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Abbreviated Table of Contents
Chapter One:
Federal Statutes Prohibiting Discrimination
Chapter Two: Theories and Proof of Discrimination
Chapter Three: Related State Torts
Chapter Four: Case Evaluation
Chapter Five: Pleading
Chapter Six: Discovery
Chapter Seven: Expert Witnesses
Chapter Eight: Summary Judgment Practice and Procedure
Chapter Nine: Pre-Trial Procedures and Documents
Chapter Ten: Resolution Without Trial
Expanded Table of Contents
Chapter One: Federal Statutes Prohibiting Discrimination
I. INTRODUCTION
II. TITLE VII OF CIVIL RIGHTS ACT OF 1964
A. Overview of Statute [§1:01]
1. Protected Categories [§1:02]
2. Prohibited Conduct [§1:03]
3. Categories Not Protected [§1:04]
a. Sexual Orientation [§1:05]
b. Marital and Parental Status [§1:06]
c. Political Affiliation [§1:07]
d. Age and Disability [§1:08]
e. Transsexualism and Transvestites [§1:09]
B. Protected Categories [§1:10]
1. Race and Color [§1:11]
a. Overview [§1:12]
b. Skin Color [§1:13]
c. Immutable Race-Linked Characteristics [§1:14]
d. Grooming and Cultural Identification [§1:15]
e. Stereotypical Assumptions [§1:16]
f. Segregation by Race [§1:17]
g. Selection Criteria With Adverse Impact on Race [§1:18]
h. Association [§1:19]
i. Harassment [§1:20]
2. Religion [§1:21]
a. Religion Defined [§1:22]
(1) Strongly Held Belief [§1:22.1]
(2) Membership in Religious Group Not Required [§1:22.2]
(3) Atheism Protected [§1:22.3]
b. Discrimination [§1:23]
(1) Overview [§1:23.1]
(2) BFOQ Defense [§1:23.2]
c. Reasonable Accommodation [§1:24]
d. Harassment [§1:25]
3. Sex [§1:26]
a. Overview [§1:27]
b. Stereotypical Assumptions [§1:28]
c. EEOC Guidelines [§1:29]
(1) Courts Agree With EEOC [§1:29.1]
(2) Compare: Grooming Policy Not Illegal Sex Stereotyping?
[§1:29.2]
d. Segregation and Classification [§1:30]
e. Pregnancy, Childbirth and Related Medical Conditions [§1:31]
f. Association [§1:32]
g. Harassment [§1:33]
h. Gender and “Bona Fide Occupational Qualification” Defense
[§1:34]
(1) Overview [§1:34.1]
(2) EEOC Takes Restrictive View [§1:34.2]
(3) Courts Take Restrictive View [§1:34.3]
(4) Three Elements [§1:34.4]
(5) Theories Under Which Gender BFOQ Defense Upheld [§1:34.5]
4. National Origin [§1:35]
a. National Origin Defined [§1:36]
(1) Interpreted Broadly [§1:36.1]
(2) Objective Appearance [§1:36.2]
(3) “Nation” Status Not Required [§1:36.3]
b. Prohibited Conduct [§1:37]
(1) Association [§1:37.1]
(2) Citizenship [§1:37.2]
[§§1:38 - 1:44 Reserved]
C. Covered Parties [§1:45]
1. Employers [§1:46]
a. Statutory Definition [§1:47]
b. Requisite Number of Employees [§1:48]
c. Employers Not Covered by Title VII [§1:49]
(1) United States [§1:49.1]
(2) Indian Tribes [§1:49.2]
(3) District of Columbia [§1:49.3]
(4) Private Membership Clubs [§1:49.4]
(5) Religious Institutions [§1:49.5]
(6) Educational Institutions [§1:49.6]
(7) In Practice: Foreign Employers Doing Business in U.S.
Effectively Exempt [§1:49.7]
2. Employees [§1:50]
a. General Rule: All Employees/Applicants of Covered Employer
[§1:51]
b. Exceptions to General Rule [§1:52]
c. “Employee” Defined [§1:53]
(1) Who Is Not an Employee? [§1:53.1]
(2) Individual Employed by Employer [§1:53.2]
(3) Shareholders and Directors [§1:53.3]
(4) Title Not Determinative [§1:53.4]
3. Individual Liability [§1:54]
D. Procedural Requirements [§1:55]
1. Exhaustion of Administrative Remedies [§1:56]
a. When Must EEOC Charge Be Filed? [§1:56.1]
b. Where Must EEOC Charge Be Filed? [§1:56.2]
c. What Information Should Be Included in EEOC Charge? [§1:56.3]
(1) Suing Party Not Named in EEOC Charge [§1:56.4]
(2) Suing on Basis Not Listed in EEOC Charge [§1:56.5]
2. Statute of Limitations [§1:57]
E. Remedies [§1:58]
1. Available Relief [§1:59]
2. Damages Caps [§1:60]
[§§1:61 - 1:69
Reserved]
III. AGE DISCRIMINATION IN EMPLOYMENT ACT OF 1967
A. Overview of Statute [§1:70]
1. Prohibited Conduct [§1:71]
2. Theories of Age Discrimination [§1:72]
B. Scope of Coverage [§1:73]
1. Protected Category: 40 Years of Age or Older [§1:74]
2. Covered Parties [§1:75]
a. Employers [§1:76]
(1) General Rule: Employers with 20 or More Employees [§1:76.1]
(2) Exemptions From General Rule [§1:76.2]
(3) States Not Covered [§1:76.3]
b. Employees and Applicants [§1:77]
(1) Common Law Agency Test [§1:77.1]
(2) State Office Holders Not Covered [§1:77.2]
(3) High Level Executives May Not Be Covered [§1:77.3]
C. Procedural Requirements [§1:78]
1. Exhaustion of Administrative Remedies [§1:79]
2. Statute of Limitations [§1:80]
D. Remedies [§1:81]
1. Available Damages [§1:82]
2. Damages Not Available [§1:83]
3. Attorney’s Fees [§1:84]
[§§1:85 - 1:89
Reserved]
IV. AMERICANS WITH DISABILITIES ACT OF 1990
A. Introduction [§1:90]
B. Covered Conduct [§1:91]
1. Discrimination [§1:92]
a. Qualified Individual With Disability [§1:92.1]
b. Failure to Train [§1:92.2]
c. Harassment [§1:92.3]
d. Association [§1:92.4]
e. Application Process [§1:92.5]
f. Medical Examinations [§1:92.6]
2. Reasonable Accommodation [§1:93]
3. Retaliation [§1:94]
4. Coercion or Interference [§1:95]
C. Covered Parties [§1:96]
1. Employers [§1:97]
a. Statutory Definition [§1:98]
b. Exemptions From Statutory Definition [§1:99]
c. Eleventh Amendment Preclusion [§1:100]
2. Supervisors/Managers [§1:101]
3. Employees [§1:102]
D. Disability [§1:103]
1. Statutory Definitions [§1:104]
2. Mitigating Measures [§1:105]
a. Consider in Determining Disability Status [§1:106]
b. Consider Harmful and Helpful Effects [§1:107]
c. Relation to “Substantially Limiting” [§1:108]
[§§1:109 - 1:114 Reserved]
E. Impairment [§1:115]
1. Actual Impairment [§1:116]
a. Record of Impairment [§1:117]
b. Regarded as Having Impairment [§1:118]
2. Major Life Activities [§1:119]
F. Substantially Limits [§1:120]
1. In General [§1:121]
2. Major Life Activity of “Working” [§1:122]
a. Substantially Limited in Relation to Broad Range of Jobs
[§1:123]
b. Supreme Court Decisions Limit “Working” as “Life Activity”
[§1:124]
(1) Sutton v. United Air Lines, Inc. [§1:124.1]
(2) Murphy v. United Parcel Service, Inc. [§1:124.2]
(3) In Practice: Difficult to Establish Disability Based on
“Working” as “Life Activity” [§1:124.3]
3. Individualized Assessment [§1:125]
G. Qualified Individual [§1:126]
1. Defined [§1:127]
2. Reasonable Accommodation [§1:128]
a. Defined [§1:129]
b. Interactive Process [§1:130]
