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美国联邦法院判决

美国联邦法院判决
美国联邦法院判决

1 (Slip Opinion) OCTOBER TERM, 2009

Syllabus

NOTE: Where it is feasible, a syllabus (headnote) will be released, as is

being done in connection with this case, at the time the opinion is issued.

The syllabus constitutes no part of the opinion of the Court but has been

prepared by the Reporter of Decisions for the convenience of the reader.

See United States v. Detroit Timber & Lumber Co., 200 U. S. 321, 337. SUPREME COURT OF THE UNITED STATES

Syllabus

GRANITE ROCK CO. v. INTERNATIONAL BROTHER-

HOOD OF TEAMSTERS ET AL.

CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR

THE NINTH CIRCUIT

No. 08–1214. Argued January 19, 2010—Decided June 24, 2010

In June 2004, respondent local union (Local), supported by its parent international (IBT), initiated a strike against petitioner Granite Rock, the employer of some of Local’s members, following the expira-tion of the parties’ collective-bargaining agreement (CBA) and an im-passe in their negotiations. On July 2, the parties agreed to a new CBA containing no-strike and arbitration clauses, but could not reach a separate back-to-work agreement holding local and international union members harmless for any strike-related damages Granite Rock incurred. IBT instructed Local to continue striking until Gran-ite Rock approved such a hold-harmless agreement, but the company refused to do so, informing Local that continued strike activity would violate the new CBA’s no-strike clause. IBT and Local responded by announcing a company-wide strike involving numerous facilities and workers, including members of other IBT locals.

Granite Rock sued IBT and Local, invoking federal jurisdiction under §301(a) of the Labor Management Relations Act, 1947 (LMRA), seeking strike-related damages for the unions’ alleged breach of con-tract, and asking for an injunction against the ongoing strike because the hold-harmless dispute was an arbitrable grievance under the new CBA. The unions conceded §301(a) jurisdiction, but asserted that the new CBA was never validly ratified by a vote of Local’s members, and, thus, the CBA’s no-strike clause did not provide a basis for Granite Rock to challenge the strike. After Granite Rock amended its complaint to add claims that IBT tortiously interfered with the new CBA, the unions moved to dismiss. The District Court granted IBT’s motion to dismiss the tortious interference claims on the ground that §301(a) supports a federal cause of action only for breach

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of contract. But the court denied Local’s separate motion to send the parties’ dispute over the CBA’s ratification date to arbitration, ruling that a jury should decide whether ratification occurred on July 2, as Granite Rock contended, or on August 22, as Local alleged. After the jury concluded that the CBA was ratified on July 2, the court ordered arbitration to proceed on Granite Rock’s breach-of-contract claims. The Ninth Circuit affirmed the dismissal of the tortious interference claims, but reversed the arbitration order, holding that the parties’ratification-date dispute was a matter for an arbitrator to resolve un-der the CBA’s arbitration clause. The Court of Appeals reasoned that the clause covered the ratification-date dispute because the clause clearly covered the related strike claims; national policy favoring ar-bitration required ambiguity about the arbitration clause’s scope to be resolved in favor of arbitrability; and, in any event, Granite Rock had implicitly consented to arbitrate the ratification-date dispute by suing under the contract.

Held:

1. The parties’ dispute over the CBA’s ratification date was a mat-ter for the District Court, not an arbitrator, to resolve. Pp. 6–20.

(a) Whether parties have agreed to arbitrate a particular dispute is typically an “ ‘ issue for judicial determination,’ ” e.g., Howsam v. Dean Witter Reynolds, Inc., 537 U. S. 79, 83, as is a dispute over an arbitration contract’s formation, see, e.g., First Options of Chicago, Inc. v. Kaplan, 514 U. S. 938, 944. These principles would neatly dispose of this case if the formation dispute here were typical. But it is not. It is based on when (not whether) the new CBA containing the parties’ arbitration clause was ratified and thereby formed. To de-termine whether the parties’ dispute over the CBA’s ratification date is arbitrable, it is necessary to apply the rule that a court may order arbitration of a particular dispute only when satisfied that the par-ties agreed to arbitrate that dispute. See, e.g., id., at 943. To satisfy itself that such agreement exists, the court must resolve any issue that calls into question the specific arbitration clause that a party seeks to have the court enforce. See, e.g., Rent-A-Center, West, Inc. v. Jackson, ante, at 4–6. Absent an agreement committing them to an arbitrator, such issues typically concern the scope and enforceability of the parties’ arbitration clause. In addition, such issues always in-clude whether the clause was agreed to, and may include when that agreement was formed. Pp. 6–7.

