OPINION
Plaintiff Dario Fernandez has sued his former employer, Windmill Distributing Co., L.P. (Windmill), a related entity, Phoenix Beverages, Inc. (Phoenix), and ten John Doe corporations that are owned and/or controlled by Windmill, for compensatory and punitive damages, as well as attorney’s fees and costs. After Fernandez was injured on the job in 2009, he sued his employers for allegedly denying him his rights under the Family Medical Leave Act (FMLA), 29 U.S.C. § 2601 et seq., the
To date, only Windmill and Phoenix (together, defendants)
Following the parties’ failed attempt to resolve their dispute in mediation, defendants moved to dismiss the amended complaint pursuant to Federal Rule of Civil Procedure 12(b)(6). See ECF No. 40. Although the parties have taken no discovery, defendants’ motion to dismiss attaches new documents and contains information that far exceeds the pleadings. Fernandez argues that conversion of defendant’s Rule 12(b)(6) motion into a Rule 56 motion is warranted, and defendants agree.
As set forth in the opinion below, the court concludes that Rule 56 conversion is proper only as to the arbitration issue. The court further finds that Fernandez’s statutory claims need not be arbitrated. The court will measure Fernandez’s remaining substantive legal allegations against the motion-to-dismiss standard. As to those claims, the court holds that the amended complaint inadequately pleads claims of FMLA interference and retaliation and NYCHRL retaliation. However, defendants’ motion to dismiss Fernandez’s of NYCHRL and NYSHRL disability discrimination claims is denied.
The Amended Complaint
The following facts are drawn from the amended complaint. Defendants operate a beer and wine distribution company. Plaintiff Fernandez began working as a delivery driver for defendants in 2003. At all times during his employment, Fernandez was a member of Teamsters Local 812, a union representing employees in the beverage industry.
Part of Fernandez’s job was to unload kegs and cases of beer. In August 2009, Fernandez injured his back while lifting a keg during a beer delivery. Fernandez notified defendants’ human resources director, Vivian Fiscaletti, of his injury and provided a doctor’s note recommending that he take time off work. Defendants did not apprise Fernandez of his rights under the FMLA, nor did they notify Fernandez that he was not allowed to take a leave of absence. Fernandez took time off work beginning on September 29, 2009. He returned to work nearly four months later, on January 20, 2010, after presenting to his supervisor a medical clearance letter.
On January 25, 2010, five days after returning to work, Fernandez’s supervisor, Charlie Chae, directed Fernandez to meet with him, Fiscaletti, a manager named Oscar Ruiz, and one other unnamed employee. During this meeting, Ruiz and the others pressed Fernandez for more information about his leave of absence and asked for the names of the doctors who treated him. Fernandez believed he was about to lose his job. How
Two months after the meeting, on March 25, 2010, one Juan Hernandez informed Fernandez that his employment had been terminated. The complaint does not describe Hernandez’s role in defendants’ business, if any, or his relationship to Fernandez, if any. And although Fernandez received no official termination notice from defendants, he apparently ceased working at defendants’ warehouse anyway.
The Motion to Dismiss
Defendants move to dismiss the amended complaint, arguing that Fernandez was bound to arbitrate his employment-related claims and that, in any event, the amended complaint fails to state a cause of action under the NYSHRL and the NYCHRL. The motion to dismiss is accompanied by a declaration, which, in turn, appends as exhibits two versions of the collective bargaining agreement (CBA) between Local 812 and Windmill. ■
Fernandez, in opposition, argues that defendants’ motion to dismiss should be converted into a motion for summary judgment because the motion to dismiss asks the court to consider evidence outside of the amended complaint. Fernandez has also appended materials to bolster his position that he was not bound to arbitrate his labor dispute, and that the amended complaint sufficiently states claims under the FMLA, the NYSHRL, and the NYCHRL. In the alternative, Fernandez urges the court to allow him leave to further amend his complaint.
Defendants appear to agree that their motion to dismiss should be converted into one for summary judgment. Indeed, defendants submitted additional documents to support their positions that this case is ripe for summary judgment and that the court should decide in defendants’ favor.
Conversion under Federal Rule of Civil Procedure 12(d)
As an initial matter, the court must determine whether to convert defendants’ motion to dismiss into a motion for summary judgment.