(1) Employer’s Duty to Initiate Upon Notice of Disability
[§1:130.1]
(2) Both Parties Have Duty to Participate [§1:130.2]
(3) Four-Step Process [§1:130.3]
(4) Effect of Failure or Refusal to Participate [§1:130.4]
3. Essential Functions [§1:131]
H. Procedural Requirements [§1:132]
1. Exhaust Administrative Remedies [§1:133]
2. Statute of Limitations [§1:134]
I. Remedies [§1:135]
1. Damages Available [§1:136]
2. Limits on Damages [§1:137]
3. Attorney’s Fees [§1:138]
J. Affirmative Defenses [§1:139]
1. Undue Hardship [§1:139.1]
2. Direct Threat [§1:139.2]
[§§1:140 - 1:145
Reserved]
V. THE EQUAL PAY ACT
A. Basic Points [§1:146]
1. Prohibits Unequal Pay for Equal Work [§1:147]
2. Affirmative Defenses [§1:148]
3. Remedies [§1:149]
B. Covered Conduct [§1:150]
1. Gender-Based Wage Discrimination [§1:151]
a. Lower Wages for Equal Work [§1:152]
b. Wages [§1:153]
c. Employees of Opposite Sex [§1:154]
d. Same Establishment [§1:155]
e. Equal Work [§1:156]
(1) Equal Jobs, Not Identical Jobs [§1:156.1]
(2) Factors Considered [§1:156.2]
f. Compare: Other Forms of Gender-Based Discrimination Not
Covered [§1:157]
2. Affirmative Defenses [§1:158]
a. Seniority, Merit and Incentive Systems [§1:159]
b. Any Factor Other Than Gender [§1:160]
(1) Education, Experience, Training or Ability [§1:160.1]
(2) Training Program [§1:160.2]
(3) Shift Differentials [§1:160.3]
(4) Job Classification System [§1:160.4]
(5) “Red Circle” Rates and Temporary Reassignments [§1:160.5]
(6) Revenue Production [§1:160.6]
(7) Market Factors [§1:160.7]
(8) Part-Time/Temporary Positions [§1:160.8]
(9) Mistake or Error [§1:160.9]
(10) Strict Liability [§1:160.10]
3. Retaliation [§1:161]
4. Reducing Pay to Comply With EPA [§1:162]
C. Covered Parties [§1:163]
1. Employers [§1:164]
2. Employees [§1:165]
3. Individual Liability [§1:166]
D. Procedural Requirements [§1:167]
1. Exhaust Administrative Remedies [§1:168]
2. Statute of Limitations [§1:169]
[§§1:170 - 1:175
Reserved]
VI. FAMILY AND MEDICAL LEAVE ACT OF 1993
A. Overview [§1:176]
1. What Is Prohibited? [§1:177]
2. What Is Required? [§1:178]
3. Exceptions [§1:179]
4. Available Remedies [§1:180]
B. Scope of Coverage [§1:181]
1. Covered Conduct [§1:182]
a. Serious Health Condition [§1:183]
(1) Inpatient Care [§1:183.1]
(2) Continuing Treatment by Health Care Provider [§1:183.2]
b. To Care For [§1:184]
c. Health Care Provider [§1:185]
d. Impairments That Are Not Serious Medical Conditions [§1:186]
e. Calculating Leave Period [§1:187]
2. Posting and Notice Requirements [§1:188]
a. Employer Posting Requirements [§1:189]
b. Employer Notice Requirements [§1:190]
c. Employee Notice Requirements [§1:191]
3. Covered Parties [§1:192]
a. Employers [§1:193]
(1) General Rule: 50 or More Employees [§1:193.1]
(2) Joint Employer / Integrated Employer [§1:193.2]
b. Individual Supervisors and Managers [§1:194]
c. Employees [§1:195]
C. Procedural Requirements [§1:196]
1. Exhaustion of Administrative Remedies [§1:197]
2. Statute of Limitations [§1:198]
a. Two Years Unless Willful Violation [§1:199]
b. “Willful” Defined [§1:200]
c. Pleading “Willfullness” [§1:201]
[§§1:202 - 1:209 Reserved]
VII. SECTION 1981 OF CIVIL RIGHTS ACT OF 1866
A. Covered Conduct [§1:210]
1. Discrimination Based on Race, Color [§1:211]
a. Arab-Americans [§1:212]
b. Jewish-Americans [§1:213]
c. Others [§1:214]
2. Discrimination Based on Alienage, Citizenship [§1:215]
3. Retaliation [§1:216]
4. Harassment [§1:217]
5. Association Discrimination [§1:218]
6. Compare: Conduct Not Prohibited [§1:219]
B. Covered Parties [§1:220]
1. Potential Defendants [§1:221]
a. Private Employers and State/Local Governments [§1:222]
b. Private Clubs [§1:223]
c. Individuals [§1:224]
2. Potential Plaintiffs: Applicants, Employees, Independent
Contractors [§1:225]
C. Procedural Requirements [§1:226]
1. Exhaustion of Administrative Remedies [§1:227]
2. Statute of Limitations [§1:228]
D. Remedies [§1:229]
1. Available Damages [§1:230]
[§§1:232 - 1:239
Reserved]
VIII. SECTION 1983 OF THE CIVIL RIGHTS ACT OF 1871
A. Overview [§1:240]
1. Prohibits Deprivation of Rights Secured by Law [§1:241]
2. Theories of Discrimination [§1:242]
B. Scope of Coverage [§1:243]
1. Employers [§1:244]
a. Local Governments and Their Officials [§1:245]
b. Private Employers Not Covered [§1:246]
c. Federal Government and Federal Officials Generally Not Covered
[§1:247]
d. States and State Agencies Not Covered [§1:248]
2. Employees, Independent Contractors and Others [§1:249]
C. Covered Conduct [§1:250]
D. Procedural Requirements [§1:251]
1. Exhaustion of Administrative Remedies [§1:252]
2. Statute of Limitations [§1:253]
E. Defenses [§1:254]
F. Remedies [§1:255]
1. Available Damages [§1:256]
2. Attorneys’ Fees [§1:257]
[§§1:258 - 1:260
Reserved]
IX. THE REHABILITATION ACT OF 1973
A. Overview [§1:261]
B. Scope of Coverage [§1:262]
1. Section 501 [§1:263]
a. Covers Executive Branch [§1:264]
b. Rights, Remedies and Procedures [§1:265]
2. Section 503 [§1:266]
a. Covers Federal Contractors and Subcontractors [§1:267]
b. Enforcement [§1:268]
3. Section 504 [§1:269]
a. Covers Recipients of Federal Financial Assistance [§1:270]
b. Exhaustion of Administrative Remedies Not Required [§1:271]
c. Available Damages [§1:272]
[§§1:273 - 1:275 Reserved]
X. IMMIGRATION REFORM AND CONTROL ACT OF 1986
A. Overview [§1:276]
B. Scope of Coverage [§1:277]
1. Covered Conduct [§1:278]
a. Discrimination in Hiring, Recruiting, Firing [§1:279]
b. Retaliation and Intimidation [§1:280]
c. Exemptions From Coverage [§1:281]
2. Covered Parties [§1:282]
a. Employers [§1:283]
b. Employees/Applicants [§1:284]
C. Procedural Requirements [§1:285]
a. Exhaustion of Administrative Remedies [§1:286]
b. Statute of Limitations [§1:287]
D. Remedies [§1:288]
1. Civil Penalties [§1:289]
2. Orders Requiring Employer to Act [§1:290]
3. Attorney’s Fees [§1:291]
[§§1:292 – 1:299
Reserved]
XI. Sarbanes-Oxley Act of 2002
A. Overview [§1:300]
B. Scope of Coverage [§1:301]
1. Covered Conduct [§1:302]
2. Covered Parties [§1:303]
a
Employers [§1:304]
b. Officers, Employees, Contractors, Subcontractors, and Other
Agents of Covered Company
[§1:305]
c. Applicants, Employees, Former Employees [§1:306]
C. Procedural Requirements [§1:307]
1. Administrative Action Sole Remedy Unless Secretary of
Labor Fails to Act [§1:308]
2. Form of Complaint [§1:309]
3. Where Complaint Must Be Filed [§1:310]
4.
