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Drafting Employment Documents for California Employers

Spot important legal issues and draft employment-related documents quickly and competently using this essential practice guide.

Spot important legal issues and draft employment-related documents quickly and competently using this essential practice guide.

  • Helpful checklists on a wide range of employment law topics, from hiring and immigration to evaluations and terminations
  • Numerous sample forms with helpful annotations
  • Employment contracts and employee leasing agreements
  • Independent contractor agreements
  • Confidentiality agreement and invention assignment
  • Guidelines for trade secrets protection
  • Incentive stock plan with related stock option and restricted stock agreements
  • Sample employee handbook

 

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Spot important legal issues and draft employment-related documents quickly and competently using this essential practice guide.

  • Helpful checklists on a wide range of employment law topics, from hiring and immigration to evaluations and terminations
  • Numerous sample forms with helpful annotations
  • Employment contracts and employee leasing agreements
  • Independent contractor agreements
  • Confidentiality agreement and invention assignment
  • Guidelines for trade secrets protection
  • Incentive stock plan with related stock option and restricted stock agreements
  • Sample employee handbook

 

1

Hiring Forms and Checklists

James E. Hart

Douglas A. Wickham

Matthew J. Sharbaugh

Meredith Snyder

  • I.  INTRODUCTION TO HIRING  1.1
  • II.  FORM: SAMPLE JOB DESCRIPTION QUESTIONNAIRE  1.2
  • III.  FORM: SAMPLE EMPLOYMENT APPLICATION WITH APPLICANT’S STATEMENT  1.3
  • IV.  SAMPLE INTERVIEW GUIDE
    • A.  General Considerations  1.4
      • 1.  Criminal History Inquiries; State “Ban the Box” Rules  1.4A
      • 2.  Local “Fair Chance” Ordinances  1.4B
    • B.  Form: Interview Guide  1.5
  • V.  FORM: HIRING DOCUMENT GUIDE  1.6
  • VI.  FORM: SAMPLE AUTHORIZATION TO OBTAIN JOB-RELATED MEDICAL INFORMATION AND DRUG TESTING  1.7
  • VII.  SAMPLE AUTHORIZATION TO OBTAIN APPLICANT’S CREDIT REPORT AND CONDUCT INVESTIGATION
    • A.  Form: Notice of Intent to Procure Consumer Report, Consumer Credit Report, Investigative Consumer Report, and Authorization  1.8
    • B.  Form: Applicant’s Information for Background Check Agency  1.9
    • C.  Form: Company’s Certification to Credit Reporting Agency  1.10
    • D.  Form: Certificate of Compliance by Agency  1.11
  • VIII.  BASIC AT-WILL AGREEMENT
    • A.  Form: At-Will Provision for Use in Employment-Related Policies or Agreements  1.12
    • B.  Form: Stand-Alone At-Will Agreement  1.13
  • IX.  SAMPLE WAGE NOTICE FORM
    • A.  Drafting Considerations  1.13A
    • B.  Form: Wage Notice  1.13B
  • X.  SAMPLE OFFER LETTER
    • A.  Drafting Considerations  1.14
    • B.  Form: Offer Letter  1.15
    • C.  Form: Acceptance of Offer of Employment  1.16
    • D.  Form: Sample Arbitration Agreement  1.17
  • XI.  SAMPLE REJECTION LETTER  1.18

2

Immigration Issues in Hiring

Amanda S. Paquet

  • I.  SCOPE OF CHAPTER  2.1
  • II.  WORKFORCE COMPLIANCE AND NONDISCRIMINATION OBLIGATIONS
    • A.  Requirements for All Employers  2.2
      • 1.  Obligations Concerning Employees  2.3
        • a.  Federal Agencies Involved  2.3A
        • b.  IRCA Anti-Discrimination Provisions and Related California Laws  2.3B
          • (1)  Citizenship or Immigration Status Discrimination   2.3C
          • (2)  National Origin Discrimination  2.3D
          • (3)  Unfair Documentary Practices Related to Employment Eligibility Verification  2.3E
          • (4)  Retaliation  2.3F
            • (a)  California Prohibitions Against Retaliation and Unfair Immigration-Related Practices  2.3G
            • (b)  Potential NLRA Issues  2.3H
        • c.  Overview of Form I-9 Basics  2.4
          • (1)  I-9 Central  2.4A
          • (2)  Most Recent Form I-9   2.4B
          • (3)  Timing  2.4C
          • (4)  Print Form I-9 From USCIS Website   2.4D
          • (5)  Discrimination Issues  2.4E
          • (6)  Document Abuse  2.4F
          • (7)  Following Form I-9 Consistently Helps Avoid Discrimination Issues Such as “Document Abuse”   2.4G
          • (8)  California AB 60 License Cards  2.4H
          • (9)  Document Retention  2.4I
          • (10)  Electronic Completion, Signatures, and Storage  2.4J
        • d.  Post-Hiring Issues
          • (1)  Overview  2.5
          • (2)  Actual or Constructive Knowledge  2.5A
          • (3)  Conventional Wisdom  2.5B
          • (4)  New Identity After Satisfactory Documents  2.5C
          • (5)  Related California Law Issues  2.5D
        • e.  Penalties
          • (1)  Unauthorized Employment or Form I-9 Violations
            • (a)  Civil and Criminal Violations   2.6
            • (b)  Good Faith Defenses  2.6A
            • (c)  No Employee Indemnification  2.6B
          • (2)  Unlawful Discrimination  2.6C
      • 2.  Obligations Concerning Independent Contractors  2.7
    • B.  E-Verify Required for Certain Employers
      • 1.  Certain Federal Contractors  2.8
      • 2.  California Generally Prohibits State, Counties, Cities, and Special Districts From Requiring Employers to Use E-Verify  2.9
    • C.  Optional Programs
      • 1.  E-Verify—Optional for Most Employers
        • a.  Overview  2.10
        • b.  Rebuttable Presumption  2.10A
        • c.  Posting Obligation  2.10B
        • d.  Criticism  2.10C
        • e.  Self Check Option for Job Seekers  2.10D
        • f.  myE-Verify  2.10E
        • g.  How E-Verify Affects Form I-9 Procedures  2.10F
        • h.  Timing for Employers  2.10G
        • i.  Timing Exceptions  2.10H
        • j.  If Used, E-Verify Cannot Be Used Selectively  2.10I
        • k.  Same Nondiscrimination Concerns as With Form I-9 Procedures   2.10J
        • l.  E-Verify’s Monitoring and Compliance Branch  2.10K
        • m.  Photo Matching  2.10L
        • n.  Creating a Case  2.10M
        • o.  E-Verify Direct Communication With Employees  2.10N
        • p.  Additional Employer Obligations  2.10O
      • 2.  E-Verify Incentive for Employers With OPT Employees  2.11
      • 3.  ICE Mutual Agreement Between Government and Employers (IMAGE)  2.12
      • 4.  Social Security Number Verification Service (SSNVS)  2.13
    • D.  Possible Future Requirements for All Employers
      • 1.  E-Verify Trends  2.14
      • 2.  Government Compliance Audits and Self-Audit Guidance  2.15
  • III.  “SPONSORING” A WORKER FOR EMPLOYMENT AUTHORIZATION
    • A.  General Considerations  2.16
    • B.  Preplanning and Maintenance Required  2.17
      • 1.  Nonimmigrant, Immigrant, or Nonimmigrant Then Immigrant?  2.18
      • 2.  Lag Time  2.19
      • 3.  On-Site Inspections  2.20
      • 4.  Dual Representation Issues  2.21
      • 5.  Additional Employer Obligations  2.22
    • C.  Business Visitors  2.23
  • IV.  HOW TO BE PROACTIVE
    • A.  Getting Started With Immigration Compliance  2.24
    • B.  Checklist: Getting Started  2.25
    • C.  Checklist: Immigration Compliance Self-Review  2.26
    • D.  “Lucky 13” Best Practices
      • 1.  Guidance for Employers  2.27
      • 2.  Checklist: “Lucky 13” Best Practices  2.28
    • E.  Mergers, Acquisitions, and Other Corporate Changes
      • 1.  Issue Spotting  2.29
      • 2.  Checklist: Sample Due Diligence Queries  2.30
      • 3.  Need for New Forms I-9?  2.31
    • F.  Audit, On-Site Inspection, and Raid Preparedness  2.32
      • 1.  California Immigrant Worker Protection Act  2.32A
      • 2.  Checklist: Audits and On-Site Inspections  2.33
      • 3.  Checklist: Raids  2.34
    • G.  Hiring Independent Contractors
      • 1.  Sample Language for Independent Contractor Agreements  2.35
        • a.  Form: Basic Compliance Representation  2.36
        • b.  Form: Expanded Compliance Representation and Warranty  2.37
      • 2.  Form: Audit Procedures  2.38
      • 3.  Additional Considerations  2.39
    • H.  Interviewing and Pre-Employment Considerations  2.40
      • 1.  Checklist: Do’s and Don’ts for Interviews  2.41
      • 2.  Sponsorship Policy Elements  2.42
    • I.  At Time of Hiring
      • 1.  Form I-9 Compliance  2.43
        • a.  Form: Sample Basic Immigration Compliance Policy  2.44
        • b.  Form: Form I-9, Employment Eligibility Verification   2.45
        • c.  Graphic: Time for Completion of Section 2 of Form I-9   2.45A
        • d.  Form I-9 In Eight Steps
          • (1)  Step 1: Things to Do Before Employee Starts Work  2.46
          • (2)  Step 2: On Employee’s First Day of Work for Pay  2.47
          • (3)  Step 3: Within 3 Business Days of Employee’s First Day of Work for Pay  2.48
          • (4)  Step 4: Be Consistent  2.49
          • (5)  Step 5: Handling Corrections or Updates  2.50
          • (6)  Step 6: Reverify Work Authorization as Appropriate  2.51
          • (7)  Step 7: Retain Form I-9  2.52
          • (8)  Step 8: Confidentiality/Avoid Defamation or Related Claims  2.53
      • 2.  Checklist: E-Verify Procedures  2.54
      • 3.  OSC Fact Sheet: How Employers Can Avoid Discrimination in the Form I-9 and E-Verify Processes   2.54A
    • J.  After Form I-9  2.55
      • 1.  Checklist: Reverifications  2.56
      • 2.  Checklist: When Further Investigation Is Required  2.57

