Human resources & employment law cumulative case briefs



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Controlling law: a union unlawfully induced termination of an employee for failing to pay his union dues in the full amount on time. The union failed to provide the employee with legally sufficient notice of his deficiency and did not provide him a reasonable opportunity to bring them current. Before a union can invoke its security agreement with the employer it must meet all four of these requirements:

  1. provide the employee with actual notice of the amount due;

  2. explain how it computed the amount due;

  3. give the employee a reasonable deadline for payment; and

  4. explain that failure to pay will result in discharge.

Laborers’ Int’l Union of North America, Local 578 v. NLRB, Nos. 08-9564, 08-9569 (2/2/10); 2010 U.S. App. LEXIS 2179; http://case.lawmemo.com/10/laborers.pdf [enhanced lexis.com version].
Labor-Management Relations Act (LRMA): arbitration, fraud; defense, exhaust contractual remedies; collective bargaining agreement (CBA)
Illustrative; not controlling law. Fraud is one of the grounds for taking an arbitration award to court. In this case the employer bypassed the arbitration process by reaching a side agreement with one of the groups of employees in the bargaining process. The appellate court stated that “An employer who by its conduct repudiates a promise to arbitrate a dispute consistent with the terms of the CBA has no subsequent right to insist on arbitration.” Also, the employer’s motion for summary judgment was denied because there was material factual issue “of whether the integrity of the process has been so impugned as to call into question the validity of the arbitration award [and thus] remains for judicial resolution.” Ramirez-LeBron v. Int’l Shipping Agency, No. 08-2321 (1st Cir., 1/29/10); 2010 U.S. App. LEXIS 2056; http://www.ca1.uscourts.gov/ [enhanced lexis.com version].
Retaliation: supervisor, sabotage, punitive scheduling; Burlington Northern test of adverse employment action
Illustrative; not controlling law. Summary judgment was denied to the employer in this case in which its supervisor threatened retaliation and then carried out his threat: (1) thwarted efforts by the targeted employees to set a security alarm, which resulted in a reprimand, and (2) intentionally adjusted shift times, break times, work locations, and work assignments that disrupted the targeted employees’ off-duty time, and that forced them to work shifts alone so that they were subjected to potentially hazardous situations. A question raised by the Burlington Northern decision was what would constitute retaliation in an adverse employment action [http://topics.law.cornell.edu/supct/cert/05-259 ], and this case provides us with yet another example. Hicks v. Baines, 06-3782-cv (2nd Cir., 2/2/10); 2010 U.S. App. LEXIS 2146; http://www.ca2.uscourts.gov/decisions/isysquery/553bba03-5996-4d79-83e0-ee4494a6aeba/1/doc/06-3782-cv_opn.pdf#xml=http://www.ca2.uscourts.gov/decisions/isysquery/553bba03-5996-4d79-83e0-ee4494a6aeba/1/hilite/ [enhanced lexis.com version].
Litigation and electronic discovery: preservation of evidence, failure to take adequate measures to preserve potential evidence, possible sanctions
Illustrative; not controlling law. Electronic discovery of evidence, E-Discovery, has become so prevalent in recent years that half a dozen new major provision have been added to the Federal Rules of Civil Procedure, and many states are adopting identical or similar provisions. Intentionally or negligently failing to be aware of these new requirements and taking effect measures to comply with them result in serious consequences for litigants, such as default judgment on one or more issues of liability, unfavorable jury instructions, and the like. Checking with company or agency counsel is essential. In the past, usually sanctions have been imposed for intentional destruction of evidence, but in this case they were imposed for the parties’ “careless and indifferent” approach to preservation and collection of evidence. What this is that if a party of litigation either know or should have known that litigation might result from an incident, then the duty to adequately protect and preserve potential evidence, favorable or unfavorable, is essential. An example of an unfavorable jury instruction might be that the jurors may infer from the disappearance of certain evidence (e.g., document, statement, etc.) this it would have been unfavorable to the party not producing it because it would tend to prove liability against that party. No citation or case text was found as of February 4, 2010, but this Jackson Lewis article provides much more detail than my brief: http://www.jacksonlewis.com/legalupdates/article.cfm?aid=1959. The author of the case is Judge Shira Scheindlin, the author of previous major E-Discovery opinions that have resulted in critical rule changes. Pension Committee of the Univ. of Montreal Pension Plan v. Banc of America Securities, LLC, No. 05 Civ. 9016 (S.D.N.Y. Jan. 15, 2010). Previous related opinions by her are: Zubulake v. UBS Warburg LLC, 220 F.R.D. 212 (S.D.N.Y. 2003) (“Zubulake IV”); Zubulake v. UBS Warburg LLC, 229 F.R.D. 422 (S.D.N.Y. 2004) (“Zubulake V”).) Some basic points to remember are:

