12 Wake Forest L. Rev. Online 1

Introduction

The Americans with Disabilities Act (“ADA” or “the Act”)[1] celebrated its thirtieth anniversary in 2020.[2]  The Act, which was signed into law by President George H.W. Bush, was enacted to eliminate discrimination against individuals with disabilities, especially in critical areas of life like employment.[3]  With the ADA’s passage came the promise of “full and equal access to civic, economic and social life for individuals with disabilities.”[4]  Employment discrimination against persons with disabilities persisted, however, and courts facilitated this discrimination through narrow readings of the statute.[5]  Though the Act was intended to provide broad protections to persons with disabilities,[6] it was limited by courts, and early litigation resulted in pro-defendant opinions.[7]  As a result, Congress passed the Americans with Disabilities Act Amendments Act of 2008 (“ADAAA”), which broadened the definition of disability.[8]  Despite its maturity, as well as congressional efforts to create broader protections for persons with disabilities,[9] the ADA continues to create disagreement among courts regarding how far the protections of the Act stretch.[10]  Today, most of this disagreement centers on the ADA’s reasonable accommodation clause—a key provision of the Act.[11]

The Fourth Circuit is no exception as it too has contributed to this disagreement.  In Elledge v. Lowe’s Home Centers, LLC,[12] the court was asked to decide the scope of the reasonable accommodation clause.  The court addressed whether the ADA requires an employer to automatically reassign a disabled employee to a vacant position when that reassignment would conflict with the employer’s nondiscriminatory best-qualified hiring policy.[13]  Essentially, the court had to decide if the ADA requires an employer to fill a job vacancy with a less-qualified employee who has a disability even though the employer has a policy of hiring the best-qualified candidate for the position.[14]  Ultimately, the Fourth Circuit decided that the ADA does not require mandatory reassignment when an employer utilizes a best-qualified hiring policy.[15]

Mandatory reassignment requires courts to delve deep into the ADA’s statutory text and legislative history while also considering complex policy implications,[16] demonstrating why it is one of the most litigated accommodations within the ADA.[17]  Following the Elledge decision, there is now a split between five federal circuit courts, with the Fourth, Eighth, and Eleventh Circuits finding that the ADA does not require mandatory reassignment when an employer utilizes a most-qualified hiring policy to fill vacant positions, and the Seventh and Tenth Circuits finding that it does.[18]  Though the Fourth Circuit aligned with two other circuit courts, its holding in Elledge went too far, essentially precluding employees with disabilities from ever being reassigned to a vacant position when an employer utilizes a best-qualified hiring policy.[19] 

This Comment explores the complexity of the ADA’s reasonable accommodation clause and an employer’s duty to reassign. Part I discusses the relevant provisions of the ADA, specifically the reasonable accommodation and reassignment clauses.[20]  Part II explores the split between the federal circuit courts, as well as the United States Supreme Court’s decision in U.S. Airways, Inc. v. Barnett,[21] which establishes a framework for ADA reassignment cases.[22]  Additionally, Part II details the facts of the case in the Fourth Circuit’s Elledge decision and explains the court’s holding.[23]  Part III analyzes the Elledge decision and explains how the Fourth Circuit’s heavy reliance on U.S. Airways was misguided and how it limited the rights of disabled employees further than the Supreme Court or the other circuits ever intended.[24]

Finally, Part IV argues that finding reassignment as a reasonable accommodation, despite an employer’s best-qualified hiring policy, better suits the provisions of the ADA for three reasons.[25]  First, the text and legislative history of the ADA support finding reassignment as a reasonable accommodation when there are no other accommodations an employer can make to employ their employees with disabilities.[26]  Second, reassignment maintains the ADA’s burden-shifting test, which the Supreme Court outlines in U.S. Airways, and allows the fact-intensive inquiry as to whether an accommodation is reasonable to stay with the jury.[27]  Lastly, the ADA’s reassignment clause sufficiently protects employers as to not make reassignment unreasonable.[28]

I. The Americans with Disabilities Act and The Reasonable Accommodation Clause

The ADA prohibits discrimination by an employer “against a qualified individual on the basis of disability” in any of the “terms, conditions, and privileges of employment.”[29]  A qualified individual under the ADA is “an individual who, with or without reasonable accommodation, can perform the essential functions of the employment position that such individual holds or desires.”[30]  An individual’s essential job functions are the “fundamental job duties of the employment position.”[31]  Thus, the ADA requires employers to identify the essential functions of the job and then determine if the employee can perform them with a reasonable accommodation.[32]  If the employer determines the employee can perform the essential functions of the job with an accommodation, the employer’s failure to provide such an accommodation means the employer has engaged in a form of unlawful discrimination.[33]  The only way for an employer to overcome the reasonable accommodation requirement is by demonstrating that such a requirement would impose an undue hardship on the operation of its business.[34]

The ADA fails to provide a definition for what constitutes a reasonable accommodation,[35] but it does provide employers with a list of possibilities, one of them being reassignment of the employee to a vacant position.[36]  Despite the inclusion of reassignment in the statute, reassignment is intended to be an accommodation of last resort, requiring employers to reassign an employee with a disability only when there is no other accommodation that can keep the employee employed or when all other accommodations would pose an undue hardship on the employer.[37]  If keeping the employee in their current position is not possible, however, then the door to reassignment opens and must be considered.[38]  Since reassignment to a vacant position is specifically listed within the statutory text of the ADA, proponents of mandatory reassignment argue that the Act mandates it so long as the disabled employee is qualified.[39]  On the other hand, opponents of mandatory reassignment argue that because the ADA uses permissive language, it cannot require mandatory reassignment; these opponents believe Congress simply listed reassignment as something that “may” qualify as a reasonable accommodation.[40]  This permissive language has undoubtedly contributed to the controversy surrounding an employer’s duty to reassign;[41] the issue becomes more difficult when an employer normally fills job vacancies using a best-qualified hiring policy. 

II. The Circuit Courts Split

During the last two decades, federal circuit courts have disagreed as to whether the ADA requires mandatory job reassignment, which would require an employer to reassign a qualified disabled employee to a vacant position even if there is a better qualified individual.[42]  The Supreme Court has not addressed this specific question,[43] but it did address whether mandatory reassignment is reasonable when an employer utilizes a different nondiscriminatory hiring policy, specifically a seniority system, in U.S. Airways.[44]  Though not directly on point, lower courts have relied on U.S. Airways to support their position on reassignment when an employer has a best-qualified hiring policy in place.[45]  Unfortunately, the Supreme Court’s guidance has only divided the lower courts further, resulting in inconsistent applications of the law.[46]

A. The Supreme Court’s Decision in U.S. Airways, Inc. v. Barnett

In U.S. Airways, the Court was faced with the issue of whether an employer’s nondiscriminatory seniority system trumps a disabled employee’s accommodation request for a vacant position.[47]  The majority found reassignment to be unreasonable when it violates the rules of a seniority system because of the importance seniority has to employee-management relations.[48]  As the Court noted, seniority systems create “expectations of fair, uniform treatment” that would be undermined if a more junior employee were automatically reassigned to the vacancy.[49]  The effect of U.S. Airways is that employers no longer need to prove an undue hardship resulting from reassignment on a case-by-case basis—reassignment is presumed unreasonable if it violates an employer’s seniority system.[50] 

In U.S. Airways, reassignment was held to be unreasonable.[51]  But the holding was not a complete blow to employees with disabilities.  In its opinion, the Court acknowledged that the ADA requires employers to treat an employee with a disability preferentially, regardless of an employer’s disability-neutral rule.[52]  The Court emphasized that if it were not for the employer’s seniority system, an employee’s reassignment request would normally be reasonable within the meaning of the statute.[53]  Additionally, the Court held that employees may show special circumstances, based on the particular facts of their case, that warrant a finding that reassignment is reasonable despite an employer’s seniority system.[54]  Since U.S. Airways, a collection of courts have considered whether other nondiscriminatory policies, such as a best-qualified hiring policy, would make reassignment unreasonable.[55]  As a result, the split between the circuit courts on best-qualified hiring policies was borne.

B. The Disagreement Between the Circuit Courts

Before the Fourth Circuit’s decision, the Eighth and Eleventh Circuits found mandatory reassignment to be unreasonable when an employer utilized a best-qualified hiring policy,[56] and the Seventh and the Tenth Circuits found it reasonable.[57] 

  1. Circuit Courts Finding Mandatory Reassignment Unreasonable

The Eleventh and Eighth Circuits held that the ADA does not provide disabled employees preferential treatment.[58]  In these circuits, employers simply must identify to the employee that a vacancy exists and then permit the employee to apply equally amongst other applicants; the employer is not required to automatically reassign the employee to the vacant position.[59]  These circuits find the ADA’s permissive language to be indicative that Congress did not intend for reassignment to be required in all circumstances.[60]  Holding otherwise would “convert a nondiscrimination statute into a mandatory preference statute” that would be inconsistent with the nondiscriminatory purpose of the ADA.[61]  Additionally, these circuits rely on the Supreme Court’s decision in U.S. Airways to support their stance that a best-qualified policy automatically makes mandatory reassignment unreasonable.[62]  Since employers operate their businesses for profit, it would be unreasonable for an employer to pass over the best-qualified job applicant in favor of an employee with a disability because it would hinder job efficiency and good performance.[63] 

  1. Circuit Courts Finding Mandatory Reassignment Reasonable

The Seventh and Tenth Circuits find themselves on the opposite side, interpreting the ADA to require mandatory reassignment despite an employer’s nondiscriminatory best-qualified hiring policy.[64]  These circuits believe that allowing an employee to compete for a job open to the public is not an accommodation at all.[65]  For them, the ADA requires more; its “reference to reassignment would be redundant if permission to apply were all it meant.”[66]  Thus, an accommodation requires an active effort on the part of the employer—simply allowing an employee to compete does not fulfill this obligation.[67]

Like the Eighth and Eleventh Circuits, which rely on the ADA’s language to support their position, the Seventh and Tenth Circuits do as well.  The ADA defines reasonable accommodation to include “reassignment to a vacant position” rather than “consideration of reassignment to a vacant position.”[68]  Thus, these circuits rely on the ADA’s language to argue that if consideration of an applicant were all that was required by the ADA, then employers

could adopt a policy in favor of hiring the most qualified candidate such that a disabled employees could never rely on reassignment to establish the existence of a reasonable accommodation . . . . Such a result would effectively and improperly read ‘reassignment to a vacant position’ out of the ADA’s definition of ‘reasonable accommodation.’[69]

Additionally, the Seventh and Tenth Circuits gave considerable deference to guidelines issued by the Equal Employment Opportunity Commission (“EEOC”), which Congress authorized to implement the ADA.70

 

These circuits deferred to the EEOC’s interpretation of the ADA, which views the ADA as requiring mandatory reassignment when no other accommodations can accommodate the employee with a disability.71  “Reassignment means that the employee gets the vacant position if s/he is qualified for it.”72  In contrast to the Seventh and Tenth Circuits’ consideration of the EEOC’s interpretation, and despite the EEOC’s clear belief that employers are required to reassign employees with disabilities as an accommodation of last resort, the Eighth and Eleventh Circuits gave no consideration to the EEOC’s interpretation of the statute in their opinions.73

The Seventh Circuit, prior to the Supreme Court’s decision in U.S. Airways, originally held that employers utilizing best-qualified hiring policies were not required to reassign employees with disabilities to vacant positions if there was a more qualified candidate seeking the same position.74  But the court reversed its decision in light of the Supreme Court’s holding in U.S. Airways.75  The Seventh Circuit found U.S. Airways as support for mandatory reassignment, despite an employer’s best-qualified hiring policy.76  The court began by stating that the decision in U.S. Airways was a very narrow, fact-specific exception limited to cases where an employer uses a seniority system to fill job vacancies.77  It then distinguished a seniority system, which involves the rights of other employees, from a best-qualified policy, which does not implicate the rights of others.78  By distinguishing the two types of hiring policies, the Seventh Circuit explained why the holding in U.S. Airways does not survive in cases involving best-qualified policies.79  Thus, while the Eighth and Eleventh Circuits interpreted the Supreme Court’s decision in U.S. Airways as support for the view that reassignment is unreasonable when an employer utilizes a best-qualified hiring policy,80 the Seventh Circuit found the opposite, going so far as to reverse its own precedent.81 

C. The Fourth Circuit Weighs In

This past year, the Fourth Circuit in Elledge broke the even split between the federal circuit courts when it joined the Eighth and Eleventh Circuits by holding that employees with disabilities are not entitled to special priority for reassignment.82  The holding is significant because it conflicts with district court decisions made within the Fourth Circuit.83  But more importantly, it is significant because it goes beyond the decisions of its sister circuits and the Supreme Court by foreclosing the possibility of reassignment under any circumstance when an employer utilizes a best-qualified hiring policy.84

Chuck Elledge was an employee of Lowe’s Home Center (“Lowe’s”) and served as the company’s Market Director of Stores (“MDS”) for almost a decade—that is, until he began experiencing problems with his knee.85  After several surgeries, Elledge’s doctor restricted his walking to no more than four hours a day and his workday to no more than eight hours.86  These restrictions conflicted with the MDS position, which required Elledge to walk the floors he supervised and work over forty hours a week.87  Lowe’s was a sympathetic employer; it accommodated Elledge’s disability by temporarily limiting his working hours and offering him the use of a motorized scooter to ease the strain on his knee during store visits.88  Elledge refused, however, to use the scooter89 and accommodated himself by assigning subordinates to drive him to different store locations.90  When it was determined that Elledge would need reduced hours indefinitely, Lowe’s found that Elledge could not remain in his present position and discussed other career opportunities with him, including a less demanding and lower-paying position.91  Elledge rejected the offer from Lowe’s and applied for two lateral director positions.92  When he did not receive the lateral positions, Elledge brought suit against Lowe’s for violating its obligations under the ADA by removing him from the MDS role and refusing to automatically reassign him to either of the other two vacant director positions.93  Lowe’s’ maintained that it did not violate the ADA for failing to reassign Elledge because it selected its candidates based on its “succession planning and best-qualified hiring policies.”94

The Fourth Circuit began its inquiry by determining whether Elledge was a qualified individual within the meaning of the ADA, meaning that he could perform the essential functions of the job with or without reasonable accommodation.95  Because the MDS position required Elledge to walk sixty-six percent of working hours and to work in excess of eight hours a day, the court concluded he could not perform the essential functions of the job.96  But the court still had to confront whether Lowe’s was required to automatically reassign Elledge to a vacant director position that did not require as much walking, even though Lowe’s normally would fill that vacancy with whom it believed to be the best-qualified candidate.97  The court began by emphasizing that reassignment is an accommodation of last resort because it protects not just the disabled employee but employers and other employees as well.98  Next, the court relied on the Supreme Court’s decision in U.S. Airways where the Supreme Court held that the ADA does not “require employers to construct preferential accommodations.”99  It requires only that “preferential treatment be extended as necessary to provide [employees with disabilities] with the same opportunities as their non-disabled colleagues.”100  The Fourth Circuit interpreted this as requiring employers to simply allow disabled employees to compete for vacancies equally with other candidates.101 

