*1 _ Colorado, day of APPENDIX --19-- AFFIDAVIT OF CIRCULATOR My expires_ commission STATE OF COLORADO _ COUNTY OF Notary Public Address I, being sworn, duly first depose say; registered I am a elector of the State of is_ my Colorado and address
I have circulated the foregoing petition and signature each thereon was my affixed in EQUAL EMPLOYMENT OPPORTUNI- presence; signature and each thereon is COMMISSION, TY Plaintiff-Appellee, signature person whose name it be, purports to and to the my best of knowledge and belief persons each of the PRUDENTIAL FEDERAL SAVINGS signing petition said was at the time of ASSOCIATION, AND LOAN signing qualified such elector of the State Defendant-Appellant. Colorado; I have neither received nor 82-2444, Nos. 83-1073. I any
have entered into whereby contract I United Appeals, States Court of will in the future receive money or Tenth Circuit. thing other of value in consideration of or as an Aug. inducement to the circulation of the me; petition by above I have not nor will I
pay in the future and I believe that no person paid
other has so pay, or will direct-
ly indirectly, any money or or other thing any signer purpose
of value to for the
inducing causing signer such to affix his
signature petition. to such
(Signature Circulator)
Subscribed and sworn to before me in the
county ___, state of *3 Waddoups, City,
Clark Salt Lake Utah (Stephen Smith, G. Crockett and Steven D. Utah, City, briefs), Salt Lake with him on Rooker, Larsen, Parr, Kimball & Salt Utah, City, defendant-appellant. Lake Bannon, Jeffrey Washington, C. D.C. (David Slate, Counsel, L. Philip Gen. B. Sklover, Associate Gen. Counsel and Vella Fink, M. Asst. Gen. Counsel with him on briefs), E.E.O.C., Washington, D.C., for plaintiff-appellee. BARRETT, DOYLE,
Before and SEY- MOUR, Judges. Circuit SEYMOUR, Judge. Circuit Equal Employment The Opportunity (EEOC) brought Commission this action against Prudential Savings Federal (Prudential) alleging Loan that Prudential Age violated the Discrimination in Employ- (ADEA Act), ment Act or the 29 U.S.C. §§ seq. 621 et (1982), discharged when six employees and demoted a seventh. The jury, case was tried to a which found that Tanner, employee, Douglas one had been illegally terminated age because of his $34,200 past awarded him in wages lost jury and benefits.1 The found that violation had not been willful and accord- ingly liquidated damages. did not award relief, equitable As additional the trial $17,000 judge granted Tanner in lost future retirement benefits in lieu of reinstatement. parties appealed.
Both
have
The EEOC
erroneously
contends that the district court
jury
meaning
instructed the
on the
of “will-
ful” as used in the section of the ADEA
jury
challenged
in
of Prudential with
1. The
found
favor
EEOC has not
these determinations
charging parties.
respect
appeal.
to the six other
on
liquidated
authorizing the award of
dam-
sional intent
enforcement be effected
cross-ap-
In its
ages
possible
resorting
for willful violations.
without
to for-
wherever
(1)
peal Prudential
that:
the district
asserts
litigation.”
mal
Marshall v. Sun Oil Co.
cert,
court should have dismissed the action be-
(10th Cir.),
denied,
re-
failed to conciliate as
cause
EEOC
tial of the
misconduct, and
allegations of
the specific
requested
Prudential
the court to
party, and on
remedy sought by each
jury
if
instruct the
it found Prudential
invited conciliation.
several occasions
had offered reasonable factors other than
reveals a series of overtures
record
age for the termination or demotion of the
made no
to which Prudential
EEOC
complaining employees,
jury
had to find
obviously
meaningful response. Prudential
for Prudential unless it found that
could follow
litigation
was aware both that
proven
expla
had
that Prudential’s
EEOC
require-
and of the
failure
conciliate
nation for the termination or demotion was
conclude that the
ments of the Act. We
pretext
age
discrimination. The court
EEOC’s initial effort was sufficient under
theory
“on the
though
refused
that even
566-67,
I,
particularly
592 F.2d at
Sun Oil
jury
explanation
finds that the
of finan
refusal to
in view of Prudential’s insistent
necessity
cial difficulties and the
for reor
any significant dialogue, its out-
undertake
ganization
explanations
or other
were not
right rejection of the EEOC’s initial settle-
pretext,
they
mere
if
age
also find that
proposals,
ment
and its refusal to offer
factor,
discrimination was a determinative
counterproposals. The trial court
serious
jury
peremptorily
could not be
instruct
properly refused to dismiss the action be-
Rec.,
toed
decide for the defendant.”
vol.
cause,
circumstances,
Prudential
under
VIII, at 956.
