United Transp. Union v. National R.R. Passenger

Decision Date09 December 2009
Docket NumberNo. 08-0854-CV.,08-0854-CV.
Citation588 F.3d 805
PartiesUNITED TRANSPORTATION UNION and Carmen J. Famulare, Plaintiffs-Appellees, v. NATIONAL RAILROAD PASSENGER CORPORATION (AMTRAK), Defendant-Appellant.
CourtU.S. Court of Appeals — Second Circuit

Kevin C. Brodar, Associate General Counsel (Clinton J. Miller, III, General Counsel, on the brief), United Transportation Union, Cleveland, OH, for United Transportation Union and Carmen J. Famulare.

Thomas E. Reinert, Jr., (Jonathan C. Fritts and Kirsten B. White, on the brief), Morgan Lewis & Bockius, LLP, Washington, DC, for National Railroad Passenger Corporation (Amtrak).

Before: CABRANES and HALL, Circuit Judges, and SULLIVAN, District Judge.*

RICHARD J. SULLIVAN, District Judge:

National Railroad Passenger Corporation (Amtrak) appeals from an order of the United States District Court for the Northern District of New York (Lawrence E. Kahn, Judge) granting United Transportation Union and Carmen J. Famulare's motion for summary judgment, denying Amtrak's motion for summary judgment, and setting aside an award issued by Public Law Board No. 6865 (the "Board"), a special adjustment board constituted pursuant to the Railway Labor Act, 45 U.S.C. § 151 et seq. (the "RLA").1

This case raises what appears to be a novel question in this Circuit involving the interpretation of the RLA and the scope of judicial review of a labor board's compliance with 45 U.S.C. § 152 Third ("§ 152 Third") under 45 U.S.C. § 153 First (q) ("§ 153 First (q)"). Put less obliquely, we must determine whether the Board failed to comply with the RLA or exceeded its jurisdiction under the RLA when it held that Amtrak was permitted to discipline an employee for conduct that occurred while that employee was functioning as a union representative. The district court found that such a holding by a labor board fails to comply with the RLA, and did not reach the jurisdictional question. For the reasons stated below, we reverse, and find both that the Board's decision complied with the RLA and that the Board acted within the proper scope of its jurisdiction.

I. BACKGROUND

Carmen J. Famulare began working as a conductor for Amtrak in 1994. At the time relevant to this case, Famulare also served as the local chairman of the United Transportation Union, the labor union authorized to represent certain classes of Amtrak employees. On February 4, 2005, Famulare represented an Amtrak employee at a disciplinary hearing, during which Famulare allegedly attempted to bribe a witness by offering free transportation on Amtrak trains between Poughkeepsie, New York, and Buffalo, New York. Amtrak subsequently charged Famulare with violating its "Service Standards for Train Service and On-Board Service Employees," as well as interfering with the contractual disciplinary process between Amtrak and the United Transportation Union. Although Famulare denied the allegations, after a formal investigation initiated by Amtrak, an Amtrak hearing officer found Famulare guilty of the alleged conduct. In so finding, the hearing officer determined that "[t]he mere suggestion that any employee of [Amtrak], while acting in the capacity as a union representative could, with complete immunity, engage in acts of bribery or dishonesty for the purpose of influencing the outcome of a disciplinary investigation is simply not tenable." J.A. 8 (Decision of Hearing Officer Ronald Nies, dated March 17, 2005, Case No. 05-066). Amtrak immediately terminated Famulare's employment, effective March 17, 2005.

The United Transportation Union pursued an appeal on Famulare's behalf through binding arbitration before the Board. After reviewing the record, the Board concluded that Famulare was guilty as charged. The Board rejected the argument that Amtrak was not permitted to discipline Famulare while he was acting within the scope of his union duties, explaining that "[w]e have considered all the evidence, arguments[,] awards[,] and cases presented by the parties and conclude that significant latitude is provided to employee-representatives when functioning as such. However, that latitude falls far short of being a `cloak of immunity,' and does not cover activities such as that involved in this case." Nat'l R.R. Passenger Corp. (Amtrak) v. United Transp. Union, Award No. 10, Case No. 24 (Mar. 9, 2006) (Johnson, Arb.).

The United Transportation Union and Famulare next appealed the Board's decision to the United States District Court for the Northern District of New York, pursuant to § 153 First (q).2 Ruling on cross-motions for summary judgment, the district court vacated the Board's decision, finding that the RLA "does not provide employers with any say over the conduct of the employees' representative while the representative is engaged in his or her representative capacity; in fact, the Act forbids it." United Transp. Union v. Nat'l R.R. Passenger Corp., No. 06 Civ. 503(LEK), 2008 WL 6693450, *6 (N.D.N.Y. Feb. 4, 2008). Accordingly, the district court set aside the Board's award, granting the United Transportation Union and Famulare's motion for summary judgment, and denying Amtrak's motion for summary judgment. Id. at **6-7.

