What Impact on Municipal Labor and Employment Issues? New York\'s Government Reorganization and Citizen Empowerment Act

September 4, 2009

By Craig L. Olivo

Earlier this summer Governor Paterson signed the “New York Government Reorganization and Citizen Empowerment Act” (Chapter 74, Laws of 2009). This sweeping piece of reform legislation was championed by Attorney General Cuomo as a way to improve local government efficiency and provide property tax relief to an already burdened citizenry. The Act, which will become effective on March 21, 2010 intends to make it easier to consolidate various governmental bodies such as Towns, Villages, and Special Districts. What remains to be seen, however, is whether the Act’s two new methods for consolidation/dissolution will truly benefit taxpayers and save money, or simply create a costly process counterproductive to the Act’s admirable goals. Equally uncertain is the Act’s impact on municipal labor and employment successorship issues arising out of consolidation or dissolution.


The first new method for consolidation/dissolution is more conventional than the second and involves: (1) the governing bodies developing and then publishing a plan; (2) a period of public input and public hearings; and (3) a vote by the effected governing bodies. In the case of towns and villages, an affirmative vote in a public referendum in the affected municipalities is required; an affirmative vote of the board of special districts effectuates the plan as to those entities.

The second method creates a citizen initiative process. Under this method, a petition must be filed bearing the signatures of a prescribed number of voters seeking dissolution or consolidation. A successful petition leads to a referendum on the general question of consolidation/dissolution. If the referendum passes, the governing bodies must prepare and adopt an implementing plan. This plan may be subject to a permissive referendum in certain limited circumstances. There is also a citizen cause of action established to compel the governing boards to comply with the citizens’ will as expressed by the referendum results.

Many critics --and even some objective observers-- believe the second method provides great potential for mischief, creates serious difficulties in formulating a workable plan, and will generate inevitably costly litigation. These consequences may result because the community will vote on the general concept of consolidation or dissolution without the benefit of a feasibility study or plan. If the referendum passes, the involved governing bodies must then create a plan regardless of whether the required consolidation or dissolution is workable or achievable. Because the requisite study generally costs tens of thousands of dollars and takes months to complete, it is questionable whether any savings will really be achieved. These kinds of concerns are already the subject of numerous conversations among municipal officials. In fact, the New York Conference of Mayors voiced its strong opposition to the Act during the public comment period for just these reasons.

From a labor and employment perspective, the Act also creates great uncertainty. Neither specifically addressed in the Act nor mentioned by its champions are the significant labor and employment successorship issues created by the consolidation and/or dissolution of public entities. For example, left uncertain are, among other things:

  • Issues involving the civil service rights of the employees who are transferred and/or have their positions abolished.
  • Issues involving the status of existing collective bargaining agreements covering the effected employees.
  • Issues involving which, if any, unions will continue to represent the employees of the consolidated entity.
  • Issues involving the Taylor Law duty, if any, to negotiate over the impact of the decision to consolidate and/or dissolve.

Unfortunately, there is very little case law from the courts or the Public Employment Relations Board (“PERB”) from which to draw guidance. The few decisions that do exist frequently look to federal law for the analytical framework to determine the types of successorship issues noted above. However, PERB’s present position on successorship issues, which draws its foundation from an opinion of counsel rendered in 1985 (Opinion of Counsel, 18 PERB ¶ 5002 (1985)), provides that the automatic application of private sector successorship doctrine is not appropriate, thereby leaving many of these questions unresolved. Accordingly, navigating the sea of these complex labor issues will be difficult, and is likely to result in hefty litigation costs which must be borne by the participating entities.

In addition to consulting with labor counsel to address the labor and employment issues mentioned above, those interested in learning more about the Act and its intended purpose can visit a new interactive website created by the Office of the Attorney General. The website can be found at www.reformnygov.com.

Dealing with Employee Use of Social Networking Sites

August 31, 2009

By Jessica C. Moller

Being at work apparently poses no obstacle to checking the Facebook or MySpace status of friends and keeping up-to-date with the continuous “tweets” on Twitter.  According to a recent study  conducted by Nucleus Research, 61% of all employees access their Facebook profiles at work. While the length of time employees are plugged-in varies from one to 120 minutes per employee per day, according to the same study employers lose an average of 15 minutes of productivity per day from each social networking employee.

What is an employer to do?

An employer can prohibit accessing social networking sites during working hours.  But this approach may have its own detrimental side effects on employee productivity.  According to one university study, employees who surf the Internet at work, including accessing Facebook and YouTube, are 9% more productive than their non-Internet surfing counterparts.  A ban on employee access to social networking sites can also limit the potential benefits an employer might receive from such sites.  For example, the networking site LinkedIn can serve as a valuable tool for businesses looking to build relationships with potential clients/customers.  And, as one researcher has noted, sites like Facebook can assist employees in building relationships with professional acquaintances which can benefit their employers in the long run.

