vehicles to service technicians in California from November 30, 2014, t0 the present. INSPECTION DEMAND NO. 9: ALL DOCUMENTS setting forth, OR in ANY way discussing, ANY amounts deducted from the wages 0f service technicians in California from November 30, 2014, to the present for the use 0f company vehicles. INSPECTION DEMAND NO. 10: ALL DOCUMENTS setting forth, OR in ANY way discussing, the reimbursement of service technicians in California from November 30, 2014 t0 the present for the purchase of tools and equipment t0 perform their job. LAW FIRM, PCDate: March 18, 2019 W0 By: R bi . or an Attorneysfor Alfi'ed Lax, and all others similarly situated INSPECTION DEMANDS, SET ONE -1 1- 3286\.DISCOVERY\IDREQ1STDOC \OOONONUI-PUJN 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 PROOF OF SERVICE I, the undersigned, hereby declare: I am employed in the City and County 0f San Francisco, California in the office of a member 0f the bar 0f this court at whose direction the following service was made. I am over the age of eighteen years and not a party t0 the within action. My business address is Workman Law Firm, PC, 177 Post Street, Suite 800, San Francisco, California. I hereby certify that 0n March 18, 2019, I served the PLAINTIFF ALFRED LAX’S FIRST SET OF INSPECTION DEMANDS TO DEFENDANT ROTO-ROOTER SERVICES COMPANY on the interested parties in this action Via mail by placing a true copy thereof, on the above date, enclosed in a sealed envelope following the ordinary business practice of Workman Law Firm, PC, for collection and mailing in the United States mail addressed as set forth below: REED E. SCHAPER BENJAMIN J. TREGER HIRSCHFELD KRAEMER LLP 233 Wilshire Boulevard, Suite 600 Santa Monica, CA 90401 I am personally and readily familiar with the business practice 0f Workman Law Firm, PC for collection and processing of documents for mailing with the U.S. Postal Service, pursuant t0 which mail placed for collection at designated stations in the ordinary course 0f business is deposited the same day, proper postage prepaid, with the U.S. Postal Service. I declare under penalty 0f perjury under the laws of the State 0f California that the foregoing is true and correct. INSPECTION DEMANDS, SET ONE -12- 3286\.DISC0VERY\IDREQ1ST.Doc EXHIBIT H \OOONONUIAUJN 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 WORKMAN LAW FIRM, PC Robin G. Workman (Bar #145810) robin workmanlawpc.c0m Rache E. Davey (Bar #3 16096) rachel@workmanlawpc.com 177 Post Street, Suite 800 San Francisco, CA 94108 Telephone: (415) 782-3660 Facsimile: (415) 788-1028 Attorneysfor Plaintiff Alfred Lax 0n behalfofhimselfand all others similarly situated SUPERIOR COURT OF CALIFORNIA COUNTY OF SANTA CLARA ALFRED LAX, on behalf of himself and an NO- 18CV338652 Others Similarly Situated’ ASSIGNED FOR ALL PURPOSES To THE Plaintiff HON. BRIAN c. WALSH, DEPT. 1 PLAINTIFF ALFRED LAX’S FIRST SET VS‘ 0F INSPECTION DEMANDS T0 DEFENDANT ROTO-ROOTERROTO-ROOTER SERVICES COMPANY, and SERVICES COMPANY Does 1 through 50, inclusive, Defendants. PROPOUNDING PARTY: Plaintiff Alfred Lax RESPONDING PARTY: Defendant Roto-Rooter Services Company SET NO: One INSPECTION DEMANDS, SET ONE -1- 3286\.D|SCOVERY\|DREQ1STDOC \DOONQUI-PUJNH NNNNNNNNNH mummgwmwooESSEESEZS Pursuant t0 California Code of Civil Procedure Section 203 1 .010, Plaintiff Alfred Lax (“Plaintiff”) hereby requests that, pursuant to California Code of Civil Procedure section 203 1 .010, subdivision (b), Defendant Roto-Rooter Services Company (“RESPONDING PARTY” or “Defendant”) produce for inspection, copying, 0r photographing all documents, papers, books, accounts, letters, notes, correspondence, photographs, objects, etc. on the tenns and conditions hereafter set forth. You must produce and permit the inspection, copying, or photographing of all documents, papers, books, accounts, letters, photographs, objects, or tangible things falling within the categories described herein which are within RESPONDING PARTY’S possession, custody, or control. SAID PRODUCTION SHALL TAKE PLACE within thirty (30) days of service at the offices of Workman Law Firm, PC, 177 Post Street, Suite 800, San Francisco, CA 94108. DEFINITIONS Unless specifically indicated otherwise, the following definitions are applicable throughout this demand (including this Definitions section) and are incorporated by reference into each specific demand. The definitions are limited, if at all, only to the extent necessary to avoid a nonsensical meaning of any demand. A. The terms “YOU”, “YOUR”, “YOURS” 0r “RESPONDING PARTY” refers t0 Defendant Roto-Rooter Services Company and its agents, representatives, attorneys and investigators, predecessors, affiliates, subsidiaries, successors and assigns, each 0f their past 0r present officers, directors, employees, and any person acting or purporting to act 0n behalf 0f any 0f the foregoing. B. The term “DOCUMENTS” as used herein shall mean any tangible thing upon which any expression, communication or representation has been recorded by any means including, but not limited to, “COMPUTER RECORDS,” “EMAIL RECORDS,” “POLICY DOCUMENTS,” all written, typed, 0r other graphic material of any kind 0r nature, and any other tangible thing by which information 0r data is stored, including, without limitation, any writing as defined by Evidence Code section 250, including any originals as defined by Evidence Code section 255 and any duplicates as defined by Evidence Code section 260, any drawing, film, INSPECTION DEMANDS, SET ONE -2-- 3286\.D|SCOVERY\|DREQ1ST.DOC \OOOQQUI-PUJNH NNNNNNNNNHp-AHHr-AHHHHH OONOUILUJNr-‘OOOOQOUIhWNHO graph, chart, photograph, phone record, mechanical 0r electrical sound recording or transcript thereof, any retrievable data, Whether in computer storage, carded, punched, taped, coded 0r stored electrostatically, electromagnetically, 0r otherwise, and any other data