Holladay v. Rockwell Collins, Inc.
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Opinion
STEPHANIE M. ROSE, JUDGE UNITED STATES DISTRICT COURT
Before the Court are the parties' cross-motions for summary judgment, [ECF Nos. 33; 35]. The parties requested a hearing on their motions, but the Court finds that the issues can be resolved without it. See LR 7(c). The parties' motions have been fully submitted and are ready for a decision. For the reasons set out below, the motions are DENIED.
I. BACKGROUND1
Defendant Rockwell Collins, Inc. (the "Company") is a publicly owned company that produces communication and aviation electronic solutions for both commercial and government applications. [ECF No. 35-1 ¶ 1].2 Defendant hired Plaintiff Jennifer *852Holladay as an assembly operator at its Coralville, Iowa, plant on May 29, 2007, where she was employed until her termination on July 21, 2016. Id. ¶ 2; [ECF No. 34-1 ¶ 52]. While employed with the Company, Plaintiff was a member of the collective bargaining unit at the Coralville plant represented by Local Union No. 1634 of the International Brotherhood of Electrical Workers ("Local 1634"). [ECF No. 35-1 ¶ 3].
Defendant and Local 1634 were parties to a collective bargaining agreement (the "CBA") effective from May 4, 2013, through May 4, 2018. Id. ¶ 4. Article XX of the CBA governs leaves of absence. It states, in relevant part:
All leaves of absence shall be requested in writing and approved or disapproved in writing by the COMPANY. A request for leave of absence in writing is required for all absenteeism extending beyond three (3) consecutive days. Except as stated below, leaves of absences for sudden and unforeseen illness or accident, shall be granted automatically to seniority employees.
Section 1. Illness or Accident : Employees who are absent because of unforeseen illness or accident must apply for formal leave in writing as soon as practical.... Adequate proof must be presented by the employee, or a member of the employee's family on his/her behalf, that it was physically impossible for the employee to contact the COMPANY for consideration of a leave of absence or no automatic leave may be assumed and the employee shall be deemed to be absent without authorization.
....
Any employee, who is known to be ill, supported by satisfactory evidence, will be granted a [medical leave of absence] automatically, provided he/she complied with the above.
[ECF No. 36 at 5]. The excerpt of the CBA in the record does not state the consequences of failing to follow the procedures in Article XX. Likewise, the excerpt does not explain what constitutes "[a]dequate proof" that an employee could not contact the Company, the form of written leave for approval, or how to determine whether a request for leave has been made "as soon as practical."
The parties submitted several of Defendant's business records detailing policies that appear to, collectively, set out Defendant's leave of absence policy. The "Coralville Operations Attendance Policy" states that "[a]bsences beyond 3 consecutive working days without an approved leave of absence are considered a voluntary quit (AWOL)." Id. at 11. In the case of unforeseen medical absences, a "Medical Absences-Roles & Responsibilities" policy instructs employees to: (1) "[n]otify your *853facilitator of your absence"; (2) "[p]rovide a doctor's statement with the length of absence to your facilitator for proper coding of absence"; and (3) "[i]f you are unable to return to work on the 4th day, a doctor's statement is required by the beginning of the 4th day." Id. at 7. For medical absences exceeding three consecutive days, employees must "[c]ontact Health Services to initiate a medical leave of absence (MLOA).... A doctor's statement or completed Accident & Sickness [form]... must be received by Health Services or your facilitator by the beginning of the fourth day to excuse your absence and initiate your medical leave." Id. The parties agree these two policies were in place at the Coralville facility during the relevant time, but Plaintiff argues the evidence in the record is insufficient to determine whether Defendant actually followed these policies. See [ECF No. 37-2 ¶¶ 12-13].
As a member of Local 1634 (a "Collective Bargaining Employee") Holladay received and assented to a "Medical Leave of Absence Checklist." [ECF No. 35-1 ¶ 7]. For medical absences exceeding three consecutive days, Collective Bargaining Employees are instructed to "[c]ontact your Health Services ... and provide a medical statement ... from your physician no later than the start of your shift on the fourth day.... Failure to comply will result in you being AWOL (Absent without Leave), and will be terminated." [ECF No. 36 at 13]. The medical statement must contain: (1) the nature of the illness or injury; (2) the name of the employee's health care provider; (3) the date and time the employee last worked; (4) the expected date of return (if known); and (5) the name of the employee's supervisor. Id. The checklist stresses that "[p]hone calls are appreciated and are a courtesy, but not considered an approved leave of absence." Id. This point is further emphasized in a summary of the checklist, which states that a Collective Bargaining Employee "calling into their Manager or Health Services is NOT considered an Approved Medical Leave of Absence." Id. at 12. It adds, "if a [Collective Bargaining Employee] does NOT have the proper medical leave of absence statement from their Doctor to Health Services by the start of the employee's shift on the 4th day, the employee is considered AWOL ... and will be terminated." Id. Charles Holder, the business manager of Local 1634, testified in a deposition that the policy set out in the Medical Leave of Absence Checklist was consistently followed at the Coralville Plant. Id. at 83.
