SEYFARTH SHAW LLP 

Andrew M. McNaught (SBN 209093) 

amcnaught@seyfarth.com 

Selyn Hong (SBN 303398) 

shong@seyfarth.com 

560 Mission Street, 31st Floor 

San Francisco, California 94105 

Telephone: (415) 397-2823 

Facsimile: (415) 397-8549 

Attorneys for Defendant 

ALCON LABORATORIES, INC. 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF CALIFORNIA 

JOSEPH POLICARPIO, 

Plaintiff, 

vs. 

Case No. 

DEFENDANT ALCON LABORATORIES, 

INC.'S NOTICE OF REMOVAL OF 

CIVIL ACTION 

ALCON LABORATORIES, INC. and 

DOES 1 to 25, 

Defendants. 

[28 U.S.C. § 1446] 

Trial Date: Not Set 

Date Action Filed: September 29, 2016 

Summons/Complaint Served: December 23, 2016 

TO THE UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF 

CALIFORNIA AND TO PLAINTIFF JOSEPH POLICARPIO AND HIS ATTORNEYS OF 

RECORD: 

PLEASE TAKE NOTICE that Defendant ALCON LABORATORIES, INC. hereby files this 

Notice of Removal pursuant to 28 U.S.C. sections 1441 and 1446, asserting federal question jurisdiction 

pursuant to 28 U.S.C. section 1331, to effect the removal of the above-captioned action from the 

Superior Court of California, County of Contra Costa, to the United States District Court for the 

Northern District of California, and states that removal is proper for the reasons set forth below. 

// 

// 

II 

1 

NOTICE OF REMOVAL BY DEFENDANT ALCON LABORATORIES, INC. 
PLEADINGS, PROCESSES, AND ORDERS 

1. On September 29, 2016, Plaintiff JOSEPH POLICARPIO ("Plaintiff') filed a Complaint 

against Defendant ALCON LABORATORIES, INC. ("Defendant") for Restitution, Compensatory and 

Punitive Damages and Penalties in the Superior Court of California, County of Contra Costa entitled 

Joseph Policarpio v. Alcon Laboratories, Inc. and Does 1 to 25, Case No. C16-01865. 

2. Plaintiff's Complaint purports to allege claims for relief against Defendant stemming 

from Plaintiff's employment with Defendant, namely Defendant's alleged failure to pay overtime 

compensation to Plaintiff Plaintiff bases his claims on, among other things, an alleged violation by 

Defendant of the Federal Fair Labor Standards Act ("FLSA"), 29 U.S.C. § 207 (Second Cause of Action 

for alleged unpaid overtime). Plaintiff also asserts claims under California Labor Code § 510 (First 

Cause of Action for unpaid overtime), California Labor Code § 203 (Third Cause of Action for waiting 

time penalties), and California's Business and Professions Code § 17200 et seq. (Fourth Cause of Action 

for unfair competition). 

3. On December 23, 2016, Plaintiff served the Summons and Complaint on Defendant by 

mail. All process, pleadings, notices, and orders received by Defendant in this action are attached as 

Exhibit A pursuant to 28 U.S.C. § 1446(a) and are incorporated by reference as though fully set forth 

herein. 

4. On January 20, 2017, Defendant filed its Answer to Plaintiffs Complaint in the Superior 

Court of California, County of Contra Costa. A confottned copy of the Answer is attached as Exhibit 

B. 

TIMELINESS OF REMOVAL 

5. On December 23, 2016, Plaintiff served Defendant with the Summons and Complaint by 

mail. 

6. This Notice of Removal is timely as it is being filed within thirty (30) days after service 

of the Summons and Complaint and within one (1) year of the commencement of this action. 28 U.S.C. 

§ 1446(b); Fed. Rule Civ. Proc. 6(a); see also Murphy Bros., Inc. v. Michetti Pipe Stringing, Inc., 526 

U.S. 344, 354-56 (1999) (30-day deadline to remove commences upon service of the summons and 

complaint). 

2 

NOTICE OF REMOVAL BY DEFENDANT ALCON LABORATORIES, INC. 
BASIS FOR REMOVAL 

FEDERAL QUESTION JURISDICTION 

6. Plaintiff asserts a claim under the FLSA, 29 U.S.C. § 207, a federal statute. (Exhibit A, 

Complaint at ¶ 10.) Accordingly, this action presents a federal question over which this Court has 

original jurisdiction. 28 U.S.C. §1331 (conferring original jurisdiction upon federal courts for actions 

arising under the laws of the United States). 

7. Plaintiff asserts the remainder of his claims under California law. But these claims arise 

from his employment with Defendant and are based on the same factual allegations as those underlying 

his FLSA claim. The claims are so related that they form part of the same case or controversy. As such, 

pursuant to 28 U.S.C. § 1367(a), this Court has supplemental jurisdiction over all of Plaintiff's claims 

pled under California law. 

VENUE 

8. Plaintiff alleges that his claims arose in the County of Contra Costa. (See Exhibit A, 

Complaint at 1112-4.) The County of Contra Costa lies within the jurisdiction of the United States 

District Court for the Northern District of California. 

10. Venue lies in the United States District Court for the Northern District of California 

pursuant to 28 U.S.C. §§ 84(a), 1391, 1441(a) and 1446(a). This action was originally brought in the 

Superior Court of the State of California, County of Contra Costa and thus should be removed to the San 

Francisco or Oakland Division of this Court per Civil Local Rule 3-2(c) and (d). 

SERVICE OF NOTICE OF REMOVAL ON STATE COURT 

11. A true and correct copy of this Notice of Removal will be promptly served on Plaintiff 

and filed with the Clerk of the Superior Court of the State of California in and for the County of Contra 

Costa as required under 28 U.S.C. § 1446(d). 

// 

// 

// 

// 

// 

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NOTICE OF REMOVAL BY DEFENDANT ALCON LABORATORIES, INC. 

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WHEREFORE, Defendant prays that this civil action be removed from the Superior Court of 

California, County of Contra Costa to the United States District Court for the Northern District of 

California, San Francisco or Oakland Division. 

DATED: January 23, 2017 Respectfully submitted, 

SEYFARTH SHAW LLP 

By: 

And =w M.' MCNaught 

Selyn Hong 

Attorneys for Defendant 

ALCON LABORATORIES, INC. 

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NOTICE OF REMOVAL BY DEFENDANT ALCON LABORATORIES, INC. 

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EXHIBIT A 
SUM-100 SUMMONS 

(CITACION JUDICIAL) 

NOTICE TO DEFENDANT: 

(AVISO AL. DEMANDADO): 

ALCON LABORATORIES, INC. and DOES I to 25 

FOR COURT USE ONLY 

(SOLO PARA USO 00 LA CORTE) 

YOU ARE BEING SUED BY PLAINTIFF: 

(LO ESTA DEMANDANDO EL DEMANDANTE): 

JOSEPH POLICARPIO 

NOTICE! You have been sued, The court may decide against you without your being heard unless you respond within 30 days. Read the information 

below. 

