Saxon v. Southwest Airlines Co.

Filing 14

MEMORANDUM by Southwest Airlines Co. in support of motion to dismiss #13 (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F)(Siebert, Melissa)

Exhibit C

Case: 1:18-cv-04822 Document #: 14-1 Filed: 09/17/18 Page 2 of 24 PageID #:49

IN THE UNITED STATES DISTRICT COURT
FOR THE NORTHERN DISTRICT OF ILLINOIS
EASTERN DIVISION

JEFF BATTLES, LEROME THOMAS,
STEVEN SPENCER, Individually, and on
Behalf of All Others Similarly Situated,
Plaintiffs,
V.

SOUTHWEST AIRLINES CO.,
Defendant.

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Case No. 18-cv-04822
Honorable Marvin E. Aspen

DECLARATION OF SHERIE BLANTON

I, Sherie Blanton, pursuant to 28 U.S.C. § 1746, hereby declare as follows:
I.

I am currently the Director, Communications & Outreach at Southwest Airlines

Co. ("Southwest"), located in Dallas, Texas. I have been employed by Southwest since October
30, 1996, and have held my current position since June 5, 2011. As Director, Communications
& Outreach for Southwest, I am familiar with, amongst other things, the documents containing,

communications regarding, and process through which Southwest's non-union represented
employees agree to the Southwest Airlines Alternative Dispute Resolution Program (the "ADR
Program"). A true and correct copy of Southwest's ADR Program is attached hereto as Exhibit
1.
2.

This Declaration is based on my personal knowledge and my rev1ew of

Southwest's business and employment records, which it maintains in the ordinary course of
business, including the ADR Program, a true and correct copy of which is attached hereto as
Exhibit I. If called upon to do so, I could and would competently testifY to the facts in this
Declaration.

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3.

Southwest's ADR Program, with which I am very familiar, applies to all

Southwest employees who are not covered by a collective bargaining agreement ("CBA"). Ex.
I, p. I. The ADR Program requires arbitration of "Covered Claims," which includes, but is not
limited to, wage and hour claims, including claims for unpaid wages or other compensation;
overtime pay; and claims related to off-the-clock work, meal breaks, preparatory and concluding
activities, and any other time periods for which an employee claims to be entitled to
compensation. Ex. I, p. 2. Southwest's ADR Program also prohibits class or collective claims or
joinder of arbitrations, allowing only individual arbitration. Ex. I, pp. 6-7.
4.

I have reviewed the employment history of Plaintiffs Jeff Battles, LeRome

Thomas, and Steven Spencer, who hold Ramp Agent Supervisor positions with Southwest.
Plaintiffs Battles, Thomas, and Spencer are not covered by a CBA.

They are covered by

Southwest's ADR Program.
5.

On an annual basis, and in the course of Southwest's regularly conducted business

activities, Southwest employees are presented with an announcement containing a small group of
Southwest policies to acknowledge and agree to via Southwest's employee-facing intranet,
which is called SWALife.

Employees log into SWALife using uuique IDs provided by

Southwest, and using a password selected by each employee. The announcement appears as the
main page of SWALife when an employee first logs on, and for two weeks employees can
bypass acknowledgement of the ADR Program. After two weeks, employees must accept the
acknowledgment to access SWALife. The announcement continues to appear as the main page
of SWALife upon logon for approximately one month. The announcement provides employees
with a link to Southwest's ADR Program to review, and then they electronically sign the ADR
Program via checking a box acknowledging, among other things, that they have received, read,

2

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and reviewed the ADR Program, understand it, and agree to comply with it. An electronic
signature stamp containing the employee's name and the date and time that the employee signed
the ADR Program is created when the employee checks the box described above.
6.

On an annual basis, and in the course of its regularly conducted business

activities, Southwest keeps records of the date and time (in military time) that each Southwest
employee agrees to the ADR Program. Exhibit 2 is a true and correct copy of the most recent
records for Plaintiffs Battles, Thomas, and Spencer. These records reflect that Plaintiff Battles
signed off on and agreed to the ADR Program on August 22, 2017 at 5:15p.m. (military time of
17:15:14); Plaintiff Thomas signed off on and agreed to the ADR Program on August 14, 2017 at
4:48p.m. (military time of 16:48:12); and Plaintiff Spencer signed off on and agreed to the ADR
Program on August 14, 2017 at 6:27p.m. (military time of 18:27:25). Each record reflects the
2017 SWALife Announcement that Plaintiffs Battles, Thomas, and Spencer would have seen
when they logged into SWALife, except that their own names would have appeared next to the
acknowledgement box.
7.

