State v. New England Health Care Employees Union
State v. New England Health Care Employees Union
Opinion of the Court
Opinion
The plaintiff, the state of Connecticut, appeals
The record reveals the following procedural history and facts. The union and the state, through the department, were parties to a collective bargaining agreement
The arbitrator found the following facts. On August 9, 1999, Howell, Miller, and Ed, the client for whom Howell was responsible during that shift, were alone in a room. Howell, who had not worked regularly with Ed but was aware of his various behaviors and how to respond appropriately to them, attempted to assist Ed to the dining room for supper. When Ed began to act violently, Hughes came into the room and ordered Howell to “let Ed alone and let him calm down.” It is unclear whether Howell followed this instruction. Ed’s agitation continued, however, and he swung his arms vigorously. Miller and Howell gave conflicting accounts of what happened next. Miller claimed that Howell laughed at Ed, grabbed both of Ed’s upper arms, and pushed him
The arbitrator found that Howell had deliberately shoved Ed into the chair and concluded that he was “culpable of patient or client abuse under these circumstances.” The arbitrator then noted that the union had cited eleven cases where department employees had been disciplined instead of discharged, notwithstanding a finding of client abuse. Although he determined that the cases cited by the union were not similar factually to this case, the arbitrator found that “the state does not automatically terminate employees for patient abuse.”
The state filed with the trial court an application to vacate the arbitrator’s award on the ground that the arbitrator had exceeded his power in violation of the common law and within the meaning of General Statutes § 52-418 (a) (4)
I
The state first claims that the trial court improperly concluded that the arbitration award reinstating Howell did not violate public policy in light of the arbitrator’s
We begin with the applicable standard of review. “The well established general rule is that [w]hen the parties agree to arbitration and establish the authority of the arbitrator through the terms of their submission, the extent of our judicial review of the award is delineated by the scope of the parties’ agreement. American Universal Ins. Co. v. DelGreco, 205 Conn. 178, 185, 530 A.2d 171 (1987). When the scope of the submission is unrestricted, the resulting award is not subject to de novo review even for errors of law so long as the award conforms to the submission. Hartford v. Board of Mediation & Arbitration, 211 Conn. 7, 14, 557 A.2d 1236 (1989); New Haven v. AFSCME, Council 15, Local 530, 208 Conn. 411, 415-16, 544 A.2d 186 (1988). Because we favor arbitration as a means of settling private disputes, we undertake judicial review of arbitration awards in a manner designed to minimize interference with an efficient and economical system of alternative dispute resolution. Garrity v. McCaskey, 223 Conn. 1, 4-5, 612 A.2d 742 (1992). Furthermore, in applying this general rule of deference to an arbitrator’s award, [e]very reasonable presumption and intendment will be made in favor of the [arbitral] award and of the arbitrators’ acts and proceedings. . . . Metropolitan District Commission v. AFSCME, Council 4, Local 184, 237 Conn. 114, 119, 676 A.2d 825 (1996).
“In Garrity v. McCaskey, supra, 223 Conn. 6, however, we also recognized two narrow common-law bases, as opposed to statutory bases under General Statutes § 52-418, for vacating an award rendered pursuant to an unrestricted submission: (1) the award rules on the constitutionality of a statute; and (2) the award violates clear public policy.” (Internal quotation marks omitted.) Groton v. United Steelworkers of America,
“[W]hen a challenge to a voluntary arbitration award rendered pursuant to an unrestricted submission raises a legitimate and colorable claim of violation of public policy, the question of whether the award violates public policy requires de novo judicial review.” Id., 45. Because the challenge in this case raises such a claim, we undertake de novo review of the arbitrator’s award.
