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Case No. 97
PUBLIC LAW BOARD NO. 7120
(BROTHERHOOD OF MAINTENANCE OF WAY
PARTIES TO DISPUTE: (EMPLOYES DIVISION
(
(CSX TRANSPORTATION, INC.
STATEMENT OF CHARGE:
By letter dated July 12, 2011, M. A. Wilson, Roadmaster, notified C. P.
f
ok]
Willingham ("the Claimant") to attend a formal Investigation on July 28, 2011, at the
Carrier's Atlanta Division conference room in Atlanta, Georgia, "to determine the facts
and place your responsibility, if any, in connection with incidents that occurred on July 4,
2011 in conjunction with your track inspections on the Birmingham Mineral Subdivision.
Based on information developed on July 6, 201 l," the letter continued, "it is alleged that
you violated CSX operating rule 704-b by inspecting switches without proper track
authority and additionally falsified FRA reports and CSX track authority documents. It is
also alleged that you were dishonest with supervisors investigating the incident."
In connection with the incident, the letter proceeded, the Claimant was "charged
with failure to properly perform the responsibilities of your position, and possible
violations of, but not limited to, CSXT Operating Rules - General Rule A; General
Regulations GR-2; On-Track Worker Rules and Qualifications - Rule 704-B and FRA
213.9." The letter also informed the Claimant that he was "being withheld from service
pending investigation."
FINDINGS:
Public Law Board No. 7120, upon the whole record and all the evidence, finds
that:
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The carrier or carriers and the employee or employees involved in this dispute are
respectively carrier and employee within the meaning of the Railway Labor Act, as
approved June 21, 1934.
The Board has jurisdiction over the dispute involved herein.
Parties to said dispute were given due notice of hearing thereon.
The Claimant, C. P. Willingham, at the times here relevant, was employed by the
Carrier as a Track Inspector. His date of hire was August 10, 2008. In July, 2011, his
immediate supervisor was Roadmaster M. A. Wilson, MW Atlanta Division, for whom he
had been performing track inspecting duties for approximately 15 months. Mr.
Willingham's work schedule was Sunday through Thursday, 9:00 a.m. to 5:30 p.m.
Saturday, July 2, 2011, was a rest day for the Claimant, but he worked that day to
fill in for a coworker who wanted to take the day off for personal reasons. Monday, July
4, 2011, was a contractual holiday, but Roadmaster Wilson asked the Claimant to come in
to work that day to perform a heat inspection. The Claimant testified that the Roadmaster
told him to do a heat run and that he could then go home for the rest of the day. The
Roadmaster testified that he told the Claimant that if his FRA frequency inspections were
caught up, he would only be required to make a heat run.
On July 5, 2011, Roadmaster Wilson checked his tickets and log to see if there was
any activity in his territory the previous day when he was not on duty. He saw that at
15:18 hours on July 4, 2011, the operations center in Jacksonville, Florida, had opened up
a ticket at 15:18 hours for a flash flood inspection because of heavy rains. Such an
inspection requires the inspector to patrol the track and inspect it for washout conditions,
flooding, and debris that could interfere with the safe passage of trains.
The ticket showed that the portion of the track to be inspected was on the Atlanta
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Birmngham Mineral subdivision from milepost OLB 388.3 to milepost OLB 396.0.
According to the ticket, Mr. Willingham was called at 15:31 hours on July 4, 2011.
Assistant Roadmaster Joe Finch informed Roadmaster Wilson on July 5 that Mr.
Willingham did not accept the assignment and that a Track Inspector from an adjacent
territory had to be called, who performed the assignment on overtime. Mr. Finch told
Roadmaster Wilson that when called by the operations center, Mr. Willingham said that
he had been drinking and could not accept the assignment.
Roadmaster Wilson testified that at 15:31 hours he would have expected Mr.
Willingham to still be out conducting the heat inspection that was assigned to him to
perform that day. Heat inspections, he explained, are conducted during the heat of the
day, which is defined on the division as between 12:00 and 18:00 hours. He would have
expected Mr. Willingham to report for duty at 12:00 o'clock, Roadmaster Wilson stated,
for a heat inspection.
When Roadmaster Wilson learned that Mr. Willingham did not conduct the flash
flood inspection, he decided to check the ITIS computer database to see what work he
submitted as having been performed by him on July 4`h. It showed that on July 4" Mr.
Willingham input into the computer system a Daily Track Inspection Report showing an
inspection date of July 4, 2011, and tracks inspected and traversed from OOL 394.66 to
OOL 403.91 plus five switches inspected respectively at OOL 402.50, 402.80, and 403.60
and OLC 421.00 and 421.30.
