Lead Opinion
Opinion
The dispositive issue of this appeal is whether the award of the arbitrator reinstating the grievant, Leoni Spence, who is an employee of the plaintiff, Burr Road Operating Company II, LLC, operating
The plaintiff terminated the employment of the griev-ant. The defendant took the termination to arbitration. The arbitrator found that there was just cause only to suspend the grievant for one month, not to discharge her. Accordingly, the arbitrator ordered that she be reinstated with back pay and lost benefits, less the one month period during which she was suspended from work, and that she be issued a final warning. The plaintiff filed with the trial court an application to vacate the award, and the defendant filed a cross application to confirm the award. The court denied the application to vacate the award, granted the cross application to confirm the award and rendered judgment accordingly. This appeal by the plaintiff followed.
The plaintiff claims that the court improperly denied the application to vacate and granted the cross application to confirm for two reasons: (1) the award violates public policy, and (2) the arbitrator exceeded his authority. We agree with the plaintiffs first claim. Therefore, it is not necessary to reach its second claim.
The arbitrator was asked to answer two questions on the basis of the collective bargaining agreement between the plaintiff and the defendant: “Was [the griev-ant’s employment] terminated for just cause? If not, what shall the remedy be?” After a hearing, the arbitrator found the following facts.
The plaintiff is a 120 bed, skilled nursing facility located in Westport. The grievant was employed there
The events leading to the termination of the grievant’s employment occurred between March 20 and 24, 2010. Prior to that time, the grievant had received a number of disciplinary actions that remained as part of her personnel file. In 2005, her employment was terminated after she improperly restrained a resident by using a bedsheet to tie him into his wheelchair. That termination was reduced to a suspension and final warning by agreement between the plaintiff and the defendant. Because that disciplinary action resulted from an incident of patient abuse, that suspension and final warning properly was retained in the grievant’s personnel file indefinitely.
The incident that led to the termination of the griev-ant’s employment occurred between March 20 and 24, 2010. The grievant worked the night shift from 11 p.m. on Saturday, March 20, until 7 a.m. on Sunday, March 21. She was assigned to work on the “Riverside Unit,”
From what the grievant had overheard, her sense was that “[i]t could have been abuse, but I was not sure.” She knew that Muizulles was involved and that a patient had been crying. Before her shift ended, the grievant went over to Woodside “to snoop” around to see who was crying. The residents were all asleep, however, and no one was crying.
The grievant next worked from 11 p.m. on Sunday to 7 a.m. on Monday, again with Muizulles as the shift supervisor. She then worked again on the Monday night to Tuesday morning shift, this time on Woodside. During that shift, she spoke to a resident, CJ, who told her that, on the previous Saturday night, Muizulles had been somewhat rough as she helped CJ in getting her legs up onto her bed, had spoken gruffly to CJ and had turned down the television without asking CJ’s permission. CJ’s roommate confirmed that this had upset CJ,
The grievant went home, and then telephoned in to speak with the social worker at the facility to report what CJ had told her. The social worker was not in, but the grievant left a message in the social worker’s voice mail box, and during the course of the day she left three separate, lengthy recorded messages for the social worker, reporting what C J had told her and urging the social worker to talk to CJ in order to hear CJ’s concerns directly from CJ.
The arbitrator also found that the plaintiff carried out a very thorough investigation of the possibility of patient abuse by Muizulles in her treatment of CJ. The ultimate conclusion was that Muizulles had acted insensitively toward CJ, but that the insensitivity had not risen to the level of abuse or neglect. Given Muizulles’ twenty years of employment with the plaintiff with no prior discipline on her record, the plaintiff gave her a five day suspension and final warning. It was during that investigation regarding Muizulles’ conduct that the plaintiff obtained the information that led it to conclude that three other staff members—Johnson, the assistant director of musing, and the grievant—had failed to fulfill their obligation promptly to report possible abuse by Muizulles. Johnson was issued a final warning and a two day suspension for failing to report a complaint made by a resident regarding possible abuse by another staff member. The assistant director of nursing was suspended because, once she was informed by the
Regarding the grievant, the plaintiff reached the following conclusions: “[The grievant] had a final warning in her employee file and termination was appropriate. [She] stated that she was concerned about overhearing another employee discuss a resident who was crying after receiving assistance from another employee. Although [the grievant] stated she overheard this information, she did not report it until Tuesday, March 23, in which [she] left a voice message for the social worker. According to [the grievant], what she heard on Saturday, March 20, bothered her to the point where she felt she needed to go to the other side [Woodside] to investigate however, towards the end of the shift and the resident was found sleeping at that time. [The grievant] worked the 11-7 shift on Monday, March 22 and was assigned to the unit of the resident in question. [The grievant] states that the resident told her what happened on [Saturday] and [the grievant] stated that she told the resident that it was not right. . . . Given this course of events, it would appear that the grievant failed to report an allegation of abuse timely.”