The court next highlighted how the Supreme Court identified “the value of stability in employee expectations” as the most important reason for rejecting reassignment when the employer uses a seniority system.102  The court equated Lowe’s’ merit-based system— which had an “Enterprise Succession Management Process” nested within it—to a seniority system.103  Like in U.S. Airways, the Elledge court found that the policy created employee expectations and that in the “run of cases,” reassignment in contravention of such a policy would be unreasonable.104  The court’s heavy reliance on U.S. Airways resulted in Lowe’s not having to reassign its long-time employee and the subsequent termination of Elledge from his employment.105

III.  Why the Fourth Circuit’s Decision Goes Too Far

The Fourth Circuit was right to conclude that Lowe’s was not required to reassign Elledge to a vacant position based on the specific facts of the case before it.  The court should not, however, have foreclosed the possibility of reassignment for future disabled employees whose last chance of employment at their company truly depends on reassignment.  As the Fourth Circuit noted, reassignment is an accommodation of last resort and is only required when no other accommodation can keep the employee with a disability employed or when all other accommodations would pose an undue hardship on the employer.106  Here, Lowe’s extended a reasonable accommodation to Elledge; it provided him the use of a motorized scooter so he could move across the floors without straining his knee.107  Thus, Lowe’s fulfilled its obligation under the ADA by providing Elledge an accommodation that could keep him in his current position.  But Elledge chose not to accept this accommodation and instead created his own accommodation without the approval of his employer.108  While Elledge’s self-created accommodation allowed him to perform his job, the ADA does not require employers to accommodate employees with the accommodation of their choosing,109 especially when such an accommodation creates extra work for other employees.110  As the court noted, “Lowe’s made reasonable, sensitive attempts to accommodate an indisputably valued employee in his present position,” but Elledge undermined his case by refusing these accommodations and demanding others.111

Additionally, Lowe’s had a unique best-qualified hiring policy, which the court acknowledged as special;112 the Fourth Circuit should not have interpreted this policy as if it were a typical best-qualified hiring policy.  Within its best-qualified system, Lowe’s nested an “Enterprise Succession Management Process,” which it used to prepare its employees for promotion into the heightened responsibilities of the department’s director-level positions.113  It was specifically used to promote talent interdepartmentally and provided lower-level employees with special training to prepare them for directorship positions.114  This special system arguably creates the employee expectations at issue in U.S. Airways because Lowe’s actively trained employees to prepare them for directorship positions were they to open up.115  Thus, the Fourth Circuit’s primary justification for rejecting mandatory reassignment in light of the best-qualified hiring policy was because of the impact it would have on the rights of other employees, which was the “most important” reason held by the Supreme Court in U.S. Airways.116  For this reason, the court found this special kind of best-qualified system fell squarely within the ambit of U.S. Airways.117

The succession system built into the best-qualified system in Elledge was unique and unlike typical best-qualified hiring policies that do not disrupt the rights of other employees.118  Typically, a best-qualified system does not disrupt employee expectations of fair and uniform treatment because the most-qualified applicant never has a right to the position to begin with.119  This differs from a seniority system where employees have an objective way of knowing whether they are next in line for a vacant position.120  When an employer utilizes a best-qualified hiring policy, applicants have no knowledge of whether they are the best-qualified or not.121  Therefore, there are no preconceived expectations of job entitlement.122  Only the employer is impacted when the most-qualified applicant is passed over for a job vacancy by a disabled employee.123

Additionally, an exception to reassignment for seniority systems does not create the problems that would arise if the same exception were applied to best-qualified hiring policies.  Seniority systems provide an objective way of deciding which employee receives the vacant position; the employer simply determines who the most senior employee is.124  This contrasts with a best-qualified hiring policy where the employer must use a subjective analysis to determine who the “best” candidate is.125  This subjectivity allows discrimination against employees with disabilities to go undetected because there is no objective way to determine who the employer believes is the “best.”  This distinction is notable because the Supreme Court was not faced with the threat of undetectable discrimination when it decided to exempt seniority systems from the case-by-case inquiry of whether reassignment creates an undue hardship on the employer.126

The differences between a seniority system and best-qualified hiring policy are profound.  Because the Fourth Circuit found the policy in Elledge to resemble that of a seniority system,127 it should not have foreclosed the possibility of reassignment in lieu of an employer’s best-qualified hiring policy when that was not the precise policy at issue.  A better outcome would have left open the possibility of reassignment and simply found it to create an undue hardship based on those facts, given that Lowe’s had a succession system built into its best-qualified hiring policy, which created employee expectations within the company.128

The Fourth Circuit’s decision ultimately aligned with the Eighth and Eleventh Circuits’ decisions, which the Fourth Circuit referenced as support for its position.129  But, while the other circuits, as well as the Supreme Court, left the door to reassignment cracked open for disabled employees, the Fourth Circuit’s decision shut it closed.  In U.S. Airways, the Supreme Court held that there may be special circumstances that warrant a finding that, despite the presence of a seniority system, the requested reassignment is reasonable on the particular facts of the case.130  The Eleventh Circuit agreed, leaving open the possibility of reassignment despite an employer’s best-qualified hiring policy.131  But the Fourth Circuit’s decision makes no mention of such a possibility, essentially precluding a disabled employee from ever being reassigned to a vacant position when its employer utilizes a best-qualified hiring policy.  This critical omission could result in cases being disposed of prematurely at the summary judgment stage without affording employees the opportunity to prove that the facts of their case warrant reassignment.

IV. Mandatory Reassignment is Consistent with the Provisions of the ADA

The Fourth Circuit’s evidently pro-employer decision leaves employees with disabilities without the opportunity to present to a court why the ADA requires their employer to reassign them to a vacant position, affording them the right to remain employed at their place of employment.  Such a decision goes against the spirit of the ADA and Congress’ vision when it enacted the statute.  Until the Supreme Court hears the precise issue, this Comment proposes that courts interpret the ADA as requiring mandatory reassignment to a vacant position when no other accommodations are available, despite an employer’s nondiscriminatory best-hiring policy.  Such a result better suits the provisions of the ADA.

A. The Text and Legislative History of the ADA Support Mandatory Reassignment

Congress enacted the ADA to protect persons with disabilities from discrimination in employment;132 it explicitly chose to include reassignment to a vacant position as a way to achieve this outcome.133  The provisions of the ADA are meant to be interpreted liberally in favor of the protected class.134  When the ADA was first enacted, and the courts narrowly interpreted the definition of what it meant to be disabled, Congress amended the statute to make it easier for individuals with disabilities to qualify for protections under the ADA.135  Congress’s initiative to amend the statute evidences its intent that the provisions of the ADA, including the reassignment clause, be construed broadly.  The congressional intent for mandatory reassignment is further evidenced by Congress’s inclusion of reassignment within the statute despite its absence in the Rehabilitation Act, which served as the framework for the ADA.136  During the ADA’s legislation, legislators recognized the importance of reassignment by noting that “transfer to another vacant job for which the person is qualified may prevent the employee from being out of work and [the] employer from losing a valuable worker.”137  The emphasis on reassignment during these various stages of the statute’s life demonstrate Congress’s intent for reassignment to be used by employers as a way to keep employees with disabilities employed. 

While Congress’s choice of the words “may include” before the list of possible accommodations is permissive, this permissive language can be reconciled with an employer’s duty to reassign.138  The use of the word “may” before the list of accommodations is simply to indicate that an employer must perform an individualized analysis when determining which accommodation is most appropriate for the employee’s disability and essential job responsibilities.139  It is “[not] an opportunity [to exchange] a ‘best qualified” standard into the word ‘reasonable.’“140  The statutory text of the ADA only calls for the disabled employee to be qualified for the position they wish to retain or seek; it does not require the employee with a disability to be the best-qualified candidate.141  To read the statute otherwise would require courts to judicially amend “the statutory phrase ‘qualified individual with a disability’ to read, instead, ‘best qualified individual, notwithstanding the disability.’”142  If Congress had wanted to protect most-qualified individuals, it could have stated that employers are not required to pass over more qualified candidates.143

The purpose and spirit of the ADA supports the need for mandatory reassignment.  The ADA was enacted after Congress realized that “the continuing existence of unfair and unnecessary discrimination and prejudice denies people with disabilities the opportunity to compete on an equal basis.”144  Allowing an exception to reassignment due to an employer’s best-qualified-hiring policy would provide employers with an easy and undetectable avenue to discriminate against individuals with disabilities.  Congress explicitly acknowledged that prejudices against people with disabilities will prevent them from competing on an equal basis with those who do not have disabilities.145  As such, the argument that the ADA simply requires disabled employees to compete for job vacancies is unwarranted, especially in light of the Supreme Court’s acknowledgement that the ADA requires affirmative conduct and preferential treatment.146  Thus, reassignment without competition is consistent with the plain meaning of the statute, its legislative history, and the Supreme Court’s interpretation of the ADA.

A hiring policy which uses an employer’s subjective determination on the relative strength of different applicants would allow bias and prejudice to influence the employer’s ultimate hiring decision.  In 2019, there were over twenty-four thousand ADA claims charged by the EEOC,147 and the unemployment rate for employees with disabilities is nearly twice that of nondisabled workers.148  With these numbers in mind, it is not surprising that in a study where mock job applications were sent to employers, applicants who disclosed disabilities received twenty-six percent fewer expressions of employer interests than those applicants who reported no disability.149  These statistics support the position that reassignment to a vacant position should be mandatory because discrimination against persons with disabilities continues to persist today.150  Since reassignment is the accommodation of last resort, it is often the last chance for an employee with a disability to remain employed.151  The consequences for the passed over “best-qualified” candidate are not nearly as severe; they simply remain in their current position while the opportunity to move into another position is deferred rather than lost.152  Because reassignment is the last saving grace to keep the employee employed, it should be read as a mandatory requirement to properly carry out the ADA’s purpose of ensuring the “full participation, independent living, and economic self-sufficiency” of individuals with disabilities.153 

B. Burden-Shifting Test and Fact-Intensive Inquiry

Rather than a per se rule that precludes reassignment in every circumstance when an employer utilizes a best-qualified hiring policy, courts should find reassignment as being generally reasonable, then allow employers to establish why reassignment would create an undue hardship given the specific facts of their case.  Such an approach is consistent with the burden-shifting test framed by the Supreme Court in U.S. Airways.154  Under this framework, the employee with a disability must first prove that an accommodation is reasonable on its face.155  If “the employee cannot show the accommodation is reasonable ‘in the run of cases,’” then summary judgment against the plaintiff-employee is appropriate.156  It is already established that reassignment is generally a reasonable accommodation in ADA cases;157 therefore, the burden is on the employer to establish special case-specific reasons demonstrating why reassignment would cause them an undue hardship.158

Following the Supreme Court’s framework on a case-by-case basis better follows the provisions of the ADA than a rule precluding reassignment when an employer has a best-qualified policy because reasonable accommodation requests and undue hardship defenses are fact-intensive inquiries that are meant to be considered on a case-by-case basis.159  A per se rule outwardly establishing reassignment as unreasonable when an employer has a best-qualified policy would prematurely dispose of cases at the summary judgment stage, denying employees with disabilities from presenting their cases to a jury and demonstrating why the specific facts of their case warrant reassignment.  More importantly, if failure to reassign claims are prematurely disposed of, then employers may easily hide intentional discrimination in the name of hiring a “better-qualified” individual.  The need for these cases to reach a jury is imperative given that discrimination may be easily covered up by an employer’s justification of hiring the “best-qualified” candidate.  The jury should be charged with deciding whether the employer’s choice for the vacant position was actually the better-qualified individual or whether the “employer consciously selected a less-qualified candidate––something that employers do not usually do, unless some other strong consideration, such as discrimination, enter[ed] into the picture.”160 

Rather than shutting the door on reassignment, a better approach would require employers to demonstrate why reassignment is unreasonable given their business circumstances.  Under this approach, an employee can survive a motion for summary judgment if the employer fails to reassign the employee to a vacant position.  A jury can then decide whether (1) a vacant position existed; (2) the employee was qualified for the vacant position; and (3) reassignment would have caused the employer undue hardship.161  This approach is consistent with the Supreme Court’s framework in U.S. Airways, allows employees with disabilities to challenge their employer’s determination of their qualifications, and retains the jury’s role in these fact-intensive inquiries.

C. The ADA Sufficiently Protects Employers from Any Potential Abuse by the Reassignment Accommodation

Employers are naturally hesitant of a law that would require them to reassign employees to positions they were not hired for.  A per se rule precluding reassignment when an employer utilizes a best-qualified hiring policy is unnecessary, however, because the ADA already provides employers with sufficient statutory protections.162  To begin, reassignment is the accommodation of last resort, meaning that employers are only required to consider reassignment when no other accommodation is available or when any available accommodation would create an undue hardship on their business.163  The ADA’s last resort status protects employers by requiring employers and employees to consider all other possible accommodations before reassignment becomes a possibility.

The ADA only requires employers to accommodate disabled employees if the employee can first prove they are qualified, meaning they can perform the essential functions of the job.164  When considering reassignment to a vacant position, the employee must prove they can perform the essential functions of the job they are seeking.165  This qualification protects the employer and allows them to deny reassignment if the employee is not qualified for the vacant position.  Further, an employer does not need to create a vacancy for the employee with a disability; reassignment is only necessary when there is already a vacancy in place.166  This protects employers from potential backlash from other employees whose positions might be compromised if the employer were forced to create job vacancies.  It also serves as a financial protection since employers will not need to create a new position and hire an extra employee.  Additionally, the employer has the right to decide which vacant job position is to be offered to the employee;167 the employee does not have the right to decide, and the reassignment need not involve a promotion.168

Finally, the employer is always free to show that reassignment would create an undue hardship on their business given the particular facts of their case.169  As indicated in Elledge, there are circumstances where reassignment would prove an undue hardship on an employer who uses a best-qualified hiring policy.170  This defense protects employers who find themselves in situations where reassignment may affect the rights of other employees or cause other hardships for the employer.171  As such, the provisions of the ADA sufficiently protect employers from potential abuse.  The Act’s limitations mean it will be used infrequently, reserving its protections for those special circumstances where employees with disabilities are left with no other means to remain employed.

