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JOHN D. TOPLEY vs SWISS BANK CORPORATION AND DEPARTMENT OF LABOR AND EMPLOYMENT SECURITY, 92-002294 (1992)

Court: Division of Administrative Hearings, Florida Number: 92-002294 Visitors: 14
Petitioner: JOHN D. TOPLEY
Respondent: SWISS BANK CORPORATION AND DEPARTMENT OF LABOR AND EMPLOYMENT SECURITY
Judges: WILLIAM J. KENDRICK
Agency: Agency for Workforce Innovation
Locations: Tallahassee, Florida
Filed: Apr. 10, 1992
Status: Closed
DOAH Final Order on Friday, December 18, 1992.

Latest Update: Feb. 02, 1993
Summary: At issue in this proceeding is whether respondent, Swiss Bank Corporation (Swiss Bank) violated job service regulations.Swiss Bank found to have violated job service regulations for conducting bogus job search to secure approval of its application for alien certification.
92-2294

STATE OF FLORIDA

DIVISION OF ADMINISTRATIVE HEARINGS


JOHN D. TOPLEY, )

)

Petitioner, )

)

vs. ) CASE NO. 92-2294

) SWISS BANK CORPORATION and ) FLORIDA DEPARTMENT OF LABOR ) AND EMPLOYMENT SECURITY, )

)

Respondents. )

)


FINAL ORDER


Pursuant to notice, the Division of Administrative Hearings, by its duly designated Hearing Officer, William J. Kendrick, held a formal hearing in the above-styled case on October 22, 1992, in Tallahassee, Florida.


APPEARANCES


For Petitioner: John D. Topley, pro se

Route Road 3, Box 148A Millbrook, New York 12545


For Respondent Eric S. Roth, Esquire Swiss Bank White & Case

Corporation: First Union Financial Center

200 South Biscayne Boulevard Miami, Florida 33131-2352


For Respondent Carolyn D. Cummings Florida Department Senior Attorney

of Labor and Florida Department of Labor Employment Security: and Employment Security

Suite 300

1320 Executive Center Drive Tallahassee, Florida 32399-0667


STATEMENT OF THE ISSUE


At issue in this proceeding is whether respondent, Swiss Bank Corporation (Swiss Bank) violated job service regulations.


PRELIMINARY STATEMENT


This is a de novo proceeding, pursuant to 20 CFR Part 658.417, to resolve a complaint filed by petitioner, John D. Topley, that respondent, Swiss Bank, violated job service regulations regarding a specific job to which he was referred by the Florida Department of Labor and Employment Security, Job Service of Florida-Miami Center. The crux of Mr. Topley's complaint is his contention

that Swiss Bank undertook a bogus job search with no intention of hiring any applicant, regardless of qualification, solely to comply with the alien employment certification process so that it might retain one Joseph Zeller, a Swiss citizen, then occupying the position. Such conduct, Mr. Topley contends, violates job service regulations in that it constitutes unlawful discrimination, fails to comply with the requirement that the job opportunity be open to any qualified U.S. worker, and evidences a failure to accept qualified workers referred through the clearance system.


At hearing, petitioner testified on his own behalf. Respondent called no witnesses. Petitioner's exhibits, page numbered 1-113, and respondent's exhibits 1-11 and 13-16, were received into evidence subject to the provisions of 20 CFR Parts 417 and 418, and 120.58(1)(a), Florida Statutes.


The transcript of hearing was not ordered, and the parties were granted ten days from the date of hearing to submit proposed findings of fact. Respondent elected to file such proposals and they are addressed in the appendix to this final order.


FINDINGS OF FACT


The Parties


  1. Petitioner, John D. Topley, a native of Great Britain, is a citizen of the United States of America, and a resident of the State of New York.


  2. Respondent, Swiss Bank Corporation (Swiss Bank), is one of the three largest banks in Switzerland, and maintains its headquarters in Basel, Switzerland. Currently, Swiss Bank operates eight branches in the United States, including its most recent operation, the "Miami Agency", which commenced operations on December 1, 1987.


  3. Respondent, Florida Department of Labor and Employment Security (Department) is the State job service agency charged with the responsibility of administering, inter alia, job service regulations under the provisions of 20 CFR Parts 651-658.