This appeal followed.3

II. STANDARD OF REVIEW

We review a grant of summary judgment under Rule 56 of the Federal Rules of Civil Procedure de novo, applying the same standard as the district court. Parks Real Estate Purchasing Group v. St. Paul Fire & Marine Ins. Co., 472 F.3d 33, 41 (2d Cir.2006). In a motion for summary judgment, the moving party bears the burden of showing that he or she is entitled to summary judgment. See Huminski v. Corsones, 396 F.3d 53, 69 (2d Cir.2005). Pursuant to Rule 56(c), summary judgment is appropriate "if the pleadings, the discovery and disclosure materials on file, and any affidavits show that there is no genuine issue as to any material fact and that the movant is entitled to judgment as a matter of law." Fed.R.Civ.P. 56(c); see also Matican v. City of New York, 524 F.3d 151, 154 (2d Cir.2008). "A dispute about a `genuine issue' exists for summary judgment purposes where the evidence is such that a reasonable jury could decide in the non-movant's favor." Beyer v. County of Nassau, 524 F.3d 160, 163 (2d Cir.2008) (quoting Guilbert v. Gardner, 480 F.3d 140, 145 (2d Cir.2007)); see also Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 248, 106 S.Ct. 2505, 91 L.Ed.2d 202 (1986).

III. DISCUSSION
A. The RLA's Dispute Resolution Framework

The RLA was enacted in 1926 to provide for the prompt and orderly settlement of labor disputes between railway carriers and their employees, with the goal of avoiding strikes and the resultant disruption to interstate commerce. See 45 U.S.C. § 151a; see also Detroit & Toledo Shore Line R.R. Co. v. United Transp. Union, 396 U.S. 142, 148, 90 S.Ct. 294, 24 L.Ed.2d 325 (1969). To effectuate this purpose, the RLA imposes distinct dispute resolution procedures for what the Supreme Court has labeled "minor" and "major" disputes. See Elgin, J. & E. Ry. Co. v. Burley, 325 U.S. 711, 723-25, 65 S.Ct. 1282, 89 L.Ed. 1886 (1945). For "major" disputes, the RLA requires "voluntary processes of negotiation, mediation, voluntary arbitration, and conciliation." Id. at 725, 65 S.Ct. 1282. For "minor" disputes, "[t]he labor-management adjustment boards, created pursuant to 45 U.S.C. § 184, have exclusive jurisdiction." Indep. Union of Flight Attendants v. Pan Am. World Airways, Inc., 789 F.2d 139, 141 (2d Cir.1986); see also Bhd. of R.R. Trainmen v. Chi. River & Ind. R.R. Co., 353 U.S. 30, 39, 77 S.Ct. 635, 1 L.Ed.2d 622 (1957); Ollman v. Special Bd. of Adjustment No. 1063, 527 F.3d 239, 245-46 (2d Cir.2008).

This Court has explained the differences between "major" and "minor" disputes on several occasions. See, e.g., Bhd. of Locomotive Eng'rs Div. 269 v. Long Island R.R. Co., 85 F.3d 35, 37-38 (2d Cir.1996); CSX Transp., Inc. v. United Transp. Union, 950 F.2d 872, 874 (2d Cir. 1991); Pan Am. World Airways, Inc., 789 F.2d at 140-41. In brief, "major disputes" "relate[ ] to disputes over the formation of collective agreements or efforts to secure them," while "minor disputes" "contemplate[ ] the existence of a collective agreement already concluded or, at any rate, a situation in which no effort is made to bring about a formal change in terms or to create a new one." Elgin, 325 U.S. at 723, 65 S.Ct. 1282. We have specifically held that the category of "minor disputes" encompasses "disciplinary disputes even if involving employee discharge." Pan Am. World Airways, Inc., 789 F.2d at 141.

There is no dispute that Amtrak is a "carrier" within the meaning of the RLA, 45 U.S.C. § 151 First, or that Famulare is an "employee" of such a carrier, 45 U.S.C. § 151 Fifth. There also appears to be no disagreement that Amtrak's termination of Famulare qualified as a "minor dispute" and therefore was subject to compulsory arbitration before the Board. Here, as noted, Famulare and the United Transportation Union pursued their grievance before one such board, Public Law Board No. 6865, which found in favor of Amtrak. Famulare and the United Transportation Union then appealed to the district court pursuant to § 153 First (q), which set aside the Board's decision, holding that the Board "failed to comply" with § 152 Third of the RLA.

B. Judicial Review of the Board's Decision

Section 153 First (q) of the RLA allows for a limited judicial review of a labor board's ruling. The statute provides:

On such review, the findings and order of the division shall be conclusive on the parties, except that the order of the division may be set aside, in whole or in part, or remanded to the division, [1] for failure of the division to comply with the requirements of this chapter, [2] for failure of the order to conform, or confine itself, to matters within the scope of the division's jurisdiction, or [3] for fraud or corruption by a member of the division making the order.

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