given
opportunity
a reasonable
before
respond
negotiate.
filed to
suit was
reviewing
allegation
Prudential’s
*5
I,
In line with
the court exer-
Sun Oil
of error we must consider the instructions
stay
forty-
the suit
cised its discretion to
given as a whole. McGrath v. Wallace
provide
days
parties
five
to
the
an addition-
299,
(10th
Murray Corp., 496 F.2d
301
opportunity
al
to conduct conciliation. The
Cir.1974).
particular form of words
“[N]o
proceedings
at
conciliation
were recorded
is essential if the instruction as a whole
The trial court
Prudential’s insistence.
conveys
appli
the correct statement of the
found that the
of these talks was
record
cable law.” Perrell v. Financeamerica
relevant
to Prudential’s claim that
654,
(10th
Corp.,
Cir.1984);
726 F.2d
656
negotiate in
initially
EEOC had failed
to
Corp.,
see also Blackwell v. Sun Electric
good
this record revealed the
faith because
1176,
(6th Cir.1983).
696 F.2d
1181
light.
pre-filing conciliationin a new
Based
on Prudential’s conduct at the recorded
discussing
proper
In
instructions in
meeting,
that the “ma-
the court observed
action,
recently
an ADEA
we
stated that
neuvering
correspondence
that
was
“The essence of the correct formula-
by
regarding pre-
Prudential”
submitted
proof
tion of the standard of
is that it
Rec.,
misleading.
trial conciliation was
requires
jury
to focus on the effect
I,
supp.
at 19-20. The court noted
vol.
age.
of the
jury
factor of
must
intransigent
“Prudential’s almost
resist-
enough
age
understand that it is not
that
any good
negotiation
ance to
faith
figure
discrimination
in the decision to
attorney
efforts of the Commission
to at
discharge; age
demote or
must ‘make a
meaningful
the door for
concilia-
open
least
difference’ between termination and re-
justifiably
tion.” Id. at 19. The court
con-
that,
employee
tention of the
in the sense
Prudential’s conduct at this
cluded that
age discrimination,
‘but for’ the factor of
its
meeting was an accurate reflection of
employee
would not have been ad-
conciliation,
in the earlier
and held
attitude
versely affected.”
object
position
in no
to
that Prudential was
Perrell,
by
instructed that
EEOC
question
was a
age
employee
Joyce
v. Atlantic
651 F.2d
“the
Richfield
676,
(10th Cir.1981). “[Sjince
factor in defendant’s decision
2
determinative
680 n.
discharge him. That is ... but for his grant
deprives
of such a motion
the non-
not have been so treated.”
age,
moving party
he would
of a
determination
Rec.,
XV, at 1111. We conclude that
judgment notwithstanding
vol.
by jury,
facts
a
accurately
instructions
set out
the court’s
cautiously
spar-
should be
the verdict
legal standards.
the relevant
granted.”
Upon
ingly
Id. at 680.
review
standards,
of the record under
above
Moreover,
agree
we
with the trial
judgment
a
notwithstand-
we conclude that
judge’s
refusing
reason for
Prudential’s
ing the verdict is unwarranted.
plaintiff
An ADEA
is
pretext instruction.
required
age
the sole
to show that
parties
fully presented
When both
have
motivating
employment
factor in the
deci
evidence,
question
their
the “central
Corp., 710
Hagelthorn
sion.
v. Kennecott
plaintiff
presented
has
sufficient
whether
Blackwell,
76,
(2d Cir.1983);
696
F.2d
permit
evidence to
a reasonable fact-finder
1181;
at
v. Federated De
F.2d
Cancellier
age
to conclude that
was a determinative
Stores,
cert,
1312,
1315-16
partment
employer’s
Hagel-
factor in the
decision.”
(9th Cir.),
denied, 459
U.S.
thom,
81;
F.2d at
see also United
(1982);
S.Ct.
Smithers
States Postal Service Board Governors
(3rd Cir.1980).
Bailar, 629 F.2d
v.
Aikens,
prove
plaintiff
Thus a
need not
that the
(1983).
L.Ed.2d 403
In this case
reasons offered
the defendant are false
the EEOC offered statistical evidence of a
reason,
proves
age
if he
was also a
significant
age and
association between
dis-
age
and that
was the factor that made
charge, as well as evidence of statements
82;
Hagelthorn,
difference.
president
made
Prudential’s
and other
Perrell,
see
III. undisputed, obviously evidence was not accepted by jury clearly and is SUFFICIENCY OF THE EVIDENCE sufficient to allow a reasonable factfinder argues Prudential that the evidence age to decide that awas determinative support jury was insufficient to verdict discharge. factor Tanner’s judgment in favor of Tanner. A notwith standing only appropriate verdict is points way
when “the evidence
one
and
but
IV.
susceptible to no
reasonable inferences
FUTURE DAMAGES
may
position
party
sustain the
of the
which
against
entry of
Sym
judgment
jury
whom the motion is made.”