    Background


  4. In or about September 1988, Swiss Bank filed an application with the Department for alien employment certification on behalf of Joseph Zeller (Zeller), a Swiss citizen, to enable it to employ Zeller as vice president and branch manager of its Miami Agency. According to the application, Zeller was the holder of an E-1 visa, which permits a maximum admission to the United States of one year, and had been employed by Swiss Bank as the vice president and branch manager of the Miami Agency since December 1987.


  5. According to the application, the full description of the job duties as vice president and branch manager of the Miami Agency were to be as follows:


    Responsible for overall supervision and management of Foreign Banking Agency with projected first year assets of approximately $100 million. Special emphasis on start-up marketing of services and longterm profitability of the Agency while overseeing the proper performance of the Agency's operations and employees. Specific duties include: Develop, evaluate and implement marketing strategies. Support account officers on marketing calls. Review and approve credit proposals and subsequent offers and agreements. Monitor efficient loan

    administration while foreseeing future needs of corporate clients. Review all loan proposals before forwarding to U.S. headquarters and overseas parent office Credit Committees. Consult with officers and clients in loan negotiations.

    Exercise full managerial authority concerning staffing performance appraisals, promotions, salary recommendations, and terminations. Prepare yearly budget utilizing input of all departments. Monitor, on exception basis, all operational and computer activity of the Agency. Make certain that accounting principles and audit procedures are in compliance with banking standards. In addition, must oversee the daily asset funding and foreign exchange activities and oversee deposit and private client activities.


    The minimum education, training and experience for the position was stated to be 5 years for the job offered or 5 years experience in a position as a "senior manager for a Major International Commercial Bank with management responsibilities for developing and maintaining relationships with banks and commercial clients abroad," a special requirement of "strong oral and written Spanish" was indicated, and the basic rate of pay was stated to be $139,000 per annum.


  6. When the application was filed with the Department, Swiss Bank had apparently made no effort to recruit United States workers since Part A, Section 21, of its application evidenced no such efforts, but simply stated that Swiss Bank "will advertise and post notice of job opening upon instructions from Department of Labor."


  7. Consistent with the requirements of 20 CFR Part 656.20(c), the application concluded with a certification of conditions of employment by Swiss Bank, under penalty of perjury, that:


    e. The job opportunity does not involve unlawful discrimination by race, creed, color, national origin, age, sex, religion, handicap, or citizenship;

    * * *

    h. The job opportunity has been and is clearly open to any qualified U.S. worker.


    Swiss Bank's Recruitment Efforts


  8. By memorandum of December 12, 1988, the Department instructed Swiss Bank to advertise the aforesaid job opportunity in a professional publication. Notwithstanding, Swiss Bank advertised the job opportunity in The Miami Herald, a newspaper of general circulation, on December 26, 27 and 28, 1989, and posted a notice of such job opportunity at its place of business for the two week period of December 26, 1988 through January 9, 1989. In response to the newspaper advertisement, the Department received seven resumes which it forwarded to Swiss Bank for consideration. No response was gendered by the notice posted at Swiss Bank.


  9. By letter of January 25, 1989, Swiss Bank advised the Department that none of the seven applicants met the requirements for the position, purported to delineate the reasons why each applicant failed to qualify, and requested that the Department continue the "expedicious processing" of Swiss Bank's application for alien employment certification on behalf of Mr. Zeller.1


  10. In response, on or about January 30, 1989, the Department advised Swiss Bank that the advertisements it had run were contrary to the Department's

    memorandum of December 12, 1988, which had advised Swiss Bank to advertise the job opportunity in a professional publication, that such advertisements were unlikely to produce a satisfactory test of the United States work force, and that its application was not likely to be approved as submitted.2 The Department concluded by inquiring of Swiss Bank as to whether it wished to re- advertise or whether it wished the Department to forward the application "AS IS" to the certifying officer.