The arbitrator found further that all employees, including the grievant, “are trained that whenever they have information that resident abuse may have occurred, from wherever tha[t] information may have come, they must report to a nursing supervisor or higher authority. Frankly, to suggest otherwise flies in the face of why reporting is required, to maximize the protection that can be given to residents to avoid the risk of occurrences or re-occurrences of possibly abusive behaviors.” (Emphasis in original.) The arbitrator continued: “The testimony of the management witnesses, the norms in the training of [certified nursing assistants], and simple common sense confirm that the grievant knew she had an obligation to report in a timely manner, given what she had overheard on the night of March 20, 21, even though she did not personally observe Mui-zulles’ questionable behaviors.” The arbitrator noted further that, because it was the night shift supervisor, Muizulles, who may have committed the abuse, the grievant was required to report to someone other than Muizulles in the proper line of authority. The grievant had other suitable options available to her, however,
The arbitrator stated that “[q]uite clearly . . . the grievant was guilty of the offense of failing to timely report to a nursing supervisor (or higher authority) the information that had come into her possession on March 20, which information suggested to the grievant that another staff member may have committed resident abuse. The remaining question is whether that misconduct provided the [plaintiff] with just cause to terminate the grievant’s employment.”
In answering this question, the arbitrator deemed “fair arguments in support of the requirement of immediate reporting” that “a delay in reporting is almost as bad as not reporting at all. The [plaintiff] notes that it is under a clear, statutory obligation to report immediately to the state regulatory body whenever there has been an event of possible resident abuse. That obligation only can be fulfilled if employees report in a timely manner. Moreover, and more fundamentally, any delay in reporting by a staff member leaves the residents at risk of possible further abuse by the alleged perpetrator; corrective action by [the plaintiff] to assure resident well-being inevitably is delayed if reporting by staff is delayed.”
Nonetheless, the arbitrator concluded that it was “an important mitigating fact that the grievant was the one who actually came forward, although belatedly, and made the [plaintiff] aware of the problem. If the grievant had not come forward on March 23, it is quite likely
The arbitrator also reasoned that the plaintiff should “not want to create a huge disincentive to reporting, if and when an employee for whatever reason has hesitated or delayed in reporting possible resident abuse. If the disciplinary approach is, once you have delayed you will be terminated even if you then make a belated report, then that creates a perverse incentive to never report. The belated reporter ends up being fired as the direct consequence of not coming forward.”
Thus, the arbitrator stated as follows: “The grievant did fail to make a timely report of what she had learned on March 20. She knew the rule that she had to report, and to do so without delay. She failed to fulfill that responsibility in a timely manner. And, she had a poor disciplinary record, so that placed her in a worse position than the other staff members involved in the March, 2010 incident involving CJ. On the other hand, there is the significant mitigating factor that it was the grievant, not the others, who did come forward and report to the
The plaintiff claims that the arbitrator’s award must be vacated because it violates “the strong public policy of protecting residents in skilled nursing facilities, including the public policy of promptly and properly reporting patient abuse in such facilities.” More specifically, the plaintiff argues that the award violates this public policy “by defacto prohibiting the discharge of any employee who reports abuse, no matter how late or improperly, as long as the employee eventually reports the abuse, and by ordering the reinstatement of the particular employee in this case, who has definitively demonstrated an unwillingness or inability to meet her obligations to ensure resident safety.” (Emphasis in original.) We agree that the award violates the strong public policy of protecting residents of skilled nursing facilities from abuse.