You have 30 CALENDAR DAYS after this summons and legal papers are served on you to file a written response at this court and have a copy 

served on the plaintiff. A letter or phone call will not protect you. Your written response must he in proper legal form if you want the court to hear your 

case. There may be a court form that you can use for your response. You can find these court forms and more information at the California Cowls 

Online Self-Help Center (www.courtinfo.ca.goviselfhelp), your county law library, or the courthouse nearest you. If you cannot pay the filing fee, ask 

the court clerk for a fee waiver form. If you do not file your response on time, you may lose the case by default, and your wages, money, and property 

may be taken without further warning from the court. 

There are other legal requirements. You may want to call an attorney right away. If you do not know an attorney, you may want to call an attorney 

referral service, If you cannot afford an attorney, you may be eligible for free legal services from a nonprofit legal services program. You can locate 

these nonprofit groups at the California Legal Services Web site (www.iawheIpcalifornia.org), the California Courts Online Self-Help Center 

(www.courlinfo.ca.goviselfhelp), or by contactingyour local court or county bar association. NOTE: The court has a statutory lien for waived fees and 

costs on any settlement or arbitration award of $10,000 or more in a civil case. The court's lien must be paid before the court will dismiss the case. 

1AVISO! Lo hen demandedo. Si no responde dentro de 30 Bias, la code puede decidir en su contra sin escuchar su version. Lea la inforn7acion a 

continuacion. 

Done 30 DiAS DE CALENDARIO despues de quo le entreguen este citation y papeles legates pare presenter una respuesta por escrito en esta 

code y !racer que se enlregue tine copia al demandante. Una carte 0 tine Ilamada telefenica no lo protegen. Su respuesta por escrito Ilene que ester 

en formate legal correct() si desea que procesen su ceso en la code. Es posible que haya un formulario que usted puede user pare so respuesta. 

Puede encontrar estos form/arias de /a code y rods infonnecion en el Centro de Ayuda de las Courts de California (www.sucorte.ca.gov), en la 

biblioteca de (eyes de su condado o en la code que to quede ma's cerca. Si no puede pager la cuota de presentacien. oida al secretario de le come 

que le de tin formulario de exencIdn de pago do cuotes. Si no presenta so respuesta a tiempo, puede perder el caso par incurnplimiento y la code le 

podra guitar su sueldo, clinero y bienes sin rods advertencia. 

Hay otros requisitos legates. Es recomendeble qua blame a on abogado inmediatarnente. Si no =lace a un abogado, puede /lamer a un servicio de 

remisiOn a abogados. Si no puede pager a on abogado, es posible que curnpla con los requisites pare obtener servicios legates gratoitos de on 

proorama de servicios legates sin fines de bourn. Puede encontrar estos grupos sin lines de loom en el sitio web de California Legal Services. 

(www.lawhelpcalifornia.org), en el Centre de Ayuda de les Codes de California, (www.sucorte.ca.gov) a poniendose en contacto con la code o el 

colegio de abogados locales. AVISO: Por ley le code time derecho a reclamar las =las y los costos exentos por imponer un gravamen sobre 

cualguter recuperation de $10,000 0 mas de valor recibida rnediante on acuerdo a one concesiOn de arbitraje en un case de demotic) civil. Tiene que 

pager el gravamen de la code antes de quo Is code puede desechar el cam 

The name and address of the court is: 

(Ft nombre y direccian de la code es): CONTRA COSTA SUPERIOR COURT 

725 Court Street 

Martinez, CA 94553 

The name, address, and telephone number of plaintiffs attorney, or plaintiff without an attorney, 

(El nombre, la direction y el nOmero de telOfono del shogado del demandante, a del demandante que no Ilene abogado, es): 

Douglas A. Prutton, Law Offices of Douglas A. Prutton. 1985 Bonifacio, Ste. 101, Concord, CA 94520 

CASE NUMBER 

(Niimero cleCo)i 

6

— 

0 1 8 6 5 

DATE: SEP 2 9 2016 Clerk, by 

(Fecha) (Secretano) 

oz , Deputy 

(Adjunto) 

(For proof of service of this summons, use Proof of Service of Summons (form POS-010).) 

(Para prueba de entrega de este citation use 01 foram/alio Proof of Service of Summons, (P05-010)). 

NOTICETO THE PERSON SERVED: You are served 

1. 1 as an individual defendant. 

2. (—I as the person sued under the fictitious name of (specify): 

3. L i on behalf of (specify): 

under: CCP 416.10 (corporation) r CCP 416.60 (minor) 

CCP 416.20 (defunct corporation) Li CCP 416.70 (conservatee) 

(71 CCP 416.40 (association or partnership) I 1 CCP 416.90 (authorized person) 

I J other (specify): 

4. E-1 by personal delivery on (date): 

SUMMONS Form Adopted for Mandatory Use 

Judicial Council Of California 

SUM• 100 (Rev July 1.20091 

Page 1 of 1 

Code of Civil Procedure §§ 412.20. 465 

courtiefaca.gov 
SUMMONS ISSUED 

Douglas A. Prutton, Esq. 

State Bar No. 118300 

LAW OFFICES OF DOUGLAS A. PRUTTON 

1866 Clayton Road, Suite 109 

Concord, CA 94520 

Ph: (925) 677-5080 

Fax: (925) 677-5089 

Attorney for Plaintiff 

Joseph Policarpio 

PER LOCAL iWIlf_S 

CASE IS ASWiNED TO 

DEPT. . 

SUPERIOR COURT OF THE STATE OF CALIFORNIA 

COUNTY OF CONTRA COSTA 

C 1 6 - 0 1 8 6 5 

CASE NO. 

JOSEPH POLICAR.PIO, 

Plaintiff, 

COMPLAINT FOR RESTITUTION, 

COMPENSATORY AND PUNITIVE 

DAMAGES AND PENALTIES; 

VS. DEMAND FOR JURY TRIAL 

ALCON LABORATORIES, 11\1C, and DOES 1 

to 25, 

 Defendants. 

Plaintiff by and through his attorney of record alleges as follows: 

GENERAL ALLEGATIONS 

Defendants Alcon Laboratories, Inc. at all relevant times has been a global medical 

company specializing in eve care products and surgical equipment for eye surgery. It 

is registered with the California Office of the Secretary of State as a Delaware 

Complaint fir Reslimtion:Compoesaiwy and Pgnitia Davia.ges emd Pew/flex 

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(1) 
corporation, but its headquarters are in Fort Worth, Texas. It conducts a substantial 

amount of business in the State of California. 

