PUBLIC LAW BOARD 6159
Case No. 49
Award No. 49
Carrier's File No. 1216834
Organization's File No. 1629-30--5557.00D
NMB Code 119.
Claimant Switchman R. J. Caratache
PARTIES TO THE DISPUTE:
UNITED TRANSPORTATION UNION
AND
UNION PACIFIC RAILROAD COMPANY
Statement of Claim:
Request of Switchman R. J. Caratachea, Tucson Service Unit,
for reinstatement to service with seniority unimpaired, and
replacement of wage loss and vacation credits, resulting
from his dismissal from service an September 29, 1999, until
returned to service. Request is also made that this
incident be expunged from his personal record.
Findings:
Upon the entire record and all the evidence, this Hoard
finds the parties herein are Carrier and Employees within the
meaning of the Railway Labor Act, as amended, and that this Board
has jurisdiction of the parties and over the dispute involved
herein.
The Claimant in this case was first employed as a track
laborer in September, 1995. He transferred to the position of
Switchman in April, 1998. As part of the random Drug & Alcohol
testing requirements, he was directed to supply a urine sample on
October 6, 1998, The sample tested positive for amphetamines.
On October 14, 1998, the Carrier sent the Claimant a Notice
of Formal Investigation by certified mail, return receipt
PI,B 6159 - 49
requested. Therein, the Carrier directed him to attend a formal
Investigation and hearing on the charges that he "allegedly used
an illegal or unauthorized drug as evidenced by the positive test
result of the FRA random test administered to you, in accordance
with Union Pacific Railroad's Drug and Alcohol Policy (effective
March 1, 1997). The Carrier cited a violation of Union Pacific
operating Rule 1.5 of the General Code of Operating Rules
(effective April 10, 1994), as well as, the Transportation Code
of Federal Regulations Title 49, Section 102 (drug).
Concurrent
with
the Notice of Investigation, the Carrier
also sent the Claimant a Waiver/Acceptance of Discipline. In
part, the Waiver contained the following:
It is my understanding that you are eligible for the
Companion Agreement and that you wish to waive this formal
investigation and accept dismissal in connection with the
charges referred to above, for your violation of Rule 1.5 of
the General code of Operating Rules (effective April 10,
1994), Union Pacific Railroad Drug and Alcohol Policy
(effective March 1, 1997) and the Transportation Code of
Federal Regulations Title 49 Part 219 Section 102(drug).
Terms for One-Time Return to Service - General
You will be eligible for return to service on a probationary
basis upon advice that you have successfully completed the
education, counseling and/or treatment determined to be
necessary by Employee Assistance, including any drug and
alcohol testing requirements of your program or personal
plan, and you have tested negative for drugs (and alcohol if
appropriate) in the return-to-duty test administered and
reviewed by the office of the UP Medical Director. The
probationary period will be for a twelve (12) month period
commencing with the first day you return to service. Your
reinstatement is to be on a leniency basis with vacation and
seniority rights unpaired and without pay for time lost
and with the understanding that any claims filed on your
behalf will be dismissed in their entirety.
PLB 6159 - 49
Conditions for Return to Service and Remaini`na in Service
You must become drug or alcohol free by successfully
completing any education, counseling or treatment determined
to be necessary by the Company's Employee Assistance.
You must test negative for drug and alcohol in a return-toduty test which will be administered and reviewed by the
office of the Union Pacific Health Services.
Following reinstatement you must submit to follow-up drug
and alcohol testing as required by Federal Regulations and
Union Pacific Railroad's
Drug & Alcohol Policy
and as
determined by Employee Assistance for at least three (3y
years from the date of your return to service. In addition,
you will also be
required
to submit to drug, alcohol or drug
and alcohol testing as directed by Employee Assistance in
conjunction with required education, counseling or
treatment . . . .
You must remain drug free permanently after returning to
service.
You must avoid any violation of any Company rule with
reference to
drugs or alcohol.
Failure to comply with these instructions may beg grounds for
immediate disciplinary action by railroad management;
provided however, that f'a,~Llure to comply with these
instructions
sand
or the
tSand
conditions of the
Companion
Agreement during the 12
month probationary period
will
result in you= immediate return to dismissed status
without benefit of a formal hearinc,L
By Waiver/Agreement letter dated October 25, 2998, the
Claimant accepted the terms of
the conditional
reinstatement,
including participation in the Employee Assistance
Rehabilitation/Education Program.