 Monitoring employees’ use of Twitter, Facebook, MySpace, and other social networking sites is another option.  But monitoring employee use of such sites raises several legal issues, including, in particular, whether an employer that accesses an employee’s social networking page without the employee’s consent violates federal law.

Social networking sites offer subscribers a variety of protections to keep their posts private or semi-private.  If a subscriber sets his profile to “private/friends only,” he can reasonably expect that his employer will not have access to his profile posts or pictures unless he accepts the employer as a Facebook “friend.”  But picture this scenario: Co-workers engage in a dialogue critical of their employer on a MySpace page that can only be accessed by individuals invited and authorized by the page creator to view it.  The employer then terminates these employees after learning about the page and its posts from an authorized viewer. Legal? According to the court in Pietrylo v. Hillstone Restaurant Group d/b/a/ Houston’s, (D.N.J. 2008) , the answer to that question depends, in part, on whether the employer violated a federal statute, the Stored Communications Act (“SCA”) (18 U.S.C. § 2701 et seq.).

The SCA applies to communications stored on Internet sites (such as Facebook, MySpace, Twitter, etc.). It imposes criminal penalties on individuals who gain unauthorized access to such stored communications. Employers can run afoul of the SCA by covertly monitoring their employees’ private social networking postings by, for example, using spyware to track keystrokes to gain log-in information. But the Act’s protections extend beyond such covert measures. “Unauthorized access” also encompasses situations where authorized access is exceeded.  The Act excepts from liability “conduct authorized … by a user of that service with respect to a communication of or intended for that user.”  So long as the information is freely provided by someone who is authorized to and has accessed the private website, the Act permits an authorized user to allow a third party to gain access to the same information the authorized user has access to.

In Pietrylo, the employer gained access to an employee’s password-protected, “by invitation only,” MySpace page when an invited member of the page (also an employee) showed it to a manager at a dinner party. The manager thereafter asked the invited member for her log-in name and password, and used that information to repeatedly access the page and its postings. The court held that a jury could find this means of access not “authorized” under the SCA, if the invited member’s consent was given under duress (the invited member thought that she could get in trouble with the company if she did not provide the information). The jury ultimately returned a verdict against the employer, and found that the employer had, in fact, gained unauthorized access to the MySpace page in violation of the SCA.

The Pietrylo decision and verdict does not mean that every request for log-in information will violate the SCA. Had the invited member in Pietrylo freely given the employer her log-in information, the employer would likely have faced no liability. But whether consent is freely given will often be a difficult question to answer, so employers should be cautious when making requests.

Moreover, the potential legal issues raised by accessing a social networking site do not end with the question of authorized access. Once access is lawfully gained, the issue then becomes, what, if anything, employers can do with the information that is discovered. For an overview discussion of those potential legal issues, see Employers: ‘Keep out!’ Beware Intruding in Employee Web Sites by Louis P. DiLorenzo.  


CDC Issues New Flu Guidance for Employers

August 26, 2009

By Subhash Viswanathan

On August 19, 2009, the Centers for Disease Control (CDC) released CDC Guidance for Businesses and Employers to Plan and Respond to the 2009-2010 Influenza Season, a set of guidelines and information to assist employers in planning for the coming H1N1 influenza season. This blog post only summarizes some aspects of the Guidance, which is extensive and detailed. Before taking any action, review the entire Guidance and associated material at www.flu.gov.

The new Guidance stresses that employers should develop a flexible pandemic response plan which can be adjusted depending on the level of severity of the flu outbreak. The Guidance advises employers to key their level of actual response to advice from local public health authorities. As a baseline, the guidance stresses that “during an influenza pandemic, all sick people should stay home and away from the workplace, hand washing and covering coughs and sneezes should be encouraged, and routine cleaning of commonly touched surfaces should be performed regularly.”

If current flu conditions persist, the CDC’s recommended responses include: advising sick employees to go home; encouraging employees to get vaccinated; taking measures to protect employees who are at higher risk for complications of influenza (i.e. pregnant women, individuals with chronic lung disease, heart disease, diabetes, immune system disorders and other chronic medical conditions); advising employees who travel frequently to take certain steps in advance of their business trips; and preparing for the possibility of temporary closure of schools and child care programs.

If, however, the 2009-2010 H1N1 flu outbreak becomes more severe than the spring/summer 2009 outbreak, the CDC recommends additional responses, including: actively screening employees who report to work for flu like symptoms (e.g. asking employees at the beginning of shift about symptoms); considering alternative work environments for employees at high risk of complications of influenza; considering “social distancing” in the workplace (the goal should be at least 6 feet of distance between people at most times); and canceling all non-essential business travel.