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4 (2). Beginning on or about June 25, 2012, and continuing until on or about August 12, 

5 2016, plaintiff was employed by defendants. He was employed as an Associate 

6 Territory Manager, Territory Manager I, Wavelight Engineer and Territory Manager 

7 II. He worked from his home in Concord, California and serviced clients, mostly 

8 hospitals, throughout mainly Northern California. On occasion he worked in Irvine, 

9 California at defendants' manufacturing facility and in Lake Forest, California at 

10 defendants' New Technology Services Building, 

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12 (3) Plaintiffs employment was pursuant to an agreement with defendants that provided 

13 for payment of a fixed salary and commissions. From on or about June 25, 2012 to on 

14 or about April 2016. defendants paid plaintiff pursuant to this agreement. However, 

15 plaintiff received no extra pay for overtime hours worked, i.e., he did not receive one 

16 and one half or double his rate of pay for overtime worked. He was treated by 

17 defendants as being "exempt" from federal and state overtime requirements. In April 

18 2016. defendants re-classified plaintiff as being "non-exempt" and began paying him 

19 a premium rate for overtime hours worked. Under California law-, plaintiff was 

20 entitled to receive' premium overtime wages as follows: time-and-a-half for hours 

21 worked in excess of 8 hours per day or 40 hours per week, and on the seventh 

22 consecutive day of every work week, and double the regular hourly rate for hours 

73 worked in excess of 12 hours in a single day and in excess of 8 hours on any seventh 

24 consecutive day of work. 

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26 (4) From June 25, 2012 until he: was re-classified as being non-exempt plaintiff worked 

27 many hours of overtime for which he was not paid a premium rate. It is plaintiff's 

28 position in this lawsuit that at all times that he worked for defendants he was legally 

`)9 

Comp/au.?/ Compensatoo,and Pullitipe Damags and Penal/lex 
entitled under federal and California law to a premium rate for all overtime hours 

worked. The amount of overtime owed exceeds $25,000.00 and, thus, the amount in 

controversy makes this an unlimited jurisdiction case. 

(5) Plaintiff is ignorant of the true names and capacities of defendants sued herein as 

Does 1 through 25 and therefore sues these defendants by such fictitious names. 

Plaintiff will amend this Complaint to allege their true names and capacities when 

ascertained. Plaintiff is informed and believes and thereon alleges that each of these 

fictitiously named defendants is responsible in some manner for the occurrences 

herein alleged and that plaintiff's damages as herein alleged were proximately caused 

by the aforementioned defendants. 

(6) Plaintiff is informed and believes and thereon alleges that at all relevant times each of 

the defendants was the agent, employee, partner, and joint venturer of each of the 

remaining defendants, in doing the things hereinafter alleged they were acting within 

the course and scope of such agency, employment, partnership, and joint venture, and 

they authorized, ratified, aided, abetted, encouraged, and counseled the doing of the 

things hereinafter alleged. 

FIRST CAUSE OF ACTION 

(UNPAID OVERTIME — LABOR CODE -- 

AGAINST ALL DEFENDANTS) 

(7) Paragraphs (1) through (6) of this Complaint are incorporated herein. 

(8) Defendants failed to pay plaintiff a premium rate for overtime hours worked in 

violation of Labor Code §510 and the wage orders and regulations adopted pursuant 

to this statute. For this violation, plaintiff seeks to recover compensation for all 

GytiPlaint fir Rexlittition, Compensatory and Punitive Dataqes and Penalties 3 

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overtime compensation due, interest on these amounts, and attorney's fees and costs 

Pursuant to Labor Code §1194 and Civil Code §3289. As the statute of limitations fbr 

this state overtime claim is three years, plaintiff is seeking recovery in this cause of 

action relating to overtime hours he worked in the three year period preceding the 

fling of this complaint. 

SECOND CAUSE OF ACTION 

(UNPAID OVERTIME — FEDERAL FAIR LABOR STANDARDS ACT - 

AGAINST ALL DEFENDANTS) 

(9) Paragraphs (1) through (8) of this Complaint are incorporated herein. 

(10) Defendants failed to pay plaintiff a premium rate for overtime hours worked in 

violation of the Fair Labor Standards Act (29 USC §207) and the regulations adopted 

pursuant to that statute. For this willful violation, plaintiff seeks backpay, an equal 

amount of backpay in liquidated damages;interest and attorney's fees pursuant to 29 

USG §216. As the statute of limitations for this federal overtime claim is three years 

for willful violations, plaintiff is seeking recovery in this cause of action relating to 

overtime hours he worked in the three years preceding the filing of this complaint. 

THIRD CAUSE OF ACTION 

(WAITING TIME PENALTIES UNDER LABOR CODE §203) 

(11) Paragraphs (1) through (10) of this Complaint are incorporated herein. 

(12) Defendants' failure to pay plaintiff his wages following the resignation of his 

employment was willful, entitling plaintiff to penalties under Labor Code §203, which 

Complaint* Restitution, Compensatog and PllnitiPe Damases and Penalties 4 

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provides that an employee's wages shall continue as a penalty until paid or for a 

period of up to :30 days from the time they were due, whichever period is shorter. 

FOURTH CAUSE OF ACTION 

(UNFAIR COMPETITION AGAINST ALL DEFENDANTS) 

(13) Paragraphs (1) through (12) of this Complaint are incorporated herein. 

(14) Defendants' failure to pay overtime compensation was a violation of California's 

unfair competition laws (Business and Professions Code §17200 et seq.). Plaintiff 

seeks restitution. As the statute of limitations for this federal overtime claim is four 

years, plaintiff is seeking recovery in this cause of action relating to overtime hours he 

worked in the four years preceding the filing of this complaint. 

PUNITIVE DAMAGE ALLEGATIONS 

(15) Paragraphs (1) through (14) of this Complaint are incorporated herein. 

(16) Defendants' intentional failure to pay plaintiff the overtime he was entitled to under 

the California Labor Code and the federal Fair Labor Standards Act, amounted to 

malice, fraud and oppression as defined in California Civil Code §329.4(c). 

(17) The unlawful conduct described above was committed by officers, directors, and 

managing agents of defendants and was authorized and ratified by officers, directors, 

and managing agents of defendants. 

Complaint ji• Restitatiod, Compel alai)' and Punitive Dama,vs and Penalties 5 

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/// 

/I/ 
LAW OFFICES OF DOUGLAS A. PRUTTON 

DouglWA. Prutton 

Attorney for Plaintiff Joseph Policarpio 

PRAYER FOR RELIEF/DEMAND FOR. JURY TRIAL 

WHEREFORE, plaintiff prays for trial by jury and judgment against defendants for 

compensatory and punitive damages, restitution, pre-judgment interest, costs, liquidated 

damages, attorney's fees and any other relief that the Court deems fair and just. 

