Lead Opinion
This case presents the question of whether the public policy of Connecticut demands no less than termination of employment as the only appropriate disciplinary response when a state employee is caught smoking marijuana during his working hours. The defendant,
The following facts and procedural history are relevant to this appeal. At the time of the incident in question, the grievant had been employed by the state for approximately fifteen years and had not been subject to any previous discipline. His performance evaluations had ranged from "satisfactory" to "excellent." On March 7, 2012, while working, as he had for the previous eleven years, the 4 p.m. to midnight shift as a "skilled maintainer"
Specifically, at about 5:50 p.m., a health center police officer observed the grievant and a coworker sitting in a state van parked in a secluded area of the health center campus, after the officer was apprised of a confidential informant's report that the grievant and his coworker were suspected of using marijuana at work. As the officer approached the van, he observed the grievant sitting in the passenger seat with the door open, smoking from a glass pipe. When the officer asked the grievant what he was doing, he initially responded that he was "just fucking off," but then acknowledged that he was smoking marijuana. He also surrendered two bags of marijuana that he had in his possession, which together weighed about three quarters of one ounce. The grievant was arrested and provided a statement to police in which he identified the individual from whom he had purchased the marijuana. The criminal charges against the grievant subsequently were dismissed.
On June 22, 2012, as a result of the foregoing incident, the plaintiff terminated the grievant's employment. In a letter of termination sent to the grievant, Karen Duffy Wallace, the plaintiff's director of labor relations, explained that the grievant had violated the health center's rules of conduct,
The defendant contested the grievant's termination and, on December 19, 2013, pursuant to a grievance procedure provision in the parties' collective bargaining agreement, an arbitration hearing was held to determine the issues of whether: (1) the dismissal of the grievant was for just cause; and (2) if not, what should be the remedy, consistent with the agreement. Wallace testified at the hearing, explaining that, when she decided to terminate the grievant's employment, she took into account the nature of the violation and the fact that the grievant was smoking marijuana in a state vehicle on state property, during the earlier part of his work shift. She explained further that a person in the grievant's position had keys and access to most of the health center campus, including the day care center, research laboratories and the hospital. In Wallace's view, a person such as the grievant could not be trusted to work independently on the evening shift.
The grievant testified in his defense. He explained, with some detail, how he had brought his marijuana to work inadvertently, and how, when he and his coworker were presented with about ten minutes of time "to kill" between working assignments, they decided to park in the secluded area where the police officer had discovered them. According to the grievant, when he realized that a glass pipe in his possession was "smelly," he decided to smoke the residue in the pipe to eliminate the odor, and at that point was caught by the officer.
The grievant explained further that he recently had experienced stressful life events, namely, a cancer scare and marital problems, leading to anxiety from which he sought relief by smoking marijuana. He claimed that he had not smoked marijuana at work prior to the incident in question. The grievant testified that, following the incident, he went to an employee assistance program and sought treatment, which he regarded as successful. He testified further that, a few days prior to the incident, he had had his first therapy appointment at the Connecticut Anxiety and Depression Treatment Center. At that appointment, he was diagnosed with anxiety and depression, and scheduled another appointment with a psychiatrist to address his conditions.
The arbitrator concluded that the plaintiff had met its burden of establishing that the grievant had engaged in misconduct, namely, possessing and smoking marijuana while at work. Moreover, in the arbitrator's view, the grievant's explanations as to why he had marijuana at work, and why he had decided to smoke from his pipe, were disingenuous. Contrary to the grievant's testimony, the arbitrator opined, the grievant deliberately had taken the marijuana to work so that he could smoke it when the occasion arose.
The arbitrator concluded, however, that under the circumstances, termination of the grievant's employment did not correspond with the notion of just cause. He cited the plaintiff's rules, including its drug-free workplace policy, which permitted termination for violations but did not mandate it, as well as the grievant's previous, positive work record and the nature of the offense. The arbitrator also reasoned that the grievant's pursuit of therapy for anxiety and depression, prior to the incident, evidenced some level of self-awareness, and that the reality of his dismissal, his ineligibility for unemployment benefits and the subsequent arbitration proceedings had impressed upon him the seriousness of his offense. In the arbitrator's view, although the grievant's job duties raised some safety and security issues, the grievant "did not engage in such a breach of trust or show such lack of character that his return to the workplace would create a danger to persons or property nor [did his actions] prohibit his return to work as a satisfactory and productive employee." Citing the principle of progressive discipline as a vital component of just cause that provides a path to rehabilitation under appropriate circumstances, the arbitrator concluded that termination was unwarranted. In short, the arbitrator rejected the plaintiff's contention that complete termination of the grievant's employment was the only appropriate penalty for his misconduct.
