Lead Opinion
Dissent by Judge CHRISTEN
OPINION
This is a Railway Labor Act preemption case. We decide, not the merits of the case, but which entity should decide upon the merits, the State of Washington, or the System Adjustment Board established
Facts.
Though this became a dispute between the airline and a state agency and union, it arises out of a dispute between a flight attendant and the airline about her sick leave. The flight attendant, Laura Masser-ant, called in sick in May, to care for her son who was ill. She proposed to take two days off as sick leave to care for him. But she had used up all her sick leave. She had vacation leave coming to her, but vacation leave is scheduled the October before the year in which it is to be used. Masserant had cashed out most of her vacation leave, and had scheduled all her remaining vacation leave for December, so she had none available to her in May. If Masserant had called in sick, despite having used up all her sick leave, she would have accumulated “points.” Under the collective bargaining agreement between her union and the airline, if a flight áttendant calls in sick too many times after using up all her sick leave, accumulating too many points, she is subject to graduated discipline—counseling, warning, and for enough points, termination.
Masserant claimed an entitlement to use her December vacation leave for her child’s illness without being charged points, under the Washington Family Care Act. That state statute does not entitle an employee to any leave. But if the employee is entitled to paid time off, the employee is entitled to use it for a sick child, not just for her own illness or vacation.
Masserant and the airline disagreed on how to interpret her entitlement. They do not dispute that she was entitled to seven days of vacation leave. But she had scheduled it for December. The airline claimed that she could only use it in December, but Masserant claimed that under the Washington statute, she was entitled to use it in May for her child’s illness. Masserant would be entitled to more sick leave in June, and the airline retroactively liberalized its policy so that she could use it in May, but even with that, she still did not have enough sick leave to cover the time she off she needed in May. The state agency that administers the Washington statute agrees with Masserant’s interpretation of the Washington statute.
The Washington statute does not create an entitlement to paid time off, sick leave or otherwise. It limits an employee to whatever her entitlement may be “under the terms of a collective bargaining agreement or employer policy.” And it requires that “[t]he employee taking leave under the circumstances described in this section must comply with the terms of the collective bargaining agreement or employer policy applicable to the leave, except for any terms relating to the choice of leave.”
The Alaska Airlines-Associated Flight Attendants collective bargaining agree
The dispute between the parties is not about whether Masserant could take her leave, but when. The collective bargaining agreement is stuffed full of limitations to assure that when a plane is being prepared for takeoff, the requisite number of flight attendants are on board. The important part, for Masserant’s purposes, are the provisions on scheduling use of vacation leave. Flight attendants get 14 days after their first year, 21 days after five years, 28 days after 10 years, and 35 days after 18 years. The airline has to post a list of available vacation times by October 1 of the preceding year. Flight attendants have 15 days to sign up, -and vacation periods are granted on a seniority basis. Flight attendants may trade vacation days, within stated limits.
What they cannot do is fail, without notice, to show up.
As a practical matter, Masserant may be entitled to take time off to care for her sick child without penalty even though she has no sick leave available, because for a flight attendant’s first 4 1/2 points, there is no penalty. If a flight attendant gets too many points, they can be reduced by good attendance the next year.
Masserant and her union, the Associated Flight Attendants, disagreed with the airline’s position. But instead of grieving it under the collective bargaining agreement grievance procedure, they filed an administrative complaint with the State of Washington Department of Labor and Industries. The Department determined that Masserant was entitled to use her December vacation leave to care for her child in May. The airline was fined $200 for violating the statute. The airline, Masserant, and the union have agreed to delay state appellate and other proceedings so that this Railway Labor Act preemption dispute may be adjudicated. The district court granted summary judgment against the airline’s preemption claim. We now review the district court decision de novo.
Some of the relevant provisions in the collective bargaining agreement and employer customs are not entirely clear cut. A provision says that “no attendance points are assessed for an absence called in for a sick child,” but it is not obvious how far this reaches. Though sick leave can clearly be used to care for a sick child, no such explicit provision is made for vacation leave and the evidence suggests that vacation leave cannot be so mixed. A flight attendant can trade vacation days with another flight attendant, subject to a deadline and approval. And a flight attendant can accumulate up to 4 1/2 points for absenteeism with no disciplinary action, and subtraction of 2 points per quarter thereafter for quarters in which there are no chargeable occurrences, despite the absence of available leave.