Conclusion

The split between the federal circuit courts with respect to an employer’s duty to reassign has resulted in inconsistent applications of the law, leaving both employees and employers confused as to their rights and obligations under the ADA.  The Supreme Court failed to resolve the ambiguity involving an employer’s duty to reassign; it only complicated the inquiry as evidenced by the conflicting interpretations of U.S. Airways used by the lower courts.  As a result, in some states, a qualified person with a disability will automatically be reassigned to a vacant position as a form of reasonable accommodation.  In others, the person with a disability must either compete for the vacant position amongst other applicants and potentially still not receive the position or leave their job and face unemployment. 

When Congress enacted the ADA, it realized the prejudice that people with disabilities face in employment; those prejudices are still very much alive today.  In order to carry out the Act’s main purpose, which is to allow more individuals with disabilities to enter the workplace and remain employed, reassignment should be required by employers, even if there is a better-qualified candidate for the vacancy.  Until the Supreme Court hears the issue, courts should require employers to reassign their employees with disabilities when no other accommodation can keep them employed.  Once an employee with a disability has established that they are otherwise qualified for the position, the burden should shift to the employer to demonstrate why reassignment would cause them an undue hardship.  To read the provisions of the ADA otherwise would allow employers to always deny people with disabilities vacant positions in the name of a best-qualified hiring policy; such a rule would essentially remove the reassignment clause from the list of accommodations written in the ADA.

Belen Wilson*

 

 

      [1].   Americans with Disabilities Act of 1990, 42 U.S.C. §§ 12101­–12213.

      [2].   Anniversary of Americans with Disabilities Act: July 26, 2020, U.S. Census Bureau: Facts & Features (June 17, 2020), https://www.census.gov/newsroom/facts-for-features/2020/disabilities-act.html.

      [3].   See 42 U.S.C. § 1210(b)(1); see also id. § 1210(a)(3) (finding that “discrimination against individuals with disabilities persists in such critical areas as employment”); Stephen F. Befort & Tracey Holmes Donesky, Reassignment Under the Americans with Disabilities Act: Reasonable Accommodation, Affirmative Action, or Both?, 57 Wash. & Lee L. Rev. 1045, 1046 (2000) (stating that one of Congress’s principal reasons for enacting the ADA was to help disabled people enter and stay in the workplace).

      [4].   U.S. Dep’t of Just., ADA Series Commemorates Upcoming Anniversary (2017), https://www.justice.gov/archives/opa/blog/ada-series-commemorates-upcoming-anniversary

      [5].   See Lawrence D. Rosenthal, Most-Qualified-Applicant Hiring Policies or Automatic Reassignment for Employees with Disabilities? Still a Conundrum Almost Thirty Years After the Americans with Disabilities Act’s Enactment, 70 Baylor L. Rev. 715, 716 (2018) (finding that much of the early litigation concerning the ADA resulted in many pro-defendant opinions to the detriment of disabled employees); see also Stephen F. Befort, The Most Difficult ADA Reasonable Accommodation Issues: Reassignment and Leave of Absence, 37 Wake Forest L. Rev. 439, 440 (2002) (stating that during the ADA’s early years there was heavy litigation concerning the scope of the “disability” definition); Civil Rights Div., U.S. Dep’t of Just., Questions and Answers about the Department of Justice’s Notice of Proposed Rulemaking to Implement the Americans with Disabilities Act Amendments Act of 2008 (Jan. 30, 2014), https://www.ada.gov/nprm_adaaa/adaaa-nprm-qa.htm (stating that amendments to the ADA were passed as a result of Supreme Court decisions that narrowly interpreted the ADA).

      [6].   42 U.S.C. § 12101(b).

      [7].   See generally Rosenthal, supra note 5 (finding that early litigation concerning the ADA resulted in many pro-defendant opinions).

      [8].   Id. at 716–17; see also ADA Amendments Act of 2008, Pub. L. No. 110–325, 122 Stat. 3553.  The “Findings and Purposes” section of the ADAAA states that the amendments are a direct response to some Supreme Court decisions, which narrowly interpreted the ADA.  See id. at 3554.

      [9].   See Rosenthal, supra note 5, at 716–17 (explaining that the ADAAA was passed to make the ADA more helpful for individuals with disabilities as a result of too many pro-defendant court opinions).

     [10].   See, e.g., John E. Murray & Christopher J. Murray, Enabling the Disabled: Reassignment and the ADA, 83 Marq. L. Rev. 721, 722 (2000) (stating that courts disagree as to the scope and parameter of an employer’s duty to accommodate its disabled employees, specifically through reassignment). 

     [11].   See generally Befort, supra note 5 (stating that the attention of courts has shifted to the reasonable accommodation clause); Michael Creta, Note, The Accommodation of Last Resort: The Americans with Disabilities Act and Reassignments, 55 B.C. L. Rev. 1693, 1697 (2014).  The reasonable accommodation clause includes the reassignment clause, which lists reassignment to a vacant position as a type of reasonable accommodation.  42 U.S.C. § 12111(9).

     [12].   979 F.3d 1004 (4th Cir. 2020).

     [13].   See id. at 1007–09.  A most-qualified (or best-qualified) hiring policy is a policy in which the employer hires the most-qualified applicant for a vacant position.  See id. at 1016.

     [14].   Id.

     [15].   Id. at 1014–15.

     [16].   See Stephen F. Befort, Reasonable Accommodation and Reassignment Under the Americans with Disabilities Act: Answers, Questions and Suggested Solutions After U.S. Airways, Inc. v. Barnett, 45 Ariz. L. Rev. 931, 944 (2003) (“Of all the accommodations listed in the ADA, the reassignment accommodation has proven to be the most difficult to apply.”).

     [17].   See id. (stating that reassignments have generated more litigation than any other reasonable accommodation).

     [18].   Compare Elledge, 979 F.3d at 1016–18 (finding mandatory reassignment to be unreasonable when an employer utilizes a best-qualified hiring policy), and EEOC v. St. Joseph’s Hosp., Inc., 842 F.3d 1333, 1346–47 (11th Cir. 2016) (same), and Huber v. Wal-Mart Stores, Inc., 486 F.3d 480, 483 (8th Cir. 2007) (same), with EEOC v. United Airlines, Inc., 693 F.3d 760, 761 (7th Cir. 2012) (finding that the ADA mandates reassignment to another position when there is no other reasonable accommodation the employer can make), and Smith v. Midland Brake, Inc., 180 F.3d 1154, 1181, 1183 (10th Cir. 1999) (same).

     [19].   See, e.g., Elledge, 979 F.3d at 1018 (“In order to prove a prima facia case that a removal violated the ADEA, [a plaintiff] must show inter alia that he was qualified for his job.”).  See also discussion infra Part III.

     [20].   See infra Part I.

     [21].   535 U.S. 391 (2002).

     [22].   See infra Part II.

     [23].   See infra Part II.C.

     [24].   See infra Part III.

     [25].   See infra Part IV.

     [26].   See infra Part IV.A.

     [27].   See infra Part IV.B.

     [28].   See infra Part IV.C.

     [29].   42 U.S.C. § 12112(a).

     [30].   Id. § 12111(8).

     [31].   29 C.F.R. § 1630.2(n)(1) (2021).

     [32].   See Creta, supra note 11, at 1702 (explaining how the ADA requires employers to engage in a two-step inquiry); Befort & Holmes Donesky, supra note 3, at 1051 (same).

     [33].   42 U.S.C. § 12112(b)(5)(A) (defining discrimination as the failure to make “reasonable accommodations to the known physical or mental limitations of an otherwise qualified individual with a disability”).

     [34].   Id.  An undue hardship is an “action requiring significant difficulty or expense.”  Id. § 12111(10)(A).

     [35].   See Thomas F. O’Neil III & Kenneth M. Reiss, Reassigning Disabled Employees Under the ADA: Preferences Under the Guise of Equality?, 17 Lab. Law. 347, 349 (2001) (stating that the statute “provides no guidance whatsoever in determining whether a certain accommodation is reasonable”).

     [36].   See 42 U.S.C. § 12111(9)(B).

     [37].   EEOC, Enforcement Guidance: Reasonable Accommodation and Undue Hardship under the Americans with Disabilities Act (2002), https://www.eeoc.gov/laws/guidance/enforcement-guidance-reasonable-accommodation-and-undue-hardship-under-ada.

     [38].   Id.

     [39].   See, e.g., Smith v. Midland Brake, Inc., 180 F.3d 1154, 1165 (10th Cir. 1999).

     [40].   See EEOC v. St. Joseph’s Hosp., Inc., 842 F.3d 1333, 1345 (11th Cir. 2016) (“The ADA does not say or imply that reassignment is always reasonable.  To the contrary, the use of the word ‘may’ implies just the opposite: that reassignment will be reasonable in some circumstances but not in others.”). 

     [41].   See, e.g., Court Holds ADA Does Not Require Reassignment Without Compensation, Shawe Rosenthal LLP (Dec. 31, 2016), https://shawe.com/articles/court-holds-ada-does-not-require-reassignment-without-competition/.

     [42].   See St. Joseph’s Hosp., 842 F.3d at 1345 (holding that reassignment is not mandatory under the ADA). But cf. Smith, 180 F.3d at 1165 (holding that reassignment is mandatory).

     [43].   In 2007 the Supreme Court agreed to address whether reassignment would be reasonable in the context of most-qualified hiring systems, but the parties settled the case prior to oral argument rendering it moot.  See Huber v. Wal-Mart Stores, Inc., 486 F.3d 480, 483 (8th Cir. 2007).

     [44].   See U.S. Airways, Inc, v. Barnett, 535 U.S. 391, 392 (2002).

     [45].   See, e.g., St. Joseph’s Hosp., 842 F.3d at 1345.

     [46].   Compare Huber, 486 F.3d at 483 (finding that the Supreme Court’s decision in U.S. Airways bolstered its decision that reassignment is unreasonable when an employer utilizes a best-qualified hiring policy), with EEOC v. United Airlines, Inc., 693 F.3d 760, 764–65 (7th Cir. 2012) (finding that the Supreme Court’s decision in U.S. Airways provides support for noncompetitive reassignment). 

     [47].   U.S. Airways, 535 U.S. at 391.

     [48].   Id. at 403.

     [49].   Id. at 404.

     [50].   Jared Hager, Note, Bowling for Certainty: Picking Up the Seven-Ten Split by Pinning Down the Reasonableness of Reassignment After Barnett, 87 Minn. L. Rev. 2063, 2081–82 (2003).

     [51].   U.S. Airways, 535 U.S. at 403.

     [52].   Id. at 397.

     [53].   Id. at 403.

     [54].   Id. at 405.

     [55].   See infra notes 57–58.

     [56].   EEOC v. St. Joseph’s Hosp., Inc., 842 F.3d 1333, 1345 (11th Cir. 2016) (“[T]he ADA does not require reassignment without competition for, or preferential treatment of, the disabled.”); Huber v. Wal-Mart Stores, Inc., 486 F.3d 480, 483 (8th Cir. 2007) (stating that the ADA “does not require an employer to reassign a qualified disabled employee to a vacant position when such a reassignment would violate a legitimate nondiscriminatory policy of the employer to hire the most qualified candidate”).

     [57].   EEOC v. United Airlines, Inc., 693 F.3d 760, 765 (7th Cir. 2012) (adopting the approach that “the ADA requires employers to appoint disabled employees to vacant positions, provided that such accommodations would not create an undue hardship”); Smith v. Midland Brake, Inc., 180 F.3d 1154, 1165 (10th Cir. 1999) (concluding that reassignment to a vacant position must be offered to the disabled employee if he or she is unable to perform their existing job).  Some consider the D.C. Circuit to require mandatory reassignment to a vacant position; however, the court was not confronted with an employer’s best-qualified hiring policy when it decided the case.  See Aka v. Wash. Hosp. Ctr., 156 F.3d 1284, 1304 (D.C. Cir. 1998).

     [58].   St. Joseph’s Hosp., 842 F.3d at 1345; Huber, 486 F.3d at 483.

     [59].   See St. Joseph’s Hosp., 842 F.3d at 1345; Huber, 486 F.3d at 483.

     [60].   See St. Joseph’s Hosp., 842 F.3d at 1345 (“To the contrary, the use of the word ‘may’ implies just the opposite: that reassignment will be reasonable in some circumstances but not in others.”). 

     [61].   Huber, 486 F.3d at 483 (quoting EEOC v. Humiston-Keeling, Inc., 227 F.3d 1024, 1028 (7th Cir. 2000) (internal citations omitted), overruled by United Airlines, Inc., 693 F.3d at 764–65).  The Eighth Circuit viewed U.S. Airways as support for its position, even though the Supreme Court stated in that case that the ADA requires employers to sometimes treat an employee with a disability preferentially.  See U.S. Airways, Inc. v. Barnett, 535 U.S. 391, 397–98 (2002).

     [62].   Huber, 486 F.3d at 483 (stating that “[t]his conclusion is bolstered by the Supreme Court’s decision in U.S. Airways, Inc. v. Barnett”).

     [63].   St. Joseph’s Hosp., 842 F.3d at 1346.

     [64].   United Airlines, Inc., 693 F.3d at 763; Smith v. Midland Brake, Inc., 180 F.3d 1154, 1165 (10th Cir. 1999).

     [65].   Smith, 180 F.3d at 1165 (“Allowing the plaintiff to compete for jobs open to the public is no accommodation at all. . . . [The employer’s] policy or practice that all reassignments are made through competitive hiring prevents the reassignment of employees with disabilities to vacant positions for which they are qualified and discriminates against qualified individuals with disabilities.” (quoting Ransom v. State of Ariz. Bd. of Regents, 983 F. Supp. 895, 902–03 (D. Ariz. 1997) (internal citations  and quotation marks omitted)). 

     [66].   Id. (citing Aka v. Wash. Hosp. Ctr., 156 F.3d 1284, 1304 (D.C. Cir. 1998)).

     [67].   Aka, 156 F.3d at 1304.

     [68].   Smith, 180 F.3d at 1164.

     [69].   Lincoln v. BNSF Ry. Co., 900 F.3d 1166, 1205 (10th Cir. 2018).