The arbitrator, nevertheless, imposed a significant penalty for the grievant's substantial misconduct. The grievant was suspended for a period of six months, without pay, to run from the effective date of his earlier removal from the payroll.
Thereafter, the plaintiff filed an application to vacate the arbitrator's award, and the defendant filed a cross application to confirm that award. See General Statutes §§ 52-417 and 52-418. In its application to vacate, the plaintiff contended, inter alia, that the arbitrator's award violated public policy due to the serious nature of the grievant's misconduct. The defendant disputed that contention. In an October 6, 2014 memorandum of decision, the trial court agreed that there was a well-defined public policy against the use of marijuana and, furthermore, that the arbitrator's award violated that policy. Specifically, the court reasoned, the grievant purposefully had used marijuana at work, raising safety and security concerns, and to reinstate him under those circumstances would
send an improper message that personal stress somehow excused his misconduct.
We begin with the well established standard of review. "Because we favor arbitration as a means of settling private disputes, we undertake judicial review of arbitration awards in a manner designed to minimize interference with an efficient and economical system of alternative dispute resolution.... Furthermore, in applying this general rule of deference to an arbitrator's award, [e]very reasonable presumption and intendment will be made in favor of the [arbitral] award and of the arbitrators' acts and proceedings." (Citation omitted; internal quotation marks omitted.)
State v. New England Health Care Employees Union, District 1199, AFL-CIO,
We have recognized, however, that an arbitration award should be vacated when, inter alia, it violates clear public policy.
"The public policy exception applies only when the award is clearly illegal or clearly violative of a strong public policy.... A challenge that an award is in contravention of public policy is premised on the fact that the parties cannot expect an arbitration award approving conduct which is illegal or contrary to public policy to receive judicial endorsement any more than parties can expect a court to enforce such a contract between them.... When a challenge to the arbitrator's authority is made on public policy grounds, however, the court is not concerned with the correctness of the arbitrator's decision but with the lawfulness of enforcing the award.... Accordingly, the public policy exception to arbitral authority should be narrowly construed and [a] court's refusal to enforce an arbitrator's interpretation of [collective bargaining agreements] is limited to situations where the contract as interpreted would violate some explicit public policy that is well defined and dominant, and is to be ascertained by reference to the laws and legal precedents and not from general considerations of supposed public interests." (Citations omitted; internal quotation marks omitted.) Id., at 135-36,
"The party challenging the award bears the burden of proving that illegality or conflict with public policy is clearly demonstrated." (Internal quotation
marks omitted.) Id., at 136,
Looking to our statutory, regulatory and decisional law, we conclude that there exists an explicit, well-defined and dominant public policy against the possession and recreational use of marijuana in the workplace. It is true that, at least in certain circumstances, the criminal sanctions attendant to personal marijuana use recently have been lessened. Nevertheless, pursuant to Connecticut's statutes and regulations, marijuana remains a schedule II controlled substance; see General Statutes § 21a-243 (c) ; Regs., Conn. State Agencies § 21a-243-8 (g) ; and, therefore, possession of it by unauthorized persons is disallowed. Possession of relatively small amounts of marijuana by an unauthorized person subjects that person to a fine and confiscation of the marijuana and, after more than two convictions, mandatory referral to a drug education program at the offender's
expense. See General Statutes § 21a-279a.
We turn next to the question of whether, under the facts and circumstances of this case, the arbitrator's award reinstating the grievant with conditions, after a period of suspension without pay, violated this public policy. "In other words, we must determine whether [the] public policy [that is implicated]
required
the grievant's dismissal.... In making this determination, we are mindful that the fact that an employee's misconduct implicates public policy does not require the arbitrator to defer to the employer's chosen form of discipline for such misconduct." (Citation omitted; emphasis in original; internal quotation marks omitted.)
Stratford v. AFSCME, Council 15, Local 407,
We recently issued a comprehensive opinion "to clarify the factors a reviewing court should consider when evaluating a claim that an arbitration award reinstating a terminated employee violates public policy, and, by extension, the types of factual findings an arbitrator may make in order to assist a reviewing court in considering such a challenge."
Burr Road Operating Co. II, LLC v. New England Health Care Employees Union, District 1199,
The regulations governing state employment are most pertinent here. As we previously have stated, the use of illegal drugs in the workplace explicitly is identified as misconduct warranting discipline. See Regs., Conn. State Agencies § 5-240-1a (c)(10). Notably, however, the regulations do not require the dismissal of an employee for such misconduct. Although that sanction
is available; see
The state's drug-free workplace policy explicitly references the federal Drug-Free Workplace Act of 1988 (federal act),
In sum, the relevant sources of public policy do not support the conclusion that such policy is offended by discipline short of termination for a state employee's use of marijuana in the workplace. Rather, they provide for an array of responses and explicitly support efforts at rehabilitation, thereby rejecting the notion that the perpetrator of the misconduct necessarily is incapable of atonement.