(b) In cases invoking the “federal policy favoring arbitration of labor disputes,” Gateway Coal Co. v. Mine Workers, 414 U. S. 368, 377, courts adhere to the same framework, see, e.g., AT&T Technolo-gies, Inc. v. Communications Workers, 475 U. S. 643, and discharge their duty to satisfy themselves that the parties agreed to arbitrate a

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particular dispute by (1) applying the presumption of arbitrability only where a validly formed and enforceable arbitration agreement is ambiguous about whether it covers the dispute at hand and (2) order-ing arbitration only where the presumption is not rebutted, see, e.g., id., at 651–652. Local is thus wrong to suggest that the presumption takes courts outside the settled framework for determining arbitra-bility. This Court has never held that the presumption overrides the principle that a court may submit to arbitration “only those disputes . . . the parties have agreed to submit,” First Options, supra, at 943, nor that courts may use policy considerations as a substitute for party agreement, see, e.g., AT&T Technologies, supra, at 648?651. The presumption should be applied only where it reflects, and derives its legitimacy from, a judicial conclusion (absent a provision validly committing the issue to an arbitrator) that arbitration of a particular dispute is what the parties intended because their express agreement to arbitrate was validly formed, is legally enforceable, and is best con-strued to encompass the dispute. See, e.g., First Options, supra, at 944–945. This simple framework compels reversal of the Ninth Cir-cuit’s judgment because it requires judicial resolution of two related questions central to Local’s arbitration demand: when the CBA was formed, and whether its arbitration clause covers the matters Local wishes to arbitrate. Pp. 7–13.

(c) The parties characterize their ratification-date dispute as a formation dispute because a union vote ratifying the CBA’s terms was necessary to form the contract. For purposes of determining ar-bitrability, when a contract is formed can be as critical as whether it was formed. That is so where, as here, an agreement’s ratification date determines its formation date, and thus determines whether its provisions were enforceable during the period relevant to the parties’dispute. This formation date question requires judicial resolution here because it relates to Local’s arbitration demand in a way that required the District Court to determine the CBA’s ratification date in order to decide whether the parties consented to arbitrate the mat-ters the demand covered. The CBA requires arbitration only of dis-putes that “arise under” the agreement. The parties’ ratification-date dispute does not clearly fit that description. But the Ninth Circuit credited Local’s argument that the ratification-date dispute should be presumed arbitrable because it relates to a dispute (the no-strike dis-pute) that does clearly “arise under” the CBA. The Ninth Circuit overlooked the fact that this theory of the ratification-date dispute’s arbitrability fails if, as Local asserts, the new CBA was not formed until August 22, because in that case there was no CBA for the July no-strike dispute to “arise under.” Local attempts to address this flaw in the Circuit’s reasoning by arguing that a December 2004

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document the parties executed rendered the new CBA effective as of May 1, 2004, the date the prior CBA expired. The Court of Appeals did not rule on this claim, and this Court need not do so either be-cause it was not raised in Local’s brief in opposition to the certiorari petition. Pp. 13–17.

(d) Another reason to reverse the Court of Appeals’ judgment is that the ratification-date dispute, whether labeled a formation dis-pute or not, falls outside the arbitration clause’s scope on grounds the presumption favoring arbitration cannot cure. CBA §20 provides, in-ter alia, that “[a]ll disputes arising under this agreement shall be re-solved in accordance with the [Grievance] procedure,” which includes arbitration. The parties’ ratification-date dispute cannot properly be said to fall within this provision’s scope for at least two reasons. First, the question whether the CBA was validly ratified on July 2, 2004—a question concerning the CBA’s very existence—cannot fairly be said to “arise under” the CBA. Second, even if the “arising under” language could in isolation be construed to cover this dispute, §20’s remaining provisions all but foreclose such a reading by describing that section’s arbitration requirement as applicable to labor dis-agreements that are addressed in the CBA and are subject to its re-quirement of mandatory mediation. The Ninth Circuit’s contrary conclusion finds no support in §20’s text. That court’s only effort to grapple with that text misses the point by focusing on whether Gran-ite Rock’s claim to enforce the CBA’s no-strike provisions could be characterized as “arising under” the agreement, which is not the dis-positive issue here. Pp. 17–18.

(e) Local’s remaining argument in support of the Court of Ap-peals’ judgment—that Granite Rock “implicitly” consented to arbitra-tion when it sued to enforce the CBA’s no-strike and arbitrable griev-ance provisions—is similarly unavailing. Although it sought an injunction against the strike so the parties could arbitrate the labor grievance giving rise to it, Granite Rock’s decision to sue does not es-tablish an agreement, “implicit” or otherwise, to arbitrate an issue (the CBA’s formation date) that the company did not raise and has always rightly characterized as beyond the arbitration clause’s scope. Pp. 19–20.