  1. See 42 U.S.C. § 12116 (authorizing the EEOC to create regulations to implement the ADA).
  2. See EEOC, supra note 37.
  3. Smith, 180 F.3d at 1166–67 (quoting EEOC, Enforcement Guidance: Reasonable accommodation and Undue Hardship Under the Americans With Disabilities Act 44 (1999)).
  4. See EEOC v. St. Joseph’s Hosp., Inc., 842 F.3d 1333, 1345–47 (11th Cir. 2016); Huber v. Wal-Mart Stores, Inc., 486 F.3d 480, 482–83 (8th Cir. 2007).
  5. See EEOC v. Humiston-Keeling, Inc., 227 F.3d 1024, 1029 (7th Cir. 2000), overruled by EEOC v. United Airlines, Inc., 693 F.3d 760, 763 (7th Cir. 2012).
  6. See United Airlines, 693 F.3d at 761, 764–65.
  7. Id. at 763.
  8. Id. at 764.
  9. Id. (stating that “the violation of a best-qualified selection policy does not involve the property-rights and administrative concerns (and resulting burdens) presented by the violation of a seniority policy”).
  10. Id.
  11. 80. See supra notes 59–64 and accompanying text.
  12. 81. See United Airlines, 693 F.3d at 765.
  13. 82. See Elledge v. Lowe’s Home Ctrs., LLC, 979 F.3d 1004, 1014–15 (4th Cir. 2020) (stating that the ADA simply provides that employers do not need to create preferential accommodations that maximize workplace opportunities for employees with disabilities).
  14. 83. See Eustace v. Springfield Pub. Schs., 463 F. Supp. 3d 87, 106–09 (D. Mass. 2020); Kosakoski v. PNC Fin. Servs. Grp., Inc., No. 12-cv-00038, 2013 WL 5377863, at *17 (E.D. Pa. Sept. 26, 2013) (finding that an employer’s best-qualified hiring policy does not create a per se undue hardship that would alleviate the employer’s duty to reassign).
  15. 84. Elledge, 979 F.3d at 1016.
  16. 85. Id. at 1007–08.
  17. 86. at 1008.
  18. 87. at 1009–10.
  19. 88. at 1008.
  20. 89.
  21. 90. at 1008, 1012 (according to Elledge, this restructuring also allowed him to perform the true essential functions of his job).
  22. Id. at 1008.
  23. Id.
  24. Id.
  25. Id. at 1008, 1017.
  26. Id. at 1009 (citing 42 U.S.C. § 12111(8)).
  27. Id. at 1012.  When determining whether an employee is a qualified individual when seeking reassignment as a reasonable accommodation, the relevant question is whether the employee is qualified for the new position, not whether the employee is qualified for her current position.  See United States EEOC v. St. Joseph’s Hosp., Inc., 842 F.3d 1333, 1344 (11th Cir. 2016).
  28. Elledge, 979 F.3d at 1013–14.
  29. Id. at 1014.
  30. Id. at 1015.
  31. Id.
  32. Id. at 1016–17.
  33. Id. at 1015 (citing U.S. Airways, Inc. v. Barnett, 535 U.S. 391, 404–05 (2002)).
  34. Id. at 1015–16.
  35. Id. at 1016 (Lowe’s’ policy “invites, rewards, and protects the formation of settled expectations regarding hiring decisions.”).
  36. Id. at 1015–16, 1018.
  37. EEOC, supra note 37.
  38. Elledge, 979 F.3d at 1016 (stating that “Lowe’s offer of a motorized scooter was reasonably calculated to mitigate the disadvantages of Elledge’s reduction in natural mobility”).
  39. Id. at 1012.
  40. The ADA: Your Responsibilities as an Employer (2021), EEOC,

https://www.eeoc.gov/publications/ada-your-responsibilities-employer (last visited Jan. 27, 2022) (“It need not be the best accommodation or the accommodation the individual with a disability would prefer . . . .”).

  1. Elledge, 979 F.3d at 1013 (stating that an employer “do[es] not need to change a job’s essential functions or split them across multiple employees” to accommodate an employee with a disability (citing 29 C.F.R. app. § 1630.2(o))).
  2. Id. at 1013.
  3. Id. at 1016 (“Lowe’s advanced its employees in accordance with a special kind of best-qualified hiring system.” (emphasis added)).
  4. Id.
  5. Id.
  6. Id. (noting that this hiring policy was “a succession system within a best-qualified system”).
  7. Id. at 1015 (citing U.S. Airways, Inc. v. Barnett, 535 U.S. 391, 404–05 (2002)).
  8. Id. at 1016.
  9. Id.
  10. See Hager, supra note 51, at 2091.
  11. See Cal. Brewers Ass’n v. Bryant, 444 U.S. 598, 606, 613–14 (1980) (stating that seniority systems are objective and easily calculable since they are based on the length of employment with a particular employer).
  12. EEOC v. Mfrs. & Traders Trust Co., 429 F. Supp. 3d 89, 115 (D. Md. 2019) (“Unlike a seniority system, a best-qualified candidate policy provides no guarantee of steady and predictable advancement.  Indeed, by its very nature, a best-qualified employee policy undermines predictability, as employees cannot know the pool of applicants against whom they will compete.”).
  13. There is no legal entitlement to a vacant job position based on an employer’s best-qualified hiring policy because the applicant does not have a contractual agreement with the employer that provides a right to the position.  See U.S. Airways, Inc. v. Barnett, 535 U.S. 391, 409 (2002) (O’Connor, J., concurring).
  14. Mfrs. & Traders Trust, 429 F. Supp. 3d at 116.
  15. See Bryant, 444 U.S. at 605–06.
  16. See EEOC v. St. Joseph’s Hosp., Inc., 842 F.3d 1333, 1346 n.5 (11th Cir. 2016) (acknowledging that a merit-based selection policy leaves more room for subjectivity and is inherently more susceptible to abuse for discriminatory purposes).
  17. See Barnett, 535 U.S. at 421–22 (Souter, J., dissenting).
  18. Elledge v. Lowe’s Home Ctrs., LLC, 979 F.3d 1005, 1016 (4th Cir. 2020).
  19. Id.
  20. Id.
  21. Barnett, 535 U.S. at 403–06.
  22. EEOC v. St. Joseph’s Hosp., Inc., 842 F.3d 1333, 1345 (11th Cir. 2016).
  23. 42 U.S.C. § 12101(b)(1).
  24. 42 U.S.C. § 12111(9)(B).
  25. ADA Amendments Act, Pub. L. No. 110–325, 122 Stat. 3553 § 2(a)(4) (2008).  (“[T]he holdings of [recent Supreme Court cases] . . . have narrowed the broad scope of protection intended to be afforded by the ADA, thus eliminating protection for many individuals whom Congress intended to protect . . . .”).
  26. See id.
  27. Creta, supra note 11, at 1698; see also Befort, supra note 5, at 449 (stating that the ADA departed from the Rehabilitation Act by including “reassignment to a vacant position” in its list of reasonable accommodations (quoting 42 U.S.C. § 12111(9)(B))).
  28. H.R. Rep. No. 101-485, pt. 2, at 63 (1990), as reprinted in 1990 U.S.C.C.A.N. 303, 345.
  29. See 42 U.S.C. § 12111(9); EEOC v. Mfrs. & Trust Co., 429 F. Supp. 3d 89, 112 (D. Md. 2019).
  30. Mfrs. & Trust, 402 F. Supp. 3d at 112.
  31. Id. at 113 (quoting Smith v. Midland Brake, Inc., 180 F.3d 1154, 1168 n.7 (10th Cir. 1999)).
  32. 42 U.S.C. § 12112(a).
  33. Mfrs. & Trust, 429 F. Supp. 3d at 112.
  34. Creta, supra note 11, at 1719.
  35. 42 U.S.C. § 12101(a)(8).
  36. See 42 U.S.C. § 12101(a)(2) (stating that “historically, society has tended to isolate and segregate individuals with disabilities, and, despite some improvements, such forms of discrimination against individuals with disabilities continue to be a serious and pervasive social problem”).
  37. U.S. Airways, Inc. v. Barnett, 535 U.S. 391, 400 (2002).
  38. EEOC, Charge Statistics (Charges filed with EEOC) FY 1997 Through FY 2020 (2021), https://www.eeoc.gov/statistics/charge-statistics-charges-filed-eeoc-fy-1997-through-fy-2020.
  39. Press Release, U.S. Bureau of Lab. Stats., Persons with a Disability: Labor: Force Characteristics Summary (Feb. 24, 2021), https://www.bls.gov/news.release/disabl.nr0.htm.
  40. Sarah Parker Harris & Rob Gould, Research Brief: Experience of Discrimination and the ADA, ADA Nat’l Network (2019) (citing J. E. Beatty, Career Barriers Experienced by People with Chronic Illness: A US Study, 24 Emp. Resp. & Rts. J., 91–110 (2012)), https://adata.org/research_brief/experience-discrimination-and-ada.
  41. Stacy M. Hickox, Transfer as an Accommodation: Standards from Discrimination Cases and Theory, 62 Ark. L. Rev. 195, 224 (2009).
  42. See Befort, supra note 5, at 469.
  43. Id. at 469–70.
  44. 42 U.S.C. § 12101(a)(7)–(8).
  45. U.S. Airways, Inc. v. Barnett, 535 U.S. 391, 401 (2002).
  46. Id.
  47. EEOC v. Mfrs. & Trust Co., 429 F. Supp. 3d 89, 103 (D. Md. 2019) (quoting Barnett, 535 U.S. at 394.
  48. Barnett, 535 U.S. at 402–03 (stating that normally a reassignment request is reasonable within the meaning of the ADA).
  49. Id. at 401–02.
  50. See Garcia-Ayala v. Lederle Parenterals, Inc., 212 F.3d 638, 650 (1st Cir. 2000) (reasonable accommodation requests require “difficult, fact intensive, case-by-case analyses” and are “ill-served by per se rules or stereotypes”).
  51. Aka v. Wash. Hosp. Ctr., 156 F.3d 1284, 1294 (D.C. Cir. 1998).
  52. See Terrazas v. Medlantic Healthcare Group, Inc., 45 F. Supp. 2d 46, 54 (D.D.C. 1999).
  53. See Smith v. Midland Brake, Inc., 180 F.3d 1154, 1170 (10th Cir. 1999) (“Congress has already significantly cabined the obligation to offer reassignment to a qualified employee who is disabled so as to ensure that it is not unduly burdensome, or even particularly disruptive, of an employer’s business.”). 
  54. EEOC, supra note 37.
  55. See 42 U.S.C. § 12112(b)(5)(A) (stating that an employer only needs to accommodate an “otherwise qualified individual with a disability” (emphasis added)). 
  56. See EEOC, supra note 109.
  57. See id.; see also id., supra note 109 (stating that an employer is “not required to create a position or to bump another employee in order to create a vacancy”).
  58. Smith, 180 F.3d 1154, 1170 (10th Cir. 1999).
  59. Id.
  60. 42 U.S.C. § 12112(b)(5)(A). 
  61. See Elledge v. Lowe’s Home Ctrs., LLC, 979 F.3d 1004, 1016–18 (4th Cir. 2020).
  62. See 42 U.S.C. § 12111(10).

      *.   J.D. Candidate 2022, Wake Forest University School of Law; Political Science & Spanish, B.A. 2018, Emory University.  Thank you to the Board and Staff of the Wake Forest Law Review for their hard work and time on this Comment.  Thank you also to my family and friends for their encouragement and for enduring endless discussions on the ADA.  Lastly, I would like to thank Professor Sue Grebeldinger for igniting my interest in Employment Law.  

By Jason Wiener

Karen J. Williams was born in Orangeburg, South Carolina on August 4, 1951.[1] After receiving her B.A. from Columbia College in 1972, she taught social studies and English in local public schools.[2] She returned to school as a law student and received her J.D. from the University of South Carolina in 1980, graduating at the top of her class.[3] Before taking the bench, Judge Williams practiced in Orangeburg at Williams & Williams, where she worked alongside her husband Charles H. Williams and her father-in-law Senator Marshall B. Williams.[4]

On January 27, 1992, Karen Williams was nominated by President George H. W. Bush to serve on the Fourth Circuit Court of Appeals.[5]Upon confirmation, she became the first female to sit on that Court’s bench.[6]She made history again in 2007 when she served as the first female Chief Judge, a position she held until her resignation in 2009.[7]

Judge Williams took an active role on the bench and fearlessly addressed controversial appellate cases, which ultimately helped clarify the parameters of our Mirandarights. In 1966, the Supreme Court attempted to safeguard Fifth Amendment rights in the famous Mirandadecision.[8] In 1968, Congress passed 18 U.S.C. § 3501, an act that sought to expand the admissibility of voluntary confessions during federal prosecutions.[9] Although the Department of Justice had been reluctant to enforce that law, Judge Williams had to contend with the constitutionality of § 3501 in United States v. Dickerson.[10]

After Charles Dickerson voluntarily confessed to robbing several banks, he later sought to suppress the confession due to a technical violation of Miranda.[11] Reasoning that Congress had the authority to pass § 3501 pursuant to its authority to establish rules of procedure and evidence for the federal courts, and that the act allowed confessions to be admissible in evidence if they are voluntarily given, Judge Williams reversed the district court’s suppression of the evidence.[12] However, the Supreme Court reversed in Dickerson v. United States and held that Miranda was a constitutional decision that cannot be effectively overruled by Congress.[13] Although the New York Times chided Judge Williams’ opinion, her deference to the legislature on this issue was understandable given the unclear complexities of Miranda.[14]

Fourth Circuit Judge J. Harvie Wilkinson III noted that Judge Williams “brought warmth, refinement, dignity, and grace to the judicial process, which can sometimes be perceived as hard and cold.”[15]After she was diagnosed with Alzheimer’s disease, Judge Williams retired in 2009.[16]On November 2, 2013, the Honorable Karen J. Williams died at her home in Orangeburg at the age of 62.[17]She was survived by her husband and four children.[18]She is remembered daily at the University of South Carolina Law School, where a courtroom bearing her name honors her legacy. 


[1]Williams, Karen J., Fed. Jud. Ctr., https://www.fjc.gov/history/judges/williams-karen-j (last visited Apr. 15, 2019).

[2] Court Mourns the Passing of Former Chief Judge Karen J. Williams, U.S. Ct. of Appeals for the Fourth Cir. (Nov. 5, 2013),  http://www.ca4.uscourts.gov/news-announcements/2013/11/05/court-mourns-the-passing-of-former-chief-judge-karen-j.-williams.

[3]Id.

[4]Hon. Karen J. Williams 1951 – 2013Obituary, Dukes-Harley Funeral Home and Crematory, https://www.dukesharleyfuneralhome.com/obituary/2312344(last visited Apr. 15, 2019). 

[5]Id.

[6]Id.

[7]Id.

[8]Miranda v. Arizona, 384 U.S. 436 (1966). 

[9]18 U.S.C.A. § 3501.

[10]United States v. Dickerson, 166 F.3d 667, 671 (4th Cir. 1999).

[11]Id.

[12]Id.at 672. 

[13]Dickerson v. United States, 530 U.S. 428, 431 (2000).