We first address our scope of review regarding the plaintiffs claim. Ordinarily, where there is a consensual, unrestricted submission to arbitration,
We agree with the plaintiff that Connecticut has a clear, well-defined and dominant public policy of protecting patients in facilities, such as those of the plaintiff, from abuse, and that this policy includes the prompt reporting of any incident of suspected abuse. Our statutory patients’ bill of rights; General Statutes §§ 19a-550 and 19a-550a; provides that any patient of a “nursing home facility”; General Statutes § 19a-550a (a) (1); shall be “free from mental and physical abuse . . . .” General Statutes § 19a-550 (8); see also State v. New England Health Care Employees Union,
Furthermore, this policy includes the prompt reporting of any incident of suspected abuse. Generally speaking, all employees of such facilities who have reasonable cause to suspect abuse of a patient are required by General Statutes § 17b-451,
The obvious purpose of these provisions is to protect from abuse those among us who are most vulnerable and most dependent for their well-being on their institutional caregivers. And the equally obvious purpose of the concomitant prompt and proper reporting requirement is to ensure that incidents of possible abuse are quickly addressed by the responsible institutional actors, so that they do not leave time for their continuation or repetition before serious consequences ensue to the abused resident.
We also conclude that the plaintiffs claim of a violation of this policy has a colorable and legitimate basis.
Applying that review, we conclude that the award violates that public policy. We do so because of a confluence of factors arising under the facts and circumstances of the case. The grievant had a prior incident of patient abuse dating from 2005, which resulted in a final warning. Then, in April, 2009, she received a written warning for an incident that involved, in part, speaking rudely, loudly and in a scolding manner to a resident, and in August, 2009, she received a second final warning for behaving disrespectfully and inappropriately toward a resident. Finally, in the present incident, in March, 2010, despite being fully aware of her obligation promptly to report through proper channels her suspicions of patient abuse, and despite being aware that she was subject to two final warnings, the grievant did not report the suspected abuse until several days later, and then not through the proper channels.
Our conclusion in this respect is consistent with the similar result reached by the Illinois Appellate Court in the case of Illinois Nurses Assn. v. Board of Trustees of University of Illinois,
Thus, we reject the defendant’s claim that “[t]his case involves nothing more than a garden variety employee discharge grievance in which the employer is unhappy with the bargained for final and binding arbitrator’s award,” and, therefore, the usual deferential scope of review should apply.
We agree that the public policy cited does not require the “unreviewable” discharge of an employee who has not complied with her duty promptly to report suspected abuse. We disagree, however, with the suggestion that concluding that this discharge violates the cited public policy means that any such discharge would be unreviewable. That simply is not the case. Any such discharge would certainly be reviewable by the courts, pursuant to our de novo review, and each would be decided on the basis of its particular facts and circumstances, as we have done in the present case.
We also reject the defendant’s suggestion that there is no such explicit policy requiring the reinstatement of any employee who has at any time failed even once promptly to report suspected patient abuse and, therefore, this award must be upheld. We do not suggest that there is such a policy. Instead, the policy is as we have stated previously, and its application to the particular facts and circumstances of the present case requires the vacating of the award reinstating this employee, with a history of inability to comply with the policy and two prior final warnings. Indeed, those facts and circumstances show that the employer did not discharge the other employees precisely because their records were clear of any indication of such a history.
We also disagree with the defendant’s reliance on State v. New England Health Care Employees Union, supra,
In New England Health Care Employees Union, the court stated: “To conclude that the arbitrator’s decision and award violated the public policy of protecting persons in the custody of the department from abuse, the court would have had to conclude that, if a single instance of deliberate conduct results in any injury to a client, no matter how inadvertent or minor, the conduct is grounds for termination, per se. We agree with the union that such a rule is not required to advance the public policy of protecting clients from mistreatment. Rather, an arbitrator reasonably may consider circumstances such as the length of employment, previous instances of harmful conduct by the employee, and the circumstances and severity of the misconduct under review in determining the likelihood of future misconduct and whether discipline less severe than termination would constitute a sufficient punishment and deterrent.” Id., 138-39.
In the present case, by contrast, it was not a single case of misconduct that led to the dismissal. There was a history of three incidents of similar misconduct, including two prior final warnings, within a period of five years. In addition, the grievant’s failure to report promptly was exacerbated by her failure to report through proper channels, thus increasing the risk that the suspected abuse would not be communicated promptly to the proper persons.
Further, we disagree with the defendant’s argument that the award does not violate the public policy
Finally, we turn to the contention of the dissent that our conclusion “has the unfortunate result of diminishing this court’s respect for and deference to the private arbitration process, and . . . also results in an expansion of the public policy exception from its intended narrow application in these circumstances.” We disagree.
