DocketNumber: No. 96-5983
Judges: RAGOSTA, J.
Filed Date: 2/5/2004
Status: Non-Precedential
Modified Date: 4/18/2021
In February of 1991, Rhode Island faced a serious fiscal crisis, and its governor directed all state agencies to devise methods to reduce expenses. In response to this gubernatorial mandate, Plaintiff employed the National Institute of Corrections (NIC) to study whether the Department of Corrections (DOC) could abolish 59 posts without compromising the security of its penal facilities. On February 27, 1991, the NIC advised the DOC that it could eliminate 57 posts without affecting security.2 Consequently, the DOC abolished 51 posts at various adult correctional institution facilities.
In addition to abolishing certain posts, Plaintiff implemented two changes which Defendant later grieved. First, the DOC established a policy whereby it released at 9 p.m. correctional officers working overtime on the 3 p.m. to 11 p.m. shift. Second, it implemented a "minimum and maximum staffing" plan, defining the maximum allowed and minimum required number of correctional officers for each shift at each facility. Under the plan, if the maximum number of correctional officers reported for duty, Plaintiff filled all of the security posts. If fewer than minimum reported, the shift commander called officers on an overtime basis to meet the minimum. Finally, if the minimum or more than the minimum but less than the maximum number of correctional officers reported for duty, the shift commanders decided on a daily basis whether to fill on overtime the spots of employees who were bidded for the post but failed to report.3
In response to these two policies, Defendant filed a grievance in February of 1991, alleging that Plaintiff's failure to back-fill posts on an overtime basis exposed the union members to an increased risk of harm and resulted in chaos. Plaintiff denied Defendant's grievance and the matter was submitted to arbitration before Arbitrator James S. Cooper (the Arbitrator) on December 1, 1995 and January 29, 1996. On October 23, 1996, the Arbitrator rendered a decision in Defendant's favor, finding that (1) the dispute was substantively arbitrable; (2) Plaintiff violated CBA Article 9.1 "when it did not call in one or more correction[al] officers on overtime to fill authorized posts at various securities beginning in February 1991"; and (3) Plaintiff did not violate the CBA by releasing at 9 p.m. correctional officers filling posts on overtime on the 3 p.m. to 11 p.m. shift.Opinion and Award at 18. The Arbitrator issued an award, requiring Plaintiff to fill positions on an overtime basis and to compensate the employees who lost overtime opportunities for the duration of the employer's actions. The Arbitrator retained jurisdiction to specify the nature and method by which relief would be awarded. Id.
On November 15, 1996, Plaintiff filed a motion to vacate the arbitration award and a motion to stay implementation of the same. As grounds for its motion to vacate, Plaintiff asserts that the Arbitrator's award fails to draw its essence from the CBA and is irrational, and that the Arbitrator exceeded his authority under the CBA and so imperfectly executed his powers that no mutual, final, and definite award was made. Plaintiff's Motionto Vacate at 1. This Court granted Plaintiff's motion to stay on January 2, 1997. On December 1, 1997, the Arbitrator determined that Defendant's proposed model should be used to calculate the amount of back-pay owed. Supplementary Award at 5.4 Defendant filed a motion for confirmation of the Arbitrator's award on June 19, 1998. In support of its motion, Defendant argues that the award was (1) regular and fair, and constituted a mutual, final, and definite award upon the subject matter submitted; (2) based on a valid submission and contract; and (3) within the arbitrator's authority. Defendant's Motion toConfirm at 1.
A court may vacate an arbitration award for only one or more of three reasons enumerated in R.I. Gen. Laws §
"(1) When the award was procured by fraud.
(2) Where the arbitrator or arbitrators exceeded powers, or so imperfectly executed them, that a mutual, final, and definite award upon the subject matter submitted was not made.
(3) If there was no valid submission or contract, and the objection has been raised under the conditions set forth in
28-9-13 ." R.I. Gen. Laws §28-9-18 (a)(1)-(3).
This judicial deference to an arbitrator's decision reflects the philosophy that "broad judicial review in this area undermines the strong governmental policy encouraging the private settlement of labor grievances through the relatively inexpensive and expedient means of arbitration." R.I. Council 94, AFSCME,AFL-CIO, 714 A.2d at 588.
An arbitrator may exceed his or her powers, thereby requiring a court to vacate his or her award under R.I. Gen. Laws §
Second, an arbitrator exceeds his or her authority in interpreting the agreement "in . . . a way that contravenes state law or other public policies that are not subject to alteration by arbitration." R.I. Brotherhood of Correctional Officers, 707 A.2d at 1234. In such case, the court will not "apply the more deferential standard accorded to an arbitrator's interpretation of a . . . [collective bargaining agreement] on its merits," but will "decide the question of arbitrability de novo." Id.
