Aircraft Mechanics Fraternal Ass'n v. Transport Workers Union of America, Local 514, Air Transport Div., AFL-CIO, AFL-CI

• Decision Date: 22 October 1996
• Docket Number: AFL-CI,No. 95-5273,D,95-5273
• Citation: 98 F.3d 597
• Parties: 153 L.R.R.M. (BNA) 2583, 132 Lab.Cas. P 11,693 AIRCRAFT MECHANICS FRATERNAL ASSOCIATION, an Unincorporated Association and Labor Organization, Plaintiff, and Kenyon Wallis, Plaintiff-Appellant, v. TRANSPORT WORKERS UNION OF AMERICA, LOCAL 514, AIR TRANSPORT DIVISION,efendant-Appellee.
• Court: U.S. Court of Appeals — Tenth Circuit

Page 597

98 F.3d 597

153 L.R.R.M. (BNA) 2583, 132 Lab.Cas. P 11,693

AIRCRAFT MECHANICS FRATERNAL ASSOCIATION, an Unincorporated Association and Labor Organization, Plaintiff and Kenyon Wallis, Plaintiff-Appellant, v. TRANSPORT WORKERS UNION OF AMERICA, LOCAL 514, AIR TRANSPORT DIVISION, AFL-CIO, Defendant-Appellee.

No. 95-5273.

United States Court of Appeals, Tenth Circuit.

Oct. 22, 1996.

Joe L. White, Collinsville, OK, for Plaintiff-Appellant.

Steven R. Hickman of Frasier, Frasier & Hickman, Tulsa, OK, for Defendant-Appellee.

Before BRORBY, BARRETT, and EBEL, Circuit Judges.

EBEL, Circuit Judge.

In this appeal, ¹ we address whether a union violated the freedom of speech and assembly provision of the Labor Management Reporting and Disclosure Act (LMRDA), see 29 U.S.C. § 411(a)(2), when it suspended one of its members for assisting a rival union's adversarial effort to prompt a representation election and displace it as incumbent. After considering the pertinent statutory authority and associated case law, we hold that the disciplinary action taken by the union was a reasonable defense of its institutional integrity and, therefore, permissible under § 411(a)(2).

I

The pertinent facts are not in dispute. The Transport Workers Union of America (TWU) is the certified bargaining representative for various mechanic and maintenance employees of American Airlines. Defendant Local 514 is the agent for TWU at the facility where plaintiff Kenyon Wallis is employed. While a member of Local 514, plaintiff executed an election authorization card on behalf of another union, which stated: "I authorize the Aircraft Mechanics Fraternal Association [AMFA] to request the National Mediation Board to conduct an investigation and a representation election and upon winning to represent me as my agent in accordance with the terms and provisions of the Railway Labor Act, as amended." Appellant's App. at 70, 71. Plaintiff also distributed and encouraged fellow employees to execute such cards.

A shop steward eventually wrote out a complaint against plaintiff, who was charged with violating union constitutional provisions which prohibit advocating withdrawal from TWU or promoting a rival union ("dual unionism"). Following notice and a hearing, the Local 514 Executive Board placed plaintiff in bad standing for a period of three years. During this time, plaintiff is "ineligible to attend Union meetings, to be a candidate for or hold any Union office or position, or to vote in any Union election or referendum or otherwise participate in Union affairs." Appellee's App. at 14. However, neither his employment nor his right to fair representation by the union is affected. ²

Alleging that the disciplinary proceedings and resulting sanction interfered with his organizational rights, plaintiff Wallis ³ commenced this action for injunctive relief against Local 514. ⁴ The parties stipulated to the material facts and filed cross-motions for summary judgment. The district court granted the union's motion, stating:

The Court believes that this dispute is covered by the [LMRDA]. Pursuant to 29 U.S.C. § 411(a)(2), the right of free speech of a member of a labor organization is limited to the extent that the organization has adopted and enforces "reasonable rules as to the responsibility of every member toward the organization as an institution." As a result, TWU had the right to discipline Plaintiff for his conduct. See, e.g., Mayle v. Laborer's Int'l Union of North Amer., Local 1015, 866 F.2d 144, 146-47 (6th Cir.1988)[holding discipline for dual unionism permissible]; Ferguson v. International Ass'n of Bridge, Structural & Ornamental Iron Workers, 854 F.2d 1169, 1174-75 (9th Cir.1988)[same].

Appellant's App. at 90-91.

II

As a matter of federal procedure, we review the district court's summary judgment determination de novo. See Wolf v. Prudential Ins. Co., 50 F.3d 793, 796 (10th Cir.1995). More importantly, because the controlling issue is not the sufficiency of the evidence adduced at the union hearing to establish plaintiff's charged conduct, but, rather, whether that undisputed conduct provided a statutorily permissible basis for the resulting discipline, our consideration of the underlying substance of this case is de novo as well. See Black v. Ryder/P.I.E. Nationwide, Inc., 970 F.2d 1461, 1467-69 (6th Cir.1992)(while "some evidence" standard governs judicial review with respect to procedural adequacy of union disciplinary proceeding, statutory authorization/prohibition of proceeding itself is reviewed de novo); cf. Hill v. NTSB, 886 F.2d 1275, 1278 (10th Cir.1989)(review of administrative fact findings limited by "substantial evidence" standard, but interpretation of statutory provisions considered de novo). See generally United States v. Diaz, 989 F.2d 391, 392 (10th Cir.1993)(construction of federal statutes is legal matter reviewed de novo on appeal).