  11. By letter of March 8, 1989, Swiss Bank advised the Department that it had elected to re-advertise the job opportunity, and would do so by running an advertisement in one issue of The Wall Street Journal. The advertisement appeared in The Wall Street Journal on April 19, 1989, under that newspaper's "positions available" section, and provided as follows:


    VICE PRESIDENT & BRANCH MANAGER: Resp for overall superv & mgmt of Foreign Banking Agency w/projected 1st yr assets of approx $100 mil. Special emph on start-up marketing of services & long term profitability of the Agency while overseeing proper performance of agency's operations & employees. Spec duties incl: Dvlp, eval & implement marketing strategies. Support acct officers on marketing calls. Review & approve credit proposals & subseq offers & agreements. Monitor efficient loan admin while foreseeing future needs of corporate clients. Review all loan proposals before forwarding to U.S. headquarters & overseas parent office Credit Committees. Consult w/officers & clients in loan negotiations. Exerc full managerial authority concerning staff performance appraisals, promotions salary recommendations, & terminations.

    Prepare yearly budget utilizing input of all depts. Monitor, on exception basis, all operational & computer activity of Agency. Make certain acct principles & audit procedures are in compliance w/banking standards. Oversee daily asset funding & FX activities & oversee deposit & private client activities. Will supervise 10-20 workers. Sal $139,000/yr; M-F, 9-5.

    Reqmnts: 5 yrs exp performing the above described duties or 5 yrs exp as a Sr. Mgr for a major intern'l comm'l bank w/mgmt respons for developing & maintaining relationships w/banks & comm'l clients abroad. Must have strong oral & written Spanish. RESUME ONLY TO JOB SERVICE OF FLORIDA, 701 S.W. 27 AVENUE-ROOM 15,

    Miami, FL, 33135. Ref: Job Order #FL0020357.


    Such advertisement described the job opportunity and minimum job requirements in the same manner as Swiss Bank had described them in its application for alien employment, discussed supra, and was the last advertisement Swiss Bank was to run for the position.


  12. In response to The Wall Street Journal advertisement, the Department received 34 resumes which it referred to Swiss Bank for consideration. By letter of June 2, 1989, Swiss Bank advised the Department that, after review of the resumes, it had found 27 applicants unqualified and that it proposed to contact 7 applicants, including Mr. Topley, to personally discuss their banking experience and qualifications for the position. Notably, such letter contained the following introductory paragraph:


    Our minimum requirements for the position are five years' experience in the job offered or five years' experience as a manager with a major international commercial bank with management responsibilities for developing and maintaining relationships with banks and commercial clients abroad. The position also requires the services of an individual with strong abilities in oral and written Spanish. As our head office is located in Basel, Switzerland and our international correspondent, commercial, and private banking operations are structured so as to be attached to our General Management in Basel, we must also

    rely on the services of an individual in the position of Vice President & Manager of our Miami office who has European banking experience, providing international banking services to international private and corporate clients, and developing and marketing correspondent and commercial services with European banks and commercial clients. This is essential not only as it relates to the overall structure of the Bank, but is also in conjunction with the marketing plan implemented in 1989 under the newly constituted management and sales organization for the business sector "Correspondent Banking" and the new General Management Division, "Supervision International Organization." (Emphasis added).


    Pertinent to this case, this was the first occasion that Swiss Bank emphasized European capital market experience as a minimum requirement for the position, and neither The Wall Street Journal advertisement nor Swiss Bank's application for alien employment certification mentioned such requirement. Such "requirement" would, however, be subsequently featured as the primary reason for rejecting the 7 applicants ultimately interviewed.


  13. On June 15, 1989, Mr. Topley, at the request of Swiss Bank, appeared for an interview at its New York Branch, located at 4 World Trade Center, New York, New York. The person selected by Swiss Bank to interview Mr. Topley, and apparently the other 6 candidates, was a young personnel officer recently arrived from Switzerland, whose English was poor, and who could not speak intelligently because of an apparent lack of knowledge regarding banking activities in the United States or Latin America. Mr. Topley's "interview" took at most 20 minutes, and he was never interviewed by anyone else for the position including, as would be appropriate considering the nature of the position, a high level officer of the bank with knowledge of the area. Such "interview", for a senior executive position paying $139,000, requiring fluent Spanish, and high level job experience, by a personnel officer with no experience in the area and who could not reasonably evaluate the candidates' qualifications, was a patent sham.