The second
Burr Road
factor "is whether the nature of the employment at issue implicates public safety or the public trust.... Nationally, in the vast majority of cases in which courts have vacated for public policy reasons arbitration awards reinstating terminated employees, the grievant has been a public sector employee,
Pertinent to this factor, the plaintiff had argued before the arbitrator that the grievant, due to his misconduct, no longer could be trusted to perform his unsupervised responsibilities as a skilled maintainer, such as changing heating, ventilation and air conditioning filters on a hospital roof, in an acceptable manner. It noted that the grievant had access to all areas of the health center campus, including a day care center, research laboratories and the hospital, and that he had use of a state vehicle to traverse the campus if it became necessary. In ordering reinstatement of the grievant, the arbitrator acknowledged that, given the grievant's duties and his work locations, his marijuana use raised valid safety and security concerns, but nevertheless concluded "that [the] [g]rievant did not engage in such a breach of trust or show such lack of character that his return to the workplace would create a danger to persons or property nor prohibit his return to work as a satisfactory and productive employee."
We conclude that this factor weighs in favor of a determination that reinstatement of the grievant to his position as a skilled maintainer does not violate public policy. The grievant is a state employee, and thus
answerable to the public for his paycheck, but there is no indication that performance of his job duties substantially implicates public safety. Compare, e.g.,
Exxon Shipping Co. v. Exxon Seamen's Union,
Regarding public policy, "there is a[n] [obvious] difference between an employee endangering only himself or herself ... and ... an employee endangering members of the general public." (Citation omitted.)
Southwest Ohio Regional Transit Authority v. Amalgamated Transit Union, Local 627,
Docket No. C930423,
The third
Burr Road
factor "is the relative 'egregiousness' of the grievant's offense.... This factor encompasses myriad considerations, including, but not limited to: (1) the severity of the harms imposed and risks created by the grievant's conduct; (2) whether that conduct strikes at the core or falls on the periphery of the relevant public policy; (3) the intent of the grievant with respect to the offending conduct and the public policy at issue; (4) whether reinstating the grievant would send an unacceptable message to the public or to other employees regarding the conduct in question; (5) the potential impact of the grievant's conduct on customers/clients and other nonparties to the employment contract; (6) whether the misconduct occurred during the performance of official duties; and (7) whether the award reinstating the employee is founded
on the arbitrator's determination that mitigating circumstances, or other policy considerations, counterbalance the public policy at issue.... This factor presents a mixed question of law and fact. We take as our starting point the factual findings of the arbitrator, which are not subject to judicial review.... We defer as well to the arbitrator's ultimate determination whether termination was a just or appropriate punishment for the conduct at issue." (Citations omitted.)
Burr Road Operating Co. II, LLC v. New England Health Care Employees Union, District 1199,
supra,
The grievant's misconduct was significant. He was caught smoking marijuana during his working hours, near the beginning of his shift, and the arbitrator found that he had brought the marijuana to work purposely with the intention of smoking it there. Accordingly, the misconduct clearly falls within the public policy against illicit drug use in the workplace. Fortunately, however, the grievant's misconduct did not result in any harm to persons or property. Moreover, given the nature of the grievant's employment, the misconduct mainly created risks to his own safety, and not to that of vulnerable health center clients or other third parties. The arbitrator
found that the substantial consequences flowing from the incident had had a sobering impact on the grievant. The grievant's colleagues, considering those consequences, should be dissuaded from repeating the grievant's error. The arbitrator concluded that termination of the grievant's employment was unwarranted, but nevertheless imposed a severe punishment on the grievant, relying, in part, on mitigating circumstances, such as his positive work record, and competing policy aims, such as progressive discipline and the promotion of rehabilitation.