compilation for which information can be obtained, all contacts, forms, correspondence, letters, emails, instant messages, web site postings, facsimile transmissions, telephone messages, telephone statements 0r bills, checks, receipts, notices, notes 0f conversation, memoranda, reports, diaries, minutes, recitals, statements, worksheets, abstracts, resumes, summaries, notes, jottings, books, journals, ledgers, audits, maps, charts, diagrams, drafts, newspapers, appointment books, desk calendars, expense reports, tape recordings, Video recordings, agreements, appraisals, financial statements, calendars, analyses, and other tangible writings, including all partial and complete copies, drafts, and final versions thereof, and attachments and enclosures therewith, all copies 0f documents by whatever means made, except that where a document is identified or produced, identical copies thereof which d0 not contain any markings, additions, 0r deletions different from the original need not be separately produced, and all materials as'described above within the possession, control, or custody 0fRESPONDING PARTY, or any duly authorized representative ofRESPONDING PARTY, including agents, attorneys, accountants, consultants, and advisers. Without limiting the term “control,” a document is deemed to be within RESPONDING PARTY’S control if RESPONDING PARTY has ownership, possession, 0r custody 0f the document, 0r the right to secure the document from any person 0r public 0r private entity having physical possession thereof. C. “COMPUTER RECORDS” shall mean any tangible thing upon which any expression, communication 0r representation has been recorded by any means including, but not limited t0, network server storage, backup media storage, online server storage, active computer systems, stand-alone computers, computer tape, computer disk, computer printout, computer card, computer hard drive (Whether internal, external or portable), USB flash sticks, flash storage cards, optical disks, computer floppy drive, removable computer drive storage, scanner, computer facsimile, printing, photographing, video recording, audio recording, magnetic impulse, or other means 0f electronic recording and any non-identical copies (whether different from the original INSPECTION DEMANDS. SET ONE -3* 3286\.DISCOVERY\|DREQ1ST.DOC \OOONQKII-hWNr-A NNNNNNNNNHHr-‘H because of notes made on such copies, because 0f indications that said copies were sent to different individuals than were the originals, 0r because of any other reason), including but not limited to working papers, preliminary, intermediate 0r final drafts, correspondence, memoranda, spreadsheets, charts, notes, scripts, records of any sort ofmeetings, invoices, financial statements, financial calculations, diaries, reports 0ftelephone 0r other oral conversations, calendars, task schedulers, audio or video recordings, and all other writings and recordings 0f every kind that are in your actual 0r constructive possession, custody or control. D. “EMAIL RECORDS” shall mean any and all tangible thing upon which any expression, communication or representation has been recorded by any means including, but not limited t0, any form 0f electronic mail, Internet online e-mail, any form 0f interoffice and/or intraoffice network e-mail, pfintouts 0f documents from Internet online e-mail or interoffice and intraoffice network e-mail, including any copies which may be stored electronically in any manner including, but not limited t0, network server storage, backup media storage, online server storage, active computer systems, stand-alone computers, computer tape, computer disk, computer printout, computer card, computer hard drive (whether internal, external 0r portable), USB flash sticks, flash storage cards, optical disks, computer floppy drive, removable computer drive storage, scanner, computer facsimile, printing, photographing, Video recording, audio recording, magnetic impulse, or other means of electronic recording and any non-identical copies (whether different from the original because of notes made on such copies, because 0f indications that said copies were sent to different individuals than were the originals, or because of any other reason), including but not limited t0 working papers, preliminary, intermediate or final drafts, correspondence, memoranda, spreadsheets, charts, notes, scripts, records of any sort ofmeetings, invoices, financial statements, financial calculations, diaries, reports 0ftelephone or other oral conversations, calendars, task schedulers, audio 0r Video recordings, and all other writings and recordings 0f every kind that are in your actual 0r constructive possession, custody or control. E. As used herein, the term “POLICY DOCUMENTS” means any 0f RESPONDING PARTY’S DOCUMENTS, policies, procedures, bulletins, EMAIL RECORDS, INSPECTION DEMANDS. SET ONE -4- 3286\.D|SCOVERY\|DREQ1ST.DOC \OOOQQUl-bwwh‘ NNNNNNNNND-‘Hr-lflflp-Ap-Ap-A handbooks, and/or manuals that define processes and procedures for how particular tasks are to be carried out 0r aspects of the business are to be conducted. F. As used herein, the term “EMPLOYEE” means a current 0r former employee of Defendant in California. ’ I G. As used herein, the term “ALL” is synonymous with “ANY” and the term “OR” means “AND/OR.” H. The term “PERTAINING TO” as us-ed herein means and includes relating to, referring t0, alluding to, responding t0, pertaining to, evidencing, supporting, proving, disproving, concerning, connected with, commenting on, in respect 0f, arising out 0f, caused by, regarding, discussing, showing, describing, reflecting, analyzing, and constituting. INSTRUCTIONS 1. Emails and Electronic Documents. If any emails 0r other electronic DOCUMENTS are responsive to any of the foregoing demands, in addition t0 producing hard copies 0f any such emails/electronic DOCUMENTS, you are instructed t0 maintain any such emails/electronic DOCUMENTS, including all related email strings and attachments, in their original format, including, if applicable, on the applicable email account and/or server, for inspection. RESPONDING PARTY is instructed not t0 delete, 0r permit the deletion of, any responsive emails/electronic DOCUMENTS 0r any emails/electronic DOCUMENTS concerning any claims asserted in the complaint from any email accounts, computers 0r other electronic storage device 0r system within RESPONDING PARTY’S possession, custody 0r control 0r t0 Which RESPONDING PARTY has access. 