Lead Opinion
In this appeal, John- Umana, plaintiff-appellant, asks us to review an order of the Superior Court confirming an arbitral award in favor of one of the defendants-appellees, Swidler & Berlin, Chartered. Umana also asks us to review the trial court’s order that he arbitrate his still-pending claims against the other defendants-appellees, who are individual members of the Swidler firm. We hold that the entire appeal must be dismissed for want of jurisdiction because the trial court’s orders make clear that there has been no judgment on Umana’s claims against the individual firm members, which comprise part of this action.
I.
Umana sued Swidler and members of the firm (the firm members),
At oral argument, we raised sua sponte the issue of our jurisdiction to hear this appeal in light of the pending unresolved claims against the firm members.
II.
Although in several cases involving arbitration we have relied upon § 16^317 in noting our jurisdiction, we have never decided that the statute confers jurisdiction upon this court under the circumstances of the present appeal.
As mentioned above, Umana appeals the trial court’s orders 1) confirming the arbitration award in favor of Swidler and 2) compelling arbitration of Umana’s claims against the members. Most of the cases in which we cited § 16-4317 involved orders denying motions to compel arbitration, not an order compelling arbitration. See Benefits Communications Corp., supra note 7,
In those cases in which the appellant challenged the other type of order Umana appeals in the present case, confirmation of an award, the underlying judgment disposed of all claims as to all parties. See Haynes, supra note 8,
In sum, we have never held that § 16-4317 confers appellate jurisdiction under the circumstances of the present case where no judgment has been entered with respect to some of the parties in the action. Moreover, in none of the eases in which we have relied on § 16-4317 in addressing our jurisdiction did we decide whether that section was within the power of the Council to enact. “Questions which merely lurk in the record, neither brought to the attention of the court nor ruled upon, are not to be considered as having been so decided as to constitute precedents.” Webster v. Fall,
This court’s jurisdiction over appeals from the Superior Court extends to “final orders and judgments” and to certain interlocutory orders. D.C.Code § ll-721(a) (1995).
A decision confirming an arbitral award is, on the other hand, a final order, because for all practical purposes it signifies the end of the proceeding on the merits, unless the court decides otherwise. See Brandon, supra,
Thus, if we were to exercise jurisdiction to review the order confirming the arbi
In adopting the Uniform Arbitration Act, the Council altered the provisions for appeal as they were promulgated by the Commissioners on Uniform State Laws. The full text of § 16-4317 reflecting the emendations the Council made to section 19 of the Uniform Arbitration Act is shown below:
(a) [An appeal may be taken from] For purposes of writing an appeal, the following orders shall be deemed final:
(1) An order denying an application to compel arbitration made under Section [2] 16-4,302;
(2) An order granting an application to stay arbitration made under Section [2(b) ] 16-4302(b);
(3) An order confirming or denying confirmation of an award;
(4) An order modifying or correcting an award;
(5) An order vacating an award without directing a rehearing; [or
(6) A judgment or decree entered pursuant to the provisions of this act.]
(b) [The] An appeal from an order or judgment entered pursuant to this act shall be taken in the manner and to the same extent as from any other [orders or judgments in a] civil action.
Compare D.C.Code § 1641317 with UnifAr-bitration Act § 19, 7 U.L.A. 216-17 (1985).
Our reading of § 16-4317 as not abrogating the requirement that all claims be resolved as to all parties, at least where the order is one confirming an arbitral award, is consistent with the language of the statute. The term “final” used in § 16-4317 is not synonymous with “appealable.” In discussing the district court’s authority under Federal Rule of Civil Procedure 54(b)
The District Court cannot, in the exercise of its discretion, treat as “final” that which is not “final” within the meaning of [28 U.S.C.] § 1291. But the District Court may, by the exercise of its discretion in the interest of sound judicial administration, release for appeal final decisions upon one or more, but less than all, claims in multiple claims actions.
Sears, Roebuck & Co. v. Mackey,
Thus, merely because a decision is “final” does not necessarily mean that it is “released for appeal.” Instead, at least before promulgation of Federal Rule of Civil Procedure 54(b), to be appealable under § 1291, the decision had to be part of a single “judicial unit.” Id. at 431-32,
Our interpretation of the language § 16-4317 consistent with § 11-721 appears to be
The Council’s apparent solicitude for the limitations imposed by the Home Rule Act was not confined to § 16-4317. Section 17 of the Uniform Arbitration Act defines the term “court” and provides: “The making of an agreement [under the Act] providing for arbitration in this State confers jurisdiction on the court to enforce the agreement under this Act and to enter judgment on an award thereunder.” Unif. ARBITRATION Act § 17, 7 U.L.A. 211 (1985) (emphasis added). The Council omitted the latter provision entirely. See D.C.Code § 16-4316 (defining the term “court” as the Superior Court).
The legislative history of the bill that ultimately became the DCUAA shows that an entire Uniform Act was dropped from consideration because of concerns regarding the Council's authority. As originally proposed, the bill that contained the Uniform Arbitration Act also contained the provisions of the Uniform Enforcement of Foreign Judgments Act. Those provisions were stricken because the “committee concluded that [the summary enforcement] provisions may be beyond the scope of this Council’s legislative authority at this time.” Council of the District of Columbia, Committee on Judiciary and Criminal Law, Report on Bill No. 1-140, at 2 (Nov. 9, 1976). Hence, it is apparent that the Council was aware of the limitations on its authority when it considered and enacted the DCUAA
In view of the care with which the Council acted in the area of the courts’ jurisdiction, we should not construe § 16-4317 more expansively than is necessary to achieve the policies underlying the Act. The DCUAA was enacted to facilitate resolution of disputes through arbitration. Allowing immediate appeal of orders that frustrate arbitration furthers the goal of the DCUAA. Cf. Brandon, supra,
Interpreting § 16-4317 to permit this court to review an order confirming an arbitration award as to fewer than all the parties or claims is not only unnecessary to the purpose of the DCUAA but, by creating appellate jurisdiction where none existed previously, could possibly contravene the Home Rule Act and render the statute invalid.