  14. By letter of July 27, 1989, Swiss Bank advised Mr. Topley that he had not been selected to fill the position. In so doing, the bank stated:


    Although your background and qualifications are impressive, we regret that the position has been filled by an applicant who more fully meets our needs...


    Such letter was misleading in that none of the applicants had been selected to fill the position. Rather, by letter of August 10, 1989, Swiss Bank would advise the Department that it had found none of the applicants it interviewed met its immediate needs or minimum requirements, and requested that the Department "proceed towards certification of our application on behalf of Mr.

    Joseph Zeller."


  15. In its letter of August 10, 1989, to the Department regarding the results of its interviews with the 7 applicants, Swiss Bank further expanded the minimum job requirements for the position, first alluded to in its letter of June 2, 1989, and relied heavily on such "requirements" as a basis for rejecting the 7 applicants. As a predicate to its evaluation of the applicants, Swiss Bank stated:


    We are seeking to permanently fill the position of Vice President and Branch Manager of our Miami Agency. Our minimum requirements for the position are five years' experience as a manager with a major international commercial bank, with management responsibilities for developing and maintaining relationships with banks and commercial clients abroad, and strong abilities in

    oral and written Spanish. As we are a Swiss bank with headquarters in Basel, Switzerland, we must also rely on the services of an individual who has banking experience in the European market, providing international banking services, including capital transactions such as private placements to U.S. and foreign institutional investors, and private banking services, primarily to overseas high net worth individuals and institutions.


    The actual and targeted activities of our Miami Foreign Banking Agency are concentrated in two areas: private banking services for wealthy overseas individuals and institutions, and the development and marketing of financing and equity placements for U.S. and other North and South American companies in the European financial market. This includes raising capital through bonds, notes, commercial paper and other types of financing vehicles, as distinguished from corporate lending activities. It also includes the structuring of financing such as Eurobond transactions involving underwriting the issue and its placement among non U.S. investors. (Emphasis added).


  16. The representations emphasized in the aforesaid letter find no parallel in Swiss Bank's application for alien employment certification or the minimum requirements for the position set forth in The Wall Street Journal. To the contrary, they are repugnant to the representations Swiss Bank made to the Department by letter of December 1, 1988, to justify its special requirement that the position required a person with "strong oral and written Spanish" capabilities. Pertinent to this issue, such letter stated:


    The banking services provided by our Miami office are geared particularly to a Latin-American and U.S. Hispanic clientele comprised of private and institutional investors. These clients constitute a mix of high net-worth South American investors who regularly travel to the United States to conduct their finances and participate in U.S. investment opportunities, and a domestic Miami clientele, made-up primarily of high net-worth Cuban and other wealthy U.S. Hispanic investors.


    The complex nature of investments and monetary developments which must be explained to, and understood by, our clients requires a sophisticated command of both oral and written Spanish. Likewise, a comfortable business environment is absolutely essential to the ability to attract clients and maintain client relationships among high net-worth investors. This, in turn, requires our ability to convey trust and a thorough understanding of the intricacies of capital preservation, tax reduction and inflation protection through the mechanics of customized financial planning and problem-solving, including the use of a variety of complicated products such as fixed/call deposits; money market, numbered checking, and custody accounts; credit options; and various other investment services.


    * * *


    While our entire promotional campaign is replete with emphasis on our language capabilities (including Spanish-language literature prepared specifically for the Miami Agency that promotes our exceptional ability to provide services in English, Spanish, German and French), the Spanish language requirement for officers posted to Miami is more than a marketing tool for attracting new clientele. As indicated previously, the Miami Agency was opened to expand our private banking services in the United States to high net-worth international investors, and to function as the U.S. center of activity for our Latin America Private Banking II operations, including Venezuela, Mexico, Colombia, and Ecuador. (See New York Branch Organizational Chart that

    identifies Latin America Private Banking positions reporting to our Vice President & Branch Manager in Miami.)