Weighing all of the foregoing subfactors, we conclude that the third
Burr Road
factor essentially is neutral. Needless to say, the misconduct at issue was completely unacceptable, and we do not condone it. Nevertheless, its egregiousness was tempered, at least to some degree, by the countervailing considerations we previously have identified as relevant. Notably, many of the decisions that we have cited herein have upheld the reinstatement of employees following drug or alcohol related misconduct, even though that misconduct was purposeful, occurred in the workplace and, in some instances, was substantially more egregious than that of the grievant. See, e.g.,
First National Supermarkets, Inc. v. Retail, Wholesale & Chain Store Food Employees Union Local 338,
The fourth
Burr Road
factor "is whether the grievant is so 'incorrigible' as to require termination.... Put differently, in light of the grievant's full employment history, is there a substantial risk that, should a court uphold the arbitration award of reinstatement, this particular employee will reengage in the offending conduct? ... Here, relevant considerations include whether, on the one hand, the grievant has committed similar offenses in the past and has disregarded an employer's prior warnings or clear policy statements; or, on the other hand, whether the grievant: (1) has generally performed his work in a competent and professional
manner; (2) has demonstrated a willingness to change and an amenability to discipline; (3) has exhibited remorse and attempted to make restitution for past offenses; and (4) is likely to benefit from additional training and guidance.... We also consider whether the penalty imposed by the arbitrator is severe enough to deter future infractions by the grievant or others.... Because these considerations are largely fact based and
case specific, a reviewing court must defer to an arbitrator's assessment-whether express or implied-that a particular employee is unlikely to reoffend if reinstated.... Absent an express finding by the arbitrator, which would be unreviewable, a court will deem an employee incorrigible only when the likelihood of recidivism is plain from the face of the record." (Citations omitted.)
Burr Road Operating Co. II, LLC v. New England Health Care Employees Union, District 1199,
supra,
As to this factor, in arriving at the award ordering reinstatement, the arbitrator observed that the grievant had been employed by the plaintiff for fifteen years, with no prior disciplinary incidents, and had received favorable performance evaluations. The arbitrator also considered that the grievant had sought therapy for anxiety and depression prior to the incident in question, which indicated some propensity for self-awareness. Additionally, the arbitrator reasoned, "the [employee assistance program] counseling, the loss of his job, his disqualification for unemployment benefits, and the reality of this termination proceeding have impressed upon [the] [g]rievant that, notwithstanding what the status of marijuana use might be in some jurisdictions, that in Connecticut the use and possession of marijuana at the work site falls within the range of terminable offenses." In short, the arbitrator concluded that the grievant took his offense seriously, and that he was amenable to rehabilitation.
The arbitrator again acknowledged that the grievant's misconduct was substantial and warranted a significant penalty, namely, an unpaid suspension of six months duration. The arbitrator ordered further that upon the grievant's return to work, he would be subject to random drug and alcohol testing for one year, and that he should consider himself to be operating in a "last chance" context such that any future violation of the applicable policies would result in his immediate dismissal.
After consideration of the foregoing findings and all of the various components of the arbitrator's award, we conclude that the fourth
Burr Road
factor weighs against a conclusion that reinstatement of the grievant violates public policy. By the arbitrator's estimation, the grievant's personal qualities and overall record indicate that he is a good candidate for a second chance. Moreover, the discipline the arbitrator imposed was appropriately severe, and sends a message to others who might consider committing similar misconduct that painful consequences will result. The award provides a disincentive for the grievant to reoffend, and it makes clear that, should he be foolish enough to do so, he will be seeking new employment. See
Stratford v. AFSCME, Council 15, Local 407,
supra,
In closing, we emphasize that public policy based, judicial second-guessing of arbitral awards reinstating employees is very uncommon and is reserved for extraordinary circumstances, even when drug or alcohol related violations are at issue. Our general deference to an experienced arbitrator's determinations regarding just cause and the appropriate remedy is vital to preserve the effectiveness of an important and efficient forum for the resolution of employment disputes. If an employer wishes to preserve the right to discharge employees guilty of misconduct such as that at issue in this case, thereby removing the matter from an arbitrator's purview, it remains free to negotiate for the inclusion of an appropriate provision in the collective bargaining agreement that would achieve that result.
The judgment is reversed and the case is remanded to the trial court with direction to grant the defendant's motion to confirm the arbitration award reinstating the grievant's employment and to deny the plaintiff's motion to vacate that arbitration award.
In this opinion PALMER, ZARELLA, EVELEIGH, McDONALD and ROBINSON, Js., concurred.
Gregory Linhoff, the grievant in the underlying proceedings, also was named as a defendant in the trial court. For purposes of convenience, we refer herein to Connecticut Employees Union Independent as the defendant and to Linhoff as the grievant.
The defendant appealed from the judgment of the trial court to the Appellate Court, and we transferred the appeal to this court pursuant to General Statutes § 51-199(c) and Practice Book § 65-1.
The state Department of Administrative Services class specification for a skilled maintainer, which was part of the record before the arbitrator, indicates generally that a person employed in that position may perform tasks in the areas of building and equipment maintenance, grounds care, or trades work. The grievant's specific job duties are not clear from the record, and the arbitrator made no findings in that regard.