Statute of Limitations [§1:311]
5. Investigation, Findings and Appeals [§1:312]
a. OSHA Investigation [§1:313]
b. OSHA Findings [§1:314]
c. Review of OSHA Findings [§1:315]
d. Hearing Before an ALJ [§1:316]
e. Appeal from ALJ Ruling [§1:317]
f. Motion for Reconsideration [§1:318]
g. Final Appeal to U.S. Courts of Appeal [§1:319]
D. Remedies [§1:320]
E. No Preemptive Effect [§1:321]
Chapter Two: Theories and Proof of Discrimination
I. Scope of
Chapter
II. Discrimination—Disparate Treatment
A. Basic Points [§2:01]
1. Defined [§2:02]
2. Three Analytical Methods of Proof—Overview [§2:03]
B. Circumstantial Evidence and Burden-Shifting Test [§2:04]
1. Basic Points [§2:05]
a. Equally Probative as Direct Evidence [§2:06]
b. Direct Evidence Rarely Available [§2:07]
c. Three-Pronged Analysis: Overview [§2:08]
2. McDonnell Douglas Corp. v. Green [§2:09]
a. Factual Background [§2:10]
b. Burden-Shifting Test [§2:11]
(1) Prima Facie Case [§2:11.1]
(2) Employer’s Burden to Articulate Legitimate, Nondiscriminatory
Reason for Adverse Employment
Action [§2:11.2]
(3) Plaintiff’s Burden to Prove Employer’s Articulated Reason Is
Pretextual [§2:11.3]
3. Texas Department of Community Affairs v. Burdine
[§2:12]
a. Factual Background [§2:13]
b. Clarification of Defendant’s Burden [§2:14]
c. Plaintiff’s Burden of Persuasion [§2:15]
4. St. Mary’s Honor Center [§2:16]
a. Pretext vs. Pretext-Plus [§2:17]
b. Factual Background [§2:18]
c. Supreme Court Opinion [§2:19]
(1) Reversing Eighth Circuit Opinion [§2:19.1]
(2) Contrary Language Throughout Opinion [§2:19.2]
d. The Aftermath—Confusion Reigns [§2:20]
5. Reeves v. Sanderson Plumbing Products [§2:21]
a. Factual Background [§2:22]
b. Supreme Court Opinion [§2:23]
[§§2:24 - 2:30 Reserved]
C. Direct Evidence of Discrimination [§2:31]
1. Rarely Available [§2:32]
2. Benefits of Direct Evidence [§2:33]
3. Direct Evidence Defined [§2:34]
a. Supreme Court Dicta Creates Confusion [§2:35]
b. Basic Definition Gives Way to Various Interpretations [§2:36]
(1) Admission by Decision-Maker [§2:36.1]
(2) Remarks by Participant in Adverse Employment Action That
Reflect Discriminatory
Attitude [§2:36.2]
[§§2:37 - 2:39 Reserved]
D. Mixed-Motive Cases [§2:40]
1. Overview [§2:41]
2. Price Waterhouse v. Hopkins [§2:42]
a. Factual Background [§2:43]
b. Mixed-Motive Analysis [§2:44]
3. The Civil Rights Act of 1991 [§2:45]
4. Desert Palace, Inc. v. Costa [§2:46]
E. Jury Instruction Issues [§2:47]
[§§2:48 - 2:51 Reserved]
III. Discrimination—Disparate Impact (Adverse Impact)
A. Overview [§2:52]
B. Important Background Cases and Statutes [§2:53]
1. Griggs v. Duke Power Co. [§2:54]
a. The Issue [§2:55]
b. Supreme Court Opinion [§2:56]
c. Lingering Issues [§2:57]
2. Albemarle Paper Co. v. Moody [§2:58]
a. Three-Part Test [§2:59]
b. Business Necessity [§2:60]
3. Dothard v. Rawlinson [§2:61]
4. Wards Cove Packing Co. v. Atonio [§2:62]
5. The Civil Rights Act of 1991 [§2:63]
C. Plaintiff’s Prima Facie Case [§2:64]
1. “Bottom Line” Argument [§2:65]
2. Statistical Evidence [§2:66]
a. “Four-Fifths Rule” [§2:67]
b. “Standard Deviation” Analysis [§2:68]
c. Other Mathematical Standards [§2:69]
3. Statistical Evidence Not Required [§2:70]
4. In Practice: Establishing Prima Facie Case of Disparate
Impact [§2:71]
D. Defendant’s Response [§2:72]
E. The Plaintiff’s Reply [§2:73]
[§§2:74 - 2:84 Reserved]
IV. Sexual Harassment
A. Overview [§2:85]
B. Seminal Background Cases [§2:86]
1. Meritor Savings Bank, FSB v. Vinson [§2:87]
a. Summary of Facts [§2:88]
b. Lower Court Rulings [§2:89]
c. Supreme Court Ruling [§2:90]
(1) Economic Harm Not Required [§2:90.1]
(2) Severe or Pervasive Conduct That Alters Conditions of
Employment [§2:90.2]
(3) “Voluntary” Conduct of Victim No Defense [§2:90.3]
(4) Agency Principles Determine Employer Liability [§2:90.4]
2. Harris v. Forklift Systems, Inc. [§2:91]
a. Summary of Facts [§2:92]
b. Lower Court Rulings [§2:93]
c. Supreme Court Ruling [§2:94]
3. Oncale v. Sundowner Offshore Services, Inc. [§2:95]
a. Summary of Facts [§2:96]
b. Lower Court Rulings [§2:97]
c. Supreme Court Ruling [§2:98]
(1) Same-Sex Harassment Actionable [§2:98.1]
(2) Title VII Not a General Civility Code [§2:98.2]
(3) Motivated by Other Than Sexual Desire [§2:98.3]
C. Types of Sexual Harassment Claims [§2:99]
1. Traditional Distinction: Quid Pro Quo and Hostile Work
Environment [§2:100]
2. After Faragher & Ellerth: Tangible Job Detriment
[§2:101]
[§§2:102 - 2:109 Reserved]
D. Elements of Sexual Harassment Claim [§2:110]
1. Tangible Employment Action Taken [§2:111]
a. Response to Sexual Advance Was Motivating Factor in
Employment Decision [§2:112]
b. Proof of Threatened Retaliation Not Necessary [§2:113]
c. Does Submission to a Demand for Sex Constitute a Tangible Job
Detriment? [§2:114]
2. No Tangible Employment Action Taken [§2:115]
a. Membership in Protected Classification [§2:116]
b. Unwelcome Harassment [§2:117]
(1) Sex-Based Conduct [§2:117.1]
(2) Unwelcome Conduct [§2:117.2]
c. Conduct Severe or Pervasive Enough to Create Hostile Work
Environment / Conduct Affected
Term, Condition, or Privilege of Employment [§2:118]
(1) Factors Considered [§2:118.1]
(2) Totality of Circumstances Test [§2:118.2]
d. Employer Liability [§2:119]
(1) Overview [§2:119.1]
(2) Faragher v. City of Boca Raton [§2:119.2]
(3) Burlington Industries, Inc. v. Ellerth [§2:119.3]
[§§2:120 - 2:129 Reserved]
V. Other Forms of Illegal Harassment
A. Race/Color/National Origin Harassment [§2:130]
1. Five-Prong Test [§2:131]
2. Ethnic or Racial Epithets [§2:132]
B. Harassment Based on Religion [§2:133]
C. Age Harassment [§2:134]
D. Disability Harassment [§2:135]
[§§2:136 - 2:139
Reserved]
VI. Reasonable Accommodation
A. Religion [§2:140]
1. Basic Points and Definitions [§2:141]
2. Two-Part Analysis [§2:142]
a. Proof of Prima Facie Case Shifts Burden to Employer
[§2:143]
b. Employee’s Duty to Inform [§2:144]
c. Employer’s Duty to Accommodate [§2:145]
(1) Reasonable Based on Facts of Case [§2:145.1]
(2) Seniority Systems [§2:145.2]
3. Examples [§2:146]
a. Accommodation Found Reasonable [§2:147]
b. Accommodation Found Not Reasonable [§2:148]
B. Disability [§2:149]
1. Basic Points [§2:150]
2. Categories of Reasonable Accommodation [§2:151]
3. Proving Affirmative Defenses [§2:152]
a. Undue Hardship [§2:152.1]
b. Direct Threat [§2:152.2]
4. Prima Facie Case [§2:153]
a. Basic Elements [§2:154]
b. Burden of Proof [§2:155]
(1) Courts’ Difficulty in Distinguishing “Reasonable
Accommodation” from “Undue Hardship”
[§2:155.1]
(2) Supreme Court Clarifies Burdens in U.S. Airways, Inc. v.
