Judge: Michelle Williams Court, Case: 21STCV42571, Date: 2022-10-24 Tentative Ruling

Case Number: 21STCV42571    Hearing Date: October 24, 2022    Dept: 74

21STCV42571           JOSEPH SIERRA vs NEOFECT USA INC

Defendant Neofect USA, Inc.’s Motion to Compel Arbitration

TENTATIVE RULING:   The motion is CONTINUED for an evidentiary hearing to resolve the factual disputes regarding Plaintiff’s assent to the Mutual Arbitration Agreement and the allegations of fraud in the execution. 

Background

 

On November 18, 2021, Plaintiff Joseph Sierra filed this action against Defendant Neofect USA, Inc. arising out of Plaintiff’s employment. The complaint asserts causes of action for: (1) retaliation (Labor Code § 1102.5); wrongful termination in violation of public policy; (3) unfair competition (Bus. & Prof. Code § 17200 et seq); and (4) failure to comply with employee’s request to inspect records (violation of Lab. Code §§ 226, 1198.5).

 

On October 6, 2022, the Court denied Plaintiff’s ex parte application for leave to file a first amended complaint and continue the hearing on Defendant’s motion to compel arbitration.

 

Motion

 

On May 5, 2022, Defendant Neofect USA, Inc. filed its motion to compel Plaintiff to submit the claims in this action to arbitration.

 

Opposition

 

In opposition, Plaintiff argues Defendant failed to meet its burden, the Mutual Arbitration Agreement is void for fraud in the execution, and it is unenforceable as unconscionable.

 

Reply

 

In reply, Defendant contends Plaintiff was not fraudulently induced into signing the agreement, the agreement is enforceable absent its signature, and the agreement is not unconscionable.

 

Plaintiff’s Evidentiary Objections

 

Each of Plaintiff’s evidentiary objections are OVERRULED.

 

Motion to Compel Arbitration

 

Standard

 

“California law reflects a strong public policy in favor of arbitration as a relatively quick and inexpensive method for resolving disputes. To further that policy, section 1281.2 requires a trial court to enforce a written arbitration agreement unless one of three limited exceptions applies. Those statutory exceptions arise  where (1) a party waives the right to arbitration; (2) grounds exist for revoking the arbitration agreement; and (3) pending litigation with a third party creates the possibility of conflicting rulings on common factual or legal issues.” (Acquire II, Ltd. v. Colton Real Estate Group (2013) 213 Cal.App.4th 959, 967; Code Civ. Proc. § 1281.2.) Similarly, “under the FAA, the strong federal policy favoring arbitration agreements requires courts to resolve any doubts concerning arbitrability in favor of arbitration.” (Valencia v. Smyth (2010) 185 Cal.App.4th 153, 176 (internal quotations omitted).) 

 

In deciding a petition to compel arbitration, trial courts must decide first whether an enforceable arbitration agreement exists between the parties, and then determine the second gateway issue whether the claims are covered within the scope of the agreement.  (Omar v. Ralphs Grocery Co. (2004) 118 Cal.App.4th 955, 961.) The opposing party has the burden to establish any defense to enforcement. (Gatton v. T-Mobile USA, Inc. (2007) 152 Cal.App.4th 571, 579 (“The petitioner, T–Mobile here, bears the burden of proving the existence of a valid arbitration agreement and the opposing party, plaintiffs here, bears the burden of proving any fact necessary to its defense.”).) 

 

If a party asserts the applicability of the Federal Arbitration Act (“FAA”), that party “bears the burden to show it applies by presenting evidence establishing [that] the contract with the arbitration provision has a substantial relationship to interstate commerce . . . .” (Carbajal v. CWPSC, Inc. (2016) 245 Cal.App.4th 227, 238.) Alternatively, the parties may agree to the application of the FAA. (See Victrola 89, LLC v. Jaman Properties 8 LLC (2020) 46 Cal.App.5th 337, 355 (“But the presence of interstate commerce is not the only manner under which the FAA may apply. As discussed above, the parties may also voluntarily elect to have the FAA govern enforcement of the Agreement, as they did here.”).)

 

Procedurally, a petition to compel arbitration or stay proceedings must state verbatim the provisions providing for arbitration, or must have a copy of them attached.  (Cal. R. Ct., rule 3.1330.) 