Finally, "an arbitrator is powerless to arbitrate that which is not arbitrable in the first place." Id.; see, e.g., Statev. R.I. Alliance of Soc. Servs. Employees, Local 580, SEIU,
A party asserting that the arbitrator has exceeded his or her authority bears the burden of proving this contention. CoventryTeachers' Alliance v. Coventry Sch. Comm.,
A court may not vacate an arbitration award for a mistake of law, Belanger v. Matteson,
In reviewing an arbitration award, the court "must determine whether the arbitrator has resolved a grievance by considering the proper sources, such as the contract in effect between the parties," Turco, 574 A.2d at 146, "and the circumstances out of which come the so-called common law of the shop." R.I. Council94, AFSCME, AFL-CIO, 714 A.2d at 589. It should not ascertain if the arbitrator has resolved the grievance correctly. Jacinto, 120 R.I. at 912, 391 A.2d at 1176.
Plaintiff argues that this Court should vacate the arbitrator's award on the grounds that the Arbitrator exceeded his powers because the dispute was not arbitrable. Plaintiff further argues that submission of this dispute to arbitration constituted an usurpation of the DOC and its director's statutory authority under R.I. Gen. Laws §
Defendant, however, moves this Court to confirm the arbitrator's award, arguing that the dispute was arbitrable because it constitutes a "grievance" under the terms of the CBA. Furthermore, Defendant claims that the award does not interfere with the director's nondelegable powers because the director does not possess unfettered discretion; rather, the director's discretion is constrained by institutional and public safety objectives.
This Court finds that whether the DOC director may refuse to fill certain posts on an overtime basis does not constitute an arbitrable issue and, therefore, the Arbitrator exceeded his powers in deciding an issue that was not arbitrable ab initio. Arbitrability constitutes a question of law for the court. Elkouri Elkouri, How Arbitration Works 300 (5th ed. 1997);Rhode Island Council 94, AFSCME, AFL-CIO, 714 A.2d at 588 n. 2. Furthermore, parties may raise the question of arbitrability at any time. Woonsocket Teachers' Guild, Local 951 v. WoonsocketSch. Comm.,
It is well-settled that "powers and responsibilities assigned to governmental employers by state law may not be negotiated away and are not arbitrable." Town of West Warwick v. Local 2045,Council 94,
In other cases, requirements of state law that are not arbitrable consist of actions taken pursuant to a general statutory grant of power. See Pawtucket Sch. Comm., 652 A.2d at 971-72. For instance, where by statute, the school committee bore responsibility for the management of schools; the implementation of laws, regulations, and school policies, programs, and directives; and the provision of programs for children with limited-English proficiency, the English as a Second Language Program Director's requirement that teachers submit copies of their lesson plans was not arbitrable. Id. at 972. In so holding, the court stated, "evaluating ESL programs and determining whether they conform with state law and the rules and regulations promulgated by the Board of Regents . . . are requirements of state law and cannot be submitted to arbitration." Id.
Similarly, in Vose v. R.I. Brotherhood of CorrectionalOfficers, 587 A.2d at 913-14, the court examined whether, pursuant to his powers under R.I. Gen. Laws §
Turning to the case at bar, this Court notes that the DOC director is assigned certain powers and responsibilities by statute. In particular, "[t]he director of the department of corrections shall . . . [m]aintain security, safety, and order at all state correctional facilities." R.I. Gen. Laws §
This Court further finds that the Arbitrator's award indirectly conflicts with state law by interfering with the DOC director's nondelegable duty to maintain security, safety, and order at all state correctional facilities and, in effect, usurps the director's statutory authority. Arbitration awards that directly conflict with state law are unenforceable and will be vacated.See R.I. Alliance of Soc. Servs. Employees, Local 580, SEIU, 747 A.2d at 468-69 (stating that "[a]n arbitrator cannot resolve a labor dispute by issuing a ruling that would conflict with . . . the . . . legal obligations of a department of state government" and that statutory obligations "cannot be negated by an arbitrator who purports to do so through . . . ``contract interpretation'"). Accordingly, where a state statute prohibited the inclusion of paid-sick-leave time as hours worked for purposes of computing a state employee's entitlement to overtime compensation, and a state department changed its past practice to conform with this law, the issue was not arbitrable and the trial court's vacation of an arbitration award upholding the grievance was proper. Id. at 468. See also Woonsocket Teachers'Guild, Local 951, AFT, 770 A.2d at 836, 838 (vacating the arbitrator's award when a union grieved a school principal's order that a nurse administer medication to a student in a special education program where by law, special education children had to be provided with school health services).