Dated: September 272016 

C:ompiaint jhr Restitution., Compensatog and Punitive Dennages tint/ Penalties 6 

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SUPERIOR COURT - MA, AEZ 

COUNTY OF CONTRA COSTA 

MARTINEZ, CA, 94553 

POLICARPIO VS ALCON LAB 

NOTICE OF CASE MANAGEMENT CONFERENCE CIVMSC16-01865 

1. NOTICE: THE CASE MANAGEMENT CONFERENCE HAS BEEN SCHEDULED FOR: 

DATE: 02/16/17 DEPT: 09 TIME: 9:00 

THIS FORM, A COPY 6F-THENefICE TO PLAINTIFFS, THE ADR INFORMATION 

SHEET, A BLANK CASE MANAGEMENT CONFERENCE QUESTIONNAIRE, AND A BLANK 

STIPULATION FORM ARE TO BE SERVED ON OPPOSING PARTIES. ALL PARTIES 

SERVED WITH SUMMONS AND COMPLAINT/CROSS-COMPLAINT OR THEIR ATTORNEY 

OF RECORD MUST APPEAR. 

2. You may stipulate to an earlier Case Management Conference. If 

all parties agree to an early Case Management Conference, please 

contact the court clerk's office at (925)646-4099 for Unlimited Civil 

and Limited civil cases for assignment of an earlier date. 

3. You must be familiar with the case and be fully prepared to participate effectively in the Case Management Conference and to discuss 

the suitability of this case for the EASE Program, private mediation, 

binding or non-binding arbitration, and/or use of a special Master. 

4. At any case Management Conference the court may make pretrial 

orders including the following: 

a. 

b. 

an 

an 

order 

order 

establishing a discovery schedule 

referring the case to arbitration 

c. an order transferring the case to limited jurisdiction 

d. an order dismissing fictitious defendants 

e. an order scheduling exchange'of expert witness information 

f. an order setting subsequent conference and the trial date 

g. an order consolidating cases 

h. an order severing trial of cross-complaints or bifurcating 

issues 

an order determining when demurrers and motions will be filed 

SANCTIONS 

If you do not file the Case Management Conference Questionnaire or 

attend the Case Management conference or participate effectively in 

the Conference, the court may impose sanctions (including dismissal of 

the case and payment of money). 

Clerk of the Superior court of Contra Costa County 

I declare under penalty of perjury that I am not a party to this 

action, and that I delivered or mailed a copy of this notice to the 

person representing the plaintiff/cross-complainant. 

Dated: 09/29/16 

S. OZUNA 

Deputy clerk of the Court 
Superior Court of California, County of Contra Costa 

NOTICE TO DEFENDANTS 

In Unlimited Jurisdiction Civil Actions 

YOU ARE BEING SUED. The packet you have been served should contain: 

a. The Summons 

b. The Complaint 

c. The Notice of Case Management (shows hearing date and time) 

d. Blank: Case Management Statement (Judicial Council Form CM-110) 

e. Blank: Stipulation and Order to Attend ADR and Delay First Case Management Conference 

90 Days (Local Court Form CV-655b) 

f. Alternative Dispute Resolution (ADR) Information (Local Court Form CV-655c-INFO) 

WHAT DO I DO NOW? -Cr_ 

You must: 

1. Prepare your response YOU COULD LOSE YOUR CASE—even before it is heard by 

a judge or before you can defend yourself, if you do not prepare and file a response on 

time. See the other side of this page for types of responses you can prepare. 

2. Complete the Case Management Statement (CM-110) 

3. File and serve your court papers on time Once your court forms are complete, you 

must file 1 original and 2 copies of the forms at court. An adult who is NOT involved in 

your case must serve one set of forms on the Plaintiff. If you were served in person you 

must file your response in 30 days. If the server left a copy of the papers with an adult 

living at your home or an adult in charge at your work or you received a copy by mail you 

must file your response in 40 days. 

4. Prove you served your court papers on time by having your server complete a Proof 

of Service, (Judicial Council form POS-040), that must be filed at the court within 60 days. 

5. Go to court on the date and time given in the Notice of Case Management Conference. 

6. Consider trying to settle your case before trial If you and the other party to the case can 

agree to use mediation, arbitration or neutral case evaluation, the Stipulation and Order 

to Attend ADR and Delay First Case Management Conference 90 Days can be filed with 

your other papers. For more information read the enclosed ADR information, visit 

www.cc-courts.org/adr, or email adrwebcontracosta.courts.ca.gov. 

IMPORTANT! The court recommends consulting an attorney for all or part of your case. While you 

may represent yourself, lawsuits can be complicated, and the court cannot give you legal advice. 

COURT FEES: You must pay court fees the first time you file your papers. If you also file a motion, you must 

pay another fee. If you cannot afford the fees, you may ask the court to waive (allow you not to pay) fees. 

Use Judicial Council forms FW-001-INFO [information sheet]; FW-001 [application]; and FW-003 [order]. 

COURT FORMS: Buy forms at the Law Library (1020 Ward Street, Martinez, CA) or download them for free 

at: www.courtinfo.ca.gov/forms/ 

Civil — Info / Instructions 

CV-655d-INFO Rev. 8/16/16 
WHAT KIND OF RESPONSES CAN I FILE? 

1. If you disagree with some or all of what the plaintiff says in the complaint because you believe, or 

know it is not true, you can file an ANSWER. 

2. If you have a claim in the same case against the plaintiff, you may file a CROSS-COMPLAINT. 

3. If you want to ask the court to do something on your behalf, you may file a MOTION (See TYPES OF 

MOTIONS below) 

HOW DO I PREPARE AN ANSWER? 

There are two kinds of Answers you can use, depending on whether the Complaint was verified. You can tell if a 

Complaint is verified because it says "Verified Complaint" and/or has a signed oath on the last page. 

For complaints that are NOT verified: 

Use Judicial Council form PLD-050 General Denial 

For complaints that ARE verified: 

a. For personal injury, property damage, and wrongful death claims, use Judicial Council PLD-PI-003 

(do not check number 2). 

b. For contract claims, use Judicial Council PLD-C-010 (do notcheck number 3a). 

c. Be sure to deny every claim with which you disagree. For example, you might write: "I believe, or know, 

that the information in paragraph # is untrue/incorrect." Continue your list until you have addressed 

each paragraph in the Complaint. 

NOTE: The Judicial Council Answer forms have spaces for your affirmative defenses. Be sure to include them or you 

may not be able to use them later. To find out what your affirmative defenses might be, go to the law library and ask 

the librarian to help you find the information you need. 

If you want to file a Cross-Complaint, you must do so at the same time you file the Answer. 

a. For a personal injury, property damage, and/or wrongful death Cross-Complaint, use Judicial Council form 

PLD-P1-002. 

b. For a contract Cross-Complaint, use Judicial Council PLD-C-001. 

TYPES OF MOTIONS 

Written motions are documents that ask the court to do something. You may have to file an Answer at the same time. 