First, to the extent that the dissent contends that the arbitrator’s conclusion of no just cause for termination is entitled to the usual deference to the private arbitration process, the contention misapplies the public policy exception. As we have explained, our law is clear that, once the party challenging an arbitrator’s award on the ground of the public policy exception has established that the challenge has a legitimate, colorable basis, any such deference disappears and the question of termination becomes one for our de novo determination. That is why it is characterized as the “public policy
We also reject the dissent’s contention that “[t]aken to its logical conclusion, the majority sets forth a rule that requires an employer to terminate the employment of any employee who does not report a suspicion of elder abuse immediately, without consideration of any mitigating factors or whether the employer itself would be in violation of any public policy.” Of course, any decision of a court, taken to its logical conclusion, might result in an unwise policy. That is precisely why we have been careful to articulate that our decision does not apply to any such employee. This is, instead, a case of an employee who had a history of three incidents of similar misconduct within five years, including two prior final warnings, who exacerbated her misconduct by failing to report through proper channels, thus increasing the risk that the suspected abuse would not be addressed properly and promptly.
The remainder of the dissenting opinion focuses on the purported violation of the grievant’s due process rights. In our view, the dissent’s reading of the record
During the plaintiffs investigation of Muizulles’ conduct, the plaintiff discovered the grievant’s, as well as Johnson’s and the assistant director of nursing’s, failure to report Muizulles’ suspected abuse promptly and through proper channels. That investigation also disclosed that, in the course of the grievant’s three lengthy telephone messages for the social worker, again in the language of the arbitrator, “the grievant included some comments which the [plaintiff] interpreted as showing that the grievant (and other staff members) prior to March 20 had been aware of other instances of possible patient abuse by . . . Muizulles, but neither the griev-ant nor anyone else had reported those prior instances.”
During the arbitration hearing, the plaintiff urged the arbitrator to take the grievant’s comments in those three telephone conversations into account as aggravating circumstances “above and beyond the grievant’s preexisting disciplinary record,” as showing that the griev-ant “had failed to report those situations at all” and, therefore, according to the plaintiff, the termination was for just cause. It was in this context that the arbitrator’s statements about the grievant’s due process rights arose.
The arbitrator squarely rejected this evidence and expressly gave it “no weight in assessing whether there was just cause to terminate . . . .” The explicit reason for this rejection was stated by the arbitrator: “[T]he [defendant] is correct that the [plaintiff] did nothing to further investigate in response to this information, which the [plaintiff] had learned from the grievant’s telephone messages to the social worker. The grievant never was told that the [plaintiff] was concerned about these comments she had made in her messages, and
This passage makes it clear that the evidence regarding whether the grievant’s purported due process rights were violated was expressly rejected by the arbitrator for precisely that reason and, therefore, played absolutely no part in the determination of whether the termination was for just cause. It was, instead, evidence of the grievant’s purported admissions in her three telephone messages to the social worker that the arbitrator refused to consider as aggravating factors against her. It did not contribute in any way to the arbitrator’s decision and, therefore, could not have harmed the grievant in any way. Indeed, it only entered this case on appeal as part of the plaintiff’s argument on its second claim, namely, that the arbitrator should have considered it and, therefore, exceeded his authority, a claim that, as we have said, we need not consider. See footnote 3 of this opinion.
Furthermore, the record is quite clear that, despite the plaintiffs failure independently to investigate the grievant’s—as opposed to Muizulles’—conduct, the grievant had her full opportunity to give her side of the story to the arbitrator, which she did. And the record is equally clear that on three occasions the arbitrator
The judgment is reversed and the case is remanded with direction to render judgment granting the plaintiffs application to vacate the award and denying the defendant’s cross application to confirm the award.
In this opinion DiPENTIMA, C. J., concurred.
Notes
Other disciplinary actions are removed from an employee’s personnel file after twelve months.