Analysis.
The issue before us is not whether Mas-serant is entitled to use her vacation leave, scheduled for December, in May, to care for her sick child. Though that is what the case is all about, it is not the issue posed for us. The issue before us is limited to Railways Labor Act preemption, that is, whether the state administrative board or the collective bargaining agreement grievance procedure ought to decide whether Masserant is entitled so to use her December vacation leave in May. This is one of those cases to which the Thomas Reed Powell line applies, “If you think that you can think about a thing inextricably attached to something else without thinking of the thing which it is attached to, then you have a legal mind.”
The most important fact about this case is the circularity between the Washington statute and the collective bargaining agreement. The statute makes the employee’s entitlement to leave (as opposed to what the leave may be used for) dependent
Masserant’s claim can be resolved as a grievance under the collective bargaining agreement. It provides that “any controversy ... as to the meaning of any of the terms of this agreement” shall be presented as a grievance to a designated individual, with that person’s decision appealable to the Flight Attendants’ Board of Adjustment (two members appointed by the union, two by the company) and to mediation or arbitration (National Mediation Board under the Railway Labor Act provides a list of seven names, and each party strikes three). The question is not whether Mas-serant and her union could proceed with the grievance procedure, but whether the state agency is an alternative procedure available to them despite Railway Labor Act preemption.
“The Railway Labor Act was enacted ... [t]o avoid any interruption to commerce or to the operation of any carrier engaged therein.”
Disputes under this regime are generally characterized as either major or minor. “[M]ajor disputes seek to create contractual rights, minor disputes to enforce them,”
There is an exception to this broad preemption, though, for independent state rights. Some exceptions are obvious, such as when the state right does not concern “pay, rules or working conditions.” But there are plenty of possible claims that arguably overlap both collective bargaining agreement provisions and state law. The Supreme Court appears to have evolved from the broadest possible preemption rule toward a more qualified rule, at least with respect to independent state-created rights.
The seminal preemption case, establishing the breadth of Railway Labor Act preemption, is Teamsters v. Lucas Flour Co.
Allis-Chalmers Corp. v. Lueck holds that an apparently independent state tort unrelated to working conditions, bad faith denial of insurance coverage, was nevertheless preempted, because the bad faith claim was “inextricably intertwined” with the group health policy established pursuant to the collective bargaining agreement.
Though it had been implied in Lucas Flour and Lueck, the independent state claim limitation on federal preemption was articulated explicitly in Lingle v. Norge Division,
Livadas v. Bradshaw
In Livadas, a state law required an employer to pay a fired employee’s wages immediately, but company practice was to send a check from the central office, which would arrive a few days after termination.
Because the collective bargaining agreement was silent, Livadas created no tension with most of the previously articulated standards: “inextricably intertwined”; requires “analysis” of the collective bargaining agreement’s terms; “independent” and “purely factual”; not requiring that anyone
The other preemption case from the 1993 term, Hawaiian Airlines, Inc. v. Norris, involved an employee who claimed he was fired in violation of a state “Whis-tleblower Protection Act” because he refused to certify a plane he thought was unsafe.
We have had quite a few opportunities in the decades since these decisions to try to apply them, and have articulated varying formulas for adjudication. In so doing, we have recognized that distinguishing preempted from non-preempted claims under state law “is not a task that always ‘lends itself to analytical precision.’ ”
We have developed, as our tool for making that unavoidable judgment, a three-step decision tree. The background is the broad preemption of the Supreme Court decisions discussed above. Our three-step decision tree says when the exception to preemption for an independent state right can be made:
[The] court must consider: (1) whether the CBA contains provisions that govern the actions giving rise to a state claim, and if so, (2) whether the state has articulated a standard sufficiently clear that the state claim can be evaluated without considering the overlapping provisions of the CBA, and (3) whether the state has shown an intent not to allow its prohibition to be altered or removed by private contract. A state law will be preempted only if the answer to the first question is “yes,” and the answer to either the second or third is “no.”56
Since a “yes” answer to the first question, and a “no” to either of the other two, compels preemption, we often have not needed to address all three.