The Federal Government’s flu website, www.flu.gov, contains a wealth of additional information to assist employers in developing a plan and communicating with employees, including, a variety of helpful checklists and forms. The website will be updated continually throughout the coming flu season.

Employers Be Aware of Recent Amendments to New York Labor and Employment Laws

August 24, 2009

By Louis P. DiLorenzo

Despite our State Legislature’s distractions this summer, it continues to crank out laws which further regulate New York employers. Here are some recent changes about which employers should be aware.

On July 28, 2009, New York State Labor Law 195(1) was amended to require employers to provide all new employees hired on or after October 26, 2009 with written notice of their rates of pay and the employer’s regular pay days. See our August 11, 2009 blog post for details.

Some other notifications required by New York Law include:


  • Terms of employment between an employer and commissioned salesperson must be in writing and signed by both parties. The agreement must include a description of how wages, salary, drawing account, commissions and all other monies earned and payable will be calculated.
  • Employees must be notified in writing or by public posting of the employer’s policy on sick leave, vacation, personal leave, holidays and hours.
  • Employers must notify employees of any changes in pay days prior to such changes.
  • Employers must also notify employees of the date of termination and exact date of termination of employee benefits. The notice must be in writing and be given within 5 working days after termination.

Effective July 7, 2009, the New York State Human Rights Law prohibits employers from discriminating against employees who are victims of domestic violence. See our August 3, 2009 blog post for details on this new law.

Additionally, employers should keep in mind that as of July 6, 2009, the Human Rights Law provides for civil fines and penalties, payable to the State, of up to $50,000 for unlawful discriminatory acts, and up to $100,000 for willful, wanton or malicious discrimination. Our July 20, 2009 blog post describes that amendment.

Finally, an amendment to the New York State Insurance Law “mini-COBRA” provisions, creates an extension of the general continuation under a group health plan for covered employees from 18 months to 36 months following termination of employment. The law applies retroactively to insurance policies and contracts issue, renewed, modified, altered or amended on or after July 1, 2009, but does not apply to self-funded group health plans. Although New York’s mini-COBRA statute generally covers insurance plans of employers with fewer than 20 employees, this 36 month continuation period will apply to all New York group insurance policies regardless of employer size. Therefore, if federal COBRA coverage is exhausted, qualified beneficiaries can extend coverage under New York law for an additional 18-month period up to a total of 36 months following the date of the beginning of federal COBRA coverage.

Best Practices for Workplace Discrimination Investigations

August 18, 2009

By Laura H. Harshbarger

Few human resource professionals look forward to workplace discrimination investigations. They can be contentious and uncomfortable, and often reveal the uglier side of individuals and, sometimes, even entire segments of the company.  Of course, allegations of workplace discrimination cannot be ignored. In fact, a proper and complete investigation can be critical to an employer’s defense of such claims, and a poor or incomplete investigation can be almost as harmful as no investigation.  Below are a few tips for conducting good investigations.


1. Select an Appropriate Investigator.  The person assigned to investigate should have a few critical qualities: a thorough understanding of the issue being investigated; an ability to command the respect of the individuals to be interviewed; the ability to maintain confidentiality; and a lack of personal involvement in the situation under investigation.  Often, a human resources professional will fit this bill.  However, there are situations where a third-party with greater investigatory experience is a better option.  For instance, in-house or outside counsel may be better equipped to navigate potentially serious harassment or other allegations which may result in litigation.  If counsel is involved, there is also a possibility that certain communications may be protected by the attorney-client or attorney work-product privileges.

2. Make the Investigation a Priority.  As a general rule, a prompt investigation is key.  If inappropriate or illegal conduct is occurring, it is imperative to stop it as quickly as possible.  Even if the investigation shows that the allegations are unfounded, a prompt investigation lets the workforce know that the company takes such matters seriously, and has the additional benefit of supporting certain legal defenses to harassment claims.

3. Prepare the Topics/Questions in Advance.  The interviewer should prepare thoroughly for the interview. At a minimum, make an outline of the topics to be covered.  Whether to prepare a set of specific interview questions is a judgment call which depends, in part, on the expertise of the investigator.  Writing out key questions in advance minimizes the risk the investigator will miss something.  If many individuals will be interviewed, a list of questions may result in more consistent and controlled interviews.  On the other hand, it is a mistake to become so wedded to written questions that you cannot deviate from them.  If a witness offers relevant information which you did not anticipate, be flexible. Set your prepared questions aside and ask follow up questions tailored to the new information.

