Form 1 NATIONAL RAILROAD ADJUSTMENT BOARD Award No.
8945
SECOND DIVISION Docket No.
8858
2-SLSw-CM-'82
The Second Division consisted of the regular members and in
addition Referee Elliott M. Abramson when award was rendered.
( Brotherhood Railway Carmen of the United States
Parties to Dispute: ( and Canada
(
( St. Louis Southwestern Railway Company
Dispute: Claim of Employes:
1. That the St. Louis Southwestern Railway Company violated the provisior17.3
of the controlling agreement when Carman G. E. Essary was unjustly
:>uspended from service at
7:00
AM, July 11,
1979,
and subsequently
dismissed from service by letter dated July 30,
1979,
without being
afforded a fair and impartial hearing and without substantive evidence
being adduced to substantiate the charge against him.
2. That the St. Louis Southwestern Railway Company be ordered to restore
Carman G. E. Essary to active service with seniority and vacation rights
unimpaired, made whole for all health and welfare and insurance
benefits, made whole for pension benefits, including Railroad Retirement
and unemployment insurance, and be made whole for all lost wages. This
claim to start on July 11,
1979.
F ind ins
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 June 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.
This case arose out of an incident, on July 10,
1979
involving Claimant and
his Foreman. Allegedly, Claimant did not follow the Foreman's instructions,
respecting a task, and then laid off sick de3pite the fact that the Foreman
told him he could not leave. On July 11,
1979
Claimant was advised that he was
removed from service, effective July 10th, pending formal investigation for his
alleged violation of Rule 801. Additionally, on July 10th Carrier sent Claimant
a letter advising of a formal investigation, of the alleged violation of Rule
801, that was to take place on July 18th. This letter stated, in part: "You will
report ... for formal investigation for alleged violation of Rule 801. Employees
will not be retained in service who are insubordinate, quarrelsome ... Any act
of hostility, misconduct or willful disregard or negligence affecting the
interest of the Company ..." Claimant was later advised that such investigation
was postponed to July 26th. Pursuant to the results of that investigation
Form 1 Award No. 8945
free ~' Docket No. 8858
2-SLSW-CM-'8
Claimant was notified, by letter dated July 30, 1')79, that he was dismissed from
service.
At the outset several procedural
objections lay
Organization must be
considered.
The first of these is a contention that Rule 24-2, of the Agreement, was
violated because Claimant was not apprised of the precise charge against lim.
It seems to be Organization's position that since no specific physical coliduct,
which is complained of, is mentioned in the charge, the latter lacked pre :is ion.
However, the purpose of a rule such as 24-2 is to provide Claimant with sufficient
information, as to conduct of his which is regarded improper, so that lie will be
able to defend himself against charges relating to such conduct at an ij,v·!stigative
trial. But this purpose was served by the charge. It mentioned Rule 801 and
cited the latter's language. Claimant knew that this charge related to what [)ad
transpired between himself and Foreman Fisher on July 10th because he knew that
he had been laid off at the beginning of his work shift on July 11th, effective
July
10th, and he knew that he and the Foreman ha,l had, at least some form of
words or disagreement on July 10th. Consequently, Claimant certainly had been
sufficiently alerted to what would be at issue at the investigative trial. and
the type of matter against which he would then need to defend himself.
As authority to such effect see Award No.
5541,
Second Division. Here,
Claimant, who had been involved in a disagreement with a Shop Engineer, was
charged "for your violation of Rule N of the General Rules ... on July 21st,
1966 at
7:50
A.M. ... while on duty at the 49th Street Shop". The Board said:
"The notice received by Claimant specifically referred to Rule
'N' ... which provides ...
'Rule N. Courteous deportment is required of all
employees in their dealings with the public, their
subordinates and each other ...'
Although Rule 'N' includes various offenses, including
insubordination, the record reveals that Claimant was fully
familiar with the particular facts of events under
investigation as evidenced by his testimony and that of a
witness called on his behalf at the hearing. Consequently,
he was neither deceived or mislead, as to the nature of the
charges against him and had ample opportunity to prepare his
defense..."
It is thus clear that, in the instant case, no substantive violation of Rule
24-2 occurred.
Other procedural objections raised by Claimant aro along the following lines:
a) the hearing process was unfair because the Hearing officer played too many
roles in the hearing and disciplinary procesr; to which Claimant was subject. It
Form l Award No.
8945
Page
3
Docket No.