Plaintiff took leave under the Family Medical and Leave Act ("FMLA" or "the Act") in 2012 and 2015 for her own serious health condition. [ECF No. 35-1 ¶¶ 14-15, 18-19]. She also took approved FMLA leave in 2014 to care for one of her parents. Id. ¶¶16-17. On June 20, 2016, Plaintiff submitted to Defendant an "FMLA Request Form" for her own serious health condition. [ECF No. 36 at 19-21]. She described the condition as "recurrent migraines which are sporadic," and indicated that the dates on which she would require leave were unknown. Id. at 21. On June 29, 2016, Plaintiff submitted to Defendant a "Certification of Health Care Provider for Employee's Serious Health Condition" in support of her request for FMLA leave. Id. at 22-26. Plaintiff's physician, Dr. Ann Soenen, completed the certification. Id. at 25. Dr. Soenen described Plaintiff's condition as "intractable migraines" and indicated she would "need to attend follow-up treatment appointments or work part-time or on a reduced schedule." Id. at 24-25. She estimated that this reduced schedule would consist of one or two hours per day, one day per week, from June 16, 2016, through December 16, 2016. Id. at 25. Dr. Soenen also estimated that, over the subsequent six months, Plaintiff would suffer *854from flare-ups two-to-three times per month, and would be incapacitated for one-to-two days per episode.
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STEPHANIE M. ROSE, JUDGE UNITED STATES DISTRICT COURT
Before the Court are the parties' cross-motions for summary judgment, [ECF Nos. 33; 35]. The parties requested a hearing on their motions, but the Court finds that the issues can be resolved without it. See LR 7(c). The parties' motions have been fully submitted and are ready for a decision. For the reasons set out below, the motions are DENIED.
I. BACKGROUND1
Defendant Rockwell Collins, Inc. (the "Company") is a publicly owned company that produces communication and aviation electronic solutions for both commercial and government applications. [ECF No. 35-1 ¶ 1].2 Defendant hired Plaintiff Jennifer *852Holladay as an assembly operator at its Coralville, Iowa, plant on May 29, 2007, where she was employed until her termination on July 21, 2016. Id. ¶ 2; [ECF No. 34-1 ¶ 52]. While employed with the Company, Plaintiff was a member of the collective bargaining unit at the Coralville plant represented by Local Union No. 1634 of the International Brotherhood of Electrical Workers ("Local 1634"). [ECF No. 35-1 ¶ 3].
Defendant and Local 1634 were parties to a collective bargaining agreement (the "CBA") effective from May 4, 2013, through May 4, 2018. Id. ¶ 4. Article XX of the CBA governs leaves of absence. It states, in relevant part:
All leaves of absence shall be requested in writing and approved or disapproved in writing by the COMPANY. A request for leave of absence in writing is required for all absenteeism extending beyond three (3) consecutive days. Except as stated below, leaves of absences for sudden and unforeseen illness or accident, shall be granted automatically to seniority employees.
Section 1. Illness or Accident : Employees who are absent because of unforeseen illness or accident must apply for formal leave in writing as soon as practical.... Adequate proof must be presented by the employee, or a member of the employee's family on his/her behalf, that it was physically impossible for the employee to contact the COMPANY for consideration of a leave of absence or no automatic leave may be assumed and the employee shall be deemed to be absent without authorization.
....
Any employee, who is known to be ill, supported by satisfactory evidence, will be granted a [medical leave of absence] automatically, provided he/she complied with the above.
[ECF No. 36 at 5]. The excerpt of the CBA in the record does not state the consequences of failing to follow the procedures in Article XX. Likewise, the excerpt does not explain what constitutes "[a]dequate proof" that an employee could not contact the Company, the form of written leave for approval, or how to determine whether a request for leave has been made "as soon as practical."