4. Interview All Necessary Witnesses.  Failure to interview all persons who may have relevant information is a common mistake.  Employers often have a natural inclination to “keep a lid” on the investigation by interviewing only one or two employees.  While no one wants a sensitive issue to be the topic of employee scuttlebutt, you should not allow fear of employee gossip to result in an incomplete or imbalanced investigation.  Limiting the investigation unnecessarily can yield uninformed conclusions and leave the adequacy of the investigation and the efforts of the investigator open to legal challenge.

5. Use Two Management Representatives.  As a general rule, you should have another management representative with you during each interview.  Occasionally a person interviewed later claims to have been threatened or bribed, or otherwise claims that the interview process was mishandled.  A team interview approach will provide two witnesses to contradict those claims, and has the advantage of allowing one representative to take thorough notes while the other asks questions.

6. Start With the General and Move to the Specific.  In most cases, your opening question should not be to narrow:  for example, “Did you see John Smith walk up behind Mary Jones on Thursday in the lunch room and slap her on the back?”  A good investigator starts with open-ended questions instead.  This approach increases the likelihood that you will receive a witness’ best recollection instead of a recollection influenced by someone else’s version of events, and that you will receive more information.  Of course, if the open-ended questions do not elicit sufficient information about the relevant events, ask direct questions about specific incidents.

7. Consider Interim Protective Measures.  In extreme situations the company may need to take steps to protect the alleged victim while the investigation is ongoing.  If a witness may be physically harmed or intimidated, it may be necessary to remove the accused from the workplace until the investigation is over.  In other situations, it may be relatively easy to switch employees’ work assignments so that the accused and accuser do not interact while the investigation is proceeding.  Keep in mind, however, that moving the alleged victim could be considered unlawful retaliation.  It is therefore better to move the accused, not the accuser.

8. Guard Against Retaliation.  An employer may not retaliate against an employee who complains about unlawful harassment or discrimination.  Recently, the U.S. Supreme Court ruled in Crawford v. Metro. Gov’t of Nashville & Davidson County that Title VII’s prohibition against retaliation extends to a witness who corroborates allegations of unlawful conduct.  You should warn the accused that he or she may not engage in retaliation and, remind each witness that, if he or she experiences retaliation, to report it to the company immediately.

Should Unionized Employers Consider Mandatory Arbitration of Discrimination Claims Under Their Labor Agreements?

August 13, 2009

By Subhash Viswanathan

 Earlier this year, the United States Supreme Court  held that a provision in a collective bargaining agreement that requires workers to grieve and arbitrate claims based on anti-discrimination statutes, and thereby waive their rights to sue such claims in court, is enforceable, if it clearly and unmistakably requires union members to arbitrate such claims. 14 Penn Plaza LLC v. Pyett.  Critical to the court's holding was the fact that the arbitration clause before it explicitly covered statutory discrimination claims and required the arbitrator to apply the relevant statutory and case law in resolving such claims

The Court's decision creates an opportunity for unionized employers to evaluate whether mandatory arbitration of discriminating claims is a prudent strategy given the conditions facing their businesses.  This is not a simple analysis.  It requires evaluation of the potential cost and time savings from arbitration, the advantages and disadvantages of having an arbitrator as opposed to a jury decide the case, and the vastly different standards of review on appeal from the two types of decisions. 


If an employer decides that it is more advantageous to use a system of mandatory arbitration, it is likely that the employer will have to negotiate changes to the arbitration clause in its current collective bargaining agreement.  Many labor agreements have routine non-discrimination clauses and provide for arbitration of all disputes arising under the agreement.  Such clauses are not likely to satisfy the Supreme Court's clear and unmistakable standard for mandatory arbitration of discrimination claims.   The agreement in 14 Penn Plaza which was sufficient: prohibited discrimination under specifically named statutes; explicitly stated that the grievance and arbitration process was the sole and exclusive method for resolving such claims; and authorized and directed the arbitrator to apply statutory law in resolving discrimination claims.

Obtaining union agreement to such a clause is likely to be more difficult going forward.  Prior to the 14 Penn Plaza decision, unions risked very little in agreeing to such clauses because federal courts had interpreted a much earlier Supreme Court decision, Alexander v. Gardner-Denver Co., as making such clauses ineffective as waivers of the rights of individual union members.  Now unions will face substantial burdens if they agree to clear and unmistakable provisions.  Unions are not likely to have at their disposal much experience or expertise in the area of litigating statutory discrimination claims.  Even if they have that expertise, they may be unwilling to incur the substantial risk of and expense associated with defending breach of the duty of fair representation claims which could be brought by union members who are dissatisfied with the way the union handled their discrimination claims.