In the cases in which we identified an independent state claim that was not preempted, most frequently the dispute was the extent to which the collective bargaining agreement had to be considered to decide whether the state claim was so independent as not to be preempted. The California disability discrimination claims were not preempted in Jimeno and Espi-nal, because the collective bargaining agreement contained no general antidis-crimination clause, and the state discrimination claim could be evaluated without construing the collective bargaining agreement.
Burnside v. Kiewit Pacific Corp. perhaps goes the furthest of any of our cases in rejecting preemption, since the employees’ state law claim for additional compen
On the other hand, we held that the state claim was preempted in Firestone v. Southern California Gas Co.
The words used to describe what distinguishes an independent state right are not talismanic, and are not consistent from case to case. The Supreme Court has used “analysis of the terms,” “construe,” requiring “interpretation,” and other phrases, and we have likewise used “consult,” “interpret,” “look at,” “analysis,” and others.
What we wind up with from all these cases is the need to exercise judgment, not a mechanical rule. Our three part test and words and phrases establish only a “hazy” and indeterminate line between independent state rights and state rights inextricably intertwined with the collective bargaining agreement. In this case, the sounder view is that the state law right and the collective bargaining agreement are indeed inextricably intertwined.
The Washington statute says that whatever right to leave to care for family members the employee has depends on her collective bargaining agreement. We held in Burnside that “if the right exists solely as a result of the CBA, then the claim is
(1) If, under the terms of a collective bargaining agreement or employer policy applicable to an employee, the employee is entitled to sick leave or other paid time off, then an employer shall allow an employee to use any or all of the employee’s choice of sick leave or other paid time off to care for:
(a) A child of the employee with a health condition that requires treatment or supervision; or
(b) a spouse, parent, parent-in-law, or grandparent of the employee who has a serious health condition or an emergency condition.
An employee may not take advance leave until it has been earned. The employee taking leave under the circumstances described in this section must comply with the terms of the collective bargaining agreement or employer policy applicable to the leave, except for any terms relating to the choice of leave.
(2) Use of leave other than sick leave or other paid time off to care for a child, spouse, parent, parent-in-law, or grandparent under the circumstances described in this section shall be governed by the terms of the appropriate collective bargaining agreement or employer policy, as applicable.72
The statute expressly limits the right it establishes to employees “entitled” to leave “under the terms of a collective bargaining agreement or employer policy.” The employee “must comply” with those terms “except for any terms relating to the choice of leave.” This dependence of the state claim on the terms of the collective bargaining agreement means that the collective bargaining agreement has to be analyzed to see whether the employee is entitled to paid leave as in Firestone. If the flight attendant is entitled to leave under the collective bargaining agreement, she can use it to care for her son when he is ill. If not, not. The statute directs us to the collective bargaining agreement to determine whether the employee is entitled to any leave.
Under the three part test, “if the right exists solely as a result of the CBA, then the claim is preempted, and our analysis ends there.”
The union and the state agency argue that no “analysis” of the collective bargaining agreement is needed because of “the undisputed restrictions” the collective bargaining agreement places on use of pre-scheduled vacation leave. Because they do not dispute that Masserant was not entitled to use her vacation leave scheduled for December to care for her sick child in May, they argue, no analysis is necessary. They argue that because a mere “look to” the collective bargaining agreement and employer practice establishes that she is
That argument would fit a statute saying “regardless of whether an employee is entitled to paid leave under a collective bargaining agreement or employer policy, the employee is nevertheless entitled to up to ten days of leave per year to care for sick family members,” because it would establish a right independent of the collective bargaining agreement. But the Washington statute says the opposite, that the employee entitlement is conditioned upon her entitlement to paid time off under the collective bargaining agreement. She has to show an entitlement to leave under the collective bargaining agreement to use her leave to care for her sick child, according to the statute. Thus whatever right Mas-serant has cannot, by the terms of the statute, arise “solely” out of the statute.
