Taylor v. Principal Financial Group, Inc.
| Decision Date | 26 June 1996 |
| Docket Number | Nos. 95-50291,95-50455,s. 95-50291 |
| Citation | 93 F.3d 155 |
| Parties | 5 A.D. Cases 1653, 17 A.D.D. 21, 8 NDLR P 156 Mack W. TAYLOR, Jr., Plaintiff-Counter Defendant-Appellant, v. The PRINCIPAL FINANCIAL GROUP, INC., Defendant-Counter Claimant-Appellee, Principal Mutual Life Insurance Company, Defendant-Appellee. Mack W. TAYLOR, Jr., Plaintiff-Appellant Cross-Appellee, v. The PRINCIPAL FINANCIAL GROUP, INC.; Principal Mutual Life Insurance Company, Defendants-Appellees Cross-Appellants. |
| Court | U.S. Court of Appeals — Fifth Circuit |
Mark D. Pierce, El Paso, TX, Gil Gonzalez, Law Offices of Gil Gonzalez, El Paso, TX, for Mack W. Taylor, Jr. in both cases.
Douglas Kent Butler, Figari & Davenport, Dallas, TX, for Principal Financial Group, Inc. and Principal Mut. Life Ins. Co. in both cases.
Appeals from the United States District Court for the Western District of Texas.
Before POLITZ, Chief Judge, and DeMOSS and DENNIS, Circuit Judges.
In this Americans with Disabilities Act case, appellant Mack W. Taylor argues that the district court erred in granting his employer summary judgment relief. Holding that appellant failed to offer any summary judgment evidence showing that he apprised his employer of (1) any limitations resulting from his disability, and (2) any need for a reasonable accommodation, we affirm the district court's grant of summary judgment.
Defendants, The Principal Financial Group, Inc. and Principal Mutual Life Insurance Co. ("Principal Mutual"), hired plaintiff, Mack W. Taylor, Jr. ("Taylor"), in September 1990. Taylor became the manager of Principal Mutuals' El Paso, Texas office on January 1, 1992. Taylor's contract defined his duties to include the recruiting, selecting, and training of agents, the managing of agency affairs, the supervising and managing of the agents, brokers, and agency staff, and the maintenance of the policies. Ultimately, it was Taylor's job to lead a productive sales office.
On June 17, 1992, Taylor met with Jerry Carey ("Carey") who was then Taylor's supervisor. At their meeting, Taylor admitted to Carey that Taylor had substituted some fictitious names into certain standardized career profile tests which were given to all new recruits, purportedly to enable Taylor to determine the validity of scores of ethnic candidates. Carey reprimanded Taylor during the meeting and advised him in writing that his actions were unacceptable because they gave the impression of unethical practices. Carey also advised Taylor that his 1992 performance in recruiting agents was down from the previous year, and that Taylor's focus for the balance of 1992 should be the development of full-time agents. Finally, Carey criticized Taylor for not acting timely in his dealings with a disruptive member of Taylor's staff.
On November 10, 1992, Bruce Matthews ("Matthews"), Taylor's new supervisor, met with Taylor in El Paso to discuss Taylor's lack of effective recruiting. During this meeting, Matthews placed Taylor on probation and gave him until June 30, 1993 to recruit additional agents. After the meeting, Matthews sent Taylor the following "letter of understanding":
Thanks for putting together so quickly your [Taylor's] "must do" results for the first six months of 1993. As discussed in your office on November 10, 1992; the lack of effective recruiting over the past two years is unacceptable. Since we can only expect a certain amount of production from the established agents; growth has to come from the development and retention of new agents.
I [Matthews] believe the results you indicate in your plan can be accomplished by June 30, 1993 and are realistic. As we agreed, these results must be completed by June 30, 1993 for you to continue as agency manager in El Paso.
You personally will recruit four 713 agents. Three of the four must still be under contract on 6/30/93. One must be at Level I and have been a 713 for at least two months.
We will look at the progress you are making at the end of the first quarter. If we agree no progress is being made and there is little chance of reaching these goals by 6/30/93; we reserve the right to make a management change sooner than 6/30/93.
Your action plan to accomplish these results is well thought out. I believe you have the talent to not only meet these requirements, but exceed them. We stand ready to help in any way appropriate.
Please acknowledge your understanding of this letter by signing and returning one of the copies to me.
Taylor and Matthews each signed the letter.
By memorandum dated December 21, 1992, Matthews advised his agency managers, including Taylor, to complete their respective "Career Management Annual Appraisals," and schedule their annual appraisal meeting in Des Moines, Iowa. In his self-appraisal, Taylor noted that he "meets requirements" in most categories, but he acknowledged that he is "below requirements" in the categories of "recruiting" and "agent retention." 1
On April 13, 1993, Taylor met with Principal Mutuals' Manager Advisory Council ("PMAC") in Des Moines, Iowa. At this meeting, the parties discussed Taylor's performance at length and in detail. In short, Taylor was informed by the council that certain important aspects of his work had been declining and they needed improvement.