2. Instant Messages/Text Messagg. RESPONDING PARTY is instmcted to preserve and produce all responsive instant messages and text messages, and all instant messages and text messages Which RELATE TO any claims asserted in the complaint, in their original format for inspection. In the event that the instant messages 0r text messages cannot be preserved 0r saved electronically, please print out hard copies of any instant messages 0r text messages which are responsive or potentially discoverable as such messages are sent 0r received. INSPECTION DEMANDS, SET ONE -5- 3286\.DISCOVERY\IDREQ1ST.DOC \OOOQONUIAUJNH NNNNNNNNNHHHH 3. Each demand contained herein requires RESPONDING PARTY to produce all documents that are in your actual or constructive possession, custody 0r control or that are in the possession, custody 0r control 0f your attorneys, investigators, accountants, representatives, consultants, agents, employees, or anyone else acting 0n your behalf, whether in electronic 0r paper format. 4. IfRESPONDING PARTY is unable t0 comply with ANY of the demands contained herein, YOU must state YOUR inability to comply with the particular demand for inspection, copying, testing, or sampling. Pursuant to California Code 0f Civil Procedure section 203 1 .230, this statement shall affirm that a diligent search and a reasonable inquiry has been made in an effort t0 comply with the demand. This statement shall also specify Whether the inability t0 comply is because the particular item 0r category has never existed, has been destroyed, has been lost, misplaced, or stolen, 0r has never been, 0r is n0 longer, in the possession, custody, 0r control 0f the responding party. The statement shall set forth the name and address 0f any natural person 0r organization known 0r believed by that party to have possession, custody, or control 0f that item 0r category 0f item. 5. The scope of this discovery request is employee work history, payroll data and/or other information relevant t0 the matter for the time period defined for the case. Plaintiffs have n0 interest in, and are not requesting that RESPONDING PARTY provide trade secret 0r confidential business information such as: a) Product information - Research and development, client lists, product plans, sales data, etc. b) Customer information - Names: contact information, credit information, purchase history, etc. c) EMPLOYEE personal information - health and medical data, etc. except what is relevant to this matter (e.g. payroll, work history, etc.) 6. With respect t0 any DOCUMENT withheld under claim 0f privilege, 0r for any other reason, identify: a) The name, title, description 0r type 0f each such DOCUMENT; INSPECTION DEMANDS, SET ONE -6- 3286\.D|SCOVERY\|DREQ1ST.DOC \OOONGUi-QUJNH NNNNNNNNNHHHHHu-At-IHr-Ar-A OOQONM-PUJNHOOOOQGthWNHO b) The subj ect matter With which each such DOCUMENT deals; c) The name, address and telephone number 0f the person drafting 0r originating each such DOCUMENT; d) The date each such DOCUMENT was drafted 0r originated; e) The intended recipient of each such DOCUMENT; f) The name, address and telephone number of the person having custody 0f each such DOCUMENT; g) The nature 0f the privilege or other ground asserted for withholding each such DOCUMENT; and, h) The factual basis for the claim of privilege 0r other ground for withholding each such DOCUMENT. FORMAT OF PRODUCTION FOR ELECTRONIC MATERIALS 1. Production Format in General. ALL DOCUMENTS (whether originally electronic or hard copy paper) should be produced as TIFF 0r JPEG image files in electronic form 0n a CD-ROM, or 0n other removable media. A11 production documents should be accompanied by a .DAT load file. The .DAT file should contain the following delimiters: o Field Separator 1] (ASCII:0020) o Quote I) (ASCII:0254) o Multi-Entry Delimiter ; (ASCI:0059) o Value in Data ® (ASCII:0174) The TIFF images should be produced as single-page, Group IV TIFF files, scanned at 300 dpi. Each TIFF 0r JPEG image should be individually Bates numbered (each party using a unique prefix of letters as appropriate, without punctuation, and each page having a unique number 0f at least six digits, with no separator between the letters and numbers). The Bates number must not obliterate, conceal, 0r interfere with any information 0n the produced document. Each TIFF or JPEG file should include fully searchable text. INSPECTION DEMANDS, SET ONE -7- 3286\.D|SCOVERY\|DREQ1ST.DOC OOONOUI-wap-A NNNMNNNNNHH mqmmgwwwocm333335:5 2. directly from electronic fomat, the full extracted text will be provided by a link in the main Production Format from Electronic Format. For documents that are produced (.DAT) load file. T0 the extent readily available at the time of retrieval, the following extracted data and metadata fields shall to be provided in the .DAT file: ° FOR EMAIL AND E-DOCS (REQUIRED) PRODUCTION BEG NUM PRODUCTION END NUM PRODUCTION BEG ATTACHI PRODUCTION END ATTACH CUSTODIANZ CONFIDENTIALITY DESIGNATION MESSAGE FROM MESSAGE T0 MESSAGE CC MESSAGE BCC MESSAGE SUBJECT MESSAGE DATE/TIME SENT MESSAGE DATE/TIME SENT OFFSET MESSAGE DATE/TIME RECEIVED MESSAGE DATE/TIME RECEIVED OFFSET MESSAGE ATTACHMENT COUNT MESSAGE ATTACHMENT NAMES MESSAGE HAS ATTACHMENTS TIME ZONE OFFSET FILE AUTHOR 1 PRODUCTION BEG ATTACH should contain the PRODUCTION BEG NUM value 0f an attachment’s parent document. PRODUCTION BEG ATTACH for a parent document is equal to the PRODUCTION BEG NUM for the parent document. 