Southwest's ADR Program is available to employees to review and print at any

time on SWALife. As stated above, employees are also required to annually review the ADR
Program and agree to it, and a link directly to the ADR Program is contained in the annual
announcement. Ex. 2.
8.

Southwest's records reflect that Plaintiffs Battles, Thomas, and Spencer also

signed off on and agreed to Southwest's ADR Program in 2015 and 2016.
9.

In the course of its regularly conducted business activities, Southwest keeps

complete records of all policy acknowledgements executed via SWALife. Attached hereto as
Exhibit 3 are true and correct copies of the complete records of all policy acknowledgements

3

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executed vm SWALife by Plaintiffs Battles, Thomas, and Spencer during their respective
employment with Southwest. These business records likewise reflect that Plaintiff Battles signed
off on and agreed to the ADR Program on August 22, 2017; Plaintiff Thomas signed off on and
agreed to the ADR Program on August 14, 2017; and Plaintiff Spencer signed off on and agreed
to the ADR Program on August 14,2017.
10.

Southwest's Information Security Policy prohibits employees from sharing

passwords with others or allowing others to access their accounts, and requires that employees
treat their SWALife passwords as confidential.

Southwest's Guidelines for Employees also

prohibits employees from sharing passwords, or allowing others to utilize their passwords to
access Southwest's applications or email system.
Pursuant to 28 U.S.C. § 1746, I declare under penalty ofpeijury that the foregoing is true
and correct.

Executed this

Ji~bday of September 2018 in Dallas, Texas.

Sherie Blanton
Director, Communications & Outreach
Southwest Airlines Co.

4

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EXHIBIT 1

Southwest·~

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Southwest Airlines Alternative Dispute Resolution Program
1. Applicability
The Southwest Airlines Alternative Dispute Resolution Program ("ADR Program") is intended to
be a substitute for the legal process, and may only be invoked to resolve employment-related
wage and hour claims/causes of action and claims under state or local leave laws. By agreeing
to arbitrate such legal disputes, the ADR Employee (defined in Section 2 below) and Southwest
Airlines (collectively, the "Parties") understand that they are not giving up any substantive
rights under local, state or federal law. Rather, they are mutually agreeing to submit certain
legal disputes to an arbitral, rather than judicial, forum before an arbitrator instead of a jury or
judge.
The ADR Program applies to any Covered Claim (defined in Section 3 below) between
Southwest Airlines, including its successors and affiliates on one hand, and an ADR Employee of
Southwest Airlines (defined in Section 2 below) on the other - even after the employment
relationship has ended. ADR Employees include all Southwest Airlines Employees not covered
by a collective bargaining agreement ("CBA").
The ADR Program is not intended to be utilized in every instance where an ADR Employee has a
dispute with Southwest Airlines. As always, Employees and Leaders are encouraged to use
informal methods to attempt to resolve disputes internally prior to proceeding through the ADR
Program, including by bringing concerns to their Supervisor, Manager, HRBP, Director, Vice
President, or, if necessary, the Employee Relations Team. The ADR Program should only be
utilized when complaints have not been resolved informally and when the Employee would
otherwise initiate formal legal action.
2. ADR Employees
By continuing employment with Southwest Airlines after the effective date of this ADR
Program, or by accepting an offer of employment with Southwest Airlines after the effective
date of this ADR Program, each Employee not subject to a CBA, and each Prospective Employee
or Candidate applying for a position not subject to a CBA, agrees, as a condition of continuing
employment or receiving an offer of employment, to resolve all of his/her Covered Claims (as
defined in Section 3 below) using this ADR Program and hereby waives his/her rights to the
judicial process, including but not limited to (1} having such complaints, disputes and claims
determined by a jury, and (2) having such complaints, disputes and claims determined on a
class-wide or collective basis. Such individuals, collectively known as " ADR Employees" herein,
shall continue to be subject to this ADR Program even after termination of the employment
relationship with Southwest Airlines.
3. Covered Complaints, Disputes, and Claims
All Covered complaints, disputes and claims (collectively, "Covered Claims") that are recognized
under applicable law must be processed by Southwest Airlines and ADR Employees pursuant to

