Ronald E. Fayer v. Town of Middlebury, Edward St. John, First Selectman, and Eric Ianantuoni, Administrative AssistantRonald E. Fayer v. Town of Middlebury, Edward St. John, First Selectman, and Eric Ianantuoni, Administrative Assistant
Plaintiff Ronald E. Fayer brings this action pursuant to
BACKGROUND
Defendant Edward St. John, First Selectman of the Town of Middlebury, Connecticut, hired plaintiff Ronald E. Fayer on July 1, 1986, as a mechanic in the Town’s Vehicle Maintenance Deрartment. Fayer became a member of Teamsters Local Union No. 677, and in his capacity as mechanic he was covered by the Union’s collective bargaining agreement with the Town. The collective bargaining agreement provided, inter alia, that the Town had the right to discharge covered employees “for proper cause.” Moreover, the agreement further provided that employees “shall be free from discrimination, coercion or intimidation ... in all matters pertаining to Union activities or to Union membership.”
Fayer was promoted to the position of Chief Mechanic in 1988. At some point thereafter, he became a Union Steward. In March 1995, St. John appointed defendant Eric Ianantuoni to a position that included supervisory responsibilities over Fayer and the Vehicle Maintenance Department. Relations between Fayer and Ianantuoni were bad almost from the start. In November, Fayer and Ianantuo-ni had a conflict over the processing of а Union grievance. In March 1996, Fayer and Ianantuoni had a run-in over Fayer’s prioritization of work practices. Ianantuo-ni complained that Fayer was questioning Ianantuoni’s authority, and told Fayer that “the ice is getting very thin.” Moreover, Ianantuoni began in March 1996 to question Fayer about certain suspicious invoices charged to the Vehicle Maintenance Department. In particular, Ianantuoni’s questions focused on invoices for parts for an “86 Chevy Camaro,” a model that the Town did not own. Fаyer explained that he owned the automobile for which the parts had been ordered, and thus that the supplier had mistakenly invoiced the Town. Ianantuoni also questioned Fayer about a long-distance telephone call placed from the Department’s phone line to the Department of Environmental Protection, Oñ and Chemical Spill Response Division (“DEP”). The call had been placed on the same day that an anonymous caller reported the Town to the DEP for an oil spill. Iаnantuoni wrote to Fayer: “Perhaps someone can be man enough to take credit for his actions instead of sneaking around like a weasel.”
The SBMA held an arbitration hearing on August 9, 1996, and issued a decision in favor of Fayer аnd the Union on October 7, 1996. The arbitrators found that the “Town did not have just cause to terminate Ron Fayer,” and ordered that the termination be converted to a suspension without pay accompanied by the reinstatement of Fayer to his position as Chief Mechanic. The Union filed an application to confirm the arbitration award in Connecticut state court, and the award was confirmed by the Connecticut Superior Court on December 16,1996.
Despite the SBMA arbitrator’s determination, the Town did not reinstate Fayer. Instead, the Town Attorney requested an investigation by the Middlebury Police Department of the Vehicle Maintenance Department’s bookkeeping practices. The Police Department found three suspicious invoices from 1993 and 1994, totaling $93.14. Each invoice had been billed to Fayer but paid by the Vehicle Maintenance Department. In addition, the Police Department found approximately sixty invoices that could not be matched to work orders. Nonetheless, beсause of the age of the three problem invoices and the low monetary value involved, the Police Department decided not to proceed with a formal criminal investigation.
On December 11, 1996, the Town terminated Fayer’s employment a second time, citing the three problem invoices and the sixty invoices that could not be matched to work orders. In discharging Fayer, the Town agreed to pay him back wages from the date of the October 7 arbitration award through December 11.
The Union аgain filed grievances on Fayer’s behalf with the Town, and Fayer filed further unfair labor practice complaints with the State Board of Labor Relations. The Union charged that the plaintiff had been terminated without just cause; it did not raise the factual allegations that now underlie Fayer’s First Amendment claims. The Town denied the Union’s grievance, and the Union sought review under the SBMA arbitration process. At roughly the same time, counsel for the Union entered into a settlement of the unfair labor practices clаims Fayer had filed with the Board of Labor Relations. The settlement provided that the dispute between Fayer and the Town “would be adequately addressed by the make whole
The SBMA arbitration panel held hearings April 16 and June 5, 1997. The panel decided in favor of the Town, concluding that “[t]he Town had just cause to terminate the Grievant.” The Union then brought an action in Connecticut Superior Court to vacate the arbitration award. The Town moved to confirm, and on March 18, 1998, the Superior Court granted the Town’s motion, confirming the panel’s determination; the Connecticut Appellate Court affirmed the Superior Court judgment on April 4, 2000.