[14]For the NYT’s take on Judge Williams and the Dickerson decision, see Deborah Sontag, The Power of the Fourth N.Y. Times (Mar. 9, 2003), https://www.nytimes.com/2003/03/09/magazine/the-power-of-the-fourth.html.

[15]Court Mourns the Passing of Former Chief Judge Karen J. Williamssupranote 2. 

[16]Id.

[17]Id.

[18]Hon. Karen J. Williamssupranote 4.


By Agustin Martinez and Ashley Oldfield

Born in 1954 in Tyler, Texas,[1] former Judge J. Michael Luttig attended Washington and Lee University for his undergraduate studies.[2] After graduating with a Bachelor of Arts degree in 1976,[3] Judge Luttig worked at the U.S. Supreme Court in the Office of the Administrative Assistant to the Chief Justice from 1976 to 1978.[4] Judge Luttig then attended the University of Virginia School of Law, earning his law degree in 1981.[5]

Following law school, Judge Luttig worked in the White House during the Reagan presidency, first as special assistant to the White House Counsel and then as assistant counsel from 1981 to 1982.[6] After leaving the White House, Judge Luttig worked as a judicial law clerk for then-Judge Antonin Scalia of the U.S. Court of Appeals for the D.C. Circuit from 1982 to 1983, and then for Chief Justice Warren E. Burger of the U.S. Supreme Court from 1983 to 1984.[7] Judge Luttig continued working for Chief Justice Burger from 1984 to 1985 as his special assistant.[8]

From 1985 to 1989, Judge Luttig worked in private practice for the New York law firm Davis Polk & Wardwell.[9] He then left private practice and worked for the U.S. Department of Justice for two years,[10] serving as assistant attorney general and counselor to the attorney general.[11] During his time at the Department of Justice, Judge Luttig helped prepare Justices David Souter and Clarence Thomas for their U.S. Supreme Court nomination hearings before the Senate.[12]

In 1991, President George H.W. Bush nominated Judge Luttig to a new seat on the U.S. Court of Appeals for the Fourth Circuit.[13] The Senate confirmed him that same year.[14] At the time of his appointment to the Fourth Circuit, Judge Luttig was the youngest federal court of appeals judge in the country.[15]

Judge Luttig wrote opinions in a wide variety of areas, ranging from criminal justice to civil rights to economic and labor regulation.[16] One of his more notable opinions, which was upheld by the Supreme Court, found a section of the federal Violence Against Women Act unconstitutional,[17] holding that the necessary “nexus between violence motivated by gender animus and interstate commerce” was lacking.[18] Judge Luttig was also among the first federal appeals judges to assert that the Constitution affords inmates the right to post-conviction DNA testing.[19]

Many of Judge Luttig’s clerks went on to become clerks for justices on the Supreme Court.[20] Additionally, in 2005, Judge Luttig was considered a potential contender for a position on the Court.[21] However, John G. Roberts, Jr., was nominated for the position instead and was later confirmed as the Chief Justice of the Supreme Court.[22]

Following fifteen years on the bench, Judge Luttig resigned from the Court of Appeals in May of 2006.[23] Since then he has served as general counsel and executive vice president of The Boeing Company.[24]

  1. Luttig, J. Michael, Fed. Judicial Ctr., https://www.fjc.gov/history/judges/luttig-j-michael (last visited Apr. 2, 2019).

  2. Id.

  3. Id.

  4. Executive Biography of J. Michael Luttig, Boeing, https://www.boeing.com/company/bios/j-michael-luttig.page (last visited Apr. 2, 2019).

  5. Fed. Judicial Ctr., supra note 1.

  6. Executive Biography of J. Michael Luttig, supra note 4.

  7. Id.

  8. Id.

  9. Id.

  10. Fed. Judicial Ctr., supra note 1.

  11. Executive Biography of J. Michael Luttig, supra note 4.

  12. Id.

  13. Fed. Judicial Ctr., supra note 1.

  14. Id.

  15. Executive Biography of J. Michael Luttig, supra note 4.

  16. Charles Lane & Jerry Markon, Similar Appeal, Wash. Post (July 17, 2005), https://www.washingtonpost.com/archive/politics/2005/07/17/similar-appeal/db16a144-03f0-443f-a5d3-291bf2718f84/?utm_term=.2e13a908e7ff.

  17. Id.

  18. Brzonkala v. Va. Polytechnic Inst. & State Univ., 169 F.3d 820, 838 (1999).

  19. Harvey v. Horan, 285 F.3d 298, 308 (2002) (Luttig, J., concurring); Lane & Markon, supra note 16.

  20. David Lat, Another Judge Leaves for Greener Pastures, Above the Law (July 26, 2006, 10:36 AM), https://abovethelaw.com/2006/07/another-judge-leaves-for-greener-pastures/.

  21. Lane & Markon, supra note 16.

  22. John G. Roberts, Jr., Oyez, https://www.oyez.org/justices/john_g_roberts_jr (last visited Apr. 2, 2019).

  23. David Lat, Lawyerly Lairs: Luttig in Lap of Luxury, Above the Law (July 27, 2010, 1:37 PM), https://abovethelaw.com/2010/07/lawyerly-lairs-luttigs-lap-of-luxuryplus-info-about-his-current-compensation/.

  24. Id.

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By Tristan Meagher & Nick McCauslin

United States v. Mills

In this criminal case, the Fourth Circuit affirmed the sentencing of Darryl Mills for possession of a firearm by a felon, a violation of 18 U.S.C. § 922(g)(1). After pleading guilty to the violation, Mills was sentenced to 70 months in prison based on a finding that his prior conviction of assault with a deadly weapon was a “crime of violence.” Mills argued that his prior conviction was not for a crime of violence, and thus his sentence should be reduced to 37 to 46 months, consistent with sentencing guidelines. The Fourth Circuit held because the district court noted that it would have imposed the 70 month prison sentence regardless of whether the prior conviction was a crime of violence and that the sentencing was substantively reasonable.

Williams v. Strickland

In this civil case, the Fourth Circuit affirmed the district court’s denial of summary judgment in favor of the defendants. Williams brought suit against police officers in the United States District Court for the District of South Carolina for using deadly force when arresting him, in violation of his Fourth Amendment Rights. As the officers attempted a traffic stop, Williams drove his car in the direction of one of the officers, prompting them to shoot Williams. The officers filed a motion for summary judgment on the basis of qualified immunity. The district court denied the motion finding that a reasonable jury could have determined that the car was not going to pass or had already passed the officer, in which case the use of deadly force would have been excessive. The Fourth Circuit agreed.

United States v. Simmons

In this criminal case, the district court revoked the defendant’s supervised release and sentenced him to 36 months in prison after he was found to have committed assault with a deadly weapon on a government official in violation of his release. The district court held that because assault with a deadly weapon on a government official is categorically a “crime of violence,” they were free to revoke his supervised release and implement the 36 month prison sentence. The Fourth Circuit vacated the revocation holding that assault with a deadly weapon on a government official is not categorically a crime of violence, because the offense can be committed without the requisitemens rea to qualify as a crime of violence. Accordingly, the case was remanded to the district court for resentencing. 

Robinson v. United States Department of Education

In this civil case, plaintiff Anthony Robinson appealed the dismissal of his case against the Department of Education. The district court dismissed his case because it lacked jurisdiction over the claim due to the lack of waiver of sovereign immunity for suits under the Fair Credit Reporting Act (FCRA). The issue on appeal was whether Congress waived sovereign immunity for suits under the FCRA. The Fourth Circuit ultimately focused on the term “person” in 15 U.S.C. § 1681(n) and § 1681(o). The Fourth Circuit ultimately refuses to read the word “sovereign” into the word “person, and thus affirmed the dismissal by the district court for lack of subject matter jurisdiction. 

Equinor USA Onshore Properties v. Pine Resources, LLC

The issue this civil case was what exactly the contractual requirements are in a Purchase and Sale Agreement (PSA). Specifically, what the clause that required Equinor USA to “spud” three wells meant. The district court finding, that the term “spud” required Equinor to drill, but not complete, the wells, was appealed by Pine Resources. Pine Resources contended that the parties clearly intended “spud” to mean complete the wells such that they can be used. The Fourth Circuit decided that the district court was correct in their finding. To come to that decision, the Fourth Circuit considered the record as a whole and whether or not it supported the district court’s conclusion as to the intent of the parties. They found that while there was some evidence that Pine Resources believed the PSA required product, the record—considered as a whole—showed that the PSA merely contemplated, but did not require, the completion of the wells. Thus, the decision by the district court was affirmed. 

Hately v. Watts

In this civil case, plaintiff David Watts appealed the dismissal of his suit that Watts violated the Virginia Computer Crimes Act and  the Federal Stored Communications Act. There were two issues on appeal.  The first was whether the district court’s finding that Hately failed to show necessary injury under his state law claim. The second was the district court’s finding that emails stored by a web-based email service were not considered “electronic storage” under federal law.  Regarding the first issue, the Fourth Circuit found both that the district court improperly applied the doctrine of collateral estoppel and that Watts had adequately alleged injury to his person or property. Regarding the second issue, the Fourth Circuit found that “previously opened and delivered emails” stored “in a web-based email client” were considered “electronic storage” under the federal Stored Communications Act. Therefore, they reversed the district court on both the state and federal claims and remanded it for trial. 

By Katy Thompson and Lanie Summerlin

          In Equal Employment Opportunity Commission v. McLeod Health Inc., Cecilia Whitten (“Whitten”) was employed by McLeod Health, Inc. (“McLeod”) for twenty-eight years as the editor of McLeod’s internal employee newsletter[1].  Whitten was born with postaxial hypoplasia of the lower extremity, so she lacks certain bones in her feet, legs, and right hand. Therefore, Whitten has limited mobility and has always struggled with falling.[2]  In 2012, Whitten fell three times: twice outside of work and once at work.  As a result, McLeod required Whitten to undergo several fitness-for-duty exams.[3]  McLeod concluded that Whitten was a high-fall risk.  Whitten proposed several reasonable accommodations, but McLeod determined that these accommodations would prevent Whitten from fulfilling her job’s essential function of travelling to the company’s different campuses to collect stories.[4]  Whitten was placed on medical leave and ultimately terminated.[5]

            Whitten filed a complaint with the Equal Employment Opportunity Commission (“EEOC”), prompting EEOC to bring a suit against McLeod on Whitten’s behalf. The district court granted summary judgment to McLeod on both claims and the EEOC appealed.[6]  The issue before the Court was whether McLeod violated the Americans with Disabilities Act (“ADA”) by (1) requiring Whitten to undergo medical exams despite a lack of evidence that the exams were necessary (“illegal-exams” claim); and/or (2) terminating Whitten on the basis of her disability (“wrongful-discharge” claim).[7]

EEOC’s Arguments

            On appeal, the EEOC argued that summary judgment was not appropriate on either claim because there was sufficient evidence for a reasonable jury to rule in favor of the EEOC.[8]

            Under the ADA, an employer may not require an employee to undergo a medical exam unless the exam is job-related and consistent with business necessity.  Specifically, the employer must reasonably believe the employee’s ability to perform an essential job function is limited by a medical condition or that, due to a medical condition, the employee’s performance of an essential job function would pose a direct threat to the safety of the employee or others.[9]  The EEOC appealed summary judgment on the illegal exams claim by arguing that it had provided enough evidence for a reasonable jury to conclude that travelling to the company’s different campuses was not an essential function of Whitten’s job.[10]  McLeod’s description of Whitten’s position did not include travelling to McLeod’s campuses, and Whitten could gather information for the employee newsletter over the phone.  Also, the EEOC argued that McLeod’s belief that Whitten’s falls made her a direct threat was unreasonable because her falls did not cause injury.[11]

            Furthermore, to establish a wrongful-discharge claim a plaintiff must prove (1) she has a disability; (2) she is a qualified individual; and (3) her employer took adverse employment action against her because of her disability.[12]  The EEOC claimed that the first and third elements were clearly met and that it had presented enough evidence on the second element to preclude summary judgment.[13]  A qualified individual must be able to perform the essential functions of the job with or without a reasonable accommodation.[14]  The EEOC argued that a reasonable jury could determine, based on the evidence presented for the illegal-exams claim, that Whitten was a qualified individual because travelling was not an essential function of her job.[15]

McLeod’s Arguments

            On appeal, McLeod argued that summary judgment on both the illegal-exams claim and the wrongful-discharge claim was appropriate.[16]

            Specifically, in regards to the illegal-exams claim, McLeod argued that it did not violate the ADA by requiring Whitten to undergo work-related medical exams because it reasonably believed, based on objective evidence, that Whitten could not perform an essential function of her job without posing a direct threat to herself.[17]  McLeod claimed, and the district court agreed, that one of the essential functions of Whitten’s job was to navigate to and within the medical campuses.[18]  Thus, McLeod argued, the medical exams did not violate the ADA because McLeod believed Whitten’s disability rendered her unable to travel to and within the company’s different campuses without posing a direct threat to herself.[19]

            With respect to the wrongful-discharge claim, McLeod argued that summary judgment was appropriate because Whitten was not a “qualified individual” within the meaning of the ADA.  Specifically, McLeod asked the Court to affirm on the basis that the EEOC had not proven Whitten was a “qualified individual;” the medical exams indicated she could not perform an essential function of her job, regardless of whether she was provided with a reasonable accommodation.[20]

Holding: Summary Judgment Inappropriate as to Both Claims

            The Fourth Circuit reversed summary judgment on both claims and remanded the case to the lower court.[21]  Reviewing the grant of summary judgment on both claims de novo, the Court disagreed with the district court’s determination that McLeod had showed there was no genuine dispute as to a material fact; therefore, summary judgment was inappropriate.[22]

            The Court examined the evidence presented by both parties but disagreed with the district court’s finding that the EEOC failed to produce enough evidence for a jury to rule in its favor.[23] The Court acknowledged that the record contained evidence supporting McLeod’s position that it reasonably believed, based on objective evidence, that Whitten could not navigate to or within its campuses without posing a direct threat to herself.[24]  Based on the testimony of one of Whitten’s superiors, as well as her own testimony agreeing that her job required her to “safely navigate marketing department functions,” the Court found that a reasonable jury court rule in favor of McLeod.[25]

            However, the Court also found that a reasonable jury, based on the evidence presented in the lower court, could rule in favor of the EEOC.[26]  The Court looked at McLeod’s own written description of Whitten’s job, which contained no mention of navigating to and from company events or conducting in-person interviews.[27]  Although Whitten testified that she believed she collected better content by travelling to McLeod’s campus locations, she did not believe it was an “essential” function of her job because she could collect information and conduct interviews over the phone.[28]  Because the Court determined that the EEOC had produced “more than a scintilla of evidence” in support of its position that navigating to and from McLeod’s campus locations was not an essential function of Whitten’s job, the Court reversed summary judgment as to the illegal-exams claim.[29]

