Manuel M. Fernandez-Montes v. Allied Pilots Association, Fred Vogel, and C.R. PatyManuel M. Fernandez-Montes v. Allied Pilots Association, Fred Vogel, and C.R. Paty
The dispute in this case arises from plaintiff Fernandez-Montes’ assertion that as a member of his union, the Allied Pilots Association (“APA”), he has a right to obtain copies of certified verbatim transcripts or audiotapes of certain union meetings. Although the union makes audiotapes of its meetings, it is not required to do so by its own constitution and bylaws or by any federal law. The union claims that the audiotapes are made solely to facilitate the preparation of minutes (which are sent to all union members). Although the union refuses to acknowledge that union members have a right of access to the audiotapes, in practice the union does permit all union members to come to its offices and listen to the audiotapes on the union’s audio equipment. 1
The APA is required by the Labor Management Reporting and Disclosure Act of
The APA’s constitution and bylaws provide that all members are entitled to receive minutes of union meetings. Plaintiff acknowledges that he has a right to attend meetings and obtain minutes of meetings, but insists that he should not have to attend meetings in order to learn all the details of what transpires at the meetings. In addition to complaining of the expense and time involved in attending meetings, plaintiff insists that he has difficulty comprehending what is said at meetings because English is not his native tongue.
Prior to filing suit, plaintiff made a demand for access
as of right
to the audiotapes, and specifically requested that personal copies be made at his expense. This demand was refused by the union. Plaintiff then filed this law suit in the United States District Court for the Northern Dis
In his complaint, plaintiff did not specifically point to anything in the union’s minutes which made him suspect that any of the union’s LM Reports might be inaccurate, false or misleading. He did suggest, however, that he was worried by the lack of “specifics” in the minutes of a meeting at which allegations of misconduct against one of APA’s officers were discussed. He also contended that at some of the meetings in question, matters were discussed pertaining to the union constitution. However, he did not say why the minutes would not suffice for the purpose of verifying that the union was doing what it claimed to be doing in its LM Reports to the Secretary of Labor.
The union’s answer asserted as an affirmative defense that the plaintiff had not stated a claim upon which relief could be granted. Later, the union moved for dismissal on the same ground. The district court denied the motion.
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Three months later, plaintiff was given leave to amend his complaint, which he did by adding a claim under
After the district court issued the order denying the motion to dismiss, the case was transferred from Judge Mahon to Judge McBryde. On Sept. 4, 1991, approximately two years after plaintiff had filed suit, a pretrial conference was held before Judge McBryde. At the close of the pretrial conference, Judge McBryde stated his intention to “withdraw” Judge Mahon’s denial of the union’s earlier motion to dismiss the original complaint, and to grant that motion. Later that same day, Judge McBryde dismissed plaintiff’s entire amended complaint. Judge McBryde’s order did not say whether the dismissal was with prejudice.
The plaintiff requested the court to vacate or reconsider the order dismissing the amended complaint. The plaintiff characterized the order as one granting summary judgment, and claimed that the order was in error for failure to comply with
On Nov. 15, 1991, Judge McBryde issued an order in response to plaintiff’s motion to vacate or reconsider. Judge McBryde made it clear that:
Contrary to plaintiff’s contentions, the dismissal of his claims was not the result of the court’s granting summary judgment in favor of defendants. Rather, plaintiff’s amended complaint was dismissed because plaintiff failed to state a claim and, given the opportunity at the pretrial conference, plaintiff was unable to articulate a claim upon which relief could be based.
Plaintiff appeals, contending that he stated a claim under
DISCUSSION
I. WHETHER JUDGE MCBRYDE’S ORDER AMOUNTED TO SUMMARY JUDGMENT, TRIGGERING THE REQUIREMENTS FOR NOTICE AND AN OPPORTUNITY TO RESPOND UNDER
At the pretrial conference, Judge McBryde stated that he was “withdraw
The fact that plaintiff arrived at the pretrial conference without any reason to think that the motion to dismiss the
A judge should hesitate to undo his own work.... Still more should he hesitate to undo the work of another judge.... But until final judgment or decree there is no lack of power, and occasionally the power may be properly exercised.