The health center's rules of conduct prohibit in relevant part "[u]nlawfully ... possessing, using or being under the influence of ... drugs or controlled substances when on the job or subject to duty...."
The health center's alcohol abuse and drug-free workplace policy provides in relevant part that "the unlawful possession, use or distribution of illicit drugs and/or alcohol will not be tolerated."
Because more than six months already had passed, the arbitrator further ordered the grievant to be returned to work immediately and made whole for all back pay accruing after the conclusion of the suspension period, less any income earned or unemployment compensation received, and subject to the usual and customary payroll deductions.
The trial court rejected additional challenges that the plaintiff had raised to the arbitrator's award.
We emphasize, however, that our de novo review is limited to the question of whether the arbitrator's decision to suspend the grievant as opposed to terminating his employment is itself contrary to an established public policy. In a case involving an unrestricted submission, when we conduct de novo review in response to a claim of a public policy violation, we do
not
review either the arbitrator's construction of the agreement, to determine whether that construction is correct, or the arbitrator's factual findings, to determine whether those findings have sufficient evidentiary support. See
HH East Parcel, LLC v. Handy & Harman, Inc.,
The public policy exception to the general rule of extreme deference to arbitral awards is intended to be an "exceedingly narrow" one.
Schoonmaker v. Cummings & Lockwood of Connecticut, P.C.,
General Statutes § 21a-279a provides in relevant part: "(a) Any person who possesses or has under his control less than one-half ounce of a cannabis-type substance ... shall (1) for a first offense, be fined one hundred fifty dollars, and (2) for a subsequent offense, be fined not less than two hundred dollars or more than five hundred dollars.
"(b) The law enforcement officer issuing a complaint for a violation of subsection (a) of this section shall seize the cannabis-type substance and cause such substance to be destroyed as contraband in accordance with law.
"(c) Any person who, at separate times, has twice entered a plea of nolo contendere to, or been found guilty after trial of, a violation of subsection (a) of this section shall, upon a subsequent plea of nolo contendere to, or finding of guilty of, a violation of said subsection, be referred for participation in a drug education program at such person's own expense."
General Statutes § 21a-279 provides in relevant part: "(b) Any person who possesses or has under his control ... four ounces or more of a cannabis-type substance ... for a first offense, shall be guilty of a class D felony, and for a subsequent offense shall be guilty of a class C felony.
"(c) Any person ... who possesses or has under his control one-half ounce or more but less than four ounces of a cannabis-type substance ... (1) for a first offense, may be fined not more than one thousand dollars or be imprisoned not more than one year, or be both fined and imprisoned; and (2) for a subsequent offense, shall be guilty of a class D felony...."
Although the arbitrator's decision in the present matter was issued prior to our decision in Burr Road Operating Co. II, LLC, it touches upon many, but not all, of the factors and subfactors identified in that decision, as hereinafter discussed. We note that, to the extent the arbitrator failed to make factual findings pertinent to the analysis in that case, we are not free to supplement the record with factual findings of our own. See footnote 8 of this opinion. Consequently, our discussion of the Burr Road factors, in places, necessarily will be limited.
The trial court, when deciding the parties' motions to vacate or confirm, similarly did not have the benefit of our decision in
Burr Road Operating Co. II, LLC,
and, therefore, understandably did not apply the framework established by that decision. Notably, we intended in
Burr Road Operating Co. II, LLC,
to bring clarity to an existing body of jurisprudence that was confusing and, to some degree, internally inconsistent. See
Burr Road Operating Co. II, LLC v. New England Health Care Employees Union, District 1199,
supra,
Similarly, the health center's rules of conduct permit "disciplinary action up to and including dismissal"; (emphasis added); for an employee's use or possession of drugs or controlled substances when on the job. Its alcohol abuse and drug-free workplace policy also permits "disciplinary action up to and including termination"; (emphasis added); for an employee's unlawful possession or use of illicit drugs.
In the present case, as we previously have mentioned, the charges against the grievant ultimately were dismissed. As to employees, like the grievant, who engage in workplace drug use that does not result in a conviction, the federal act does not prescribe any sanction at all. See generally
Similarly, "[i]n Connecticut, in every case wherein this court has concluded that an arbitration award reinstating a terminated employee offended public policy, the grievant was a state or municipal employee."