    * * *


    The Vice President & Manager of the Miami Agency must utilize Spanish- language capabilities virtually the entire work-day. He is required to speak Spanish and lend support as the branch's highest authority when representing the Bank on all marketing calls; he must supervise relationships with all borrowing and non-borrowing private clients; he must develop and implement marketing strategy that appeals to a Spanish-speaking clientele; he must supervise a full staff of Spanish-speaking employees; he must consult with officers and clients individually and in tandem in loan negotiations; and he must oversee Latin American private client activities for the Venezuela, Mexico, Colombia, and Ecuador desks as well as private client activities for Miami.


  17. Finally, as its rationale for rejecting Mr. Topley as a candidate for the position, Swiss Bank stated in its letter of August 10, 1989, that:


    Mr. Topley presently works for the Park Avenue Bank, a small bank privately owned by Middle East capital. The bank typically provides personal financial services and manages U.S. expenses for non-resident clients. He left the First American Bank of New York because a new President restructured the bank to

    build-up the domestic area and cut-back international. Mr. Topley's international experience was primarily focused on the credit side. While he established First American's international division and private banking group, the division was soon cut-back and the international private banking group was negligible, consisting of just two people. Mr. Topley developed a private banking marketing plan, but was relieved of his private banking responsibilities before he was allowed to carry it out. Mr. Topley's experience with Bank of Montreal in merchant and correspondent banking and as a credit and marketing officer were all on the credit side. Furthermore, Mr. Topley's international experience has been limited to Latin America, with some background in Asia and the Middle East. He does not have any European capital market experience.


  18. The foregoing justification for the rejection of Mr. Topley's application is not an accurate representation of his experience, as reflected by his resume or otherwise. To the contrary, Mr. Topley has extensive experience as an international banker with major financial institutions, with an emphasis on start-up and management of branches and subsidiaries, over twenty-five years of such experience in Latin America, and speaks fluent Portuguese and Spanish. Contrary to the aforesaid letter, Mr. Topley's international banking experience was not primarily focused on the credit side, and his international experience was not limited to Latin America, assuming such was a legitimate factor, such that he had no European capital market experience. Rather, during his tenure with Libra Bank Limited, London, England, and with Bank of Montreal, New York and Toronto, Mr. Topley had a great deal of European capital market experience. In sum, the rationale advanced by Swiss Bank for the rejection of Mr. Topley is a fabrication, and Mr. Topley has demonstrated that he is qualified by education, training and experience for the position offered by Swiss Bank.


    Mr. Topley Complains


  19. By letter of August 16, 1989, to the Department, Mr. Topley registered a complaint regarding the hiring practices of Swiss Bank. In so doing, Mr. Topley stated:

    It is my belief and contention that this bank, in order to justify their placing of a Swiss national, namely Mr. J. Zeller, as Vice President and Manager of their de-novo branch in Miami, went through a bogus job search, initiated by an ad in the Wall Street Journal on April 18, 1989 . . . with no intention of hiring any of the numerous applicants, which included myself. The reason for doing this, in my opinion was to conform with the Labour Certification requirements of the State of Florida, which I believe states that 'a foreign national can only be employed in a stated senior position if a qualified American citizen cannot be found.' It should be mentioned here that Mr. Zeller, the Swiss national, was already in place as Vice President and Manager of the Miami Branch of the Swiss Bank Corporation when the ad was placed for that very position on April 18, 1989.


    Mr. Topley's "belief and contention" is aptly supported by the credible proof in this case.


  20. While Mr. Topley's complaint was pending, the Department had transmitted Swiss Bank's application for alien employment certification to the regional certifying officer, U.S. Department of Labor, Atlanta, Georgia. On May 17, 1990, that office advised Swiss Bank that it proposed to deny the request for certification based on Swiss Bank's failure to meet the requirements of 20 CFR Part 656 based on its conclusion, inter alia, that at least one United States worker who applied was qualified for the position. Swiss Bank filed a notice of rebuttal to the findings of the U.S. Department of Labor, but thereafter withdrew its request for certification on behalf of Mr. Zeller, which was confirmed by the Department of Labor on July 10, 1990. The announced rationale for Swiss Bank's withdrawal of such application was "because the person who is now in charge of our Miami Office possesses a green card and does not require an alien labor certificate." Such person, chosen by Swiss Bank to fill the position of Vice President and Manager of the Miami Agency, was Mr. Ruedi Burri, a Swiss citizen.