  • Duties to preserve arise when a party ought to reasonably anticipate litigation (“knew or should have known”) – start before litigation begins because by then it may be too late.

  • There is a duty for an employer to issue an adequate “hold order”, i.e.,

    • properly save,

    • do not destroy, and

    • flag such material to be removed from periodic destruction, overwriting, etc.

  • Collect any such evidence and retain in a safe place.

  • This extends to all sorts of devices, company or personal, such as computers, PDAs, cell phones, voice mail, and so on.

  • Do not delegate to an employee who:

    • has had no experience conducting such searches;

    • hasn’t been trained or instructed on how to do so;

    • has no supervision during such collection duties; and

    • has no contact with and supervision by counsel during the search.

  • Do not delegate to potentially involved employees the duty to conduct their own searches for relevant information with little or no proper supervision.

  • Don’t overlook the possibility of relevant information outside the company or agencies, such as contractors.

Employers need to develop adequate policies and procedures and train their employees in them.
Public Sector, Privacy: pending case on cell phones, texting, pagers, etc., device issued by employer to employee; employer’s policy of limiting use strictly to company or agency activities; Fourth Amendment, warrantless search
Why are you being notified? Occasionally it is important to advise you of when the law might change. Earlier, I had briefed this case as illustrative law, but not controlling: Quon v. Arch Wireless, No. 07-55282, 554 F.3d 769 (9th Cir. 2009); 2009 U.S. App. LEXIS 2259; http://www.ca9.uscourts.gov/datastore/opinions/2009/02/06/0755282o.pdf [enhanced lexis.com version]. However, that status my change because the United States Supreme Court has agreed in a writ of certiorari* to review that case this spring, and the decision from the USSC could become controlling law. [* One meaning of certiorari is that a higher court limits what cases may be appealed to it. This allows it to limit its opinions to important points of law that need to be decided and published to inform and provide guidance to the public, businesses, agencies, etc.]

Background: Public sector employees are protected by constitutional rights by virtue of the government being their employer. Though such employees do not lose Fourth Amendment rights merely because they work for the government, some expectations of privacy held by government employees may be unreasonable because of the "operational realities of the workplace." O’Connor v. Ortega, 480 U.S. 709, 717 (1987). Under this case, if employees have a reasonable expectation of privacy, a warrantless search by a government employer may be permissible, if reasonable under the circumstances if it is conducted for purposes related to work either for non-investigatory work-related purposes or for investigations of work-related misconduct - is permissible. Id. at 725-26.
Specifically: The Quon case dealt with these issues:


  • Whether a SWAT team member has a reasonable expectation of privacy in text messages transmitted on his SWAT pager if the police department has an official no-privacy policy but a lieutenant without authority to make policy announced an informal policy of allowing some personal use of the pagers.




  • Whether the Ninth Circuit contravened Fourth Amendment precedents and created a conflict of authority in the circuit court by analyzing whether the police department could have used "less intrusive methods" of reviewing text messages transmitted by a SWAT team member on his SWAT pager.




  • Whether individuals who send text messages to a SWAT team member’s SWAT pager have a reasonable expectation that their messages will be free from review by the government employer of the recipient.


Generally: Some of the issues involved in the certiorari might be:


  • Does an employee have a reasonable expectation of privacy in text messages transmitted on devices issued by its employer?