Burr Road Operating Co. II, LLC v. New England Health Care Employees Union, District 1199,
supra,
Notably, even in cases involving drug or alcohol use by employees in safety sensitive positions, or by employees who interact with vulnerable populations, courts do not invariably hold that awards reinstating their employment violate public policy. Rather, in many instances, after considering the applicable sources of public policy and all of the surrounding facts and circumstances, they conclude that lesser sanctions are an acceptable form of discipline. See, e.g.,
Doe v. Central Arkansas Transit,
Minimizing the significance of a six month unpaid suspension and questioning whether it sends a strong enough message to other employees who might offend similarly; see concurring opinion p. (opining that those reading this decision will feel free to "kick back and light up a joint during their down time at work"); ignores the indisputable fact that millions of American families are living paycheck to paycheck, such that the loss of six months income would be nothing short of devastating. See, e.g., Board of Governors of the Federal Reserve System, Report on the Economic Well-Being of U.S. Households in 2015 (May, 2016) p. 22 (nearly one third of Americans could not cover their expenses during three month financial disruption, such as loss of job, by accessing savings or borrowing; 46 percent could not come up with $400 for unexpected emergency without borrowing or selling something).
Concurrence Opinion
In today's decision, this court concludes that an arbitrator's award that effectively precludes an employer from terminating an employee who was abusing drugs on the job does not violate public policy. Because this result is legally required by this court's recent decision in
Burr Road Operating Co. II, LLC v. New England Health Care Employees Union, District 1199,
I begin with a review of our decision in
Burr Road
and how we used that decision as a vehicle to clarify our case law in this area. In
Burr Road,
we considered whether an arbitrator's award reducing the penalty received by the grievant, a certified nursing assistant, from termination of employment to a one month unpaid suspension for failing to promptly report suspected patient abuse, violated the state's public policy in favor of protecting vulnerable persons residing in nursing homes. Id., at 620,
Prior to addressing the substantive claim in
Burr Road,
however, we took the opportunity to review our prior decisions in which employers had challenged arbitration awards reinstating terminated employees on the basis that the awards violated a clear public policy. Id., at 632,
In order to quell any uncertainty stemming from these prior decisions, our decision in Burr Road set out to "clarify the factors a reviewing court should consider when evaluating a claim that an arbitration award reinstating a terminated employee violates public policy, and, by extension, the types of factual findings an arbitrator may make in order to assist a reviewing court in considering such a challenge."
Burr Road,
supra,
As to each factor, we also articulated the applicable standard of review. For the first factor, we recognized that "[w]hether sources of public policy themselves mandate termination is a question of law subject to plenary review." Id., at 635,
We next proceeded to resolve the claim raised by the defendant union on the grievant's behalf under the clarified factors. Id., at 640-41,
In the time that has elapsed between our decision in
Burr Road
and today's decision, courts have applied the analysis and factors that we articulated in
Burr Road
in at least two other cases.
The arbitration award at issue in
East Hartford Police Officers' Assn.
reinstated a police officer who had been terminated after it was discovered that he had improperly accessed an investigative database in order to obtain personal information about a former girlfriend and other individuals.
East Hartford v. East Hartford Police Officers' Assn.,
supra,
The second case,
Bridgeport Board of Education,
although far more demonstrative of the application of the
Burr Road
factors, involved such extreme facts that the factors inarguably weighed against the award. The grievant, a custodian employed by the Bridgeport public school system, was terminated after sending several
packets of handwritten and printed materials related to recent mass school shootings to various members of the Bridgeport city government and school system.
Bridgeport Board of Education v. NAGE, Local RI-200,
supra,
The Appellate Court reversed the trial court's judgment denying the plaintiff's application to vacate the arbitration award. Id., at 505-506,
nature of the grievant's acts. Id., at 496-97,
The only other case in which a court has extensively applied the
Burr Road
factors is, of course, the present case. In doing so, the majority first concludes that there is indeed an "explicit, well-defined and dominant public policy against the possession and recreational use of marijuana in the workplace." See
Enfield v. AFSCME, Council 4, Local 1029,
Under the first factor, the majority concludes that because the state's personnel regulations allow for discipline, up to and including termination, in regard to the grievant's offense of smoking and possessing marijuana at work, that public policy would not be offended by the imposition of a penalty of less than termination. Under the second factor, whether the nature of the employment implicates public trust and safety, the majority concludes that the factor weighs against vacating the arbitration award. The grievant is a state employee who works as a skilled maintainer at the University of Connecticut Health Center (health center), a state-run medical facility, performing buildings and equipment maintenance, grounds work, and skilled trades tasks. In his position, the grievant had keys and access to the entirety of the health center campus as well as a state vehicle in order to traverse the property. The majority concludes, however, that the grievant's position is "not the kind of general public oriented, 'safety sensitive' [position] typically associated with a public policy mandate that absolutely bars reinstatement following an instance of drug use."