In its
on the
verdict,
Co.,
(10th
ons
493 F.2d
the trial court
Tanner
v. Mueller
awarded
evaluation,
Cir.1974).
making
$17,000
this
lost retirement and
“as
accruing through
court must construe the
infer benefits
normal retire
evidence and
ment,
Rec.,
nonmoving
favorably
ences
to the
in lieu of reinstatement.”
most
vol.
II,
id.,
weigh
evidence,
appeal,
at 477. On
Prudential
party,
“cannot
contends
damages
credibility
or
that an
of
is not
consider the
of witnesses
sub-
award
future
Koyen
ADEA,
cases);
v. Consolidated Ed-
cussing
and that even if
authorized
Co.,
awarded, they
ison
damages
F.Supp.
could be
were
such
1167 & n. 33
(S.D.N.Y.1983)
improper
(citing cases).
in this case because Tanner did
Eighth
The
sincerely request reinstatement.
Ninth
Circuits have held that such
damages may be awarded under certain
incorporates
ADEA
the remedies of
The
See Gibson v. Mohawk
circumstances.
(FLSA)
Act
as
the Fair Labor Standards
Co.,
Rubber
(8th
695 F.2d
Cir.
follows:
1982); Cancellier,
enable
remedy
required
fully compensate
is
to
to the economic situation he would have
employee
injury
the economic
an
sus-
enjoyed
illegal
but for the defendant’s
con
power
granted
him. The
so
is
tained
duct. See Ventura v. Federal
Insur
Life
to authorize an award of fu-
sufficient
(N.D.Ill.1983).
ance
F.Supp.
571
50
earnings
appropriate
ture loss of
in
case,
employer
If this were not
an
authority
deny
cases. To
that
would de-
purpose
simply
could avoid the
of the Act
a
purpose
feat a
of the Act to make
by making
so unattractive
reinstatement
and to
victim of discrimination ‘whole’
wronged employee
that the
infeasible
position
him
he
restore
to the economic
See, e.g.,
Can
would not want to return.2
occupied
would have
but for the unlaw-
cellier,
1233 pro- its supporting memorandum cases of willful violations chapter.” In its of this § below, 626(b). Id. the posed and order filed judgment EEOC stated: In the trial this case court instructed the pay requested of “Front in lieu rein- jury that in has the defendant statement per- “A willful violation occurs when a steadfastly refused to reinstate- consider specific son acts with intent to the violate remedy as a of re- ment since the date law, with knowledge where of he the law of Mr. discrimi- ceipt charge Tanner’s of proceeds it proceeds, or to violate the law It has been and one-half nation. two knowingly intentionally. (2%) years discharge since Mr. Tanner’s words, you “In other can find willful expressed atti- and defendant’s hostile age, discrimination for or willful violation employees, tude toward its former both law, only you if find both that trial, during attempts conciliation and at discharg- violated the Prudential law impossibil- reinstatement a virtual makes ing reassigning complaining or employ- ity remedy.” aas of age, ees because their Pru- and that II, Rec., at vol. 452. The record contains knew, dential or should have known support evidence contention.3 How- the time that decided to or discharge ever, judge why the district did not state reassign complaining employees, that damages appropriate are more than future such decisions and actions were in viola- reinstatement. The trial court must make intentionally tion of the law and were in the Ac- this assessment first instance. knowingly done in violation thereof.” cordingly, we remand for the to re- court XV, Rec., appeal vol. 1121-22. On its award of pension consider future bene- EEOC contends that this instruction erro- decision in Blim light of our fits in neously imposed too strict a standard above, set forth analysis and to articulate requiring proof employer specifi- underlying the evidence rationale its cally to violate intended the law. We decision. agree. court This has held that a viola
V. tion of the ADEA is willful when em ployer “acted face of the ADEA” THE WILLFULNESS INSTRUCTION “fully and was aware that the Act ‘in ” § ADEA, 626(b), provides Corp., Mistretta v. Sandia picture.’ U.S.C. 588,'595 owing (10th Cir.1980) person that amounts to a as a result (quoting 639 F.2d Jiffy Farms, Inc., unpaid of Coleman v. June of a violation the Act are deemed cert, denied, wages (5th unpaid 1139, Cir.1971), minimum com- overtime pensation purposes 948, 292, for section 216 93 S.Ct. U.S. employer (1972)). Under section doing
FLSA.
adopted
so
we have
the FLSA
for
apply
who violates
is liable
these
same
definition willfulness that we
plus “an
equal
determining
amounts
additional
amount
whether a violation of the
§
damages.”4
216(b).