PL8 6159 - 49 3
By certified letter dated
September
29, 1999, the Claimant
was notified that the Claimant had tested positive for drugs on
the UP follow up test administered on September 22, 1999. The
Claimant was immediately returned to dismissed status and
instructed to return all railroad property.
The Union appealed the Claimant's return to dismissed status
and file the instant claim.
CARRIER'S POSITION
The Carrier argues the basis for Award 38 is in error both
in terms of analysis of the case and in jurisdiction. Further,
they
maintain, the Organization has accepted the benefits of the
Carrier's Drug and Alcohol Policy since the UP/SP
merger
and
therefore, established by its actions, concurrence with the
Policy
with
regard to the probationary reinstatement provisions.
It is the Carrier's position
that
the Claimant was
reinstated in a probationary status, which was terminated and he
was properly returned to dismissed status. The Carrier argues
that the District Court decision by Judge Garcia which overturned
a decision by Referee Gil Vernon was in error. They contend his
decision was restricted to the case before him since District
Courts only interpret law, they do not make law. They submit
Judge Garcia's decision was wrong in as much as he interpreted
what the UTU/UP agreement required which was clearly out of his
jurisdiction, as set forth by the US Supreme Court, which has
held that decisions involving interpretations of contracts must
be left to the disputes resolution provisions of the Railway
Labor Act. They insist Referee Gil Vernon made an appropriate
decision in the Fortna-F3anson case and should not have been
overturned.
PLB 6159 - 49 4
In the instant case, the Carrier points out that the
Claimant voluntarily waived his right to a formal investigation
to determine the validity of the testing procedures and the
findings of a positive test for amphetamines. They assert the
organization had no problems with the Claimant waiving this right
and accepting dismissal. They contest the Organization's current
position that the Claimant could not have waived an investigation
in futuro concerning an identical test which reached identical
conclusions.
The
Carrier
maintains that both parties in agreeing to a
probationary reinstatement agreement are taking a risk. The
Carrier is taking a very serious risk that an admitted drug user
will
be rehabilitated and become a safe employee. The Claimant
is taking the risk that he can overcome his addiction and keep
his job. The Carrier asserts it is only willing to take this
serious risk if the employee agrees to waive a future
investigation and accept dismissal as he did when he was caught
the
first time.
The
Carrier
questions the difference in the
Claimant being willing to waive a formal hearing in the first
instance and the Organization's maintaining he cannot waive the
hearing in the second. In both cases, the potential hearings
were caused by positive drug tests.
The Carrier indicates they have applied their Drug and
Alcohol Policy and/or Companion Agreements for fifteen years in
the same manner it was applied to the Claimant. They claim every
UTU Committee including the SP Western Lines has accepted the
benefits of a Companion Agreement or the policy. They say in
this case the Organization wants to accept the upside to the
agreement without accepting the quid
pro quo
of returning the
Claimant to dismissed status without an Investigation. Because
of the uncertain status of this issue, the Carrier contends they
may not offer the program unless the General Chairman signs the
reinstatement agreement.
PLB 6159 - 49 5
The Carrier also insists the District Court Judge did not
abide by the finding of the US Supreme Court that the scope of
eview of railroad arbitration awards under the Railway Labor Act
is "among the narrowest known to the law". In this regard, the
Carrier references Pr,nciales of Railway ad Airline Labor Law
which deals with the scope of review of arbitration awards.
The Carrier submits that as in the fortna-Hansen case, the
Claimant in this case was not being newly disciplined, but, he
had already been disciplined and was dismissed. They contend he
was not in a position to demand employee rights; he had
voluntarily placed himself outside the employee ranks. They
insist it was proper for the Carrier to allow the employee to
return to work only on a probationary basis, especially in light
of the seriousness of the violation. They argue that both the
Claimant and the Organization agreed to the terms of the
agreement. By the conditional reinstatement agreement, they
assert, the Claimant was no longer a full-fledged employee and
would not be until he completed the conditions of his probation.
They reference Gil Vernon's Award as a recognition of this fact
when he ruled that Rule 57(J) was not applicable because it was
subordinate to Rule 57(B), which is applicable in this type of
case. They quote Vernon as distinguishing this case from others:
Thus, the distinction between this and other discipline
cases is that the Claimant had previously committed a
dischargeable offense. . .And in order for him to get his
job back has, in effect, thrown himself on the mercy of the
Carrier.
He violated Rule "G" in the first instance and
from that point is on the outside looking in.