Barnett [§2:155.2]
[§§2:156 - 2:160 Reserved]
VII. Retaliation
A. Basic Principles [§2:161]
1. McDonnell Douglas Burden-Shifting Test [§2:161.1]
2. Prima Facie Case [§2:161.2]
3. Burden Shifts to Defendant [§2:161.3]
4. Proof of Pretext [§2:161.4]
5. Summary [§2:161.5]
B. Who Is Covered? [§2:162]
1. Plaintiff Must Be Employee [§2:162.1]
2. Partners and Independent Contractors Not Protected
[§2:162.2]
3. Defendant Must Be “Employer” [§2:162.3]
4. Defendant-Employer Need Not Be Employer Against Whom
Plaintiff Engaged in Protected
Activity [§2:162.4]
C. Protected Activity—Overview [§2:163]
D. Protected Activity—Participation Clause [§2:164]
1. “Participation” Defined [§2:164.1]
2. Is Good Faith Required? [§2:164.2]
3. Examples of Conduct That Are and Are Not Protected by
the “Participation” Clause [§2:164.3]
E. Protected Activity—Opposition Clause [§2:165]
1. “Opposition” Defined [§2:166]
a. Complaining [§2:166.1]
b. Merely Performing Job Duties and Responsibilities? [§2:166.2]
c. Refusal to Follow Discriminatory Instructions [§2:166.3]
d. Failure to Follow Discriminatory Instructions [§2:166.4]
2. How Much “Opposition” is Necessary? [§2:167]
a. Informal Opposition Sufficient [§2:167.1]
b. Plaintiff Complained Too Little [§2:167.2]
c. Plaintiff Complained Too Much [§2:167.3]
3. Is Good Faith Required? [§2:168]
a. What if Plaintiff Is Factually or Legally Wrong?
[§2:168.1]
b. Factors Determining Good Faith Opposition [§2:168.2]
F. Exception: Employer Liability Adverse Action Against Third Party
[§2:169]
G. Was Plaintiff Subjected to Adverse Employment Action? [§2:170]
1. Ultimate Employment Decisions [§2:171]
2. Recurring Proof Issues [§2:172]
a. Personnel Actions Generally Applicable to Many Employees
[§2:172.1]
b. Transfers [§2:172.2]
c. Work Assignments [§2:172.3]
d. Poor Performance Evaluations [§2:172.4]
e. Criticisms About Plaintiff’s Work Performance [§2:172.5]
f. Hostility and Ostracism [§2:172.6]
g. Miscellaneous [§2:172.7]
h. “Defensive Measures” Taken Against Plaintiff [§2:172.8]
3. Future Employment Opportunities [§2:173]
H. Causal Connection Between Protected Activity and Adverse Action
[§2:174]
1. “Causal Connection” Defined [§2:175]
2. Common Issues of Proof [§2:176]
a. Prior Knowledge [§2:176.1]
b. Temporal Proximity [§2:176.2]I. Employer’s Burden of Proof
[§2:177]
J. Employee’s Burden to Establish Pretext [§2:178]
K. Proof Sufficient to Dispel Inference of Retaliation [§2:179]
1. The Decision Was Made Prior to the Protected Activity
[§2:179.1]
2. Criticism of Plaintiff’s Performance Antedating Adverse
Employment Action [§2:179.2]
3. Intervening “Bad Acts” by the Employee [§2:179.3]
4. Intervening “Good Acts” That the Decision-Maker Does
for Plaintiff [§2:179.4]
L. Does Mixed-Motive Analysis Apply in Retaliation Cases? [§2:180]
VIII. Constructive Discharge
A. Overview [§2:181]
1. Purpose [§2:182]
2. Means of Establishing [§2:183]
3. Consequences [§2:184]
B. Elements of Constructive Discharge Claim [§2:185]
1. Two Theories of Proof: Overview [§2:186]
2. Theory 1: Intolerable Working Conditions [§2:187]
a. What Is “Intolerable”? [§2:188]
(1) More Than Unpleasant or Stressful [§2:188.1]
(2) So Intolerable That Reasonable Person Would Have Resigned
[§2:188.2]
(3) Multi-Pronged Test [§2:188.3]
(4) Fact-Specific Inquiry [§2:188.4]
b. Specific Employer Intent Requirement [§2:189]
(1) Minority View: Specific Intent Required [§2:189.1]
(2) Majority View: No Showing of Intent Required [§2:189.2]
c. Working Conditions Examined Cumulatively [§2:190]
d. Violation of Law Not Enough? [§2:191]
e. Placing Employer on Notice Before Resigning [§2:192]
(1) Notice Required [§2:192.1]
(2) Notice Not Required [§2:192.2]
3. Theory 2: Showing That Employer Communicated Employee Was
Not Wanted, Had No Future or
Would Be Terminated [§2:193]
C. Application of Constructive Discharge Principles to Harassment
Cases [§2:194]
1. Basic Points [§2:195]
2. Pennsylvania State Police v. Suders [§2:196]
Chapter Three: Related State Torts
I. Introduction
II. Rationales for Pleading Alternate Claims
A. Additional Basis for Liability [§3:01]
1. Minimize Likelihood of Dismissal at Summary Judgment
[§3:02]
2. Anticipating Developments in Discovery [§3:03]
B. Precaution Against Defects in Exhaustion of Administrative
Remedies [§3:04]
C. No Cap on Damages [§3:05]
D. Method to Include Additional Defendants [§3:06]
E. Method to Avoid Federal Diversity Jurisdiction [§3:07]
F. Additional Method to Obtain Discovery That Might Not Otherwise Be
Obtained [§3:08]
G. Additional Method to Ensure Admission of Evidence [§3:09]
[§§3:10 - 3:14
Reserved]
III. Wrongful Termination In Violation of Public Policy
A. Overview [§3:15]
1. General Rule: Employment at Will [§3:16]
2. Public Policy Exception [§3:17]
3. States Not Recognizing Public Policy Exception [§3:18]
B. Elements [§3:19]
1. Four Basic Elements [§3:20]
2. Fundamental Public Policy [§3:21]
a. Difficult to Define [§3:22]
b. Wrongful Termination Claims Limited by Nature and Scope of
Public Policy [§3:23]
c. Four General Categories of Violations [§3:24]
(1) Refusal to Commit an Illegal Act [§3:24.1]
(2) Performing Public Duty or Obligation [§3:24.2]
(3) Exercising Legal Right or Privilege [§3:24.3]
(4) Whistle-Blowing [§3:24.4]
[§§3:25 - 3:29 Reserved]
C. In Practice: Pleading Wrongful Termination in Violation of Public Policy
[§3:30]
D. Adverse Employment Action Short of Termination [§3:31]
E. Affirmative Defenses [§3:32]
1. Statute of Limitations [§3:33]
2. Workers’ Compensation Preemption [§3:34]
3. State Law Preemption [§3:35]