The parties submitted several of Defendant's business records detailing policies that appear to, collectively, set out Defendant's leave of absence policy. The "Coralville Operations Attendance Policy" states that "[a]bsences beyond 3 consecutive working days without an approved leave of absence are considered a voluntary quit (AWOL)." Id. at 11. In the case of unforeseen medical absences, a "Medical Absences-Roles & Responsibilities" policy instructs employees to: (1) "[n]otify your *853facilitator of your absence"; (2) "[p]rovide a doctor's statement with the length of absence to your facilitator for proper coding of absence"; and (3) "[i]f you are unable to return to work on the 4th day, a doctor's statement is required by the beginning of the 4th day." Id. at 7. For medical absences exceeding three consecutive days, employees must "[c]ontact Health Services to initiate a medical leave of absence (MLOA).... A doctor's statement or completed Accident & Sickness [form]... must be received by Health Services or your facilitator by the beginning of the fourth day to excuse your absence and initiate your medical leave." Id. The parties agree these two policies were in place at the Coralville facility during the relevant time, but Plaintiff argues the evidence in the record is insufficient to determine whether Defendant actually followed these policies. See [ECF No. 37-2 ¶¶ 12-13].
As a member of Local 1634 (a "Collective Bargaining Employee") Holladay received and assented to a "Medical Leave of Absence Checklist." [ECF No. 35-1 ¶ 7]. For medical absences exceeding three consecutive days, Collective Bargaining Employees are instructed to "[c]ontact your Health Services ... and provide a medical statement ... from your physician no later than the start of your shift on the fourth day.... Failure to comply will result in you being AWOL (Absent without Leave), and will be terminated." [ECF No. 36 at 13]. The medical statement must contain: (1) the nature of the illness or injury; (2) the name of the employee's health care provider; (3) the date and time the employee last worked; (4) the expected date of return (if known); and (5) the name of the employee's supervisor. Id. The checklist stresses that "[p]hone calls are appreciated and are a courtesy, but not considered an approved leave of absence." Id. This point is further emphasized in a summary of the checklist, which states that a Collective Bargaining Employee "calling into their Manager or Health Services is NOT considered an Approved Medical Leave of Absence." Id. at 12. It adds, "if a [Collective Bargaining Employee] does NOT have the proper medical leave of absence statement from their Doctor to Health Services by the start of the employee's shift on the 4th day, the employee is considered AWOL ... and will be terminated." Id. Charles Holder, the business manager of Local 1634, testified in a deposition that the policy set out in the Medical Leave of Absence Checklist was consistently followed at the Coralville Plant. Id. at 83.
Plaintiff took leave under the Family Medical and Leave Act ("FMLA" or "the Act") in 2012 and 2015 for her own serious health condition. [ECF No. 35-1 ¶¶ 14-15, 18-19]. She also took approved FMLA leave in 2014 to care for one of her parents. Id. ¶¶16-17. On June 20, 2016, Plaintiff submitted to Defendant an "FMLA Request Form" for her own serious health condition. [ECF No. 36 at 19-21]. She described the condition as "recurrent migraines which are sporadic," and indicated that the dates on which she would require leave were unknown. Id. at 21. On June 29, 2016, Plaintiff submitted to Defendant a "Certification of Health Care Provider for Employee's Serious Health Condition" in support of her request for FMLA leave. Id. at 22-26. Plaintiff's physician, Dr. Ann Soenen, completed the certification. Id. at 25. Dr. Soenen described Plaintiff's condition as "intractable migraines" and indicated she would "need to attend follow-up treatment appointments or work part-time or on a reduced schedule." Id. at 24-25. She estimated that this reduced schedule would consist of one or two hours per day, one day per week, from June 16, 2016, through December 16, 2016. Id. at 25. Dr. Soenen also estimated that, over the subsequent six months, Plaintiff would suffer *854from flare-ups two-to-three times per month, and would be incapacitated for one-to-two days per episode. Id.
Defendant approved Plaintiff's FMLA request in an "FMLA Designation Notice" dated June 29, 2016. Id. at 27. The notice approved Plaintiff for intermittent FMLA leave for her migraines for "1 to 2 hours per day for 6 months and for flare ups 2 to 3 times per month; up to 2 days in duration." Id. The Designation Notice instructed Plaintiff that "[i]f you are approved for flare ups, you must designate your leave as FMLA or [sic] any time you call in, otherwise your absences may count against the absence/attendance policy." Id. It also stated, "[i]f the absence(s) will be greater than 3 consecutive days regarding your own health condition, a medical leave of absence is required." Id.