2 If it has been captured. INSPECTION DEMANDS, SET ONE --8- 3286\.D|SCOVERY\|DREQ1 STDOC \OOONONMAUJNt-A NNNNNNNNNHHHHHHHHHH OONOUI-PUJNHOOOOVONUIAUJNHO - FILE DATE CREATED ° FILE DATE CREATED OFFSET - FILE DATE MODIFIED ° FILE DATE MODIFIED OFFSET ° FILE NAME ° FILE SIZE ° FILE EXTENSION - ORIGINAL FOLDER NAME3 - PAGE COUNT ° MD5 HASH - LINK TO NATIVE FILE4 0 LINK TO EXTRACTED TEXTS ° FOR SCANNED HARDCOPY DOCUMENTS ° PRODUCTION BEG NUM - PRODUCTION END NUM - PAGE COUNT ° LINK TO TEXT6 3. DeDuplication. Cross-Custodian DeDuplication (also known as Horizontal Duplication) will be applied to all data. Duplicate custodian name and a duplicate custodian path will be provided to memorialize the location 0f all deduped data. 4. Native Production. Where feasible, non-redacted Excel, Multi-Media and PowerPoint files shall be produced in their native format. 5. Databases 0r Structured Data. If a party is providing databases 0r structured data, the parties will confer t0 discuss the appropriate delivery format. 3 Mailbox Path for E-Mails 0r Original Path for E-Docs. “ Only for data being produced natively; see Section 3 below. 5 Extracted text will be provided at the document level - not the page level. " Microsoft Outlook only. INSPECTION DEMANDS, SET ONE -9- 3286\.D|SCOVERY\|DREQ1ST.DOC \OOOflQUl-bUJNy-A NNNNNNNNNHHHHHHp-AH 6. Social Media and Web Content. Social media and other web content shall be produced as Group IV TIFF and JPEG With associated metadata load files. The parties will fimher confer regarding the specific web pages and available metadata. Pursuant to California Code of Civil Procedure Section 2030.010, Plaintiff Alfred Lax (”Plaintiff') hereby requests that Defendant Roto-Rooter Services Company (“Defendant”) answer in writing and under oath the following specially prepared interrogatories: INSPECTION DEMANDS INSPECTION DEMAND NO. 1: ALL DOCUMENTS setting forth the methods by which YOU have compensated service technicians from November 30, 2014, to the present, including, but not limited t0 commission plans and documents setting forth flat rate payments for services performed. INSPECTION DEMAND NO. 2: ALL of Plaintiff s wage statements from November 30, 2014, to the present. INSPECTION DEMAND NO. 3: ALL DOCUMENTS setting forth the hours worked by Plaintiff from November 30, 2014, to the present. INSPECTION DEMAND NO. 4: ALL policies and procedures applicable t0 service technicians in California from November 30, 2014, t0 the present, including, but not limited t0, employee manuals, employee handbooks, rest break policies, meal break policies. INSPECTION DEMAND NO. 5: ALL DOCUMENTS setting forth, OR in ANY way discussing, how service technicians are compensated for rest breaks, including payment t0 service technicians in California an additional hour 0f compensation for missed rest breaks. INSPECTION DEMAND NO. 6: ALL DOCUMENTS setting forth, OR in ANY way discussing, the payment to service technicians in California from November 30, 2014, to the present an additional hour of INSPECTION DEMANDS. SET ONE -1 0- 3286\.DISCOVERY\IDREQ1STDOC Am \OOOQQ 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 compensation for missed meal breaks. INSPECTION DEMAND NO. 7: ALL DOCUMENTS reflecting the time spent by service technicians in California from November 30, 2014, to the present for equipment repair time. INSPECTION DEMAND NO. 8: ALL DOCUMENTS setting forth, OR in ANY way discussing, the assignment of company vehicles to service technicians in California from November 30, 2014, to the present. INSPECTION DEMAND NO. 9: ALL DOCUMENTS setting forth, OR in ANY way discussing, ANY amounts deducted from the wages of service technicians in California from November 30, 2014, t0 the present for the use 0f company vehicles. INSPECTION DEMAND NO. 10: ALL DOCUMENTS setting forth, OR in ANY way discussing, the reimbursement of service technicians in California from November 30, 2014 t0 the present for the purchase of tools and equipment to perform their job. INSPECTION DEMAND NO 11: ALL 0f Plaintiff’ s time keeping records, including but not limited t0, time cards, or any electronic reflection of Plaintiff s hours worked. Date: February 24, 2020 Attorneykfor Alfied Lax, and all others similarly situated INSPECTION DEMANDS, SET ONE -1 1- 3286\.DISCOVERY\IDREQ1STDoc \OOONONU‘I-hbJNH NNNNNNNNNHHHu-HflHr-tr-Ar-A WQQM-PWNHOCWNQMAWNHO PROOF OF SERVICE I, the undersigned, hereby declare: I am employed in the City and County 0f San Francisco, California in the office 0f a member 0f the bar 0f this court at whose direction the following service was made. I am over the age 0f eighteen years and not a party t0 the within action. My business address is Workman Law Firm, PC, 177 Post Street, Suite 800, San Francisco, California. Ihereby certify that 0n February 24, 2020, I served the PLAINTIFF ALFRED LAX’S FIRST SET OF INSPECTION DEMANDS TO DEFENDANT ROTO-ROOTER SERVICES COMPANY 0n the interested parties in this action Via mail by placing a true copy thereof, 0n the above date, enclosed in a sealed envelope following the ordinary business practice 0f Workman Law Firm, PC, for collection and mailing in the United States mail addressed as set forth below: REED E. SCHAPER BENJAMIN J. TREGER HIRSCHFELD KRAEMER LLP 233 Wilshire Boulevard, Suite 600 Santa Monica, CA 90401 I am personally and readily familiar with the business practice 0f Workman Law Firm, PC for collection and processing of documents for mailing with the U.S. Postal Service, pursuant to which mail placed for collection at designated stations in the ordinary course of business is deposited the same day, proper postage prepaid, with the U.S. Postal Service. I