Form 1 NATIONAL RAIZROEID ADJUSTMENT BOARD Award No.
$379
SECO1M DIVISION Docket No.
8341
2-BNI-tA- `80
The Second Division consisted of the regular members and in
addition Referee John J. Mikr'ut, Jr. when award was rendered,
( International Association of Machinists and
( Aerospace Workers
Parties to Dispute:
(
( Burlington Northern Inc,
Dispute: Claim of Employes:
1. That the Burlington Northern, Inc., violated the controlling Agreement,
Rule
35,
but not limited thereto, when, on November
17, 1978,
Machinist
R. V. Wentink was improperly and unjustly dismissed from Carrier's
service.
2. That accordingly, Machinist R. V. Werrtink be reinstated to the
service of the Carrier with payment for all lost time with seniority
rights unimpaired and a71 other rights and privileges restored.
Findings:
The Second Division of the Adjustment Board, upon the whole record and all
the evidence, finds that:
The carrier or carriers and the employe or employes involved in this dispute
are respectively carrier and employe within the meaning of the Railway Labor Act
as approved tune 21,
1934.
This Division of the Adjustment Board has jurisdiction over the dispute
involved herein.
Parties to said dispute waived right of appearance at hearing thereon.
Claimant was dismissed (roan service as a result of an incident which
occurred on Carrier's property on October
13, 1978,
wherein Claimant was
accused of violating Rules
661, 665
and
667
of Carrier's Safety Rules in that
he left his work assignment without proper authority prior to the caanpletion
of his shift; that he filled out his time card to indicate that he had worked
his entire shift on that day, and further that he failed to comply with
instructions from proper authority. Prior to assessing discipline, Carrier
additionally took into account Claimant's previous work record, particularly
as it related to absences from duty, failure to comp7y with instructions, and
previous instances of insubordinate conduct.
The major focus of Claimant's contention is limited to: (1) an objection
regarding the admissibility of a written statement rather than the direct
testimony of a witness at the investigation hearing; and (2) the severity of
the penalty imposed. Claimant contends that Carrier violated Rules
34
and
35
of the controlling Agreement in that the hearing officer denied Claimant
a fair and impartial hearing by allowing the admission of hearsay evidence
_ _. ,,
Form 1 Award No. 8379
Page 2 Docket No. 83+1
2-BNI-MA-'80
(a witness's written statement) into the record thus violating Claimant's
basic right to confront his accusors and to test their testimony through
cross examination.
Claimant further contends that discharge for an offense which involves
leaving work five
(5)
minutes early is not commnensuxate with the seriousness
of the alleged infraction and., therefore, is an arbitrary and capricious exercise
of managerial authority.
Lastly., Claimant maintains that Carrier, in the absence of any significant
basis fox its actions relative to this instant matter, improperly raised the
issue of Claimant's previous involvement in similar situations thereby attempting
to penalize Claimant twice for the same infraction.
Carrier argues that its decision to dismiss Claimant was not arbitrary
ox capricious, nor did the submission of a witness's prepared, written statement
,rather than direct testimony prejudice the fairness and/or impartiality of the
investigatory hearing.
As to the propriety of its action, Carrier contends that Claimant's improper
activities were substantially documented and were unrefuted. Moreover, Carrier
maintains that neither Claimant nor his Organization denied that he left work
early, or that he signed his time card to indicate that he had worked a complete
shift. Therefore, Carrier concludes that Claimant was dishonest and such action
is intolerable on the part of any employee.
Regarding the submission of a witness's written statement at the investigatory
hearing rather than the direct testimony of the witness himself, Carrier contends
that the facts contained in the written statement were nothing more than a
corroboration of the direct testimony of a previous witness. Furthermore,
Carrier maintains that such a written statement was necessary since this
particular witness had suffered a heart attack and it was unknown when :ie
could participate in person at the hearing. Additionally, Carrier argues that
the submission of a prepared, written statement rather than direct testimony
is not prohibited by the parties' Collective Bargaining Agreement and, therefore,
is allowable.
After a complete and careful review of the record in this instant dispute,
this Board is persuaded 'chat Claimant committed the specific infractions as
charged. The evidence which has been proffered by the Carrier is of substantial
weight to sustain the charge of Claimant's guilt; and this factor together with
the apparent thrust of Claimant's and his Organization's argumentation, combine
in equal. measure to convince the Board. of the appropriateness of the aforesaid
conclusion.
Having disposed of the initial question in this dispute, our attention now
.turns to the Claimant`s contentions regarding the issues of the admissibility
of the written statement at the investigatory hearing and the severity of the
penalty which was assessed. Despite the previous determination of the Claimant's
guilt in this matter, it is a well accepted tenet of labor arbitration that a
favorable finding on either or both of these additional questions may serve to moo
mitigate the severity of the penalty which has been imposed.