It is undisputed that the submission to arbitration in this case was voluntary and unrestricted. The question is, therefore, whether the award falls within the public policy exception to the general rule of deference to an arbitrator’s award made pursuant to an unrestricted submission. See id., 43. “The public policy exception applies only when the award is clearly illegal or clearly violative of a strong public policy. Garrity v. McCaskey, [supra, 223 Conn. 7], A challenge that an award is in contravention of public policy is premised on the fact that the parties cannot expect an arbitration award approving conduct which is illegal or contrary to public policy to receive judicial endorsement any more than parties can expect a court to enforce such a contract between them. Stamford v. Stamford Police Assn., [14 Conn. App. 257, 259, 540 A.2d 400 (1988)]; Board of Trustees v. Federation of Technical College Teachers, [179 Conn. 184, 195, 425 A.2d 1247 (1979)]. When a challenge to the arbitrator’s authority is made on public policy grounds, however, the court is not concerned with the correctness of the arbitrator’s decision but with the lawfulness of enforcing the award. Board of Trustees v. Federation of Technical College Teachers, supra [195], Accordingly, the public policy exception to arbitral authority should be narrowly construed and [a] court’s refusal to enforce an arbitrator’s interpretation of [collective bargaining agreements] is limited to situations where the contract as interpreted would vio
“The party challenging the award bears the burden of proving that illegality or conflict with public policy is clearly demonstrated. [New Haven v. AFSCME, Council 15, Local 530, supra, 208 Conn. 417]. Therefore, given the narrow scope of the public policy limitation on arbitral authority, the plaintiff can prevail . . . only if it demonstrates that the [arbitrators’] award clearly violates an established public policy mandate. . . . Watertown Police Union Local 541 v. Watertown, 210 Conn. 333, 339-40, 555 A.2d 406 (1989). . . . Groton v. United Steelworkers of America, supra, [254 Conn. 45-46], It bears emphasizing, moreover, that implicit in the stringent and narrow confines of this exception to the rule of deference to arbitrators’ determinations, is the notion that the exception must not be interpreted so broadly as to swallow the rule.” (Internal quotation marks omitted.) South Windsor v. South Windsor Police Union Local 1480, Council 15, AFSCME, AFL-CIO, supra, 255 Conn. 816.
The state argues that the trial court improperly granted the union’s application to confirm the arbitrator’s award ordering Howell’s reinstatement despite the arbitrator’s finding that Howell had abused a client, because there is a clear and dominant public policy,
A “two-step analysis . . . [is] often employed [in] deciding cases such as this. First, the court determines whether an explicit, well-defined and dominant public policy can be identified. If so, the court then decides if the arbitrator’s award violated the public policy.” (Internal quotation marks omitted.) State v. AFSCME, Council 4, Local 387, AFL-CIO, 252 Conn. 467, 476, 747 A.2d 480 (2000). Addressing the first prong of this test, the trial court stated: “The legislative and regulatory scheme respecting mental retardation reflects a clear, well-defined and dominant state public policy in favor of the care and protection of persons with mental retardation,” and cited numerous statutory provisions supporting this public policy.
Addressing the second prong of the inquiry—whether the arbitrator’s award violated the public policy of protecting persons in the custody of the department from abuse—the trial court concluded that, because Howell had not intended to harm the client and had never been disciplined for abusing a client prior to this incident,
The state argues, however, that, in making its finding that Howell had not intended to harm the client, the trial court improperly substituted its factual findings for the arbitrator’s findings. It points out that the court stated in its memorandum of decision that the arbitrator had found that Howell’s conduct constituted abuse within the meaning of § 17a-247a (1), which defines “abuse” as “the wilful infliction by an employee of physical pain or injury . . . .” Our review reveals, however, that the arbitrator did not specifically refer to that statute anywhere in his decision and award. Moreover, nothing in the arbitrator’s decision suggests that he found that Howell wilfully had inflicted pain or injury on the client.
In addition, we are not persuaded by the cases cited by the state in support of its argument that reinstating
II
The state next claims that the trial court improperly issued a ruling on the application to confirm prior to ruling on the application to vacate. We disagree.
As we have noted, the state filed an application to vacate the arbitration award pursuant to § 52-418 and the union filed an application to confirm the arbitration award pursuant to § 52-417. In its judgment, the trial court stated that the “[union’s] application to confirm is granted . . . .’’It did not rule on the application to vacate, however, until after this appeal was filed and the state had filed its motion for review of the ruling on its motion for articulation or rectification. Only after the Appellate Court granted that motion, which it treated as a motion for compliance with Practice Book § 64-1, did the trial court issue a memorandum of decision explaining the basis for its confirmation of the arbitrator’s award and its denial of the state’s motions to vacate and open the judgment.