 

Arbitration Agreement at Issue

 

In opposition, Plaintiff contends Defendant failed to meet its burden. (Opp. at 7:4-10.) However, “[w]ith respect to the moving party’s burden to provide evidence of the existence of an agreement to arbitrate, it is generally sufficient for that party to present a copy of the contract to the court.” (Baker v. Italian Maple Holdings, LLC (2017) 13 Cal.App.5th 1152, 1160.)

 

Defendant provides the Mutual Arbitration Agreement between Defendant Neofect USA, Inc., Inspirity PEO Services, L.P, and Plaintiff Joseph Sierra dated August 19, 2020. (Wehr Decl. Ex. 1.)

 

By virtue of the Mutual Arbitration Agreement, Plaintiff agreed to arbitrate “all claims or disputes related to or arising out of my application for employment, my employment, or the termination of my employment with Insperity and/or Client Company, (b) all claims that Insperity and/or Client Company may have against me, and/or (c) all claims that I may have against Covered Persons.” (Wehr Decl. Ex. 1 § 1.) The Arbitration Agreement expressly states it “is intended to be as broad as legally permissible,” the Covered Claims “include, but are not limited to, “contract claims; tort, defamation and other common law claims; wage and hour claims, including claims relating to pay, minimum wage, overtime, overtime exemption classification, wage penalties, and meal and rest breaks; discrimination, harassment, and retaliation claims, including claims based on race, creed, color, religion, sex, age, disability, workers compensation, leave status, national origin, ancestry, sexual orientation, marital status, veteran or military reserve status, or any other characteristic protected by federal, state or local law.” (Id. § 1(A).) Accordingly, the terms of the Mutual Arbitration Agreement cover all of Plaintiff’s claims.

 

Defendant provides evidence that it complied with the mediation condition in the agreement. (Wehr Decl. Ex. 1 § 1(E) (“Insperity, Client Company, and I understand and agree that the parties will participate in a mediation before invoking binding arbitration. Mediation is a condition precedent to arbitration.”); Ahn Decl. ¶¶ 4-5.)

 

Conflicting Facts Regarding Plaintiff’s Assent to Arbitration

 

Defendant provides the declaration of Ryan Wehr, the Director, Product Management for Insperity PEO Services. Wehr states its company “provides . . . outsourced human resources for small and medium-sized businesses,” including Defendant. (Wehr Decl. ¶ 2.) Wehr states “[o]nce an employee registers through his or her personal email address and signed on to Insperity’s portal, the employee was prompted to review various documents, including but not limited to the Arbitration Agreement. . . . The employee is free to download the documents before and after signing . . .” (Id. ¶ 3.) Wehr further states “[e]very agreement an employee signs on Insperity’s portal can only be executed by the employee following an input of the employee’s unique credentials.” (Id. ¶ 4.) Wehr verified that “on August 19, 2020, Plaintiff logged into Insperity’s portal using his unique login information and reviewed the 4-page stand-alone Arbitration Agreement” and “Plaintiff electronically executed the Arbitration Agreement using his unique login ID.” (Id. ¶¶ 5-6.)

 

In opposition, Plaintiff provides conflicting details regarding his electronic signature and review of the Mutual Arbitration Agreement. Plaintiff contends his direct supervisor, Scott Kim, informed Plaintiff “here would be a switch in the company payroll and benefits administration from TriNet PEO to Insperity PEO and the change would involve better rates and employee benefits to Neofect employees, and result in a cost savings to the company.” (Sierra Decl. ¶¶ 3-4.) On August 19, 2020, Plaintiff “attended the enrollment tutorial video teleconference with the Insperity team and Neofect employees.” (Id. ¶ 6.) During that teleconference, the presenter informed Plaintiff that “in order for employees to be paid on time, [they] would need to complete the steps prompted in the web page” and “made it clear that the enrollment process must be completed promptly in order for paychecks to be processed on time.” (Ibid.) The presenter did not mention an arbitration agreement. (Ibid.) Plaintiff “logged into the Insperity online portal by utilizing [his] 14-inch laptop and entering a username.” (Id. ¶ 7.)