Before attempting to negotiate a clear and unmistakable mandatory arbitration provision, employers should also consider that the 14 Penn Plaza decision faces a potential challenge in Congress where the Arbitration Fairness Act is pending.  That bill would prohibit enforcement of pre-dispute agreements that mandate arbitration of statutory employment claims, including discrimination claims under the civil rights law.  While the House version of the bill exempts collective bargaining agreements, the more recent Senate version would apply to them as well and would overrule 14 Penn Plaza.

New Law Requires New York Employers to Provide Written Notice of Wage Rates

August 11, 2009

By Subhash Viswanathan

Effective October 26, 2009, employers in New York will have to provide employees hired after that date with a written notice of their rate of pay, their overtime rate (for non-exempt employees) and their regular pay date, pursuant to an amendment to Section 195 of the New York Labor Law.  The new law, signed by Governor Patterson on July 28, 2009, also requires employers to obtain a written acknowledgement from each newly-hired employee that he or she has received the required information.  The acknowledgement must conform to standards set by the Commissioner of Labor.  At this point, the Commissioner has not yet set those standards.

Prior to the amendment, employers only had to provide notice of the regular wage rate and pay date, but not in writing, and no written acknowledgement from the employee was required.  The purpose of the new law is to enable employees to determine their overtime rate and to ensure that employees understand their regular wage rates and pay dates. 

NYSDOL Issues Regulations Regarding the Prohibition on Mandatory Overtime for Nurses

August 10, 2009

By Subhash Viswanathan

The New York State Department of Labor ("NYSDOL") recently issued regulations regarding Labor Law Section 167, which prohibits health care employers from requiring nurses to work more than their regularly scheduled work hours.  The regulations reiterate and explain the provisions of the law, but also impose a requirement (which is not contained in the law) that health care employers establish a written "Nurse Coverage Plan" within 90 days of the regulations' July 15, 2009 effective date.  The NYSDOL has also posted on its web site answers to some frequently asked questions regarding the law and regulations.

The law, which went into effect on July 1, 2009, provides that health care employers may not require registered professional nurses and licensed practical nurses who provide direct patient care to work more than their "regularly scheduled work hours," subject to the following exceptions:

  • a health care disaster, such as a natural or other type of disaster that increases the need for health care personnel, unexpectedly affecting the county in which the nurse is employed or a contiguous county;
  • a federal, state, or county declaration of emergency in effect in the county in which the nurse is employed or in a contiguous county;
  • a health care employer's determination that there is a patient care emergency (an unforeseen event that could not be prudently planned for and does not regularly occur) that makes work beyond regularly scheduled hours necessary; or
  • an ongoing medical or surgical procedure in which the nurse is actively engaged and whose continued presence through the completion of the procedure is needed to ensure the health and safety of the patient.


The phrase "regularly scheduled work hours" is defined in the law as the hours a nurse has agreed to work and is normally scheduled to work pursuant to the budgeted hours allocated to the nurse's position by the health care employer, or some other measure generally used by the health care employer to determine when an employee is minimally supposed to work, consistent with the provisions of any applicable collective bargaining agreement.  Therefore, if a part-time nurse is regularly scheduled to work 20 hours per week, that nurse cannot be required to work more than 20 hours per week unless one of the exceptions identified above applies.

Under the regulations, all health care employers are required to establish and implement a written Nurse Coverage Plan within 90 days of the regulations' July 15, 2009 effective date, which means that the Plan must be in place by October 13, 2009.  The Plan must take into account typical patterns of staff absenteeism due to illness, leave, and other factors, and must identify as many alternative staffing methods as are available to ensure adequate staffing through means other than the use of mandatory overtime.  These methods might include contracts with per diem nurses, arrangements for assignment of floating nurses, and requesting voluntary overtime from nurses.  The Plan must be made available to all nursing staff, either by posting the Plan in a location accessible to all nursing staff or by other means such as posting on the health care employer's intranet site, and must be provided to any collective bargaining representative of the nurses.  The Plan must also be provided to the Commissioner of Labor, upon request.

Health care employers that do not prepare a Nurse Coverage Plan may be precluded from relying on the "patient care emergency" exception to the law.  The regulations provide that a health care employer may not require a nurse to work beyond his or her regularly scheduled hours to address a patient care emergency, unless the employer first makes a good faith effort to secure coverage by utilizing the alternative staffing methods set forth in its Plan.  The health care employer is required to document its attempts to secure coverage under the terms of its Plan.  If a health care employer does not have a Nurse Coverage Plan in place, or fails to make efforts to utilize the alternative staffing methods set forth in its Plan, the employer cannot rely on the "patient care emergency" exception. 