3

Employment Contracts

Margaret Hart Edwards

Daniel J. Cravens

  • I.  SCOPE OF CHAPTER  3.1
  • II.  GENERAL CONSIDERATIONS IN USE OF EMPLOYMENT CONTRACTS  3.2
    • A.  Anticipating Termination of Employment  3.3
      • 1.  At-Will Presumption  3.3A
      • 2.  Enforceability of At-Will Provisions  3.3B
    • B.  Setting Performance Standards  3.4
    • C.  Attracting and Retaining Employees for Special Purpose or Period of Time  3.5
    • D.  Protecting Employer’s Intellectual Property  3.6
    • E.  Providing for Arbitration of Disputes  3.7
      • 1.  Armendariz Requirements for Enforceability  3.7A
      • 2.  Unconscionability Issues  3.7B
      • 3.  Arbitration Procedures  3.7C
    • F.  Gathering Relevant Background Information  3.8
    • G.  Securities Law Reporting Requirements  3.9
    • H.  Attorney’s Potential Conflict of Interest  3.10
  • III.  USE OF EMPLOYMENT CONTRACT FORMS  3.11
  • IV.  SAMPLE EXECUTIVE EMPLOYMENT CONTRACT PROVISIONS
    • A.  Preamble and Recitals
      • 1.  Drafting Recitals  3.12
      • 2.  Form: Preamble and Recitals  3.13
    • B.  Term of Employment
      • 1.  Drafting Considerations  3.14
      • 2.  Form: Term of Employment  3.15
      • 3.  Form: Place of Employment  3.16
    • C.  Employee’s Duties and Authority
      • 1.  Description of Duties  3.17
      • 2.  Form: Employee’s Duties and Authority  3.18
      • 3.  Employee’s Outside Business Activities  3.19
      • 4.  Form: Outside Business Activities Precluded or Restricted  3.20
      • 5.  Form: Reasonable Time and Effort Required  3.21
      • 6.  Form: Covenant Not to Compete During Employment Term  3.22
      • 7.  Form: Morality Clause  3.23
      • 8.  Form: Post-Employment Competition  3.24
    • D.  Employee’s Compensation and Benefits
      • 1.  Planning Compensation  3.25
      • 2.  Salary  3.26
      • 3.  Incentives  3.27
      • 4.  Deferred Compensation  3.28
      • 5.  Benefits  3.29
      • 6.  Form: Base Salary  3.30
      • 7.  Form: Adjustment to Base Salary  3.31
      • 8.  Form: Incentive Compensation  3.32
      • 9.  Form: Stock Bonus  3.33
      • 10.  Form: Stock Options  3.34
      • 11.  Form: Cash Bonuses  3.35
      • 12.  Additional Benefits  3.36
      • 13.  Form: Additional Benefits  3.37
      • 14.  Form: Vacation  3.38
      • 15.  Form: Life Insurance  3.39
    • E.  Expenses
      • 1.  Drafting Considerations  3.40
      • 2.  Form: Expense Reimbursement  3.41
      • 3.  Form: Automobile Allowance  3.42
    • F.  Ownership of Intangibles
      • 1.  Drafting Considerations  3.43
      • 2.  Form: Ownership of Intangibles  3.44
      • 3.  Proprietary Information Obligations  3.45
        • a.  Confidentiality Agreements  3.45A
        • b.  Noncompete Covenants  3.45B
        • c.  Unfair Competition  3.45C
      • 4.  Form: Proprietary Information Obligations  3.46
    • G.  Indemnification
      • 1.  Indemnification of Employees Generally  3.47
      • 2.  Form: Indemnification by Employer  3.48
    • H.  Termination of Employment
      • 1.  Drafting Considerations  3.49
        • a.  Termination at Will  3.49A
        • b.  Termination for Cause  3.49B
        • c.  Employee’s Resignation  3.49C
        • d.  Employer’s Merger or Sale of Assets  3.49D
        • e.  Employer’s Dissolution  3.49E
      • 2.  Form: Termination of Employment; Termination Date  3.50
      • 3.  Form: Involuntary Termination With Severance Payment  3.51
      • 4.  Form: Termination of Employment by Employee  3.52
      • 5.  Form: Termination for Cause  3.53
      • 6.  Form: Termination on Resignation  3.54
      • 7.  Form: Termination on Retirement  3.55
      • 8.  Form: Termination Because of Disability  3.56
      • 9.  Form: Termination on Death  3.57
      • 10.  Form: Employer’s Right to Terminate or Assign Agreement  3.58
      • 11.  Form: Agreement Survives Combination or Dissolution  3.59
      • 12.  Form: Rights and Obligations After Notice of Termination  3.60
      • 13.  Form: Duty of Cooperation After Termination  3.61
    • I.  Dispute Resolution
      • 1.  Arbitration Provisions  3.62
      • 2.  Form: Arbitration  3.63
    • J.  Miscellaneous Provisions
      • 1.  Form: Integration  3.64
      • 2.  Form: Choice of Law  3.65
      • 3.  Form: Notices  3.66
      • 4.  Form: Severability  3.67
      • 5.  Form: Employee’s Representations  3.68
      • 6.  Form: Counterparts  3.69
      • 7.  Form: Successors and Assigns  3.70
      • 8.  Form: Attorney Fees  3.71
      • 9.  Form: Amendments  3.72
      • 10.  Form: No Third Party Rights Conferred  3.73
      • 11.  Form: Execution  3.74
  • V.  SAMPLE PERSONAL SERVICES (TALENT) AGREEMENT
    • A.  Legal Issues  3.75
    • B.  Form: Personal Services (Talent) Agreement  3.76
  • VI.  SAMPLE COMMISSION AGREEMENT
    • A.  Drafting Considerations  3.77
    • B.  Form: Commission Agreement  3.78
  • VII.  SAMPLE “LOVE” CONTRACT
    • A.  Drafting Considerations  3.79
    • B.  Form: Acknowledgment and Agreement  3.80

4

Independent Contractors

William Hays Weissman

  • I.  INTRODUCTION TO INDEPENDENT CONTRACTORS  4.1
  • II.  TESTS FOR INDEPENDENT CONTRACTOR STATUS
    • A.  Federal Common Law Control Test  4.2
    • B.  California Common Law Control Test  4.3
    • C.  California ABC Test  4.3A
    • D.  Federal Economic Realities Test  4.4
    • E.  California Economic Realities Test  4.5
    • F.  Practical Considerations and Potential Risks  4.6
  • III.  DETERMINING WORKER’S STATUS
    • A.  Step 1: Gathering Information About Relationship and Worker
      • 1.  Information-Gathering Process  4.7
      • 2.  Contracting With a Business Entity  4.8
      • 3.  Form: Questions for Statutory Employees and Statutory Independent Contractors (Question Set 1)
        • a.  Form: Question Set 1, Part 1  4.9
        • b.  Form: Question Set 1, Part 2  4.10
        • c.  Form: Question Set 1, Part 3  4.11
      • 4.  Form: Questions for Independent Contractor Engagement Under General Common Law and Economic Realities Tests (Question Set 2)
        • a.  Form: Question Set 2, Part 1  4.12
        • b.  Form: Question Set 2, Part 2  4.13
        • c.  Form: Question Set 2, Part 3  4.14
    • B.  Step 2: Analyzing Information Under Applicable Tests
      • 1.  Process of Analysis  4.15
      • 2.  Table: Analyzing Information Gathered Under Factors Most Commonly Reviewed by Administrative Agencies and Courts  4.16
  • IV.  ENGAGING INDEPENDENT CONTRACTOR
    • A.  Sample Commissioned Sales Agent Agreement
      • 1.  Drafting Considerations  4.17
      • 2.  Form: Independent Sales Agent Agreement
        • a.  Form: Preamble, Recitals  4.18
        • b.  Form: Relationship of Parties  4.19
        • c.  Form: Compensation  4.20
        • d.  Form: No Right to Enter Into Contracts for Company  4.21
        • e.  Form: Sales Solicitation Only  4.22
        • f.  Form: Trade Secrets and Confidential Information: Confidentiality Obligation  4.23
        • g.  Form: Term and Termination  4.24
        • h.  Form: Territory  4.25
        • i.  Form: Mediation and Arbitration  4.26
        • j.  Form: Obligations on Termination  4.27
        • k.  Form: Insurance, Workers’ Compensation  4.28
        • l.  Form: Indemnity  4.29
        • m.  Form: Miscellaneous Provisions, Signatures  4.30
        • n.  Form: Addendum A: Commission Schedule  4.31
        • o.  Form: Addendum B: Territory  4.32
    • B.  Sample Independent Contractor Consulting Agreement
      • 1.  Form: Preamble, General Conditions  4.33
      • 2.  Form: Contractor’s Scope of Work  4.34
      • 3.  Form: Compensation  4.35
      • 4.  Form: Termination, Dispute Resolution  4.36
      • 5.  Form: Miscellaneous Provisions, Signatures  4.37
    • C.  Sample Confidentiality and Intellectual Property Assignment Agreement for California Consultants
      • 1.  Drafting Considerations  4.38
      • 2.  Form: Confidentiality and Intellectual Property Assignment Agreement for California Consultants  4.39

5

Leased Employees

Sherry B. Shavit

  • I.  INTRODUCTION: WHAT IS EMPLOYEE LEASING?  5.1
  • II.  CHECKLIST: ISSUES INVOLVED IN EMPLOYEE LEASING  5.2
  • III.  SAMPLE EMPLOYEE LEASING AGREEMENT
    • A.  Form: Preamble  5.3
    • B.  Form: Term of Agreement  5.4
    • C.  Form: Leased Employees  5.5
    • D.  Form: PEO’s Rights and Responsibilities  5.6
    • E.  Form: Client’s Rights and Responsibilities  5.7
    • F.  Form: Communication  5.8
    • G.  Form: Leased Employee Benefits  5.9
    • H.  Form: Workers’ Compensation; Safe Work Environment  5.10
    • I.  Form: Employment Practices Liability Insurance  5.11
    • J.  Form: Client’s Insurance Requirements  5.12
    • K.  Form: Fees for Services  5.13
    • L.  Form: Ownership of Intellectual Property  5.14
    • M.  Form: Indemnification  5.15
    • N.  Form: Termination of Agreement  5.16
    • O.  Form: Miscellaneous Provisions  5.17
    • P.  Form: Signatures  5.18
    • Q.  Form: Exhibit A: Employees  5.19
    • R.  Form: Exhibit B: Fees  5.20

6

Disability Accommodation

Patti Perez

  • I.  INTRODUCTION TO DISABILITY ACCOMMODATION  6.1
  • II.  DIAGRAM OF INTERACTIVE PROCESS  6.2
  • III.  INTERACTIVE PROCESS: KEY TERMS AND CONCEPTS  6.3
    • A.  Interactive Process  6.3A
    • B.  Communication  6.3B
    • C.  Individualized Assessment  6.3C
    • D.  Essential Job Functions  6.3D
    • E.  Reasonable Accommodation  6.3E
    • F.  Undue Hardship  6.3F
  • IV.  CHECKLISTS
    • A.  Employer Checklist: Interactive Process  6.4
    • B.  Employee Checklist: Interactive Process  6.5
    • C.  Employer Checklist: Responding to a Request for Telecommuting as a Reasonable Accommodation  6.5A
    • D.  Employer Checklist: Responding to a Request for an Assistive Animal as a Reasonable Accommodation  6.5B
  • V.  INTERACTIVE PROCESS LOG
    • A.  Using Interactive Process Log  6.6
    • B.  Sample Interactive Process Log  6.7
  • VI.  SAMPLE FORM LETTERS
    • A.  Form: Sample Opening Letter Concerning Interactive Process  6.8
    • B.  Form: Sample Closing Letter Concerning Interactive Process  6.9
    • C.  Form: Sample Letter Concerning Request for Accommodation  6.9A
  • VII.  DISABILITY ACCOMMODATION ANALYSIS FORM  6.10
  • VIII.  PRACTICE TIPS FOR EMPLOYERS  6.11