Under Federal Rule of Civil Procedure 12(d), when parties present matters outside the pleadings on a motion to dismiss, the court must either decide the motion based on the complaint alone, without considering the additional material, or else convert the motion to one for summary judgment under Rule 56. Friedl v. City of New York,
The ultimate decision of whether to convert a Rule 12(b)(6) motion into a Rule 56 motion is discretionary. See id. A court may also convert only part of a 12(b)(6) motion into a Rule 56 motion. See, e.g., Zaldivar v. Anna Bella’s Cafe, LLC, No. 11-cv-1198,
Here, Fernandez plainly had notice that defendant’s motion could be converted; Fernandez himself argues that conversion is proper if the court decides to consider materials outside the amended complaint. PL’s Opp. Mem. L., ECF No. 49, at 7-8. Yet Fernandez’s opposition muddles Rule 12(b)(6) and Rule 56 standards. Plaintiff at once recites the motion to dismiss standard, see id. at 2-5, but also recites a list of material facts that “are to be accepted as true,” much in -the style of a Rule 56.1 statement, see id. at 5-7. Fernandez also submitted a declaration in support of his opposition, to which he appended seven exhibits. In other words, Fernandez has also asked the court to consider materials outside of the pleadings.
Defendants have expressed “no objection” to Fernandez’s submission of materials outside of the pleadings, and thereafter refer to their submission as a “motion for judgment as a matter 'of law.” See Reply Mem. L., ECF No. 53, at 3. The parties do not object to conversion, and they have not invoked Federal Rule of Civil Procedure 56(f), which provides that, if a party opposing summary judgment “shows by affidavit that, for specified reasons, it cannot present facts essential to justify its opposition,” the court may deny the motion on that basis or order other appropriate relief, such as additional discovery. See Fed. R. Civ. P. 56(f).
Having considered the parties’ submissions, the court finds that the parties reasonably recognized that the court would convert defendants’ Rule 12(b)(6) motion into a Rule 56 motion. The court also finds that the parties had reasonable opportunities to present pertinent extrinsic material. But while defendants’ Rule 12(b)(6) motion is suitable for conversion under Rule 56, the court will convert only part of the motion. Rather than ruling summarily on the facts surrounding statutory claims on which no discovery has been taken, the court will convert part of defendants’ motion to dismiss into a motion for partial summary judgment and decide the issue of mandatory arbitration' — and this issue alone- — on the merits. The court will treat the remaining NYSHRL and NYCHRL allegations under the standard for a motion to dismiss.
Arbitration
I. Standard of Law
A court may grant a motion for summary judgment only if “the pleadings, depositions, answers to interrogatories, and admissions on file, together with affidavits, if any, show that there is no genuine issue as to any material fact and that the moving party is entitled to judgment as a matter of law.” Fed. R. Civ. P. 56(c); see also Globecon Grp., LLC v. Hartford Fire Ins. Co.,
II. Discussion
Windmill contends as a threshold matter that this action is improper because Fer
A union-negotiated CBA cannot waive rights to bring a federal statutory claim in a judicial forum unless that waiver is clear and unmistakable. Wright v. Universal Maritime Serv. Corp.,
In 14 Penn Plaza LLC v. Pyett,
The Court ultimately held that employees’ ADEA claims were arbitrable because the CBA clearly and unmistakably covered ADEA claims, and because the ADEA does not except itself from the NLRA. Id. at 257-58, 260,
In keeping with Pyett, courts in this circuit have concluded that, in cases where the operative CBA specifically referenced statutes, as did the CBA in Pyett, an employee has clearly and unmistakably waived his statutory right to litigate those statutory claims. See, e.g., Duraku v. Tishman Speyer Props., Inc.,
Pyett does not plainly apply to cases in which the CBA does not explicitly reference the statutory rights' subject to arbitration — that is, CBAs whose arbitration provision is not a clear and unmistakable waiver of statutory rights. Several post-Pyett eases have addressed this posture and arrived at different results. Compare, e.g., Shipkevich v. Staten Island Univ. Hosp., No. 08-cv-1008,
However, as this court held in Alderman v. 21 Club Inc.,
This reasoning still holds. Since this court’s decision in Alderman, our sister courts have come to similar conclusions in analogous cases. See, e.g., Viruet v. Port Jervis City Sch. Dist., No. 11-cv-1211,
Moreover, the Supreme Court in Pyett did not address cases where the applicable CBA contained a broad definition of what is arbitrable as well as a general nondiscrimination clause, but did not specifically reference statutory discrimination provisions. See Pyett,
The CBA in this case was entered into as of January 16, 2009 and was in effect when the events leading to this cause of action occurred on August 28, 2009. See Mot. Dismiss Ex. 1, ECF No. 41-1, preamble; Am. Compl. ¶ 27. It represents an agreement between Local 812 and LongFeng Trucking, LLC. Id. LongFeng is not involved in this case, but, according to the CBA, is the related successor to Windmill. The CBA further provides that Windmill does business as Beehive and that Beehive should be considered a division of LongFeng. Id. By transitive property, Windmill should also be considered a division of LongFeng. Indeed, Phoenix, Beehive, and Windmill are all divisions of LongFeng. Thus, insofar as the CBA refers to LongFeng, the CBA also applies to Phoenix, Beehive, and Windmill.