2. The Ninth Circuit did not err in declining to recognize a new fed-eral common-law cause of action under LMRA §301(a) for IBT’s al-leged tortious interference with the CBA. Though virtually all other Circuits have rejected such claims, Granite Rock argues that doing so in this case is inconsistent with federal labor law’s goal of promoting industrial peace and economic stability through judicial enforcement of CBAs, and with this Court’s precedents holding that a federal common law of labor contracts is necessary to further this goal, see,

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e.g., Textile Workers v. Lincoln Mills of Ala., 353 U. S. 448, 451. The company says the remedy it seeks is necessary because other poten-tial avenues for deterrence and redress, such as state-law tort claims, unfair labor practices claims before the National Labor Relations Board (NLRB), and federal common-law breach-of-contract claims, are either unavailable or insufficient. But Granite Rock has not yet exhausted all of these avenues for relief, so this case does not provide an opportunity to judge their efficacy. Accordingly, it would be pre-mature to recognize the cause of action Granite Rock seeks, even as-suming §301(a) authorizes this Court to do so. That is particularly true here because the complained-of course of conduct has already prompted judgments favorable to Granite Rock from the jury below and from the NLRB in separate proceedings concerning the union’s attempts to delay the new CBA’s ratification. Those proceedings, and others to be conducted on remand, buttress the conclusion that Gran-ite Rock’s assumptions about the adequacy of other avenues of relief are questionable, and that the Court of Appeals did not err in declin-ing to recognize the new federal tort Granite Rock requests. Pp. 20– 25.

546 F. 3d 1169, reversed in part, affirmed in part, and remanded.

T HOMAS, J., delivered the opinion of the Court, in which R OBERTS, C. J., and S CALIA, K ENNEDY, G INSBURG, B REYER, and A LITO, JJ., joined, and in which S TEVENS and S OTOMAYOR, JJ., joined as to Part III. S O-TOMAYOR, J., filed an opinion concurring in part and dissenting in part, in which S TEVENS, J., joined.

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Opinion of the Court

NOTICE: This opinion is subject to formal revision before publication in the

preliminary print of the United States Reports. Readers are requested to

notify the Reporter of Decisions, Supreme Court of the United States, Wash-

ington, D. C. 20543, of any typographical or other formal errors, in order

that corrections may be made before the preliminary print goes to press. SUPREME COURT OF THE UNITED STATES

No. 08–1214

GRANITE ROCK COMPANY, PETITIONER v.

INTERNATIONAL BROTHERHOOD

OF TEAMSTERS ET AL.

ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT

[June 24, 2010]

J USTICE T HOMAS delivered the opinion of the Court. This case involves an employer’s claims against a local union and the union’s international parent for economic damages arising out of a 2004 strike. The claims turn in part on whether a collective-bargaining agreement (CBA) containing a no-strike provision was validly formed during the strike period. The employer contends that it was, while the unions contend that it was not. Because the CBA contains an arbitration clause, we first address whether the parties’ dispute over the CBA’s ratification date was a matter for the District Court or an arbitrator to resolve. We conclude that it was a matter for judicial resolution. Next, we address whether the Court of Ap-peals erred in declining the employer’s request to recog-nize a new federal cause of action under §301(a) of the Labor Management Relations Act, 1947 (LMRA), 61 Stat. 156, 29 U. S. C. §185(a), for the international union’s alleged tortious interference with the CBA. The Court of Appeals did not err in declining this request.

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Opinion of the Court

I

Petitioner Granite Rock Company is a concrete and building materials company that has operated in Califor-nia since 1900. Granite Rock employs approximately 800 employees under different labor contracts with several unions, including respondent International Brotherhood of Teamsters, Local 287 (Local). Granite Rock and Local were parties to a 1999 CBA that expired in April 2004. The parties’ attempt to negotiate a new CBA hit an im-passe and, on June 9, 2004, Local members initiated a strike in support of their contract demands.1

The strike continued until July 2, 2004, when the par-ties reached agreement on the terms of a new CBA. The CBA contained a no-strike clause but did not directly address union members’ liability for any strike-related damages Granite Rock may have incurred before the new CBA was negotiated but after the prior CBA had expired. At the end of the negotiating session on the new CBA, Local’s business representative, George Netto, approached Granite Rock about executing a separate “back-to-work” agreement that would, among other things, hold union members harmless for damages incurred during the June 2004 strike. Netto did not make execution of such an agreement a condition of Local’s ratification of the CBA, or of Local’s decision to cease picketing. Thus, Local did not have a back-to-work or hold-harmless agreement in place when it voted to ratify the CBA on July 2, 2004. Respondent International Brotherhood of Teamsters (IBT), which had advised Local throughout the CBA nego-——————

1In deciding the arbitration question in this case we rely upon the terms of the CBA and the facts in the District Court record. In review-ing the judgment affirming dismissal of Granite Rock’s tort claims against respondent International Brotherhood of Teamsters (IBT) for failure to state a claim, we rely on the facts alleged in Granite Rock’s Third Amended Complaint. See, e.g.,H. J. Inc.v. Northwestern Bell Telephone Co., 492 U. S. 229, 250 (1989).