Once the Company provides an employee with a Designation Notice that his or her FMLA leave is approved, that employee may identify an absence as FMLA leave by submitting a "Family Medical Leave Absence Identification Form" ("FMLA Absence Form") to his or her supervisor. [ECF No. 35-1 ¶ 26]. On that form, the employee lists the appropriate absence code, the date of the absence, and the amount of hours that should be treated as FMLA leave. See [ECF No. 36 at 31]. The FMLA Absence Form states that it should be completed and returned to the employee's supervisor for processing "within 2 business days of your return or receiving your designation letter." Id. Defendant states that its "sole requirement" for designating an absence as FMLA leave is the submission of the FMLA Absence Form. See [ECF No. 39 at 4].
From June 30, 2016, through July 15, 2016, Plaintiff was absent for all or part of eight work days. See [ECF No. 35-1 ¶ 35]. She took FMLA leave on June 30 (two hours), July 5 (eight hours), July 13 (eight hours) and July 14 (eight hours).3 Id. Other absences during this period included one full vacation day and two full sick days for a non-FMLA-related illness. See id.
Plaintiff was absent from work beginning Monday, July 18, 2016, and continuing through July 21, 2016. Id. ¶ 34. The parties agree that, on each of those days, Plaintiff left a voicemail in the early morning for her supervisor, Kathy Kooyman, to report her absence from work. See [ECF No. 37-2 ¶ 36]. However, the parties disagree as to any other details Plaintiff provided in those voicemails. In her deposition, Plaintiff testified that she said in her July 21 voicemail, "I had a migraine and I would not be in that day." [ECF No. 36 at 100-01]. In a subsequent affidavit, Plaintiff repeated her assertion as to the content of the July 21 voicemail, but added that "[o]f the voicemails I left between July 18 and July 20, I recall having specifically mentioned my migraine in one or two of the messages." Id. at 145.
According to Defendant, Plaintiff never specified migraines, and only stated she would be absent due to either an "illness" or "doctor's visits." [ECF No. 35-1 ¶ 36]. Kooyman testified in a deposition that she "write[s] down in a steno book when somebody calls in and what they leave." [ECF No. 36 at 115]. In connection with Plaintiff's *855absences on July 18-21, Kooyman wrote, "ill/out," "ill out," "DR," and "DR," respectively. Id. at 63. Plaintiff disagrees that these notes are determinative as to what Plaintiff said in the voicemails. Plaintiff observes that Kooyman testified during her deposition that she would write down what employees say in the voicemails "without too much description." Id. at 115. When asked directly if Plaintiff mentioned "migraine or headache at all" in the voicemails, Kooyman testified that she did not recall. Id.4
By the scheduled start of her shift at 6:00 a.m. on July 21, Plaintiff had not submitted a doctor's note for her absences on July 18-21. [ECF No. 35-1 ¶ 39]. At 7:35 a.m. on July 21, Plaintiff called the Company's Health Services Department and spoke to Nurse Kerry Much. Id. ¶ 41. Plaintiff asked Much if she could wait to submit a doctor's note for her absences until the next day, but Much advised her that a note was due "now." Id. At 9:25 a.m. that morning, Defendant's Health Services Department received doctor's notes regarding Plaintiff's absences on July 18-21. Id. ¶ 46. One note indicated that Plaintiff was seen for treatment on July 18, and stated that she could return to work on either July 19 or July 20. [ECF No. 36 at 62]. The second note, signed by Dr. Soenen, asked that Plaintiff be excused from work on July 20 and July 21 "due to illness," and stated that she could return to work on July 22. Id. at 61. Neither note specified the illness for which Plaintiff missed work.
Meanwhile, at approximately 8:00 a.m., Kooyman contacted Alisha Pedersen, a labor and employee relations specialist with Defendant's Human Resources Department. [ECF No. 35-1 ¶ 43]. Kooyman told Pedersen that Plaintiff had been absent three consecutive days and had not submitted a doctor's note prior to the start of her shift on the fourth day of absence. Id. Pederson passed this information on to Charles Holder. Id. ¶ 45.
After submitting her doctor's notes, Plaintiff called Kooyman. Id. ¶ 47. Defendant asserts that Plaintiff inquired on the call about her job status but did not state on the call that she intended to designate her absences on July 18-21 as FMLA leave. Id. ¶¶ 47-48. Plaintiff denies that she asked about her job status during that call, but does not deny that she failed on the call to state an intention to designate her absences as FMLA leave. See [ECF No. 37-2 ¶¶ 47-48].
