ARTICLE 31

INVESTIGATIONS AND COURT

A. INVESTIGATIONS AND DISCIPLINE (Applicable to conductors, trainmen and yardmen on CNO&TP, AGS and NOT and conductors on Southern and GS&F)

1. GENERAL REQUIREMENTS

a. An employee shall not be discharged, suspended or otherwise disciplined without just cause and without a fair and impartial hearing, except that an employee may waive a hearing in accordance with Paragraph 2.b. of this Article.

b. An employee shall not be held from service pending hearing except in serious cases, such as theft, altercation, Rule "G" violation, insubordination, major accidents, serious misconduct and major offenses whereby the employee's retention in service could be hazardous.

2. FORMAL HEARING

a. Notice of Hearing

(1). An employee directed to attend a formal hearing to determine the employee's responsibility, if any, in connection with an occurrence of incident shall be notified in writing by certified mail, return receipt requested, to the last known address within a reasonable period of time but not to exceed ten (10) days from the date of occurrence, or where the occurrence is of a nature not immediately known to the employee's supervisor(s), from the time they first have knowledge thereof. The notice shall contain a clear and specific statement of the date, time, place and nature of the occurrence or incident that is to be the subject of the hearing. The notice shall be sent in duplicate in order that the employee may transmit a copy to the employee's representative if the employee desires.

NOTE: This rule does not preclude delivery of the notice at reasonable times by a Carrier representative. Such delivery at the employee's home shall be made only when other means of delivery are not practical.

(2) The notice shall state the date, time and place the hearing is to be held which shall be not less than five (5) days after the date of notification or more than ten (10) days after the date of notification unless otherwise agreed to.

(3) The Carrier will have the responsibility of producing sufficient witnesses to develop the facts concerning the incident or occurrence being investigated and the notice of hearing shall include the name of each person receiving the notice and the names of all witnesses known at the time of the notice that the Carrier intends to have in attendance at the hearing. The employee or the employee's representative may bring to the attention of the responsible Carrier official the name or names of other witnesses who may provide material facts.

(4) The notice shall inform each employee so notified of the right to representation and to bring in witnesses.

(5) If an employee who is to receive a notice of hearing will not be permitted to exercise the option under Paragraph B.2. of this Article, the notice of hearing shall so specify.

b. Waiver of Hearing:

(1) An employee who has been notified to appear for a hearing shall have the option, prior to the hearing, to discuss with the appropriate Carrier official either personally, through or with the employee's representative, the act of occurrence and the employee's responsibility, if any.

If disposition of the charges is made on the basis of the employee's acknowledgment of responsibility, the disposition shall be reduced to writing and signed by the employee and the official involved and shall incorporate a waiver of hearing and shall specify the maximum discipline which may be imposed for employee's acceptance of responsibility.

Disposition of cases under this Paragraph 2.b.(1) shall not establish precedents in the handling of any other cases.

(2) No minutes or other record will be made of the discussions and, if the parties are unable to reach an agreed upon disposition on his bases, no reference shall be made to these discussions by either of the parties in any subsequent handling of the charges under the discipline procedure.

c. Postponements of Hearing:

Consistent with the provisions of Paragraph A.1. for a fair and impartial hearing, postponements of the formal hearing may be requested by either party on reasonable grounds and consent shall not be unreasonably withheld.

d. Conduct of Hearing:

(1) The hearing shall be conducted by an officer of the employing Carrier who may be assisted by other officers. If practical to do so, the hearing shall be held at the home terminal of the employee involved or in cases where more than one employee is involved at the home terminal of the majority of the employees.

NOTE: When another Carrier is involved, this will not preclude an officer of that Carrier from conducting the hearing or assisting in the hearing recognizing, in any case, that there shall be only one presiding (hearing) officer.

(2) The employee shall have the right to be represented at the hearing by an employee or an organization representative of the employee's own choosing. The employee and/or the employee's representative shall have the right to introduce witnesses in the employee's behalf, to hear all testimony introduced, and to question all witnesses.

Applicable to NO&NE District conductors, CNO&TP and AGS trainmen, CNO&TP, AGS (excluding NO&NE) and NOT yardmen:

NOTE: It is understood that the reference to a singular "employee representative" referred to in Paragraph 2.d.(2) does not prohibit an employee from utilizing the services of additional organization representatives to assist in the investigation, as is the case with Carrier representatives.

(3) An employee's personal service record will not be included in or referred to in the hearing or in the transcript of the proceedings of the hearing. The employee's personal record may be taken into consideration in assessing the amount of discipline imposed, if any.

(4) If the formal hearing is not held within the time limits specified in Paragraph 2.a.(2), the employee will not be disciplined, will be paid for all time lost, and no disciplinary entry will be made in the employee's personal service record.