4. Federal Law Preemption [§3:36]
a. ERISA Preemption [§3:37]
(1) State Laws that Relate to Employee Benefit Plan [§3:37.1]
(2) Not a Sword Against All Wrongful Termination Claims [§3:37.2]
b. Labor Relations Statutes [§3:38]
(1) LMRA [§3:38.1]
(2) RLA [§3:38.2]
(3) NLRA [§3:38.3]
5. Other Sources of Preemption [§3:39]
a. National Bank Act [§3:40]
b. Friendship and Commerce Treaties [§3:41]
(1) Defense Bar Argues Preemption [§3:41.1]
(2) Plaintiff’s Response [§3:41.2]
F. Damages [§3:42]
1. Majority Rule: Tort Damages Apply [§3:43]
2. Minority Rule: Only Contract Damages Apply [§3:44]
[§§3:45 - 3:54
Reserved]
IV. Invasion of Privacy
A. Overview [§3:55]
1. Evolution of Right to Privacy [§3:56]
2. Most States Recognize Four-Pronged Tort [§3:57]
3. Minority of States Do Not Recognize Right to Privacy
[§3:58]
B. Elements [§3:59]
1. Misappropriation of Name or Likeness [§3:60]
a. Four Elements [§3:61]
b. Few Employment-Related Cases Succeed [§3:62]
c. Sample Misappropriation of Name or Likeness Allegations
[§3:63]
2. Unreasonable Intrusion Into Another’s Seclusion or Personal
Life [§3:64]
a. Two Elements [§3:65]
(1) Proof of Intent Not Required [§3:65.1]
(2) Employee Must Show Reasonable Expectation of Privacy
[§3:65.2]
b. Examples of “Intrusion” [§3:66]
c. Typical Employment-Related Fact Patterns [§3:67]
d. Sample Intrusion Into Another’s Seclusion or Personal Life
Allegations [§3:68]
3. Public Disclosure of Private Facts [§3:69]
a. Three Basic Elements [§3:70]
b. Some Courts Require an Intent Element [§3:71]
c. Majority of Courts Do Not Require Intent Element [§3:72]
d. What Constitutes “Public” Disclosure? [§3:73]
(1) To Public at Large [§3:73.1]
(2) Exception: Special Relationship With Persons to Whom Facts
Are Disclosed [§3:73.2]
e. Examples: Successful Employment-Related Public Disclosure
Claims [§3:74]
f. States Not Recognizing Disclosure of Private Facts [§3:75]
g. Sample Public Disclosure of Private Fact Allegations [§3:76]
4. False Light [§3:77]
a. Defined by Restatement [§3:78]
b. Sample Public False Light Allegations [§3:79]
C. Damages [§3:80]
1. General Rule [§3:81]
2. Nominal Damages [§3:82]
D. Affirmative Defenses [§3:83]
1. Statute of Limitations [§3:84]
2. Workers’ Compensation Preemption [§3:85]
3. Federal Law Preemption [§3:86]
4. Qualified Privilege [§3:87]
[§§3:88 - 3:94 Reserved]
V. Defamation
A. Overview [§3:95]
1. Defined [§3:96]
2. Common Employment-Related Fact Patterns [§3:97]
B. Elements [§3:98]
1. Overview [§3:99]
a. Four Basic Elements [§3:100]
b. Malice Required in Some Jurisdictions [§3:101]
c. Public Figure Plaintiff [§3:102]
2. False Statement of Fact [§3:103]
a. Mere Opinion Not Actionable [§3:104]
b. Opinion Based on Implied Facts Is Actionable [§3:105]
c. Distinguishing Fact From Opinion [§3:106]
d. Truth Is Complete Defense [§3:107]
3. About Plaintiff [§3:108]
4. Communicated to Someone Other Than Plaintiff [§3:109]
a. Communication to Third Party [§3:110]
b. Compare: Communication by Self-Publication [§3:111]
(1) Rationale Underlying “Compelled” Defamation [§3:111.1]
(2) Elements [§3:111.2]
(3) Most Jurisdictions Not Recognize Self-Publication [§3:111.3]
c. That Tends to Harm Plaintiff’s Reputation [§3:112]
5. Particular Words in Context / Totality of Circumstances
Analysis [§3:113]
6. Plead With Specificity [§3:114]
[§§3:115 - 3:119 Reserved]
C. Damages [§3:120]
1. General Rule: Full Spectrum of Damages Available
[§3:121]
2. Special Damages [§3:122]
D. Affirmative Defenses [§3:123]
1. Qualified Privilege [§3:124]
a. Common Interest [§3:125]
b. Case Examples: Qualified Privilege Applies [§3:126]
(1) Letters of Reference and Employment Recommendations
[§3:126.1]
(2) Informing Co-workers about Investigation Into Plaintiff’s
Conduct [§3:126.2]
(3) Informing Co-workers of Reason for Plaintiff’s Termination
[§3:126.3]
(4) Informing Parents of Reason for Termination of Head of School
[§3:126.4]
(5) Filing Police Report and Requesting Investigation Into
Employee Conduct [§3:126.5]
c. Overcoming Qualified Privilege [§3:127]
2. Consent [§3:128]
3. Workers’ Compensation Preemption [§3:129]
4. Statute of Limitations [§3:130]
[§§3:131 - 3:134 Reserved]
VI. False Imprisonment
A. Elements [§3:135]
1. Overview [§3:136]
2. Non-Consensual [§3:137]
a. Verbal Intimidation [§3:138]
b. Threats of Termination [§3:139]
c. Desire to Clear Name / Threat of Arrest [§3:140]
3. Intentional [§3:141]
4. Confinement [§3:142]
a. Includes Threats and Intimidation [§3:143]
b. Forced to Move Without Consent [§3:144]
B. Affirmative Defenses [§3:145]
1. Consent [§3:146]
2. Privilege [§3:147]
3. Workers’ Compensation Preemption [§3:148]
4. Statute of Limitations [§3:149]
C. Damages [§3:150]
[§§3:151 - 3:154 Reserved]
VII. Negligent and Intentional Infliction of Emotional Distress
A. Why Plead Emotional Distress Torts? [§3:155]
B. Elements [§3:156]
1. Overview [§3:157]
a. Intentional Infliction of Emotional Distress [§3:158]
b. Negligent Infliction of Emotional Distress [§3:159]
2. Intentional or Reckless Conduct Necessary to Prove
Intentional Infliction [§3:160]
3. Extreme and Outrageous Conduct [§3:161]
a. Beyond All Bounds of Decency [§3:162]
b. Mere Insults and Trivialities Not Outrageous [§3:163]
c. Courts Consider Context and Parties’ Relationship [§3:164]
(1) Courts Holding Employment Relationship Protects Employee
[§3:164.1]
(2) Courts Holding Employment Relationship Protects Employer
[§3:164.2]
4. Plaintiff Suffered Severe Emotional Distress [§3:165]
a. Pleading Severe Emotional Distress [§3:166]
b. Proving Emotional Distress Damages [§3:167]