            The Court noted that even if the EEOC had failed to produce enough evidence that navigating to and from campus locations was an essential function of her job, McLeod would still not be entitled to summary judgment.[30]  The Court analyzed what McLeod knew before it required Whitten to take the medical exams; specifically, that (1) McLeod knew Whitten had performed the essential function of her job for twenty-eight years, despite her disability; (2) Whitten had recently fallen several times (once at work), none of which resulted in any severe injuries; (3) Whitten missed deadlines, came in late, and struggled with her workload; and (4) Whitten’s supervisor noted she recently appeared winded and groggy.[31]  The Court determined that a reasonable jury, based on the evidence, could have found that McLeod lacked a reasonable, objective basis for requiring Whitten to undergo work-related medical exams.[32]

            As to the wrongful-discharge claim, the question at issue was whether the EEOC had produced enough evidence to convince a jury that Whitten was a “qualified individual” within the meaning of the ADA.[33]  The Court noted that the district court, in analyzing the “wrongful-discharge” claim, relied on its finding that navigating to and from McLeod’s campus locations was an essential function of Whitten’s job.[34]  Because the medical exams had revealed that no reasonable accommodation would permit Whitten to perform that function, the district court concluded that the EEOC had not proven Whitten was qualified to continue her work with the company’s employee newsletter.[35]  However, because the Court had already determined that it was uncertain whether navigating to and from McLeod’s campus locations was an essential function of Whitten’s job, and because the medical exams may have been unlawful, the Court held that McLeod was not entitled to summary judgment.[36]

Conclusion

            Ultimately, the Fourth Circuit held that McLeod was not entitled to summary judgment on either of the EEOC’s ADA claims and remanded for further proceedings.[37]  The Court held that a reasonable jury could conclude that travelling was not an essential function of Whitten’s job.[38]  If a jury made this determination, then there could be sufficient evidence (1) that McLeod’s required medical exams were illegal; and (2) that Whitten was illegally terminated on the basis of her disability.[39]  This case is important because it provides an example of the level of evidence a plaintiff must offer to survive a summary judgment motion on ADA claims.  Also, this ruling sends a message to employers that the Fourth Circuit takes ADA claims very seriously, and it could encourage the EEOC to bring more ADA claims in this circuit.

[1] No. 17-2335, 2019 WL 385654, at *1 (4th Cir. Jan. 31, 2019).

[2] Id.

[3] Id. at *2.

[4] Id. at *3.

[5] Id.

[6] Id.

[7] Id.

[8] Id.

[9] Id.

[10] Id. at *4.

[11] Id.

[12] Id. at *5.

[13] Id.

[14] Id.

[15] Id.

[16] Id. at *3.

[17] Id. at *4.

[18] Id.

[19] Id.

[20] Id. at *5.

[21] Id.

[22] Id. at *3.

[23] Id. at *4–5.

[24] Id. at *4.

[25] Id. at *4.

[26] Id.

[27] Id.

[28] Id.

[29] Id.

[30] Id.

[31] Id.

[32] Id. at *5.

[33] Id.

[34] Id.

[35] Id.

[36] Id.

[37] Id.

[38] Id. at *4.

[39] Id. at *5.

By Kayla West and Jim Twiddy

Mark Lawlor v. David Zook

In this criminal case, the Appellant sought a review of his death sentence. A Virginia state court sentenced the Appellant to death after his conviction for capital murder. During his sentencing, the sentencing jury found that the Appellant would likely continue to commit criminal acts of violence, making him a continuous threat to society. The state court had excluded relevant testimony of a qualified witness who would have explained that the Appellant represented a low risk for committing acts of violence while incarcerated. The Appellant filed the instant federal petition for review of his death sentence which was dismissed by the district court. The Fourth Circuit granted certificate of appealability on three issues, including whether it was a constitutional error for the trial court to exclude expert testimony about the Appellant’s risk of future violence in prison. The Fourth Circuit concluded that the state court’s exclusion of the expert testimony was an unreasonable application of the established federal law because the evidence was potentially mitigating, and such evidence may not be excluded from the sentencer’s consideration. The Fourth Circuit relied on the Supreme Court’s long recognized principle that a capital sentencing body must be permitted to consider any admissible and relevant mitigating information in determining whether to assign the defendant a sentence less than death. Thus, the district court’s decision was reversed and remanded.

 

Sierra Club v. U.S. Army Corps of Engineers

In this civil case, petitioners asked for the Court to set aside respondent’s verification and reinstated verification that construction of the Mountain Valley Pipeline can proceed under the terms and conditions of Clean Water Act Nationwide Permit 12 (“NWP 12”), rather than an individual permit. The 42-inch diameter natural gas Pipeline proposes to run 304 miles through parts of Virginia and West Virginia, crossing several federal water bodies. Because the construction of the Pipeline will involve the discharge of fill material into federal waters, the Clean Water Act requires that Mountain Valley Pipeline, LLC (certified to construct and operate the Pipeline) obtain clearance from the U.S. Army Corps of Engineers’ before beginning construction. Mountain Valley elected to pursue the general permit approach to obtain Corps clearance under NWP 12 which requires that all terms and conditions are satisfied before valid authorization occurs. Additionally, Mountain Valley must provide the Corps with a certification from the state in which the discharge originates. Under NWP 12, West Virginia’s certification imposes additional “special conditions” which the Corps must make regional conditions. However, the Corps decided to substitute its Special Condition 6 “in lieu of” NWP 12’s Special Condition C (imposed by West Virginia). The Fourth Circuit held that the Corps lacked the statutory authority to substitute its own special conditions “in lieu of” West Virginia’s special conditions. Further, the State Department for West Virginia waived Special Condition A, imposed as part of its certification of NWP 12. However, the Fourth Circuit held that a state cannot waive a special condition previously imposed as part of a nationwide permit absent completion of the notice-and-comment procedures required by the Clean Water Act under Section 1341(a)(1). Accordingly, the Fourth Circuit vacated, in their entirety, the verification and reinstated verification authorizing the Pipeline’s compliance with NWP 12.

 

US v. Terry

In this criminal case, Terry appealed his conviction of possessing methamphetamine with the intent to distribute. The key issue in this appeal was whether the district court erred in denying Terry’s motion to suppress evidence seized during a traffic stop. The stop was conducted through the illegal use of a GPS search. The district court asserted that because Terry relinquished control over the car, he lacked standing to challenge the GPS search. The Fourth Circuit concluded that the government agents committed a flagrant constitutional violation when they secretly placed a GPS on Terry’s car without a warrant, and that the discovery of the evidence seized during the traffic stop was not sufficiently attenuated from the unlawful GPS search to purge the effect of the unlawful search because the GPS and discovery of evidence were so closely tied. Additionally, the Fourth Circuit concluded that Terry did not lose his standing to assert a constitutional violation because when the tracker was placed, he was legitimately in possession of the vehicle. The Fourth Circuit reversed the holding of the district court, and vacated Terry’s conviction.

 

US v. Brown

In this criminal case, Brown asserted that a district court erred in calculating his criminal history category because the court added two points to Brown’s criminal history score based on a prior Virginia state conviction for which Brown received a suspended sentence. Brown’s suspended sentence was conditioned on a period of good behavior for ten years upon release from the prior Virginia State conviction. He was released in July of 2009, meaning that at the time of the present case, Brown had not completed his period of ten years good behavior. The district court concluded that a period of good behavior constitutes a criminal justice sentence, making it relevant to a defendant’s criminal history score. Brown asserted that a period of good behavior is not a criminal justice sentence because it lacks a custodial or supervisory component. The Fourth Circuit concluded that during a period of good behavior, Brown was still subject to the authority of the state. This operated as a supervisory component significant enough to constitute a criminal justice sentence. Because Brown committed the present offense while under a criminal justice sentence, the additional two points to his criminal history score were correctly added. The Fourth Circuit affirmed.

Fourth Circuit Weighs in on Constitutional Challenges to Airport Metro Service Project

By Agustin Martinez and Ashley Oldfield

Facts

In Kerpen v. Metropolitan Washington Airports Authority,[1] the Fourth Circuit addressed numerous constitutional and statutory challenges to the Metropolitan Washington Airports Authority’s (“MWAA”) use of toll revenues to build and fund a metro service project. Beginning in 1962, Dulles Airport and an access road linking Dulles to the Washington, DC, area operated under the management of the Federal Aviation Administration (“FAA”).[2] However, when the need for capital improvements at Dulles and its sister airport, National, became apparent in the early 1980s, the government sought to transfer operation of both airports to an authority with the ability to raise the necessary funds.[3] Subsequently, Virginia and the District of Columbia passed legislation “to create an interstate compact for the management of Dulles and National” which resulted in MWAA.[4] The legislation granted MWAA the authority to acquire the airports and “to operate, maintain, and improve” them.[5] The following year, the Transfer Act (“Act”) authorized the lease of the airports (“Lease”) to MWAA and “the transfer of the airports’ ‘access highways and other related facilities.’”[6] The Act required MWAA to only use the property for “airport purposes” and to “assume responsibility” for the federal government’s Master Plan for the airports, which “contemplated” eventual metro service to Dulles.[7] To facilitate the metro service project, Virginia transferred operation of a toll road to MWAA, and MWAA agreed to use the resulting revenues to finance the metro service’s construction.[8]

Procedural History

Plaintiffs, users of the toll road, brought a putative class action suit challenging MWAA on various constitutional and statutory grounds.[9] They asserted that “MWAA is a federal instrumentality” and that it “violated Article I, Article II, and the Guarantee Clause of the Constitution”; the Administrative Procedures Act (APA); and “the terms of the Transfer Act and the Lease.”[10] In response, MWAA, the District of Columbia, the Secretary of Transportation, and the U.S. Department Of Transportation (collectively, “Defendants”) filed Motions to Dismiss for Failure to State a Claim.[11] The district court granted the Motions and dismissed all of Plaintiffs’ claims.[12] Upon appeal, the Fourth Circuit considered whether MWAA was subject to limitations under the Constitution and APA and whether its collection and use of tolls violated the terms of the Transfer Act and Lease.

Plaintiffs’ Arguments

On appeal, Plaintiffs argued that MWAA is a federal instrumentality under the four-factor Lebron standard.[13] First, Plaintiffs asserted that MWAA was created in pursuit of federal policy goals because “the Federal Government has a strong and continuing interest in the efficient operation of [MWAA’s] airports.”[14] Second, they argued that the federal government initiated MWAA’s creation because the Secretary of Transportation appointed the commission that recommended MWAA and Congress conditioned the airports’ transfer on meeting several requirements.[15] Third, Plaintiffs observed that three of MWAA’s directors are federally appointed and suggested that the remaining directors were also “beholden to federal interests . . . .”[16] Finally, they asserted that MWAA is subject to significant congressional oversight because Congress has established several “oversight mechanisms” for MWAA, including its previous Board of Review and current Board of Directors, and has subjected MWAA to oversight by the Department of Transportation.[17]

Plaintiffs further argued that, even if MWAA is not a federal instrumentality, the federal, government, and legislative powers delegated to it violate the nondelegation principle.[18] Plaintiffs listed a “vast panoply” of federal powers granted to MWAA by Congress and the FAA[19] and compared the present case to previous litigation involving MWAA in which the court held that “MWAA’s prior Board of Review was exercising federal power . . . .”[20] Plaintiffs also asserted that MWAA’s clear exercise of governmental power violated the Guarantee Clause because MWAA acts independently and without political accountability.[21] Additionally, Plaintiffs argued that MWAA exercised various legislative powers and particularly noted that its collection of tolls is an improper exercise of the legislative power to tax.[22]

Finally, Plaintiffs argued that the Transfer Act prohibited MWAA’s financing and construction of the Silver Line, a metro line connecting Dulles to Washington, DC, because the Act requires that airport revenues only be spent on the “capital and operating costs of the . . . Airports.”[23] Plaintiffs asserted that construction of the Silver Line could not be a capital cost of the airport because the Silver Line is largely “for the use of non-airport customers, on non-airport property” and will be turned over to its operator, the Metropolitan Washington Area Transit Administration (“WMATA”), upon completion.[24] Plaintiffs noted that a proper construction of the statute “required MWAA to leave space for a potential Metro line,” but prohibited MWAA from building the line itself.[25]

Defendants’ Arguments

Meanwhile, Defendants argued that operating commercial airports is not a core federal power reserved to the federal government by the Constitution.[26] They noted that, other than Dulles and National, the federal government has neither owned nor operated other commercial airports.[27] They asserted, therefore, that the Transfer Act did not violate separation of power principles, including the nondelegation doctrine, because the Act did not entail the delegation of a reserved core federal power.[28] Defendants also argued that, even if the Transfer Act did implicate a core federal power, the Act still satisfied the “intelligible principle” that is required when the federal government delegates a core power.[29] Defendants asserted that the Act’s strict statutory requirements for the Lease with MWAA sufficiently satisfied this broad “intelligible principle.”[30]

Next, Defendants argued that MWAA is not a federal instrumentality.[31] They emphasized that no court has previously held that an interstate compact, like MWAA, is a federal instrumentality that is subject to the Appointments Clause of the Constitution.[32] Defendants further asserted that MWAA was not created by the federal government; that the Transfer Act’s purpose was to transfer the operation and funding of Dulles and National to Virginia and the District of Columbia; and that the federal government did not control MWAA’s day-to-day operations or its governance and management decisions.[33] Defendants maintained, therefore, that the federal government neither created nor controlled MWAA, and thus it is not a federal instrumentality under the Lebron framework.[34]

In addition, Defendants argued that the Transfer Act did not violate the Guarantee Clause of the Constitution because the Act did “not remotely threaten Virginia’s republican form of government.”[35] Specifically, Defendants noted that Virginia and the District of Columbia established MWAA by virtue of statutes that were enacted by their respective legislative bodies and that MWAA’s appointed Board members are accountable to elected officials.[36] They also asserted that the Transfer Act limits MWAA’s authority to operating, maintaining, and improving Dulles and National, thus preventing the Act from running afoul of the Guarantee Clause.[37]

Finally, Defendants asserted that MWAA’s financing and construction of the Silver Line is permitted under the Transfer Act.[38] Defendants first argued that, as matter of law and statutory interpretation, Plaintiffs were barred from bringing an action to enforce the Transfer Act against MWAA.[39] Defendants then asserted that MWAA’s use of toll revenues for the Silver Line project was “reasonably related to improving passenger and cargo access to Dulles,” and thus was consistent with the Transfer Act’s legislative intent.[40]