Id.
liquidated
FLSA is willful for statute of limitation
See,
However,
id.;
e.g.,
provides
“liqui-
ADEA
purposes.
EEOC Central
Center,
damages
payable only
dated
shall be
in Kansas Medical
Indeed,
appeal
Cong.,
H.R.Conf.Rep.
Prudential has not indicated on
No.
95th
2d Sess.
prefer
13-14,
pay-
that it would
reinstatement over
reprinted
Cong.
in 1978
& Ad.
U.S.Code
504, 528,
ment of
benefits.
(quoting Overnight
News
Motor
Missel,
Transportation Co. v.
583-
"liqui-
recovery of
4. The ADEA authorizes the
1222-23,
86 L.Ed.
(calculated
equal
dated
as an amount
(1942)). "[L]iquidated damages are in the na-
loss)
compensate
pecuniary
which
to the
aggrieved
relief,” id.,
legal
ture of
and "are not intended to
party
nonpecuniary
losses ... that
Dickerson,
place
equitable
take the
relief.”
proof for
obscure and difficult of
esti-
are ‘too
1273,
(10th
this
Under
1274
the
be willful even
corporates
provisions of
Portal-to-
other
standard,
violation
“[a]
Act,
specific
not
ADEA does
make
does
have
Pay
Portal
“the
employer
if
§
Act
actions violate the
Id.
join
11.”
We
those
his
reference to
knowledge that
____ Instead,
signif
is
when
this
violation willful
courts that have found
omission
‘[a]
been,
was,
good
or should have
pro
and
that the
faith
employer
the
icant
conclude
possibility that
cognizant
appreciable
in
of an
of
11 is not available
vision
section
by
See,
were
e.g.,
Spiegel,
Hill v.
involved
covered
employees
the
ADEA
cases.
”
v.
Donovan
provisions.’
Inc.,
statutory
233,
(6th Cir.1983);
the
F.2d
238
708
Corp., 725 F.2d
83,
Inc.,
Simmons Petroleum
Heublein,
127,
Goodman v.
Cir.1983)
Central Kansas
(10th
(quoting
85
(2d Cir.1981); Kelly American
129-30
Center,
1274) (empha-
705 F.2d at
Medical
974,
Standard,
Inc.,
(9th
F.2d
640
981-82
added). Accordingly,
sis
the instruction Cir.1981);
Burroughs
Corp.,
v.Wehr
619
here
given by
court
was erroneous.5
the
Cir.1980);
276,
(3d
Loeb v. Tex
F.2d
279
tron,
1003,
Inc.,
(1st
F.2d
1020
600
Cir.
by
testimony
contains
The record
1979).
the
members of
Prudential executives
demonstrating that
the
in
company
board
ADEA
Once
violation
the
by
employees
protected
fact
were
knew its
willful,
is
the
determined to be
award
ADEA,
Prudential
not con
does
liquidated damages mandatory,
is
and the
contrary
appeal.
on
on
tend
Based
to
liqui
“to
court without discretion
award
evidence, we
as a
this uncontested
conclude
damages
dated
in an amount other than
matter
that Prudential’s conduct in
of law
equal
compensatory
award for
to the
terminating Tanner
vi
constituted a willful
damages.” Hill,
part.
CORPORATION,
corporation,
ABEX
a
agree
the dissent filed
Chief
I
with
Defendant-Appellee/Cross-Appellant,
Judge
in Blim v.
Elect.
Seth
Western
(10th Cir.1984)
Inc.,
sons for the disallowance of front recognizing liquidated damages
after recovered for willful violations: be pay
The front are too uncer- wages”
tain to be considered “lost possibilities
“lost earned benefits.” The demotions, promotions, legitimate ter-
minations, inject many or death too un-
knowns. these circumstances the speculative pay
award of front is too pecuniary damages
be considered under
the statute. The enforcement section of specifically
the ADEA was constructed type damages.
to limit the of available mentioned, although
As the statute
grants equitable powers broad those
powers expand cannot be used to
legal specifically remedies detailed in the
statute. Id. at 1481. Doe, 202, 242,
In Plyler v. 2382, 2408, (1982)
S.Ct.
Supreme Court observed that Con- “[T]he does not constitute
stitution us Jus- [the Supreme
tices of Court of the United ‘Platonic Guardians’ nor does it
States] authority
vest in this Court to strike they do not meet our
down laws because policy, of desirable social ‘wis-
standards ” dom,’ sense.’ In like manner or ‘common should be ever cautious not
the court superlegislature.
play the role of a