7

Employee Defection and Trade Secrets Protection

Robert Yonowitz

Ron S. Brand

  • I.  INTRODUCTION TO TRADE SECRETS PROTECTION  7.1
  • II.  TRADE SECRETS AND CONFIDENTIAL INFORMATION  7.2
  • III.  CHECKLIST: GUIDELINES FOR IMPLEMENTING TRADE SECRETS PROTECTION PROGRAM  7.3
  • IV.  GUIDELINES FOR NEW EMPLOYEES HIRED FROM COMPETITOR
    • A.  Use of Guidelines by New Employee  7.4
    • B.  Form: Guidelines for New Employees Hired From Competitor  7.5
  • V.  EMPLOYER EXIT INTERVIEW
    • A.  Importance of Exit Interview  7.6
    • B.  Form: Guide for Employer Exit Interview  7.7
    • C.  Form: Certificate of Compliance Post-Termination  7.8
  • VI.  SAMPLE EMPLOYEE CONFIDENTIALITY, NONDISCLOSURE, AND NONRECRUITING AGREEMENT
    • A.  Form: Preamble  7.9
    • B.  Form: Recitals  7.10
    • C.  Form: Duty of Loyalty  7.11
    • D.  Form: Protection of Trade Secrets and Confidential Information
      • 1.  Form: Definition of Trade Secrets  7.12
      • 2.  Form: Definition of Confidential Information  7.13
      • 3.  Form: Exclusions From Definitions  7.14
      • 4.  Form: Company Property  7.15
      • 5.  Form: Safeguarding the Company’s Property and Information  7.15A
      • 6.  Form: Company-Issued or -Subsidized Electronic Devices  7.15B
      • 7.  Form: Covenant Not to Disclose  7.16
      • 8.  Form: Covenant Not to Solicit  7.17
    • E.  Form: Nonrecruiting Covenant  7.18
    • F.  Form: Covenant Not to Compete During Term of Employment  7.19
    • G.  Form: Reasonableness of Restrictive Covenants  7.20
    • H.  Form: Defend Trade Secrets Act Immunity  7.20A
    • I.  Form: Prior Agreements  7.21
    • J.  Form: Termination of Employment  7.22
    • K.  Form: Injunctive Relief  7.23
    • L.  Form: Notice to Third Parties  7.23A
    • M.  Form: Employment  7.24
    • N.  Form: Waiver  7.25
    • O.  Form: Tolling and Suspension  7.26
    • P.  Form: Entire Agreement, Governing Law, Survival  7.27
    • Q.  Form: Severability  7.28
    • R.  Form: Incorporation of Recitals  7.28A
    • S.  Form: Counterparts and Facsimile/Digital Signatures  7.28B
    • T.  Form: Closing Paragraph, Signatures  7.29
    • U.  Form: Exhibit A—Prior Agreements, Relationships, and Commitments  7.29A
    • V.  Form: Exhibit B—Certificate of Compliance Post-Termination  7.30
  • VII.  SAMPLE ASSIGNMENT OF INTEREST IN INVENTIONS AGREEMENT
    • A.  Drafting Considerations  7.31
    • B.  Form: Assignment of Interest in Inventions Agreement  7.32
    • C.  Form: Exhibit A  7.33
    • D.  Form: Exhibit B  7.34
  • VIII.  NONCOMPETITION AGREEMENTS
    • A.  Legality  7.35
    • B.  Drafting Considerations  7.36
    • C.  Form: Covenant Not to Compete  7.37
    • D.  Form: Covenant Not to Solicit Customers or Clients  7.38
  • IX.  “GARDEN LEAVE” PROVISIONS
    • A.  Use in Severance and Release Agreements  7.39
    • B.  Form: Garden Leave Provision  7.40
  • X.  SAMPLE LETTERS OF REMINDER OF CONFIDENTIALITY OBLIGATIONS
    • A.  When to Use  7.41
    • B.  Form: Letter to Former Employee  7.42
    • C.  Form: Letter to Former Employee’s New Employer  7.43
  • XI.  SAMPLE CEASE-AND-DESIST LETTERS
    • A.  When to Use  7.44
    • B.  Form: Cease-and-Desist Demand to Former Employee; Demand for Return of Company Property  7.45
    • C.  Form: Declaration of Former Employee  7.46
    • D.  Form: Cease-and-Desist Letter to Former Employee’s New Employer  7.47

8

Compensation and Equity Programs

Rob Thomas

  • I.  SCOPE OF CHAPTER  8.1
  • II.  COMPENSATION SUMMARY  8.2
    • A.  Base Salary  8.3
    • B.  Short-Term Incentives  8.4
      • 1.  Cash Bonuses  8.5
      • 2.  Commissions  8.6
    • C.  Long-Term Incentives  8.7
      • 1.  Stock Options  8.8
        • a.  Incentive Stock Options (ISOs) Versus Nonqualified Stock Options (NQSOs)  8.9
        • b.  Early Exercise Stock Options  8.10
      • 2.  Restricted Stock  8.11
        • a.  Restricted Stock Purchases  8.12
        • b.  Restricted Stock Awards  8.13
      • 3.  Other Forms of Equity Compensation
        • a.  Employee Stock Purchase Plans  8.14
        • b.  Stock Appreciation Rights  8.15
        • c.  Restricted Stock Units  8.16
        • d.  Phantom Stock Plans  8.17
      • 4.  Long-Term Bonus Plans  8.18
    • D.  Change of Control Arrangements  8.19
    • E.  Special Compensation for Executives
      • 1.  Nonqualified Deferred Compensation Plans  8.20
      • 2.  Special Rules for Executives of Public Companies
        • a.  $1 Million Limit on Deductible Compensation  8.21
        • b.  Securities Law Regulations  8.22
    • F.  Potential Conflicts of Interest  8.23
  • III.  CHECKLIST FOR NEW STOCK INCENTIVE PLAN  8.24
  • IV.  CHECKLIST FOR STOCK OPTION GRANTS  8.25
  • V.  CHECKLIST FOR STOCK OPTION EXERCISE  8.26
  • VI.  CHECKLIST FOR RESTRICTED STOCK PURCHASES  8.27
  • VII.  CHECKLIST FOR REPURCHASE OF RESTRICTED STOCK  8.28
  • VIII.  SAMPLE ANNOTATED STOCK INCENTIVE PLAN
    • A.  Drafting Considerations  8.29
    • B.  Form: Stock Incentive Plan
      • 1.  Form: Purposes of Plan  8.30
      • 2.  Form: Definitions  8.31
      • 3.  Form: Stock Subject to Plan  8.32
      • 4.  Form: Administration of Plan  8.33
      • 5.  Form: Eligibility  8.34
      • 6.  Form: Terms and Conditions of Awards  8.35
      • 7.  Form: Consideration and Taxes  8.36
      • 8.  Form: Terms and Conditions of Stock Option Awards  8.37
      • 9.  Form: Terms and Conditions of Restricted Stock Awards  8.38
      • 10.  Form: Conditions on Issuance of Awards or Shares  8.39
      • 11.  Form: Adjustments on Changes in Capitalization or Corporate Transaction  8.40
      • 12.  Form: Additional Restrictions on S Corporation Status  8.41
      • 13.  Form: Effective Date and Term of Plan  8.42
      • 14.  Form: Amendment, Suspension, or Termination of Plan  8.43
      • 15.  Form: Reservation of Shares and Issuance of Shares  8.44
      • 16.  Form: No Effect on Terms of Employment or Consulting Relationship  8.45
      • 17.  Form: Not an ERISA Plan or Deferred Compensation Plan; §409A Compliance  8.46
      • 18.  Form: Shareholder Approval  8.47
      • 19.  Form: Tax Treatment of Awards  8.48
      • 20.  Form: Information to Grantee  8.49
      • 21.  Form: Interpretation of Plan  8.49A
      • 22.  Secretary’s Certification  8.49B
      • 23.  Form: Exhibit A: Plan History  8.50
  • IX.  SAMPLE ANNOTATED STOCK OPTION AGREEMENT
    • A.  Drafting Considerations  8.51
    • B.  Form: Stock Option Agreement
      • 1.  Form: Preamble  8.52
      • 2.  Form: Grant of Option  8.53
      • 3.  Form: Vesting Schedule  8.54
      • 4.  Form: Termination of Option  8.55
      • 5.  Form: Terms of Option  8.56
      • 6.  Form: Exercise of Option  8.57
      • 7.  Form: Grantee’s Representations  8.58
      • 8.  Form: Method of Payment  8.59
      • 9.  Form: Restrictions on Exercise  8.60
      • 10.  Form: Terminations, Leaves, and Changes in Continuous Service  8.61
      • 11.  Form: Transferability of Option  8.62
      • 12.  Form: Company’s Right of First Refusal  8.63
      • 13.  Form: Lock-up Agreement  8.64
      • 14.  Form: Restrictions on Transfer; Stop-Transfer Notices; Refusal to Transfer; Clawbacks  8.65
      • 15.  Form: Tax Consequences  8.66
      • 16.  Form: Restrictive Legends  8.67
      • 17.  Form: Dispute Resolution  8.68
      • 18.  Form: Notices  8.69
      • 19.  Form: Interpretation, Modification, and Enforcement of Option Agreement  8.70
      • 20.  Form: No Rights as Shareholder Prior to Exercise  8.71
      • 21.  Form: No Rights to Partial Vesting, Future Awards, or Continuous Service  8.72
      • 22.  Form: Acknowledgment  8.73
      • 23.  Form: Signatures; Consent of Spouse or Domestic Partner  8.74
      • 24.  Exhibit A: Exercise Notice
        • a.  Form: Exhibit A: Introductory Provisions  8.75
        • b.  Form: Exhibit A: Method of Exercise; Name on Certificate  8.76
        • c.  Form: Exhibit A: Terms of Exercise; Taxes  8.77
        • d.  Form: Exhibit A: Risk of Investment; Investment Representations  8.78
        • e.  Form: Exhibit A: Exercise Date; Acknowledgment  8.79
        • f.  Form: Exhibit A: Signatures; Consent of Spouse or Domestic Partner  8.80
  • X.  SAMPLE ANNOTATED RESTRICTED STOCK PURCHASE AGREEMENT
    • A.  Drafting Considerations  8.81
    • B.  Form: Restricted Stock Purchase Agreement
      • 1.  Form: Preamble  8.82
      • 2.  Form: Stock Grant  8.83
      • 3.  Form: Vesting Schedule  8.84
      • 4.  Form: Terms of Award  8.85
      • 5.  Form: Closing  8.86
      • 6.  Form: Taxes  8.87
      • 7.  Form: Grantee’s Representations  8.88
      • 8.  Form: Grantee’s Investment Representations  8.89
      • 9.  Form: Method of Payment  8.90
      • 10.  Form: Effect on Vesting of Leaves, Changes in Continuous Service, and Transfers  8.91
      • 11.  Form: Company’s Right of First Refusal  8.92
      • 12.  Form: Company’s Right to Repurchase Unvested Shares  8.93
      • 13.  Form: Escrow of Shares  8.94
      • 14.  Form: Lock-up Agreement  8.95
      • 15.  Form: Restrictions on Transfer of Shares  8.96
      • 16.  Form: Clawbacks  8.97
      • 17.  Form: Tax Consequences  8.98
      • 18.  Form: Valuation of Shares  8.99
      • 19.  Form: Restrictive Legends  8.100
      • 20.  Form: Dispute Resolution  8.101
      • 21.  Form: Notices  8.102
      • 22.  Form: Interpretation, Termination, Modification, and Enforcement of Agreement  8.103
      • 23.  Form: Rights as Shareholder  8.104
      • 24.  Form: No Rights to Partial Vesting, Future Awards, or Continuous Service  8.105
      • 25.  Form: Acknowledgment  8.106
      • 26.  Form: Signatures; Consent of Spouse or Domestic Partner  8.107
      • 27.  Form: Exhibit A: Assignment Separate From Certificate  8.108
      • 28.  Form: Exhibit B: IRC §83(b) Election  8.109
  • XI.  SAMPLE ANNOTATED CHANGE OF CONTROL PLAN
    • A.  Drafting Considerations  8.110
    • B.  Form: Change of Control Plan
      • 1.  Form: Preamble  8.111
      • 2.  Form: Definitions  8.112
      • 3.  Form: Eligibility; Agreement of Participants  8.113
      • 4.  Form: Change of Control Benefits: Severance Benefits  8.114
      • 5.  Form: Change of Control Benefits: Acceleration of Equity  8.115
      • 6.  Form: Change of Control Benefits: Retention Bonus  8.116
      • 7.  Form: Tax Provisions  8.117
      • 8.  Form: Binding Effect on Successor Entity; Dispute Resolution  8.118
      • 9.  Form: General Provisions  8.119
    • C.  Form: Change of Control Plan Agreement  8.120