    CONCLUSIONS OF LAW


  21. The Division of Administrative Hearings has jurisdiction over the parties to, and the subject matter of, these proceedings. Section 120.57(1), Florida Statutes, and 20 CFR Part 658.417.


  22. Pertinent to this case, 20 CFR Part 658.501 establishes the basis for discontinuation of services to employers by the Job Service System, as follows:


    1. The State agency shall initiate procedures for discontinuation of services to employers who:

      * * *

      (3) Are found through field checks or otherwise to have either misrepresented the terms and conditions of employment specified on job orders or failed to comply fully with assurances made on job orders;

      * * *

      (6) Refuse to accept qualified workers referred through the clearance system.


  23. As heretofore noted in the findings of fact, the job order at issue in these proceedings contained the following conditions of employment:

    e. The job opportunity does not involve unlawful discrimination by race, creed, color, national origin, age, sex, religion, handicap, or citizenship.

    * * *

    h. The job opportunity has been and is clearly open to any qualified U.S. worker.


  24. Here, the proof is compelling that Swiss Bank violated the provisions of 20 CFR Part 658.501(a)(3) since, contrary to the terms and conditions specified on the job order, it unlawfully discriminated against Mr. Topley based on his national origin or citizenship, and since the job opportunity was clearly not open to any qualified U. S. worker. Moreover, Swiss Bank violated the provisions of 20 CFR Part 658.501(2)(6), since it refused to accept a qualified worker referred through the clearance system.


  25. Pertinent to the conclusion that Swiss Bank unlawfully discriminated against Mr. Topley, Section 760.10(1), Florida Statutes, and Title VII of the Civil Rights Act of 1964, 42 U.S.C. Section 2000e, et seq., (Title VII) provide that it is an unlawful employment practice for an employer to fail or refuse to hire any individual because of such individual's national origin. Chapter 760, Florida Statutes, was patterned after Title VII, and federal precedent construing similar provisions of Title VII is accorded deference. See: School Board of Leon County v. Hargis, 400 So.2d 103 (Fla 1st DCA 1981), and Pasco County School Board v. Florida Public Employees Relations Commission, 353 So.2d

    108 (Fla 1st DCA 1979).


  26. In an employment discrimination case, the principles announced in Texas Department of Community Affairs v. Burdine, 450 U.S. 248, 101 S.Ct. 1089,

    67 L.Ed2d 207 (1981), apply. In Burdine the issue of disparate treatment is separated into three inquiries of ever increasing specificity. At the threshold level, a petitioner alleging disparate treatment must establish by a preponderance of the evidence the elements of a prima facie case. To rebut the resulting presumption of unlawful discrimination, respondent is required to articulate some legitimate, non-discriminatory reason for the applicant's rejection. If the respondent succeeds, the petitioner must convince the court by a preponderance of the evidence that the respondent's explanation for its adverse employment action is merely a pretext for discrimination.


  27. At final hearing, petitioner established that he was a native of Great Britain and a citizen of the United States, that he applied for and was qualified for the position of vice president and branch manager, that he was not selected for employment, and that a Swiss national was selected to fill the position. Consequently, petitioner established a prima facie case of unlawful discrimination with respect to such job opportunity. McDonnell Douglas Corp. v. Green, 411 U.S. 792, 93 S.Ct. 1817, 36 LED.2d 668 (1973), and Fortino v. Quasar Co., 751 F.Supp. 1306 (1990 ND Ill), (U.S. subsidiary of Japanese Company discriminated on basis of national origin by reserving certain managerial positions for employees of Japanese origin). Swiss Bank offered no competent or credible evidence that it selected the Swiss national based on his superior qualifications for the position or for any other legitimate non-discriminatory reason. Accordingly, petitioner has demonstrated that Swiss Bank unlawfully descriminated against him.