The argument for Masserant seems to be that no “analysis” of the collective bargaining agreement is needed because it is plain and undisputed that she is not entitled to paid leave under it. That argument is mistaken for two reasons. First, it ignores the purpose of the distinction between “analysis” and mere “looking at.” The purpose is to distinguish independent state rights from rights intertwined with the collective bargaining agreement. The purpose is not to distinguish hard from easy analysis. “Analysis,” in the context of determining whether the state right is independent of the collective bargaining agreement, refers to whether the state claim cannot logically be determined independently of the provisions of the collective bargaining agreement. If the right is not logically independent, it’s not “independent,” whether the analysis is intellectually challenging or not. Otherwise, the point of the distinction, preserving a uniform meaning to the collective bargaining agreement, would be defeated. Any analysis can be made to sound simple or complex.
Second, the argument overlooks the first part of the three part test, a barrier which, if not overcome, precludes any need to ask whether the collective bargaining agreement would be analyzed in the state proceeding. Preemption applies because the right to take paid leave arises solely from the collective bargaining agreement. This statute only applies if the employee has a right conferred by the collective bargaining agreement, so the state right is intertwined with, and not independent of the collective bargaining agreement.
Our dissenting colleague relies heavily on our recent decision in Kobold,
Preemption of course does not mean that Masserant was not entitled to use her December vacation time in May to care for her son. All it means is that the question whether she could use her vacation leave in advance of her scheduled time for this purpose is to be determined by the dispute resolution process in the collective bargaining agreement, not by the state claim resolution process. All we decide is which dispute resolution process must be used, not what result it must reach.
The district court erred by rejecting preemption. Accordingly, we reverse and remand for appropriate resolution so that the dispute can be resolved by the process established in the collective bargaining agreement.
REVERSED AND REMANDED.
Notes
. Wash. Rev. Code § 49.12.270(1):
If, under the terms of a collective bargaining agreement or employer policy applicable to an employee, the employee is entitled to sick leave or other paid time off, then an employer shall allow an employee to use any or all of the employee’s choice of sick leave or other paid time off to care for: (a) A child of the employee with a health condition that requires treatment or supervision; or
(b) a spouse, parent, parent-in-law, or grandparent of the employee who has a serious health condition or an emergency condition.
An employee may not take advance leave until it has been earned. The employee taking leave under the circumstances described in this section must comply with the terms of the collective bargaining agreement or employer policy applicable to the leave, except for any terms relating to the choice of leave.
. "Sick leave may be used ... pursuant to applicable State law and/or Company policy- Pursuant to Company policy, no attendance points are assessed for an absence called in for a sick child (zero points per day),”
. "Whenever the new collective-bargaining refers to a sick child, it is understood that this is a placeholder for ‘family member.' With the Association’s agreement, the Company will apply the most liberal of the laws of the states in which Flight Attendants are domiciled in determining the appropriate definition of 'family member.' When this definition is determined, including any subsequent amendments pursuant to changes in law or in the interpretation of the law, the company will publish the definition and distribute it to the Flight Attendants.”
. “In all cases of absence, a Flight Attendant will be required to call the designated Company representative,”
. "Sick calls must be made to the designated Company representative at least two (2) hours prior to check-in (3 hours prior to scheduled departure)."
. For example, a "No Show” equals 2 1/2 points, a "Reported Illness Using Quarterly Point Reduction” equals 0 points, a "Reported illness after or without Using Quarterly Point Reduction” equals between 1/2 and 2 1/2 points, and an "Emergency Drop” equals 1/2 point.
. "For each calendar quarter during which a Flight Attendant is active for the entire quarter and has no chargeable occurrences during the entire quarter, two (2) points will be deleted from the Flight Attendant’s accumulated points until the total reaches zero (0). Time on leave of absence will not be counted toward record improvement.”
. "0-4 1/2 [points]: No action taken.”
. Espinal v. Nw. Airlines,
. Thurman W. Arnold, The Symbols of Government 101 (1935) (attributed to Thomas Reed Powell).
. "Sick leave may be used ... pursuant to applicable State law.”
. Aircraft Serv. Int’l, Inc. v. Int’l Bhd. of Teamsters,
. 45 U.S.C. § 152, First.