 

Plaintiff contends “[o]nce in the Insperity system, [Plaintiff] was brought to a web page that displayed several links. Some of the links directed [Plaintiff] as the user to a screen with forms to fill out. This interactive page pertained to direct deposit, selecting benefits, beneficiaries, health and dental plans, life insurance and related information.” (Ibid.) According to Plaintiff, “[t]he other links on the portal led [Plaintiff] to smaller popup windows that appeared to contain Pdf type of documents. These smaller windows presented about 4-inches of viewing space and did not have labels or titles within the window or on the web page. [Plaintiff] was unable to enlarge or maximize the window to a bigger or full screen. Due to the small size of the window, it was extremely arduous, if not impossible, for [Plaintiff] to read the text or contents of these documents.” (Id. ¶ 8.)

 

Plaintiff states “[e]ach opened screen on the Insperity portal contained a box to either check off or enter the username in order to move onto the next screen. The pages that required information to be filled in prompted [Plaintiff] to provide information for payroll or benefit plans (ie., direct deposit, health plan). The other pages containing documents did not display visible titles within the popup window or outside the smaller window to reference an ‘arbitration agreement.’” (Id. ¶ 9.) Plaintiff “did not see, review, sign, or enter into an arbitration agreement when Insperity conducted the online enrollment.” (Id. ¶ 11.)

 

In reply, Defendant provides an additional declaration from Ryan Wehr, refuting Plaintiff’s contention that the documents could not be manipulated or downloaded for review. (Wehr Reply Decl. ¶¶ 3-4.)

 

While Plaintiff contends his signature is unauthenticated, (Opp. at 8:12-9:12), the Court finds the evidence sufficient to authenticate Plaintiff’s signature. Wehr demonstrates only Plaintiff, through his unique credentials, could execute the Mutual Arbitration Agreement. (Espejo v. Southern California Permanente Medical Group (2016) 246 Cal.App.4th 1047, 1062.) Plaintiff also contends there is no evidence the parties agreed to electronic transactions, citing Civil Code section 1633.5. (Opp. at 9:13-25.) However, Plaintiff admits he logged into Insperity’s system to execute documents on the date Defendant contends Plaintiff signed the agreement. (Sierra Decl. ¶ 7. See Civ. Code § 1633.5(b) (“Whether the parties agree to conduct a transaction by electronic means is determined from the context and surrounding circumstances, including the parties' conduct.”).) The evidence is sufficient to establish Plaintiff took the steps necessary to place his electronic signature on the Mutual Arbitration Agreement.

 

The Court Shall Hold an Evidentiary Hearing

 

However, Plaintiff is not necessarily bound by the Mutual Arbitration Agreement solely by virtue of his electronic signature. “California law distinguishes between fraud in the ‘execution’ . . . of a contract and fraud in the ‘inducement’ of a contract. In brief, in the former case the fraud goes to the inception or execution of the agreement, so that the promisor is deceived as to the nature of his act, and actually does not know what he is signing, or does not intend to enter into a contract at all, mutual assent is lacking, and the contract is void. In such a case it may be disregarded without the necessity of rescission.” (Rosenthal v. Great W. Fin. Sec. Corp. (1996) 14 Cal.4th 394, 415.)

 

Plaintiff contends his signature was procured by fraud. (Opp. at 7:11-27.) Plaintiff contends he signed documents on August 19, 2020 in connection with enrollment in a “payroll and benefits program” and was not told about the Mutual Arbitration Agreement. (Sierra Decl. ¶¶ 6-7.) Plaintiff was told he was required to complete the enrollment process to receive his paycheck on time and Plaintiff did not have a prior arbitration agreement with Defendant Neofect, his existing employer at the time. (Id. ¶¶ 6, 11.) “A contract may, however, be held wholly void, despite the parties' apparent assent to it, when, without negligence on his part, a signer attaches his signature to a paper assuming it to be a paper of a different character.” (Rosenthal, supra, 14 Cal.4th at 420.) The enrollment process contained links to “smaller popup windows that appeared to contain Pdf type of documents” that were unlabeled within small windows that could not be enlarged, rendering it “extremely arduous, if not impossible” read the documents. (Id. ¶¶ 8, 9.) Thus, if the facts asserted in Plaintiff’s declaration are credited, Plaintiff was “deprived . . . of a reasonable opportunity to learn the character and essential terms of the documents [he] signed.” (Rosenthal, supra, 14 Cal. 4th at 428.)