In its treatment of the third factor, the relative egregiousness of the misconduct, the majority determines that the factor "essentially is neutral," despite its recognition that "the misconduct at issue was completely unacceptable...." Although the majority notes that the grievant's acts were significant and fell squarely within the public policy against drug use in the workplace, it also recognizes that the grievant's actions did not result in any actual harm to other persons or property, and that the arbitrator determined that the grievant had a positive prior work record and that the consequences of the grievant's actions had a "sobering impact" on him. In concluding that the third factor is neutral in the present case, the majority relies in part on several federal arbitration cases that resulted in a grievant's reinstatement being upheld even though the drug related conduct in those cases was more egregious that the grievant's actions in the present case. Under the fourth factor, the majority simply defers, as Burr Road mandates, to the arbitrator's finding that the grievant deserved a second chance and that his penalty, including an unpaid suspension, was sufficient to deter any future temptation to use illicit drugs in the workplace.
Prior to articulating the ways in which I believe this court should modify its decision in
Burr Road,
I acknowledge from the outset that because "we favor arbitration as a means of settling private disputes, we undertake judicial review of arbitration awards in a manner designed to minimize interference with an efficient and economical system of alternative dispute resolution." (Internal quotation marks omitted.)
State v. AFSCME, Council 4, Local 391,
supra,
In my review of the cases applying the Burr Road factors, I have identified two emerging trends that I believe should be addressed and rectified before they can continue to grow and inject confusion and error into the application of the factors by reviewing courts. First, I believe that, because the factors set forth in Burr Road are ultimately too rigid, arbitrators will craft their awards pursuant to Burr Road in a manner to ensure that, under the applicable standard of review, reviewing courts will have no option but to uphold the awards even in extreme and outrageous cases, such as the present one. This will allow arbitrators to self-insulate their awards from meaningful review in order to ensure that their awards are sustained on appeal. Second, given the broad and numerous subfactors in the third Burr Road factor, the net outcome under the third factor will almost always be neutral, as in the present case, unless the facts of the case indicate an extreme level of egregiousness. The near mathematical process of balancing the outcomes of the various sub-factors, either in favor of vacating or confirming an award, increases the probability of their canceling each other out and producing an indeterminate outcome under the third factor itself. This has the net outcome of reducing the overall flexibility of our analysis. Furthermore, I believe that some of the subfactors under the third factor should be more fully fleshed out and prominent in a reviewing court's analysis, as they were in some of our decisions prior to Burr Road.
In regard to the first trend I have identified, stemming from the rigidity of the Burr Road factors, I observe that one of the benefits of our decision in Burr Road is that it clearly laid out the information that would be helpful to aid reviewing courts in their analysis as to whether a particular award violates public policy. The danger, however, is that by imposing a rigid framework under which we will review such claims, arbitrators now have a set of blueprints by which they may construct their arbitration awards to ensure that they will include the features that ensure such awards are upheld on appeal or only undergo cursory review. Indeed, in Burr Road we explicitly encouraged such a result, perhaps unintentionally, when we observed that the clarified factors would also serve as a guide for "the types of factual findings an arbitrator may make in order to assist a reviewing court in considering such a challenge."
Burr Road,
supra,
I note that this risk has not yet fully germinated. Of the judicial decisions applying the
Burr Road
factors, all of them involved review of an arbitration award that was issued
prior
to our decision in
Burr Road.
In regard to the second trend I have identified-the virtually inevitable result that the third factor will be neutral-I believe that the current subfactors of the third factor of
Burr Road
should be given a more prominent place in the analysis conducted by a reviewing court. When evaluating the relative egregiousness of a grievant's conduct, the third factor currently directs reviewing courts to consider a myriad of subfactors, "including, but not limited to: (1) the severity of the harms imposed and risks created by the grievant's conduct; (2) whether that conduct strikes at the core or falls on the periphery of the relevant public policy; (3) the intent of the grievant with respect to the offending conduct and the public policy at issue; (4) whether reinstating the grievant would send an unacceptable message to the public or to other employees regarding the conduct in question; (5) the potential impact of the grievant's conduct on customers/clients and other nonparties to the employment contract; (6) whether the misconduct occurred during the performance of official duties; and (7) whether the award reinstating the employee is founded on the arbitrator's determination that mitigating circumstances, or other policy considerations, counterbalance the public policy at issue."