9

Employee Handbooks; Posting and Training Requirements

Kristine E. Kwong

  • I.  SCOPE OF CHAPTER  9.1
  • II.  PURPOSE AND SCOPE OF EMPLOYEE HANDBOOK  9.2
  • III.  LEGAL STATUS  9.3
  • IV.  CHECKLIST: POLICIES TO INCLUDE IN EMPLOYEE HANDBOOK  9.4
  • V.  SAMPLE FORM OF EMPLOYEE HANDBOOK
    • A.  Form: Introduction  9.5
    • B.  Form: Equal Opportunity Employment  9.6
    • C.  Form: At-Will Employment  9.7
    • D.  Form: Introductory Period  9.8
    • E.  Form: Overtime  9.9
    • F.  Form: Rest and Meal Breaks  9.10
    • G.  Form: Payroll Deductions  9.11
    • H.  Form: Medical Benefits  9.12
    • I.  Form: Vacation Leave  9.13
    • J.  Form: Sick Leave  9.14
    • K.  Form: Holidays  9.15
    • L.  Family Care and Medical Leave  9.16
      • 1.  Form: Family Care and Medical Leave  9.17
      • 2.  Form: Military Caregiver Leave  9.18
      • 3.  Form: Pregnancy Disability Leave  9.19
      • 4.  Form: Pay and Benefits During Leave of Absence  9.20
    • M.  Form: Workers’ Compensation  9.21
    • N.  Form: Medical Examinations  9.22
    • O.  Form: Personnel Records  9.23
    • P.  Form: Confidential Information  9.24
    • Q.  Form: Regulation of Outside Employment  9.25
    • R.  Form: Drug and Alcohol Policy  9.26
    • S.  Form: Inspection of Workstations and Personal Belongings  9.27
    • T.  Form: E-mail, Voicemail, and Computer Policies  9.28
    • U.  Form: Violence Prevention  9.29
    • V.  Form: Anti-Harassment Policy  9.30
    • W.  Form: Impermissible Conduct  9.31
    • X.  Form: Disciplinary Procedures  9.32
    • Y.  Form: Performance Evaluations  9.33
    • Z.  Form: Separation Procedures  9.34
    • AA.  Form: Acknowledgment of Receipt of Employee Handbook  9.35
  • VI.  POSTING REQUIREMENTS
    • A.  Posting Requirements, Generally  9.36
    • B.  Specific Posting Requirements
      • 1.  Industrial Welfare Commission Wage Orders  9.37
      • 2.  Payday Notice  9.38
      • 3.  Occupational Safety and Health Postings  9.39
      • 4.  Emergency Telephone Numbers  9.40
      • 5.  Access to Medical and Exposure Records  9.41
      • 6.  Operating Rules for Industrial Trucks  9.42
      • 7.  Notice Regarding Workers’ Compensation  9.43
      • 8.  Whistleblower Protections  9.44
      • 9.  No Smoking Signs  9.45
      • 10.  Notices Regarding Unsafe Conditions and Occupational Injuries and Illnesses  9.46
      • 11.  Farm Labor Contractor Statement of Pay Rates  9.47
      • 12.  Prevailing Wage Rate Determinations  9.48
      • 13.  Discrimination and Harassment  9.49
      • 14.  Pregnancy Disability Leave  9.50
      • 15.  Family Care and Medical Leave  9.51
      • 16.  Family Temporary Disability Leave  9.52
      • 17.  Notice Regarding Disability and Unemployment Insurance Benefits  9.53
      • 18.  Notice Regarding Voting Leave  9.54
      • 19.  Minimum Wage (Federal Fair Labor Standards Act)  9.55
      • 20.  Uniformed Services Employment and Reemployment Rights Act  9.56
      • 21.  Employee Polygraph Protection Act  9.57
      • 22.  Human Trafficking  9.57A
  • VII.  TRAINING REQUIREMENTS  9.58
    • A.  Chart: Safety Training Requirements  9.59
    • B.  Sexual Harassment Prevention Training  9.60

10

Employee Evaluations and Discipline

Lorraine P. Ocheltree

  • I.  SCOPE OF CHAPTER  10.1
  • II.  EMPLOYEE PERFORMANCE EVALUATIONS  10.2
    • A.  Checklist: Employee Performance Evaluations  10.3
    • B.  Form: Employee Performance Evaluation (Sample #1)  10.4
    • C.  Form: Employee Performance Evaluation (Sample #2)  10.5
  • III.  PERFORMANCE IMPROVEMENT PLANS  10.6
    • A.  Form: Performance Improvement Plan (Sample #1)  10.7
    • B.  Form: Performance Improvement Plan (Sample #2)  10.8
  • IV.  INTERNAL INVESTIGATIONS  10.9
    • A.  Checklist: Internal Investigations  10.10
    • B.  Checklist for Interviewing Witnesses  10.11
    • C.  Form: Sample Findings and Conclusions of Investigation  10.12
  • V.  EMPLOYEE DISCIPLINE  10.13
    • A.  Checklist: Employee Discipline  10.14
    • B.  Form: Written Disciplinary Warning (Sample #1)  10.15
    • C.  Form: Written Disciplinary Warning in Response to Complaint (Sample #2)  10.16
    • D.  Form: Letter to Employee Regarding Administrative Leave  10.17
    • E.  Form: Letter to Employee Regarding Nonpaid Suspension  10.18

11

Leaves of Absence and Termination

Cynthia E. Fruchtman

  • I.  SCOPE OF CHAPTER  11.1
  • II.  LEAVES OF ABSENCE FROM EMPLOYMENT
    • A.  General Considerations  11.2
    • B.  Form: Leave of Absence Designation—Master  11.3
    • C.  Examples Illustrating Concurrent Leaves of Absence
      • 1.  Example: Leave of Absence Designation—Pregnancy  11.4
      • 2.  Example: Leave of Absence Designation—Within 1 Year After Baby Is Born or Adopted or After Foster Care Placement  11.5
      • 3.  Example: Leave of Absence Designation—Serious Illness of Employee (Not PDL)  11.6
      • 4.  Example: Leave of Absence Designation—Workers’ Compensation  11.7
      • 5.  Example: Leave of Absence Designation—Spouse on Leave From Deployment During Military Conflict  11.8
    • D.  Form: Sample Workers’ Compensation Leave of Absence Letter  11.9
    • E.  Form: Sample Leave of Absence Letter for Bonding With Child (CFRA Leave Taken After FMLA/PDL) for Companies With 20 or More Employees Within 75-Mile Radius  11.10
    • F.  Form: Sample Letter Concerning Denial of CFRA Leave After FMLA/PDL Exhausted  11.11
  • III.  SETTLEMENTS AND RELEASES DURING OR AT THE END OF EMPLOYMENT
    • A.  Drafting Considerations  11.12
    • B.  Form: Basic Settlement and Release Agreement  11.13
    • C.  Form: Long-Form Settlement Agreement and General Release  11.14
  • IV.  TERMINATION OF EMPLOYMENT  11.15
    • A.  Checklist: Termination  11.16
    • B.  Form: Sample Termination Letter  11.17
    • C.  Form: Termination Certificate  11.18
  • V.  RECORDKEEPING DURING AND AFTER EMPLOYMENT
    • A.  Recordkeeping Requirements  11.19
    • B.  Checklist: Record Retention Requirements  11.20

DRAFTING EMPLOYMENT DOCUMENTS FOR CALIFORNIA EMPLOYERS

(1st Edition)

November 2018

TABLE OF CONTENTS

 

File Name

Book Section

Title

CH01

Chapter 1

Hiring Forms and Checklists

01-002

§1.2

FORM: SAMPLE JOB DESCRIPTION QUESTIONNAIRE

01-003

§1.3

FORM: SAMPLE EMPLOYMENT APPLICATION WITH APPLICANT’S STATEMENT

01-005

§1.5

Interview Guide

01-006

§1.6

FORM: HIRING DOCUMENT GUIDE

01-007

§1.7

FORM: SAMPLE AUTHORIZATION TO OBTAIN JOB-RELATED MEDICAL INFORMATION AND DRUG TESTING

01-008

§1.8

Notice of Intent to Procure Consumer Report, Consumer Credit Report, Investigative Consumer Report, and Authorization