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Opinion of the Court

tiations and whose leadership and members supported the June strike, opposed Local’s decision to return to work without a back-to-work agreement shielding both Local and IBT members from liability for strike-related dam-ages. In an effort to secure such an agreement, IBT in-structed Local’s members not to honor their agreement to return to work on July 5, and instructed Local’s leaders to continue the work stoppage until Granite Rock agreed to hold Local and IBT members free from liability for the June strike. Netto demanded such an agreement on July 6, but Granite Rock refused the request and informed Local that the company would view any continued strike activity as a violation of the new CBA’s no-strike clause. IBT and Local responded by announcing a company-wide strike that involved numerous facilities and hundreds of workers, including members of IBT locals besides Local 287.

According to Granite Rock, IBT not only instigated this strike; it supported and directed it. IBT provided pay and benefits to union members who refused to return to work, directed Local’s negotiations with Granite Rock, supported Local financially during the strike period with a $1.2 million loan, and represented to Granite Rock that IBT had unilateral authority to end the work stoppage in exchange for a hold-harmless agreement covering IBT members within and outside Local’s bargaining unit.

On July 9, 2004, Granite Rock sued IBT and Local in the District Court, seeking an injunction against the ongoing strike and strike-related damages. Granite Rock’s complaint, originally and as amended, invoked federal jurisdiction under LMRA §301(a), alleged that the July 6 strike violated Local’s obligations under the CBA’s no-strike provision, and asked the District Court to enjoin the strike because the hold-harmless dispute giving rise to the strike was an arbitrable grievance. See Boys Markets, Inc. v. Retail Clerks, 398 U. S. 235, 237–238, 253–254 (1970)

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Opinion of the Court

(holding that federal courts may enjoin a strike where a CBA contemplates arbitration of the dispute that occa-sions the strike). The unions conceded that LMRA §301(a) gave the District Court jurisdiction over the suit but op-posed Granite Rock’s complaint, asserting that the CBA was not validly ratified on July 2 (or at any other time relevant to the July 2004 strike) and, thus, its no-strike clause did not provide a basis for Granite Rock’s claims challenging the strike.

The District Court initially denied Granite Rock’s re-quest to enforce the CBA’s no-strike provision because Granite Rock was unable to produce evidence that the CBA was ratified on July 2. App. 203–213. Shortly after the District Court ruled, however, a Local member testi-fied that Netto had put the new CBA to a ratification vote on July 2, and that the voting Local members unani-mously approved the agreement. Based on this statement and supporting testimony from 12 other employees, Gran-ite Rock moved for a new trial on its injunction and dam-ages claims.

On August 22, while that motion was pending, Local conducted a second successful “ratification” vote on the CBA, and on September 13, the day the District Court was scheduled to hear Granite Rock’s motion, the unions called off their strike. Although their return to work mooted Granite Rock’s request for an injunction, the District Court proceeded with the hearing and granted Granite Rock a new trial on its damages claims. The parties pro-ceeded with discovery and Granite Rock amended its complaint, which already alleged federal2 claims for breach of the CBA against both Local and IBT, to add federal inducement of breach and interference with con-——————

2This Court has recognized a federal common-law claim for breach of a CBA under LMRA §301(a). See, e.g., Textile Workers v. Lincoln Mills of Ala., 353 U. S. 448, 456 (1957).

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tract (hereinafter tortious interference) claims against IBT.

IBT and Local both moved to dismiss. Among other things, IBT argued that Granite Rock could not plead a federal tort claim under §301(a) because that provision supports a federal cause of action only for breach of con-tract. The District Court agreed and dismissed Granite Rock’s tortious interference claims. The District Court did not, however, grant Local’s separate motion to send the parties’ dispute over the CBA’s ratification date to arbitra-tion.3 The District Court held that whether the CBA was ratified on July 2 or August 22 was an issue for the court to decide, and submitted the question to a jury. The jury reached a unanimous verdict that Local ratified the CBA on July 2, 2004. The District Court entered the verdict and ordered the parties to proceed with arbitration on Granite Rock’s breach-of-contract claims for strike-related damages.

The Court of Appeals for the Ninth Circuit affirmed in part and reversed in part. See 546 F. 3d 1169 (2008). The Court of Appeals affirmed the District Court’s dismissal of Granite Rock’s tortious interference claims against IBT. See id., at 1170–1175. But it disagreed with the District Court’s determination that the date of the CBA’s ratifica-tion was a matter for judicial resolution. See id., at 1176– 1178. The Court of Appeals reasoned that the parties’ dispute over this issue was governed by the CBA’s arbitra-tion clause because the clause clearly covered the related strike claims, the “national policy favoring arbitration” required that any ambiguity about the scope of the parties’ arbitration clause be resolved in favor of arbitrability, and, ——————

3The CBA’s ratification date is important to Granite Rock’s underly-ing suit for strike damages. If the District Court correctly concluded that the CBA was ratified on July 2, Granite Rock could argue on remand that the July work stoppage violated the CBA’s no-strike clause.