(5) The employee and witnesses will be permitted time off if requested in order to have sufficient rest prior to and following the hearing.

e. Transcript of Hearing

It is recognized that the Carrier is responsible for ensuring that an accurate transcript of the hearing proceedings is made. However, this will not preclude the employee or employee's representative from making a record of the proceedings for their own use.

If, during the hearing, a partial transcript is made prior to conclusion of the hearing, such partial transcript will be made available to the employee and employee's representative upon request. If electronic recording devices are used and recordings are available for review by Carrier officials, they also shall be made available upon request for review by the employee and employee's representative at the appropriate Carrier facility.

In any cases where discipline is assessed, or in cases where discipline is not assessed but nevertheless there is a transcript, copy of the transcript will be furnished to the employee and the employee's representative promptly upon request.

4. Hearing Decision

a. If the formal hearing results in assessment of discipline, such decision shall be rendered within fifteen (15) calendar days from the date the hearing is concluded, and the employee will be notified in writing of the reason therefore by certified or registered U.S. mail with additional copy provided for the employee representative.

NOTE: This rule does not preclude delivery of the decision at reasonable times by a Carrier representative. Such delivery at the employee's home shall be made only when other means of delivery are not practical.

b. If the hearing does not result in discipline being assessed, any charges related thereto entered in the employee's personal service record shall be voided.

5. Compensation for Attending Hearings

a. Witnesses, as referred to in Paragraph 2.a.(3), who are directed by the Carrier to attend a hearing, shall be compensated for all time lost and, in addition, will be reimbursed for actual, reasonable and necessary expenses incurred for each day of the hearing. Where no time is lost they will be paid for actual time attending the hearing, with a minimum of four (4) hours, to be paid for at the rate of pay applicable to the last service performed.

b. When an employee involved in a formal hearing is not assessed discipline, the employee shall be compensated for all time lost. In addition, the employee will be reimbursed for actual, reasonable and necessary expenses incurred for each day of the hearing. Where no time is lost the employee shall be paid for actual time attending the hearing with a minimum of four (4) hours for each day of the hearing, to be paid for at the rate of pay applicable to the last service performed.

6. Time Limit on Appeals

a. When discipline has been assessed as a result of a formal hearing and the decision rendered by the Carrier is not acceptable to the employee, any appeal must be presented in writing by or on behalf of the employee involved, to the officer of the Company authorized to receive same, within thirty (30) days from the date of notification of the assessment of discipline. Failing to comply with this provision the decision shall be considered final, but this shall not be considered as a precedent or waiver of the contentions of the employees as to other discipline cases. The Carrier shall, within thirty (30) days from the date the appeal is filed render a decision in writing on the appeal and, if the appeal is denied, the reasons fur such denial shall be given. If no decision is rendered within thirty (30) days, the appeal shall be considered valid and settled accordingly, but this shall not be considered as a precedent or waiver of the contentions of the Carrier as to other disciplinary cases.

b. The procedure outlined in Paragraph a. shall govern in appeals taken to each succeeding officer (see NOTE). Decision by the highest officer designated to handle discipline matters shall be final and binding unless within thirty (30) days after written notice of the decision, said officer is notified in writing that the decision is not accepted.

Thereafter, if conference is requested by either party it will be held within thirty (30) days of date of decision, otherwise conference will be considered as having been waived by mutual consent. All appeals involved in a decision of the highest officer shall be barred unless within ninety (90) days from the date of said officer's decision proceedings are instituted by the employee or the employee's duly authorized representative before a tribunal having jurisdiction pursuant to law or agreement of the matter involved.

NOTE: There shall not be more than two (2) succeeding officers involved in the appeals process. Where there is only one succeeding officer involved in the appeals process, there will be no change in that procedure by reason of this Paragraph.

c. With respect to appeals involving an employee dismissed, suspended or held out of service, the original notice of request for reinstatement with pay for time lost shall be sufficient.

d. If at any point in this appeals procedure or in the proceedings before a tribunal having jurisdiction it is determined that the employee should not have been disciplined, any charges related thereto entered in the employee's personal service record shall be voided and, if required to lose time or if held out of service (suspended or dismissed), the employee shall be reinstated with pay for all time lost and with seniority and other rights unimpaired.

e. If discipline assessed is by suspension, time lost by an employee when held out of service shall be deducted from the assessed period of suspension.

7. Effect of Time Limits

The time limits set forth in this Article will govern the discipline procedure to the exclusion of any other rule, practice or agreement to the contrary and such time limits may be extended by mutual agreement in writing.