01-009

§1.9

Applicant’s Information for Background Check Agency

01-010

§1.10

Company’s Certification to Credit Reporting Agency

01-011

§1.11

Certificate of Compliance by Agency

01-012

§1.12

At-Will Provision for Use in Employment-Related Policies or Agreements

01-013

§1.13

Stand-Alone At-Will Agreement

01-013B

§1.13B

Wage Notice

01-015

§1.15

Offer Letter

01-016

§1.16

Acceptance of Offer of Employment

01-017

§1.17

Sample Arbitration Agreement

01-018

§1.18

SAMPLE REJECTION LETTER

CH02

Chapter 2

Immigration Issues in Hiring

02-025

§2.25

Checklist: Getting Started

02-026

§2.26

Checklist: Immigration Compliance Self-Review

02-028

§2.28

Checklist: “Lucky 13” Best Practices

02-030

§2.30

Checklist: Sample Due Diligence Queries

02-033

§§2.33-2.34

Checklist: Audits and On-Site Inspections

 

§2.34

Checklist: Raids

02-036

§2.36

Basic Compliance Representation

02-037

§2.37

Expanded Compliance Representation and Warranty

02-038

§2.38

Audit Procedures

02-041

§2.41

Checklist: Do’s and Don’ts for Interviews

02-044

§2.44

Sample Basic Immigration Compliance Policy

02-054

§2.54

Checklist: E-Verify Procedures

02-056

§2.56

Checklist: Reverifications

02-057

§2.57

Checklist: When Further Investigation Is Required

CH03

Chapter 3

Employment Contracts

03-013

§§3.13-3.74

Preamble and Recitals

 

§3.15

Term of Employment

 

§3.16

Place of Employment

 

§3.18

Employee’s Duties and Authority

 

§3.20

Outside Business Activities Precluded or Restricted

 

§3.21

Reasonable Time and Effort Required

 

§3.22

Covenant Not to Compete During Employment Term

 

§3.23

Morality Clause

 

§3.24

Post-Employment Competition

 

§3.30

Base Salary

 

§3.31

Adjustment to Base Salary

 

§3.32

Incentive Compensation

 

§3.33

Stock Bonus

 

§3.34

Stock Options

 

§3.35

Cash Bonuses

 

§3.37

Additional Benefits

 

§3.38

Vacation

 

§3.39

Life Insurance

 

§3.41

Expense Reimbursement

 

§3.42

Automobile Allowance

 

§3.44

Ownership of Intangibles

 

§3.46

Proprietary Information Obligations

 

§3.48

Indemnification by Employer

 

§3.50

Termination of Employment; Termination Date

 

§3.51

Involuntary Termination With Severance Payment

 

§3.52

Termination of Employment by Employee

 

§3.53

Termination for Cause

 

§3.54

Termination on Resignation

 

§3.55

Termination on Retirement

 

§3.56

Termination Because of Disability

 

§3.57

Termination on Death

 

§3.58

Employer’s Right to Terminate or Assign Agreement

 

§3.59

Agreement Survives Combination or Dissolution

 

§3.60

Rights and Obligations After Notice of Termination

 

§3.61

Duty of Cooperation After Termination

 

§3.63

Arbitration

 

§3.64

Integration

 

§3.65

Choice of Law

 

§3.66

Notices

 

§3.67

Severability

 

§3.68

Employee’s Representations

 

§3.69

Counterparts

 

§3.70

Successors and Assigns

 

§3.71

Attorney Fees

 

§3.72

Amendments

 

§3.73

No Third Party Rights Conferred

 

§3.74

Execution

03-076

§3.76

Personal Services (Talent) Agreement

03-078

§3.78

Commission Agreement

03-080

§3.80

Acknowledgment and Agreement

CH04

Chapter 4

Independent Contractors

04-009

§§4.9-4.11

Question Set 1, Part 1

 

§4.10

Question Set 1, Part 2

 

§4.11

Question Set 1, Part 3

04-012

§§4.12-4.14

Question Set 2, Part 1

 

§4.13

Question Set 2, Part 2

 

§4.14

Question Set 2, Part 3

04-018

§§4.18-4.32

Preamble, Recitals

 

§4.19

Relationship of Parties

 

§4.20

Compensation

 

§4.21

No Right to Enter Into Contracts for Company

 

§4.22

Sales Solicitation Only

 

§4.23

Trade Secrets and Confidential Information: Confidentiality Obligation

 

§4.24

Term and Termination

 

§4.25

Territory

 

§4.26

Mediation and Arbitration

 

§4.27

Obligations on Termination

 

§4.28

Insurance, Workers’ Compensation

 

§4.29

Indemnity

 

§4.30

Miscellaneous Provisions, Signatures

 

§4.31

Addendum A: Commission Schedule

 

§4.32

Addendum B: Territory

04-033

§§4.33-4.37

Preamble, General Conditions

 

§4.34

Contractor’s Scope of Work

 

§4.35

Compensation

 

§4.36

Termination, Dispute Resolution

 

§4.37

Miscellaneous Provisions, Signatures

04-039

§4.39

Confidentiality and Intellectual Property Assignment Agreement for California Consultants

CH05

Chapter 5

Leased Employees

05-002

§5.2

CHECKLIST: ISSUES INVOLVED IN EMPLOYEE LEASING

05-003

§§5.3-5.20

Preamble

 

§5.4

Term of Agreement

 

§5.5

Leased Employees

 

§5.6

PEO’s Rights and Responsibilities

 

§5.7

Client’s Rights and Responsibilities

 

§5.8

Communication

 

§5.9

Leased Employee Benefits

 

§5.10

Workers’ Compensation; Safe Work Environment

 

§5.11

Employment Practices Liability Insurance

 

§5.12

Client’s Insurance Requirements

 

§5.13

Fees for Services

 

§5.14

Ownership of Intellectual Property

 

§5.15

Indemnification

 

§5.16

Termination of Agreement

 

§5.17

Miscellaneous Provisions

 

§5.18

Signatures

 

§5.19

Exhibit A: Employees

 

§5.20

Exhibit B: Fees

CH06

Chapter 6

Disability Accommodation

06-004

§6.4

Employer Checklist: Interactive Process

06-005

§6.5

Employee Checklist: Interactive Process

06-005A

§6.5A

Employer Checklist: Responding to a Request for Telecommuting as a Reasonable Accommodation

06-005B

§6.5B

Employer Checklist: Responding to a Request for an Assistive Animal as a Reasonable Accommodation

06-007

§6.7

Sample Interactive Process Log

06-008

§6.8

Sample Opening Letter Concerning Interactive Process

06-009

§6.9

Sample Closing Letter Concerning Interactive Process

06-009A

§6.9A

Sample Letter Concerning Request for Accommodation

06-010

§6.10

DISABILITY ACCOMMODATION ANALYSIS FORM

CH07

Chapter 7

Employee Defection and Trade Secrets Protection

07-003

§7.3

CHECKLIST: GUIDELINES FOR IMPLEMENTING TRADE SECRETS PROTECTION PROGRAM

07-005

§7.5

Guidelines for New Employees Hired From Competitor

07-007

§7.7

Guide for Employer Exit Interview

07-008

§7.8

Certificate of Compliance Post-Termination

07-009

§§7.9-7.30

Preamble

 

§7.10

Recitals

 

§7.11

Duty of Loyalty

 

§7.12

Definition of Trade Secrets

 

§7.13

Definition of Confidential Information

 

§7.14

Exclusions From Definitions

 

§7.15

Company Property

 

§7.15A

Safeguarding the Company’s Property and Information

 

§7.15B

Company-Issued or -Subsidized Electronic Devices

 

§7.16

Covenant Not to Disclose

 

§7.17

Covenant Not to Solicit

 

§7.18

Nonrecruiting Covenant

 

§7.19

Covenant Not to Compete During Term of Employment

 

§7.20

Reasonableness of Restrictive Covenants

 

§7.20A

Defend Trade Secrets Act Immunity

 

§7.21

Prior Agreements

 

§7.22

Termination of Employment

 

§7.23

Injunctive Relief

 

§7.23A

Notice to Third Parties

 

§7.24

Employment

 

§7.25

Waiver

 

§7.26

Tolling and Suspension

 

§7.27

Entire Agreement, Governing Law, Survival

 

§7.28

Severability

 

§7.28A

Incorporation of Recitals

 

§7.28B

Counterparts and Facsimile/Digital Signatures

 

§7.29

Closing Paragraph, Signatures

 

§7.29A

Exhibit A—Prior Agreements, Relationships, and Commitments

 

§7.30

Exhibit B—Certificate of Compliance Post-Termination

07-032

§§7.32-7.34

Assignment of Interest in Inventions Agreement

 

§7.33

Exhibit A

 

§7.34

Exhibit B

07-037

§7.37

Covenant Not to Compete

07-038

§7.38

Covenant Not to Solicit Customers or Clients

07-040

§7.40

Garden Leave Provision

07-042

§7.42

Letter to Former Employee

07-043

§7.43

Letter to Former Employee’s New Employer

07-045

§7.45

Cease-and-Desist Demand to Former Employee; Demand for Return of Company Property

07-046

§7.46

Declaration of Former Employee

07-047

§7.47

Cease-and-Desist Letter to Former Employee’s New Employer

CH08

Chapter 8

Compensation and Equity Programs

08-024

§8.24

CHECKLIST FOR NEW STOCK INCENTIVE PLAN

08-025

§8.25

CHECKLIST FOR STOCK OPTION GRANTS

08-026

§8.26

CHECKLIST FOR STOCK OPTION EXERCISE

08-027

§8.27

CHECKLIST FOR RESTRICTED STOCK PURCHASES

08-028

§8.28

CHECKLIST FOR REPURCHASE OF RESTRICTED STOCK

08-030

§§8.30-8.50

Purposes of Plan

 

§8.31

Definitions

 

§8.32

Stock Subject to Plan

 

§8.33

Administration of Plan

 

§8.34

Eligibility

 

§8.35

Terms and Conditions of Awards

 

§8.36

Consideration and Taxes

 

§8.37

Terms and Conditions of Stock Option Awards

 

§8.38

Terms and Conditions of Restricted Stock Awards

 

§8.39

Conditions on Issuance of Awards or Shares

 

§8.40

Adjustments on Changes in Capitalization or Corporate Transaction

 

§8.41

Additional Restrictions on S Corporation Status

 

§8.42

Effective Date and Term of Plan

 

§8.43

Amendment, Suspension, or Termination of Plan

 

§8.44

Reservation of Shares and Issuance of Shares

 

§8.45

No Effect on Terms of Employment or Consulting Relationship

 