Like arbitration awards that directly conflict with state law, arbitration awards that indirectly conflict with state law by interfering with nondelegable duties and/or effectively usurping the statutory authority given to a municipality will be vacated as well. See State, Dep't of Mental Health, Retardation, andHosps., 692 A.2d at 323-25; see also R.I. Alliance of Soc.Servs. Employees, Local 580, SEIU, 747 A.2d at 468 (stating that "[a]n arbitrator cannot resolve a labor dispute by issuing a ruling that would . . . compromise the statutory authority or legal obligations of a department of state government"). For instance, in State, Dep't of Mental Health, Retardation, andHosps., the union grieved the Department of Mental Health, Retardation, and Hospitals' policy that public healthcare employees could generally work no more than two consecutive eight-hour shifts on overtime. 692 A.2d at 319. By statute, the department had to "take all necessary steps to promote the health of the inmates, prisoners, patients, and pupils" and to provide for the care of same. Id. The court held that "the department's power to establish a maximum-consecutive-work-hours cap . . . was not properly arbitrable because it conflicts with the nondelegable managerial duties of the department and its director." Id. at 319. In other words, "neither the department nor its director is empowered to delegate to arbitrators the department's statutory obligation to take all steps necessary to provide for the health and welfare of these patients." Id. at 324. Furthermore, "the submission of such a dispute to arbitration constituted a[n] usurpation of the exclusive statutory authority of the department and its director." Id. at 321-22.
Moreover, an arbitrator cannot, via his or her award, substitute his or her judgment for that of a governmental employer where said employer acted pursuant to a broad statutory grant of nondelegable authority. See State of Rhode IslandDepartment of Corrections v. R.I. Brotherhood of CorrectionalOfficers,
As in State, Dep't of Mental Health, Retardation, and Hosps.,
Moreover, the Arbitrator, via his award, substituted his judgment concerning what constitutes proper security for that of the DOC director. See State of Rhode Island Department ofCorrections v. R.I. Brotherhood of Correctional Officers,
II. The Arbitrator's Award
Even if this dispute were arbitrable, this Court would still be required to vacate the arbitration award under R.I. Gen. Laws §
"[t]he Brotherhood recognizes that except as limited, abridged, or relinquished by the terms and provisions of this Agreement, the right to manage, direct, or supervise the operations of the State and the employees is vested solely in the State.
For example, the employer shall have the exclusive right, subject to the provisions of this Agreement and consistent with applicable laws and regulations:
A. To direct employees in the performance of official duties;
B. To hire, promote, transfer, assign, and retain employees in positions within the bargaining unit, and to suspend, demote, discharge or take other disciplinary action against such employees;
C. To maintain the efficiency of the operations entrusted to it;
D. To determine the methods, means, and personnel by which such operations are to be conducted;
E. To relieve employees from duties because of lack of work or for other legitimate reasons;
F. To take whatever actions may be necessary to carry out its mission in emergency situations, i.e.; an unforeseen circumstance or a combination of circumstances which calls for immediate action in a situation which is not expected to be of recurring nature."
Moreover, CBA Art. 9.1, entitled "Creations and Abolishment of Posts," states in pertinent part:
"the authority to create and abolish posts in all facilities of the Correctional Institution rests fully and solely within the discretion of the Director of Corrections. . . . [T]he Director of Corrections or his designee shall determine that sufficient officers are available for proper security and operation on all shifts at all facilities."
In his Opinion and Award, the Arbitrator found that Art. 9.1 limits the director's broad grant of power under Art. 4.1.Opinion and Award at 17. The Arbitrator correctly concluded that the director, under Art. 9.1, decides what constitutes "proper security." Id. However, he then further decided that "the Director's discretion on the issue of security is exercised by the creation and abolishment of posts" and "[o]nce . . . [the director's] creation and abolishment of posts is completed, it fixes the level of security which is ``proper' (at least until Director reexamines his decision)." Id. He concluded that in hiring the NIC to decide which posts could be abolished without compromising security, the DOC was exercising its power to create and abolish posts, and that the DOC was then obligated to fill those posts that the NIC did not recommend for abolishment. Id.
This Court finds that the Arbitrator reached a completely irrational result, manifestly disregarded a contractual provision, disregarded clear-cut contractual language, and attributed to the CBA language a meaning other than that which is plainly expressed. This Court additionally finds that provisions C, D, and E of Art. 4.1, by their plain meaning, all provide Plaintiff with a basis to decline to fill certain posts on an overtime basis. Specifically, these provisions allow the director to maintain the efficiency of the correctional facilities, to determine the personnel by which such operations are to be conducted, and to relieve employees from duties because of lack of work or for other legitimate reasons.