 

If the facts asserted in the Wehr declaration are credited, Plaintiff was offered a sufficient opportunity to learn the contents of the Mutual Arbitration Agreement. Wehr stated the onboarding process prompts the employee to review the arbitration agreement and can download the documents before signing them. (Wehr Decl. ¶¶ 3, 4.) Plaintiff’s failure to take advantage of that opportunity forecloses a finding of fraud in the execution. (Rosenthal, supra, 14 Cal.4th at 423 (“If a party, with such reasonable opportunity, fails to learn the nature of the document he or she signs, such ‘negligence’ precludes a finding the contract is void for fraud in the execution.”).)

 

The Court shall hold an evidentiary hearing with testimony related to the circumstances surrounding Plaintiff’s execution of the Mutual Arbitration Agreement. (Rosenthal, supra, 14 Cal.4th at 414 (“we agree that where . . . the enforceability of an arbitration clause may depend upon which of two sharply conflicting factual accounts is to be believed, the better course would normally be for the trial court to hear oral testimony and allow the parties the opportunity for cross-examination.”); Ashburn v. AIG Financial Advisors, Inc. (2015) 234 Cal.App.4th 79, 98 (“the trial court had to hold an evidentiary hearing here, as there was significant dispute about what appellants signed, how they came to sign it, and what they signed said.”).)

 

Defendant Need Not Have Signed the Arbitration Agreement

 

Plaintiff contends the motion should be denied because “Neofect and Insperity are signatories but never signed the claimed arbitration agreement.” (Opp. at 8:3-11.) However, Plaintiff does not cite any portion of the Mutual Arbitration Agreement that conditions enforcement or validity upon either Neofect or Insperity’s separate signature. The bottom of the Mutual Arbitration Agreement contains Defendant’s agreement thereto. (Wehr Decl. Ex. 1 at 4 (“AGREED: INSPERITY . . . AGREED: NEOFECT USA, INC.”).) Nothing further is required to bind Defendant to the Mutual Arbitration Agreement. (See e.g. Cruise v. Kroger Co. (2015) 233 Cal.App.4th 390, 398 (“we readily conclude Kroger intended to be bound by the arbitration clause in its employment application. Kroger's intent is evidenced by the fact that the employment application was printed on its company letterhead and the arbitration clause declared Kroger's intent to be bound thereby.”); Banner Entertainment, Inc. v. Superior Court (Alchemy Filmworks, Inc.) (1998) 62 Cal.App.4th 348, 361 (“it is not the presence or absence of a signature which is dispositive; it is the presence or absence of evidence of an agreement to arbitrate which matters.”); Serafin v. Balco Properties Ltd., LLC (2015) 235 Cal.App.4th 165, 177.)

 

The Federal Arbitration Act Applies

 

The Mutual Arbitration Agreement expressly states “[t]his Arbitration Agreement shall be governed by the Federal Arbitration Act, 9 U.S.C. § 1 et seq. and evidences a transaction involving commerce.” (Wehr Decl. Ex. 1 § 7.) Accordingly, the FAA applies. (Victrola 89, supra, 46 Cal.App.5th at 355 (“the parties may also voluntarily elect to have the FAA govern enforcement of the Agreement, as they did here.”).)

 

The Arbitration Agreement Does Not Violate Armendariz

 

To be enforceable, an arbitration agreement in an employment contract must comply with the requirements of Armendariz v. Foundation Health Psychcare Services, Inc. (2000) 24 Cal.4th 83, even where the FAA applies. (See Ramos v. Superior Court (2018) 28 Cal.App.5th 1042, 1055 (“Since Concepcion was decided, the California Supreme Court has reaffirmed the validity of Armendariz multiple times.”).) The Armendariz requirements are that: “(1) the arbitration agreement may not limit the damages normally available under the statute; (2) there must be discovery sufficient to adequately arbitrate their statutory claim; (3) there must be a written arbitration decision and judicial review sufficient to ensure the arbitrators comply with the requirements of the statute; and (4) the employer must pay all types of costs that are unique to arbitration.” (Little v. Auto Stiegler, Inc. (2003) 29 Cal.4th 1064, 1076.) 