The state relies on South Windsor v. South Windsor Police Union Local 1480, Council 15, AFSCME, AFL-CIO, supra, 255 Conn. 827, in support of its claim. In that case, the trial court granted the plaintiffs application to
We recognize that applications to confirm and applications to vacate arbitration awards are distinct statutory proceedings.
Ill
Finally, the state claims that the trial court improperly denied its motion to open the judgment and for reargument. We disagree.
The principles that govern motions to open or set aside a civil judgment are well established. “A motion to open and vacate a judgment ... is addressed to the [trial] court’s discretion, and the action of the trial court will not be disturbed on appeal unless it acted unreasonably and in clear abuse of its discretion. . . . In determining whether the trial court abused its discretion, this court must make every reasonable presumption in favor of its action. . . . The manner in which [this] discretion is exercised will not be disturbed so long as the court could reasonably conclude as it did.” (Citations omitted; internal quotation marks omitted.) Gillis v. Gillis, 214 Conn. 336, 340-41, 572 A.2d 323 (1990).
In support of its argument that the trial court improperly denied its motion to open the judgment and for reargument, the state relies on the same public policy arguments that we addressed in part I of this opinion. Having rejected those arguments, we conclude that the trial court did not act unreasonably or in clear abuse of its discretion.
The judgment is affirmed.
In this opinion BORDEN, KATZ and VERTEFEUILLE, Js., concurred.
The state appealed from the judgment of the trial court, to the Appellate Court, and we transferred the appeal to this court pursuant to General Statutes § 51-199 (c) and Practice Book § 65-1.
The state correctly notes that the issue of whether the department treated Howell disparately is not presently before this court. Rather, the issue before tins court is whether the reinstatement of a department employee, whom an arbitrator has found to have abused a department client, violates public policy.
General Statutes § 52-418 (a) provides in relevant part: “Upon the application of any party to an arbitration, the superior court . . . shall make an order vacating the award if it finds any of the following defects ... (4) if the arbitrators have exceeded their powers or so imperfectly executed them that a mutual, final and definite award upon the subject matter submitted was not made.”
General Statutes § 52-417 provides in relevant part: “At any time within one year after an award has been rendered and the parties to the arbitration notified thereof, any party to the arbitration may make application to the superior court ... for an order confirming the award. The court or judge shall grant such an order confirming the award unless the award is vacated, modified or corrected as prescribed in sections 52-418 and 52-419.”
Practice Book § 17-4 (a) provides in relevant part: “Unless otherwise provided by law and except in such cases in which the court has continuing jurisdiction, any civil judgment or decree rendered in the superior court may not be opened or set aside unless a motion to open or set aside is filed within four months succeeding the date on which notice was sent. . . .”
See, e.g., General Statutes § 17a-238 (b) (“[e]ach person placed or treated under the direction of tire Commissioner of Mental Retardation in any public or private facility shall be protected from harm and receive humane and dignified treatment”); General Statutes § 17a-238 (e) (6) (“'[t]he Commissioner of Mental Retardation shall ensure that each person placed or treated under the commissioner’s direction in any public or private facility is afforded . . . the right to be free from unnecessary or excessive physical restraint”); General Statutes § 17a-247b (a) (“[t]he Department of Mental Retardation shall establish and maintain a registry of individuals who have been terminated or separated from employment as a result of substantiated abuse or neglect”); General Statutes § 17a-247c (a) (“[n]o employer shall hire an individual whose name appears on the registry and no employer shall retain an individual after receiving notice that an individual’s name so appears”).
The arbitrator noted in his memorandum of decision that Howell previously had received a “one-day suspension for his failure to follow established protocol” and a “five-day suspension for inattentiveness to duties.”
Indeed, the state did not argue to the arbitrator that Howell had wilfully inflicted pain or injury on Ed. Instead, it argued that he had forcibly and intentionally pushed Ed into the chair and these actions resulted in ii\jury to Ed. Thus, the misconduct with which Howell was charged was not intentionally harming the client, but intentionally engaging in conduct that resulted in harm to the client.