8858
2-SLSW-CM-'82
is alleged that the Hearing Officer, in his capacity as a Railroad Official,
would have had to have been first consulted for Claimant to have been suspended
from service and also that, as the official to whom the first appeal was made,
he reviewed his own actions and decision as Hearing Officer; b) the Hearing
Officer was biased rather than impartial and had pre-judged the case; (e.g. he
asked "leading questions of Claimant seeking to badger the latter into admissions
adverse to himself;) c) the Foreman who testified against Claimant was antagonistic
to the latter even prior to the occurrence of the incident from which the instant
case evolved, had testified against Claimant in two other proceedings thought
Claimant a "not very good worker", and was seeking to have Claimant dismissed so
that this Foreman's past actions against Claimant would seem justified.
CarxLer resists consideration of any of these procedural objections on the
grounds that they were not raised at the hearing itself. And it cites considerable
authority to the effect that points, issues and objections not brought forth in
the handling of the claim on the property may not be advanced in behalf of a
party's position in the submission of such party. For example, strongly in this
vein is Award No.
7048,
Second Division, which forcefully stated:
"The established principle of inadmissibility of 'new matter'
not raised during the handling of thu dispute on the property
has been reaffirmed in innumerable prior Awards of this
Division as well as all other Divisions of the Board. The
concept of 'stare decisis' can well be said to apply to this
issue, nor is it necessary to cite supporting cases."
There is also Award No.
6792,
Second Division:
"The prevailing view on this Board is that failure to cite
specific rules violation: during the handling on the property
precludes any consideration of such alleged rules violations
before the Board."
The point is, indeed, iterates in Second Division Awards:
Award No.
6806
"...
It should be well understood that our Board does not
...
consider matters not raised and properly joined in handling
on the property..."
Award No.
6995
"...
Several other procedural objections were raised at the
Board level but being untimely will not be considered herein."
Form 1 Award No.
g 8 4 -
gage ~~
Docket No.
~f~5
-SLSW-CM--'
~~
However, in this case, on the merits of ttese procedural objections, as explained
below, we find no such fundamental deprivation of crucial rights, so the iss»e
of their untimeliness need not be faced.
Regarding the Hearing Officer's multiple roles, in the process of Claimant',,
discipline, it may be pointed out that there are many cases certifying tile legitimacy
of such multiple roles. For example in Award
loo. 1788,
Second Division, a Shop
Superintendent filed the charges, presided at the hearing, asked questions at the
Bearing, determined Claimant's guilt and imposed the penalty, but no impropriety
was found. Also in Award No.
1795,
Second Division, a Master Mechanic filed
the charges, conducted the hearing, asked questions at the hearing, determined
the issues and assessed the penalty. Again, no impropriety was found. Award
No.
5360,
Second Division, contains strong reasoning indicating why m1JrT.-P7;rit-y
of roles does not invalidate the process:
"...
It was not improper for the same official of the Carrier
to sign the notice of the charges against the Claimant, to
conduct the hearing
...
and to sign the notice of Vie
Claimant's discharge. There is nothing inconsistent with the
mixing of these functions and the holding of a fair hearing
...
In providing that the hearing is to be before an 'officer of
the Carrier' Rule
39
recognizes that the complete detachment
of the judge in a criminal proceeding is not going to be present
in a hearing under Rule
39.
There is a 'fair hearing' within the
meaning of Rule
39
when the employee is given an adequate
opportunity to know the evidence against him and to present
evidence in his defense before an officer of the Carrier who is
not so personally involved in the dispute that he cannot view the
matter objectively."
Award No.
6057,
Second Division, also indirates why a Hearing Officer's
multiplicity of roles does not render the process illegitimate vis a via
Claimant:
"The circumstance that the Master Mechanic served in
multiple capacities in filing charges, conducting the
investigation and assessing discipline, does not, in and of
itself, constitute reversible error where, as here,
...
the
Claimant was afforded a fair hearing."
In any event, in this case, there would be no grounds, whatsoever, for
finding an impropriety in the fact that the Hearing Officer was also the official
to whom the first appeal was made, resulting in his reviewing Isis own decision,
since this is explicitly provided for in the Agreement. R»le ;'4-5 statcs: "The
initial appeal in discipline cases will he mzide to
tape
Carrier Officer rendering
the original decision in the case..."
The Organization also asserts that the Hearing Officer was biased against
Claimant and had pre-judged the case against the latter. The record does not
reflect such prejudice as Organization alludes to or a»y action on the part of
Form 1 Award No.