The Fourth Circuit’s Analysis and Holding

The Fourth Circuit affirmed the district court’s dismissal of Plaintiffs’ claims. As an initial matter, the Court rejected Plaintiffs’ arguments that MWAA is a federal instrumentality.[41] Under Lebron, an entity is a federal instrumentality when it is (1) created and (2) controlled by the federal government.[42] The Court held that MWAA did not meet this definition.[43] First, the Court noted that the Transfer Act did not create MWAA because Virginia and the District of Columbia, with congressional pre-approval, had created MWAA through their own statutes.[44] The Transfer Act “simply specified the minimum powers MWAA must have in order to lease Dulles and National,” while also recognizing that Virginia and the District of Columbia were the sources of those powers.[45] Second, the Court explained that MWAA is not controlled by the federal government, as evidenced by the fact that only three of MWAA’s seventeen Board members are appointed by the federal government.[46] Although these three Board members have some influence on MWAA’s decisions, they alone cannot control MWAA.[47]

Moreover, the Court declined to adopt Plaintiffs’ instrumentality arguments because doing so would implicate other constitutionally permissible arrangements, including federal contractor agreements and interstate compacts like the Atlantic States Marine Fisheries Commission.[48] Thus, the Court held that Plaintiffs’ Appointments Clause and APA challenges failed because MWAA is not a federal instrumentality.[49] As the Court noted, the Appointments Clause and APA only apply to federal entities.[50]

The Court also rejected Plaintiffs’ claim that MWAA had been unconstitutionally delegated legislative power, government power, or federal power. “The principle of non-delegation requires that ‘core governmental power must be exercised by the Department on which it is conferred and must not be delegated to others in a manner that frustrates the constitutional design.’”[51] The Court held that MWAA’s structure did not violate the nondelegation doctrine.[52] First, the Court explained that MWAA only exercised those powers that originated from the Virginia and District of Columbia statutes; however, the plain text of those statutes did not transfer any legislative power from the federal government to MWAA.[53] Further, the Transfer Act recognized that those statutes had conferred non-legislative powers on MWAA.[54] The Court also indicated that, even if MWAA derived some of its power from the federal government, “[t]he strictures of the Transfer Act are sufficiently detailed as to more than satisfy the requirement of an ‘intelligible principle.’”[55]

Second, the Court noted that the Supreme Court has made it clear that it is unconstitutional for the government to delegate core government power to a private entity.[56] Therefore, the Court reasoned that there was “no unlawful delegation of ‘government power’ to a private entity in this case for the simple reason that MWAA is not a private entity”[57] Rather, MWAA is an interstate compact that is subject to the authority of elected officials.[58] Third, the Court adopted Defendants’ argument that operating a commercial airport is not an inherent federal power, and thus it rejected Plaintiffs’ claim that MWAA had been delegated a federal power.[59]

The Court then addressed Plaintiffs’ contention that MWAA’s establishment violated the Guarantee Clause. The Guarantee Clause states that the U.S. “shall guarantee to every State in this Union a Republican Form of Government.”[60] The Court concluded that there was no violation of the Guarantee Clause because “MWAA does not deny any state a republican form of government.”[61] Specifically, Virginia and the District of Columbia retained their republican governments, and MWAA is accountable to elected officials.[62] Finally, the Court analyzed whether MWAA’s collection and use of tolls violated the terms of the Transfer Act and Lease. Consistent with case law from its sister circuits, the Court gave significant deference to the Secretary of Transportation’s previous determination that MWAA’s construction of the Silver Line and use of toll revenues to finance the project was permissible under the Act and Lease.[63] The Court also indicated that the Secretary was entitled to such deference because, under the Transfer Act, it is the Secretary who is authorized to determine the scope of an “airport purpose.”[64] Therefore, the Court adopted the Secretary’s determination, noting that the Transfer Act and Lease had required MWAA to adopt the Master Plan for Dulles and National, which had envisioned extending metro service to Dulles.[65] Moreover, the Act and Lease recognized that MWAA could exercise eminent domain powers, indicating that the federal government “must have imagined that MWAA would make improvements to land that is not owned or controlled by [MWAA].”[66] In sum, the Court rejected all of Plaintiffs’ claims.

Conclusion

Plaintiffs raised several constitutional and statutory claims to challenge MWAA’s collection and use of toll revenues for the Silver Line project. However, none of those claims persuaded the Fourth Circuit to decide the case in Plaintiffs’ favor. As to the constitutional claims, the Court declined to subject MWAA to the constraints of Article I, Article II, and the Guarantee Clause of the Constitution. Further, the Court gave significant deference to the Secretary of Transportation’s interpretation of the Transfer Act and Lease, which weighed in favor of Defendants. The Court’s decision was guided by its own precedent, as well as precedent from the Supreme Court and sister circuits. Notably, the Court also made it clear that its decision was influenced by the prospect of “throw[ing] longstanding airport expansion arrangements into turmoil.”[67]

  1. No. 17-1735, 2018 WL 5117169 (4th Cir. Oct. 22, 2018).
  2. Id. at *1.
  3. Id.
  4. Id.
  5. Id.
  6. Id. (citations omitted).
  7. Id. at *1–2 (citations omitted).
  8. Id. at *2.
  9. Id.
  10. Id.
  11. Kerpen v. Metro. Wash. Airports Auth., 260 F. Supp. 3d 567, 570 (E.D. Va. 2017).
  12. Id. at 571.
  13. Opening Brief of Plaintiff-Appellants (Corrected) at 31, 33, Kerpen v. Metro. Wash. Airports Auth., No. 17-1735, 2018 WL 5117169 (4th Cir. Oct. 22, 2018) (citing Lebron v. Nat’l R.R. Passenger Corp., 513 U.S. 374, 397–400 (1995)).
  14. Id. at 26, 33 (quoting MWAA v. Citizens for the Abatement of Aircraft Noise, Inc., 501 U.S. 252, 266 (1991)).
  15. Id. at 22–23, 35.
  16. Id. at 37–38.
  17. Id. at 38–39.
  18. Kerpen, 2018 WL 5117169, at *4.
  19. Opening Brief of Plaintiff-Appellants (Corrected), supra note 13, at 19–22.
  20. Id. at 22.
  21. Id. at 42–45.
  22. Id. at 50–53.
  23. Id. at 56.
  24. Id. at 56.
  25. Id. at 63–64.
  26. Brief for the Federal Appellees at 17, Kerpen v. Metro. Wash. Airports Auth., No. 17-1735, 2018 WL 5117169 (4th Cir. Oct. 22, 2018).
  27. Id. at 18.
  28. Id. at 21.
  29. Id.
  30. Id. at 23–24.
  31. Id. at 24–25.
  32. Id. at 25.
  33. Id. at 26–31.
  34. Id. at 31.
  35. Id. at 34.
  36. Id. at 32–33.
  37. Id. at 33.
  38. Id. at 34.
  39. Id. at 35–37.
  40. Id. at 39–43.
  41. Kerpen, 2018 WL 5117169, at *2.
  42. Id.
  43. Id. at *3.
  44. Id.
  45. Id.
  46. Id.
  47. Id.
  48. Id. at *3–4.
  49. Id. at *4.
  50. Id. at *4.
  51. Id. at *4 (quoting Pittston v. United States, 368 F.3d 385, 394 (4th Cir. 2004)).
  52. Id.
  53. Id.
  54. Id.
  55. Id.
  56. Id. at *5.
  57. Id. at *5.
  58. Id.
  59. Id.
  60. Id. at *6 (quoting U.S. Const. art. IV, § 4).
  61. Id.
  62. Id.
  63. Id. at *7.
  64. Id.
  65. Id.
  66. Id.
  67. Id. at *8.

By Sophia Pappalardo & Kenya Parrish

In re: Murphy-Brown, LLC

In this civil case, the Petitioner requested mandamus relief from a gag order issued by the United States District Court for the Eastern District of North Carolina. The gag order imposed strict requirements on participants and potential participants of interrelated nuisance suits brought against hog farms in North Carolina. The Fourth Circuit found the district court’s order to be defective and granted the petition. Thus, the Fourth Circuit directed the district court to vacate the gag order and allow the parties to begin their suits again under guidelines set forth by the Fourth Circuit, but only if warranted by exceptional circumstances.

 

By Elliott Beale and Cassidy Webb

Samuel James Ervin III was born on March 2, 1926 in Morganton, North Carolina.[1] Judge Ervin joined the U.S. Army and served as a lieutenant from 1944 to 1946.[2] After Judge Ervin earned his Bachelor of Science from Davidson College in 1948, he received his LL.B. from Harvard Law School in 1951.[3] Following another two year stint in the U.S. Army, Judge Ervin returned to Morganton to work in private practice.[4] Judge Ervin worked at Patton, Ervin, and Starnes, where he became associated in 1957.[5] While working in private practice, Judge Ervin served as a solicitor for the Burke County Board of Commissioners from 1954 to 1956 and North Carolina State Representative from 1965 to 1967.[6] Governor Dan K. Moore named Judge Ervin to fill a vacancy on the North Carolina Superior Court for the 25th Judicial District in July 1967.[7] Judge Ervin served on the North Carolina Superior Court until 1980.[8]

On April 2, 1980, President Jimmy Carter nominated Judge Ervin to a new seat on the U.S. Court of Appeals for the Fourth Circuit.[9] He was confirmed by the Senate on May 21, 1980 and received his commission on May 23, 1980.[10] He served as Chief Judge of the Fourth Circuit from 1989 to 1996.  While serving as Chief Judge, Judge Ervin was also a member of the Judicial Conference of the United States from 1989 to 1995.[11] His service terminated on September 18, 1999 upon his death.[12]

One of the most interesting cases Judge Ervin said he presided over as a North Carolina judge was when the court effectively rewrote James B. Duke’s, founder of Duke Power, will.[13] Judge Ervin had to determine what Duke would have done with the dispositional investment his foundation had in Duke Power Company had Duke known about the Tax Reform Act at the time he made his will.[14] Judge Ervin also presided over one of the first inverse condemnation cases in Charlotte.[15] He had to determine whether airplanes could inversely condemn the property by flying at low altitudes regularly over people’s houses and if this enabled the individuals to recover damages for their property’s loss of value.[16]

Following his death, Judge James Dickson Phillips, Jr. fondly remembered Judge Ervin as the “very model of prudence and temperance, of fortitude and fairness.”[17] Judge Phillips described Judge Ervin as a man who wore no masks and acted with integrity, courtesy, and civility in all circumstances.[18]

Judge Ervin was survived by his wife, two daughters, and two sons.[19] His sons, Samuel “Jimmy” Ervin IV and Robert C. Ervin, both followed in their father’s footsteps and became judges.[20] Judge Ervin IV currently serves as an Associate Justice of North Carolina Supreme Court, and Judge R. Ervin currently serves as a North Carolina Superior Court judge.[21] Judge Ervin IV says one of the biggest lessons his father taught him “was to remember that behind any case that comes before the court there are real people with real problems whose lives will be substantially affected by what the members of the court do.”[22]

 

 

[1]Ervin, Samuel James III, Fed. Jud. Ctr., https://www.fjc.gov/node/1380526 (last visited Oct. 23, 2018).

[2]Id.

[3]Id.

[4]Id.

[5]Jimmy Rhyne, 50 Years Ago, News Herald (Jul. 10, 2017), https://www.morganton.com/townnews/law/years-ago/article_30f8f7a0-6586-11e7-8b89-b33a295af7d6.html.

[6]Fed. Jud. Ctr., supra note 1.

[7]Rhyne, supra note 5.

[8]Fed. Jud. Ctr., supra note 1.

[9]Id.

[10]Id.

[11]Id.

[12]Id.

[13]Interview by Hilary L. Arnold with Judge Sam J. Ervin III, Chief Judge of the Fourth Circuit, in Morganton, NC, (Feb. 24, 1993 & Apr. 8, 1993), https://dc.lib.unc.edu/cdm/ref/collection/sohp/id/12622.

[14]Id.

[15]Id.

[16]Id.

[17]James D. Phillips, Jr., Sam J. Ervin III: A Tribute, 78 N.C. L. Rev. 1705, 1706 (2000).

[18]Id.

[19]Samuel James Ervin 3d, 73 Federal Judge, N.Y. Times (Sept. 21, 1999), https://www.nytimes.com/1999/09/21/us/samuel-james-ervin-3d-73-federal-judge.html.

[20]Sharon McBrayer, Taking the Bench: Sam Ervin Sworn in as NC Supreme Court Judge, News Herald (Jan. 8, 2015), https://www.morganton.com/news/taking-the-bench-sam-ervin-sworn-in-as-nc-supreme/article_44c98846-9796-11e4-a117-f7ef4aff205c.html.

[21]Id.

[22]Id.

By Ryan C Dibilio and Robert M. Padget III

Facts

On August 2, 2018, the Fourth Circuit Court of Appeals decided Vandevender v. Blue Ridge of Raleigh, LLC.,[1] which addressed the required standards for a business to pay punitive damages in North Carolina.  Blue Ridge Health Care Center (“Blue Ridge”) operated a nursing home with a “vent unit,” which is a “[s]pecial facility for ventilator-dependent patients.”[2]   According to North Carolina law, vent units must provide at least 5.5 hours of nursing care per patient per day, and “[t]he direct care nursing staff shall not fall below a registered nurse and a nurse aide I at any time during a 24-hour period.”[3]  However, in a conscious effort to cut costs and increase profit, Blue Ridge consistently failed to meet these requirements by understaffing the vent units with nurses and caretakers, and by not providing the proper bedside supplies for adequate care.[4]  As a result of understaffing in the vent unit or a lack of bedside supplies, Del Ray Baird, Bettie Mae Kee, and Elizabeth Jones all died in Blue Ridge’s vent unit.[5]

The Parties’ Arguments and the District Court’s Ruling

The Plaintiff estates filed suit against three Defendants: Blue Ridge; CareOne, the owner of Blue Ridge; and CareVirginia Management, which helped manage Blue Ridge.[6]  All of the former Blue Ridge employees who testified at trial actually testified for the Plaintiffs.[7]  Defendants, on the other hand, only had two witnesses, each of whom were expert witnesses.[8]

In the district court, a jury returned verdicts awarding both compensatory and punitive damages for each of the three Plaintiffs.[9]  The jury awarded compensatory damages in the amount of $50,000 for Plaintiff Baird, $300,000 for Plaintiff Jones, and $300,000 for Plaintiff Kee.[10]  In addition, the jury awarded each Plaintiff punitive damages of $1,523,939.16.[11] The Defendants then moved for judgment as a matter of law.[12]  In supporting their motion, the Defendants argued that Plaintiffs failed to produce evidence of an aggravating factor, which is necessary for an award of punitive damages under North Carolina law.[13]  The Defendants also argued that the Plaintiffs failed to produce the necessary evidence to support a verdict in favor of Plaintiff Jones.[14]  The district court granted the motion as to Plaintiffs’ punitive damage awards; however, the district denied the motion as to the award of compensatory damages to Plaintiff Jones.[15]  The Plaintiffs appealed the grant of judgment for Defendants in regards to the punitive damages awards bringing the case to the Fourth Circuit.[16]  The Defendants then cross-appealed the denial of their motion regarding Plaintiff Jones’ award of compensatory damages.[17]

Under North Carolina law, a plaintiff can only recover punitive damages if the plaintiff proves that “the defendant is liable for compensatory damages and that one of [three possible] aggravating factors was present and was related to the injury for which compensatory damages were awarded.”[18]  Those three possible aggravating factors are “Fraud,” “Malice,” and “Willful or wanton conduct.”[19]  The Plaintiffs argued that the conduct of the Defendants’ managers did indeed constitute “willful or wanton conduct” as defined by North Carolina law.[20]  North Carolina law defines “willful or wanton conduct” as “the conscious and intentional disregard of and indifference to the rights and safety of others, which the defendant knows or should know is reasonably likely to result in injury, damage, or other harm.”[21]  The Plaintiffs did not assert that fraud or malice were present.[22]

The district court found two reasons why the Plaintiffs failed to present sufficient evidence to support an award of punitive damages.[23]  The district court’s first reason was that the “Plaintiffs failed to present evidence showing Defendant’s officers, directors, or managers participated in or condoned the asserted willful or wanton conduct.”[24]  The second reason the district court offered was that “even if such participation or condonation were assumed, Plaintiffs failed to present sufficient evidence to show they had the requisite state of mind to establish any aggravating factor.”[25]  As discussed below, the Fourth Circuit held that both reasons offered by the district court were in error.