The CBA provides in relevant part:
“All disputes between [LongFeng] and Beehive and/or any employees shall be promptly taken up for adjustment by [Local 812] through its duly authorized agents. In the event that no adjustment shall be possible by direct negotiation between Beehive and [Local 812], with thirty (80) days thereafter the matter may be submitted by [Local 812] for arbitration and such arbitrator’s decision or award shall be final and binding up on both parties to this Agreement.
The parties shall first attempt to agree on the arbitrator to hear the matter, and failing agreement, the matter shall be referred to the American Arbitration Association for the submission of panels of arbitrators for the parties’ selection of a mutually agreeable arbitrator.
ECF No. 41-1, Art. 12.
The CBA also contains an antidiscrimi-nation clause that reads:
Beehive and [Local 812] agree not to discriminate against any individual with respect to hiring, compensation, or other terms and conditions of employment because of such individual’s race, color, religion, sex, national origin, age, handicap that does not prevent performance of the essential duties of the job, or sexual preference, nor will they limit, segregate or classify employees in any way to deprive any individual employment opportunities because of race, col- or, religion, sex, national origin, age, handicap that does not prevent perform-anee of the essential duties of the job, or sexual preference. Any claim by an employee of any such discrimination will be submitted to arbitration under Article 12 of this Agreement as the exclusive forum for resolving such a claim.
ECF No. 41-1, Art. 14.
The CBA is broad and requires arbitration for “all disputes,” but its antidiscrimi-nation section does not reference any specific antidiscrimination statutes that would be subject to exclusive arbitration, nor does it specify whether arbitration is required for state or federal claims at all. In view of post-Pyett precedent in this circuit, the court holds that the arbitration and antidiscrimination clauses above do not mandate arbitration of Fernandez’s statutory claims. The court therefore finds that the CBA does not require Fernandez to arbitrate his statutory claims, and Windmill’s motion for summary judgment as to this issue is denied.
Statutory Claims
Having found that the CBA does not require Fernandez to arbitrate his statutory antidiscrimination claims, the court now turns to Windmill’s motion to dismiss Fernandez’s statutory claims under Federal Rule of Civil Procedure 12(b)(6).
I. Standard of Law
On a Rule 12(b)(6) motion to dismiss, the court must accept a plaintiffs factual allegations as true and draw all reasonable inferences in the plaintiffs favor. Tsirelman v. Daines,
A claim is plausible “when the plaintiff pleads factual content that allows the court to draw the reasonable inference that the defendant is liable for the misconduct alleged.” Matson v. Bd. of Educ.,
The plaintiffs burden at this stage is “minimal.” Holcomb v. Iona Coll.,
II. Discussion
A. FMLA Claims
Under the FMLA, eligible employees are entitled to twelve weeks of leave when they have a serious health condition. See 29 U.S.C. §§ 2611(2), 2612(a)(1)(D) (2012). At the end of the leave period, with few exceptions not relevant here, each eligible employee must be restored to his old position or an equivalent position. See id. § 2614(a). “The FMLA also provides eligible employees a private right of action to seek both equitable relief and money damages against any employer ... should that employer interfere with, restrain, or deny the exercise of FMLA rights.” Rodriguez v. Atria Senior Living Grp., Inc.,
The Second Circuit recognizes two types of FMLA claims — “interference” claims and “retaliation” claims. See Potenza v. City of New York,
1. Interference Claim
Fernandez alleges that Windmill interfered with his right to take a federally protected leave of absence under the FMLA by failing to inform him of his right to take FMLA leave or to apprise him of the terms of FMLA leave. Windmill argues that Fernandez has failed to adequately plead an interference claim. At the motion to dismiss stage, Fernandez must have pled facts sufficient to make his FMLA interference claim possible. Fernandez has not done so here.