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in any event, Granite Rock had “implicitly” consented to arbitrate the ratification-date dispute “by suing under the contract.” Id., at 1178 (internal quotation marks omitted). We granted certiorari. See 557 U. S. ___ (2009).

II

It is well settled in both commercial and labor cases that whether parties have agreed to “submi[t] a particular dispute to arbitration” is typically an “‘issue for judicial determination.’” Howsam v. Dean Witter Reynolds, Inc., 537 U. S. 79, 83 (2002) (quoting AT&T Technologies, Inc. v. Communications Workers, 475 U. S. 643, 649 (1986)); see John Wiley & Sons, Inc. v. Livingston, 376 U. S. 543, 546–547 (1964). It is similarly well settled that where the dispute at issue concerns contract formation, the dispute is generally for courts to decide. See, e.g., First Options of Chicago, Inc. v. Kaplan, 514 U. S. 938, 944 (1995) (“When deciding whether the parties agreed to arbitrate a certain matter . . . courts generally . . . should apply ordinary . . . principles that govern the formation of contracts”); AT&T Technologies, supra, at 648?649 (explaining the settled rule in labor cases that “‘arbitration is a matter of con-tract’” and “arbitrators derive their authority to resolve disputes only because the parties have agreed in advance to submit such grievances to arbitration”); Buckeye Check Cashing, Inc. v. Cardegna, 546 U. S. 440, 444, n. 1 (2006) (distinguishing treatment of the generally nonarbitral question whether an arbitration agreement was “ever concluded” from the question whether a contract con- taining an arbitration clause was illegal when formed, which question we held to be arbitrable in certain circumstances).

These principles would neatly dispose of this case if the formation dispute here were typical. But it is not. It is based on when (not whether) the CBA that contains the parties’ arbitration clause was ratified and thereby

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formed.4 And at the time the District Court considered Local’s demand to send this issue to an arbitrator, Granite Rock, the party resisting arbitration, conceded both the formation and the validity of the CBA’s arbitration clause. These unusual facts require us to reemphasize the proper framework for deciding when disputes are arbitra-ble under our precedents. Under that framework, a court may order arbitration of a particular dispute only where the court is satisfied that the parties agreed to arbitrate that dispute. See First Options, supra, at 943; AT&T Technologies, supra, at 648?649. To satisfy itself that such agreement exists, the court must resolve any issue that calls into question the formation or applicability of the specific arbitration clause that a party seeks to have the court enforce. See, e.g., Rent-A-Center, West, Inc. v. Jackson, ante, at 4?6 (opinion of S CALIA, J.). Where there is no provision validly committing them to an arbitrator, see ante, at 7, these issues typically concern the scope of the arbitration clause and its enforceability. In addition, these issues always include whether the clause was agreed to, and may include when that agreement was formed.

A

The parties agree that it was proper for the District Court to decide whether their ratification dispute was arbitrable.5 They disagree about whether the District Court answered the question correctly. Local contends that the District Court erred in holding that the CBA’s ——————

4Although a union ratification vote is not always required for the provisions in a CBA to be considered validly formed, the parties agree that ratification was such a predicate here. See App. 349–351.

5 Because neither party argues that the arbitrator should decide this question, there is no need to apply the rule requiring “ ‘clear and unmistakable’ ” evidence of an agreement to arbitrate arbitrability. First Options of Chicago, Inc. v. Kaplan, 514 U. S. 938, 944 (1995) (quoting AT&T Technologies, Inc. v. Communications Workers, 475 U. S. 643, 649 (1986) (alterations omitted)).

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ratification date was an issue for the court to decide. The Court of Appeals agreed, holding that the District Court’s refusal to send that dispute to arbitration violated two principles of arbitrability set forth in our precedents. See 546 F. 3d, at 1177?1178. The first principle is that where, as here, parties concede that they have agreed to arbitrate some matters pursuant to an arbitration clause, the “law’s permissive policies in respect to arbitration” counsel that “‘any doubts concerning the scope of arbitral issues should be resolved in favor of arbitration.’” First Options, supra, at 945 (quoting Mitsubishi Motors Corp. v. Soler Chrysler-Plymouth, Inc., 473 U. S. 614, 626 (1985)); see 546 F. 3d, at 1177?1178 (citing this principle and the “national policy favoring arbitration” in concluding that arbitration clauses “are to be construed very broadly” (internal quotation marks and citations omitted)). The second principle the Court of Appeals invoked is that this presumption of arbitrability applies even to disputes about the enforce-ability of the entire contract containing the arbitration clause, because at least in cases governed by the Federal Arbitration Act (FAA), 9 U. S. C. §1 et seq.,6 courts must treat the arbitration clause as severable from the contract in which it appears, and thus apply the clause to all dis-putes within its scope “‘[u]nless the [validity] challenge is to the arbitration clause itself’” or the party “disputes the ——————