 

The Mutual Arbitration Agreement does not limit the remedies available, expressly permits sufficient discovery, expressly requires Defendant to bear the costs unique to arbitration, and requires the issuance of a written award by a neutral arbitrator from the American Arbitration Association. (Wehr Decl. Ex. 1 §§ 1(G), 1(H).)

 

The Court finds the Mutual Arbitration Agreement complies with the requirements of Armendariz.

 

Unconscionability

 

Plaintiff also argues the agreement is unenforceable as unconscionable. (Opp. at 9:26-14:7.)

 

Regardless of the claim asserted, arbitration agreements are only enforceable if they are not unconscionable. (Armendariz, supra, 24 Cal.4th at 113; Baxter v. Genworth N. Am. Corp., (2017) 16 Cal.App.5th 713, 721.).) “Both procedural and substantive unconscionability must be present for a court to refuse to enforce a contract, although they need not be present in the same degree.” (Baxter, supra, 16 Cal.App.5th at 721 (citing Baltazar v. Forever 21, Inc. (2016) 62 Cal.4th 1237, 1243.) Procedural unconscionability focuses on (1) “oppression” resulting from unequal bargaining power that adheres the weaker party to nonnegotiable terms and (2) “surprise” involving “the extent to which the supposedly agreed-upon terms are hidden in a prolix printed form drafted by the party seeking to enforce them.” (Flores v. Transamerica HomeFirst, Inc., (2001) 93 Cal.App.4th 846, 853.) Substantive unconscionability “focuses on overly harsh or one-sided results [that lack substantial justification].” (Baxter, supra, 16 Cal.App.5th at 724; see Armendariz, supra, 24 Cal.4th at 117-18.).)

 

Plaintiff May Demonstrate Some Procedural Unconscionability

 

Plaintiff argues the Mutual Arbitration Agreement suffers from procedural unconscionability based upon the same arguments raised above regarding fraud in the execution. (Opp. at 10:11-12:1.) Plaintiff was told the enrollment process was to facilitate Defendant’s change of payroll and benefits service provider, he was not told about the Mutual Arbitration Agreement, and the terms of the purported agreement were concealed. These facts would support a finding of procedural unconscionability. (See generally Morris v. Redwood Empire Bancorp (2005) 128 Cal.App.4th 1305, 1321 (“Procedural surprise focuses on whether the challenged term is . . . beyond the reasonable expectation of the weaker party.”).) Oppression can be found where, as here, an arbitration provision is presented as a condition to maintain or obtain job benefits. (See e.g. OTO, L.L.C. v. Kho (2019) 8 Cal.5th 111, 127 (“economic pressure can also be substantial when employees are required to accept an arbitration agreement in order to keep their job.”).) Accordingly, if Plaintiff’s version of the facts is fully credited, Plaintiff will have demonstrated a moderate level of procedural unconscionability.

 

Plaintiff contends procedural unconscionability is increased because “Defendant failed to attach any rules to the arbitration agreement or provide a copy of such rules to Plaintiff, and Plaintiff was never told where to find them. The purported ‘agreement’ attached to Ryan Wehr’s declaration does not tell Plaintiff where he can find the rules if they in fact even exist.” (Opp. at 12:18-21.) However, the Mutual Arbitration Agreement provides “[t]he arbitration will be held in accordance with the then current Employment Arbitration Rules of the American Arbitration Association (‘AAA Rules’). The AAA Rules are available at www.adr.org/employment, by calling 800.778.7879, or by using an internet search engine such as Google to locate the ‘AAA Employment Arbitration Rules.’” (Wehr Decl. Ex. 1 § 1(G).) Moreover, Plaintiff does not contend the applicable Employment Arbitration Rules of the American Arbitration Association are substantively unconscionable. Accordingly, any failure to provide the arbitration rules does not add to procedural unconscionability. (Baltazar, supra, 62 Cal.4th at 1246; Da Loc Nguyen v. Applied Medical Resources Corporation (2016) 4 Cal.App.5th 232, 249 (“As to these cases, Baltazar removed the nonprovision or nonattachment of the AAA rules as a basis for increasing the procedural unconscionability level.”); Cisneros Alvarez v. Altamed Health Services Corporation (2021) 60 Cal.App.5th 572, 590 (“the failure to provide a copy of the arbitration rules generally raises procedural unconscionability concerns only if there is a substantively unconscionable provision in the omitted rules.”).)