[§§3:168 - 3:170 Reserved]
C. Case Examples [§3:171]
1. Liability Found [§3:172]
a. Supervisor Placing Checks in Employee’s Purse to Make it
Appear She Was a Thief [§3:173]
b. Compelling Employee to Notarize Forged Document [§3:174]
c. Supervisor Publicly Fired Plaintiff for Stealing [§3:175]
2. No Liability [§3:176]
a. Supervisor Engaging in Brief Profanity-Laden “Dressing
Down” of Subordinates [§3:177]
b. Summarily Terminating 44-Year Employee and Implying She Was
Terminated for Something “Really Bad” [§3:178]
c. Employer Wrongfully Accused Plaintiff of Thievery [§3:179]
D. Sample Language [§3:180]
1. Sample Intentional Infliction of Emotional Distress
Language [§3:181]
2. Sample Negligent Infliction of Emotional Distress
Language [§3:182]
E. Affirmative Defenses [§3:183]
1. LMRA, RLA, and NLRA Preemption [§3:184]
2. Statutes of Limitations [§3:185]
F. Workers’ Compensation Preemption [§3:186]
G. Damages [§3:187]
[§§3:188 - 3:194 Reserved]
VIII. Fraud, Deceit and Negligent Misrepresentation
A. Overview [§3:195]
1. Statements Made to Prospective Employee [§3:196]
a. Material Misrepresentations Relied Upon to Detriment
[§3:197]
b. Common Fact Patterns [§3:198]
(1) Promise of Job Security [§3:198.1]
(2) Statements re Company’s Financial Security [§3:198.2]
2. Statements Made After Hire [§3:199]
3. Proving Fraud [§3:200]
B. Elements–Fraud [§3:201]
1. Overview [§3:202]
a. Case Examples [§3:203]
b. Non-Disclosure May Be Material Misrepresentation [§3:204]
c. Promissory Fraud [§3:205]
(1) Elements [§3:205.1]
(2) Case Example [§3:205.2]
2. Material Misrepresentation of Presently Existing or Past
Fact [§3:206]
a. Opinion Based on Implied Facts [§3:207]
b. Statement Based on “Then-Current” Facts [§3:208]
c. Plead Specific Misrepresentations or Omissions [§3:209]
3. Knowledge or Belief by Defendant That Statement Was False
[§3:210]
4. Intention That Plaintiff Rely on Statement [§3:211]
5. Reasonable Reliance [§3:212]
6. Resulting Damages [§3:213]
7. Allege Fraud With Particularity [§3:214]
a. Case Example [§3:215]
b. Sample Fraud Allegations [§3:216]
[§§3:217 - 3:220 Reserved]
C. Elements – Negligent Misrepresentation Claim [§3:221]
1. Negligence Cause of Action [§3:222]
2. Relationship to Fraud [§3:223]
3. Duty [§3:224]
a. Statement Made in Course of Business [§3:225]
b. Employment Relationship [§3:226]
4. Sample Negligent Misrepresentation Allegations [§3:227]
D. Affirmative Defenses [§3:228]
1. Statute of
Limitations [§3:229]
a. Varies From
State to State [§3:230]
b. Accrues Upon Discovery of Facts Constituting Fraud [§3:231]
2. Workers’ Compensation Preemption [§3:232]
E. Damages [§3:233]
Chapter Four: Case Evaluation
Plaintiff
Counsel’s Case Evaluation
I. Introduction
A. Most Important Task of Plaintiff’s Counsel [§4:01]
B. Ongoing Process [§4:02]
II. Initial Contact With Prospective Client
A. Telephone Screening [§4:03]
1. Purpose [§4:04]
2. Who Should Conduct Interview? [§4:05]
a. Attorney [§4:06]
b. Paralegal or Other Non-Attorney [§4:07]
3. Topics to Cover [§4:08]
a. Attorney-Client Relationship and Privilege [§4:09]
b. Contact Information [§4:10]
c. Conflict Check [§4:11]
d. Referral Determination [§4:12]
e. Current or Prior Representation by Other Counsel [§4:13]
f. Viability of Claims [§4:14]
(1) Substantive Viability [§4:14.1]
(2) Statutes of Limitations [§4:14.2]
g. Waivers and Releases [§4:15]
h. Arbitration Agreements [§4:16]
i. Urgency [§4:17]
4. Conclude Screening Process [§4:18]
B. Initial Case Rejection [§4:19]
1. Not Interested in Taking Case [§4:20]
2. Other Potential Sources of Help [§4:21]
3. Deadlines [§4:22]
4. Confirming Letter [§4:23]
C. Schedule In-Person Interview and Request Documents [§4:24]
1. Schedule Interview [§4:25]
2. Advise of Fee [§4:26]
3. Request Documents [§4:27]
[§§4:28 - 4:30 Reserved]
III. In-Person Interview
A. Basic Points [§4:31]
1. Review Documents and Prepare Questions [§4:32]
2. Who Should Be Present? [§4:33]
a. Attorney Who Will Have Responsibility for Matter [§4:34]
b. Rain-Maker/Deal Closer [§4:35]
c. Associate or Staff Member [§4:36]
d. Family Members, Friends, Co-Workers [§4:37]
B. Topics to Cover [§4:38]
1. Preliminary Matters [§4:39]
a. Explain Attorney-Client Privilege [§4:40]
b. Explain Interview Process [§4:41]
2. Prospective Client’s Background [§4:42]
3. Hiring Process [§4:43]
4. Employment History With Defendant [§4:44]
5. Events Leading Individual to Seek Legal Counsel [§4:45]
6. Post-Termination Events [§4:46]
7. Potentially Negative Facts [§4:47]
8. Rough Damages Calculation [§4:48]
9. Opportunity to Tell Story [§4:49]
10. Prospective Client’s Objectives [§4:50]
11. Potential Negative Outcomes [§4:51]
12. You and Your Practice [§4:52]
[§§4:53 - 4:59 Reserved]
IV. Investigation
A. As Needed, Based on Facts Known by Prospective Client [§4:60]
B. Witness Interviews [§4:61]
1. Start With Non-Employees [§4:62]
2. Ethical Rules and Restrictions [§4:63]
C. Document Collection [§4:64]
1. From Employer [§4:65]
2. From Government Agencies [§4:66]
3. From the Web [§4:67]
[§§4:68 - 4:69 Reserved]
V. Case Evaluation
A. Claims Viability [§4:70]
1. Basic Points [§4:71]
2. Discrimination—Disparate Treatment [§4:72]
a. Direct Evidence [§4:73]
b. Circumstantial Evidence [§4:74]
(1) Prima Facie Case [§4:74.1]
(2) Pretext [§4:74.2]
3. Discrimination—Disparate Impact [§4:75]
4. Harassment [§4:76]
5. Retaliation [§4:77]
a. Adverse Employment Action [§4:78]
(1) Liberal Interpretation [§4:78.1]
(2) Restrictive Interpretation [§4:78.2]
(3) Intermediate Approach [§4:78.3]
b. Direct Evidence [§4:79]
c. Indirect Evidence [§4:80]