6We, like the Court of Appeals, discuss precedents applying the FAA because they employ the same rules of arbitrability that govern labor cases. See, e.g., AT&T Technologies, supra, at 650. Indeed, the rule that arbitration is strictly a matter of consent—and thus that courts must typically decide any questions concerning the formation or scope of an arbitration agreement before ordering parties to comply with it—is the cornerstone of the framework the Court announced in the Steel-workers Trilogy for deciding arbitrability disputes in LMRA cases. See Steelworkers v. American Mfg. Co., 363 U. S. 564, 567?568 (1960); Steelworkers v. Warrior & Gulf Nav. Co., 363 U. S. 574, 582 (1960); Steelworkers v. Enterprise Wheel & Car Corp., 363 U. S. 593, 597 (1960).

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formation of [the] contract,” 546 F. 3d, at 1176 (quoting Buckeye, 546 U. S., at 445?446); 546 F. 3d, at 1177, and n. 4 (explaining that it would treat the parties’ arbitration clause as enforceable with respect to the ratification-date dispute because no party argued that the “clause is invalid in any way”)).

Local contends that our precedents, particularly those applying the “‘federal policy favoring arbitration of labor disputes,’” permit no other result. Brief for Respondent Local, p. 15 (quoting Gateway Coal Co. v. Mine Workers, 414 U. S. 368, 377 (1974)); see Brief for Respondent Local, pp. 10–13; 16–25. Local, like the Court of Appeals, over-reads our precedents. The language and holdings on which Local and the Court of Appeals rely cannot be di-vorced from the first principle that underscores all of our arbitration decisions: Arbitration is strictly “a matter of consent,” Volt Information Sciences, Inc. v. Board of Trus-tees of Leland Stanford Junior Univ., 489 U. S. 468, 479 (1989), and thus “is a way to resolve those disputes—but only those disputes—that the parties have agreed to sub-mit to arbitration,” First Options, 514 U. S., at 943 (em-phasis added).7 Applying this principle, our precedents hold that courts should order arbitration of a dispute only where the court is satisfied that neither the formation of the parties’ arbitration agreement nor (absent a valid provision specifically committing such disputes to an arbitrator) its enforceability or applicability to the dispute is in issue. Ibid. Where a party contests either or both matters, “the court” must resolve the disagreement. Ibid. Local nonetheless interprets some of our opinions to depart from this framework and to require arbitration of ——————

7See also Mastrobuono v. Shearson Lehman Hutton, Inc., 514 U. S. 52, 57 (1995); Dean Witter Reynolds Inc. v. Byrd, 470 U. S. 213, 219– 220 (1985); Scherk v. Alberto-Culver Co., 417 U. S. 506, 511 (1974); AT&T Technologies, supra, at 648; Warrior & Gulf, supra, at 582; United States v. Moorman, 338 U. S. 457, 462 (1950).

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certain disputes, particularly labor disputes, based on policy grounds even where evidence of the parties’ agree-ment to arbitrate the dispute in question is lacking. See Brief for Respondent Local, p. 16 (citing cases emphasizing the policy favoring arbitration generally and the “impres-sive policy considerations favoring arbitration” in LMRA cases (internal quotation marks omitted)). That is not a fair reading of the opinions, all of which compelled arbitra-tion of a dispute only after the Court was persuaded that the parties’ arbitration agreement was validly formed and that it covered the dispute in question and was legally enforceable. See, e.g., First Options, supra, at 944–945. That Buckeye and some of our cases applying a presump-tion of arbitrability to certain disputes do not discuss each of these requirements merely reflects the fact that in those cases some of the requirements were so obviously satisfied that no discussion was needed.

In Buckeye, the formation of the parties’ arbitration agreement was not at issue because the parties agreed that they had “concluded” an agreement to arbitrate and memorialized it as an arbitration clause in their loan contract. 546 U. S., at 444, n. 1. The arbitration clause’s scope was also not at issue, because the provision ex-pressly applied to “‘[a]ny claim, dispute, or controversy . . . arising from or relating to . . . the validity, enforceability, or scope of this Arbitration Provision or the entire Agree-ment.’” Id., at 442. The parties resisting arbitration (customers who agreed to the broad arbitration clause as a condition of using Buckeye’s loan service) claimed only that a usurious interest provision in the loan agreement invalidated the entire contract, including the arbitration clause, and thus precluded the Court from relying on the clause as evidence of the parties’ consent to arbitrate matters within its scope. See id., at 443. In rejecting this argument, we simply applied the requirement in §2 of the FAA that courts treat an arbitration clause as severable

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Opinion of the Court

from the contract in which it appears and enforce it ac-cording to its terms unless the party resisting arbitration specifically challenges the enforceability of the arbitration clause itself, see id., at 443?445 (citing 9 U. S. C. §2; Southland Corp. v. Keating, 465 U. S. 1, 4?5 (1984); Prima Paint Corp. v. Flood & Conklin Mfg. Co., 388 U. S. 395, 402?404 (1967)), or claims that the agreement to arbitrate was “[n]ever concluded,” 546 U. S., at 444, n. 1; see also Rent-A-Center, ante, at 6?7, and n. 2.