declare under penalty of perjury under the laws 0f the State 0f California that the By. EEK: foregoing is true and correct. INSPECTION DEMANDS, SET ONE -12- 3286\.D|SCOVERY\|DREQ1ST.DOC EXHIBIT I \DWNON‘JI-bWNn-n NNNNNNNNNt-tt-tb-tt-tHr-‘p-‘p-n WORKMAN LAW FIRM, PC Robin G. Workman (Bar #145810) robin@w0rkmanlawpc.com Rachel E. Davey (Bar #3 1 6096) rachel@workmanlawpc.com 177 Post Street, Suite 800 San Francisco, CA 94108 Telephone: (415) 782-3660 Facsimile: (415) 788-1028 Attorneysfor Plaintifif Alfred Lax 0n behalfofhimselfand all others similarly situated SUPERIOR COURT OF CALIFORNIA COUNTY OF SANTA CLARA ALFRED LAX, on behalf of himself and an NO- 18CV338652 Others Similarly Situated, ASSIGNED FOR ALL PURPOSES T0 THE Plaintiff HON. BRIAN C. WALSH, DEPT. 1 VS. PLAINTIFF ALFRED LAX’S FIRST SET 0F SPECIAL INTERROGATORIES T0ROTO-ROOTER SERVICES COMPANY, and DEFENDANT ROTO_ROOTER DOCS 1 through 50, inCIUSiVC, SERVICES COMPANY Defendants Unlimited Civil Case The Amount Demanded Exceeds $25,000 PROPOUNDING PARTY: Plaintiff Alfred Lax RESPONDING PARTY: Defendant Roto-Rooter Services Company SET NO: One Pursuant t0 California Code 0f Civil Procedure Section 2030.010, Plaintiff Alfred Lax ("Plaintiff") hereby requests that Defendant Roto-Rooter Services Company (“Defendant”) answer in writing and under oath the following specially prepared interrogatories: SPECIAL INTERROGATORIES, SET ONE -1- 3286\.D|SCOVERY\S|REQ1ST.DOC \OOONOUl-PUJNP‘ NNNNNNNNNHt-nr-At-tr-tt-tp-At-Ar-AH OONQMhMNHOCOONONMJ>UJNHO SPECIAL INTERROGATORY NO. 1: State the number of service technicians YOU have employed in California from November 30, 2014 to the present. (The terms "YOU," "YOUR" 0r "YOURS" refer to Defendant Roto- Rooter Services Company and, if applicable, the agents, employees, officers, and directors of same or of any subsidiary or divisions thereof, and their attorneys and those persons employed by their attorneys.) SPECIAL INTERROGATORY NO. 2_: State the periods of employment for the service technicians that YOU employed in California from November 30, 2014 t0 the present. SPECIAL INTERROGATORY N0. 3: If you contend that YOU separately compensated technicians in California for rest breaks from November 30, 2014 to the present, explain, with as much specificity as possible, how YOU did so. SPECIAL INTERROGATORY NO. 4: D0 YOU have ANY records reflecting rest breaks taken by service technicians in California from November 30, 2014 t0 the present? (As used herein, the term "ALL" is synonymous with "ANY" and the term "OR" means "AND/OR.") SPECIAL INTERROGATORY N0. 5: IfYOU contend that YOU have records reflecting rest breaks taken by service technicians in California from November 30, 2014 to the present, IDENTIFY these records With as much specificity as possible. (T0 "IDENTIFY" records 0r “DOCUMENTS” means to provide a brief description 0f each document sufficient t0 support a request for production, including at least the title of the document, type 0f document, date of the document, identification of the author and recipient (if any), all persons who received 0r saw copies 0r by Bates number if already produced. The terms "DOCUMENT” 0r "DOCUMENTS" shall mean any tangible thing upon Which any expression, communication 0r representation has been recorded by any means including, but not limited t0, “COMPUTER RECORDS,” “E-MAIL RECORDS,” handwriting, typewriting, printing, photographing, audio taping, videotaping, magnetic impulse, 0r mechanical or electronic recording SPECIAL INTERROGATORIES, SET ONE -2- 3286\.DISCOVERY\S|REQ1ST.DOC \OOONQUI-PUJN 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 and any non-identical copies (whether different from the original because 0fnotes made 0n such copies, because of indications that said copies were sent to different individuals than were the originals, 0r because of any other reason), including but not limited t0 working papers, preliminary, intermediate 0r final drafts, correspondence, memoranda, spreadsheets, charts, notes, scripts, records of any sort 0f meetings, invoices, financial statements, financial calculations, diaries, reports 0f telephone 0r other oral conversations, desk calendars, appointment books, audio or video tape recordings, computer tape, computer disk, computer printout, computer card, and all other writings and recordings 0f every kind that are in your actual 0r constructive possession, custody or control. The term "COMPUTER RECORDS” shall mean any tangible thing upon Which any expression, communication 0r representation has been recorded by any means including, but not limited t0, network server storage, backup storage, online server storage, computer tape, computer disk, computer floppy diskette, computer printout, computer card, computer hard drive, computer floppy drive, removable computer drive storage, scanner, computer facsimile, printing, photographing, Video recording, audio recording, magnetic impulse, or other means of electronic recording and any non- identical copies (whether different from the original because 0fnotes made on such copies, because of indications that said copies were sent to different individuals than were the originals, 0r because of any other reason), including but not limited t0 working papers, preliminary, intermediate 0r final drafts, correspondence, memoranda, spreadsheets, charts, notes, scripts, records of any sort of meetings, invoices, financial statements, financial calculations, diaries, reports 0f telephone or other oral conversations, calendars, task schedulers, audio 0r Video recordings, and all other writings and recordings of every kind that are in your actual 0r constructive possession, custody 0r control. The term “E-MAIL RECORDS” shall mean any and all tangible thing upon which any expression, communication or representation has been recorded by any means including, but not limited