  28. In addition to demonstrating that Swiss Bank violated the provisions of 20 CFR Part 658.501(a)(3) and (6), the proof further demonstrates that Swiss Bank failed to comply with the provision of 20 CFR Part 656.21(g). That regulation requires that:

    In conjunction with the recruitment efforts

    under paragraph (f) of this section, the employee shall place an advertisement for the job opportunity in a newspaper of general circulation or in a professional, trade, or ethnic publication, whichever is appropriate to the occupation and most likely to bring responses from able, willing, qualified, and available U.S. workers... The advertisement shall:

    * * *

    (3) Describe the job opportunity with particularity;

    * * *

    (6) State the employer's minimum job requirements;

    * * *

    (9) If published in a newspaper of general circulation, be published for at least three consecutive days; or, if published in a professional, trade, or ethnic publication be published in the next published edition.


  29. Here, Swiss Bank's publication of the advertisement in The Wall Street Journal for one day fails to comply with the three day mandate of 20 CFR Part 656.21(g)(9), and its over all advertising efforts were, at best, designed to evoke a de minimus response. Finally, Swiss Bank's reliance on a lack of European capital market experience as justification for the rejection of applicants is, at best, a violation of 20 CFR Part 656.21(g)(3) and (6), and, at worst, a misrepresentation to the Department. In either event, such reliance is, under the circumstances of this case, a violation of job service regulations.


CONCLUSION


Based on the foregoing Findings of Fact and Conclusions of Law, it is ORDERED that respondent, Florida Department of Labor and Employment Security shall promptly initiate all necessary procedures for the discontinuation of services to Swiss Bank.


DONE AND ORDERED this 18th day of December, 1992, in Leon County, Tallahassee, Florida.



WILLIAM J. KENDRICK

Hearing Officer

Division of Administrative Hearings The DeSoto Building

1230 Apalachee Parkway

Tallahassee, Florida 32399-1550

(904) 488-9675


Filed with the Clerk of the Division of Administrative Hearings this 18th day of December, 1992.

ENDNOTES


1/ Whether Swiss Bank's announced rationale for rejecting these seven applicants was legitimate or not is not apparent from the proof introduced at hearing. The inadequacy of Swiss Bank's recruitment efforts was, however, apparent as discussed infra.


2/ The Department's finding that the advertisements placed by Swiss Bank in The Miami Herald on December 26, 27 and 28, 1988, were unlikely to produce a satisfactory test of the United States workforce (i.e.: they were not placed in a publication most likely to bring responses from able, willing, qualified, and available United States workers) was not contested by Swiss Bank. Moreover, apart from the nature of the publication in which the advertisements appeared, the location of the advertisement in the publication, which Mr. Topley described at hearing, without contradiction, as "buried", as well as the dates of publication, being the three days immediately following Christmas day, support the conclusion that the advertisements were unlikely to produce a response from an able, willing, qualified and available United States worker.


APPENDIX


Swiss Bank's proposed findings of fact (final order) are addressed as follows:


  1. Addressed in paragraphs 4, 5 and 14.

  2. Addressed in paragraph 6.

  3. Rejected as contrary to the proof. See paragraphs 6, 8, 9 and endnote 2.

  4. First sentence accepted. Second sentence rejected as contrary to the proof. See paragraphs 6-18.

  5. Addressed in paragraph 18.

  6. Rejected as contrary to the proof.

  7. Rejected as not a finding of fact.


COPIES FURNISHED:


Mr. John D. Topley Route Road 3 Box 148A

Millbrook, New York 12545 (By certified mail)


Carolyn Cummings, Esquire Department of Labor and

Employment Security Suite 300

1320 Executive Center Drive Tallahassee, Florida 32399-0667


Eric S. Roth, Esquire White & Case

Attorneys for Swiss Bank Corporation First Union Financial Center

200 South Biscayne Boulevard Miami, Florida 33131-2352 (by certified mail)

Anita Taub, Esquire Swiss Bank Corporation Post Office Box 395 Church Street Station New York, New York 10008 (by certified mail)


Solicitor of Labor

Attn: Associate Solicitor

for Employment and Training Legal Services Department of Labor

Room N-2101

200 Constitution Avenue, N.W. Washington, D.C. 20210


Shirley Gooding, Acting Secretary Florida Department of Labor and

Employment Security

303 Hartman Building 2012 Capital Circle S.E.

Tallahassee, Florida 32399-2152


Daniel L. Lowry Regional Administrator

U.S. Department of Labor

Employment and Training Administration 1371 Peachtree Street, N.E.