At this point in the case, you can only make Motions from the following list: 

1. Demurrer (the facts stated in the complaint are wrong, or the deadline to file the lawsuit has passed); 

2. Motion to Strike (the complaint is unclear; does not follow the law, "doesn't matter", etc.); 

3. Motion to Transfer (the complaint is in the wrong court or there's a more appropriate court); 

4. Motion to Quash Service of Summons (you were not legally served); 

5. Motion to Stay (put the case on hold); or 

6. Motion to Dismiss (stops the case). 

NOTE: Motions are very complicated and you may want to hire a lawyer to help you. 

WHERE CAN I GET MORE HELP? 

• Lawyer Referral Service: (925) 825-5700 

• Bay Area Legal Aid: (800) 551-5554 

• Contra Costa County Law Library Martinez: (925) 646- 2783 

• Ask the Law Librarian: www.247ref.org/portal/accessiaw3.cfm 

Richmond: (510) 374-3019 

Civil — Info / Instructions 

/^ /.AcgrLINIFfl Pau R/1R)18 
SUPERIOR COURT OF THE STATE OF CALIFORNIA 

IN AND FOR THE COUNTY OF CONTRA COSTA 

Plaintiff(s) / Cross Plaintiff(s) 

vs. 

ADR Case Management Stipulation and Order 

(Unlimited Jurisdiction Civil Cases) 

CASE NO: 

Defendant(s) I Cross Defendant(s) 

► ALL PARTIES STIPULATING TO ADR AND DELAYING THEIR CASE MANAGEMENT CONFERENCE 90 DAYS 

MUST SUBMIT THE ORDER FOR THE JUDGE'S SIGNATURE AND FILE THIS FORM AT LEAST 15 DAYS 

BEFORE THEIR CASE MANAGEMENT CONFERENCE. (NOT AVAILABLE IN COMPLEX LITIGATION CASES.) 

► PARTIES MUST ALSO SEND A COPY OF THIS FILED STIPULATION AND ORDER TO THE ADR OFFICE: 

EMAIL adrweb4contracosta.courts.ca.govFAX: (925) 957-5689 MAIL: P.O. BOX 911, MARTINEZ, CA 94553 

Counsel and all parties agree to delay their case management conference 90 days to attend ADR and 

complete pre-ADR discovery as follows: 

1. Selection and scheduling for Alternative Dispute Resolution (ADR): 

a. The parties have agreed to ADR as follows: 

i. 0 Mediation (0 Court-connected 0 Private) 

ii. 0 Arbitration (0 Judicial Arbitration (non-binding) 0 Private (non-binding) 0 Private (binding)) 

iii. ❑ Neutral case evaluation 

b. The ADR neutral shall be selected by (date): (no more than 14 days after filing this form) 

c. ADR shall be completed by (date): (no more than 90 days after filing this form) 

2. The parties will complete the following discovery plan: 

a. 0 Written discovery: (0 Additional page(s) attached) 

i. ❑ Interrogatories to: 

ii. 0 Request for Production of Documents to: 

iii. 0 Request for Admissions to: 

iv. ❑ Independent Medical Evaluation of: 

v. 0 Other: 

b. 0 Deposition of the following parties or witnesses: (0 Additional page(s) attached) 

1. 

c. 0 No Pre-ADR discovery needed 

3. The parties also agree: 

4. Counsel and self-represented parties represent they are familiar with and will fully comply with all local court rules related to 

ADR as provided in Title Three; Chapter 5, will pay the fees associated with these services, and understand that if they do 

not, without good cause, comply with this stipulation and all relevant local court rules, they may be subject to sanctions. 

Counsel for Plaintiff (print) Fax Counsel for Defendant (print) Fax 

Signature Signature 

Counsel for Plaintiff (print) Fax Counsel for Defendant (print) Fax 

Signature Signature 

Pursuant to the Stipulation of the parties, and subject to the Case Management Order to be filed, IT IS SO ORDERED that 

the Case Management Conference set for is vacated and rescheduled for at 

(8:30 a.m. I ) Plaintiff I Plaintiff's counsel must notify all parties of the new case management conference. 

Dated: 

Judge of the Superior Court 

Local Court Form (Mandatory) Local Court Rule 3.4(h)(1) 
CONTRA COSTA COUNTY SUPERIOR COURT 

ALTERNATIVE DISPUTE RESOLUTION (ADR) INFORMATION 

All judges in the Civil Trial Delay Reduction Program agree that parties should consider using 

Alternative Dispute Resolution (ADR) to settle their cases. To tell the court you will use ADR: 

• Choose ADR on the Case Management Form (CM-110); 

• File a Stipulation and Order to Attend ADR and Continue First Case Management 

Conference 90-Days (local court form); or 

• Agree to ADR at your first court appearance. 

Questions? Email adrweb(@contracosta.courts.ca.qov or call (925) 608-2075 

MEDIATION 

Mediation is often faster and less expensive than going to trial. Mediators help people who have a 

dispute talk about ways they can settle their case. Parties email, fax or visit the ADR Programs 

office to get a list of mediators. After parties have agreed on a mediator, they must write a summary 

(5 pages or less) explaining the facts, legal arguments, and legal authority for their position. They 

must send this summary to the other parties and the mediator at least 5 court days before mediation 

starts. 

ALL parties and attorneys must go to mediation. Mediation can be held whenever and wherever the 

parties and the mediator want, as long as they finish before the court deadline. In some kinds of 

court cases, parties have the chance to mediate in the courthouse on their trial day. 

Most mediators begin by talking with the parties together, helping them focus on the important 

issues. The mediator may also meet with each party alone. Mediators often ask parties for their 

ideas about how to settle the case. Some mediators tell the parties how much money they think a 

case is worth, or tell them what they think might happen if the case went to trial. Other mediators 

help the parties decide these things for themselves. No matter what approach a mediator takes, 

decisions about settling a case can only be made when all the parties agree. 

If the parties go through the court ADR program, mediators do not charge fees for the first half hour 

spent scheduling or preparing for mediation. They also do not charge fees for the first two hours of 

mediation. If parties need more time, they must pay the mediators regular fees. Some mediators ask 

for a deposit before mediation starts. Mediators who do this must give back whatever is left after 

counting the time he or she spent preparing for or doing the mediation. A party whose court fees 

have been waived (cancelled) may ask if their mediation fees or deposit can be waived. 

If parties agree about how they will settle their case, they can choose to keep it private, write it up as 

a contract, or ask the judge to make it a court order. What parties say and agree to in mediation is 

confidential (private). 

PRIVATE MEDIATION 

Private mediation works in the same way as judicial mediation, but the parties do not go through the 

ADR Programs office. Parties choose a mediator on their own, and pay the mediator's normal fees. 