Southwest Airlines Alternative Dispute Resolution Program- Page 1

Southwest.,~

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this ADR Program . Thus, both Southwest Airlines and ADR Employees agree to be bound by the
terms of thi s ADR Program. Southwest Airlines is not bound by the ADR Program when
addressing workplace issues, and is not required to start the ADR process before taking
disciplinary action of any kind, including without limitation termination of employment. The
ADR Program may only be invoked to resolve claim s/ca uses recognized by applicable law and in
place of legal proceedings.
Covered Claims shall only include wage and hour claim s and claim s under state or local leave
laws arising out of the employment relationship between Southwest Airlines and the ADR
Employee and recognized by applicable law, such as the following:
a. Claims for unpaid wages or other compensation (including but not limited to minimum
wage, overtime pay, paycheck contents, wage garnishment, child support, paycheck
requirements, tax withholding, wage payment requirements, and final pay upon
termination), and retaliation claim s for having exercised or attempted to exercise rights
under applicable laws under this paragraph;
b. Claims under state or local leave laws (including, but not limited to, medical leave, sick
leave, short term disability leave, long term disability leave, court and jury duty leave,
crime victim leave, domestic violence leave, voting leave, family leave, parental leave,
military leave, pregnancy leave, and school activities leave), and retaliation claims for
having exerci sed or attempted to exercise rights under applicable laws under this
paragraph; and
c.

Claims related to the specific time periods for which an employee is entitled to
compensation (such as rest breaks, meal breaks, what constitutes "hours worked," offthe-clock work, on-call time, reporting time, waiting/standby time, travel time, training
time, attendance at events outsi de the workplace, sp lit-shift time, preparatory and
concluding activities, donning and doffing of safety gear, emergency call-back time, on
duty time, sleep time, and meeting time), and retaliation claims for having exercised or
attempted to exercise rights under applicable laws under this paragraph.

This ADR Program does not affect an ADR Employee's right to communicate with, fil e a
complaint with, or cooperate in the investigation s of any governmental agency on matters
within their juri sdiction, including the Equal Employment Opportunity Commission, the United
States Department of Labor, the Occupational Safety and Health Admini stration, the Federal
Aviation Administration, a st ate Fair Employment or Human Rights Commission, or other
fed eral/state government agency with investigatory authority.
This ADR Program does not cover Southwest Airlines' or an ADR Employee's right to seek
equitable or injunctive relief to enforce the provisions of an em ployment, confidentiality, trade
secret, non-compete or intellectual property agreement.
Even after termination of the employment relation ship with Southwe st Airlines, all ADR
Employees must continue to follow the terms of this ADR Program to resolve Cove red Claims.

Southwest Airlines Alternative Dispute Resolution Program- Page 2

Southwest·..

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All disputes concerning the scope and/or coverage of a claim or a party must be resolved by the
Arbitrator rather than a court.
4. The Two-Step ADR Process
As described in detail below, this ADR Program contains a two-step process to resolve all
Covered Claims fairly and quickly through the use of General Counsel Review, and if necessary,
through Final and Binding Arbitration .
This ADR Program and the related procedures are the sole and complete agreement between
Southwest Airlines and ADR Employees regarding the resolution of Covered Claim s.
a. Step 1- General Counsel Review
The ADR Employee shall initiate Step 1 of the ADR Program by submitting a written
request to Southwest Airlines's General Counsel Department ("General Counsel") on a
pre-approved form entitled, "ADR Request", available on SWALife or upon request from
General Counsel at 214-792-5351. The ADR Request must be submitted within the
statute of limitations period applicable to the causes of action, or such claims will be
time-barred.
Upon receipt of an ADR Request, General Counsel will investigate the complaint (which
may include delegating some or all of the investigation to other departments or outside
coun sel). General Counsel will provide a written response within 60 days following
General Coun sel's receipt of the ADR Request. The ADR Employee may not proceed to
Step 2 of this ADR Program until after he/she receives General Coun sel's written
response to his/her complaint.
The ADR Employee is respon sible for his/her attorneys' fee s, if any, and all other
expenses with respect to the ADR Employee's participation in the General Counsel
Review.
b. Step 2- Final and Binding Arbitration
Prior to proceeding to Final and Binding Arbitration, an ADR Employee's Covered Claim
must first have been addressed through Step 1 of this ADR Program. Moreover, if an
ADR Employee chooses to file a charge/complaint with a government agency that has
investigatory power over some or all claim s, this ADR Program will be stayed (put on
hold) until the government agency resolves the charge/complaint (such as by issuing a
right to sue letter).
The party applying for Arbitration shall submit the request in writing to General Counsel
on a pre-approved form entitled, "Arbitration Request", available on SWALife or upon
request from General Coun sel. The deadline for a party to submit the Arbitration