The state concedes that the arbitrator did not refer to the statutory definition of abuse when he concluded that Howell had abused the client. It argues that the arbitrator was not obligated to make its decision according to law and that an arbitrator’s errors of fact and law are not reviewable by the trial court. See International Brotherhood of Police Officers, Local 361 v. New Milford, 81 Conn. App. 726, 731, 841 A.2d 706 (2004). The fact that the arbitrator was not obligated to apply the definition of § 17a-247a (1) in making his decision and award is irrelevant to our analysis, however. The trial court’s conclusion that the statutory standard had not been met, i.e., that Howell had not intended to inflict pain or injury on the client, was not inconsistent with the arbitrator’s finding because the arbitrator did not apply the statutory definition.
Furthermore, even assuming that Howell had been convicted of a crime for his conduct in this case, we have not concluded “that the violation of a criminal statute is a per se public policy violation sufficient to justify vacating an arbitrator’s decision.” State v. AFSCME, Council 4, Local 387, AFL-CIO, supra, 252 Conn. 477-78.
Although an application to confirm an arbitration award and a motion to vacate the award frequently are entertained in the same proceeding, they may be brought as entirely separate proceedings. See Aetna Life & Casualty Co. v. Bulaong, 218 Conn. 51, 52 n.1, 588 A.2d 138 (1991).
Dissenting Opinion
dissenting in part. The majority concludes that the arbitrator’s reinstatement of the grievant, James Howell, who was found by the arbitrator to have abused a client, did not violate the public policy of protecting clients in the care and custody of the department of mental retardation (department) from harm and providing such clients with humane and dignified treatment. I respectfully disagree with this conclusion and therefore dissent.
In undertaking the two step analysis required when considering public policy challenges to arbitration awards, the majority begins by noting that there is an “explicit, well-defined and dominant public policy” against the mistreatment of persons in the department’s custody. The majority then determines that, “because Howell had not intended to harm the client and had never been disciplined for abusing a client prior to this incident, the record did not support a finding that continuing Howell’s employment would place department clients at risk of abuse.” The majority thus agrees with the trial court’s conclusion that reinstating Howell to his position in the department as a mental retardation worker with direct responsibilities for the care and custody of department clients will not result in a violation of public policy.
I depart from the reasoning of the majority because it conflicts with the arbitrator’s express conclusion that Howell abused the client. The majority initially concedes that the arbitrator concluded that Howell abused the client. It nevertheless determines that the arbitrator could not have meant that the client was abused within the meaning of General Statutes § 17a-247a (1), which defines “abuse” in relevant part as “the wilful infliction by an employee of physical pain or injury,” because the arbitrator (1) did not refer specifically to § 17a-247a (1) when he concluded that Howell had abused the client, and (2) did not make a separate finding “that Howell
I agree that the arbitrator did not make a specific finding that Howell intended to harm the client, nor did he refer directly to § 17a-247a (1), but the arbitrator plainly stated that Howell “was culpable of patient or client abuse . . . .” The majority cites no department rule or other governing authority that requires the arbitrator to refer to § 17a-247a (1) when making a finding of client abuse. Consequently, I submit that the arbitrator’s finding that Howell abused the client means exactly what it says.
Moreover, in explaining his conclusion that Howell was culpable of client abuse, the arbitrator specifically referred to the fact that (1) Howell, who had knowledge of the client’s behavioral problems and how to respond to them properly, attempted to bring the agitated client into the dining room following a supervisor’s advice to leave the client alone and to give him time to calm
Furthermore, the arbitrator used the term “abuse” more than one dozen times throughout the opinion to describe the type of misconduct at issue, such as when he referred to “the department’s rules against client abuse and neglect,” “an in-service course covering the subjects] of abuse and neglect,” the department’s “abuse and neglect policy,” “the abuse of vulnerable retarded clients,” employee “discipline . . . for patient abuse,” the reduction by arbitrators of penalties imposed for “client abuse,” and the employee’s “obligation to report instances of patient abuse.” There is no indication that the arbitrator’s references to abuse were to anything other than conduct in violation of the stated public policy of protecting department clients from mistreatment or harm.