6. Other Claims [§4:81]
B. Who Is the Client? [§4:82]
1. Is Prospective Client Likeable? [§4:83]
2. Good Client or a Problem Client? [§4:84]
3. Does Prospective Client’s Story Make You Angry? [§4:85]
4. What Are Prospective Client’s Damages? [§4:86]
5. Does Prospective Client Have Realistic Expectations?
[§4:87]
C. Who Is the Defendant? [§4:88]
1. Size of Employer [§4:89]
2. Employer’s Financial Resources [§4:90]
3. Litigation Philosophy [§4:91]
D. How Much Will Litigation Cost? [§4:92]
[§§4:93 - 4:99 Reserved]
VI. Shaping The Case That Isn’t Quite Ripe
A. When and Why
[§4:100]
B. Three-Part Process [§4:101]
1. Complaint Letter [§4:102]
2. Employee Notes [§4:103]
3. “Perfect” Employee [§4:104]
[§4:105
Reserved]
VII. Accepting The Case
A. Scope of Representation [§4:106]
1. Settlement Only [§4:107]
2. Litigation [§4:108]
B. Fee Arrangement [§4:109]
1. Negotiated Case-by-Case [§4:110]
2. Hourly Fee [§4:111]
3. Contingent Fee [§4:112]
C. Engagement Letter [§4:113]
1. Purpose and Scope [§4:114]
2. Scope of Services [§4:115]
3. Fee Arrangement [§4:116]
4. Arrangement Regarding Costs [§4:117]
5. Client Obligations [§4:118]
6. Termination of Attorney-Client Relationship [§4:119]
a. How Relationship May Be Terminated [§4:120]
b. Consequences of Termination [§4:121]
7. Ability to Co-Counsel [§4:122]
8. Provision and Retention of Documents [§4:123]
9. Disclaimer of Guaranty [§4:124]
10. Arbitration [§4:125]
11. Integration Clause [§4:126]
D. Multiple Clients [§4:127]
[§§4:128
- 4:130 Reserved]
VIII. Pre-Litigation Settlement
A. Purpose [§4:131]
B. Strategic Considerations [§4:132]
1. Draft Complaint [§4:133]
2. Demand Letter [§4:134]
C. Demand Letter [§4:135]
1. The Introduction [§4:136]
2. Factual Background [§4:137]
3. Legal Analysis [§4:138]
a. Apply Law to Facts [§4:139]
b. Dilemma #1: Disclose All Favorable Evidence? [§4:140]
c. Dilemma #2: Reveal Weaknesses? [§4:141]
4. Damages [§4:142]
5. Conclusion [§4:143]
D. The Draft Complaint [§4:144]
[§§4:145
- 4:174 Reserved]
Defense Counsel’s Case Evaluation
IX. INTRODUCTION
X. ESTABLISHING THE ATTORNEY-CLIENT RELATIONSHIP
A. Conflict Check [§4:175]
B. Written Fee Agreement [§4:176]
C. Insurance Coverage [§4:177]
D. Joint Representation Issues [§4:178]
[§§4:179
- 4:180 Reserved]
XI. PRE-LITIGATION ACTIVITY
A. Advise Client to Preserve All Electronic and Other Relevant Records
[§4:181]
B. Obtain Documents From Client [§4:182]
C. Prepare Chronology and Organize Key Documents [§4:183]
D. Advise Client to Coordinate All Ancillary Proceedings [§4:184]
E. Check for an Arbitration or Jury Waiver Agreement [§4:185]
[§§4:186
- 4:190 Reserved]
XII. BEGIN ATTEMPTS TO RESOLVE CLAIM
A. Consider Offer of Reinstatement [§4:191]
B. Begin Researching Basis for a Motion for Summary Judgment [§4:192]
C. Begin Considering Pretrial Settlement [§4:193]
Forms
Initial Client Contact
Form 4A: Prospective Client Questionnaire
Form 4B-1: Letter—Potential Client Rejection
Form 4B-2: Letter—Prospective Client Appointment
Form 4C-1: Interview Checklist—Telephone Screening With Prospective Client
Form 4C-2: Interview Checklist—In-Person Meeting With Prospective Client
[Forms Reserved]
Engagement Letter
Form 4G-1: Engagement Letter—Negotiations Only
Form 4G-2: Engagement Letter—Litigation
Form 4G-3: Engagement Letter—Hourly Defense of Individual
Form 4G-4: Engagement Letter—Class Action
Form 4G-5: Sample Written Fee Agreement—Hourly Litigation
[Forms Reserved]
Conflict Waiver
Form 4J-1: Letter—Conflict Waiver—Potential Client
Form 4J-2: Letter—Conflict Waiver—Potential Client (Alternate)
Form 4J-3: Letter—Conflict Waiver—Employee
Form 4J-4: Letter—Conflict Waiver—Employer
Form 4J-5: Letter—Conflict Waiver—Current Client
Form 4J-6: Conflict Waiver Form—Already Existing Client
[Forms Reserved]
Damages, Attorneys’ Fees,
Costs
Form 4M-1: Letter to Plaintiff re Emotional Distress
Damages
Form 4M-2: Letter to Plaintiff re Mitigation of Damages
Form 4M-3: Letter to Individual Defendant re Employer Indemnification
Form 4N: Employer Agreement to Pay Legal Fees
[Forms Reserved]
Additional Case Evaluation
Forms
Form 4Q: Letter—Internal Complaint of Discrimination,
Harassment, Retaliation
Form 4R: Unconditional Offer of Reinstatement
Chapter Five: Pleading
I. Basic Points
A. Opportunity to Shape Case [§5:01]
B. Components of Successful Complaint Drafting [§5:02]
II. Exhaustion of Administrative Remedies
A. File Timely Charge [§5:03]
B. Work-Sharing Agreements [§5:04]
[§§5:05 - 5:06 Reserved]
III. Employer’s Internal Grievance System
A. Exhaustion of Internal Remedies Not Required [5:07]
B. Compare: Arbitration [§5:08]
[§5:09 Reserved]
IV. Statutes of Limitations
A. Basic Points [§5:10]
B. Continuing Violation Doctrine [§5:11]
C. Tolling and Estoppel [§5:12]
1. Employer Actively Misleads Plaintiff [§5:13]
2. Employer Failed to Comply With Notice Provisions
[§5:14]
D. Tactics to Handle Imminent Statute of Limitations [§5:15]
1. Tolling Agreement [§5:16]
2. “Bare Bones” Complaint [§5:17]
3. Case Referral or Co-Counseling [§5:18]
[§§5:19 -
5:24 Reserved]
V. Parties
A. Significance of Properly Identifying Parties [§5:25]
B. Plaintiffs [§5:26]
1. Overview of Basic Points [§5:27]
2. Single Plaintiff [§5:28]
3. Multiple Plaintiff [§5:29]
a. The Spouse [§5:30]
b. Co-Workers [§5:31]
(1) Advantages [§5:31.1]
(2) Disadvantages [§5:31.2]
4. Doe Plaintiffs [§5:32]
a. When and Why [§5:33]
b. Case Examples [§5:34]
c. Procedure for Naming Doe Plaintiffs [§5:35]
[§§5:36 - 5:40 Reserved]
C. Defendants [§5:41]
1. Balance Competing Interests in Choosing Defendants
[§5:42]
2. The Employer [§5:43]
a. Parent, Subsidiary, and Affiliated Companies [§5:44]
(1) Direct Liability [§5:44.1]
(2) “Integrated Enterprise” Doctrine [§5:44.2]
(3) Agency Liability [§5:44.3]
b. Successor Corporation [§5:45]
(1) Successor Liability Doctrine [§5:45.1]
