International Brotherhood of Teamsters, Chauffeurs, Warehousemen and Helpers of America, Afl-Cio, Local 631 v. Silver State Disposal Service, Inc.

109 F.3d 1409, 97 Cal. Daily Op. Serv. 2223, 97 Daily Journal DAR 4061, 154 L.R.R.M. (BNA) 2865, 1997 U.S. App. LEXIS 5671, 1997 WL 149243
CourtCourt of Appeals for the Ninth Circuit
DecidedMarch 27, 1997
Docket96-16273
StatusPublished
Cited by31 cases

This text of 109 F.3d 1409 (International Brotherhood of Teamsters, Chauffeurs, Warehousemen and Helpers of America, Afl-Cio, Local 631 v. Silver State Disposal Service, Inc.) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
International Brotherhood of Teamsters, Chauffeurs, Warehousemen and Helpers of America, Afl-Cio, Local 631 v. Silver State Disposal Service, Inc., 109 F.3d 1409, 97 Cal. Daily Op. Serv. 2223, 97 Daily Journal DAR 4061, 154 L.R.R.M. (BNA) 2865, 1997 U.S. App. LEXIS 5671, 1997 WL 149243 (9th Cir. 1997).

Opinion

OPINION

ALARCON, Circuit Judge.

Defendant-appellant Silver State Disposal Service, Inc. (“Silver State”) appeals from a final order granting summary judgment and confirming an amended arbitration award in favor of plaintiff-appellee International Brotherhood of Teamsters, Chauffeurs, Warehousemen and Helpers of America, AFL-CIO, Local 631 (the “Union”). Silver State contends that, under the doctrine of functus officio, the arbitrator lacked the authority to amend the award. We conclude that the doctrine oí functus officio is inapplicable here because the arbitrator’s initial award was incomplete.

I

On January 6, 1994, Silver State terminated Bernard Williams’s employment for violating the company’s attendance policy. The Union filed a grievance on Williams’s behalf. The Union claimed that Williams was discharged in violation of the collective bargaining agreement between the Union and Silver State. Pursuant to the collective bargaining agreement, the grievance was submitted to an arbitrator for resolution.

On December 15, 1994, the arbitrator concluded that Silver State terminated Williams’s employment without just cause. The arbitrator concluded that the penalty for Williams’s absenteeism should be a three-day suspension without pay. Silver State complied with the arbitrator’s decision and reinstated Williams. Thereafter, a dispute arose between the parties over whether the award entitled Williams to receive back pay. On December 27, 1994, the Union unilaterally requested that the arbitrator clarify the award. Silver State objected to the Union’s request for a clarification on the ground that the arbitrator no longer had the authority to do so.

On January 5,1995, the arbitrator sent the following letter to the parties:

I am sorry that my award was not clear in regard to the reinstatement of Grievant. Please substitute page 15 for the prior page 15. In my award, I intended for Grievant to receive back pay from the date of termination until the date of reinstatement except for the period of the three day suspension. I intended for his other benefits, seniority, etc. to remain in effect as if he had not been terminated.

In response, Silver State informed the arbitrator that it did not consent to the clarification and that the doctrine of functus officio precluded any modification of the award.

On February 22, 1995, the Union petitioned the district court to confirm the arbitration award as amended by the arbitrator on January 5, 1995. Silver State filed a counterclaim in which it prayed for enforcement of the initial award. Each party filed a motion for summary judgment. The district court granted the Union’s motion for summary judgment and confirmed the arbitration award as amended. Silver State has timely appealed.

II

Silver State contends that it is entitled to judgment as a matter of law because “the arbitrator was ... precluded from modifying her award on January 5, 1995, pursuant to the common law doctrine oí functus officio.” (Appellant’s Opening Br. at 6.) The Supreme Court recently instructed us regarding “the standard a court of appeals should apply when reviewing a district court decision that ... confirms ... an arbitration award.” First Options of Chicago, Inc. v. Kaplan, 514 U.S. 938, -, 115 S.Ct. 1920, 1926, 131 L.Ed.2d 985 (1995). The Court held that “review of ... a district court decision confirming an arbitration award ... should proceed like review of any other district court decision finding an agreement be *1411 tween parties, i.e., accepting findings of fact that are not ‘clearly erroneous’ but deciding questions of law de novo.” Id. Here, both parties concede that no genuine issue of fact is in dispute.