to, any form of electronic mail, Internet online e-mail, any form of interoffice and/or intraoffice network e- mail, printouts of documents from Internet online e-mail 0r interoffice and intraoffice network e-mail, including any copies which may be stored electronically in any manner including, but not limited to, network server storage, backup storage, online server storage, computer tape, computer disk, computer floppy diskette, computer printout, computer card, computer hard drive, computer floppy SPECIAL INTERROGATORIES, SET ONE -3- 3286\.DISCOVERY\S|REQ1ST.DOC OWNQUIAUJNr-A NNNNNNNNNt-tr-‘Hv-twt-tv-tr-n drive, removable computer drive storage, scanner, computer facsimile, printing, photographing, Video recording, audio recording, magnetic impulse, or other means 0f electronic recording and any non- identical copies (whether different from the original because 0f notes made 0n such copies, because of indications that said copies were sent t0 different individuals than were the originals, or because 0f any other reason), including but not limited to working papers, preliminary, intennediate or final drafts, correspondence, memoranda, spreadsheets, charts, notes, scripts, records of any sort 0f meetings, invoices, financial statements, financial calculations, diaries, reports 0ftelephone or other oral conversations, calendars, task schedulers, audio 0r Video recordings, and all other writings and recordings of every kind that are in your actual 0r constructive possession, custody or control.) SPECIAL INTERROGATORY N0. 6: D0 YOU have ANY records reflecting meal breaks taken by service technicians in California from November 30, 2014 t0 the present? SPECIAL INTERROGATORY N0. 7: IfYOU contend that YOU have records reflecting meal breaks taken by service technicians in California from November 30, 2014 to the present, IDENTIFY these records with as much specificity as possible. SPECIAL INTERROGATORY NO. 8: If you contend that YOU separately compensated technicians from November 30, 2014, to the present for van maintenance time, explain, With as much specificity as possible, how YOU did so. SPECIAL INTERROGATORY N0. 9: If you contend that YOU separately compensate technicians from November 30, 2014, t0 the present for equipment repair time, explain, With as much specificity as possible, how YOU did so. SPECIAL INTERROGATORY NO. 10: Explain, With as much specificity as possible, how YOU determine the flat rates by which YOU compensate service technicians for EACH task service technicians perform. SPECIAL INTERROGATORIES, SET ONE -4- 3286\.D|SCOVERY\SIREQ1ST.DOC \OOONQUi-RUJNH NNNNNNNNNHH SPECIAL INTERROGATORY NO. 11: Explain, with as much specificity as possiblefihe instructions YOU provide service technicians in California from November 30, 2014, to the present regarding when and how service technicians must clock in OR sign in for work. SPECIAL INTERROGATORY NO. 1L Explain, with as much specificity as possible, when YOU begin compensating service technicians in California after they clock in OR sign in for work. SPECIAL INTERROGATORY NO. 13: Explain, with as much specificity as possible, the amounts YOU deducted from the wages 0f service technicians in California, from November 30, 2014 to the present, for service technicians’ use of company-supplied vehicles. SPECIAL INTERROGATORY NO. 14: IfYOU contend that from November 30, 2014 to the present, YOU paid service technicians in California an additional hour 0f compensation for missed rest breaks, explain with as much specificity how YOU did so. SPECIAL INTERROGATORY NO. 15: IfYOU contend that from November 30, 2014 to the present, YOU paid service technicians in California an additional hour of compensation for missed meal breaks, explain with as much specificity how YOU did s0. SPECIAL INTERROGATORY NO. 16: Provide the CONTACT INFORMATION 0fALL PERSONS employed by YOU as service technicians in California from November 30, 2014, and the present. (The term “CONTACT INFORMATION” refers t0 the name, address, email address and telephone number, and occupation 0r job title at the time t0 which the interrogatory relates and such other information as should be sufficient to notice the deposition of such person and t0 serve such person with a subpoena. The term "PERSON(S)" refers both to natural persons and to corporate or other business entities such as a firm, partnership, proprietorship, association 0r any other organization 0r entity). SPECIAL INTERROGATORIES, SET ONE -5- 3286\.DISCOVERY\SIREQ1ST.DOC \OOONONU‘I-PUJNH NNNNNNNNNHHHHHr-‘Hp-AHp-A OONQUIALDNHOKOWNONUI-PWNHO /..~ Date: February 24, 2020 WOngMA LAW FIRM, PC, f / Robin G. Wfirkm‘afi Attorneysfor Alfified Lax, and all others similarly situated SPECIAL INTERROGATORIES, SET ONE -6- 3286\.D|SCOVERY\SIREQ1ST.DOC \DOONONLII-RUJNH NNNNNNNNNb-tr-tr-It-II-tr-AHr-Ar-Ap-A OONQM$WNHOOOONQKJI¥WNHO I, the undersigned, hereby declare: I am employed in the City and County 0f San Francisco, California in the office of a member 0f the bar 0f this court at whose direction the following service was made. I am over the age 0f eighteen years and not a party t0 the within action. My business address is Workman Law Firm, PC, 177 Post Street, Suite 800, San Francisco, California. I hereby certify that 0n February 24, 2020, I served the PLAINTIFF ALFRED LAX’S FIRST SET OF SPECIAL INTERROGATORIES TO DEFENDANT ROTO-ROOTER SERVICES COMPANY 0n the interested parties in this action Via mail by placing a true copy thereof, 0n the above date, enclosed in a sealed envelope following the ordinary business practice 0f Workman Law Firm, PC, for collection and mailing in the United States mail addressed as set forth below: REED E. SCHAPER BENJAMIN J. TREGER HIRSCHFELD KRAEMER LLP 233 Wilshire Boulevard, Suite 600 Santa Monica, CA 90401 I am personally and readily familiar with the business practice 0f Workman Law Finn, PC