. Hawaiian Airlines, Inc. v. Norris,
. Aircraft Serv.,
. Fennessy v. Southwest Airlines,
. Norris,
. See Consol. Rail Corp. v. Ry. Labor Execs. Ass’n.,
. Norris,
. 45 U.S.C. § 184.
. 45 U.S.C. § 151a(4)-(5).
.
. Id. at 103-04,
.
. Id. at 220,
. Id. at 219-20,
. Id. at 220,
. Lingle v. Norge Div. of Magic Chef, Inc.,
. Id. at 401,
. Id. at 407-10,
. Id. at 407,
. Id.
.
.
. Livadas,
. Id. at 112-13,
. Id. at 113-14,
. Id. at 111-12,
. Livadas v. Aubry,
. Livadas,
. Id. at 128-30,
. Id. at 124-25,
. Allis-Chalmers Corp. v. Lueck,
. Lingle v. Norge Div. of Magic Chef, Inc.,
. Livadas,
. Id. at 124,
. Id. at 125,
. Id. (citing Lingle,
.
. Id. at 261,
. Id. at 258,
. Id. at 261,
. Id. at 262,
. Id. at 259 & n.10,
. Burnside v. Kiewit Pacific Corp.,
. Miller v. AT&T Network Sys.,
. Espinal v. Nw. Airlines,
.
. Id. at 1111.
.
.
. Id. at 1062 (emphasis added).
. Id. at 1064 n.11.
.
. Id. at 1066.
. Id. at 1066-68.
. Id. at 1067.
. Many cases also tell us that we may not allow the scope of preemption to grow from an “acorn” into a “mighty oak.” See, e.g., Livadas v. Bradshaw,
. Balcorta v. Twentieth Century-Fox Film Corp.,
. Cramer v. Consol. Freightways, Inc.,
. Burnside,
. Wash. Rev. Code § 49.12.270.
. Burnside v. Kiewit Pac. Corp.,
. Id. at 1059 (quoting Caterpillar Inc. v. Williams,
.
. Id. at 1040.
. Id.
. Id. at 1041.
Dissenting Opinion
dissenting:
The district court recognized that the underlying issue in Masserant’s claim is not what benefits the collective bargaining agreement provides, it is whether the terms of the parties’ CBA violate the Washington Family Care Act. Masserant argues that the WFCA creates “non-negotiable rights” that Alaska Airlines and AFA could not bargain away. To resolve Masserant’s claim, the CBA need not be interpreted. The parties agree that the CBA identifies circumstances under which accrued and scheduled leave may be used, and using scheduled leave to care for an employee’s sick child is not one of those circumstances. In my view, the district court correctly ruled that the right Mas-serant asserts arises from the WFCA, if it exists at all. Masserant’s claim is not dependent upon the CBA; it is not preempted; and she should be allowed to pursue it in the state administrative and judicial process. For these reasons, I respectfully dissent.
I. Masserant’s claim is not preempted by the Railway Labor Act.
Masserant filed a Personal Leave Complaint with the Washington Department of Labor & Industries in which she argued that the terms of the parties’ CBA violate the WFCA. She prevailed at the first level of the Department’s administrative process and the Department issued a $200 notice of infraction to Alaska Airlines for denying her leave request. Alaska Airlines filed this action in federal court seeking a declaration that Masserant’s claim and the WFCA choice-of-leave provisions are preempted by the Railway Labor Act (RLA). See 45 U.S.C. § 151-188; Wash. Rev. Code § 49.12.265-.295. The district court agreed with Masserant, her union, and the Department of Labor & Industries that the RLA does not preempt state enforcement of the WFCA because Masserant’s WFCA claims are independent of the parties’ CBA.
On appeal to our court, Alaska Airlines argues that the RLA requires Masserant to litigate her dispute via the mandatory grievance procedures outlined in the CBA, rather than through state administrative procedures. The RLA requires that minor disputes, such as the one at issue here, must first be addressed in the carrier’s internal dispute resolution process and, if not resolved there, presented to an Adjustment Board comprised of workers and management.