The regulations also provide some guidance for health care employers regarding how the other exceptions will be interpreted and applied by the NYSDOL.  The regulations provide that a determination regarding whether a "health care disaster" exists shall be made by the health care employer and must be reasonable under the circumstances.  Some examples of health care disasters include unforeseen events involving multiple serious injuries (such as fires, auto accidents, or a building collapse), chemical spills, or a widespread outbreak of an illness requiring hospitalization of many individuals in the community.  The regulations also provide that a determination regarding whether a nurse's continued presence beyond regularly scheduled work hours is required for an ongoing medical or surgical procedure shall be made by the nursing supervisor or nurse manager supervising the nurse.

Basic Elements of an Effective FMLA Leave Response Process

August 6, 2009

By Kerry W. Langan

The task of handling leave requests pursuant to the Family and Medical Leave Act (“FMLA”) became more formalized earlier this year when the U.S. Department of Labor’s (“DOL ”) revised FMLA regulations took effect on January 16, 2009. Those regulations provide greater clarity for employers with respect to the processing of FMLA leave requests, but in doing so, they impose strict time limits for communicating with employees who have requested leave, and require employers to provide particular types of information to employees who have made the requests.  Employers should set up a regularized leave response process that ensures compliance with both the timing and notice content requirements of the new regulations. This blog provides a very basic summary of some of the regulations’ notice provisions to assist employers in developing a leave response process. At a minimum, an effective response process should include the following elements:


1. If the designated FMLA representative is out for an extended period of time, assign another employee to monitor FMLA leave requests until the designated representative returns to work. In addition, make sure that employees are aware that another individual has been temporarily assigned responsibility for FMLA requests.

2. Once an FMLA request has been made, or you have knowledge that an employee’s leave may be for an FMLA-qualifying reason, determine whether the employee is eligible for FMLA leave. For example, determine whether the employee:

  • worked for the employer for 12 months;
  • worked for 1,250 hours;
  • works at a site with 50 or more employees within 75-miles; and
  • has an FMLA-qualifying condition (if you can).

3. Notify the employee regarding eligibility within five days, and provide a notice describing the employee’s rights and responsibilities under the FMLA (e.g., employee benefits during leave, substitution of paid for unpaid leave, providing medical certification, reinstatement, etc.). While the “Notice of Eligibility” may be oral, the “Notice of Rights & Responsibilities” must be in writing and contain particular types of information. A sample form  that combines the two notices is available from DOL.

4. In many circumstances, the employee will have to provide medical certification to support the leave request. Offer the appropriate medical certification form to the employee at the time the “Notice of Eligibility” and “Notice of Rights & Responsibilities” are provided, unless, of course, the employee is not eligible. Different certification forms  are used depending on the reason leave is requested (e.g., serious health condition of employee or family member, military leave exigency, or service member's illness or injury).  The employee has 15 days to return the medical certification form, unless the employee is unable to do so, despite the employee’s good faith efforts.

5. When the medical certification is returned, review the documentation to make sure that it is complete. If the form is incomplete or insufficient (e.g., the information provided is vague, ambiguous, or non-responsive), advise the employee in writing of the additional information necessary to complete the medical certification form. The employee must be given at least seven calendar days to cure any deficiency. Also inform the employee of the potential consequences for failing to providing adequate medical certification (i.e., denial of FMLA coverage until sufficient medical documentation is provided).

6. Once sufficient documentation is received, determine whether the employee is requesting and/or taking leave for an FMLA-qualifying reason, and issue a “Designation Notice” regarding the leave within five business days. This notice must be provided even if the employer has determined that the leave will not be designated as FMLA-qualifying. The notice must provide the employee with several pieces of information, including, but not limited to:

  • the number of hours counted against the individual’s leave entitlement, if known;
  • whether the employer will require substitution of paid leave time;
  • whether the employee has requested use of paid time during the leave;
  • whether second and/or third medical opinions are being sought; and
  • whether a fitness-for-duty certification will be required before the employee returns to work.

The Designation Notice may be given at the same time as the Eligibility Notice, if the employer has sufficient information to do so when it provides the Eligibility Notice.

7. Use a tickler system to set reminders or track due dates for when specific notices need to be provided and when employee information is due.

The new regulations are extensive and complex. The basics described above are not a complete statement of an employer’s FMLA obligations, but are intended only to provide very general guidance on some of the regulation’s notice provisions.

Governor Paterson Signs Legislation Protecting Domestic Violence Victims from Workplace Discrimination

August 3, 2009

By Subhash Viswanathan

On July 7, 2009, Governor Paterson signed into law legislation which became effective immediately and prohibits an employer from discriminating against an individual because of actual or perceived status as a victim of domestic violence or stalking. Specifically, the law prohibits an employer from refusing to hire or employ such individuals, barring or discharging them from employment, or discriminating against them with respect to their compensation or their terms, conditions and privileges of employment. As a result, New York Law now prohibits employers from discriminating against individuals on the basis of “age, race, creed, color, national origin, sexual orientation, military status, sex, disability, predisposing genetic characteristics, marital status, or domestic violence victim status.”