Later on July 21, Pedersen sent an email to Amy Clefisch, an employee relations manager at the Company, and Mike Miller, a human resources business partner, informing them of Plaintiff's absences on July 18-21 and her failure to submit a doctor's note by the start of her shift on July 21. See [ECF No. 36 at 41]. She recommended that Plaintiff be terminated based on Article XX of the CBA and the Coralville Operations Attendance Policy.5 See id. Clefisch and Miller approved the proposed termination later that afternoon. See id. at 43. It is undisputed that, prior to Plaintiff's termination, Pedersen, Clefisch, and Miller were unaware of the June 29, *8562016 Designation Notice granting Plaintiff intermittent FMLA leave for her migraines. See [ECF No. 38-1 ¶¶ 28-51].
Later that day, Pederson and Holder called Plaintiff to notify her that her employment was terminated because "she did not follow established procedures regarding medical absences and attendance." [ECF No. 35-1 ¶ 49]. Defendant also alleges that at no point on the call did Plaintiff say her absences on July 18-21 qualified as FMLA leave. Id. ¶ 50. Plaintiff disputes this fact, noting that Holder testified during his deposition that he did not remember if Plaintiff "was asked for any explanation" on the call "or if she volunteered one." [ECF No. 36 at 85]. Plaintiff received a termination letter dated July 21, 2016, which explained, "Per Article XII Section 5 Termination of the IBEW 1634 contract with Rockwell Collins, your seniority and employment shall terminate if an employee is absent beyond three (3) consecutive working days without an approved leave of absence." Id. at 34. The letter said that Plaintiff was absent on July 18 and failed to report to work at the start of her shift on July 21. Id. The record does not include a copy of Article XII of the CBA, nor do the parties discuss in their briefs the relevance of this provision.
On July 22, 2016, Local 1634 filed a grievance on Plaintiff's behalf. [ECF No. 35-1 ¶ 52]. Defendant denied the grievance that same day. Id. ¶ 53. The denial, prepared by Kooyman, stated that Plaintiff was terminated for violating Article XX of the CBA, the Medical Absences-Roles and Responsibilities policy, and the Coralville Operations Attendance Policy. Id. ; see also [ECF No. 36 at 35]. The union did not appeal the denial. See [ECF No. 36 at 35].
Plaintiff commenced this action on October 19, 2017, by filing suit in the Iowa District Court for Johnson County. See [ECF No. 1-1]. Plaintiff asserted that Defendant interfered with her rights under the FMLA and, separately, retaliated against her for taking FMLA leave. See id. ¶¶ 19-20. Defendant removed to this Court on November 22, 2017. [ECF No. 1]. On April 11, 2018, the Court denied Defendant's Motion to Dismiss for lack of subject matter jurisdiction. See [ECF No. 22]. Thereafter, the parties stipulated that Plaintiff's claim "is a claim of interference with her substantive rights by denying the exercise of or attempt to exercise her rights under the [FMLA]." [ECF No. 30]. The parties completed discovery and filed the instant motions. Defendant seeks summary judgment in its favor on the merits, thus concluding this case. Plaintiff seeks summary judgment on the issue of Defendant's liability only, thus limiting any subsequent trial to the issue of Plaintiff's damages. See [ECF Nos. 33 at 2; 34 at 14].
II. STANDARD OF REVIEW
Summary judgment is proper when "the movant shows that there is no genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law." Fed. R. Civ. P. 56(a) ; Paulino v. Chartis Claims, Inc. ,
III. ANALYSIS
A. Standard for FMLA Interference Claims
An employer may not "interfere with, restrain, or deny the exercise of or the attempt to exercise, any right" under the FMLA.
In order to succeed on her FMLA interference claim, Plaintiff must show: (1) "she was eligible for FMLA leave"; (2) Defendant "was on notice of her need for FMLA leave"; and (3) Defendant "denied her benefits to which she was entitled under the FMLA." Hasenwinkel v. Mosaic ,
B. Notice
"A claim under the FMLA cannot succeed unless the plaintiff can show that [she] gave [her] employer adequate and timely notice of [her] need for leave ...." Chappell ,
1. Content of notice
[S]uch information may include that a condition renders the employee unable to perform the functions of the job; that the employee is pregnant or has been hospitalized overnight; whether the employee or the employee's family member is under the continuing care of a health care provider; if the leave is due to a qualifying exigency, that a military member is on covered active duty or call to covered active duty status (or has been notified of an impending call or order to covered active duty), that the requested leave is for one of the reasons listed in § 825.126(b), and the anticipated duration of the absence; or if the leave is for a family member that the condition renders the family member unable to perform daily activities or that the family member is a covered servicemember with a serious injury or illness; and the anticipated duration of the absence, if known.