We need also to clarify the breadth of our review here. Before plaintiff turns to his argument on the merits under § 411(a)(2), he includes in his opening brief a short summary of the role of the National Mediation Board in elections and labor disputes under the Railway Labor Act (RLA), which covers his air-carrier employer, see 45 U.S.C. § 181. In this summary, plaintiff notes the general importance of representational choice, quoting from unfair labor practice provisions of the RLA, see 45 U.S.C. § 152 (Fourth), and the National Labor Relations Act (NLRA), see 29 U.S.C. § 158(b). The immediate significance, if any, of this background exposition is never made clear. Plaintiff does not contend, for example, that the district court erred in relying on the LMRDA to resolve the case, nor does he cite any authority for application of the quoted NLRA and RLA provisions to the intra-union dispute at issue here. The union, on the other hand, notes that (1) the NLRA does not apply to air carrier employment, see Barnett v. United Air Lines, Inc., 738 F.2d 358, 361 (10th Cir.), cert. denied, 469 U.S. 1087, 105 S.Ct. 594, 83 L.Ed.2d 703 (1984); Johnson v. Express One Int'l, Inc., 944 F.2d 247, 250 (5th Cir.1991) and (2) the cited RLA provision refers only to employer interference in union affairs, not to internal union disciplinary proceedings. The latter proceedings are precisely the subject of the LMRDA provision exclusively relied on by the district court--as well as by all of the pertinent authorities we consider below. Further, in his reply brief, plaintiff does not even mention the NLRA or RLA provisions, much less respond to the union's arguments regarding their inapplicability. Under the circumstances, we shall consider only the question expressly decided by the district court: whether plaintiff's suspension violated the speech and assembly guarantees of the LMRDA.

III

Section 411(a)(2) guarantees a union member "the right to meet and assemble freely with other members; and to express any views, arguments, or opinions; and to express at meetings of the labor organization his views, upon candidates [for union office] ... or upon any business properly before the meeting." However, these individual rights are expressly qualified by recognition of an overarching interest in maintaining the integrity and effectiveness of the union as the collective representative of all of its members: "Provided, That nothing herein shall be construed to impair the right of a labor organization to adopt and enforce reasonable rules as to the responsibility of every member toward the organization as an institution and to his refraining from conduct that would interfere with its performance of its legal and contractual obligations." Id.

Following the structure of the statute, the Supreme Court has outlined a two-step analysis for the resolution of § 411(a)(2) claims:

To determine whether a union rule is valid under the statute, we first consider whether the rule interferes with an interest protected by the first part of [ § 411(a)(2) ]. If it does, we then determine whether the rule is "reasonable" and thus sheltered by the proviso to [ § 411(a)(2) ].... The critical question is whether a rule that partially interferes with a protected interest is nevertheless reasonably related to the protection of the organization as an institution.

United Steelworkers v. Sadlowski, 457 U.S. 102, 111-12, 102 S.Ct. 2339, 2345-46, 72 L.Ed.2d 707 (1982). In conducting this analysis, we are to "find guidance in the policies that underlie the LMRDA in general and Title I [the "bill of rights" section including § 411(a)(2) ] in particular." Id. at 111, 102 S.Ct. at 2345.

A

The Supreme Court has on numerous occasions consistently identified the paramount purpose of § 411(a)(2), and the LMRDA generally, to be that of assuring rank-and-file members' democratic participation in intra-union affairs, such as voting in union elections, standing for union office, and approving (or challenging) official union policies and decisions. See, e.g., Reed v. United Transp. Union, 488 U.S. 319, 325, 109 S.Ct. 621, 625-26, 102 L.Ed.2d 665 (1989); Sadlowski, 457 U.S. at 112, 102 S.Ct. at 2346 (majority op.), 122-23, 102 S.Ct. at 2350-51 (White, J., dissenting); Finnegan v. Leu, 456 U.S. at 435-37, 102 S.Ct. at 1870-72; Hall v. Cole, 412 U.S. 1, 14, 93 S.Ct. 1943, 1950-51, 36 L.Ed.2d 702 (1973). Members' free speech rights are, accordingly, seen as a necessary means for the "improvement or preservation of democracy within the union." Reed, 488 U.S at 326, 109 S.Ct. at 626 (emphasis added); see also Sadlowski, 457 U.S. at 112, 102 S.Ct. at 2346 ("democracy would be assured only if union members are free to discuss union policies and criticize the leadership without fear of reprisal").

B

Unlike internal political struggle and critical debate, which may unsettle current leadership but do not undermine the union as an institution, members' advocacy of representation elections and promotion of rival organizations therein obviously "threaten...