8945
Page
5
Docket No.
8858
2-SISW-CM-182
Hear3ug Officer which could be interpreted as depriving Claimant of a fair
hearing. (At one point the Hearing Officer did try to forestall the Foreman
from having to answer a question regarding whether subsequent to the incident
in question, between Claimant and the Foreman, the Foreman was a participant in
a conversation where the phrase "will fire the bastard" was used, regarding
Claimant. But this, in itself, is surely not adequate index of an unfair hearing.)
At the top 'of page
5
of its submis;3ion the Organization alludes to the
following question, asked of Claimant by the Hearing Officer: "Did you tell
Mr. Fisher he was a crazy son of a bite! and you were not going to move the singl_C
car test device". This is referred to as a "leading" question by the Organization:.
However, it is simply a question seeking to determine whether Claimant admits to
doing something he was clearly alleged, at the hearing as having done. Thus it i'_:;
an effort to directly ascertain information which is relevant to determining
whether Claimant was guilty of the conduct with which he was charged.
Also, toward the close of the hearing an Organization representative who had
been present at the hearing he requested be permitted to be called as a witness, on
Claimant's behalf despite the fact that "We realize that it is contreary (sic)
to any policy, for one witness to be present and hear the testimony of another
witness..." The Hearing Officer responded: "we realize the seriousness of this
charge the (sic) man you have requ,~sted to take the witness stand .... is
highly irregular (sic) but ... we will permitt (sic) it." Here is a situation
in which, according to custom, the Hearing Officer would have frustrated Claimant's
desires, but, instead bent over ba,2kward to accommodate them. Contrary to
demonstrating prejudice such an in.:ident bespeaks an attitude of responsiveness
to Claimant's needs and concerns bi- the Hearing Officer.
The Organization also alleged procedural irregularity respecting the fact
that Foreman Fisher, who testified against Claimant, had testified against Claimant
in two previous hearings, was antagonistic toward him, and considered him a
"Not very good worker". These facts would certainly not lead one to expect that
this Foreman would be well, or sympathetically, disposed toward Claimant. But
since lie was still Claimant's Foreman, at the time of the incident in question, if
the argument that his past difficulties with Claimant automatically rendered any
charges he were to bring, or any testimony he were to give, against Claimant invalid
then the Foreman would be in the position of having to accept anything that
Claimant wished to render as his work performance, regardless of how flagrantly
inadequate. Under such a conception any charges brought by this Foreman against
this Claimant, would be ipso ~:acto dismissed. This is obviously an untenable
position and hence the Foreman cannot here be considered prejudicial against
Claimant to the point where ii: is impossible for the latter to receive a fair
hearing.
Taking into account the context of the relationship between Foreman and
Claimant the fairness of the hearing must speak for itself. On the basis we
cannot find the hearing to be unfair on grounds of the past relationship between
the Foreman and Claimant.
°r~:~ri7 ~.~ Award No.
8945
"rL,e i; Docket No. (3858
2--SLSW-CM-' 82
In this matter the organization also contends that Claimant should not have
been suspended pending the hearing.: It points tc Rule 24-1 which provides for
`'suspension in proper cases ..." and asserts that this was not such a case. In
support of its position it cites Award No.
74-65,
Second Division in which it
was found that Claimant had been improperly suspended because it would not be
substantiated "that leaving Claimant in service pending hearing could endanger the
employee or his fellow employees". However, as indicated in Award No.
7034,
there
are suspension rules, one of which may have been in issue in Award No.
7465,
which
speak in terms of suspension being appropriate only when "leaving the man in
service pending an investigation would endanger the employee or his fellow
employees..."
But
as was true in Award No.
7034,
the relevant rule
in
this case
i.e. 21a-1, is not so confined respecting suspension criteria. Thus the fact
that although Foreman said that after his discussion with Claimant,
after Claimant
had allegedly failed to perform the task that the Foreman had assigned him,
he
returned to his office in fear of his safety but, later in his testimony,
acknowledged that Claimant did not make any threats on his person would not,
and of itself, by its suggestion that Claimant was not really a danger to anyone,
repudiate the propriety of a suspension in this case.
The record reveals an. exceedingly sharp conflict i» testimony in this case.