Plaintiff argues "the uncontroverted evidence shows [she] reported her absences as due to her migraine headaches in compliance with
Defendant claims Plaintiff's notice was deficient even if she did cite migraines in the voicemails. See [ECF No. 39 at 1-2]. Defendant argues this information alone would not allow Kooyman to recognize the leave request as implicating the FMLA. Defendant notes that Plaintiff had worked only three days in July 2016 prior to her absence on July 18, and the reasons for those absences varied between vacation leave, FMLA leave, and non-FMLA sick leave. See [ECF No. 35-1 ¶ 35]. Defendant also notes that Kooyman "had no knowledge that migraines were the condition for which Holladay had requested intermittent FMLA leave." [ECF No. 39 at 2].
Employees must provide notice of their need for FMLA leave so that employers can determine if the Act actually applies to the leave request; generally, FMLA notice must contain information to that end. See
Defendant also argues that "[e]mployees ... have an affirmative duty to indicate both the need and the reason for the leave, and must let employers know when they anticipate returning to their position." Scobey v. Nucor Steel-Ark. ,
2. Compliance with other policies
Even if the content of an employee's notice satisfies the requirements of
When a Collective Bargaining Employee is absent from work for medical reasons, Defendant's policies require the employee to notify his or her manager of the absence. [ECF No. 36 at 7]. If the employee will be absent for at least four consecutive days, he or she must initiate a medical leave of absence with Defendant's Health Services Department. See
Plaintiff argues that, by requiring Plaintiff to obtain a medical leave of absence-and thus a doctor's note-for absences exceeding three consecutive days, Defendant has imposed on her a burden that is more onerous than permitted under FMLA regulations. As explained in more detail below, FMLA regulations generally limit the circumstances in which employers may seek medical information from an employee's health care provider. See generally
Plaintiff argues that Defendant's leave of absence policy violates, and otherwise conflicts with, the FMLA's provisions on certification and recertification. See [ECF No. 34 at 9-14]. Under the FMLA, an employer may require that an employee substantiate the need for FMLA leave by providing a certification from his or her health care provider. See
After initial certification, FMLA regulations allow an employer to seek recertification, but only on a limited basis. The general rule is that an employer may request recertification "no more often than every [thirty] days and only in connection with an absence by the employee."
*862§ 825.308(a). However, if the initial certification states that the minimum duration of the condition exceeds thirty days, the employer cannot request recertification before the expiration of that minimum period.
The FMLA and its regulations do not address the permissibility and effect of employer polices that require employees to submit doctor's notes in connection with medical absences. In their briefs, the parties do not cite, and the Court has not identified in its own research, any appellate authority addressing whether doctor's note policies conflict with or violate the FMLA. Nor does it appear that any federal district court within the Eighth Circuit has taken up the issue. However, several federal district courts outside of this circuit have considered such policies, and the weight of those authorities have found that doctor's note policies do conflict with the FMLA's provisions on certification and recertification.
For example, in Marrero v. Camden County Board of Social Services , the defendant's policy handbook and the relevant union contract required employees to "provide a doctor's certificate for any absences in excess of five consecutive days."
*863Courts have also found the Act's recertification regulations apply to doctor's note policies when an employer has already approved an initial FMLA certification. Like the Marrero court, some of those courts based their decisions on the alignment between the respective aims of the doctor's note policies and FMLA regulations. See Smith v. CallTech Commc'ns, LLC , No. 2:07-cv-144,
Other courts, however, have found more broadly that doctor's note policies conflict with a clear intent in the Act and its regulations to limit the medical information employers can request in connection with FMLA leave. See Jackson v. Jernberg Indus., Inc. ,
Nevertheless, the court found that the doctor's note policy conflicted with the FMLA and interfered with the plaintiff's rights under the Act. The court reasoned that the FMLA and its regulations "show an intent to limit medical verification to certification and recertification as delineated."