Southwest Airlines Alternative Dispute Resolution Program- Page 3

Southwest··~

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Request is 45 days following the date General Counsel provided a written response in
Step 1. Assuming the ADR Employee has complet ed Step 1, t im ely submitted an
Arbitration Request, and fulfilled all other conditions precedent described in th is ADR
Program, General Counsel shall then prepare a joint request for Arbitration to be
submitted to the American Arbitration Association ("AAA" ) for administration of the
Arbitration . If both Parties agree, the matter may proceed to non-binding Mediation
with a trained, neutral Mediator in an effort to resolve the dispute prior to proceeding
to Arbitration .
The Arbitration shall be conducted in accordance with the current version of AAA's
Employment Arbitration Rules and Mediation Proced ures (((AAA Ru les" ), except to the
extent the AAA Rules conflict with this ADR Program, in which case the terms of thi s
ADR Program will govern.
Southwest Airlines and ADR Employees agree that any Covered Claims will be subject to
the foregoing provi sions and that both Parties will be permitted to arbitrate Covered
Claims to the fullest extent permitted by the Federal Arbitration Act (9 U.S.C. § 1 et seq.,
which shall govern this ADR Program), applicable Texas law, or The Convention on the
Recognition and Enforcement of Foreign Arbitral Awards. A Covered Claim shall be
finally resolved by a single Arbitrator selected in accordan ce with the aforementioned
AAA Rules. The Arbitration shall be conducted in Dall as, Texas, or a location selected in
accordance with the AAA's Rules.
Although the Parties will first attempt to utilize the services of the AAA to administer the
Arbitration, if the AAA refuses, the Parti es will each submit a list of five names of
persons certified as arbitrators by a legitimate ADR organization, w ho are also licensed
to practice law in the State of Texas. The Parties will then attempt to mutually agree on
an Arbitrator from the list s. Absent such agreement, each party shall be allowed to
strike the name s of four person s on the other party's li st. The Parties shall then attempt
to mutually agree on one of the two remaining person s to se rve as Arbitrator. If the
Parties cannot agree, the Arbitrator will be chosen by coin flip to be conducted by a
member of the People Department.
The Arbitrator shall not have the authority to alter or amend any lawful policy,
procedure or practice of Southwest Airlines or agreement t o w hich Southwest Airlines is
a party, or the substantive rights or defenses of either party under any st atute, contract ,
con stitution or common law.
Th e Arbitrator will have the authority- and is encouraged to- grant motion s to dismiss,
motions for summ ary judgment, or other motions that result in f inal disposition of some
or all claim s without a hearing. To the extent bind ing legal precedent exists on an issu e,
the Arbitrator shall follow such authority in rendering his/her decision on a di spositive
motion. In resolvin g such motions, the Arbitrator shall apply the standard s that apply to
such motions und er the Fed eral Rules of Civil Procedure.