Purported interference with FMLA rights must ultimately result in the denial of a benefit under the FMLA. See Garraway v. Solomon R. Guggenheim Found.,
The failure to provide notice of the terms of the FMLA, “where the lack of notice had no effect on the employee’s exercise of or attempt to exercise any substantive right conferred by the Act,” is insufficient to state a cause of action. Sarno v. Douglas Elliman-Gibbons & Ives, Inc.,
Generally, then, when an employee has received his twelve weeks of leave in a given year and is discharged for being unable to return to work, the employee cannot maintain an interference claim. See, e.g., Roberts v. Health Ass’n,
The cases of Ridgeway v. RBS Grp., et ah, No. 11-cv-976,
During the employee’s leave, the employer altered- its method of calculating FMLA leave. The employer then sent a number of confusing and contradictory letters to the employee, informing him in some letters that his leave would expire early. The employee called his employer to verify the information in the letters, but was told numerous times that his previously agreed-upon leave period was secure. The employee took his agreed-upon leave but was fired on the final day of his leave for violating his employer’s leave policy. Id. at *2-3.
The Ridgeway court denied the defendant’s motion to dismiss, holding that the employee stated a colorable claim that the employer interfered with the employee’s right to take a federally protected leave of absence under the FMLA. Had the employee been timely notified of his employer’s change in FMLA policy, he may not have scheduled his surgery at that time. Thus, the failure to provide notice interfered with the employee’s ability to plan and use FMLA leave to schedule the elective surgery and recover from the surgery. Id. at *8.
In Vangas, the employee’s four-month leave began immediately after she was diagnosed with cancer. The employee was not medically cleared to return to work after the twelve-week period expired, although the employee said she would “‘do what [she had] to do to save [her] job.’” Vangas,
The Vangas court granted defendant’s motion to dismiss, finding that the employee did not have an FMLA cause of action for interference. The employee pled no facts to indicate that she could have returned to work at the end of her FMLA leave, “either because she was well enough to return or because she could have scheduled her FMLA leave better if she had had more notice,” and the court found that the employee’s “own pleadings show she could not return to work.” Id. at 579.
The reasoning above does not militate a different result where an employee has received her twelve weeks of leave and is discharged after returning to work. Where an employee alleges that she was uninformed or misinformed about her FMLA rights, the employee must still allege in the pleadings that proper access to her FMLA rights would have changed her behavior.
Here, Fernandez’s interference claim is predicated upon Windmill’s failure to notify him at the time he requested leave that he had a right to twelve weeks of FMLA leave and no more. He admits that he took time off from work, but asserts that Windmill did not inform him that he was FMLA-eligible or that he had the right under the FMLA to take twelve weeks of sick leave in a year, and only twelve
Fernandez’s interference claim is initially problematic because he took — indeed, exceeded — his statutory leave allowance, even without express permission of his employer. But the lack of facts supporting an inference of prejudice is ultimately fatal to Fernandez’s interference claim. As in Van-gas, Fernandez has failed to plead facts indicating that he could have returned to work at the end of twelve weeks of FMLA leave. Fernandez does not contend that he was well enough to return after twelve weeks, nor does he argue that he could have better scheduled his FMLA leave if he had been notified of his rights, as in Ridgeway. Accordingly, the amended complaint does not properly plead that Windmill interfered with Fernandez’s exercise of his FMLA rights.
2. Retaliation Claim
To state a claim for FMLA retaliation, Fernandez must plausibly allege that he exercised rights protected by the FMLA and that he suffered an adverse employment action under circumstances giving rise to an inference of retaliatory intent. See Smith v. Westchester Cnty.,
The adverse employment action must have been taken with retaliatory intent. Retaliatory intent may be shown through a variety of means. See, e.g., De-Cintio v. Westchester Cnty. Med. Ctr.,
Fernandez contends that Windmill retaliated against him for exercising his FMLA rights after he returned to work. See Am. Compl. ¶ 48. As currently pled, the facts surrounding Fernandez’s termination do not give rise to an inference of retaliatory intent.
As noted above, Fernandez successfully obtained leave and returned to work on January 25, 2010. Windmill permitted Fernandez to work for two full months, after which time Fernandez alleges he was discharged on March 25, 2010. And while the two-month gap between Fernandez’s return to work and the termination of his employment is not fatal to his claim, Fernandez pleads no facts giving rise to retaliatory intent during that two month period, during which time Fernandez was permitted to work as usual. Nor has Fernandez specified that any of his protests of Windmill’s allegedly unlawful FMLA practices actually led to his firing. Indeed, there is no indication from the amended complaint that Fernandez’s employment was ever actually terminated; instead, Fernandez alleges simply that he learned of his dismissal from Juan Hernandez, whose role at Windmill, if any, is nowhere specified in the amended complaint. See Am. Compl. ¶ 42.
B. NYSHRL & NYCHRL Claims
Fernandez also brings claims for discrimination on the basis of disability under the NYCHRL and the NYSHRL and retaliation under the NYCHRL. Am. Compl. ¶¶ 52-70.