Civil — Information 

CV-655c-INFO Rev. 8/16/16 
JUDICIAL ARBITRATION (non-binding) 

In judicial arbitration, an independent attorney (arbitrator) looks at the evidence, listens to the parties 

and their witnesses, and decides how the case will be settled. Judicial arbitration is less formal than 

court. Parties email, fax or visit the ADR Programs office to get a list of arbitrators. If they cannot 

agree on an arbitrator, the court will assign one. The judge can send cases to arbitration if there is 

less than $50,000 in dispute. The person who started the court case can make sure the case goes 

to arbitration if they agree to limit the amount they are asking for to $50,000. Parties can also agree 

they want to use judicial arbitration. The arbitrator must send their decision (award) to the court 

within 10 days of the last hearing. The award becomes a court judgment unless a party asks the 

court to review the case within 60 days. Parties must use the ADR-102 form to ask for a new court 

hearing (called a trial de novo.) Judicial arbitrators charge $150 per case or per day. 

PRIVATE ARBITRATION ,(non-binding and binding) 

Private, non-binding arbitration is the same as judicial arbitration, except that the parties do not go 

through the ADR Programs office to choose an arbitrator, and the arbitrator's award will not become 

a judgment of the court unless all parties agree. Parties must pay the arbitrator's normal fees. 

Binding arbitration is different from judicial or private non-binding arbitration because the arbitrator's 

decision is final. Parties give up their right to have a judge review their case later (except for reasons 

listed in California Code of Civil Procedure, Section 1286.2.) Binding arbitration rules are listed in 

California Code of Civil Procedure, Sections 1280-1288.8. Parties may also agree any time before 

the judge has made a decision that ends the case to switch to binding arbitration. Parties choose the 

arbitrator on their own, and must pay the arbitrator's normal (not $150) fees. 

SETTLEMENT MENTOR CONFERENCE 

Settlement mentors are independent, experienced trial attorneys that a judge has assigned to help 

parties look for ways to settle their case. The conference is free and is held in the courthouse. It is 

often held on the morning of trial, but it can be scheduled anytime. These conferences usually last 

two or three hours. Parties do not present evidence and do not call witnesses. Parties can ask the 

settlement mentor to keep some information confidential (private) from the other party, but not from 

the judge. The settlement mentor can share any information with the judge, or involve the judge in 

settlement discussions. All principals, clients, and claims representatives must attend the settlement 

mentor conference. 

NEUTRAL CASE EVALUATION 

In neutral case evaluation, an independent attorney (evaluator) reviews documents and listens to 

each party's side of the case. The evaluator then tells the parties what they think could happen if the 

case went to trial. Many people use the evaluator's opinion to reach an agreement on their own, or 

use this information later in mediation or arbitration to settle their case. 

Parties email, fax or visit the ADR Programs office to get a list of evaluators. After parties have 

agreed on an evaluator, they must write a summary (5 pages or less) explaining the facts, legal 

arguments, and legal authority for their position. They must send this summary to the other parties 

and the evaluator at least 5 court days before evaluation starts. ALL parties and their attorneys must 

go to neutral case evaluation. The evaluation can be held whenever and wherever the parties and 

the evaluator want, as long as they finish before the court deadline. If the parties go through the 

court's ADR program, evaluators do not charge any fees for the first half hour spent scheduling or 

preparing for the evaluation conference. They also do not charge fees for the first two hours of the 

evaluation. If parties need more time, they must pay that evaluators regular fees. Some evaluators 

ask for a deposit before evaluation starts. Evaluators who do this must give back whatever is left 

after counting the time he or she spent preparing for or doing the evaluation. A party whose court 

fees have been waived (cancelled) may ask if their evaluation fees or deposit can be waived. 

Civil — Information 

CV-655c-INFO Rev. 8/16/16 
TEMPORARY JUDGE 

Some parties want a trial, but want to choose who will decide the case and when the trial will take 

place. Parties can agree on an attorney that they want the court to appoint as a temporary judge for 

their case. (See Article 6, Section 21 of the State Constitution and Rule 2.830 of the California Rules 

of Court.) Temporary judges have nearly the same authority as a superior court judge to conduct a 

trial and make decisions. As long as the parties meet the court deadline, they can schedule the trial 

at their own and the temporary judge's convenience. 

Each of the temporary judges on the court's panel has agreed to serve at no charge for up to 5 court 

days. If the parties need more time, they must pay that person's regular fees. All parties and their 

lawyers must attend the trial, and provide a copy of all briefs or other court documents to the 

temporary judge at least two weeks before the trial. These trials are similar to other civil trials, but 

are usually held outside the court. The temporary judge's decision can be appealed to the superior 

court. There is no option for a jury trial. The parties must provide their own court reporter. 

SPECIAL MASTER 

A special master is a private lawyer, retired judge, or other expert appointed by the court to help 

make day-to-day decisions in a Court case. The special master's role can vary, but often includes 

making decisions that help the discovery (information exchange) process go more smoothly. He or 

she can make decisions about the facts in the case. Special masters can be especially helpful in 

complex cases. The trial judge defines what the special master can and cannot do in a court order. 

Special masters often issue both interim recommendations and a final report to the parties and the 

court. If a party objects to what the special master decides or reports to the court, that party can ask 

the judge to review the matter. In general, the parties choose (by stipulation) whom they want the 

court to appoint as the special master, but there are times (see California Code of Civil Procedure 

Section 639), when the court may appoint a special master or referee without the parties' 

agreement. The parties are responsible to pay the special master's regular fees. 

COMMUNITY MEDIATION SERVICES 

Mediation Services are available through non-profit community organizations. These low-cost 

services are provided by trained volunteer mediators. For more information about these programs 

contact the ADR Program at adrwebcontracosta.courts.ca.qov 

Civil — Information 

CV-655c-INFO Rev. 8/16/16 
EXHIBIT B 
L 

JAN 2 0 2017 

STEPHEN H. NASH CLERK OF TRF. COURT 

SUPERIOR COURT OF THE STATE OF CALIFORNIA 

COUNTY OF CONTRA COSTA 

oy 

Repuiy Glen, 

SEYFARTH SHAW LLP 

Andrew M. McNaught (SBN 209093) 

amcnaught@seyfarth.com 

Selyn Hong (SBN 303398) 

shong9s6yfarth.com 

560 Mission Street, 31st Floor 

San Francisco, California 94105 

Telephone: (415) 397-2823 

Facsimile: (415) 397-8549 

Attorneys for Defendant 

ALCON LABORATORIES, INC. 

SUPERIOR COURT OF THE STATE OF CALIFORNIA 

COUNTY OF CONTRA COSTA 

JOSEPH POLICARPIO, 

Plaintiff, 

vs. 

ALCON LABORATORIES, INC. and 

DOES 1 to 25, 

Defendants. 