Southwest Airlines Alternative Dispute Resolution Program- Page 4

Southwest·~

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Except as provided below, Southwest Airlines shall pay the cost of the Arbitration,
including all administrative fees and Arbitrator's fees and expenses, unless the
Arbitrator determines that a claim was filed for purposes of harassment or is frivolo us,
in which such case the Arbitrator may require the ADR Employee to pay some or all of
these fees and expenses. In all Arbitrations the ADR Employee is responsible for half of
the AAA filing fee (currently, this amounts to $775) or the maximum amount permit ted
by the AAA Rules, if less than that amount, and his/her own attorneys' fees, if any, and
all travel and other fees and expenses, with respect to the ADR Employee's participation
in the Arbitration . However, the Arbitrator is empowered to award reasonable
attorneys' fees and related expenses to the prevailing party as well as all other direct
money damages to which either party would be entitled if the dispute or claim were
resolved in a judicial proceedin g. The Arbitrator shall promptly iss ue a written decision
in support of hi s/her award. The decision and award of the Arbitrator shall be final and
binding.
In the event an ADR Employee is found liable for any administrative fees, Arbitrator's
fees and expenses, attorneys' fees, or damages, the ADR Employee agrees that, in
addition to other legal methods available for seeking payment, Southwest Airlines may
deduct money from the ADR Employee's paychecks or monies that Southwest Airlines
may owe the ADR Employee to recover said amounts. To the extent a separate
agreement is required to authorize such paycheck deduction s, the ADR Employee
hereby agrees to execute such an agreement within ten (10) days of an Arbitration
award against him/ her.
Judgment upon the award rendered by the Arbitrator may be entered in any court of
competent jurisdiction. The Federal Arbitration Act or applicable Texas law shal l govern
the application and enforcement of the provisions of this ADR Program.
This ADR Program establishes deadlines for certain actions. Deadlines established by this
ADR Program are distinct from statutes of limitation s. ADR Employees shou ld direct
questions regarding this ADR Program to General Counsel. No party may arbitrate any
Covered Claim that has not been submitted to General Counsel on an ADR Request
before the expiration of applicable limitations period s and in accordance with the
provisions of th is ADR Program . The Arbitrator shall have the exclusive authority to
decide any dispute raised at Arbitration between the ADR Employee and Southwest
Airlines concerning a party's compliance with the deadlin es of this ADR Program.

Southwest Airlines Alternative Dispute Resolution Program- Page 5

Southwest·.

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c.

Provisional Remedies
Either the ADR Employee or Southwest Airlines may commence a cause of action in a
court of law to obtain an injunction or other court order to enforce the provisions of this
ADR Program. Despite such action, the Parties shall continue in good faith to abide by
this ADR Program.

d. Attempt to Bring Lawsuit Instead of Arbitration
If an ADR Employee attempts to pursue a Covered Claim in cou rt rather than in
Arbitration, Southwest Airlines will request that th e ADR Employee voluntarily dismiss
the lawsuit so the Parties may proceed in Arbitration. If the ADR Employee refuses to
voluntarily dismiss such a lawsuit upon request, and Southwest Airlines has to take
court action to enforce the terms of this ADR Program (e.g., moving to compel
arbitration), the ADR Employee will be responsible for reimbursing Southwest Airlines
for any reasonable attorneys' fees incurred enforcing this ADR Program. Until an ADR
Employee reimburses Southwest Airlines for such attorneys' fees, the Arbitration
process shall be stayed.
e.

Employment/Waiver of Jury Trial
Nothing in thi s ADR Program limits in any way an Employee's right or Southwest Airlines'
right to terminate the employment relationship.
This ADR Program waives any right that an ADR Employee may have to a jury trial
regarding Covered Claims. Further, if any court determines for any reason that thi s ADR
Program is not binding or otherwise allows any litigation of any Covered Claim, the ADR
Employee and Southwest Airlines expressly waive any and all rights to a trial by jury and
agree to proceed to a bench or judge trial.

f.

Termination and Modification of the ADR Program
Thi s ADR Program may be modified or terminated by Southwest Airlines at any time by
giving ADR Employees at least 30 days' written notice of such modification or
termination. No such amendment or termination of th e ADR Program shall apply to a
di spute of which Southwest Airlines had notice on the date of the amendment. This
ADR Program may only be modified or terminated in writing by an authorized
represe ntative of Southwest Airlines.

g. Waiver of Class/Collective Actions
An ADR Employee may not bring an Arbitration as a class or collective claim and may not
join or opt-in to another Employee's Arbitration. Further, an Arbitrator shall not have
th e authority to consolidate the disputes of other Employees into a proceeding
originally filed by any other Employee or anyone else. The Arbitrator may only hear a