§8.46

Not an ERISA Plan or Deferred Compensation Plan; §409A Compliance

 

§8.47

Shareholder Approval

 

§8.48

Tax Treatment of Awards

 

§8.49

Information to Grantee

 

§8.49A

Interpretation of Plan

 

§8.49B

Secretary’s Certification

 

§8.50

Exhibit A: Plan History

08-052

§§8.52-8.80

Preamble

 

§8.53

Grant of Option

 

§8.54

Vesting Schedule

 

§8.55

Termination of Option

 

§8.56

Terms of Option

 

§8.57

Exercise of Option

 

§8.58

Grantee’s Representations

 

§8.59

Method of Payment

 

§8.60

Restrictions on Exercise

 

§8.61

Terminations, Leaves, and Changes in Continuous Service

 

§8.62

Transferability of Option

 

§8.63

Company’s Right of First Refusal

 

§8.64

Lock-up Agreement

 

§8.65

Restrictions on Transfer; Stop-Transfer Notices; Refusal to Transfer; Clawbacks

 

§8.66

Tax Consequences

 

§8.67

Restrictive Legends

 

§8.68

Dispute Resolution

 

§8.69

Notices

 

§8.70

Interpretation, Modification, and Enforcement of Option Agreement

 

§8.71

No Rights as Shareholder Prior to Exercise

 

§8.72

No Rights to Partial Vesting, Future Awards, or Continuous Service

 

§8.73

Acknowledgment

 

§8.74

Signatures; Consent of Spouse or Domestic Partner

 

§8.75

Exhibit A: Introductory Provisions

 

§8.76

Exhibit A: Method of Exercise; Name on Certificate

 

§8.77

Exhibit A: Terms of Exercise; Taxes

 

§8.78

Exhibit A: Risk of Investment; Investment Representations

 

§8.79

Exhibit A: Exercise Date; Acknowledgment

 

§8.80

Exhibit A: Signatures; Consent of Spouse or Domestic Partner

08-082

§§8.82-8.109

Preamble

 

§8.83

Stock Grant

 

§8.84

Vesting Schedule

 

§8.85

Terms of Award

 

§8.86

Closing

 

§8.87

Taxes

 

§8.88

Grantee’s Representations

 

§8.89

Grantee’s Investment Representations

 

§8.90

Method of Payment

 

§8.91

Effect on Vesting of Leaves, Changes in Continuous Service, and Transfers

 

§8.92

Company’s Right of First Refusal

 

§8.93

Company’s Right to Repurchase Unvested Shares

 

§8.94

Escrow of Shares

 

§8.95

Lock-up Agreement

 

§8.96

Restrictions on Transfer of Shares

 

§8.97

Clawbacks

 

§8.98

Tax Consequences

 

§8.99

Valuation of Shares

 

§8.100

Restrictive Legends

 

§8.101

Dispute Resolution

 

§8.102

Notices

 

§8.103

Interpretation, Termination, Modification, and Enforcement of Agreement

 

§8.104

Rights as Shareholder

 

§8.105

No Rights to Partial Vesting, Future Awards, or Continuous Service

 

§8.106

Acknowledgment

 

§8.107

Signatures; Consent of Spouse or Domestic Partner

 

§8.108

Exhibit A: Assignment Separate From Certificate

 

§8.109

Exhibit B: IRC §83(b) Election

08-111

§§8.111-8.119

Preamble

 

§8.112

Definitions

 

§8.113

Eligibility; Agreement of Participants

 

§8.114

Change of Control Benefits: Severance Benefits

 

§8.115

Change of Control Benefits: Acceleration of Equity

 

§8.116

Change of Control Benefits: Retention Bonus

 

§8.117

Tax Provisions

 

§8.118

Binding Effect on Successor Entity; Dispute Resolution

 

§8.119

General Provisions

08-120

§8.120

Change of Control Plan Agreement

CH09

Chapter 9

Employee Handbooks; Posting and Training Requirements

09-004

§9.4

CHECKLIST: POLICIES TO INCLUDE IN EMPLOYEE HANDBOOK

09-005

§§9.5-9.35

Introduction

 

§9.6

Equal Opportunity Employment

 

§9.7

At-Will Employment

 

§9.8

Introductory Period

 

§9.9

Overtime

 

§9.10

Rest and Meal Breaks

 

§9.11

Payroll Deductions

 

§9.12

Medical Benefits

 

§9.13

Vacation Leave

 

§9.14

Sick Leave

 

§9.15

Holidays

 

§9.17

Family Care and Medical Leave

 

§9.18

Military Caregiver Leave

 

§9.19

Pregnancy Disability Leave

 

§9.20

Pay and Benefits During Leave of Absence

 

§9.21

Workers’ Compensation

 

§9.22

Medical Examinations

 

§9.23

Personnel Records

 

§9.24

Confidential Information

 

§9.25

Regulation of Outside Employment

 

§9.26

Drug and Alcohol Policy

 

§9.27

Inspection of Workstations and Personal Belongings

 

§9.28

E-mail, Voicemail, and Computer Policies

 

§9.29

Violence Prevention

 

§9.30

Anti-Harassment Policy

 

§9.31

Impermissible Conduct

 

§9.32

Disciplinary Procedures

 

§9.33

Performance Evaluations

 

§9.34

Separation Procedures

 

§9.35

Acknowledgment of Receipt of Employee Handbook

CH10

Chapter 10

Employee Evaluations and Discipline

10-003

§10.3

Checklist: Employee Performance Evaluations

10-004

§10.4

Employee Performance Evaluation (Sample #1)

10-005

§10.5

Employee Performance Evaluation (Sample #2)

10-007

§10.7

Performance Improvement Plan (Sample #1)

10-008

§10.8

Performance Improvement Plan (Sample #2)

10-010

§10.10

Checklist: Internal Investigations

10-011

§10.11

Checklist for Interviewing Witnesses

10-012

§10.12

Sample Findings and Conclusions of Investigation

10-014

§10.14

Checklist: Employee Discipline

10-015

§10.15

Written Disciplinary Warning (Sample #1)

10-016

§10.16

Written Disciplinary Warning in Response to Complaint (Sample #2)

10-017

§10.17

Letter to Employee Regarding Administrative Leave

10-018

§10.18

Letter to Employee Regarding Nonpaid Suspension

CH11

Chapter 11

Leaves of Absence and Termination

11-003

§11.3

Leave of Absence Designation—Master

11-009

§11.9

Sample Workers’ Compensation Leave of Absence Letter

11-010

§11.10

Sample Leave of Absence Letter for Bonding With Child (CFRA Leave Taken After FMLA/PDL) for Companies With 20 or More Employees Within 75-Mile Radius

11-011

§11.11

Sample Letter Concerning Denial of CFRA Leave After FMLA/PDL Exhausted

11-013

§11.13

Basic Settlement and Release Agreement

11-014

§11.14

Long-Form Settlement Agreement and General Release

11-016

§11.16

Checklist: Termination

11-017

§11.17

Sample Termination Letter

11-018

§11.18

Termination Certificate

 

Selected Developments

November 2018 Update

Case Law and Statutory Developments

Employers must avoid questions about an applicant’s salary history. Effective January 1, 2018, Lab C §432.3 provides that an employer “shall not rely on the salary history information of an applicant for employment as a factor in determining whether to offer employment to an applicant or what salary to offer an applicant.” Further, the employer may not “orally or in writing, personally or through an agent, seek salary history information, including compensation and benefits, about an applicant for employment.” Lab C §432.3(a)–(b). On reasonable request, the employer must provide the pay scale for a position to an applicant for employment. Lab C §432.3(c). Amendments of Lab C §432.3 effective January 1, 2019 clarify that a “pay scale” for these purposes means a salary or hourly wage range, and a “reasonable request” means a request made after an applicant has completed an initial interview with the employer. Lab C §432.3(c). See §1.4.

An applicant may voluntarily and without prompting disclose salary history information to a prospective employer, and under those circumstances, the employer may consider or rely on that information in determining the applicant’s salary. Lab C §432.3(g)–(h). In addition, an employer may ask an applicant about his or her salary expectation for the position being applied for. Lab C §432.3(i). In any event, under California’s Fair Pay Act (Lab C §1197.5), prior salary cannot, by itself, justify a pay disparity between employees of opposite genders. See §1.4.

In Syed v M-I, LLC (9th Cir 2017) 853 F3d 492, the court held that a prospective employer willfully violated the Fair Credit Reporting Act in procuring a job applicant’s consumer report because it included a liability waiver in the same document as the statutorily mandated disclosure. See §1.8.

In Epic Sys. Corp. v Lewis (2018) 584 US ___, 138 S Ct 1612, the U.S. Supreme Court held that the Federal Arbitration Act (FAA) (9 USC §§1–16) requires courts to enforce arbitration agreements between employers and employees according to their terms, even when the agreements provide only for arbitration through “individualized proceedings” rather than class procedures. In so holding, the Court refused to read the National Labor Relations Act (NLRA) (29 USC §§151–169) as prohibiting arbitration agreements waiving class arbitration as an impermissible restriction on employees’ rights under NLRA §7 to engage in concerted activities for the purpose of mutual aid or protection, holding that §7 focuses on the right to organize unions and bargain collectively and “does not even hint at a . . . wish to displace the [FAA].” See §§1.17, 3.62.

If an arbitration agreement has no specific provisions on arbitration costs, a court will interpret the agreement as impliedly providing the employer must bear the arbitration forum costs. Farrar v Direct Commerce, Inc. (2017) 9 CA5th 1257. See §1.17.

In Poublon v C.H. Robinson Co. (9th Cir 2017) 846 F3d 1251, the court found that although there was one substantively unconscionable provision in the arbitration agreement—the provision that permitted the employer, but not the employee, to seek judicial resolution of specified claims—this provision could be carved out, and the balance of the agreement enforced. See §1.17.

An employer’s misplaced reliance on its human resources director to comply with the Immigration and Nationality Act (INA) was held not to be a good faith defense for over 500 I-9 violations in DLS Precision Fab LLC v U.S. Immigration & Customs Enforcement (9th Cir 2017) 867 F3d 1079. See §2.6A.

On December 22, 2017, the Tax Cuts and Jobs Act (HR 1) was signed by the President and became law. See Pub L 115–97, 131 Stat 2054. That act amended IRC §217, to provide that except for certain members of the armed forces, the deductibility of moving expenses is suspended for tax years beginning after December 31, 2017 and before January 1, 2026. IRC §217(k). See §3.16.

In Minnick v Automotive Creations, Inc. (2017) 13 CA5th 1000, 1007, the court held that a vacation policy providing that employees did not begin to earn vacation time until after their first year of employment is permissible under California law. See §§3.29, 9.13.