  • If so, how might that change if the employer has a formal policy prohibiting personal use of the devices?

  • Would those same privacy rules apply to third parties, i.e., someone who is not an employee who might call, page, text or otherwise contact the employee on a device issued by the employer?

  • What practices of the employer might as a practical matter defeat that written policy? [As you will recall, if an employer is not adhering to or is not enforcing its written policies, then typically a court will rule that the employer’s actual practice has become the policy and the written policy is rendered meaningless.]

  • When might a warrant be necessary?

  • How far would an employer be allowed to review such communications once it becomes apparent or should be apparent that the communication is personal, i.e., what could be the extent of the intrusion?


Action: When the USSC issues its decision it will be briefed in this database.
Title VII: gender stereotyping, appearance, behavior, motivating factor in adverse employment action
Illustrative; not controlling federal law, but under the NM Human Rights Act it could apply [NMSA §§ 28-1-2(P) and (Q)]. A female desk clerk was fired after a company official met her in person and decided the employee lacked the pretty and “Midwestern girl” look desirable in a front desk employee. The clerk wore button-down shirts, slacks and on some occasions had been mistaken for a man. The 8th Circuit Court of Appeals has now joined the 9th, 7th, 6th and 3rd circuits that have ruled on claims that an employer discriminated against (or tolerated harassment of) employees whose dress and/or behavior did not conform to a gender stereotype what might be considered masculine or feminine. Lewis v. Heartland Inns of America, L.L.C., No. 08-3860 (8th Cir., 1/21/10); 2010 U.S. App. LEXIS 1283; http://www.ca8.uscourts.gov/opns/opFrame.html [enhanced lexis.com version].
Title VII: gender, no overt direct target, hostile work environment, severe, pervasive, degrading nature
Illustrative; not controlling law. Summary judgment in favor of the employer was reversed by the appellate court because it found there was a factual issue of hostile work environment “based on sex”:

  • daily exposure to office talk and radio programming that was particularly offensive to women,

  • she worked as a sales representative in a workstation pod cubicle near other sales representatives who were all men,

  • only female working in her area,

  • male coworkers and her direct supervisor used sexually derogatory and sexually explicit, crude language and listened to a morning radio program featuring sexually explicit and offensive language played on the stereo in the office, and

  • she testified that the offensive office talk and radio programming continued even after numerous complaints to her coworkers and her supervisor.