Southwest Airlines Alternative Dispute Resolution Program -Page 6

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dispute brought by one individual party arising out of a common set of facts, and does
not have the authority to (i) fashion a proceeding as a class or collective action of any
kind or (ii) award relief to a group or class of Employees or other individuals in one
Arbitration proceeding. There shall be no right or authority for any dispute whatsoever
to be brought, heard or arbitrated as a class, collective or representative action, or for
an ADR Employee to participate as a class member in any purported class, collective or
representative action. If any court determines for any reason that this ADR Program is
not binding or otherwise allows any litigation of any Covered Claim, the ADR Employee
and Southwest Airlines expressly waive any and all rights to participate in a class or
collective action proceeding in a court of law.
h. ADR Agreement
Employees submitting to this ADR Program agree that this ADR Program resolves all
Covered Claims against Southwest Airlines and/or any of its Directors, Officers,
Employees, Shareholders or representatives in their capacity as such, including those
related in any way to the Employee's employment by Southwest Airlines and/or
termination thereof.
5. Severability of Provisions in ADR Program
If any provision of this ADR Program is held invalid, illegal or unenforceable by any court of
competent jurisdiction, ADR Employees and Southwest Airlines agree that it shall be deemed to
be modified so that its purpose can lawfully be effectuated and the balance of this ADR
Program shall remain in full force and effect. ADR Employees and Southwest Airlines further
agree that the provi sions of this ADR Program shall be deemed severable and the invalidity or
enforceability of any provision shall not affect the validity or enforceability of the other
provi sions hereof.
6. Confidentiality
All aspects of the ADR Program, including the hearing and record, if any, of the proceedings are
confidential and shall not be open to public, except under the following circumstances: (1) to
the extent both Parties otherwise agree in writing; (2) as may be required in any subsequent
proceedings between the Parties; or (3) as may otherwise be required by law or in respon se to
a governmental agency or legal process.
If a monetary or other settlement agreement is reached during or after the dispute resolution
method described herein, then both Parties must maintain confidentiality over the terms of
such agreement. If a party fails to maintain confidentiality over such settlement terms, then
the other party may revoke its offer, and if any proceeds have been transferred, then the other
party must refund all such proceeds to the offeror.

Southwest Airlines Alternative Dispute Resolution Program - Page 7

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e e
re i ent, Southwest Airlines People Department
Effective Date of ADR Program: July 24, 2015

Southwest Airlines Alternative Dispute Resolution Program- Page 8

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EXHIBIT 2

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SWALife Announcement
2017 Southwest Airlines Q3 Acknowledgement
From time to time, Southwest Employees are asked to acknowledge receipt of current or new Southwest policies. It is Important for Southwest Employees to take
the time to read these policies, be aware of the expectations outlined in these policies, and know that they will be held accountable for complying with these
policies. As such, you are being asked to confirm that you are aware you will be held accountable for the policies applicable to you.
Alternative Dispute Resolution Program: The Southwest Airlines Alternative Dispute Resolution Program ("ADR Program"} is only applicable to Southwest
Employees who are not covered by a collective bargaining agreement (also known as "Non-Contract Employees"). For those Employees subject to the ADR
Program, by checking the box below, you are acknowledging that you have received a copy of the ADR Program, which includes a provision requiring binding
arbitration of certain types of claims, that you have reviewed the ADR Program which is available at all times on SWALife > My Work > Resources > Policies
>People Policies > ADR Program and by clicking a link on this webpage, and that you agree to abide by the ADR Program. For those Employees covered by a
collective bargaining agreement (also known as ·contract Employees'), checking the box will only be an acknowledgement of the Southwest Airlines Co. Code of
Ethics, Insider Trading Policy and Procurement and Contracting Policy and will not be an acknowledgement of the ADR Program.
Code of Ethics and Insider Trading Policy: I hereby certify that I have received and read the Southwest Airlines Co. Code of Ethics and Insider Trading Policy, and I
understand their contents. I agree to comply with the standards, policies, and procedures contained in the Code of Ethics and the Insider Trading Policy, including
any amendments thereto. I understand that current copies of the Code of Ethics and the Insider Trading Policy are posted on SWALife > My Work> Resources>
Policies> Corporate Governance. I further certify that I am in full compliance with the Code of Ethics and the Insider Trading Policy and that I have an obligation
to report any violation of the Code of Ethics of which I become aware (including any potential conflict of interest).
Procurement and Contracting Policy: This policy outlines the processes and responsibilities of any Employee tasked with obtaining goods or services from
suppliers. Compliance with the policy ensures that we are spending our money wisely, protecting Southwest as well as our individual Employees from undue risk,
and meeting obligations to our suppliers and the public. All Employees are expected to be aware of and comply with the Procurement and Contracting Policy
which is located at all times on SWALife > My Work> Resources > Policies> Companywide Supply Chain Management Policies.