for collection and processing 0f documents for mailing with the U.S. Postal Service, pursuant t0 which mail placed for collection at designated stations in the ordinary course of business is deposited the same day, proper postage prepaid, with the U.S. Postal Service. I declare under penalty 0f perjury under the laws 0f the State 0f California that the nCQforegoing is true and correct. SPECIAL INTERROGATORIES, SET ONE -7- 3286\.D|SCOVERY\SIREQ1ST.DOC EXHIBIT J \OOOQONU‘I-PWN 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 WORKMAN LAW FIRM, PC Robin G. Workman (Bar #145810) robin@workmanlawpc.c0m Rachel E. Davey (Bar #3 16096) rachel@w0rkmanlawpc.com 177 Post Street, Suite 800 San Francisco, CA 94108 Telephone: (415) 782-3660 Facsimile: (415) 788-1028 Attorneysfor Plaintiff Alfred Lax 0n behalfofhimselfand all others similarly situated SUPERIOR COURT OF CALIFORNIA COUNTY OF SANTA CLARA ALFRED LAX, on behalf of himself and a11 NO- 1807338652 Others Slmllafly Sltuateda ASSIGNED FOR ALL PURPOSES T0 THE Plaintiff HON. BRIAN C. WALSH, DEPT. 1 VS‘ PLAINTIFF ALFRED LAX’S FIRST SET 0F SPECIAL INTERROGATORIES T0ROTO-ROOTER SERVICES COMPANY, and DEFENDANT R0T0_ROOTER DOCS 1 through 50, inCIUSiVG, SERVICES COMPANY Defendants‘ Unlimited Civil Case The Amount Demanded Exceeds $25,000 PROPOUNDING PARTY: Plaintiff Alfred Lax l RESPONDING PARTY: Defendant Roto-Rooter Services Company SET NO: One Pursuant to California Code 0f Civil Procedure Section 2030.010, Plaintiff Alfred Lax ("Plaintiff') hereby requests that Defendant Roto-Rooter Services Company (“Defendant”) answer in writing and under oath the following specially prepared interrogatories: SPECIAL INTERROGATORIES, SET ONE -1- 3286\.D|SCOVERY\SIREQ1ST.DOC \OOOQONUW-bUQNr-n NNNNNNNNNF-‘Ht-dr-lt-lr-AHHp-AH OOQQUI-PWN-‘OKOOONONM-bUJNt-O SPECIAL INTERROGATORY NO. 1: State the number 0f service technicians YOU have employed in California from November 30, 2014 t0 the present. (The terms "YOU," "YOUR" or "YOURS" refer t0 Defendant Roto- Rooter Services Company and, if applicable, the agents, employees, officers, and directors 0f same 0r 0f any subsidiary 0r divisions thereof, and their attorneys and those persons employed by their attorneys.) SPECIAL INTERROGATORY NO. 2: State the periods of employment for the service technicians that YOU employed in California from November 30, 2014 to the present. SPECIAL INTERROGATORY NO. 3: If you contend that YOU separately compensated technicians in California for rest breaks from November 30, 2014 to the present, explain, with as much specificity as possible, how YOU did so. SPECIAL INTERROGATORY NO. 4: Do YOU have ANY records reflecting rest breaks taken by service technicians in California from November 30, 2014 t0 the present? (As used herein, the term "ALL" is synonymous with "ANY" and the teIm "OR" means "AND/OR.") SPECIAL INTERROGATORY NO. 5: IfYOU contend that YOU have records reflecting rest breaks taken by service technicians in California from November 30, 2014 to the present, IDENTIFY these records with as much specificity as possible. (T0 "IDENTIFY" records 0r “DOCUMENTS” means t0 provide a brief description 0f each document sufficient to support a request for production, including at least the title 0f the document, type of document, date of the document, identification 0f the author and recipient (if any), all persons who received 0r saw copies 0r by Bates number if already produced. The terms "DOCUMENT" or "DOCUMENTS" shall mean any tangible thing upon Which any expression, communication 0r representation has been recorded by any means including, but not limited to, “COMPUTER RECORDS,” “E-MAIL RECORDS,” handwriting, typewriting, printing, photographing, audio taping, videotaping, magnetic impulse, or mechanical 0r electronic recording SPECIAL INTERROGATORIES, SET ONE -2- 3286\.DISCOVERY\SIREQ1ST.DOC \OOOQQUI-PWNH NNNNNNNNNHHh-Ih-AHHHHHH WNONM-PWNHOCOOQQM-waflo and any non-identical copies (whether different from the original because 0fnotes made 0n such copies, because 0f indications that said copies were sent t0 different individuals than were the originals, 0r because 0f any other reason), including but not limited t0 working papers, preliminary, intermediate or final drafts, correspondence, memoranda, spreadsheets, charts, notes, scripts, records 0f any sort 0f meetings, invoices, financial statements, financial calculations, diaries, reports 0f telephone 0r other oral conversations, desk calendars, appointment books, audio or Video tape recordings, computer tape, computer disk, computer printout, computer card, and all other writings and recordings 0f every kind that are in your actual or constructive possession, custody 0r control. The term "COMPUTER RECORDS” shall mean any tangible thing upon Which any expression, communication 0r representation has been recorded by any means including, but not limited to, network server storage, backup storage, online server storage, computer tape, computer disk, computer floppy diskette, computer printout, computer card, computer hard dn've, computer floppy drive, removable computer drive storage, scanner, computer facsimile, printing, photographing, Video recording, audio recording, magnetic impulse, 0r other means 0f electronic recording and any non- identical copies (Whether different from the on'ginal because 0f notes made 0n such copies, because 0f indications that said copies were sent t0 different individuals than were the originals, 0r because of any other reason), including but not limited t0 working papers, preliminary, intermediate or final drafts, correspondence, memoranda, spreadsheets, charts, notes, scripts, records 0f any sort of meetings, invoices, financial statements, financial calculations, diaries, reports oftelephone or other oral conversations, calendars, task schedulers, audio or Video recordings, and all other writings