Our cases invoking the federal “policy favoring arbitra-tion” of commercial and labor disputes apply the same framework. They recognize that, except where “the par-ties clearly and unmistakably provide otherwise,” AT&T Technologies, 475 U. S., at 649, it is “the court’s duty to interpret the agreement and to determine whether the parties intended to arbitrate grievances concerning” a particular matter, id., at 651. They then discharge this duty by: (1) applying the presumption of arbitrability only where a validly formed and enforceable arbitration agree-ment is ambiguous about whether it covers the dispute at hand; and (2) adhering to the presumption and ordering arbitration only where the presumption is not rebutted. See id., at 651–652; Prima Paint Corp., supra, at 396–398; Gateway Coal Co. v. Mine Workers, 414 U. S. 368, 374–377 (1974); Drake Bakeries Inc. v. Bakery Workers, 370 U. S. 254, 256–257 (1962); Atkinson v. Sinclair Refining Co., 370 U. S. 238, 241–242 (1962); Steelworkers v. Warrior & Gulf Nav. Co., 363 U. S. 574, 576 (1960).8

——————

8That our labor arbitration precedents apply this rule is hardly sur-prising. As noted above, see n. 6, supra, the rule is the foundation for the arbitrability framework this Court announced in the Steelworkers Trilogy. Local’s assertion that Warrior & Gulf suggests otherwise is misplaced. Although Warrior & Gulf contains language that might in isolation be misconstrued as establishing a presumption that labor disputes are arbitrable whenever they are not expressly excluded from an arbitration clause, 363 U. S., at 578–582, the opinion elsewhere

12 GRANITE ROCK CO. v. TEAMSTERS

Opinion of the Court

Local is thus wrong to suggest that the presumption of arbitrability we sometimes apply takes courts outside our settled framework for deciding arbitrability. The pre-sumption simply assists in resolving arbitrability disputes within that framework. Confining the presumption to this role reflects its foundation in “the federal policy favoring arbitration.” As we have explained, this “policy” is merely an acknowledgment of the FAA’s commitment to “overrule the judiciary’s longstanding refusal to enforce agreements to arbitrate and to place such agreements upon the same footing as other contracts.” Volt, 489 U. S., at 478 (inter-nal quotation marks and citations omitted). Accordingly, we have never held that this policy overrides the principle that a court may submit to arbitration “only those dis-putes . . . that the parties have agreed to submit.” First Options, 514 U. S., at 943; see also Mastrobuono v. Shear-son Lehman Hutton, Inc., 514 U. S. 52, 57 (1995) (“[T]he FAA’s proarbitration policy does not operate without regard to the wishes of the contract parties”); AT&T Tech-nologies, 475 U. S., at 650?651 (applying the same rule to the “presumption of arbitrability for labor disputes”). Nor ——————

emphasizes that even in LMRA cases, “courts” must construe arbitra-tion clauses because “a party cannot be required to submit to arbitra-tion any dispute which he has not agreed so to submit.” Id., at 582 (applying this rule and finding the dispute at issue arbitrable only after determining that the parties’ arbitration clause could be construed under standard principles of contract interpretation to cover it).

Our use of the same rules in FAA cases is also unsurprising. The rules are suggested by the statute itself. Section 2 of the FAA requires courts to enforce valid and enforceable arbitration agreements accord-ing to their terms. And §4 provides in pertinent part that where a party invokes the jurisdiction of a federal court over a matter that the court could adjudicate but for the presence of an arbitration clause, “[t]he court shall hear the parties” and “direc[t] the parties to proceed to arbitration in accordance with the terms of the agreement” except “[i]f the making of the arbitration agreement or the failure, neglect, or refusal to perform the same be in issue,” in which case “the court shall proceed summarily to the trial thereof.” 9 U. S. C. §4.

13

Cite as: 561 U. S. ____ (2010)

Opinion of the Court

have we held that courts may use policy considerations as a substitute for party agreement. See, e.g., id., at 648?651; Volt, supra, at 478. We have applied the pre-sumption favoring arbitration, in FAA and in labor cases, only where it reflects, and derives its legitimacy from, a judicial conclusion that arbitration of a particular dispute is what the parties intended because their express agree-ment to arbitrate was validly formed and (absent a provi-sion clearly and validly committing such issues to an arbitrator) is legally enforceable and best construed to encompass the dispute. See First Options, supra, at 944– 945 (citing Mitsubishi, 473 U. S., at 626); Howsam, 537 U. S., at 83–84; AT&T Technologies, supra, at 650 (citing Warrior & Gulf, supra, at 582–583); Drake Bakeries, su-pra, at 259–260. This simple framework compels reversal of the Court of Appeals’ judgment because it requires judicial resolution of two questions central to Local’s arbitration demand: when the CBA was formed, and whether its arbitration clause covers the matters Local wishes to arbitrate.