Form 1 Award No. $379
page
3
Docket No.
8341
2-BM-MA-180
Claimant's and his organization's contentions regarding the admissibility
of the General Foreman's written statement at the investigatory hearing, though
he (General Foreman) himself was not present at that same hearing, is of
particular concern to this Board and therefore, is most worthy of comment.
Both parties have offered numerous prior Board decisions in support of their
respective positions regarding this particular aspect of the case. Rather than
comment upon each of these decisions however, only those which are most relevant;
to this instant case will be enumerated.
As a general premise, the Carrier is correct in arguing that, absent any
specific contractual limitation, written statements are admissible in an
investigatory hearing without the writer/preparer of such a document being
present (See: First Division Award No. 22 294; Second Division Award No.
6232; and, Third Division Award No. 9624). Furthermore., the Carrier is also
correct in arguing that such admissions do not, in themselves, impinge upon an
employee's right to a fair and impartial hearing as specified in Rules 34 and
35 of the parties' Agreement. Hvaiever, this Board believes that even in its
most liberal of forms, this application is not without limitation, for if
such were the case then the "fairness and impartiality of the hearing", which is
the essence of Rules
34
and
35,
would be nothing but meaningless verbage
which would work to deprive an employee of even the most basic of due process
protections (See: Second Division Award No.
6083;
and Third Division Award No.
20033). Unquestionably, absent any specific contractual limitation, written
statements, such as those which are involved herein, are admissible at an
investigatory hearing without the writer/preparer being present; however, it is
equally recognized in labor arbitration that uncorroborated or otherwise
unidentified statements are ordinarily not admissible, and if subsequently
admitted by the hearing officer over the objection of the employee's representative
such statements are generally accorded little weight as probative evidence
(See: Owen Fairweather., Practice and Procedure in Tabor Arbitration, Chapter
XII - Rules of Evidence Generally, pp. 213-21 ; and, Frank and Edna Elkouri,
Haw Arbitration Works, Third Edition, Chapter VII-- Evidence, pp. 269-272).
In the case at hand, all those critical factors specified above
which
weight positively in favor of the admissibility of the disputed written statement
were operative; and the investigatory hearing, therefore, was conducted properly
without impairment of Claimant's due process rights. Said critical factors are
as follow: (1) no contractual limitation prohibited Carrier from submitting
such a statement; (2) said statement served merely to corroborate evidence which
had been s~ctbmitted previously;
(3)
author/preparer of said statement was
identified and there was no reason to discredit his recorded observations;
(4)
utilization of the written statement format rather than direct testimony was
prompted by valid considerations on the part of Carrier (General Foreman's
heart attack); and
(5)
said statement did not add any significant information
to the record other than that which had already been presented in direct
testimony by other witnesses,
Having determined that Claimant was guilty as charged and also that the
investigatory hearing was conducted in a fair and impartial manner, our
attention now turns to the contention that the penalty of discharge was arbitrarily
harsh and excessive in view of the relatively insignificant infraction (leaving;
work five minutes early) which is involved.
Form 1 Award No.
8379
Page
4
Docket No.
83+1
2-BNI-MA-180
This Board is unpersuaded by this particular pleading since Claimant's
actions were deliberate, premeditated and. unauthorized; he had been warned and
disciplined previously for similar infractions; and the impact of Claimant's
actions upon Carrier's operation was far greater than that which the early
leaving and the five
(5)
minute pay claim might superficially suggest. More
importantly, however., even if it had been concluded that the discharge was
excessive, this Board would have been exceedingly reluctant to substitute its
judgement for that of Carrier in assessing discipline, particularly when
Claimant's guilt has been established by substantial evidence and when it has
been determined that a fair and impartial hearing had been conducted in the
matter. Perhaps this reluctance has been articulated most cogently in Third
Division Award No.
18791,
BRAG v. PC, wherein Referee Brent concluded:
"... (U)nauthorized absences fran duty, if proven, are
serious offenses, and often result in dismissal fry
service. In accordance with the broad latitude given
carriers by this Board in the matters of assessing
discipline, we will not upset the punishments decided
upon by the Carrier, even though the sanction chosen may
be grater than that which the Board might choose."
A W A R D
Claim denied.
NATIONAL RAILROAD ADJCJSTIMENT BOARD
By Order of Second Division
Attest: Executive Secretary
National Railroad Adjustment Board
By
semarie Brasch - Administrative Assistant
Date at Chicago, Illinois, this 11th day of June, 1980,