B. INVESTIGATIONS AND DISCIPLINE

1. Applicable to Southern and GS&F trainmen and yardmen

a. A trainman/yardman will not be disciplined without being given a fair and impartial investigation by proper officer of the Company. He will be notified, in writing, the reason for the investigation which shall be held within seven (7) days, if practical. He will have the privilege of bringing to the investigation one or more representatives of his own selection, provided such representatives are employees in good standing. He and his representative's) will have the privilege of hearing all evidence submitted and interrogating all witnesses.

b. If found blameless, he will be paid for time lost. If discharged or demerited, he will be advised, in writing, within fifteen (15) days.

c. When discipline is applied, copy of the investigation will be furnished the employee disciplined and the Local Chairperson, if requested in writing.

d. Trainmen/yardmen will not be called back for the purpose of an investigation after they have been released from duty and have gone home before their rest period is up, except in emergency cases.

e. (1) Assigned and pool freight trainmen and regularly assigned yardmen required to attend as witnesses for the Company investigations in which they are not concerned will be allowed pay for any time lost. If no time is lost, they will be allowed pay for the actual time attending such investigation on a minute basis at the pro rata for class of service for which they stand, with a minimum of four hours.

(2) Extra trainmen required to attend investigations in which they are not concerned as witnesses for the Company will be allowed pay for the actual time attending such investigation on a minute basis at the pro rata through freight trainman's rate with a minimum of four hours; except that in cases where an Extra Board trainman stands for service during the period he is attending such investigation at his terminal, he will be allowed pay for a minimum day at the rate of service for which he stood. When the investigation is conducted at the extra trainman's terminal his name will remain on the Extra Board while he is attending such investigation unless he should stand for service, in which event he will be placed at the bottom of the Board. Extra Board trainmen required to attend investigations as witnesses for the Company in cases in which they are not concerned at points away from their home terminal will be allowed pay for a minimum day at through freight rate for each day required to attend the investigation. In such cases, extra trainmen going away from their terminal for investigations will be removed from the Extra Board until their return to the terminal. Upon their return they will be placed at the bottom of the Extra Board.

(3) Extra yardmen required to attend investigations in which they are not concerned will be allowed pay for the actual time attending such investigation on a minute basis at the pro rata yard helper's rate with a minimum of four hours; except that in cases where an Extra Board yardman stands for service while he is attending such investigation at the point at which employed, he will be allowed pay for a minimum day at the rate of service for which he stood. When the investigation is conducted at the point at which the extra yardman is employed, his name will remain on the Extra Board during the period he is attending such investigation unless he should stand for service, in which event he will be placed at the bottom of the Board. Extra Board yardmen required to attend investigations as witnesses for the Company in cases in which they are not concerned at points away from the point at which they are employed, will be allowed pay for a minimum day at yard helper's rate for each day required to attend the investigation. In such cases, extra yardmen going away from the point at which they are employed for such investigation will be removed from the Extra Board until their return. Upon their return they will be placed at the bottom of the Extra Board.

f. Employees who are directed by proper authority to attend an investigation off their division will be paid for expenses and all time lost.

C. ATTENDING COURT

1. Conductors and trainmen in assigned service or in pool freight service and regularly assigned yardmen, attending court as witnesses for the Carrier, will be allowed compensation equal to what they would have earned had such interruption not taken place and, in addition, necessary actual expenses while away from home.

2. a. Conductors

For attending court on layover days, assigned and pool freight conductors will be allowed one minimum day in the class of service to which assigned or for which they stand for each layover day attending court; provided, however, that such allowance will not be made if they are paid, through lost time, for a day when not attending court. In other words, if a free day is paid for, such day shall be considered in lieu of their regular layover day and payment for court attendance on layover day is not required. Necessary actual expenses while away from home will be allowed.

b. Trainmen and Yardmen

For attending court on layover or off days, whichever is applicable to their craft, assigned and pool freight trainmen and regularly assigned yardmen will be allowed one minimum day in the class of service to which assigned or for which they stand for each layover day/off day attending court. Necessary actual expenses while away from home will be allowed.

3. Extra employees in road service attending court on any day will be paid a minimum through freight day for each day attending court.

4. Extra employees in yard service will be paid one yard day at the rate applicable to service for which they stand, i.e., foreman, helper, for each day attending court.

5. Extra employees in any service will be paid necessary actual expenses if required to go away from home to attend court.

6. Employees attending court as witnesses for the Commonwealth will not be paid under the court rule.

7. Employees attending coroner's inquest in which the Carrier is concerned will be paid in the same manner as though attending court as witnesses for the Carrier.

8. The Carrier will furnish necessary transportation and will be entitled to certificates for witness fees in all cases.

9. When employees are called to the Claim Agent's office or Attorney's office to give depositions to be used in court in lieu of the employees being taken to court and testifying on the witness stand, this shall constitute "court attendance", and they will be paid in the same manner as though attending court as witnesses for the Carrier.

10. The "Attending Court Rule" will not apply when employees make ordinary statements usually required by the Claim Department in connection with the killing of stock and other claims. Employees may be required to furnish such statements without payment therefor, and will be furnished copy of such statements, upon request. The rule applies only when formal depositions are given for use in court.

This page last updated: 03/02/05