The Carrier holds that Judae Garcia missed this point
completely. They reference Referee Vernon's recognition of the
Carrier's Companion Agreement as a leniency reinstatement and his
correct determination that it was a quid pro quo for the waiving
of any future Investigations, thus, having his future employment
rights governed by the facts of the "original" offense. They say
PLB 6159 - 49
Referee Vernon's decision cannot be attacked by a judicial
review. They offer the decision is based on a long history of
dealing
with
Railway Labor Act grievances and that in making his
decision, the Referee logically considered the agreement
provision upon which the Organization based its appeal. To the
contrary they insist, Judge Garcia relied on the criminal law,
not railroad arbitration precedent. They assert the terms of the
Companion Agreement are in line with accepted railroad industry
practice.
The Carrier points to the Claimant's initial admission that
he used illegal drugs and willingly accepted dismissal.
Therefore, according to Referee Vernon's correct decision, he was
on the outside looking in. He along with his Union
Representative agreed that he would be returned to work on a
probationary basis and if he tested positive to drug use within
his 12-month probationary period he would be returned to
dismissed status. The Carrier maintains that once the Claimant
accepted a reinstatement conditioned on his return to a
probationary status, he remained in that status until he
successfully completed the terms of the agreement.
The Carrier submits the Claimant was afforded a hearing
after he tested positive during his probationary period. The
test results were reviewed by the Carrier's Medical Review
officer and discussed with the Claimant. If the Claimant or the
organization had problems with the results, the Carrier insists
they could have appealed the Medical Review Officers
determination under Article 57, Section A, as concluded by
Referee Gil Vernon in his decision.
The Carrier encourages the Board to review this case without
consideration to Judge Garcia's Decision. They point out that
the District Court decision only deals with the Fortna-Hanson
case, since the District Court does not make law. Besides, they
maintain, Judge Garcia's decision was in error.
7
Moreover, the Carrier insists the Organization is acting in
bad faith. They hold that the Organization is willing to accept
the advantages of the Companion Agreement to get their members
back to work, but, they are unwilling to agree that the employee
is returned to dismissed status once he violates the terms of the
agreement.
The organization contends that Article 57 of the current
Trainmen's Agreement is controlling in this case. They reference
Sections B.l and B.2 of the Article which requires that any
employee must be given a fair, expeditious and impartial
investigation before they can be disciplined or removed from
service.
In this case, the organization maintains the Carrier
committed a fatal flaw in not conducting an Investigation before
returning the Claimant to a dismissed status on September 29,
1999. The Organization argues the Carrier had a contractual
obligation to investigate the circumstances surrounding the
results of the urinalysis taken on September 22, 1999. Contrary
to the Carrier's anticipated argument that no investigation was
required because the Claimant violated the terms of his
conditional reinstatement, the Organization contends the Carrier
never made the attempt through an Investigation to determine that
the Claimant had in fact violated the terms of the agreement.
They insist that in order to have any semblance of credible
evidence to substantiate the claim, the evidence had to be
presented to an impartial hearing officer and be subject to
cross-examination.
The Organization references Decision 5813 of Special Board
of Adjustment 18. Therein, the Claimant was returned to
dismissed status in that case, as the Claimant was in this case.
The Board upheld the right of the Carrier to return the Claimant
to dismissed status without the benefit of a hearing. The
PLH 6159 - 49 8
organization appealed that case to the District Court where Judge
Garcia remanded the matter back to the Parties and the Carrier
was directed to conduct an Investigation to determine the
validity of the alcohol/drug screen test. To further support
their position, the Organization goes on to quote Judge Garcia,
who held, "Under any principal of law you're entitled to a
hearing of some kind on that violation of probation."
The Organization also references another Decision rendered
by Special Board of Adjustment 18. In Decision 5750, Neutral Gil
Vernon
held that the "
. . .Carrier's right to take future
disciplinary action is not unchecked. The Carrier must have a
factual basis for their action and the Organization must have a
vehicle to challenge those actions." The Organization insists
that vehicle is Article 57, Sections B.l and 8.2. They maintain
that Article 57, of the SP Trainmen's Collective Bargaining
Agreement in the Fortna-Hanson Case, is part and parcel of the
same agreement on the UP Western Lines that is still in effect
today. They also claim that Article 30 of the Switchman's
Agreement Discipline Rule) is the switchman's counterpart
agreement provision. It also remains in effect today as the UP
Western Lines Discipline Rule for switchmen.