Defendant ALCON LABORATORIES, INC. ("Defendant") hereby answers Plaintiff JOSEPH 

POLICARPIO's ("Plaintiff') unverified Complaint ("Complaint") as follows: 

GENERAL DENIAL 

Pursuant to California Code of Civil Procedure section 431.30(d), Defendant generally and 

specifically denies each and every assertion and cause of action alleged in Plaintiff's Complaint and, 

without limiting the generality of the foregoing, denies that Plaintiff has been damaged in any amount, 

or at all, by reason of any act or omission of Defendant, or any of its respective past or present agents, 

representatives, and/or employees. 

// 

// 

ANSWER TO PLAINTIFF'S COMPLAINT / CASE NO. CI6-01865 

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Case No. C16-01865 

ANSWER TO PLAINTIF.to'S 

UNVERIFIED COMPLAINT 

Complaint Filed: September 29, 2016 

Complaint Served: December 23, 2016 
SEPARATE DEFENSES 

In further answer to Plaintiff's Complaint, Defendant alleges the following separate defenses. In 

asserting these defenses, Defendant does not assume the burden of proof as to matters that, pursuant to 

law, are Plaintiffs burden to prove. 

FIRST SEPARATE DEFENSE 

(Failure To State A Cause Of Action) 

Plaintiff's Complaint, and each purported cause of action therein, fails to state facts sufficient to 

constitute a cause of action or state a claim upon which relief may be granted against Defendant. 

SECOND SEPARATE DEFENSE 

(Statute of Limitations) 

Plaintiff's purported causes of action are barred, in whole or in part, by the applicable statutes of 

limitations including, but not limited to, the limitations contained in California Code of Civil Procedure 

sections 338(a), 340, and 343, and California Business & Professions Code section 17208. 

THIRD SEPARATE DEFENSE 

(No Standing) 

Plaintiff's Complaint, and each purported cause of action alleged therein, is barred to the extent 

that Plaintiff lacks standing to assert any of the causes of action contained in the Complaint because he 

has not suffered an injury-in-fact. 

FOURTH SEPARATE DEFENSE 

(Laches) 

Plaintiffs purported causes of action are barred in whole or in part by the doctrine of laches. 

FIFTH SEPARATE DEFENSE 

(Unclean Hands) 

Defendant alleges that to the extent Plaintiff seeks equitable relief, Plaintiff's inequitable conduct 

constitutes unclean hands and therefore bars the granting of such relief herein. 

SIXTH SEPARATE DEFENSE 

(Estoppel) 

Plaintiff is estopped by his conduct to assert any cause of action against Defendant. 

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SEVENTH SEPARATE DEFENSE 

(Waiver) 

Plaintiff has waived his right to assert the purported claims contained in the Complaint against 

Defendant, including to the extent Plaintiff previously settled any disputes concerning issues alleged in 

the Complaint. Accordingly, Plaintiff is barred from recovering any relief obtained in this action. 

EIGHTH SEPARATE DEFENSE 

(Ratification) 

Plaintiffs Complaint, and each purported cause of action alleged therein, is barred on the ground 

that Plaintiff ratified the alleged actions complained of. 

NINTH SEPARATE DEFENSE 

(Release) 

This Complaint is barred to the extent that Plaintiff has given a release to Defendant in exchange 

for adequate consideration. 

TENTH SEPARATE DEFENSE 

(Setoff and Recoupment) 

To the extent a court holds that Plaintiff is entitled to damages or penalties, which Defendant 

specifically denies, Defendant is entitled under the equitable doctrine of setoff and recoupment to offset 

all overpayments and/or all obligations that Plaintiff owed to Defendant against any judgment that may 

be entered against Defendant. 

ELEVENTH SEPARATE DEFENSE 

(Good Faith Dispute — Labor Code § 203) 

Plaintiff is not entitled to Labor Code section 203 penalties because a good faith dispute existed 

as to whether additional monies were owed at the time of Plaintiff's termination such that Defendant 

cannot be held to have willfully failed to comply with the requirements of Labor Code section 203. 

TWELFTH SEPARATE DEFENSE 

(Failure to Show Entitlement to Waiting Tithe Penalties — Labor Code § 203) 

The Complaint, and each and every claim contained therein, is barred to the extent that Plaintiff 

has failed to show that Defendant willfully, knowingly, or intentionally did not pay all accrued wages or 

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ANSWER TO PLAINTIFF'S COMPLAINT / CASE NO. C16-01865 
premium wages within the time required following any discharge or voluntary resignation of 

employment by Plaintiff. Plaintiff therefore cannot pursue claims for waiting time penalties under 

California Labor Code section 203 

THIRTEENTH SEPARATE DEFENSE 

(No Recovery Under UCL) 

Plaintiff improperly seeks through the cause of action under Business & Professions Code 

section 17200 (the "UCL") to recover monies that are not recoverable under the UCL. 

FOURTEENTH SEPARATE DEFENSE 

(No Knowledge) 

Plaintiff's claims are barred to the extent that Defendant did not have actual or constructive 

knowledge of any purported unpaid overtime allegedly performed by Plaintiff. 

FIFTEENTH SEPARATE DEFENSE 

(FLSA Exempt Status) 

Plaintiff's claims for overtime are precluded because, at all times applicable to the Complaint, 

Plaintiff was exempt from the overtime provisions of the FLSA as he qualified for the executive, 

administrative, and/or the learned professional exemptions pursuant to 29 U.S.C. 

§ 213(a)(1), 29 C.F.R. §§ 541.100, et seq., 29 C.F.R. §§ 541.200, et seq., 29 C.F.R. §§ 541.300, et seq., 

29 C.F.R. § 541.301, and 29 C.F.R. §§ 541.602, 541.605, 541.606, 541.700, 541.701. 

SIXTEENTH SEPARATE DEFENSE 

(No Willful FLSA Violation) 

Plaintiff cannot extend the statute of limitations under the FLSA to three years or recover 

liquidated damages because Defendant did not willfully violate the FLSA, but rather acted in good faith 

and had reasonable grounds for believing that it did not violate the compensation provisions of the 

FLSA. 

SEVENTEENTH SEPARATE DEFENSE 

(Good Faith - 29 U.S.C. § 259) 

Plaintiffs claims are barred to the extent that Defendant's acts or omissions complained of in the 

Complaint were done in good faith and in reasonable reliance on an administrative regulation, order, 

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ruling, approval and interpretation of the United States Department of Labor, or an administrative 

practice or enforcement policy of the United States Department of Labor, or an administrative practice 

or enforcement policy of the United States Department of Labor with respect to the class of employers 

to which Defendant belongs and thus are subject to the provisions of 29 U.S.C. § 259. 

EIGHTEENTH SEPARATE DEFENSE 

(Good Faith - 29 U.S.0 § 260) 

Plaintiff's claims are barred to the extent that Defendant's acts or omissions complained of in the 

Complaint were done in good faith and Defendant had reasonable grounds for believing that its actions 

or omissions were not in violation of applicable laws and thus subject to the provisions of 29 U.S.C. § 

260. 