Peterson v. Hopson,
II. A. DISMISSAL OF PLAINTIFF’S
We review
de novo
the district court’s dismissal of a complaint for failure to state a claim.
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When considering a motion to dismiss for failure to state a claim, the district court must take the factual allegations of the complaint as true and resolve any ambiguities or doubts regarding the sufficiency of the claim in favor of the plaintiff.
Doe v. United States Dep’t of Justice,
Despite this liberal standard, we find that plaintiff has failed to state a claim under
There are many cases affirming a union member’s right to inspect and photocopy receipts and other union records necessary to verify the accuracy of the union’s financial statements filed with the Secretary of Labor as required by
The Court has no question that plaintiff is entitled to have available to him the convention minutes which effected the adoption of the defendant’s constitution. ... Surely the minute books of the convention and of the Steering Committee are necessary to verify the validity of the adoption of the constitution, the nature of the debate and apparent intent of the membership, and the consistency of the constitution as published [and filed with the Secretary of Labor] to the constitution actually adopted by the membership.
Plaintiff’s complaint states that he seeks access to audiotapes or transcripts of cer
The LMRDA does not require the union to audiotape its meetings or to keep on file certified transcripts of meetings. Unions are required to keep materials on file which would assist in verifying their filings with the Secretary of Labor under
All that plaintiff has alleged is that one of the meetings’ minutes were so elliptical that the minutes did not adequately inform those members who chose not to attend what had transpired at the meeting, not that they demonstrate a discrepancy between the union’s federal filings and its actual behavior. Put another way, the primary focus of plaintiff’s complaint is to seek a comparison of the minutes with the audiotapes, rather than a comparison of the minutes or the audiotapes with the union’s federal filings. As such, it fails to state a claim under
B. DISMISSAL OF PLAINTIFF’S
At the pretrial conference, Judge McBryde stated his intention to
“with
Plaintiff contended that APA’s unwillingness to provide copies of tapes of meetings meant that he had an unduly onerous burden placed upon his
participation
as a union member. Although he is permitted to attend union meetings, he claims that he has difficulty with the English language and needs the audiotapes in order better to comprehend what is said at union meetings and to verify union reports required to be filed with the Secretary of Labor under
The right to express views [under§ 411 ] in ignorance of facts is a hollow right.... [A] union can hardly be said to be affording a member the right [under§ 411 ] to “express ... views, arguments, or opinions ... upon any business” of the union when a union deliberately and as a matter of policy keeps its members in ignorance.... A union may preclude a member from discussing union affairs by denying him access to information just as effectively as by silencing the member at a meeting or threatening a member with punishment after the fact for expressing his views.
Congress could not have intended the limited remedy of§ 431(c) to be the member’s only remedy when the deprivation of information also amounts to a deprivation of§ 411 rights.... [I]n a proper case, the denial of a union member’s access to information which is required to be disclosed under29 U.S.C. § 431(c) may also be a violation of the member’s rights under29 U.S.C. § 411(a) .
Id.
(emphasis added). We are aware of no decision holding that despite the failure to establish just cause under
While
[T]he Supreme Court has cautioned lower courts to be especially leery of interpreting the LMRDA based on uncertain inferences from word-by-word parsing of the statute. “We must look to the objectives Congress sought to achieve and avoid placing great emphasis upon close construction of the words.” ... [T]he statutory right to freedom of speech.... simply does not guarantee access to all information a member might want to speak about.”
Mallick,
III. CONCLUSION
For the foregoing reasons, the decision of the district court is AFFIRMED.
Notes
. Fernandez-Montes contends that the poor quality of the sound equipment at APA’s headquarters makes it all but impossible for him to comprehend what he hears on the audiotapes. He seeks to obtain copies of the audiotapes so that he may listen to them at his leisure in his own home. Mr. Fernandez-Montes has never requested permission to bring his own audio equipment to APA’s offices. Moreover, despite his claimed lack of facility with the English language, he has never requested permission to bring a translator to union meetings.
.
.
"Every person required to file any report under this subchapter shall maintain records on the matters required to be reported which will provide in sufficient detail the necessary basic information and data from which the documents filed with the Secretary may be verified, explained or clarified, and checked for accuracy and completeness, and shall include vouchers, worksheets, receipts and applicable resolutions, and shall keep such records available for examination for a period of not less than five years after the filing of the documents based on the information which they contain.”