The Court finds that the FMLA governs Defendant's leave of absence policy as applied to employees who: (1) have submitted a valid FMLA certification; (2) have received approval by Defendant for intermittent FMLA leave; and (3) have otherwise given Defendant sufficient notice under the Act of their need for FMLA leave. There is a clear intent in the FMLA and its regulations to limit the frequency with which an employer can request information from an employee's health care provider. In no provision is this more apparent than in
As one noteworthy example of the balance the DOL sought when implementing the recertification regulations, an employer may generally only request recertification of long-term conditions every six months. See
If not subject to the FMLA's regulations on recertification, intermittent medical verifications could upset this balance and erode an employee's protections under the Act. Employers would be allowed to circumvent the recertification regime's limitations on the frequency with which they can request information from an employee's health care provider, thus potentially exposing employees to the financial and other burdens the regime is meant to avoid. Employers could also demand that employees provide such information in fewer than fifteen days. See
*865Defendant asserts "the doctor's note required by the Rockwell Collins policy is no more than a common sense means to obtain information about an employee's leave in the unusual situation when the absence has lasted more than three consecutive days." [ECF No. 38 at 17].12 But, per Defendant's policies, the doctor's note must contain the following information: (1) the nature of the illness or injury; (2) the name of the employee's health care provider; (3) the date and time the employee last worked; (4) the expected date of return (if known); and (5) the name of the employee's supervisor. [ECF No. 36 at 13]. This information is strikingly similar to the information employers may request during recertification. Such information includes, in relevant part: "[a] statement or description of appropriate medical facts regarding the patient's health condition for which FMLA leave is requested"; "[t]he name ... of the health care provider"; "[t]he approximate date on which the serious health condition commenced, and its probable duration." See
Defendant also argues that the doctor's note it requires as part of its leave of absence policy cannot be a recertification because "it is significantly more limited in scope and medical detail" than a recertification containing all of the information listed in
Defendant tries to distinguish the present case from Jackson and related cases by stressing that its leave of absence policy "does not require 'intermittent verifications' as a condition of receiving intermittent FMLA leave." [ECF No. 38 at 15]. Although that may be the case for absences of up to three consecutive days, Plaintiff's June 29, 2016 FMLA Designation Notice states, "[i]f the absence(s) will be greater than 3 consecutive days regarding your own health condition, a medical leave of absence is required. " [ECF No. 36 at 27] (emphasis added). A doctor's note is required to initiate a medical leave of absence.
Thus, to the extent Plaintiff otherwise provided notice of her need for FMLA leave-and the Court has already found there is a genuine factual dispute as to this issue-Defendant was required to give her at least fifteen calendar days to comply with a request for a doctor's note. See
Even if the doctor's note element of Defendant's leave of absence policy cannot be viewed as a recertification request, uncertainty remains as to the interaction between FMLA leave and Defendant's leave of absence policy. Notably, Pedersen testified at her deposition that approved FMLA leave could be considered an approved leave of absence, but provided no further details. See [ECF No. 36 at 139]. Plaintiff seizes on this statement to argue that she complied with the leave of absence policy. See [ECF No. 37-1 at 11-13]. Defendant tries to clarify the relationship between the policy and the FMLA by giving an unhelpful example that does not involve intermittent leave. See [ECF No. 39 at 4-5]. This genuine factual dispute as to whether Plaintiff complied with the leave of absence policy also makes summary judgment on the issue of Plaintiff's FMLA notice inappropriate.15
3. Conflict with certification, failure to clarify
Defendant asserts two additional grounds on which Plaintiff's notice was legally deficient. First, Defendant argues that the notice was inadequate because "the period of absence-four consecutive days-significantly differed from the absences authorized in her Certification and the intermittent FMLA leave she had previously taken pursuant to this Certification." [ECF No. 38 at 10]. Plaintiff's certification stated that she would need a *867reduced schedule of one or two hours per day, one day per week, for a period of six months; and that she would suffer from flare-ups two-to-three times per month, for one-to-two days per episode. [ECF No. 36 at 25].
Defendant cites Chappell v. Bilco Co. ,
The United States Court of Appeals for the Eighth Circuit found that the plaintiff failed to give the defendant timely and adequate notice of his need for FMLA leave. See
Chappell is immediately distinguishable from the instant case because Plaintiff, unlike the plaintiff in Chappell , alleges that she was absent due to the condition for which she obtained FMLA certification. The Court disagrees with Defendant that Chappell should be extended to cover situations where the duration of an employee's absence, rather than the reason therefore, conflicts with the certification. FMLA regulations prescribe the redress available to employers in such situations and offer an example that is substantially similar to the facts of this case:
(a) 30-day rule. An employer may request recertification no more than every 30 days and only in connection with an absence by the employee, unless paragraphs (b) or (c) of this section apply.
....
(c) Less than 30 days. An employer may request recertification in less than 30 days if:
....
(2) Circumstances described by the previous certification have changed significantly (e.g., the duration or frequency of the absence, the nature or severity of the illness, complications). For example, if a medical certification stated that an employee would need leave for one to two days when the employee suffered a migraine headache and the employee's absences for his or her last two migraines lasted four days each, then the increased duration of absence might constitute a significant change in circumstances allowing the employer to request a recertification in less than 30 days.