Under the common law doctrine of functus officio, an arbitrator may not redetermine an arbitration award. McClatchy Newspapers v. Central Valley Typographical Union No. 46, 686 F.2d 731, 733-34 (9th Cir.), cert. denied, 459 U.S. 1071, 103 S.Ct. 491, 74 L.Ed.2d 633 (1982). In McClatchy, we relied upon the Third Circuit’s explanation of the doctrine of functus officio:

It is [a] fundamental common law principle that once an arbitrator has made and published a final award his authority is exhausted and he is functus officio and can do nothing more in regard to the subject matter of the arbitration. The policy which lies behind this is an unwillingness to permit one who is not a judicial officer and who acts informally and sporadically, to re-examine a final decision which he has already rendered, because of the potential evil of outside communication and unilateral influence which might affect a new conclusion.

Id. at 734 (quoting La Vale Plaza, Inc. v. R.S. Noonan, Inc., 378 F.2d 569, 572 (3d Cir.1967)). We also recognized, however, that this principle is limited by three exceptions:

It has been recognized in common law arbitration that an arbitrator can correct a mistake which is apparent on the face of his award, complete an arbitration if the award is not complete, and clarify an ambiguity in the award.

McClatchy, 686 F.2d at 734 n. 1 (citing La Vale Plaza, 378 F.2d at 573).

The completion exception to the doctrine of functus officio applies when an arbitration award fails to resolve an issue or “specify the remedy in definite terms.” Courier-Citizen Co. v. Boston Electrotypers Union No. 11, 702 F.2d 273, 279 (1st Cir. 1983). The ambiguity exception, in contrast, applies when “the award, although seemingly complete, leaves doubt whether the submission has been fully executed.” La Vale Plaza, 378 F.2d at 573. Some courts have commingled the completion and ambiguity exceptions. In Glass, Molders, Pottery, Plastics and Allied Workers Int’l Union v. Excelsior Foundry Co., 56 F.3d 844 (7th Cir. 1995), the Seventh Circuit reasoned as follows: “An award that fails to address a contingency that has arisen after the award was made is incomplete; alternatively, it is unclear; either way, it is within an exception to the doctrine.” Id. at 847.

In this case, the arbitrator’s clarification was permissible because it completed the award. The arbitrator explained that she had intended to award back pay, but had failed to address the issue. Silver State offered no evidence to refute the arbitrator’s explanation of her state of mind at the time she executed the initial award.

Free access — add to your briefcase to read the full text and ask questions with AI

Related

Viceroy Group, Llc, Et Ano v. Tok, Llc, Et Ano
Court of Appeals of Washington, 2021
General Re Life Corp. v. Lincoln National Life Insurance Co.
273 F. Supp. 3d 307 (D. Connecticut, 2017)
Regional Local Union No. 846 v. Gulf Coast Rebar, Inc.
194 F. Supp. 3d 1096 (D. Oregon, 2016)
Government of the Virgin Islands v. American Federation of Teachers, Local 1825
61 V.I. 34 (Superior Court of The Virgin Islands, 2014)
Hill v. Wackenhut Services International
971 F. Supp. 2d 5 (District of Columbia, 2013)
All Seasons Services, Inc. v. Guildner
891 A.2d 97 (Connecticut Appellate Court, 2006)
Peters v. Winco Foods, Inc.
320 F. Supp. 2d 1035 (E.D. California, 2004)

Cite This Page — Counsel Stack

Bluebook (online)
109 F.3d 1409, 97 Cal. Daily Op. Serv. 2223, 97 Daily Journal DAR 4061, 154 L.R.R.M. (BNA) 2865, 1997 U.S. App. LEXIS 5671, 1997 WL 149243, Counsel Stack Legal Research, https://law.counselstack.com/opinion/international-brotherhood-of-teamsters-chauffeurs-warehousemen-and-ca9-1997.