In the meantime, on October 2, 1998, after the Connecticut Superior Court’s confirmation of the arbitration decision in favor of the Town, Fayer brought this action in the United States District Court for the District of Connecticut, naming the Town, St. John, and Ianantuoni as defendants, and claiming violations of the First and Fourteenth Amendments in connection with his termination by the Town, as well as state law claims for intentional infliction of emotional distress and defamation. The Magistrate Judge granted summary judgmеnt to defendants, observing that
DISCUSSION
We begin by reviewing the lines of authority established by the Supreme Court dealing with the relationship between arbitration agreements and claims under federal law. The first line of cases concerns the preclusive effect of arbitrations conducted under collective bargaining agreements on subsequent litigation arising out of the same underlying facts. Beginning in 1974, with
Alexander v. Gardner-Denver Co.,
The second line of cases has dealt with the enforceability of individually executed predispute arbitration agreements on federal statutory and constitutional claims. In these cases, dealing not with arbitration clauses in collective bargaining agrеements but with employees’ own agreements to arbitrate specified disputes, the Court has adopted a more generous view of the extent to which arbitration agreements may waive the right to a federal forum in litigating federal statutory and constitutional claims. Thus, for example, in
Green Tree Financial Corp. v. Randolph,
In
Wright v. Universal Maritime Service Corporation,
As in
Wright,
the collective bargaining labor arbitration clause at issue here would not have been enforceable in the first instance to prevent Fayer from litigating his federal constitutional claims. The clause merely provides for arbitration of disputes “as to the interpretation and application of any clause or clauses in th[e] [Collective Bargaining] Agreement.”
3
This clause is even narrower than the arbitration clause that was at issue in
Wright,
which purported to extend to “all matters affecting wages, hours, and other terms and conditions of employment.”
Wright,
It follows from Wright that under the terms of the collective bargaining agreement between the Town and the Union, Fayer could not have been compelled to bring his federal constitutional claims to the labor arbitrators. Furthermore, Gardner-Denver teaches that the arbitration award prior to confirmation did not impair Fayer’s ability to pursue his constitutional claims. The next question is whether the Connecticut court’s confirmation of the award in favor of the Town, an award resulting from an arbitration in which Fayer’s constitutional сlaims were not presented, precludes his litigation of those claims in the federal courts.
The mandate of
In Connecticut, the doctrine of res judicata establishes that a prior judgment on a particular cause of action “is conclusive with respect to any claims relating to the cause of action which were actually made
or might have been made.” Corey v. Avco-Lycoming Div.,
Connecticut statutes set out a special narrow procedure for confirming, vacating, or modifying arbitration awards. Such proceedings are initiated by an application and heard at a “short calendar session ... in order to dispose of the ease with the least possible delay.”
These general principles of Connecticut preclusion law have been supplemented by a state statute designed to preserve employees’ rights to pursue causes of action arising under the state and fеderal constitutions or under a state statute. Section 31-51bb of the Connecticut General Statutes provides that
No employee shall be denied the right to pursue, in a court of competent jurisdiction, a cause of action arising under the state or federal constitution or under a state statute solely because the employee is covered by a collective bargaining agreement.
In light of Connecticut preclusion law principles, the limited jurisdiction of Connecticut courts hearing petitions to confirm or vacate arbitration awards, and the policy against arbitral preclusion evinced by Section 31-51bb and
Genovese,
we conclude that on the facts of this case Connecticut courts would not grant preclusive effect to the state court confirmation judgments so as to bar Fayer from litigating his federal First Amendment claims. Under Section 1738, we likewise will not give it such preclusive effect.
See Bottini v. Sadore Management Corp.,
In conclusion, under
Wright,
Fayer had no obligation to raise these federal claims in the arbitration mandated by the collective bargaining agreement. The Connecti
CONCLUSION
The judgment of the district court is vacated, and the case is remanded to the Magistrate Judge for further proceеdings.
Notes
. The collective bargaining agreement provided that:
In the event of a dispute between the Employer and the Union as to the interpretation and application of any clause or clauses in this Agreement, or any supplement thereto, either party may submit the matter for arbitration according to (i) below:
(i).... The Arbitrator shall be chosen through the auspices and under the rules of the Connecticut State Board of Mediation and Arbitration, and the proceedings shall be conducted under the rules and regulations of the State Board of Mediatiоn and Arbitration, and the cost thereof shall be borne equally by the parties.
.In this Circuit, we have reached the question left open by
Wright
and held that an arbitration clause in a union collective bargaining agreement is not enforceable against an individual employee's ADA and Family and Medical Leave Act claims.
See Rogers v. New York University,
. The arbitration clause may also be ambiguous as to whether it requires arbitration or merely permits arbitration, since it provides that "either party may submit [a] matter for arbitration" (emphasis added). We need not reach this issue here, since it is abundantly clear that the clause would be unenforceable as against federal statutory and constitutional claims under Wright.
. Section 1738 was not relevant in the
Gardner-Denver
type cases because "arbitration is not a judicial proceeding,' and, therefore,
. Nor could Fayer have joined his Section 1983 claims to the unfair labor practices complaints that he filed with the State Board of Labor Relations and that he later settled. The Board of Labor Relations may only hear claims of violations of the state’s labor relatiоns code.
See
. We do not mean to imply that the result necessarily would be different if Connecticut's