B

We begin by addressing the grounds on which the Court of Appeals reversed the District Court’s decision to decide the parties’ ratification-date dispute, which the parties characterize as a formation dispute because a union vote ratifying the CBA’s terms was necessary to form the con-tract. See App. 351.9 For purposes of determining arbi-——————

9The parties’ dispute about the CBA’s ratification date presents a formation question in the sense above, and is therefore not on all fours with, for example, the formation disputes we referenced in Buckeye Check Cashing, Inc. v. Cardegna, 546 U. S. 440, 444, n.1 (2006), which concerned whether, not when, an agreement to arbitrate was “con-cluded.” That said, the manner in which the CBA’s ratification date relates to Local’s arbitration demand makes the ratification-date dispute in this case one that requires judicial resolution. See infra, at 14?19.

14 GRANITE ROCK CO. v. TEAMSTERS

Opinion of the Court

trability, when a contract is formed can be as critical as whether it was formed. That is the case where, as here, the date on which an agreement was ratified determines the date the agreement was formed, and thus determines whether the agreement’s provisions were enforceable during the period relevant to the parties’ dispute.10

This formation date question requires judicial resolution here because it relates to Local’s arbitration demand in such a way that the District Court was required to decide the CBA’s ratification date in order to determine whether the parties consented to arbitrate the matters covered by the demand.11 The parties agree that the CBA’s arbitra-tion clause pertains only to disputes that “arise under” the agreement. Accordingly, to hold the parties’ ratification-date dispute arbitrable, the Court of Appeals had to decide whether that dispute could be characterized as “arising under” the CBA. In answering this question in the af-firmative, both Local and the Court of Appeals tied the arbitrability of the ratification-date issue—which Local raised as a defense to Granite Rock’s strike claims—to the arbitrability of the strike claims themselves. See id., at 347. They did so because the CBA’s arbitration clause, which pertains only to disputes “arising under” the CBA ——————

10Our conclusions about the significance of the CBA’s ratification date to the specific arbitrability question before us do not disturb the general rule that parties may agree to arbitrate past disputes or future disputes based on past events.

11In reaching this conclusion we need not, and do not, decide whether every dispute over a CBA’s ratification date would require judicial resolution. We recognize that ratification disputes in labor cases may often qualify as “formation disputes” for contract law purposes because contract law defines formation as acceptance of an offer on specified terms, and in many labor cases ratification of a CBA is necessary to satisfy this formation requirement. See App. 349?351. But it is not the mere labeling of a dispute for contract law purposes that determines whether an issue is arbitrable. The test for arbitrability remains whether the parties consented to arbitrate the dispute in question.

15

Cite as: 561 U. S. ____ (2010)

Opinion of the Court

and thus presupposes the CBA’s existence, would seem plainly to cover a dispute that “arises under” a specific substantive provision of the CBA, but does not so obvi-ously cover disputes about the CBA’s own formation. Accordingly, the Court of Appeals relied upon the ratifica-tion dispute’s relationship to Granite Rock’s claim that Local breached the CBA’s no-strike clause (a claim the Court of Appeals viewed as clearly “arising under” the CBA) to conclude that “the arbitration clause is certainly ‘susceptible of an interpretation’ that covers” Local’s for-mation-date defense. 546 F. 3d, at 1177, n. 4.

The Court of Appeals overlooked the fact that this the-ory of the ratification dispute’s arbitrability fails if the CBA was not formed at the time the unions engaged in the acts that gave rise to Granite Rock’s strike claims. The unions began their strike on July 6, 2004, and Granite Rock filed its suit on July 9. If, as Local asserts, the CBA containing the parties’ arbitration clause was not ratified, and thus not formed, until August 22, there was no CBA for the July no-strike dispute to “arise under,” and thus no valid basis for the Court of Appeals’ conclusion that Gran-ite Rock’s July 9 claims arose under the CBA and were thus arbitrable along with, by extension, Local’s formation date defense to those claims.12 See ibid. For the foregoing reasons, resolution of the parties’ dispute about whether the CBA was ratified in July or August was central to deciding Local’s arbitration demand. Accordingly, the Court of Appeals erred in holding that it was not neces-sary for the District Court to determine the CBA’s ratifica-tion date in order to decide whether the parties agreed to arbitrate Granite Rock’s no-strike claim or the ratification-date dispute Local raised as a defense to that claim. ——————

12This analysis pertains only to the Court of Appeals’ decision, which did not engage the 11th-hour retroactivity argument Local raised in its merits brief in this Court, and that we address below.

美国联邦法规第49部运输正文

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