29 U.S.C. § 431(c) provides in pertinent part: “Every labor organization required to submit a report under this subchapter shall make available the information required to be contained in such report to all of its members, and every such labor organization and its officers shall be under a duty enforceable at the suit of any member of such organization in any State court of competent jurisdiction or in the district court of the United States for the district in which such labor organization maintains its principle office, to permit such member for just cause to examine any books, records and accounts necessary to verify such report.”
.
"Every member of a labor organization shall have equal rights and privileges within such organization to nominate candidates, to vote in elections or referendums of the labor organization, to attend membership meetings, and to participate in the deliberations and voting upon the business of such meetings, subject to reasonable rules and regulations in such organizations' constitution and bylaws."
29 U.S.C. § 411(a)(2) provides:
"Every member of any labor organization shall have the right to meet and assemble freely with other members; and to express any views, arguments, or opinions; and to express at meetings of the labor organization his views, upon candidates in an election of the labor organization or upon any business properly before the meeting, subject to the organization's established and reasonable rules pertaining to the conduct of meetings; Provided, That nothing herein shall be construed to impair the right of a labor organization to adopt and enforce reasonable rules as to the responsibility of every member toward the organization as an institution and to his refraining from conduct that would interfere with its performance of its legal or contractual obligations.”
. Defendants have never filed a motion for summary judgment. Although the plaintiff now characterizes Judge Mahon’s order denying defendants' motion to dismiss as a denial of summary judgment, by the order’s terms it addressed only the defendants' motion for dismissal for failure to state a claim. Judge Mahon's order states that Judge Mahon reviewed the pleadings, the briefs, and the motions of the parties. Thus, we presume that he did not consider matters outside the pleadings which might be admissible as evidence at trial. Hence, the motion to dismiss was not converted into a motion for summary judgment under
. Although the district judge did not explicitly state whether the dismissal of plaintiffs complaint was with prejudice, we find that it was, and hence we have jurisdiction under
. Ordinarily, when matters outside the pleadings are considered, a motion for dismissal based on failure to state a claim is converted into a motion for summary judgment (see
. There is a question as to the effect of the dismissal of plaintiff’s
When, as in the instant case, leave to amend has been sought and denied:
Plaintiff has the burden of either pursuading [sic] the court to designate the dismissal as “without prejudice,” or of appealing. Otherwise a dismissal for failure to state a claim is res judicata "as to the existing claim which it appears plaintiff was attempting to state”.... [I]f plaintiff seeks to file an amended complaint, and leave is denied with prejudice, the denial is res judicata as to any claim in the proposed amended complaint.... But the bar does not extend beyond the claim or cause of action that was pleaded in the complaint. It does not preclude a new suit on different factual allegations that call into play different legal principles.
IB Moore’s
Federal Practice
para. 0.409[l.-2] at 310 n. 13 (2d ed. 1992) (citations omitted). The denial or grant of leave to amend a complaint is reviewed under the abuse of discretion standard.
Zenith Radio Corp. v. Hazeltine Research, Inc.,
. The dismissal of a complaint under
. Obviously, it may sometimes be difficult for a union member to
know
whether the federal filings contain discrepancies until he has seen the union’s records. That is why the “just cause” standard has been interpreted by courts to be rather "minimal,”
see, e.g., Fruit and Vegetable Packers & Warehousemen Local 760 v. Morley,
. At the pretrial conference, plaintiff s attorney summed up the complaint as follows: "[Plaintiff] is a dues-paying APA member, and he is a very politically active member who has been involved in supporting candidates and speaking at union meetings, and it is his contention that he, as a member, and other members cannot glean an intelligent understanding of what is said at the meetings unless they are able to procure copies of the tapes or transcripts of the meetings.” In his brief, plaintiff claims: "While
. Although Judge McBryde did not refer specifically to the
. Another possible barrier to plaintiff's claim under
. We do not think that
. We see no reason why Fernandez-Montes could not obtain the translation assistance of a fellow union member at union meetings. We express no view as to what claims or remedies might be available in a case involving a union member with an extensive disability making his participation in union affairs impossible absent a particular type of accommodation on the part of the union.