The Foreman alleges that Claimant did not move a device from one car to aziother
when the Foreman instructed Claimant to do so and, further, that in indicating bin
objection to doing so Claimant became loud in his speech and referred to
t1ie
Foreman as a "Crazy Son of a Bitch". The Carrier also alleges that If indeed,
Claimant moved such device at all (which the Carrier denies) lie did so after he'd
had second thoughts about the mentioned episode with the Foreman. Claimant, oi)
the other hand, testified that he moved the device as requested by the Foreman
and strongly denies he called the Foreman a "Crazy Son of a Bitch." The only
possible wrongdoing which Claimant admits to is, that because his confrontation
with the Foreman made him feel ill, he left his assignment to go to his family
physician, even though the Foreman said that he did not: have permission to leave.
The context of this case is also illuminated by reference to the past
disciplinary record of Claimant on November
26, 1976
Cl.aimant was advised by the
,Ttechanical Foreman that the latter 's instructions had not been carried out in two
separate respects. On February
18, 1977
Claimant was advised to the effect that
lie was out of compliance with Carrier's safety rules iii his failure to wear the
proper protective "hard hat" which is furnished by Carrier. On April 20 and
April 21, 1978
investigation was conducted into charge:; that Claimant had
violated General Rule N of Uniform Code of Safety Rules in that he a) had failed
to comply with work instructions of a Foreman, b) had been dishonest in claiming
overtime for work not actually done and c) had, without- provocation, struck another
employee. As a result of these latter investigations claimant was dismissed .from
service. (However, based on assurances from Claimant, that he now understood
and would comply with the rules, he was, on a leniency basis, reinstated but
without pay for time lost.)
Given this background of insubordination, unreliability and being a difficult
employee tcx deal with it can be seen how, if the Foreman's version of the Eacts
in the instant case are accepted, suspension pending a hearing seems an
appropriate, if not, indeed, necessary stop for Carrier to take. If Claimant
Form 1 Award No. 8945
Page Docket No. f3fijfi
"_ST SW-CM-' f 3,'
indeed became loud and in;;i6ordinate in response to work instructions from a
Foreman and hurled epithets at the latter Carrier could be justly suspicious of
whether Claimant would perform his duties in an orderly and safe manner during
the period prior to the hearing date.
Authority to this effect is represented by Award No.
7150,
Second Division
where the Board stated:
"There are numerous awards of various Divisions, as well as
Public Law Board awards, that hold that insubordination is a
'proper case' for suspension pending a hearing."
There are also cases in which Claimant's actions might be interpreted as
much less disruptive than Claimant's here might be thought, if Foreman Fisher's
version of the facts is given credence to, in which it was nevertheless held
that suspension of Claimant was "proper". In Award Nos.
3310
and W4, both
Second Division cases, suspension was upheld for a Claimant's refusal to work
overtime assignments, while in Award No.
7034,
Second Division, a suspension
for failure to comply with directives relating to personal appearance was
sustained. Also, in Award No.
6518,
Second Division, a Foreman told a Claimant
how to jack a car
but
the Claimant insisted t'.-c the procedure he wanted to use
was safer. After acquainting himself with the facts of this dispute the General
Foreman instructed the Claimant to use the procedure the Foreman had wanted used_
Claimant still refused, and at that point, was held out of service pending
investigotion. The Board stated:
"We find nothing improper in the Carrier suspending, pending the
hearing
...
an employee who refuses to obey the instructions of
his supervisors."
The Organization also makes a point of the fact that the Foreman with whom
Claimant was involved, in the episode at the heart of this case, did not suspend
Claimant on July 10th, the day of the episode, but waited until Claimant reporter!
to work on July 11th to do so. From this fact the Organization deduces the
assumption that the urgency usuall- connected with a suspension was not present
here, since ClaLnant was not advised of the suspension until the day following
the disputed incident, and that, therefore, suspension pending hearing was not
necessary at all. In other words, suspension implies the necessity of taking
immediate disciplinary action against Claimant, from the point of view of protecting
the interests of the Railroad, and since the Railroad saw no need to suspend
Claimant as soon as he'd committed his allegedly improper acts, there was not
felt imminent peril to the Railroad's interests. This, in turn, implies that
Claimant could have been kept at work until the investigative hearing occurred.
But the logic of this argument is undercut by two factors. First of all, the
suspension, when issued, was made effective on July 10th, the date of the incident
in q,iestion. But, more importantly, Claimant left work, right after such incident,
to gi to his physician, so that the earliest practicable time at which he would
be aivised of his suspension was when he reported to work on July Ilth. This is
exactly when he was advised of his suspension. Therefore the time that Claimant
was advised of suspension was consistent with the notion that in cases where
suspension is "p,-oper" it is necessary to remove a Claimant from his work
assignment at th(~ earliest practicable time.