Burr Road,
supra,
In applying these subfactors in the present case, the majority concludes that the outcome under the third factor is ultimately neutral. Although the facts and arbitration award clearly demonstrate that the grievant purposely brought marijuana to work with the intention of smoking it during his work shift and then proceeded to actually do so, the arbitrator also found that the competing policy goals of progressive discipline and rehabilitation were implicated in the grievant's case and that the reduced penalties imposed on him in his reinstatement pursuant to the award would dissuade the grievant or his colleagues from using drugs in the workplace going forward. Thus, the outcomes under the subfactors of the third factor fall in such vastly different directions that the overall analysis under the third factor is essentially written out of the Burr Road analysis.
This result, which I believe will arise in the majority of cases, has the effect of weakening public policy review as a whole. Indeed, only in those cases that fall outside the bounds of even the extreme outer fringe of public policy claims and are plainly outrageous and societally unacceptable will the third factor prove to be of any determinative import. A prime example of this is
Bridgeport Board of Education,
in which the subfactors clearly weighed in favor of vacating the award given the manifest absurdity of reinstating the grievant after he seriously threatened to carry out a mass school shooting.
Bridgeport Board of Education v. NAGE, Local RI-200,
supra,
In order to give some of the subfactors a more prominent place in our analysis and allow for greater flexibility in the analysis
overall given the wide diversity of factual scenarios in the cases in this area of law, I suggest that we should modify
Burr Road
in order to
highlight the importance of certain subfactors that would allow the third factor itself to be more determinative. I place particular emphasis on the fourth subfactor, "whether reinstating the grievant would send an unacceptable message to the public or to other employees regarding the conduct in question";
Burr Road,
supra,
I note that prior to
Burr Road
this subfactor was somewhat more prominent in our treatment of public policy claims. In
AFSCME, Council 4, Local 387, AFL-CIO,
the arbitration award at issue reinstated a state correctional officer who was terminated after he used a workplace telephone to place a racist and profane call to a state senator's office.
State v. AFSCME, Council 4, Local 387, AFL-CIO,
supra, 252 Conn. at 468-69,
Accordingly, I suggest that the subfactors should be incorporated into our Burr Road matrix not as subsets of the third factor, but as factors in their own right. Although this would diminish the neat and contained quadripartite analysis under the current incarnation of Burr Road, I believe that it would allow for a more flexible approach for reviewing courts. Such an approach would prevent our current analysis from growing narrower than it was in our inquiries prior to Burr Road. As our decision in Burr Road created no new law, but only catalogued and recalibrated our existing jurisprudence in this area, our present authority and the scope of our inquiry should not be significantly different from our previous decisions. First, such an approach would recognize that not every factor will always be relevant in every case, given the sheer diversity of the facts in cases that engender public policy challenges to arbitration awards. Thus, to prevent the possible neutral outcome of a factor from skewing the Burr Road analysis one way or the other, drawing out the subfactors will provide for a more holistic approach that fairly weighs all relevant considerations in regard to a particular arbitration award. Furthermore, allowing for a more flexible approach will work to prevent the other emerging trend I have identified where arbitrators will mirror their awards after the structure of Burr Road and include all of the necessary sound bites to ensure that their awards are deferred to and upheld on appeal without any serious review by a court. Additionally, our inquiry could be made even more flexible by reserving the ability to place greater emphasis on some subfactors over others depending on which are implicated by the particular facts of a case.
In conclusion, I predict that as future cases arise-particularly those in which courts are required to review arbitration awards issued after Burr Road -the need to modify the factors we apply will become increasingly evident. Although a general deference to the determinations of arbitrations facilitates and encourages the private dispute resolution system, curtailing the role of the court system in reviewing one narrow category of arbitration awards that implicate important public policies will sow public skepticism of the arbitration process and the role of the court system in reviewing the outcomes of private dispute resolution. Indeed, the outcome in today's decision will assuredly accomplish just that. This court should take the opportunity to temper these trends now before they become increasingly prominent and require much more serious and laborious modifications in the future. Accordingly, I concur in the judgment.
At least three other cases from this same time period raised public policy claims, but the courts reviewing the arbitration awards in those cases were not required to apply the
Burr Road
factors because they concluded that the public policy at issue was either nonexistent or not implicated by the facts of the case. See
Ippolito v. Olympic Construction, LLC,
This court released its decision in
Burr Road
on May 5, 2015. The arbitration award in
East Hartford Police Officers' Assn.
was issued on November 10, 2014.
East Hartford v. East Hartford Police Officers' Assn.,
supra,
Through sheer coincidence, the grievant's case reaches this court at the same time that the state's fiscal situation has required the layoff of numerous state employees. That these employees have lost their positions through no fault of their own while the grievant will retain his position after openly smoking marijuana on the job certainly sends a mixed and troubling message, both to the public and to those employees who were terminated from state service.