According to the sponsor of the legislation, this amendment was necessary since many women stay with their abuser because they lack alternative financial resources for themselves and their children, and because escaping an abusive relationship often depends on financial independence, which means finding and keeping a job. Furthermore, according to the sponsor, it is not unusual for a victim of domestic violence to be terminated from her job or demoted because she needs time off or flexible hours as a protective measure. By making it unlawful for an employer to discriminate against victims of domestic violence in hiring or employment practices, the law’s goal is thus to help ensure the safety as well as the economic viability of victims.

Employers should also be aware that another existing New York law provides additional protection to victims of domestic violence. Section 215.14 of the New York Penal Law, a statute of general application, requires employers to provide employees with an unpaid leave to appear as a witness, consult with the district attorney, or exercise the employee’s statutory rights under the law. Obviously, a victim of domestic violence might need one or more of these types of leave. To use this leave, the employee may provide notice of the need for leave at any time prior to the actual day of leave. Employers are permitted to ask the party who sought the attendance or testimony of the employee to provide verification of the employee's service. Penalizing or discharging an employee for absences by reason of a required appearance as a witness in a criminal proceeding or consultation with the district attorney or exercise of his or her rights as provided under law constitutes a class B misdemeanor.

EEOC Issues Additional Guidance Concerning Discrimination Claim Waivers

July 29, 2009

By Robert A. LaBerge

On July 15, 2009, the EEOC issued additional guidance to employees and employers on the use of releases in employment severance agreements.  After acknowledging the current economic downturn and the resultant increase in workforce reductions, the EEOC noted that increasing numbers of employees are being presented with severance agreements containing release language and are wondering: “Is this legal? Should I sign it?”  The EEOC Guidance is designed to assist employees in understanding waiver agreements and answering these questions.  The Guidance is also useful to employers seeking to develop severance and release arrangements that will pass muster with the EEOC. 

The EEOC Guidance provides instruction on the general requirements for a valid release of discrimination claims, as well as on the additional requirements applicable to age discrimination waivers covered by the Older Worker Benefit Protection Act (“OWBPA”) amendments to the Age Discrimination in Employment Act (“ADEA”).  The EEOC has issued detailed regulations interpreting and implementing the OWBPA/ADEA waiver rules (29 CFR § 1625.22), and much has previously been written about the requirements that must be satisfied to obtain an effective age discrimination waiver.  Under the ADEA waiver rules:  workers must be advised in writing to consult with an attorney; be afforded specified minimum time periods to consider the waiver (at least 21 days, or 45 days if offered as part of an “exit incentive” or "other termination program”); be allowed at least seven days after signing the waiver to revoke it; and receive other information about the benefits they will be receiving and the rights they will be giving up in order for the ADEA waiver to be valid (See EEOC Guidance at pp. 5-15). 

The EEOC Guidance is perhaps most instructive on rules applicable to non-age discrimination waivers.  The Guidance confirms that a waiver will not be valid unless it is signed by the employee “knowingly and voluntarily” and it is supported by sufficient “consideration” provided by the employer.  The EEOC states that for the employer’s “consideration” to be adequate, it must be something of value that is additional to the payments or benefits to which the employee is already entitled.  Therefore, offering employees their existing pension benefits or payments for their earned and unused vacation time or sick leave in exchange for a release will not be sufficient in the EEOC’s view.  Moreover, while acknowledging that Title VII, the ADA, and the EPA do not require employers to satisfy the OWBPA/ADEA disclosure requirements, the EEOC indicates that the following factors will be carefully examined to ascertain whether the employee’s waiver was provided “knowingly and voluntarily:”

  1. Was the waiver obtained through fraud, duress, undue influence, or other improper conduct?;
  2. Was the waiver written in plain language sufficient to be understood by an individual with the employee’s education and business experience?;
  3. Was the employee given enough time to read and consider the advantages and disadvantages of the waiver?;
  4. Was the employee encouraged to consult, or discouraged from consulting, with an attorney?;
  5. Was the employee allowed to negotiate the terms of the agreement?; and
  6. How valuable was the consideration offered for the waiver?

The EEOC Guidance illustrates the importance of specifically referencing employment discrimination claims as part of the waiver language, indicating that even if a general release is “clear and unambiguous,” it may not bar employment discrimination claims if they are not mentioned specifically.  Examples provided in the EEOC Guidance highlight the significance of an employee’s education and sophistication levels in assessing whether the waiver of employment discrimination claims was “knowingly and voluntarily” provided by that employee.