1
0°:'lll :!
Award No.
8945
t,
.>4,.,s>.
E~
Docket No.
8858
2 -SUSG1-cM--'F')2
As to the dismissal penalty assessed against Claimant, the Carrier contends
that it is entirely appropriate, in these premises, in view of Claimant's past
ffli.sc'aplnary record, cited above. The Carrier points to Claimant's previous
ii:~mis;~al and subsequent reinstatement on the understanding that Claimant then
fully
comprehended his responsibilities for acting in an appropriate maxaner can.
f_ r>e `-,ill. Isis actions in the instant matter, Carrier asserts, signify a betrayal
of tl)e bargain, to thenceforth comply with the rules, which Claimant struck with.
Carrier at the time of such reinstatement. Hence dismissal here is fully
supportable.
As has been indicated above there is a sharp conflict in the testimony Iii
-.1-)i s case. In c-.sence Foreman Fisher says that Claimant did not dry a;~ lie eras
told, respecting a work task, and cursed him out for giving Claimant-.
1,
10,
instructions. Claimant asserts he did do what was asked of him and dJsl
it 4A, 1964?
profanity in reference to the Foreman. In this situation Carrier leans 1~.~:.tz~,' i y
on the well established principle that this Board functions in an appellate
capacity and does not re-evaluate Carrier's resolution of the weight of ccv
l st.~.: > >
testimony, based on the investigative trial itself. There are a pletboaa «f
decisions in this vein, running throughout this Board's, (and this Divi:Jon'::)
history. For example, see Award No.
1809,
Second Division, wherein it was
stated:
"There was direct conflict in the eviden 2e. 7'lie Board is
in no position to resolve conflicts in aie ezidence. The
credibility of witnesses and the weight to
be
given their
testimony is for the trier of facts to -leteriline."
Also, Award No.
6084,
Second Division, where the Board observed:
"... It is true that we have a conflict Ln testimony, but
... it is not our function to resolve sick a conflict. We
are not able to judge the credibility o.' witnesses since
we were not present to observe their coilduct and demeanor."
Finally, in Award No.
63'72,
Second Division, the Board commented:
"... it is not the function of this Board to substitute it:;
judgment where there is conflicting testimony ... if we
were to decide every case in favor of a Claimant where it
was one man's word against another all that would be
required would be a denial of the charge."
So it is Carrier's strong position that the evidence in this matter was
fairly heard at the investigative trial and that Carrier objectively resolved it
against Claimant and assessed a penalty entirely consistent with that resolution,
especially in view of Claimant's spotty disciplinary record, referred to above.
However, some factors in this case do seem worthy of note. As previously
mentioned, this Foreman and this Claimant had had difficulties in the past and
the Foreman may have had the normal, understandable human, amount of animus against
Claimant arising out of leaving before testified against Claimant in a disciplinary
matter. Additionally, the Foreman acknowledged that lie lead an unfavorable
impression of claimant a:; a worker. claimant also testified that,
in Ow
F orm 1
Page
9
Award No.
8945
Docket No.
8858
2-SLSW-CM-'82
incident here in question, the Foreman upbraided the
Claimant and
that this upset
the latter because of a condition relating to an irritated or nervous digestive
system for which he'd been under medical care. (Claimant provided evidence
indicating that he'd been to consult with a physician on four different occasion;;
between January,
1979
and July,
1979,
including July 10th.) Claimant testified
he then felt that he had to leave work to see his physician but that the Foreman
would not grant him permission to do so because the Foreman said there was too
much work to be done.
It is possible, perhaps probable, that these various factors, and their
combination, exacerbated the reactions of Claimant in the factual situation at ti.c
core of this matter. Hence even accepting the finding that he acted improperl>>
as charged, and violated Rule 801, it may well be that such mitigating factors
played a part Ln
leis
action: . Consequently the Board feels that Claimant ought
to he giver one, tmmi::takab- y last, chance. Tie should lie reinstated, witlIout
any compensation for time le at.
A WAR D
Claim sustained, but only to the limited extent indicated above.
NATIONAL
RAILROAD
ADJUST1CNT
BOARD
By Order of Second
Division
Attest: Executive Secretary
National Railroad Adjustment Board
.,-~fosemarie Brasch - Administrative Assistant
Dated at Chicago, Illinois, this 3rd day of March,
1982.