The arbitrator also noted that, in contrast to the thorough investigation of possible abuse by Muizulles, the plaintiff did not carry out a separate investigation of the possibility that the grievant had failed to make a timely report of possible patient abuse. Rather, the arbitrator found, the defendant terminated the grievant’s employment as a result of having relied on the information that had come to its attention in the course of the Muizulles investigation, without ever inviting the grievant to respond directly to the plaintiffs concerns about possible misconduct on her part. Nonetheless, this was not the basis of the arbitrator’s award reducing the grievant’s termination to a suspension. Indeed, the arbitrator specifically found, on the basis of the evidence presented to him, that, as we will discuss, the grievant failed to timely report to a nursing supervisor, or higher authority, that another staff member may have committed resident abuse. And the
The arbitrator rejected the plaintiffs claim that the content of the griev-ant’s telephone calls to the social worker indicated that the grievant had also been aware of prior instances of possibly abusive treatment of residents by Muizulles and had failed to report them. The reason for the arbitrator’s rejection of this claim was what he found to be the plaintiffs lack of any further investigation in response to this information that the plaintiff had learned from those calls. The arbitrator stated: “Given that absolute lack of any investigation regarding what the grievant may have intended to convey by her comments in the phone messages, the [plaintiff] cannot rely at arbitration upon an argument that the grievant in fact had knowledge of possible abuse prior to March 20, but made no report.” In this appeal, the plaintiff does not rely, in the context of its public policy argument, on the contents of those calls. We, therefore, do not consider them either. See also footnote 2 of this opinion.
The parties in the present case acknowledge that this was a consensual, unrestricted submission.
General Statutes § 17b-451 (a) provides in relevant part: “Any . . . registered nurse, any nursing home administrator, nurse’s aide or orderly in a nursing home facility, any person paid for caring for a patient in a musing
While the grievant reported the suspected abuse arguably within seventy-two hours, the time period contained in § 17b-451, we emphasize that her report, almost three full days from when she first heard the information, was made to the facility social worker, instead of the requisite nursing supervisor or higher authority, which would have allowed the plaintiff to comply with the statutory reporting policy. Thus, whether the grievant reported within the statutory seventy-two hour time period, she still failed to do so promptly and through the proper channels as required by the plaintiff. Further, our conclusion that the award violates public policy is based not solely on the grievant’s failure to report promptly but on her failure to do so through the proper channels and her past record of employee misconduct indicating her inability to meet the demands of the public policy of protection and reporting.
Indeed, the defendant argues that, so long as the arbitrator has considered a grievaxit’s prior disciplinary record—no matter how egregious—its ultimate conclusion of lack of just cause for termination must be afforded the traditional deference to an arbitrators’ fact-funding. This argument fails because it overlooks the necessary consequence of the public policy exception, namely, that once a colorable, legitimate basis for the public policy exception has been established—as it has been here—de novo review, not deferential
The grievant testified that, although she was aware of the August, 2009 written warning, she was unaware that it was a.final warning. The arbitrator found, however, that she received the actual document and that, as a union delegate, she would have read it with care and noted the “final” notations as having important significance.
The grievant also testified before the arbitrator that, before she went home at the end of her shift, she informed the charge nurse about the suspected abuse. The arbitrator expressly “discredit[ed] this testimony that the grievant reported to [the charge nurse] before the grievant went home at shift end.”
Finally, the grievant also testified at the arbitration hearing “that it was her belief . . . she could fulfill her reporting requirement by telling her charge nurse.” The arbitrator rejected this testimony because the grievant had also testified that the charge nurse on her unit “is not her supervisor; the supervisor is the registered nurse who is the designated shift supervisor. The training which the grievant had received regarding the reporting obligation was quite clear, that the report must go to the ‘nursing supervisor,’ or higher authority.” (Emphasis in original.)
Dissenting Opinion
dissenting. The grievant, Leoni Spence, an employee of the plaintiff, Burr Road Operating Company II, LLC, operating as Westport Health Care Center, and a member of the defendant, New England Health Care Employees Union, District 1199, had her employment terminated by the plaintiff after she reported to
The following facts are helpful to an understanding of the basis for my disagreement with the result reached by the majority. While on duty in the Riverside unit of the plaintiffs facility during the night shift, which began on Saturday, March 20, 2010, Spence, who is a certified nursing assistant, overheard two other employees, namely, a charge nurse who also was working in the Riverside unit, and another certified nursing assistant, who had been working in the Woodside unit, discussing a patient who had been crying, but the name of that patient was not mentioned. Spence discerned that the incident had occurred in the Woodside unit of the facility, and that Gay Muizulles, a registered nurse, who also was the shift supervisor, had been involved. Spence asked the other employees for more information, but they declined at that time. Spence was concerned that there might have been patient abuse, and she went over to the Woodside unit to investigate before the end of her shift. When she arrived at that unit, however, all of the residents were asleep. She did not report her
After her shift ended, on March 23, 2010, Spence telephoned a social worker at the facility and left several lengthy messages about the patient. Spence was the only employee to report this suspected abuse to any representative of the plaintiff, despite other employees, including a charge nurse, having knowledge of the events. After investigating Spence’s report, the plaintiff disciplined several of its employees.