The next day, on April 14, 1993, Taylor met with Matthews for Taylor's annual review. Matthews told Taylor that he was displeased with Taylor's work and that several of his "key result areas" remained below average. In Taylor's own words, Matthews "left no impression that I was ever doing a good job." In response, Taylor told Matthews that he had been diagnosed with bipolar disorder. Specifically, Taylor testified that his dialogue with Matthews, in relevant part, went as follows:
Q. I said--this is where I came out with the accommodation. I said, you know, "Mr. Matthews, Bruce, are you familiar with what bipolarism is?" And he said, "No." And I said, "Well, are you familiar with what is called manic depression?" And he said, "Well, I've heard of it," or something like that. And I said, I asked for a reduction in my objectives and I asked for a lessening of the pressure.
The conversation ended with the idea that--I don't know when the 14th was. I don't know if it was a Tuesday or a Wednesday. But the conversation ended with the fact that he would check into this and get back to me on Monday.
Q. Okay.
A. That's it.
Q. Did you tell him that you did not think that you could do the job as agency manager because of your diagnosis, or the ailment that led to your diagnosis?
A. No. What I thought I was going up there to do was to advise him of this and ask for his help in it. I mean, that's what I thought was doing by the accommodation--you know, "Help me." I'm finding out that there's some syndromes and manifestations and things that are just, you know, really beyond my control. I need help.
Q. What was Mr. Matthew's response, if you gathered one, when you asked him whether he knew what bipolarism was or what manic depression was?
A. He said he didn't know what bipolarism was. He really didn't know what manic depression was. And I said I'd been diagnosed and he said, "Well, are you all right?" and I said, "Yeah."
Q. And you said what?
A. I said, And I asked him if he would look at it, look into it to find out about it so we could talk about it, because I needed help.
Q. Did you tell Mr. Matthews that you needed help?
A. ... I don't know that I did. I don't know that I didn't.
Q. Did you suggest--
A. I felt that's what I was asking him for, whether I verbally said it or not. But I don't know if I verbally said it or not.
Q. Well, did you verbally tell him that you were--did you tell him that you were in therapy, that you were being treated?
A. No....
* * * * * *
Q. ... My specific question is, for whatever reason, okay, did you tell Mr. Matthews that either your psychologist or your psychiatrist had told you that you couldn't do your job because of your illness?
A. No, sir.
The next day, Taylor sent Matthews an electronic mail ("E-Mail") message dated April 15, 1993, in which he stated:
I THOUGHT AND WORRIED ABOUT OUR CONVERSATION ALL THE WAY HOME LAST NIGHT AND SPENT A GREAT DEAL OF TIME IN MEDITATION AND TRYING TO REALISTICALLY THINK OF WHAT THIS AGENCY CAN DO THIS YEAR.
BRUCE, I HAVE BEEN UNCHARACTERISTICALLY NEGATIVE; I GUESS THAT I HAVE ALLOWED THE ECONOMY AND THE LAST FEW MONTHS TO COLOR MY PERSPECTIVE. IF I AM TO LEAD, THEN I NEED TO LEAD. I HAVE GONE OVER THE FIGURES AND GONE OVER THE FIGURES AND I MUST ADMIT THAT WHAT I GAVE YOU WERE LOW AND WHEN THE MASK COMES OFF, I GUESS I WAS HOPING TO NEGOTIATE, EVEN THOUGH I SAID I WASN'T. IT GOT ME INTO A HECK OF A CORNER.
BRUCE, I BELIEVE THAT WE (THE EL PASO AGENCY AND ME) CAN HAVE A POSITIVE ICC GROWTH THIS YEAR. I BELIEVE THAT WE CAN DO $273000 ICC'S. BETWEEN YOU AND ME I AM STILL GOING FOR $300,000 BUT YOU CAN COUNT ON THE 273. I TOLD YOU THAT I WOULD RECRUIT 7 PEOPLE THIS YEAR BEFORE JUNE 30.
YOU GAVE ME UNTIL JUNE 30TH TO PROVE TO YOU SOME THINGS THAT I AM GOING TO DO AND BRUCE, I AM GOING TO TAKE YOU UP ON THAT I CAN RECRUIT GOOD PEOPLE FOR THIS AREA DOWN HERE AND THAT THINGS ARE STARTING TO GO OUR WAY.
On June 24-25, 1993, Matthews met with Taylor in El Paso. Matthews offered Taylor a voluntary severance package to be accepted at Taylor's choice. Matthews did not tell Taylor that he was required to accept the severance package, or that he was terminated. In a subsequent telephone conversation, Taylor notified Matthews that Taylor had not decided whether he would sign the severance agreement.
On July 1, 1993, Taylor...
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