Furthermore, this Court finds that Art. 9.1 does not limit the DOC director's authority under Art. 4.1 to decline to fill certain posts on an overtime basis. Rather, Art. 9.1 confirms the director's authority to do so by giving him the exclusive right to establish new posts and eliminate existing posts, and by providing that he or his designee shall decide that enough correctional officers are present to provide proper security and operation. Moreover, Plaintiff pointedly states, and this Court agrees that, "[i]t would be straining logic to believe that the parties chose to define proper security on the basis [of] the language used in Article 9" especially considering that "this grievance was already pending at the time negotiations were being conducted for the 1994-1996 CBA and no change in the language resulted." Plaintiff's Brief at 8. Finally, even if this Court were to find that Art. 9.1 requires a certain level of security, Defendant has presented insufficient evidence to prove that fewer than enough correctional officers were present so as to constitute a breach of the provision.9 Accordingly, this Court grants Plaintiff's motion to vacate the arbitration award.10
Prevailing counsel shall present an appropriate order.
"1. The parties shall calculate the number of authorized posts on each shift at each security which were not filled on an overtime basis from February 1991 to the present. The number of posts shall be multiplied by the number of hours for that post assignment.
2. The parties shall calculate the total number of overtime hours worked by all Correctional Officers on each shift during the calculation year.
3. The parties shall calculate the percentage of the total overtime which each Correctional Officer has worked during the calculation year.
4. Each Correctional Officer shall be entitled to compensation at their respective overtime rate for his/her percentage of the total number of hours of unfilled authorized posts on his/her assigned shift during the calculation year." Supplementary Award at 2.
"[i]n addition to exercising the powers and performing the duties which are otherwise given him by law, the director of the department of corrections shall . . . [m]ake and promulgate necessary rules and regulations incident to the exercise of his or her powers and the performance of his or her duties including, but not limited to rules and regulations regarding nutrition, sanitation, safety, discipline, recreation, religious services, communication, and visiting privileges, classification, education, training, employment, care, and custody for all persons committed to correctional facilities."
(5) Manage, direct, and supervise the operations of the department;
(6) Direct employees in the performance of their official duties; . . .
(7) Hire, promote, transfer, assign, and retain employees and suspend, demote, discharge, or take other necessary disciplinary action;
(8) Maintain the efficiency of the operations of the department;
(9) Determine the methods, means, and personnel by which those operations of the department are to be conducted; . . .
(10) Relieve employees from duties because of lack of work or for other legitimate reasons; . . .
(22) Make and promulgate necessary rules and regulations incident to the exercise of his or her powers and the performance of his or her duties, including, but not limited to, rules and regulations regarding nutrition, sanitation, safety, discipline, recreation, religious services, communication, and visiting privileges, classification, education, training, employment, care, and custody for all persons committed to correctional facilities."
Belanger v. Matteson , 115 R.I. 332 ( 1975 )
Town of West Warwick v. LOCAL 2045, COUNCIL 94 , 1998 R.I. LEXIS 120 ( 1998 )
Burns v. Segerson , 122 R.I. 123 ( 1979 )
State v. Rhode Island Alliance of Social Services Employees,... , 2000 R.I. LEXIS 58 ( 2000 )
RI Council 94, Afscme, Afl-Cio v. State , 1998 R.I. LEXIS 223 ( 1998 )
State, Department of Mental Health, Retardation, & ... , 1997 R.I. LEXIS 115 ( 1997 )
Jacinto v. Egan , 120 R.I. 907 ( 1978 )
State Department of Corrections v. Rhode Island Brotherhood ... , 1999 R.I. LEXIS 50 ( 1999 )
Pawtucket School Committee v. Pawtucket Teachers' Alliance, ... , 1995 R.I. LEXIS 16 ( 1995 )
Rhode Island Brotherhood of Correctional Officers v. State ... , 1998 R.I. LEXIS 5 ( 1998 )
Vose v. Broth. of Correctional Officers , 587 A.2d 913 ( 1991 )
Woonsocket Teachers' Guild, Local 951 v. Woonsocket School ... , 2001 R.I. LEXIS 122 ( 2001 )
Coventry Teachers' Alliance v. Coventry School Committee , 1980 R.I. LEXIS 1721 ( 1980 )
Providence Teachers Union v. Providence School Committee , 1982 R.I. LEXIS 785 ( 1982 )