Under IRC §162(m), compensation in excess of $1 million paid to the chief executive officer and the other four most highly compensated officers, whose compensation must be reported to shareholders, is not deductible by the employer. Although compensation that is linked to performance used to be exempt from this $1 million limit, the performance-based compensation exemption was eliminated in 2018. See §8.21.

The National Labor Relations Board has adopted a new standard for evaluating whether workplace policies, rules, or handbook provisions would potentially interfere with Section 7 rights under the National Labor Relations Act (NLRA) (29 USC §§151–169). The Boeing Co. (Dec. 14, 2017) 365 NLRB No. 154. See §9.2.

Certain businesses and establishments must post a Department of Justice model notice containing information regarding slavery and human trafficking. Effective January 1, 2018, hotels, motels, and bed and breakfast inns were added to the list of businesses that must post such a notice. (Personal residences are excluded from this requirement.) See §9.57A.

Government Code §12950.1 requires California employers having 50 or more employees to conduct sexual harassment prevention training for all supervisors every 2 years. The training must include information on the federal and state statutes prohibiting sexual harassment and the remedies available to victims of sexual harassment, as well as prevention of abusive conduct, as defined in Govt C §12950.1. Effective January 1, 2018, the training also must address harassment based on gender identity, gender expression, and sexual orientation. See §9.60.

The protections of the California Family Rights Act (Govt C §§12945.1–12945.2), available to the employees of an employer having 50 or more employees, have essentially been extended by California’s New Parent Leave Act for Small Employers (Govt C §12945.6), which applies to employers with 20–49 employees. See §11.2.

New Book Sections

California’s statewide “ban the box” law (AB 218) went into effect January 1, 2018. Under that law, it is an unlawful employment practice for an employer with five or more employees to do any of the following (Govt C §12952(a)):

  • To include on any application for employment any question that seeks the disclosure of an applicant’s conviction history;

  • To inquire into or consider the conviction history of the applicant, until after the employer has made a conditional offer of employment to the applicant; or

  • To consider or disseminate information about any of the following while conducting a conviction history background check in connection with any application for employment: (1) arrests not followed by a conviction (except when the applicant is seeking employment at specified health facilities or when after an arrest the applicant is out on bail or released on the applicant’s own recognizance pending trial); (2) referrals to or participation in a pretrial or posttrial diversion program; or (3) convictions that have been sealed, dismissed, expunged, or statutorily eradicated.

New §1.4A discusses the law in greater detail. The discussion of San Francisco’s and Los Angeles’ ban the box laws has been moved to new §1.4B.

In October 2017, Governor Jerry Brown signed AB 450 (Stats 2017, ch 492) into law. Designated the California Immigrant Worker Protection Act, it adds new Govt C §§7285.1, 7285.2, and 7285.3 and Lab C §§90.2 and 1019.2. The law became effective January 1, 2018, and imposes a number of requirements on employers vis-à-vis enforcement actions by federal immigration agents. The law contains four general provisions: worksite access, records access, notice requirements, and reverification. See new §2.30B for discussion.

In Dynamex Operations W. v Superior Court (2018) 4 C5th 903, the California Supreme Court adopted a new test for purposes of claims under the IWC wage orders (e.g., for minimum wage, overtime, wage statement violations, and meal and rest period violations). See new §4.3A for discussion.

Changes in Forms

The form “Sample Employment Application With Applicant’s Statement” has been modified to reflect new prohibitions against inquiries of job applicants seeking salary or criminal history information. See §1.3.

The form “Notice of Intent to Procure Consumer Report, Consumer Credit Report, Investigative Consumer Report, and Authorization” has been modified to delete the reference to prior criminal history. See §1.8.

The form “Applicant’s Information for Background Check Agency” has been modified in the same manner. See §1.9.

The checklist “Audits and On-Site Inspections” has been modified to cross-reference the new section on the California Immigrant Worker Protection Act, and to include new notice requirements under that act. See §2.33.

The checklist “Raids” has also been modified to include the requirement under the California Immigrant Worker Protection Act that the employer provide affected employees and their union representatives with notice of the results of an inspection performed by federal immigration agents. See §2.34.

The form “Place of Employment” has been modified to eliminate the move-in requirement that was previously a condition for deducting moving expenses. Under the Tax Cuts and Jobs Act (HR 1), moving expenses are no longer deductible—at least until 2026. See §3.16.

The form “Duty of Loyalty” has been substantially expanded, to include examples of conduct that would constitute a breach of the employee’s duty of loyalty to the company. See §7.11.

The “Checklist for Stock Option Grants” has been modified to reflect a change in the federal securities law exemption amount for stock option grants by private companies under SEC Rule 701. The amount was increased from $5 million to $10 million in grants over a 12-month period. See §8.25.

The same change was made in the “Checklist for Restricted Stock Purchases.” See §8.27.

The “Checklist for Stock Option Exercise” has been modified to include issues related to an IRC §83(i) election. See §8.26.

The option agreement form “Exercise of Option” has been modified to include mention of an IRC §83(i) election. See §8.57.

The option agreement form “Tax Consequences” has a new provision, “Election to Defer Taxation on Exercise,” which relates to making an IRC §83(i) election. See §8.66.

The form “Exhibit A: Terms of Exercise; Taxes” has a new provision and commentary about making an IRC §83(i) election. See §8.77.

The form “Anti-Harassment Policy” has been updated to reflect current protected categories under the Fair Employment and Housing Act (FEHA) (Govt C §§12900–12996). See §9.30.

Civil Code §1542, commonly quoted verbatim in settlement agreements and releases of claims, has been amended to clarify that the terms “creditor” and “debtor” as used in the statute include “releasing party” and “released party,” respectively. The form “Basic Settlement and Release Agreement” in §11.13 and the form “Long-Form Settlement Agreement and General Release” in §11.14 have been revised to include the new language of §1542.

About the Authors

RON S. BRAND graduated from the University of California, Irvine, in 1994 and received his law degree, with honors, from DePaul University College of Law, Chicago, in 1998, where he served as an editor for the DePaul Business Law Journal. Mr. Brand is a shareholder in the Irvine office of Jackson Tidus. His practice focuses on defending employers in all aspects of labor and employment law, including unfair competition and trade secrets litigation. He also provides preventive advice to clients on personnel issues, including employee compensation and benefits, discipline and training, harassment and workplace violence investigations, and the development of policies and procedures to avoid employment claims and litigation. Mr. Brand is a frequent lecturer before trade groups, associations, and private employers on a variety of employment-related issues. He regularly conducts in-house management seminars and training sessions for executives, supervisors, managers, and human resources professionals on all aspects of labor and employment law. Mr. Brand is a coauthor of chapter 7 (Employee Defection and Trade Secrets Protection).

DANIEL J. CRAVENS graduated from the University of California, Berkeley, with his undergraduate degree in 1991 and his master’s degree in 1993; he received his J.D. degree from the University of California, Berkeley, School of Law in 1999. Mr. Cravens is a shareholder in the Fresno office of Littler Mendelson PC, Fresno. He clerked for the Honorable John T. Noonan following law school. His practice focuses on all aspects of labor and employment law, including discrimination, harassment, and wage and hour issues. He also provides advice to small and large companies on human resources issues, harassment training, and investigations. He regularly conducts in-house management seminars and training sessions for executives, supervisors, managers, and human resources professionals on all aspects of labor and employment law. Mr. Cravens is a coauthor of chapter 3 (Employment Contracts).

MARGARET HART EDWARDS graduated, cum laude, in 1972 from the University of Chicago and received her law degree, cum laude, in 1975 from Northwestern University Law School. Ms. Edwards is a shareholder in the firm of Littler Mendelson PC, San Francisco. She is the author of several CEB employment practice handbooks and has written more than 30 articles on labor and employment topics for a wide range of publications. She has lectured before such groups as the Administrative Law Judges Association, the Employers Group, the Merchants and Manufacturers Association, the Northern California Human Resources Council, the Council on Education in Management, the Defense Research Institute, the California Continuing Education of the Bar, the American Council on International Personnel, the American Payroll Association, the California Hospitality and Lodging Association, the California Downtown Association, the California Mortgage Bankers Association, and a variety of legal professional organizations. She is a member of the board of directors of the National Employment Center for the American Foundation of the Blind, and she served for 10 years as a member of the board of directors of the Legal Aid Society of San Francisco. Ms. Edwards is a coauthor of chapter 3 (Employment Contracts).

CYNTHIA E. FRUCHTMAN earned her B.A. degree from Northwestern University in 1979 and her J.D. degree from Chicago-Kent College of Law in 1986. Ms. Fruchtman has been in solo practice in Santa Monica since 1997. She was a law clerk to the Honorable N. Fred Woods of the Los Angeles County Superior Court and to the Honorable Prentice H. Marshall of the U.S. District Court for the Northern District of Illinois. Ms. Fruchtman has served as a guest lecturer at the University of California, Los Angeles, School of Law and as an adjunct professor at California State University, Los Angeles, and Whittier Law School. She is a mediator and Judge Pro Tem for the Los Angeles County Superior Court. In addition, she was co-chair of the Los Angeles County Bar Association Bioethics Committee from 1998 to 2000 and is active in the bioethics field, having been appointed to the Joint Bioethics Committee of the Los Angeles County Bar Association and the Los Angeles County Medical Association and serving as a board member of The Center for Research and Training in Humane and Ethical Medical Care at the Santa Monica-UCLA Medical Center. Her practice focuses on labor and employment law; civil litigation in the areas of employment, business, and real estate; and assisted reproduction. She has spoken and written extensively on employment law and assisted-reproduction topics. Ms. Fruchtman is the author of chapter 11 (Leaves of Absence and Termination).

JAMES E. HART received his B.A. degrees from the University of California, Irvine, in 1994, and his J.D. degree, cum laude, from Pepperdine University School of Law in 1997. Mr. Hart is a shareholder in the Orange County office of Littler Mendelson PC. He represents and counsels employers in a wide range of employment and labor matters and across diverse industries, focusing on complex wage and hour class actions in both state and federal court, as well as employment discrimination, harassment, and retaliation matters. Before joining Littler, Mr. Hart practiced criminal law as a Deputy Attorney General in the California Attorney General’s office. He is a frequent lecturer and writer on employment-related topics, including for CEB and for the Employer’s Advisory Counsel. Mr. Hart is a coauthor of chapter 1 (Hiring Forms and Checklists).

KRISTINE E. KWONG received her B.A. degree from the University of California, Riverside, in 1989, and her J.D. degree from the University of the Pacific McGeorge School of Law in 1992. Ms. Kwong is an attorney in the Labor and Employment Group in the Los Angeles office of Musick, Peeler & Garrett LLP. Her practice focuses on employment litigation, advice and counseling, labor relations, and preparation of handbooks and personnel manuals. She is a frequent lecturer on labor and employment topics, an adjunct professor, and the author of several articles. Ms. Kwong is the author of chapter 9 (Employee Handbooks; Posting and Training Requirements).