The organization asserts that contrary to the claims of the
Carrier, the Organization did notify the Carrier that requiring
an employee to waive his right to future investigations was
improper. They insist they asked the Carrier to take immediate
steps to bring the Union Pacific into compliance with the Court
Order.
The organization maintains the absence of a formal hearing
left no avenue to challenge the conduct of the medical
professionals involved in the conclusion that the Claimant
violated the terms of his reinstatement agreement. They insist
unfair. They also point out that the determination that
the Claimant had violated the terms of his reinstatement was made
by a Carrier Officer who has no medical training.
PLB 6159 - 49
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program, which in many cases were signed and agreed to by various
General Committees, although not this General Committee. In
part, the Companion Agreement gives an employee the opportunity
for a conditional reinstatement. In exchange, the employee
admits guilt and waives a formal hearing. The Agreement also
provides that the employee, after successfully completing the EA
Program,
will
be returned to work in a 12-month probationary
status. If during that time he violates the terms of the
conditional reinstatement, he
will
be returned to dismissed
status without benefit of a formal Investigation.
The issue the Board must decide is whether the Carrier has
the prerogative to return the Claimant to dismissed status
without the benefit of a hearing, if a drug test comes back
positive during his probationary period. In Award 38, this Board
ruled that the Carrier could not return the Claimant to dismissed
status without the benefit of a formal Investigation. We affirm
our Decision in that case.
It is well established by arbitral authority that
conditional reinstatements are appropriate, if not always wise.
An employee receives the benefit of being returned to work, as
long as s/he complies with the conditions cited in the
reinstatement. In essence, the employee who accepts a
conditional reinstatement has agreed that the commission of a
certain rule violation or violations will constitute cause or
just cause for termination. In the case before us, the Claimant
agreed that the use of alcohol/drugs during his probationary
period would result
in a
return to dismissed status. In doing so
he agreed that his use of drugs would constitute cause for
dismissal. However, by
signing
the agreement, it was not
intrinsic that he waived his right to challenge the validity of
the evidence used to establish his guilt. Inherent in any just
cause standard is the presumption that the violation is proven.
In this case, the proof lies in the validity of the drug screen
test and its results. If the test was proper, the Carrier had
just cause to dismiss the Claimant, the Claimant would have no
PLB 6159 - 49 1.1
recourse. However, if the test in any way was invalid, whether
it be in the collection process or the test itself, the Carrier
did not have cause to return the Claimant to dismissed status.
While the Claimant could not challenge the cause of the
dismissal, the proven use of drugs, he could challenge the
validity of the test.
While this
Board believes an employee who signs a
conditional reinstatement can agree that a specific violation
will constitute cause for dismissal, we do not believe an
employee can waive his rights to challenge the validity of the
evidence used to establish
his
guilt. Once the evidence is
deemed credible, there can be no challenge as to whether the
violation is cause for discharge, there can be no argument of
mitigating circumstances and there can be no argument the
dismissal was improper. The employee has already agreed that
guilt justifies a return to dismissed status. To this Board that
is the significance of a conditional reinstatement. It does not
mean that the employee has waived all his rights. It certainly
doesn't mean in this case that the Claimant waived his right to
challenge discipline issued for other alleged rule violations
such as failure to protect his assignment or theft. The Board
believes it is incorrect to hold that in admitting to drug use
and agreeing that any subsequent drug use will be grounds for
dismissal requires that the employee forfeit the opportunity to
challenge the validity of the evidence. It is inconceivable that
an employee would agree that he could be dismissed for an
unsubstantiated charge. When someone signs a conditional
reinstatement they are agreeing to be dismissed for a particular
rule violation, but, they are assuming the violation
will
be
proven. We concur with the Organization that the only way to
establish the validity of the evidence is through an
Investigation under Article 57, Section B.l and 8.2.
PLH 6159 - 49 12
The case is remanded to the Parties and the Carrier is directed
to conduct an Investigation under Article 57, Section H of the
Agreement relative to the follow-up urine sample, alcoholldrug
screen test, of September 22, 1939,
the testing procedures, as well as,
is determined to be valid then the
to determine the validity of
the test itself. If the test
Claimant will be returned to
dismissed status. If, on the other hand, either the collection
process and/or the test is shown to be faulty or invalid, the
claim is to be sustained in its entirety.
Carol J. Zampezini
Impartial Neutral and Chairperson
Charles R. Wise
Carrier Member
Submitted this 30L'' day of September, 2000.
PLB 6159 - 49
J. Kevin Klein
Employee Member
13