237 Conn. 114 | Conn. | 1996
The principal issue in this appeal is whether an arbitration panel’s failure to comply with a regulation directing the panel to meet in executive session prior to issuing its unanimous arbitration award is an adequate ground pursuant to General Statutes § 52-418
The plaintiff, the metropolitan district commission, appeals, upon our grant of certification,
The facts relevant to this appeal are not in dispute. In January, 1985, the defendant, American Federation of State, County and Municipal Employees, Council 4, Local 184, filed a grievance on behalf of eleven employees of the plaintiff, requesting that the position of specialist on the night emergency crew be reclassified from labor grade five to labor grade seven. The defendant asserted that since its last classification, the specialist position had been assigned numerous additional duties, requiring additional skill and training and subjecting a person holding this position to increased risk of injury.
Pursuant to the collective bargaining agreement, the defendant submitted its request for reclassification to the plaintiffs personnel department. The plaintiff denied the defendant’s request and the defendant demanded arbitration according to the terms of the collective bargaining agreement. A hearing was held before a three person arbitration panel, which consisted
On July 19, 1990, the panel issued a unanimous decision in favor of the defendant. The panel concluded that the additional duties required to be performed by those employed as labor grade five specialists were significant enough to require a reclassification and directed the plaintiff to reclassify the position to labor grade seven.
The plaintiff petitioned the Superior Court to vacate the award, claiming that its rights had been prejudiced by the arbitration panel’s failure to hold an executive session pursuant to § 31-91-45 (a); see footnote 3; and, therefore, that the award should be vacated pursuant to § 52-418. No evidence of the nature of the claimed prejudice was presented to the trial court. The defendant moved for confirmation of the arbitration award pursuant to General Statutes § 52-417. The parties stipulated that the “three members of the arbitration panel . . . had no three-way discussions, either telephonically or in person, before the arbitration decision and award was issued.” After a hearing on the cross applications, the trial court determined that the arbitration panel, by failing to hold an executive session, had acted in violation of § 31-91-45 (a) and, therefore, vacated the award.
The defendant appealed to the Appellate Court, which concluded that there had been insufficient evidence before the trial court to support a finding that the plaintiff had been prejudiced by the arbitration panel’s failure to hold an executive session pursuant to § 31-91-45 (a) and, therefore, determined that the trial court
As the Appellate Court correctly noted, our courts have “wholeheartedly endorsed arbitration as an effective alternative method of settling disputes intended to avoid the formalities, delay, expense and vexation of ordinary litigation.” (Internal quotation marks omitted.) O & G/O’Connell Joint Venture v. Chase Family Ltd. Partnership No. 3, 203 Conn. 133, 145, 523 A.2d 1271 (1987). “Courts favor arbitration as a means of settling differences .... [I]ts autonomy requires a minimum of judicial intrusion.” (Citation omitted; internal quotation marks omitted.) AFSCME, AFL-CIO, Council 15 v. New Britain, 206 Conn. 465, 469, 538 A.2d 1022 (1988). Judicial review of consensual arbitral awards, therefore, is of limited scope. See Bodner v. United Services Automobile Assn., 222 Conn. 480, 501, 610 A.2d 1212 (1992) (authority to arbitrate generally carries with it power to decide, with finality, all issues of fact or law in proceedings); Hartford v. State Board of Mediation & Arbitration, 211 Conn. 7, 14, 557 A.2d 1236 (1989) (“ ‘when arbitration is consensual, rather than statutorily imposed, judicial review is limited in scope’ ”); Bruno v. Dept. of Consumer Protection, 190 Conn. 14, 18, 458 A.2d 685 (1983) (review limited because arbitration is creature of contract).
The scope of judicial review in an arbitration action is expressly limited by the terms of § 52-418. See footnote 1. In the absence of a showing of a violation of the statute, the courts should not interfere in the arbitral decision. Diamond Fertiliser & Chemical Corp. v. Commodities Trading International Corp., 211 Conn. 541, 546-47, 560 A.2d 419 (1989); O & G/O’Connell Joint Venturer. Chase Family Ltd. Partnership No. 3, supra,
The relevant portion of § 52-418 provides that the court shall vacate an award if it finds that the arbitrators have engaged in “any other action by which the rights of any party have been prejudiced.” The Appellate Court rested its decision on the fact that there was no evidence that the plaintiff had been prejudiced by the arbitration panel’s violation of § 31-91-45 (a). The plaintiff argues that the arbitration panel’s failure to follow the regulation to meet in executive session is per se prejudicial. The plaintiffs argument is essentially that the regulation is mandatory because it is substantive and, therefore, that we should presume that failure to comply with the regulation has prejudiced the plaintiff. We do not agree with the plaintiff that § 31-91-45 (a) is mandatory. Rather, we conclude that it is directory and, therefore, that in order to vacate an award under § 52-418 on the basis of failure to comply with § 31-91-45 (a), the plaintiff must show prejudice, which, in the present case, it has failed to do.