NINETEENTH SEPARATE DEFENSE 

(FLSA - Exclusions, Exceptions, Setoffs, and Credits) 

Plaintiff's claims are barred in whole or in part by statutory and regulatory exclusions, 

exceptions, setoffs, or credits including, but not limited to, 29 U.S.C. §§ 207(e)(1)-(8), 

29 C.F.R. § 548.3, 29 C.F.R. § 548.304, and 29 C.F.R. § 548.305. 

TWENTIETH SEPARATE DEFENSE 

(Accord and Satisfaction) 

Plaintiff's claims are barred in whole or in part by the doctrine of accord and satisfaction. 

Specifically, Plaintiff was properly and fully compensated for all work performed for Defendant, and 

acceptance of these payments or any other payment for work performed constituted an accord and 

satisfaction for all debts, if any, owed by Defendant. 

HI 

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ANSWER TO PLAINTIFF'S COMPLAINT / CASE NO. C16-01865 
TWENTY-FIRST SEPARATE DEFENSE 

(Res Judicata/Collateral Estoppel) 

Plaintiff's Complaint or certain claims in the Complaint are barred by the doctrines of res 

judicata and collateral estoppel to the extent that Plaintiff has asserted any claims as those alleged in the 

Complaint in a previous adjudication on the merits. 

TWENTY-SECOND SEPARATE DEFENSE 

(Exempt Employees) 

Plaintiff's claims are barred to the extent that Plaintiff was an exempt employee. 

TWENTY-THIRD SEPARATE DEFENSE 

(Failure to State a Claim for Relief for Punitive Damages) 

Plaintiff's Complaint, and each and every cause of action purported to be alleged therein, fails to 

state facts sufficient to entitle Plaintiff to an award of punitive damages. 

TWENTY-FOURTH SEPARATE DEFENSE 

(Punitive Damages Provisions Unconstitutional) 

On their face and as applied to the Complaint, the provisions of Civil Code §§ 3294, et seq. 

violate Defendant's rights under the Due Process clause of the Fourteenth Amendment of the United 

States Constitution and/or Article I, Section VII of the California. Constitution in that, among other 

things: (1) the Civil Code provisions are unconstitutionally vague; and (2) the Civil Code Provisions do 

not limit punitive damages to an amount that is constitutionally reasonable or proportionate to any harm 

caused. 

TWENTY-FIFTH SEPARATE DEFENSE 

(No Act by A Managing Agent) 

Plaintiff's prayer for punitive damages is barred to the extent that he has not identified any 

unlawful conduct by an officer, director, or managing agent of Defendant. 

TWENTY-SIXTH SEPARATE DEFENSE 

(No Attorneys' Fees) 

Plaintiff's Complaint, and each purported cause of action alleged therein, fails to state facts 

sufficient to constitute a claim for attorneys' fees against Defendant. 

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ANSWER TO PLAINTIFF'S COMPLAINT / CASE NO. C16-01865 
ADDITIONAL DEFENSES 

Defendant presently has insufficient knowledge or information on which to form a belief as to 

whether it may have additional, as yet unstated, defenses available. Defendant reserves the right to 

assert additional defenses in the event that discovery indicates that such defenses are appropriate. 

DEFENDANT'S REQUEST FOR COSTS AND ATTORNEYS' FEES 

Plaintiff knew or should have known that his claims are without any reasonable basis in law or 

equity and cannot be supported by good faith argument for extension, modification or reversal of 

existing law. As a result of Plaintiff's filing of this Complaint, Defendant has been required to obtain 

the services of the undersigned attorneys, and have incurred and will continue to incur substantial costs 

and attorneys' fees in defense of this frivolous case. Defendant is therefore entitled to recover 

reasonable attorneys' fees, expenses, and costs incurred by and through this action in accordance with 

California Code of Civil Procedure section 128.7. 

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ANSWER TO PLAINTIFF'S COMPLAINT / CASE NO. C16-01865 
PRAYER 

WHEREFORE, Defendant prays for judgment as follows: 

1. That Plaintiff takes nothing by his Complaint, and that the Complaint be dismissed 

with prejudice; 

2. That judgment be entered in favor of Defendant and against Plaintiff; 

3. For reasonable expenses and costs, including but not limited to reasonable 

attorneys' fees, incurred in the defense of the Complaint; and 

4. For such other further relief as this Court may deem just and proper. 

DATED: January 20, 2017 Respectfully submitted, 

SEYFARTH SHAW LLP 

By: 

Andrew M. McNaught 

Selyn Hong 

Attorneys for Defendant 

ALCON LABORATORIES, INC. 

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PROOF OF SERVICE 

I am a resident of the State of California, over the age of eighteen years, and not a party to the 

within action. My business address is 560 Mission Street, 31st Floor, San Francisco, California 94105. 

On January 20, 2017, I served the within document(s): 

ANSWER TO PLAINTIFF'S UNVERIFIED COMPLAINT 

I sent such document from facsimile machines (415) 397-8549 on May 26, 2015. I certify that 

said transmission was completed and that all pages were received and that a report was generated 

by said facsimile machine which confirms said transmission and receipt. I, thereafter, mailed a 

copy to the interested party(ies) in this action by placing a true copy thereof enclosed in sealed 

envelope(s) addressed to the parties listed below. 

by placing the document(s) listed above in a sealed envelope with postage thereon fully prepaid, 

in the United States mail at San Francisco, California, addressed as set forth below. 

by personally delivering the document(s) listed above to the person(s) at the address(es) set forth 

❑ below. 

by placing the document(s) listed above, together with an unsigned copy of this declaration, in a 

sealed envelope or package provided by an overnight delivery carrier with postage paid on 

account and deposited for collection with the overnight carrier at San Francisco, California, 

addressed as set forth below, 

by transmitting the document(s) listed above, electronically, via the e-mail addresses set forth 

❑ below. 

electronically by using the Court's ECF/CM System. 

Attorney for Plaintiff 

Douglas A. Prutton, Esq. 

Law Offices of Douglas A. Prutton 

1985 Bonifacio St., Suite 101 

Concord, CA 94520 

Telephone: (925) 677-5080 

Facsimile: (925) 677-5089 

prutton5@gmail.com 

I am readily familiar with the firm's practice of collection and processing correspondence for 

mailing. Under that practice it would be deposited with the U.S. Postal Service on that same day with 

postage thereon fully prepaid in the ordinary course of business. I am aware that on motion of the party 

served, service is presumed invalid if postal cancellation date or postage meter date is more than one day 

after date of deposit for mailing in affidavit. 

I declare under penalty of perjury under the laws of the State of California that the above is true and 

correct. 

PROOF OF SERVICE / CASE NO. C16-01865 
Karen Shepardson 

Executed on January 20, 2017, at San Francisco, California. 

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