LORRAINE P. OCHELTREE graduated from the University of California, Los Angeles, in 1985 and received her law degree from the University of San Francisco School of Law in 1990. Ms. Ocheltree is a partner in the San Francisco office of Duane Morris LLP and a member of the firm’s Employment, Labor, Benefits, and Immigration Practice Group. She practices in the area of employment law and civil litigation. Her practice includes preventive advice on all aspects of the employer-employee relationship, including employment applications and the hiring process, employment agreements, arbitration, classification of personnel, protection of trade secrets, policy manuals, ADA compliance, personnel leaves, progressive discipline, severance, termination, and administrative proceedings. Ms. Ocheltree has drafted employment agreements, personnel policies, and employee handbooks and has trained employees, supervisors, and business owners on how to prevent claims from arising in the workplace. Ms. Ocheltree also routinely defends employers in both state and federal court from claims including wrongful discharge, discrimination, harassment, ADA compliance, Labor Code violations, defamation, interference with contract, and wage and hour disputes. She is a frequent speaker for business groups, industry organizations, and employers on a variety of employment topics. Ms. Ocheltree is the author of chapter 10 (Employee Evaluations and Discipline).

AMANDA S. PAQUET received her B.A. degree, summa cum laude, from the University of New Mexico in 1991 and her J.D. degree from the University of Texas School of Law in 1995. She is Of Counsel at Stone Grzegorek & Gonzalez LLP in Los Angeles, where her current practice is devoted exclusively to immigration law, with particular emphasis on Form I-9 compliance, worksite enforcement, and investment immigration. Before joining Stone & Grzegorek, Ms. Paquet was Director of Labor Relations and Employment Law for a Fortune 100 corporation with more than 200,000 employees. Her responsibilities included the development and oversight of its programs for business immigration and Form I-9 compliance. Ms. Paquet also has extensive experience as an employment law litigator at an AmLaw 100 firm. Throughout her career, she has conducted hundreds of training sessions on immigration and employment law issues. Ms. Paquet is the author of chapter 2 (Immigration Issues in Hiring).

PATTI PEREZ received her undergraduate degree from the University of California, Los Angeles, in 1989 and her law degree from the University of California, Los Angeles, School of Law in 1992. Ms. Perez founded and continues to serve as President of Puente Consulting and is also a shareholder at the San Diego office of Ogletree Deakins. A native Spanish speaker who has worked as an attorney and a human resources professional, Ms. Perez focuses her practice on assisting employers with the resolution of workplace conflicts and providing training and consulting services. She has subspecialties in conducting workplace investigations, providing strategic advice and counsel on issues related to disabled and pregnant employees, providing compliance and management training in English and Spanish, and implementing large-scale crisis-avoidance programs, such as conflict resolution programs and comprehensive diversity initiatives. Ms. Perez previously served as the Vice Chair of the Fair Employment and Housing Commission and was a primary author of the recently-enacted disability discrimination regulations and pregnancy discrimination regulations. She currently serves as a member of the California Fair Employment and Housing Council, and is a member of a subcommittee tasked with drafting comprehensive regulations clarifying all employment law aspects of the California Fair Employment and Housing Act. Ms. Perez is the author of chapter 6 (Disability Accommodation).

MATTHEW J. SHARBAUGH received his B.M., summa cum laude, from Berklee College of Music, Boston, Massachusetts, in 2004 and his J.D. degree, summa cum laude, from Pepperdine University School of Law in 2008, where he was a member of the Order or the Coif. He is an associate attorney in the Los Angeles office of Littler Mendelson PC, where his practice focuses on wrongful termination, discrimination and harassment, and wage and hour class actions on behalf of a diverse array of clients. Mr. Sharbaugh is a coauthor of chapter 1 (Hiring Forms and Checklists).

SHERRY B. SHAVIT graduated, magna cum laude, from the University of California, Los Angeles, in 1992 and, following a career in human resources, she received her J.D. from the University of Southern California Gould School of Law in 1997. During law school, she was an intern at the Equal Employment Opportunity Commission. Ms. Shavit is a partner with the Brown Gitt Law Group, LLP, Pasadena, representing and counseling employers regarding discrimination, harassment, retaliation, wrongful termination, pregnancy leaves, medical and disability leaves, wage and hour issues, breach of employment contracts, layoffs, trade secret protection, and unfair competition. She also prepares employee handbooks, employment agreements, and other employment policies and procedures, and she conducts workplace investigations and training. Ms. Shavit was named a Southern California Rising Star from 2006 to 2010 by Law & Politics Magazine and Los Angeles Magazine. She is a member of the Labor and Employment Law Section of the Los Angeles County Bar Association. Ms. Shavit is the author of chapter 5 (Leased Employees).

MEREDITH SNYDER received her A.B. degree, with college honors, from Washington University in St. Louis in 2004 and her J.D. degree from Washington University Law School in 2007. She is an associate attorney in the Los Angeles office of Littler Mendelson PC, where her practice focuses on a variety of employment and labor issues arising under state and federal law. Ms. Snyder is a coauthor of chapter 1 (Hiring Forms and Checklists).

ROB THOMAS graduated from the University of California, Los Angeles, in 1984 and received his law degree, magna cum laude, in 1993 from the University of California, Hastings College of the Law, where he was awarded the Order of the Coif. Mr. Thomas is the employment counsel for the Palo Alto law firm of Doty Barlow Britt & Thomas LLP. Before attending law school, he served as an engineering officer aboard a submarine in the United States Navy. In 1992, Mr. Thomas was a judicial extern for Justice Armand Arabian of the California Supreme Court. Mr. Thomas’s practice focuses on employment law and executive compensation, and he represents employers and employees in employment counseling and transactions. He specializes in employment agreements, separation agreements, change of control agreements, executive compensation and benefits, stock options and other equity arrangements, protection of trade secrets, and restrictions on competition. Mr. Thomas is the author of chapter 8 (Compensation and Equity Programs).

JENNIFER TSAO graduated cum laude from the University of California, Berkeley, in 2004 and received her J.D. from the University of Southern California Gould School of Law in 2008. Ms. Tsao is an associate attorney in the Los Angeles office of Littler Mendelson PC. She represents employers in litigation of employment law matters, including discrimination, retaliation, harassment, misappropriation of trade secrets, unfair competition, and wage and hour issues. She also advises employers on day-to-day workforce concerns and assists employers in achieving compliance with state and federal employment laws. She previously served as a judicial extern for the Hon. Ronald S. W. Lew, United States District Court for the Central District of California, and as a legal services intern with the Asian Pacific American Legal Center. Ms. Tsao has served as a member of the Governing Board of the Asian Pacific American Bar Association; a member of the Executive Committee of the Asian Pacific American Women Lawyers’ Alliance; a member of the Executive Committee of the Labor and Employment Section of the Beverly Hills Bar Association; a member of the Executive Committee of the Healthcare Law Section of the Los Angeles County Bar Association; and as vice-chair of the Editorial Board of ABA Health eSource, a publication of the Health Law Section of the American Bar Association.

WILLIAM HAYS WEISSMAN graduated from George Washington University in 1991 and received his law degree, with honors, in 1995 from the District of Columbia School of Law, where he served as a managing editor for the District of Columbia Law Review. He received his LL.M. in Taxation from Golden Gate University School of Law in 1996 and his M.B.A. from the University of California, Davis, in 2005. Mr. Weissman is a shareholder in the Walnut Creek office of Littler Mendelson PC and a member of the firm’s Employment Taxes Practice Group and Contingent Workforce Practice Group. He advises and represents employers in a broad range of contingent worker and employment tax matters—including employment tax audits, advising on proper classification of workers, and protests and appeals before state taxing agencies and the IRS—as well as litigating in civil courts, drafting employment and independent contractor agreements, and counseling on the tax implications of various employer-provided benefits. Mr. Weissman is currently the Chair of the Employment Taxes Committee of the American Bar Association’s Tax Section. He is a frequent author and lecturer on employment tax and contingent worker issues. Mr. Weissman is the author of chapter 4 (Independent Contractors).

DOUGLAS A. WICKHAM received his B.A. degree from the University of California, Los Angeles, in 1983 and his J.D. degree, cum laude, in 1986 from Georgetown University Law Center, where he was a member of the Georgetown Law Journal. Mr. Wickham is a shareholder in the Los Angeles office of Littler Mendelson PC, where his practice focuses on representing employers in class and collective actions, unfair competition and trade secrets litigation, wrongful termination, harassment and discrimination litigation, and international and cross-border employment advice and counseling. Mr. Wickham is a frequent lecturer on issues relating to class and collective actions, trade secrets, and unfair competition. He is an editor of the Guide to International Employment and Labor Law (Littler Mendelson, 2d ed 2010); a coauthor of Employment Arbitration Agreements: A Practical Guide (Littler Mendelson, 2009) and Employment Law Class Actions (Littler Mendelson, 2007); and the author of other articles and publications. Mr. Wickham is a coauthor of chapter 1 (Hiring Forms and Checklists).

ROBERT YONOWITZ graduated, summa cum laude, from Rutgers University in 1984 and received his law degree, with honors, from George Washington University National Law Center in 1987. Mr. Yonowitz is a partner in the Irvine office of Fisher & Phillips LLP and a members of the firm’s Employee Defection and Trade Secrets Practice Group. He represents employers in courts and before government agencies in all types of employment disputes, including wrongful discharge, employment discrimination, sexual and other forms of harassment, wage and hour, unfair competition, and trade secrets cases. He also works with clients to implement employment policies and procedures designed to prevent employee claims and lawsuits from arising and provides expertise in drafting employment agreements, executive compensation agreements, confidentiality agreements, and various types of incentive compensation agreements. Mr. Yonowitz often lectures on techniques that employers can use to protect their confidential information and has published numerous articles on the benefits of arbitration; joint employer liability issues; and prevention of employee theft of trade secrets. Mr. Yonowitz is a coauthor of chapter 7 (Employee Defection and Trade Secrets Protection).

About the 2018 Update Authors

RON S. BRAND is an update coauthor of chapter 7 (Employee Defection and Trade Secrets Protection). He is a shareholder of The Brand Law Firm in Santa Ana. See biography in the About the Authors section.

CYNTHIA E. FRUCHTMAN is the update author of chapter 11 (Leaves of Absence and Termination). See biography in the About the Authors section.

LORRAINE P. OCHELTREE is the update author of chapter 10 (Employee Evaluations and Discipline). See biography in the About the Authors section.

ROB THOMAS is the update author of chapter 8 (Compensation and Equity Programs). He is Of Counsel with Doty Barlow Britt & Thieman LLP, Palo Alto. See biography in the About the Authors section.

ROBERT YONOWITZ is an update coauthor of chapter 7 (Employee Defection and Trade Secrets Protection). See biography in the About the Authors section.

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