The arbitrator determined that Spence was guilty of the offense of failing to report to a proper person, in a timely manner, the information that she had learned during her shift, which began on March 20, 2010. The arbitrator also determined that an important mitigating consideration in Spence’s favor was that Spence was the sole employee to make a report of the possible patient abuse. The arbitrator stated that the “hard question in this case” was whether that mitigating consideration was sufficient to require that the plaintiff impose on Spence some discipline short of termination, despite her prior disciplinary record.
The majority, despite the broad discretion provided to the arbitrator pursuant to the unrestricted submission, and our long-standing case law requiring respect
The trial court affirmed the arbitrator’s award. It noted that the public policy, on which the majority relies, did not apply to all of the actions of the arbitrator: “Given that a clear, dominant, well-defined public policy exists, the question is whether the award violates that public policy in ordering the reinstatement of an employee with a documented history in regard to patient abuse. There is no established dominant public policy against reinstating an employee who was terminated for failure to promptly report suspected abuse. Likewise, there is no dominant public policy against arbitrators considering mitigating facts under circumstances where the employee does have a record of prior abuse. As evidenced in State v. New England Health Care Employees Union, [
In New England Health Care Employees Union, our Supreme Court discussed and analyzed an incident where an employee deliberately shoved a patient and injured him, and it rejected any per se rule of automatic termination for a violation of the applicable public policy protecting clients of the then named department of mental retardation (department): “The arbitrator found that [the employee] had deliberately shoved [the client] 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.’ He further concluded: ‘From the arbitration awards, each involving the state and this union, I can only conclude that each case was decided on its own individual merits and that misconduct as serious as client abuse need not always provide just cause for an employee’s dismissal.’ The arbitrator determined that although [the employee] ‘could have and should have exercised better judgment . . . [i]t was because the patient was swinging his arms about in an agitated state that [the employee] reacted improperly by holding onto his arms and [shoving] him into a chair.’ In light of his factual
In New England Health Care Employees Union, the state argued that the trial court improperly granted the union’s application to confirm the arbitrator’s award ordering the employee’s reinstatement despite the arbitrator’s finding that the employee had abused a client, because there is a clear and dominant public policy, expressed in numerous statutes and regulations, requiring the department to provide its clients with an environment free from the risk of abuse by its employees. Id., 136-37. The union countered that the trial court properly confirmed the arbitrator’s award because it did not violate the explicit, well-defined and dominant public policy of this state as set forth in General Statutes § 17a-247c. Id. Our Supreme Court agreed with the union, and affirmed the arbitrator’s award, explaining its reasoning as follows: “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 [the employee] had not intended to harm the client and had never been disciplined for abusing
In view of our Supreme Court’s clear analysis of the proper application of public policy considerations in New England Health Care Employees Union, I cannot agree with the majority’s application of such public policy solely to reverse the arbitrator’s determination
The majority’s elevation of the general public policy relating to protection of patients from abuse results, in this case, in such public policy improperly and unnecessarily displacing our courts’ long-standing protection of the private arbitration process, which has been supported, respected and deferred to by our courts for decades. “This court has for many years wholeheartedly endorsed arbitration as an effective alternative method of settling disputes intended to avoid the formalities, delay, expense and vexation of ordinary litigation. . . . When arbitration is created by contract, we recognize that its autonomy can only be preserved by minimal judicial intervention. . . . Because the parties themselves, by virtue of the submission, frame the issues to be resolved and define the scope of the arbitrator’s powers, the parties are generally bound by the resulting award. . . . [Finally] [t]he party challenging the award bears the burden of producing evidence sufficient to invalidate or avoid it . . . .” (Citations omitted; internal quotation marks omitted.) O & G/O’Connell Joint Venture v. Chase Family Ltd. Partnership No. 3,
With respect to the public policy exception, “[a] two-step analysis . . . [is] often employed .... 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. . . . We note that [t]he party challenging the award bears the burden of proving that illegality or conflict with public policy is clearly demonstrated. . . . 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. ... 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. . . . Hartford v. Hartford Municipal Employees Assn., [
As set forth previously in this dissenting opinion, in contrast to the very thorough investigation of the possibility of resident abuse by Muizulles, the plaintiff carried out no separate investigation of the allegations against Spence, including the possibility that Spence had failed to make a timely report of possible patient abuse. Spence never was informed expressly that the plaintiff was at that point investigating her possible misconduct of failing to make a timely report of possible
After thoroughly weighing the claims of the parties, including the plaintiff’s complete failure to afford Spence notice of its claims and the opportunity for a pretermination presentation of her position in response
The majority, under the facts and circumstances of this case, applies the general public policy concerning protection of patients from abuse to reverse the arbitrator’s determination that a serious punishment less than termination of employment was appropriate under the specific circumstances of this case. As determined by the trial court, however, there is no established dominant public policy against an arbitrator who is acting pursuant to an unrestricted submission reinstating an employee whose employment was terminated for failure to report suspected abuse promptly. To conclude that the arbitrator’s award violated the public policy of protecting nursing home patients from abuse would be to conclude that an employee’s failure to report abuse timely is grounds for per se termination of employment, which is not our law. Additionally, the arbitrator did not violate any public policy by considering the mitigating
I thus cannot agree that it is proper for this court to apply any public policy exception to the arbitration award solely to increase Spence’s punishment from a one month suspension without pay to a termination of her employment, especially in light of the arbitrator’s thoughtful weighing of the factors to be considered in determining the award, including but not limited to the public policy relied on by the majority. See id., 138-39.