Appeal dismissed.
Notes
. Umana originally named twelve individual members of Swidler & Berlin as defendants. Shortly after filing the complaint, Umana dismissed without prejudice his claims against one of the members, Joseph Swidler.
. The nature of the contract is a matter of dispute.
. It seems that out of an abundance of caution, Umana had filed a demand for arbitration with the American Arbitration Association at the same time that he commenced this civil action. The demand, however, named only Swidler as the respondent. It was apparently on the basis of Umana’s original demand that the arbitration ordered by the trial court was conducted.
. This court may raise lack of subject matter jurisdiction at any time. Customers Parking, Inc. v. District of Columbia,
. D.C.Code § 16-4317 provides:
(a) For purposes of writing an appeal, the following orders shall be deemed final:
(1) An order denying an application to compel arbitration made under Section 16-4302;
(2) An order granting an application to stay arbitration made under Section 16-4302(b);
(3) An order confirming or denying confirmation of an award;
(4) An order modifying or correcting an award;
(5) An order vacating an award without directing a rehearing.
(b) An appeal from an order or judgment entered pursuant to this chapter shall be taken in the manner and to the same extent as from any other order or judgment in a civil action.
. Section 602(a)(4) of the Home Rule Act provides that the Council has no authority to “[e]n-act any act ... with respect to any provision of Title 11 [of the District of Columbia Code] (relating to organization and jurisdiction of the District of Columbia courts).” D.C.Code § 1-233(a)(4) (1992).
. In fact, it appears that we have cited §16-4317 in nine cases in addressing our jurisdiction to review orders concerning arbitration. See, Benefits Communication Corp. v. Klieforth,
. In Hercules & Co.,
. This court has repeatedly held that dictum in a prior case is not binding precedent-under M.A.P. v. Ryan,
. D.C.Code § ll-721(a) provides in pertinent part:
The District of Columbia Court of Appeals has jurisdiction of appeals from—
(1) all final orders and judgments of the Superior Court of the District of Columbia;
(2) interlocutory orders of the Superior Court of the District of Columbia—
(A) granting, continuing, modifying, refusing, or dissolving or refusing to dissolve or modify injunctions;
. A division of this court has questioned the soundness of the holding in Brandon in light of subsequent developments in the federal case law relied upon in Brandon as persuasive authority. Hercules & Co. v. Shama Restaurant,
. Rule 54(b) provides:
When more than 1 claim for relief is presented in an action ... or when multiple parties are involved, the Court may direct the entry of a final judgment as to 1 or more but fewer than all of the claims or parties only upon an express determination that there is no just reason for delay and upon an express direction for the entry of judgment. In the absence of such determination and direction, any order or other form of decision, however designated, which adjudicates fewer than all the claims or the rights and liabilities of fewer than all the parties shall not terminate the action as to any of the claims or parties, and the order or other form of decision is subject to revision at any time before the entry of judgment adjudicating all the claims and the rights and liabilities of all the parties.
The trial court has not entered judgment on the order confirming the arbitral award between Umana and Swidler. Because it has not been raised by the parties in the trial court or before us, we do not address the effect of § 16-4313 of the DCUAA, which provides, "Upon granting of an order confirming ... an award, judgment or decree shall be entered in conformity therewith and be enforced as any other judgment or decree.” Cf. Middleby Corp. v. Hussmann Corp.,
. Federal Court Rule of Civil Procedure 54(b) is in all material respects identical to Superior Court Rule of Civil Procedure 54(b), supra note 13.
. It should be noted that because 28 U.S.C. § 1291 and D.C.Code § ll-721(a)(l) are similar, we look to federal court decisions under § 1291 for guidance. Employers Mut. Cas. Co. v. Keene Corp.,
. Were § 16-4317 to confer jurisdiction on this court, its validity would be doubtful under the Home Rule Act, D.C.Code § l-233(a)(4), supra note 7. That provision means that "the Council of the District of Columbia may not enlarge the congressionally prescribed limitations on our jurisdiction.” Jones & Artis Constr. Co. v. District of Columbia Contract Appeals Bd.,
Concurrence Opinion
concurring in the result:
The jurisdictional issue lurking in the shadows of this case is an extremely difficult one. On the one hand, D.C.Code § 16-4317 (1989), part of the Uniform Arbitration Act, appears to bestow jurisdiction on this court to consider Mr. Umana’s appeal.
This tension between the Arbitration Act and the Home Rule Act is a matter that this court has not previously addressed. I think the court eventually will have to consider it en banc. In the meantime I am persuaded, at least tentatively, that Judge Ruiz is on the right track in concluding that we lack jurisdiction of the instant appeal, and for that reason I join in voting to dismiss it. What happens next with this case remains to be seen. If it is reheard en banc, I would expect the Corporation Counsel, on behalf of the District of Columbia, to remain in the case as amicus curiae and to participate in any further briefing or oral argument.
. D.C.Code § 16-4317(a)(3) states that an order "confirming or denying confirmation” of an arbitration award "shall be deemed final," and D.C.Code § ll-721(a)(l) (1995) grants this court jurisdiction over “all final orders and judgments of the Superior Court....”