As to the Defendants’ cross-appeal regarding compensatory damages awarded to Plaintiff Jones, the Defendants argued that the evidence was insufficient for the medical malpractice claim regarding Elizabeth Jones’s death.[26]  Plaintiff Jones died when the caregivers were unable to replace her tracheostomy tube in a timely manner.[27]  The Defendants argued that the evidence was insufficient because it failed to show that there was a breach of the applicable standard of care by the caregivers who tried to replace Plaintiff Jones’ tracheostomy tube or that the acts or lack thereof of the caregivers proximately caused Plaintiff Jones’ death.[28]

The Fourth Circuit’s Holding

First, the Court concluded the district court erred in finding Defendants’ managers did not participate in or condone decision-making that constituted an aggravating factor that would result in punitive damages. [29]  Under North Carolina law, companies are only liable for punitive damages if their “officers, directors, or managers . . . ‘participated in or condoned the conduct constituting the aggravating factors giving rise to punitive damages.’”[30]  Former Blue Ridge Administrator Ben McGovern clearly participated in the decisions to cut staffing and supplies, which was behavior that constitutes the aggravating factor “willful or wanton conduct.” [31]  The Court considered five factors (“the Everhart Factors”) to determine whether McGovern was a “manager” and would subject Blue Ridge to punitive damages: “(1) the employee was designated a manager; (2) the employee had supervisory powers; (3) the employee gave input on hiring and firing decisions and participated in personnel meetings; (4) the employee set work schedules for other employees; and (5) the employee handled money.”[32]  Here, the Court found Ben McGovern satisfied every Everhart factor except handling money, and thus, he was a “manager” for the purposes of subjecting Blue Ridge to punitive damages.

The Court next found Blue Ridge’s policy was to “[c]ut staffing to save money . . . .”[33]  While the district court found there was nothing in the record to show a corporate policy of cutting staff, the Fourth Circuit identified clear evidence in the trial testimony to make such a finding.[34]  For example, a former Administrator and a former Business Office Manager both left because of pressure to make cuts and because staffing was dangerously and obviously short.[35]

Furthermore, the Court found “[c]lear and convincing evidence that Defendants were fully aware of the dangerously inadequate staffing level . . . .”[36]  The Court noted that, “[i]n the medical context, a medical provider acts willfully and wantonly when she knowingly, consciously, and deliberately places a patient at risk of harm by acting contrary to known protocols and procedures.”[37]  The Court concluded that even though there was no “wicked purpose,” the staffing and supply cuts were “[a] deliberate corporate policy enacted to increase profits by millions of dollars.”[38]  Blue Ridge was repeatedly warned about the dangers of the staffing and supply cuts, but Blue Ridge failed to remedy the issues and even continued to make cuts and intensify the dangers.[39]  The Court declared, “[t]his is precisely the type of egregious conduct punitive damages are meant to deter.” [40]  The Court also briefly rejected Blue Ridge’s argument and upheld the district court’s determination that there was sufficient evidence to show Blue Ridge breached the requisite standard of care by failing to provide adequate bedside supplies, which proximately caused Elizabeth Jones’ death.[41]

Conclusion

The main issue in the case was whether the district court properly granted Blue Ridge’s motion for judgment as a matter of law that Plaintiffs failed to present sufficient evidence to find Blue Ridge liable for punitive damages.[42]  However, this conclusion would turn on several prerequisite determinations.  First, since North Carolina does not permit respondeat superior for punitive damages, the Court had to determine whether Blue Ridge’s managers participated in activities sufficient to constitute willful and wanton conduct.[43]  After considering the Everhart Factors, the Court concluded that former Administrator Ben McGovern was a “manager”, and thus Blue Ridge could be liable for punitive damages if his conduct constituted the aggravating factor “willful and wanton.” [44]

The next issue the Court addressed is whether Blue Ridge condoned willful and wanton conduct.  This issue was easily resolved because the Court found “[c]lear and convincing evidence that the Defendants were fully aware of the dangerously inadequate staffing levels yet did nothing or worse.”[45]  Another issue was whether Blue Ridge had the necessary state of mind for their conduct to constitute an aggravating factor.  The Court again found clear and convincing evidence that Blue Ridge “[e]ngaged in willful or wanton conduct by intentionally failing to follow federal and state laws on staffing . . . .”[46]  This conduct showed a “reckless indifference” to the patients, and thus the willful and wanton state of mind was satisfied.[47]

Further, the Court briefly addressed whether there was sufficient evidence to show Blue Ridge’s negligence proximately caused Elizabeth Jones’ death.  It was clear that the inadequate staffing and failure to provide proper bedside supplies proximately caused Elizabeth Jones’ death, so that issue was quickly dispensed with.[48]

Lastly, the Court had to adjust the amount of punitive damages awarded in order to comply with North Carolina law.  The jury awarded compensatory damages in the amount of $50,000 for the estate of Del Ray Baird, $300,000 for the estate of Elizabeth Jones, and $300,000 for the estate of Bettie Mae Kee.[49]  The jury also awarded $1,523,939.16 in punitive damages for each plaintiff. However, North Carolina law limits punitive damages to three times compensatory damages, or $250,000, whichever is higher.[50]  In accordance with North Carolina law, the Fourth Circuit reduced the award of punitive damages to $250,000 for the estate of Del Ray Baird, $900,000 for the estate of Elizabeth Jones, and $900,000 for the estate of Bettie Mae Kee.[51]

[1] 901 F.3d 231(4th Cir. 2018).

[2] Id. at 235.

[3] 10A N.C. Admin. Code 13D.3005 (1996).

[4] Vandevender, 901 F.3d at 235.

[5] Id. at 236.

[6] Id.

[7] Id.

[8] Id.

[9] Id. at 235.

[10] Id. at 236.

[11] Id.

[12] Id. at 235.

[13] Id.

[14] Id.

[15] Id.

[16] Id.

[17] Id.

[18] N.C. Gen. Stat.§ 1D-15 (2017).

[19] Id.

[20] Vandevender, 901 F.3d at 239.

[21] N.C. Gen. Stat. § 1D-5(7) (2017).

[22] Vandevender, 901 F.3d at 239.

[23] Id. at 237.

[24] Id.

[25] Id.

[26] Id. at 240–41.

[27] Id. at 236.

[28] Id. at 241.

[29] Id. at 238.

[30] Id. at 238 (quoting N.C. Gen. Stat. §1D-15 (2017)).

[31] Id.

[32] Id. at 238 (quoting Everhart v. O’Charley’s Inc., 683 S.E.2d 728, 738 (N.C. Ct. App. 2009)).

[33] Id. at 238.

[34] Id.

[35] Id. at 239.

[36] Id.

[37] Id. (quoting Clarke v. Mikhail, 779 S.E.2d 150, 160 (N.C. Ct. App. 2015)).

[38] Id. at 240.

[39] Id.

[40] Id. (citing N.C. Gen. Stat.§ 1D-1(1995)).

[41] Id. at 240.

[42] Id. at 237.

[43] Id. at 238.

[44] Id. at 239.

[45] Id.

[46] Id.

[47] Id. at 240.

[48] Id.

[49] Id. at 236.

[50] Id. at 237 (citing N.C. Gen. Stat. §1D-25 (2017)).

[51] Id. at 241.

By: Jason Wiener

Francis Dominic Murnaghan, Jr. was born in Baltimore, Maryland on June 20, 1920.[1]  After he received an undergraduate degree from Johns Hopkins University in 1941, he served his country during World War II as a U.S. Naval Reserve Lieutenant from 1942 to 1946.[2]  Upon graduating from Harvard Law School in 1948, he went into private practice in Pennsylvania until 1950 and then served as a staff attorney for the U.S. Department of State’s High Commission on Germany from 1950 to 1952.[3]  Before taking the bench, Judge Murnaghan was a partner at Venable, Baetjer and Howard and served as the Assistant Attorney General for the State of Maryland.[4]

From 1967 to 1970, Judge Murnaghan was president of the Baltimore City School Board.[5]  He served as president and then chairman of the Walters Art Gallery from 1963 until being named chairman emeritus in 1985.[6]  Known for his participation in the public and political spheres in Baltimore, he assisted in the successful campaigns of Senator Paul Sarbanes in 1976 and Governor Harry Hughes in 1978.[7]

On May 8, 1979, he was nominated to the U.S. Court of Appeals for the Fourth Circuit by Jimmy Carter.[8]  While on the bench, Judge Murnaghan wrote over 500 opinions and more than half as many concurrences and dissents.[9]  Known for his compassion and professionalism, his opinions had great impacts in the areas of civil rights, labor, First Amendment law.[10]

Although it is rare for a circuit to reverse a district court finding on a clearly erroneous standard of review, in United States v. Gregory, Judge Murnaghan reversed the lower court’s finding that the Sheriff of Patrick County, Virginia, was not discriminating against women in the hiring of deputies.[11]  Judge Murnaghan stated that the district court erred in its factual findings and found that the record indicated that Sheriff Gregory routinely engaged in discriminatory practices against women in violation of Title VII.[12]

In a notable dissent, Judge Murnaghan alone argued against the constitutionality of a Virginia statute that allowed the Commonwealth to collect the DNA of all convicted felons for a law enforcement data bank.[13]  Judge Murnaghan believed that the Commonwealth did not justify the statute with an important state interest that outweighed non-violent felons’ reasonable expectations of privacy.[14]  He went on to warn of his “deep, disturbing, and overriding concern that, without a proper and compelling justification, the Commonwealth may be successful in taking significant strides towards the establishment of a future police state, in which broad and vague concerns for administrative efficiency will serve to support substantial intrusions into the privacy of citizens.”[15]

Judge Murnaghan’s contributions helped strengthen the foundations of democracy and equality, and he will be remembered for his devotion to civil rights.[16]  On August 31, 2000, the Honorable Francis Dominic Murnaghan, Jr. died at the age of 80.[17]  Upon his death, the Baltimore Sun avowed, “Judge Murnaghan was one of the most admired figures in the legal establishment for his urbane scholarship, legal knowledge, and public spirit.”[18]

 

[1] Francis Dominic Murnaghan, Jr., Fed. Jud. Ctr., https://www.fjc.gov/node/1385506 (last visited Oct. 14, 2018).

[2] Id.

[3] Id.

[4] Biography of Judge Murnaghan, Francis D. Murnaghan Appellate Advocacy Fellowship, http://www.murnaghanfellowship.org/judge_murnaghan (last visited Oct. 14, 2018).

[5] Longtime Federal Appellate Judge Francis D. Murnaghan Dies at 80, Wash. Post (Sept. 1, 2000),  https://www.washingtonpost.com/archive/local/2000/09/01/longtime-federal-appellate-judge-francis-d-murnaghan-dies-at-80/d1be1771-8f0b-4d10-b094-77d7ac3820ba/?noredirect=on&utm_term=.1823226946fb.

[6] Id.

[7] Id.

[8] Fed. Jud. Ctr., supra note 1.

[9] Biography of Judge Murnaghan, supra note 4.

[10] Id.

[11] United States v. Gregory, 871 F.2d 1239, 1241 (4th Cir. 1989).

[12] Id. at 1247.

[13] Jones v. Murray, 962 F.2d 302, 311 (4th Cir. 1992).

[14] Id. at 312.

[15] Id. at 315.

[16] Biography of Judge Murnaghan, supra note 4.

[17] Fed. Jud. Ctr., supra note 1.

[18] Confirmation Hearing on the Nomination of Claude A. Allen, of Virginia, to be Circuit Judge for the Fourth Circuit; and Mark R. Filip, of Illinois, to be District Judge for the Northern District of Illinois Before the S. Comm. on the Judiciary, 108th Cong. 5 (2003) (statement of Sen. Paul S. Sarbanes).

By: Nick McCauslin & Tristan Meagher

Sierra Club v. United States Army Corps of Engineers

In this civil case, the Sierra Club asked the Court to set aside the Army Corps of Engineers’ (“Corps”) verification which allowed for construction of the Mountain Valley Pipeline through West Virginia using the “dry cut” method for the construction of river crossings which would take four to six weeks to complete. West Virginia regulates the construction of river crossings, requiring them to be completed within 72 hours. The Fourth Circuit vacated the Corps’ verification, finding that the Corps did not have the authority to require the use of the “dry cut” method in lieu of West Virginia’s restriction. A more thorough analysis as to why the Corps lacked the authority is expected in a future opinion.

United States v. Gibbs

In this criminal case, Erik Gibbs sought an en banc rehearing of his case after a divided panel of the Court affirmed his twenty-four-month sentence violating the terms of his supervised release. The Court denied the petition. In voting to deny the petition and vacate the panel’s order, Judge Wynn noted that since Gibbs was now released from prison, his case is moot. The court elected to deny the petition prior to the filing of concurring, separate, and dissenting opinions, even though this practice is atypical, in order to avoid unnecessary delay or prejudice to the defendant.