and recordings 0f every kind that are in your actual or constructive possession, custody 0r control. The term “E-RLAIL RECORDS” shall mean any and all tangible thing upon Which any expression, communication 0r representation has been recorded by any means including, but not limited t0, any form of electronic mail, Internet online e-mail, any form of interoffice arid/or intraoffice network e- mail, printouts 0f documents from Internet online e-mail 0r interoffice and intraoffice network e-mail, including any copies which may be stored electronically in any manner including, but not limited to, network server storage, backup storage, online server storage, computer tape, computer disk, computer floppy diskette, computer printout, computer card, computer hard drive, computer floppy SPECIAL INTERROGATORIES, SET ONE -3~ 3286\.D|SCOVERY\SIREQ1ST.DOC U‘IhUJN \OOONG 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 drive, removable computer drive storage, scanner, computer facsimile, printing, photographing, Video recording, audio recording, magnetic impulse, or other means 0f electronic recording and any non- identical copies (whether different from the original because 0f notes made on such copies, because 0f indications that said copies were sent t0 different individuals than were the originals, or because 0f any other reason), including but not limited to working papers, preliminary, intermediate 0r final drafts, con‘espondence, memoranda, spreadsheets, charts, notes, scripts, records 0f any sort of meetings, invoices, financial statements, financial calculations, diaries, reports oftelephone 0r other oral conversations, calendars, task schedulers, audio or Video recordings, and all other writings and recordings of every kind that are in your actual or constructive possession, custody 0r control.) SPECIAL INTERROGATORY NO. 6: D0 YOU have ANY records reflecting meal breaks taken by service technicians in California from November 30, 2014 t0 the present? SPECIAL INTERROGATORY NO. 7: IfYOU contend that YOU have records reflecting meal breaks taken by service technicians in California from November 30, 2014 t0 the present, IDENTIFY these records with as much specificity as possible. SPECIAL INTERROGATORY NO. 8: If you contend that YOU separately compensated technicians from November 30, 2014, to the present for van maintenance time, explain, with as much specificity as possible, how YOU did SO. SPECIAL INTERROGATORY NO. 9: If you contend that YOU separately compensate technicians from November 30, 2014, to the present for equipment repair time, explain, with as much specificity as possible, how YOU did so. SPECIAL INTERROGATORY NO. 10: Explain, with as much specificity as possible, how YOU determine the flat rates by which YOU compensate service technicians for EACH task service_technicians perform. SPECIAL INTERROGATORIES. SET ONE -4- 3286\.D|SCOVERY\S|REQ1ST.DOC #UJN \DOONQKII 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 SPECIAL INTERROGATORY NO. 11: Explain, with as much specificity as possible, the instructions YOU provide service technicians in California from November 30, 2014, t0 the present regarding When and how service technicians must clock in OR sign in for work. SPECIAL INTERROGATORY NO. 12: Explain, With as much specificity as possible, when YOU begin compensating service technicians in California after they clock in OR sign in for work. SPECIAL INTERROGATORY NO. 13: Explain, with as much specificity as possible, the amounts YOU deducted from the wages of service technicians in California, from November 30, 2014 t0 the present, for service technicians’ use 0f company-supplied vehicles. SPECIAL INTERROGATORY NO. 14: IfYOU contend that from November 30, 2014 t0 the present, YOU paid service technicians in California an additional hour 0f compensation for missed rest breaks, explain with as much specificity how YOU did so. SPECIAL INTERROGATORY NO. 15: IfYOU contend that from November 30, 2014 t0 the present, YOU paid service technicians in California an additional hour of compensation for missed meal breaks, explain with as much specificity how YOU did so. Date: March 18, 2019 WORKM N L FIRM, PC I By: ' /fl/é(/ a V RobWGa-Workrhét Attorneysfor Alfied Lax, and all others similarly situated SPECIAL INTERROGATORIES, SET ONE -5- 3286\.DISCOVERY\S|REQ1ST.DOC #WN \OOOQONUI 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 I, the undersigned, hereby declare: I am employed in the City and County 0f San Francisco, California in the office 0f a member 0f the bar of this court at Whose direction the following service was made. I am over the age of eighteen years and not a party t0 the within action. My business address is Workman Law Firm, PC, 177 Post Street, Suite 800, San Francisco, California. I hereby certify that 0n March 18, 2019, I served the PLAINTIFF ALFRED LAX’S FIRST SET 0F SPECIAL INTERROGATORIES TO DEFENDANT ROTO-ROOTER SERVICES COMPANY on the interested parties in this action Via mail by placing a true copy thereof, 0n the above date, enclosed in a sealed envelope following the ordinary business practice 0f Workman Law Firm, PC, for collection and mailing in the United States mail addressed as set forth below: REED E. SCHAPER BENJAMIN J. TREGER HIRSCHFELD KRAEMER LLP 233 Wilshire Boulevard, Suite 600 Santa Monica, CA 90401 I am personally and readily familiar with the business practice 0f Workman Law Firm, PC for collection and processing of documents for mailing with the U.S. Postal Service, pursuant t0 Which mail placed for collection at designated stations in the ordinary course 0f business is deposited the same day, proper postage prepaid, With the U.S. Postal Service. I declare under penalty of perjury under the laws 0f the State 0f California that the B31 C foregoing is true and correct. SPECIAL INTERROGATORIES, SET ONE -6- 3286\.DISCOVERY\SIREQ1ST.DOC