(2) Three-Pronged Test [§5:45.2]
(3) Examples [§5:45.3]
c. Joint Employers [§5:46]
(1) Joint Employer Means Joint Liability [§5:46.1]
(2) EEOC Test [§5:46.2]
3. Individual Defendants [§5:47]
a. Can Individual Be Held Liable? [§5:48]
b. Is Naming Individual Good Strategy? [§5:49]
4. Doe Defendants [§5:50]
a. State Court [§5:51]
b. Federal Court [§5:52]
(1) Diversity Cases Removed to Federal Court [§5:52.1]
(2) Diversity Cases Filed Directly in Federal Court [§5:52.2]
(3) Federal Question Cases [§5:52.3]
[§§5:53 - 5:59 Reserved]
VI. Complaint Structure
A. Basic Points [§5:60]
1. Elements of Complaint [§5:61]
2. Local Rules Formatting Requirements [§5:62]
B. The First Page [§5:63]
1. The Attorneys [§5:64]
2. The Caption [§5:65]
C. Jurisdictional Allegations [§5:66]
1. Defining Federal Question and Diversity Jurisdiction
[§5:67]
a. Federal Question [§5:68]
b. Diversity [§5:69]
2. Pleading Federal Question Jurisdiction [§5:70]
3. Pleading Diversity Jurisdiction [§5:71]
D. Venue [§5:72]
E. Party Status [§5:73]
1. Natural Persons [§5:74]
2. Corporations [§5:75]
F. Facts Common to All Claims [§5:76]
G. Claims [§5:77]
1. Selection [§5:78]
2. Statutory Claims [§5:79]
3. Common Law Claims [§5:80]
4. Notice Pleading [§5:81]
a. Short and Plain Statement [§5:82]
b. Allegations in Complaint Are Binding Admissions [§5:83]
[§§5:84 - 5:94 Reserved]
VII. Forum and Venue Issues
A. Arbitration v. Court [§5:95]
B. State Court v. Federal Court [§5:96]
1. Case Management [§5:97]
2. Challenging the Judge [§5:98]
a. 28 U.S.C. §144 [§5:99]
b. 28 U.S.C. §455 [§5:100]
3. “Notice Pleading” v. “Fact Pleading” [§5:101]
4. Discovery Issues [§5:102]
5. Summary Judgment [§5:103]
6. Jury Issues [§5:104]
a. Voir Dire [§5:105]
b. Unanimous Jury Requirement [§5:106]
c. Number of Jurors [§5:107]
7. Narrow Interpretation of State Law [§5:108]
8.
Limits Imposed by Eleventh Amendment [§5:109]
[§§5:110
- 5:114 Reserved]
VIII. Review Local Rules
A. Form and Formatting Requirements [§5:115]
B. “Local, Local” Rules [§5:116]
[§5:117
Reserved]
IX. Service
A. Summons [§5:118]
B. General Rules for Service [§5:119]
1. Upon Individuals Within United States [§5:120]
2. On Corporation, Association or Other Business Entity
[§5:121]
C. Waiver of Service [§5:122]
1. FRCP 4(d) [§5:123]
2. Procedure [§5:124]
[§§5:125
- 5:129 Reserved]
X. Amended and Supplemental Pleadings
A. Liberal Interpretation of Pleadings Rules Applies [§5:130]
B. Procedure [§5:131]
C. Amendments to Complaint [§5:132]
1. As a Matter of Course [§5:133]
a. Before Responsive Pleading Is Served [§5:134]
b. What Is “Responsive Pleading”? [§5:135]
c. After Motion to Dismiss Is Granted [§5:136]
d. Procedure [§5:137]
2. By Written Consent of All Adverse Parties [§5:138]
3. By Leave of Court [§5:139]
a. Liberally Granted Under Rule 15(a) [§5:140]
b. When to File Motion to Amend [§5:141]
c. Procedure [§5:142]
4. Effect of Amended Complaint [§5:143]
a. Supercedes Original Complaint [§5:144]
b. Defendants May Raise New Affirmative Defenses [§5:145]
c. Original Complaint May Be Used Against Plaintiff [§5:146]
d. Statute of Limitations Issues—Relation Back Doctrine [§5:147]
D. Supplemental Complaints [§5:148]
[§§5:149
- 5:150 Reserved]
XI. Attorney Obligations
A. Rule 11 Overview [§5:151]
B. Rule 11 Sanctions [§5:152]
C. Ruling on Motion for Sanctions [§5:153]
[§5:154
Reserved]
XII. RESPONDING TO THE COMPLAINT
A. Removal [§5:155]
B. Motions to Dismiss [§5:156]
C. Other Rule 12 Motions [§5:157]
D. Move for Change of Venue [§5:158]
E. Discuss the Complaint With Plaintiff’s Counsel [§5:159]
F. Answer [§5:160]
1. Common Procedural Affirmative Defenses [§5:161]
a. Statute of Limitations [§5:162]
b. Collateral Estoppel [§5:163]
c. Failure to Exhaust Administrative Remedies [§5:164]
d. Preemption [§5:165]
e. Failure to Arbitrate [§5:166]
2. Common Substantive Affirmative Defenses [§5:167]
a. Managerial Immunity [§5:168]
b. Employee Misconduct [§5:169]
c. Failure to Mitigate Damages [§5:170]
d. Unconstitutionality of Excessive Punitive Damages [§5:171]
e. Defenses Specific to Particular Discrimination Claims [§5:172]
G. Counterclaims [§5:173]
Forms
Form 5A: Tolling Agreement
Form 5B: Complaint—Sexual Harassment (§1983)
Form 5B-1: Complaint—ADA, FMLA, Emotional Distress, Breach of Contract
Form 5B-2: Complaint—Age Discrimination and Retaliation
Form 5B-3: Complaint—Qui Tam Action
Form 5B-4: Complaint—State Law Sexual Harassment, Related Claims
Form 5C: Summons
Form 5D: Notice of Lawsuit and Request for Waiver of Service of Summons
Form 5E: Waiver of Service of Summons
Form 5F: Motion for Plaintiff to Proceed Under a Pseudonym
Form 5F-1: Opposition to Plaintiff's Motion to Proceed Under Pseudonym
Form 5F-2: ‑Response to Opposition to Plaintiff's Motion to Proceed Under
Pseudonym
Form 5F-3: Order Granting Plaintiff's Motion to Proceed Under a Pseudonym
Form 5G-1: Notice of Removal to Federal Court
Form 5G-2: Notice to State Court of Notice of Removal
Form 5G-3: Notice to Adverse Party of Notice of Removal
Form 5H: Motion to Dismiss
Form 5I: Motion to Transfer
Form 5J: Answer With Counterclaims
Chapter Six: Discovery
I. Preparation is Priceless
A. “Cast of Characters” and Chronology [§6:01]
1. Early in Case [§6:02]
2. Create “Cast of Characters” [§6:03]
3. Create Chronology [§6:04]
B. Develop Theory of Case [§6:05]
1. Identify Likely Claims and Defenses [§6:06]
2. Review Jury Instructions [§6:07]
C. Develop Discovery Plan [§6:08]
1. Purpose of Discovery Plan [§6:09]
2. Identify Best Means of Discovering Facts [§6:10]
a. Basic Points [§6:11]
b. Consider Informal Discovery [§6:12]
c. Format [§6:13]
[§§6:14 - 6:15 Reserved]
II. Informal Discovery
A. Affirmative Informal Discovery—Generally [§6:16]
1. Interview Third Party Witnesses [§6:17]
a. Strategic Considerations [§6:17.1]
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