Reeves v. C.H. Robinson Worldwide, Inc., No. 07-10270 (11th Cir., 1/2010); 2010 U.S. App. LEXIS 1157; http://www.ca11.uscourts.gov/opinions/ops/200710270.pdf [enhanced lexis.com version]. [Question: Occasionally in my training sessions an issue arises about a possibly hostile or discriminatory workplace involving loud broadcasts of strong religious content. Might this case and others like it also raise a factual issue?]
ADA: prohibited medical inquiry before conditional offer of employment
Illustrative; not controlling law. This illustrates at least two basic ADA (though many errors were made by the employer): (1) A job applicant need not be "disabled" under the Americans with Disabilities Act to sue an employer for making a prohibited, pre-offer medical inquiry, and (2) don’t perform any medical exams before making a conditional offer of employment.
As a review, here is a portion of the EEOC Enforcement Guidance: Disability-Related Inquiries and Medical Examinations of Employees under The Americans With Disabilities Act (ADA); 915.002; Date: 7/27/00
Under the ADA, an employer's ability to make disability-related inquiries or require medical examinations is analyzed in three stages: pre-offer, post-offer, and employment. At the first stage (prior to an offer of employment), the ADA prohibits all disability-related inquiries and medical examinations, even if they are related to the job.(fn 6) At the second stage (after an applicant is given a conditional job offer, but before s/he starts work), an employer may make disability-related inquiries and conduct medical examinations, regardless of whether they are related to the job, as long as it does so for all entering employees in the same job category.(fn 7) At the third stage (after employment begins), an employer may make disability-related inquiries and require medical examinations only if they are job-related and consistent with business necessity. (fn 8)
A temporary employee applied for a permanent position. Company policy required drug testing [which the company performed before making a conditional offer of employment]. The employer did not know the applicant suffered from epilepsy and was taking prescribed medications for that condition. He tested positive for barbiturates and was summoned to his supervisor’s office to discuss the situation, and he informed the supervisor of that. The supervisor instructed him to speak to the company’s Medical Review Officer (MRO) by telephone, and the MRO questioned him about his medication, how long he had been taking it, and how long he had been disabled. During this conversation the supervisor remained in the room and heard the applicant reply to the MRO that he has been diagnosed with epilepsy when he was two years old and took barbiturates to control the seizures. The MRO cleared the applicant and human resources had received authorization to hire him. Problems for the company arose when the supervisor instructed human resources not to prepare an offer letter for the applicant. Further, the temporary agency terminated him based on alleged problems with performance and attitude problems and an allegation he had his supervisor. Though the company prevailed in the trial court, the appellate court held otherwise, stating that a job applicant need not be "disabled" under the Americans with Disabilities Act in order to sue an employer for making a prohibited, pre-offer medical inquiry. Harrison v. Benchmark Elecs. Huntsville Inc., No. 08-16656 (11th Cir, 1/11 /10); 2010 U.S. App. LEXIS 632; http://www.ca11.uscourts.gov/opinions/ops/200816656.pdf [enhanced lexis.com version].
FLSA: wage claim, state or federal, employee handbook, breach of contract, disclaimer as implied contract; statute of limitations
Controlling law, but to ultimately dependent on Oklahoma law as to statute of limitations. This case demonstrates that employee handbooks must contain clear and conspicuous disclaimers that they must not be construed as implying contractual rights. Each employee should execute an acknowledgment on a separate document that he or she has received the handbook, read and understood, is responsible for seeking assistance from the employer if anything is unclear or the employee has any questions, and agrees that the handbook is not intended to be a contract.”At-will” language also should be included (i.e., that either the employer or the employee can terminate the employment relationship with or without notice or cause).
Compton v. Rent-A-Center, Inc., No. 08-6264 (10th Cir., 10/20/09); 2009 U.S. App. LEXIS 22942; http://www.ck10.uscourts.gov/opinions/08/08-6264.pdf [enhanced lexis.com version]; http://www.morelaw.com/verdicts/case.asp?n=08-6264&s=OK&d=41850.
The employee lost his case because:

  • he failed to file his claim within the required time for either a federal or state claim for overtime, and

  • he had no evidence to support a claim that would be allowed under a longer period of time for filing allowed under any other applicable statute of limitations.

FMLA, constructive discharge: adverse employment action, lateral transfer; isolated remarks, insufficient evidence


Controlling law: A custodian with numerous health problems was neither discriminated against nor constructively discharged.
Lara v. Unified School Dist. #501, Shawnee County, State of Kansas, No. 08-3320 (10th Cir., 10/22/09); 2009 U.S. App. LEXIS 23292,*;22 Am. Disabilities Cas. (BNA) 938; http://www.ck10.uscourts.gov/opinions/08/08-3320.pdf; http://www.morelaw.com/verdicts/case.asp?n=08-3320&s=KS&d=41853 [enhanced lexis.com version].
Felix Lara, custodian/building operator, worked for USD from 1982 until when he retired in 2005 at age 60. Starting in 2002, he suffered a number of health problems, including: ruptured aneurysm, heart attack, and abdominal hernia. Cumulatively, he took six months of FMLA unpaid leave, plus workers’ compensation leave. He contended that during the last years of his employment with USD his supervisors comment on his health and age:

  • The USD principal said to him he was having a run of bad luck with his health and hoped that wouldn’t continue.

  • The USD HR director told him:

  • he was “too old” and “getting on in age”, and suggested he ought to retire because he was “missing too much work, having too many medical problems, and costing the school district money, and

  • he would transfer him to a district service center if he didn’t take early retirement.