Well established principles of statutory construction govern our determination of whether a statutory or regulatory provision is mandatory or directory. See Smith v. Zoning Board of Appeals, 227 Conn. 71, 89,
We begin our analysis with the language of the regulation. Subsection (a) of § 31-91-45 provides in part that “panel members will meet in an executive panel session to decide the matter submitted.” (Emphasis added.) Although the use of “will” rather than “may” suggests that the regulation is intended to be more than permissive, it does not compel the conclusion that § 31-91-45
The more significant consideration in our determination of whether a provision is mandatory or directory is whether the mode of action prescribed is the essence of the thing to be accomplished, or is designed to secure order, system and dispatch in the proceedings. The obvious purpose of § 31-91-45 (a) is to ensure meaningful deliberation of the issues involved in a case. Although an executive session to discuss the issues presented is generally the most desirable and appropriate way to accomplish this purpose, we are not persuaded that it is essential in all circumstances in order fairly to resolve a case. We can envision circumstances, such as if the issues are few and uncomplicated and the panel members are in agreement, in which the requirement of a formal executive session would be of negligible benefit. We have long held that although regulations generally are to be strictly construed, it is important not to elevate form over substance. See Newman v. Newman, 235 Conn. 82, 98-99, 663 A.2d 980 (1995); State v. Day, 233 Conn. 813, 832, 661 A.2d 539 (1995); Commission on Human Rights & Opportu
In light of our conclusion that the regulation is directory, the plaintiffs claim that the panel’s failure to hold an executive panel session is “per se” prejudicial and, therefore, that the award should properly be vacated without regard to actual prejudice must fail. Broadriver, Inc. v. Stamford, 158 Conn. 522, 529, 265 A.2d 75 (1969), cert. denied, 398 U.S. 938, 90 S. Ct. 1841, 26 L. Ed. 2d 270 (1970). Under the limited scope of review set forth in § 52-418, the plaintiff bears the burden of demonstrating that it was prejudiced by the panel’s failure to deliberate in an executive session. O & G/O’Connell Joint Venture v. Chase Family Ltd. Partnership No. 3, supra, 203 Conn. 145-46.
The judgment of the Appellate Court is affirmed.
In this opinion the other justices concurred.
General Statutes § 52-418 provides in pertinent part: “(a) 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: (1) If the award has been procured by corruption, fraud or undue means; (2) if there has been evident partiality or corruption on the part of any arbitrator; (3) if the arbitrators have been guilty of misconduct in refusing to postpone the hearing upon sufficient cause shown or in refusing to hear evidence pertinent and material to the controversy or of any other action by which the rights of any party have been prejudiced; or (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.”
We certified the following issue: “Under the circumstances of this case, did the Appellate Court properly conclude that the arbitrators’ failure to comply with § 31-91-45 (a) of the Regulations of Connecticut State Agencies did not require that the arbitrators’ award be vacated?” Metropolitan District Commission v. AFSCME, Council 4, Local 184, 233 Conn. 904, 90-L-905, 657 A.2d 643 (1995).
Section 31-91-45 of the Regulations of Connecticut State Agencies provides: “Executive panel sessions; form of award
“(a) As promptly as possible after the date of the formal hearing and the receipt of the briefs, where the parties elect to submit briefs, the panel members will meet in an executive panel session to decide the matter submitted.
“(b) Oral awards shall be rendered upon mutual request of the parties. Whether or not an oral award has been rendered, an award shall be reduced to writing and signed by the members of the panel.
“(c) Decisions shall be made by majority vote of the panel members. A panel member may express his disapproval of the majority decision by adding the word ‘dissenting’ after his signature on the award, or, said panel member may also prepare a dissenting opinion which shall be sent to the board’s office and shall be made part of the award proper.”
Because we conclude that the regulation is directory, we do not decide whether the panel’s failure to comply with a mandatory regulation would be per se prejudicial.
In determining whether a provision is mandatory, it is also appropriate to consider whether there is language in the regulation that invalidates action taken in violation of the provision. See Katz v. Commissioner of Revenue Services, supra, 234 Conn. 617. Such language is absent in the present case.
Our conclusion is consistent with the dictum in O & G/O’Connett Joint Venture, in which we indicated that holding hearings or conducting deliberations in the absence of a member of an arbitration panel could warrant vacating an award. See O & G/O’Connell Joint Venture v. Chase Family Ltd. Partnership No. 3, supra, 203 Conn. 147, citing Continental Bank Supply Co. v. International Brotherhood of Bookbinders, 239 Mo. App. 1247, 1258, 201 S.W.2d 531 (1947). That suggestion was made in connection with a Missouri case in which a single arbitrator had signed the award and the other two members had never even considered the matter. Such factual