*868
Finally, Defendant argues Plaintiff provided inadequate notice because "an employee bears responsibility for clarifying the situation with his employer where he believes he requested intermittent FMLA leave but is terminated for failure to show up for work under company policy." [ECF No. 35-2 at 14]. In support of this view, Defendant relies on Ballato v. Comcast Corp. ,
The plaintiff alleged that the defendant interfered with his rights under the Act by "failing to record his request for FMLA leave on June 5, and he was subsequently terminated, in part, for not calling in or showing up for his shift that day."
Defendant argues Plaintiff did not state in her July 18-21 voicemails to Kooyman that her absences qualified as FMLA leave, nor did she make such a claim during her call with Kooyman at 9:30 a.m. on July 21, or on her call with Pedersen and Holder later that afternoon. [ECF No. 35-2 at 15]. Defendant also asserts Plaintiff gave no reason in her subsequent conversations with her union representative for her failure to turn in a doctor's note.
The Court finds the instant case distinguishable from Ballato because Defendant actually terminated Plaintiff on July 21. The Ballato court found that the defendant was not liable for FMLA interference because the plaintiff "was not fired [on the day he sought FMLA leave] and he still had the responsibility to clarify the situation, request FMLA leave, or show up for his subsequent shifts." Ballato ,
C. Entitlement to Benefits
Defendant argues that Plaintiff cannot establish the third element of her prima facie case-whether Defendant denied her benefits to which she was entitled under the FMLA. Hasenwinkel ,
D. Unrelated Reason for Termination
Defendant argues that, even if Plaintiff has made out a prima facie case of FMLA interference, Defendant terminated her "because her failure to provide a doctor's note prior to the start of her shift on the fourth day of her absence violated Rockwell Collins' established procedures regarding medical absences and attendance." [ECF No. 35-2 at 19]. Defendant adds that its "policy on this point was clear and reinforced in Article XX of the CBA, the Medical Absences-Roles & Responsibilities policy, and the Coralville Operations *870Attendance Policy."
The Eighth Circuit has held that "every discharge of an employee while she is taking FMLA leave interferes with an employee's FMLA rights," but "an employer who interferes with an employee's FMLA rights will not be liable if the employer can prove it would have made the same decision had the employee not exercised the employee's FMLA rights." Bacon v. Hennepin Cty. Med. Ctr. ,
The Eighth Circuit held that "[b]ecause [the plaintiff] was terminated for failing to comply with [the defendant's] call-in policy, and she would have been terminated for doing so irrespective of whether these absences were related to FMLA leave, the district court correctly held she did not state an interference claim under the FMLA."
The Court agrees with Defendant that the overarching principle in Bacon is applicable-Defendant is not liable under the Act if it can show it would have terminated Plaintiff's employment for reasons unrelated to her FMLA leave. But one of the Eighth Circuit's key findings in reaching its decision in Bacon is distinguishable from the instant case. The Eighth Circuit's holding was premised, in part, on the fact that the call-in policy at issue was permissible under FMLA regulations allowing an employer to "require an employee on FMLA leave to report periodically on the employee's status and intent to return to work."
In contrast, and as already discussed, Defendant's leave of absence policy conflicts with the FMLA's recertification regulations to the extent Plaintiff notified Kooyman in her voicemails that her absences were due to migraines. Thus, like the notice issue, the issue of Defendant's unrelated reason for terminating Plaintiff turns on the content of Plaintiff's July 18-21 voicemails. If Plaintiff attributed her absences to migraines, Defendant's leave of absence policy impermissibly required *871Plaintiff to provide a doctor's note sooner than the fifteen day-period prescribed by the FMLA regulations. In that case, Defendant cannot rely on the policy as an unrelated basis for Plaintiff's termination. If, however, Plaintiff did not cite her migraines in the voicemails, the undisputed evidence in the record shows Defendant terminated Plaintiff on the basis of its leave of absence policy, not Plaintiff's exercise of her rights under the FMLA. Notably in this regard, the record shows-and the parties do not dispute-that when the relevant individuals decided to terminate Plaintiff's employment with the Company, they were unaware that she had been approved for intermittent FMLA leave. See [ECF No. 38-1 ¶¶ 28-51].
A factual dispute remains as to the content of Plaintiff's July 18-21 voicemails. Defendant asserts no other grounds on which it terminated Plaintiff.18 Thus, summary judgment on this issue-for either party-is inappropriate.
IV. CONCLUSION
For the foregoing reasons, the parties' cross-motions for summary judgment, [ECF Nos. 33; 35] are DENIED.
IT IS SO ORDERED.
Related
Cite This Page — Counsel Stack
357 F. Supp. 3d 848, Counsel Stack Legal Research, https://law.counselstack.com/opinion/holladay-v-rockwell-collins-inc-iasd-2019.