The majority’s general invocation of the public policy relating to protection of patients from abuse as set forth previously has the unfortunate result of diminishing this court’s respect for and deference to the private arbitration process, and it also results in an expansion of the public policy exception from its intended narrow application in these circumstances. Taken to its logical conclusion, the majority sets forth a rule that requires an employer to terminate the employment of any employee who does not report a suspicion of elder abuse immediately, without consideration of any mitigating factors or whether the employer itself would be in violation of any public policy. The implication of the majority position is that, in this case, the plaintiffs failure to terminate the employment of each of the employees who knew of the suspected abuse, but failed to report it, amounts also to a violation by the employer of the public policy against patient abuse. I thus conclude that the broad expansion of this narrow exception is unwarranted, and not in the interest of employers or employees in this health care sector. Therefore, I respectfully dissent.
Following its investigation, the plaintiff found that, although Muizulles had acted insensitively toward the resident in question, she had not abused or neglected the resident. Muizulles, who had no prior disciplinary record, was suspended for five days and given a final warning. The certified nursing assistant whom Spence had overheard discussing the incident with a charge nurse received a two day suspension and a final warning for failing to report it. The assistant director of nursing also was suspended because she failed to follow the proper notification procedure after the social worker informed her of these events. Finally, there is nothing in the record regarding any discipline administered to the charge nurse whom Spence overheard discussing the incident.
The general public policy against patient neglect, mistreatment or abuse that is relied on by the majority and was considered by the arbitrator is reflected in General Statutes § 17b-451 (a): “Any . . . registered nurse, any
This case has a subtext of the age old response of unfair punishment of the bearer of bad tidings. “[T]he notion of ‘shooting the messenger’ dates back to Sophocles and Shakespeare RHJ Medical Center, Inc. v. Dubois, 754 F. Sup. 2d 723, 764 and nn.41-42 (W.D. Pa. 2010), referencing Sophocles, Sophocles, Volume K. Antigone. The Women of Trachis. Philoc-tetes. Oedipus at Colonus (Hugh Lloyd-Jones trans., Loeb Classical Library 1994) (442 B.C.) (“[n]o one loves the messenger who brings bad news . . .” [internal quotation marks omitted]), and William Shakespeare, Anthony and Cleopatra, act 1, sc. 2 (“[t]he nature of bad news infects the teller . . .” [internal quotation marks omitted]), respectively.
Spence’s previous disciplinary record included: (1) a prior incident of patient abuse in 2005; (2) a written warning in April, 2009, for speaking in an inappropriate manner to a resident and for being insubordinate and disrespectful to Muizulles, her shift supervisor; and (3) a “2nd” and “final” written warning for addressing a resident in a disrespectful manner and for touching the resident without giving the resident an explanation of the procedure she was performing.
The issue stipulated by the parties for decision by the arbitrator was: “Was Leoni Spence terminated for just cause? If not, what shall the remedy be?” The award of the arbitrator in direct response to that stipulated issue was in relevant part as follows: “The [plaintiff] lacked just cause to terminate [Spence’s] employment. However, the [plaintiff] had just cause to suspend [Spence] without pay for a month and to issue her a final warning.”