That the arbitrator was referring to client “abuse” as defined by § 17a-247a (1), and not to conduct of some lesser magnitude, is supported by the fact that the arbitrator referred in his opinion to the department’s determination, following an investigation and hearing on the
In the closing lines of his opinion, the arbitrator states that Howell “could have and should have exercised better judgment. It was because the [client] was swinging his arms about in an agitated state that Howell reacted improperly by holding onto his arms and [shoving] him into a chair.” We recently observed that poor judgment should not render an employee’s misconduct excusable. See State v. AFSCME, Council 4, Local 387, AFL-CIO, 252 Conn. 467, 477, 747 A.2d 480 (2000).
In State v. AFSCME, Council 4, Local 387, AFL-CIO, supra, 252 Conn. 469, a correctional officer employed by the state department of correction was terminated because he had made an anonymous telephone call to a state legislator from a correctional facility telephone during working hours and had left a profane and racist message on the legislator’s voice mail. As a result of this incident, the employee also was charged with harassment in the second degree in violation of General
In the present case, the misconduct at issue was equally or even more disturbing than the misconduct in AFSCME, Council 4, Local 387, AFL-CIO because it involved the physical pushing or shoving of a completely defenseless client. Additionally, Howell not only refused to admit to the misconduct at issue, but emphatically denied that he pushed or shoved the client toward the chair, asserting, instead, that he had been trying to protect himself from the client’s blows when the client “bounced off’ him and fell into the chair. The arbitrator
The public policy at issue in this case is the protection of mentally retarded persons in the care of public or private facilities from harm and the provision of humane and dignified treatment to such persons. See generally General Statutes § 17a-238. The arbitrator made an explicit finding that Howell, who was angry and agitated at the time of the incident, had abused the client by disobeying the supervisor’s instruction to give the client time to calm down and by deliberately shoving him into a chair, which resulted in the client’s injury. The arbitrator’s finding that Howell was angry when the incident occurred makes the arbitrator’s ultimate finding of abuse particularly compelling. To reinstate Howell following such an incident would be in clear violation of the “explicit, well-defined and dominant public policy” against the mistreatment of retarded persons in the department’s custody because such reinstatement would allow a known abuser to return to a position involving direct responsibility for the care and custody of persons who are almost totally dependent on their caretakers. Consequently, the reinstatement of Howell would place future department clients at risk of abuse.
The majority nonetheless concludes that the arbitrator’s award does not violate public policy because to
In my view, whether the disputed conduct is deliberate and whether it results in physical pain or injury to the client are issues that the arbitrator must decide when making his initial determination as to whether the client was abused. See General Statutes § 17a-247a (1). If the arbitrator finds that the employee’s conduct, although deliberate, did not result in physical pain or injury to the client, he presumably will not conclude that the employee abused the client. If, on the other hand, the arbitrator finds that the misconduct was sufficiently callous or severe, under the circumstances, to support a finding that the employee abused the client, the only duty of the court is to examine whether the arbitrator’s award is in violation of public policy.
The majority, by contrast, states that the arbitrator may consider factors such as the circumstances and severity of the employee’s misconduct following his finding of abuse when determining an appropriate award. I disagree because the public policy at issue in this case requires that persons in the custody of the department be protected from harm and receive humane and dignified treatment. I therefore concede that a finding of client abuse almost certainly will result
The majority dismisses as a “harmless misstatement” the trial court’s assertion that the arbitrator made a finding that Howell had abused the client within the meaning of § 17a-247a (1).
The trial court’s statement that the clear and dominant public policy at issue is to provide mentally retarded persons “with an environment reasonably free from abuse” is a misstatement of the law that borders on the outrageous and should be emphatically disavowed by the majority. (Emphasis added.)
Reference
- Full Case Name
- State of Connecticut v. New England Health Care Employees Union, District 1199, Afl-Cio
- Cited By
- 36 cases
- Status
- Published