1. Disability Discrimination
To plead a case for disability discrimination for failure to accommodate under the NYSHRL and the NYCHRL, a plaintiff must show that: (1) his employer was subject to the NYSHRL and the NYCHRL; (2) he was disabled, within the meaning of those statutes; (3) he was otherwise qualified to perform the essential functions of the job, with or without reasonable accommodation; and (4) he suffered adverse employment action because of his disability. Mobley v. Madison Square Garden LP, No. 11-cv-8290,
Windmill has moved to dismiss Fernandez’s disability-discriminatio'n claims on the basis of the third element noted in the above framework. In other words, Windmill argues that Fernandez has failed to plead that he was otherwise qualified to perform the essential functions of the job, with or without reasonable accommodation. While the precise contours Windmill’s argument are unclear, see Mot. to Dismiss at 11, it appears that Windmill is arguing that Fernandez cannot establish a discrimination case because an essential function of his job was coming to work, which he indisputably failed to do for sixteen weeks.
However, a plaintiff can satisfy the third element if he can show that he is able to perform the essential functions of his job if provided a reasonable accommodation. Borkowski v. Valley Cent. Sch. Dist.,
Fernandez’s allegations are not vitiated simply because Fernandez took an extended leave, even though Windmill purportedly failed to provide him such an accommodation. “[A] temporary leave of absence, even an extended leave, can be a reasonable accommodation.” LaCourt v. Shenanigans Knits, Ltd., No. 102391/11,
2. Retaliation
Finally, Windmill argues that Fernandez has failed to adequately plead re
The amended complaint alleges that Windmill retaliated against Fernandez' for taking an unpaid leave of absence. Am. Compl. ¶ 69. In response, Windmill argues that taking an unpaid leave of absence is not a protected activity within the meaning of the NYCHRL. Mot. Dismiss at 11-12. Windmill is correct. To be actionable, the alleged retaliation must have been in response to a protected activity. “The term ‘protected activity’ refers to action taken to protest or oppose statutorily prohibited discrimination.” Cruz v. Coach Stores, Inc.,
III. Leave to Further Amend the Pleadings
Federal Rule of Civil Procedure 15(a) provides that leave to amend “shall be freely granted when justice so requires.” Fed. R. Civ. P. 15(a). “When justice so requires necessarily implies justice to both parties.” See Pollux Marine Agencies, Inc. v. Louis Dreyfus Corp.,
In evaluating prejudice, courts consider whether an amendment would “require the opponent to expend significant additional resources to conduct discovery and prepare for trial” or “significantly delay the resolution of the dispute.” Block v. First Blood Assocs.,
In this case, Windmill has provided no reasons why leave to further amend should not be granted. The court sees no independent and compelling reasons to deny leave to further amend.
IV. Conclusions
For the foregoing reasons, the court finds on the merits that Fernandez’s claims need not be arbitrated, but that Fernandez’s FMLA interference and retaliation claims, as well as his NYCHRL retaliation claim, is dismissed as a matter of law without prejudice. Fernandez’s disability discrimination claims under the NYSHRL and NYCHRL survive Windmill’s motion to dismiss. Windmill’s motion is therefore granted in part and denied in part. Fernandez may further amend his pleadings in accordance with this opinion.
SO ORDERED.
Notes
. Windmill is the broader trade name for various distribution operators beneath it. Specifically, Windmill operates in Brooklyn, Queens, and Staten Island through Phoenix Beverages, Inc., and in Manhattan and the Bronx through Beehive Beer Distributing Corp. See Defs.’ Mem. Law Supp. Mot. Dismiss, ECF No. 42, at 1. The court further understands that Windmill does business as Beehive; that Windmill also does business as Phoenix; and that Phoenix also does business as Beehive. Collectively, these entities will be termed “Windmill” for purposes here. “Windmill” does not include John Doe defendants 1-10, which remain unidentified and which have not answered the Amended Complaint or otherwise appeared in this action.
. Neither party disputes that Windmill is subject to the CBA, even though LongFeng is the primary signatory to the CBA. LongFeng is listed as the “related successor” to Windmill, though it is unclear what LongFeng succeeded to. See Mot. Dismiss Ex. 2, ECF No. 41-2, Preamble. Indeed, neither party mentions the existence or relevance of LongFeng in the briefing or pleadings. Because neither party has asserted that Windmill is not subject to the arbitration or antidiscrimination provisions of the CBA, and because the court sees no clear reason to find otherwise, the court assumes that Windmill is subject to the CBA.