In Burnside v. Kiewit Pacific Corp., our court articulated a two-part test for determining whether a state law claim that appears to implicate a collective bargaining agreement is preempted by § 301 of the Labor Management Relations Act (LMRA). See
This court recently explained the policies underlying Burnside's two-part test:
The Burnside factors reflect two driving concerns of preemption doctrine: first, preventing “parties’ efforts to renege on their arbitration promises by ‘relabeling’ as tort suits actions simply alleging breaches of duties assumed in collective-bargaining agreements,” Livadas,512 U.S. at 123 ,114 S.Ct. 2068 , and second, preserving “a central tenet of federal labor-contract law ... that it is the arbitrator, not the court, who has the responsibility to interpret the labor contract in the first instance,” Lueck,471 U.S. at 220 ,105 S.Ct. 1904 .
Kobold v. Good Samaritan Reg'l Med. Ctr.,
A. Masserant’s complaint with the Department of Labor & Industries involves a right that exists, if at all, by virtue of state law.
Burnside made clear that the operative inquiry at the first step of this preemption analysis is whether the right at issue is conferred by state law or by the CBA. See Burnside,
It is easy to imagine another similarly situated flight attendant who might be bound to arbitration, such as an employee who contests whether she had accrued the leave at issue. Because the CBA determines how available leave should be calculated, this hypothetical flight attendant’s asserted right would arise from the CBA, and, at step one our analysis would end. See Burnside,
The majority concludes that Masserant asserts a right that is not independent from the CBA because “the [WFCA] creates no right to any kind of paid leave, and conditions its expansion of rights upon an employee entitlement under the collective bargaining agreement.” Because Masser-ant does not argue that the WFCA creates a right to paid leave, or claim to be entitled to additional leave, or even that she is entitled to use her accrued leave early under the terms of the CBA, the court’s reasoning misses the mark. Masserant asserts the right to use her accrued vacation leave as family medical leave, a right that might arise from the statutory protections within the WFCA, but one that certainly is not provided by the CBA.
The majority reasons that because the WFCA refers to leave provided under the terms of a CBA, “whatever right Masser-ant has cannot, by the terms of the statute,
Our recent decision in Kobold supports Masserant’s position. See
It is not enough that a CBA refers to a right that is provided by statute. Our court has held that a claim based on a statutorily guaranteed right is not preempted, even when the CBA generally provides for a similar right. See Balcorta v. Twentieth Century-Fox Film Corp.,
Like the rights at issue in Livadas, Ko-bold, and Balcorta, if Masserant has the right to use her vacation' time for family leave, it arises from a state statute, here, the WFCA, and not from the parties’ CBA.
B. The right Masserant asserts is not substantially dependent on analysis of the CBA.
The second step of the Burnside analysis requires a “determinfetion] whether a state law right is ‘substantially dependent’ on the terms of a CBA.”
In Kobold, where the state law required employers to transmit paycheck deductions to health insurance plans in a timely manner, we held that the claim was not preempted at Burnside’s second step because the CBA “unambiguously specif[ied]” the parties’ rights and obligations and therefore did not require interpretation.
In Masserant’s case, the key provisions of the CBA are also wholly undisputed and
The majority concludes that because Masserant refers to the CBA’s leave provision to argue that it violates the WFCA, some “analysis” is required. But it does not explain why the CBA must be consulted, much less analyzed. On this record, I conclude that Masserant’s claim does not “substantially depend” on analysis of the CBA, and that it is not preempted under the second pronj* of Burnside.
There is persuasive force to Alaska’s argument that “crew absences present unique concerns in the airline industry,” because “without the requisite number of flight attendants on board, a plane cannot take off.” But the limited question before this panel is the proper forum for resolving the important underlying questions raised by Masserant’s claim. I would hold only that the district court correctly concluded that the Washington Department of Labor & Industries’ enforcement of Mas-serant’s WFCA complaint is not preempted by the RLA, and that the correct forum for resolving the parties’ dispute is the state administrative process.
. The RLA divides labor disputes into "major” and "minor” disputes. Atchison, Topeka & Santa Fe Ry. Co. v. Buell,
. The Supreme Court has cautioned that this preemption analysis must be conducted on a case-by-base basis. Allis-Chalmers Corp. v. Lueck,
. Although the majority analyzes Masserant’s claim in the context of Burnside’s step two, it ultimately relies on step one to conclude that Masserant’s claim is preempted.