Finally, the EEOC Guidance states that if an employee signs a waiver and later files a discrimination charge against the employer, the EEOC will not require that individual to “tender back” the severance pay received before attempting to pursue that charge.  In this regard, the EEOC apparently will apply the “no tender back” rule applicable to ADEA waivers in the context of the other federal employment discrimination statutes (See Questions and Answers: Final Regulation on “Tender Back” and Related issues Concerning ADEA Waivers). The EEOC Guidance likewise reaffirms that broad language in severance agreements that seeks to limit employees in, or discourage them from, filing charges with the EEOC or participating or testifying in an EEOC investigation or proceeding is invalid and will not be enforced (See EEOC Enforcement Guidance on Non-Waivable Employees Rights under EEOC Enforced Statutes (Apr. 1997)).

In view of the growing willingness of agencies and courts to scrutinize and limit the terms of waiver agreements, employers planning additional workforce reductions will be well-served to review their standard severance agreements to ensure compliance with the EEOC Guidelines.  If you have questions or comments on the EEOC Guidance, please post them below or contact your BS&K employment attorney for additional information. 

EEOC Proposes ADA Amendments Act Regulations

July 26, 2009

By Andrew D. Bobrek

The U.S. Equal Employment Opportunity Commission (“EEOC”) has approved new regulations implementing the Americans with Disabilities Act Amendments Act of 2008 . Although these regulations are not yet public (and are pending review at the Office of Management and Budget), recent comments offered by EEOC officials nevertheless provide an insightful glimpse as to what changes employers can expect—including some changes arguably outside the scope of the ADAAA.

Congress passed the ADAAA with the intent of reversing several Supreme Court rulings interpreting the ADA’s scope of protection.  In short, the ADAAA sought to expand the definition of “disability” to cover a broader range of impairments than permitted under the Supreme Court’s interpretation of the law. The legislation also empowered EEOC to draft regulations implementing this new, broader definition.

EEOC recently met to approve proposed regulations fulfilling this mandate. At this meeting, EEOC officials—principally Assistant Legal Counsel Christopher J. Kuczynski—commented on select portions of the new regulations, which appear to constitute a major shift in policy. Given the remedial intent of the ADAAA, this shift will not come as a surprise to most observers. What is surprising, however, is that EEOC’s proposed regulations, at least according to some commentators, arguably exceed the scope of the ADAAA’s rulemaking authority. A few examples illustrate this noteworthy development.


First, comments from both Commissioner Constance Barker (who voted against approval) and Kuczynski indicate that EEOC has proposed removing the “condition, manner, or duration” concept from the current ADA regulations. To date, employers have applied this criteria to determine whether an impairment “substantially limits” a major life activity and, therefore, may require a reasonable accommodation. The new regulations would replace this concept with hypothetical examples designed to aid disability determinations. According to several commentators, however, nothing in the ADAAA indicates that Congress intended to eliminate the “condition, manner, or duration” concept, and, in fact, the legislative history suggests that drafters intended to preserve this analytical device for employers.

Second, the proposed regulations would redefine how an employer must evaluate whether an individual is substantially limited in the major life activity of “working”—another issue not expressly addressed by the ADAAA. Under current law, an individual is protected only if he or she cannot perform a “broad range” or “class” of jobs due to an impairment. The proposed regulations, however, would dispense with this concept, and, instead, require that an employee be unable to perform the “type of work” at issue (such as commercial truck driving, clerical work, assembly line work, or law enforcement).

Third, the proposed regulations include what amounts to a list of per se disabling conditions. According to Kuczynski’s comments, this list would include the following conditions: autism, blindness, cancer, cerebral palsy, deafness, diabetes, epilepsy, HIV/AIDS, intellectual disabilities, missing limbs, mobility impairments, multiple sclerosis, muscular dystrophy, as well as major depression, bipolar disorder, post-traumatic stress disorder, and schizophrenia. Enactment of such a per se list—which was not included in the ADAAA itself—would constitute a major departure from EEOC’s current policy calling for employers to take a “case-by-case” approach to assessing potential workplace impairments. The proposed regulations also identify several examples of “major life activities” and “major bodily functions” not included in the ADAAA itself.

Although more will be known once the proposed regulations are made public (including what steps employers may need to take to ensure compliance), one fact appears clear even at this early juncture: EEOC is plainly favoring a more categorical approach to determining whether an individual has a covered disability instead of the “individualized assessment” process which has thus far served as a hallmark of the ADA. 

Once the Office of Management and Budget completes its review, we anticipate the proposed regulations will be published in the Federal Register and interested parties will then have an opportunity to submit comments. In the mean time, employers should ensure their current practices conform with the ADAAA—which went into effect on January 1, 2009—paying particular attention to their reasonable accommodation policies and procedures.