  • After that the principal told him he ought to retire, but Lara said he wasn’t interested in doing that. Lara testified in his deposition that the principal shook his head, but did not lose his temper; at trial Lara testified that the principal had lost his temper.

Required proof: According to the Tenth Circuit Court of Appeals, is was essential that Lara establish a prima facie case, in this instance, that he would be entitled to judgment in his favor if the employer could not prove a legitimate nondiscriminatory reason for an adverse employment action against him. The court rejected his claims for these reasons:



  • He failed to preset sufficient evidence of constructive discharge:

  • supervisors made only “isolated remarks . . . none of which were threatening or harassing”, and

  • those were not enough in and of themselves to prove that a reasonable person would find them so intolerable and to leave the employee no other choice that to quit or retire.

  • Concerning the prospect of transfer if he did not retire, the appellate court found that “Without significant adverse changes in working conditions . . . the lateral transfer is not an adverse employment action”.

NLRB: union activity, overly-broad restrictions, bulletin board policy, distributing flyers, alleged neutral policy, motivation, lack of legitimate business justification, suspicious timing; shift leaders were not statutory supervisors


Illustrative; not controlling law. Generally, an employer may have a policy and a practice of prohibiting solicitation of any kind in work areas during work time. However, during a union organizing campaign, broader limitations or an inconsistent practice may result in an unfair labor practice claim and ruling. During a an ongoing unionization campaign, this employer prohibited employees from placing union flyers on cars in the company parking lot and warned employees against passing out union buttons or leaving them around the time clock. The appellate court upheld the NLRB ruling of an unfair labor practice because the timing of the employer’s actions, its apparent motivation, and the timing of implementing a new policy indicated union discrimination in violation of the National Labor Relations Act (NLRA). The Employer also raised the defense that shift leaders prohibited from engaging in organizing activities were supervisors, and thus barred by the NLRA from participating in union activities. This argument was rejected by the appellate court because the NLRA statutory definition of supervisor states that such an employee must use independent judgment in carrying out one of 12 supervisory functions. It is important that the exercise of such authority is not merely routine, but involves the use of independent judgment. In this case the shift managers made work assignments that were routine and based upon a priority sheet they received from a team manager, and the other assignments the shift leaders gave did not take into account the relative skills of their crew members and were essentially routine in nature. Loparex LLC v. NLRB, Nos. 09-2187, 09-2289 (7th Cir., 12/31/09); 2009 U.S. App. LEXIS 28754; http://www.ca7.uscourts.gov/tmp/UJ0LBR3A.pdf [enhanced lexis.com version].
Employment, general: disciplinary action, progressive discipline, employer’s handbook, policies and practices, contradictory explanations, subjective belief, employee’s reasonable expectations; employment contract, implied contract, termination of employment, employer-employee relationship, employment at will; summary judgment, remand for trial
Controlling law. As you can see from the long collection of key words and phrases above, this important case involves many concepts of employment law and very specific and detailed facts. All of that means that “briefing” would run the risk of possibly omitting important factors, so the case ought to be read in its entirety. It demonstrates the importance of warning and counseling employees promptly when their performance is deficient, plus the importance of adequately documenting that entire process before taking an adverse employment action against the employee. Further, employers must be fully aware of all of their relevant written policies and their possible implications, as well as their actual practices that may vary those policies.
West v. Washington Tru Solutions, L.L.C., No. 28,443, 2010-NMCA-001 (7/30/09); Certiorari Denied, No. 31,903, November 23, 2009; http://www.nmcompcomm.us/nmcases/NMCA/2010/10ca-001.pdf [enhanced lexis.com version].
Chris West was a management-level employee for many years, and the New Mexico Court of Appeals summed up the case as follows:
{2} . . . In June 2001, Employer decided to merge Employee’s department with another department and replace Employee as manager of communications. Employee was reassigned to a position in another department. Although Employee received the same pay in his new position, he no longer had any employees to manage, and he perceived the move to have been a demotion. On August 23, 2002, Employer informed Employee that Employee would receive a salary for two more months while he looked for another job. Employer asserted that it took this action because there was not enough work for Employee in his new position.
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