 

Plaintiff Has Not Demonstrated Substantive Unconscionability

 

However, “[b]oth procedural and substantive unconscionability must be shown for the defense to be established.” (OTO, supra, 8 Cal.5th at 125.)

 

Plaintiff argues the Mutual Arbitration Agreement is substantively unconscionable because it fails to provide adequate discovery. (Opp. at 13:11-27.) The discovery provision provides:

 

(v) The parties have the right to conduct adequate civil discovery, and to present witnesses and evidence. Each party has the right to: (a) take the deposition of two individual fact witnesses and any expert witness designated by another party, (b) propound requests for production of documents to any party, and (c) subpoena witnesses and documents, including documents relevant to the case from third parties. Additional discovery may be had by mutual agreement of the parties, and in the absence of mutual agreement, the Arbitrator will have exclusive authority to entertain requests for additional discovery and to grant or deny such requests, based on the Arbitrator’s determination whether additional discovery is warranted by the circumstances of a particular case.

 

(Wehr Decl. Ex. 1 § 1(G)(v).) Plaintiff cites Fitz v. NCR Corp. (2004) 118 Cal.App.4th 702, which is distinguishable. In Fitz, the Court of Appeal addressed an arbitration provision that expressly limited discovery to two depositions, and placed a high burden on additional discovery. (Id. at 709 (“both NCR and the employee have the right to take the sworn deposition statements of two individuals and, in addition, any expert witnesses expected to testify at the hearing. . . . No other ‘discovery’ (i.e., depositions or demands for documents/information ) will be permitted unless the arbitrator finds a compelling need to allow it. In determining whether a compelling need exists, the arbitrator will balance the interests of fairness and expediency; the arbitrator will only override the goal of achieving a prompt and inexpensive resolution to the dispute if a fair hearing is impossible without additional discovery.”).) Thus, the Court of Appeal found “we do not believe that an employee should be forced to demonstrate this impossibility to an arbitrator before being granted access to the type of discovery that is necessary for a fair opportunity to vindicate her claim.” (Id. at 719.)

 

As seen above, no such limitation is imposed in the parties’ Mutual Arbitration Agreement as it does not require the arbitrator to deny all discovery unless an employee shows it is “impossible” to obtain a fair hearing without the requested additional discovery. The Mutual Arbitration Agreement provides adequate discovery and does not violate Armendariz’s discovery requirements. (Dotson v. Amgen, Inc. (2010) 181 Cal.App.4th 975, 984 (“We assume that the arbitrator will operate in a reasonable manner in conformity with the law.”).)

 

Finally, Plaintiff contends the Mutual Arbitration Agreement is unconscionable because it “lacks mutuality it does not include equitable relief, unfair competition and/or the use and/or unauthorized disclosure of confidential information and allows Defendant to prosecute those claims in State Court.” (Opp. at 14:2-5.) However, nothing in the Mutual Arbitration Agreement excludes such claims. The Mutual Arbitration Agreement only excludes claims for “workers’ compensation benefits, state disability insurance benefits, or unemployment insurance benefits, . . . claims for benefits under employee benefit plans covered by ERISA; and disputes that an applicable federal statute expressly states cannot be arbitrated or subject to a pre-dispute arbitration agreement” as well as pending class or collective actions. (Wehr Decl. Ex. 1 § 1(B).) The agreement mutually provides that both parties may seek provisional injunctive relief in court “only upon the ground that the award to which that party may be entitled would be ineffectual without such provisional relief.” (Id. §(C).) Accordingly, Plaintiff has not demonstrated any substantive unconscionability.

 

Plaintiff failed to meet his burden to establish a defense based upon unconscionability.

 

Conclusion

 

Defendant Neofect USA, Inc.’s Motion to Compel Arbitration is CONTINUED.

 

The Court shall hold an evidentiary hearing on the continued hearing date to resolve the factual disputes regarding Plaintiff’s assent to the Mutual Arbitration Agreement and the allegations of fraud in the execution.