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e107542,LeRome Thomas,08/14/2017 16:48:12
e110647,Jeff Battles,08/22/2017 17:15:14
e101749,Steven Spencer,08/14/2017 18:27:25

Case: 1:18-cv-04822 Document #: 14-1 Filed: 09/17/18 Page 18 of 24 PageID #:65

EXHIBIT 3

Announcement Admin

Page 1 of 2
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SWALife Announcement Administration
Results
Retrieved announcement list for SWA ID: e110647

View announcement data for:
Announcements can be managed by either a single user or all users. *
Single Employee

All Employees

Single Employee: Please enter SWA ID and select announcement
SWA ID: e110647

Go

Select Announcement(s) to be shown to user again

Name:

Jeff Battles

Announcment

Selection

Created

Date

Updated

Date

2017 Q1 GFE PDA
ETPP

yes

e110647

2017-01-17

e110647

2017-01-17

2017 Q2 SM SSC SPD

yes

e110647

2017-04-18

e110647

2017-04-18

2017 Q3 ADR COE
ITP

yes

e110647

2017-08-22

e110647

2017-08-22

2018 Q1 GFE PDA
ETPP DDWAP

yes

e110647

2018-01-17

e110647

2018-01-17

2018 Q2 SSC SMP ISP

yes

e110647

2018-04-02

e110647

2018-04-02

2018 Q3 COE ITP

yes

e110647

2018-08-16

e110647

2018-08-16

COE 2015

yes

e110647

2015-07-27

e110647

2015-07-27

ISP 2015

yes

e110647

2015-09-17

e110647

2015-09-17

Q1 2016

yes

e110647

2016-02-19

e110647

2016-02-19

Q2 2016

yes

e110647

2016-04-22

e110647

2016-04-22

Q3 2016

yes

e110647

2016-07-27

e110647

2016-07-27

https://www14.swalife.com/EipEmailFormsWeb/announceAdmin/processAdmin.do

9/13/2018

Announcement Admin

Page 2 of 2
Case: 1:18-cv-04822 Document #: 14-1 Filed: 09/17/18 Page 20 of 24 PageID #:67

Q4 2016 - ISP

yes

e110647

2016-11-03

e110647

2016-11-03

SPD 2015

yes

e110647

2015-02-09

e110647

2015-02-09

All

of

the

above

https://www14.swalife.com/EipEmailFormsWeb/announceAdmin/processAdmin.do

9/13/2018

Announcement Admin

Page 1 of 2
Case: 1:18-cv-04822 Document #: 14-1 Filed: 09/17/18 Page 21 of 24 PageID #:68

SWALife Announcement Administration
Results
Retrieved announcement list for SWA ID: e107542

View announcement data for:
Announcements can be managed by either a single user or all users. *
Single Employee

All Employees

Single Employee: Please enter SWA ID and select announcement
SWA ID: e107542

Go

Select Announcement(s) to be shown to user again

Name:

LeRome Thomas

Announcment

Selection

Created

Date

Updated

Date

2017 Q1 GFE PDA
ETPP

yes

e107542

2017-01-19

e107542

2017-01-19

2017 Q2 SM SSC SPD

yes

e107542

2017-04-17

e107542

2017-04-17

2017 Q3 ADR COE
ITP

yes

e107542

2017-08-14

e107542

2017-08-14

2018 Q1 GFE PDA
ETPP DDWAP

yes

e107542

2018-01-15

e107542

2018-01-15

2018 Q2 SSC SMP ISP

yes

e107542

2018-04-02

e107542

2018-04-02

2018 Q3 COE ITP

yes

e107542

2018-08-17

e107542

2018-08-17

COE 2015

yes

e107542

2015-07-24

e107542

2015-07-24

Code of Ethics 2014

yes

e107542

2014-10-17

e107542

2014-10-17

ISP 2015

yes

e107542

2015-09-17

e107542

2015-09-17

PCI Compliance
Announcement 2014

yes

e107542

2014-04-23

e107542

2014-04-23

https://www14.swalife.com/EipEmailFormsWeb/announceAdmin/processAdmin.do

9/13/2018

Announcement Admin

Page 2 of 2
Case: 1:18-cv-04822 Document #: 14-1 Filed: 09/17/18 Page 22 of 24 PageID #:69

Q1 2016

yes

e107542

2016-02-21

e107542

2016-02-21

Q2 2016

yes

e107542

2016-04-23

e107542

2016-04-23

Q3 2016

yes

e107542

2016-07-26

e107542

2016-07-26

Q4 2016 - ISP

yes

e107542

2016-11-04

e107542

2016-11-04

SPD 2015

yes

e107542

2015-02-11

e107542

2015-02-11

Summary Plan
Description 2014

yes

e107542

2014-05-10

e107542

2014-05-10

All

of

the

above

https://www14.swalife.com/EipEmailFormsWeb/announceAdmin/processAdmin.do

9/13/2018

Announcement Admin

Page 1 of 2
Case: 1:18-cv-04822 Document #: 14-1 Filed: 09/17/18 Page 23 of 24 PageID #:70

SWALife Announcement Administration
Results
Retrieved announcement list for SWA ID: e101749

View announcement data for:
Announcements can be managed by either a single user or all users. *
Single Employee

All Employees

Single Employee: Please enter SWA ID and select announcement
SWA ID: e101749

Go

Select Announcement(s) to be shown to user again

Name:

Steven Spencer

Announcment

Selection

Created

Date

Updated

Date

2017 Q1 GFE PDA
ETPP

yes

e101749

2017-01-21

e101749

2017-01-21

2017 Q2 SM SSC SPD

yes

e101749

2017-04-20

e101749

2017-04-20

2017 Q3 ADR COE
ITP

yes

e101749

2017-08-14

e101749

2017-08-14

2018 Q1 GFE PDA
ETPP DDWAP

yes

e101749

2018-01-18

e101749

2018-01-18

2018 Q2 SSC SMP ISP

yes

e101749

2018-04-03

e101749

2018-04-03

2018 Q3 COE ITP

yes

e101749

2018-08-14

e101749

2018-08-14

COE 2015

yes

e101749

2015-07-31

e101749

2015-07-31

COE, ISP, and
Procurement

yes

e101749

2013-09-08

e101749

2013-09-08

Code of Ethics 2014

yes

e101749

2014-10-17

e101749

2014-10-17

ISP 2015

yes

e101749

2015-09-18

e101749

2015-09-18

https://www14.swalife.com/EipEmailFormsWeb/announceAdmin/processAdmin.do

9/13/2018

Announcement Admin

Page 2 of 2
Case: 1:18-cv-04822 Document #: 14-1 Filed: 09/17/18 Page 24 of 24 PageID #:71

PCI Compliance 2013

yes

e101749

2013-10-04

e101749

2013-10-04

PCI Compliance
Announcement 2014

yes

e99999

2014-04-05

null

Q1 2016

yes

e101749

2016-02-19

e101749

2016-02-19

Q2 2016

yes

e101749

2016-04-30

e101749

2016-04-30

Q3 2016

yes

e101749

2016-07-27

e101749

2016-07-27

Q4 2016 - ISP

yes

e101749

2016-11-05

e101749

2016-11-05

SPD 2015

yes

e101749

2015-02-05

e101749

2015-02-05

Social Media Policy for
2013

yes

e101749

2013-01-19

e101749

2013-01-19

Summary Plan
Description 2013

yes

e101749

2013-06-13

e101749

2013-06-13

Summary Plan
Description 2014

yes

e101749

2014-05-24

e101749

2014-05-24

All

of

the

above

https://www14.swalife.com/EipEmailFormsWeb/announceAdmin/processAdmin.do

9/13/2018