Atlanta, Georgia 30367


NOTICE OF RIGHT TO APPEAL


PURSUANT TO THE PROVISIONS OF 20 CFR PART 658.418(C), NOTICE IS HEREBY GIVEN THAT ANY PARTY NOT SATISFIED WITH THIS FINAL ORDER MAY, WITHIN 20 WORKING DAYS OF THE CERTIFIED DATE OF RECEIPT OF THIS DECISION, FILE AN APPEAL IN WRITING WITH THE REGIONAL ADMINISTRATOR WHOSE NAME AND ADDRESS IS AS FOLLOWS:


MR. DANIEL L. LOWRY REGIONAL ADMINISTRATOR

U.S. DEPARTMENT OF LABOR

EMPLOYMENT AND TRAINING ADMINISTRATION 1371 PEACHTREE STREET, N.E.

ATLANTA, GEORGIA 30367


Docket for Case No: 92-002294
Issue Date Proceedings
Feb. 02, 1993 Letter to A. Schultheis from W. Kendrick (Re: letter to acknowledge receipt of Mr. Schultheis letter of 1-22-93) sent out.
Jan. 28, 1993 Letter to DOAH from Albert F. Schultheis et al (re: transcript) filed.
Jan. 05, 1993 Return Receipts for Certified Mailing of Final Order to Respondent Swiss Bank Corp's Counsel Anita Taub and Eric Roth, and to Petitioner John Topley filed.
Dec. 18, 1992 CASE CLOSED. Final Order sent out. Hearing held 10/22/92
Nov. 02, 1992 Swiss Bank Corporation's Post-Hearing Memorandum w/(unsigned) Final Order filed.
Oct. 22, 1992 CASE STATUS: Hearing Held.
Oct. 15, 1992 Order sent out. (motion for continuance denied)
Oct. 15, 1992 (Letter form) Request for Continuance filed. (From Anita S. Taub)
Sep. 28, 1992 Notice of Ex Parte Communication sent out.
Sep. 24, 1992 Letter to WJK from Pierre Debbaudt (re: Mr. Debbaudt involvement in the Swiss Bank Corporation recruitment matter for the Miami office) filed.
Aug. 20, 1992 Notice of Hearing sent out. (hearing set for October 22 and 23, 1992; 9:00am; Tallahassee)
Apr. 30, 1992 Letter to MMP from J. Topley dated 4/24/92 (re: & supportive documents for Hearing Officer review) filed.
Apr. 30, 1992 Letter to MMP from Swiss Bank (re: response to initial order) filed.
Apr. 28, 1992 Letter. to MMP from John D. Topley re: Reply to Initial Order filed.
Apr. 28, 1992 Letter to J. Topley from D. Whalen (RE: copies of items sent to A. Taub on 4-22-92) filed.
Apr. 28, 1992 Letter to MMP from Carolyn D. Cummings (re: Hearing Officer`s request for a copy of the Letter received from John Topley requesting a hearing) w/supporting attachment filed.
Apr. 27, 1992 (Respondent) Response to Initial Order of the Hearing Officer filed.
Apr. 22, 1992 Letter to A. Taub from M.M. Parrish (RE: Copies of document from file forwarded by Dept LES) filed.
Apr. 22, 1992 Letter to C.Cummings from M.M. Parrish (RE: copy of Letter from Topley`s requesting hearing) filed.
Apr. 16, 1992 Letter to C.Cummings from M.M. Parrish (RE: Order To Show Cause in case no. 90-3626) sent out.
Apr. 16, 1992 Initial Order issued.
Apr. 10, 1992 Agency referral letter; Request for Administrative Hearing, letter form; Supportive Documents filed.

Orders for Case No: 92-002294
Issue Date Document Summary
Dec. 18, 1992 DOAH Final Order Swiss Bank found to have violated job service regulations for conducting bogus job search to secure approval of its application for alien certification.
Source:  Florida - Division of Administrative Hearings

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