Roadmaster Wilson also checked the EC-lE Form dated July 4, 2011, showing the
Rule 704 authority granted Mr. Willingham for that date. It was for track extending from
OLC 405.1 to OLK 430.0. The EC- lE Form did not include any authority to inspect
track from OOL 394.66 to OOL 403.91 that Mr. Willingham's Track Inspection Report
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dated July 4, 2011, stated he had inspected that date. Nor did it include authority to
inspect the three switches at OOL 402.50, 402.80, and 403.60 listed on Willingham's July
4, 2011, Track Inspection Report. That meant, Roadmaster Wilson testified, that "he
didn't have any track authority on the track that he reported he inspected" on July 4, 2011.
The only exceptions were the two switches he listed that he inspected at OLC 421.00 and
OLC 421.30.
Roadmaster Wilson works out of three different headquarters, Birmingham,
Celera, and Clanton. Mr. Willingham works out of Birmingham headquarters.
Roadmaster Wilson learned of the discrepancies between Mr. Willingham's Track
Inspection Report and EC-IE Form while at a headquarters other than Birmingham. He
therefore called Engineer of Track Robert Wolfe, who was in Birmingham, for assistance
in investigating the situation.
Pursuant to Roadmaster Wilson's request, Engineer of Track Wolfe called Mr.
Willingham into his office on July 6 to question him about the discrepancies that Mr.
Wilson had found. Mr. Wolfe asked Mr. Willingham what kind of protection he had
when he inspected the three switches with the OOL milepost limits listed on the Track
Inspection Report dated July 4, 2011. At first he did not respond, Mr. Wolfe testified,
and when Mr. Wolfe said that he needed to know his authority number, Mr. Willingham
said that he just drove up to them, got out, and looked at them.
If someone performs an inspection without EC-1E authority, he must fill out a
Statement of On Track Safety ("SOTS") form. There are lines on the form for the Track
Inspector to enter his Name, the Date, Time, and his Track Limits. In addition, the
employee must comply with the following instructions on the form: "2. Determine the
amount of time that it will take you to clear the track and place an `X' on the appropriate
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chart. 3. Determine the maximum speed authorized for the track you will be fouling by
using your Timetable and place an `X' adjacent to that speed in the chart checked in Step
2." The form contains three charts respectively for 10 seconds, 20 seconds, and 30
seconds clearance.
Mr. Wolfe asked Mr. Willingham to get his SOTS book so he could see it. Mr.
Willingham went to his truck and brought his SOTS book back to Mr. Wolfe. Mr. Wolfe
looked at the SOTS form dated July 4, 2011. It did not show whether it was main line or
branch line track, and it did not show the mileposts. In addition Mr. Willingham had not
placed an "X" on the proper chart to show either the clearance time or the maximum
speed authorized. Mr. Wolfe asked Mr. Willingham when the form was filled out. Mr.
Willingham said on Monday, July 4th.
Mr. Wolfe, according to his testimony, looked at the form again and asked, "Mr.
Willingham, did you do anything else to this form today?" He said, "Yes, I put the date on
it, 7/4/1 l." After he looked at the form a little bit closer, Mr. Wolfe stated, he asked Mr.
Willingham if he was saying that he filled out the form on Monday and added the date
that day, which was Wednesday, July 6"'. Mr. Willingham then said, "No. I filled the
report out when I was coming in from the truck to the office."
Mr. Wolfe then questioned Mr. Willingham about the Track Inspection Report
dated July 4, 2011, that he had entered into the computer system on that date. Mr.
Willingham said that the form was put in on July 4`h, but he made the inspection on July
2d
. Mr. Wolfe identified a booklet called Track Safety Standards Part 213 published by
the Department of Transportation Federal Railroad Administration Office of Safety.
Section 213.369 of Part 213 provides as follows:
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§213.369
(b) Except as provided in paragraph (e) of this section, each record of an
inspection under §213.365 shall be prepared on the day the inspection is
made and signed by the person making the inspection. Records shall
specify the track inspected, date of inspection, location and nature of any
deviation from the requirements of this part, and the remedial action taken
by the person making the inspection
(e) For purposes of compliance with the requirements of this section, an owner
of track may maintain and transfer records through electronic transmission,
storage, and retrieval provided that -
(2) The electronic storage of each record shall be initiated by the person
making the inspection within 24 hours following the completion of
that inspection;
Mr. Wolfe interrupted his meeting with Mr. Willingham and told him that they
would meet again later that day. He then called Roadmaster Wilson to come to
Birmingham to look further into the matter involving Mr. Willingham. Mr. Wilson
arrived at Birmingham headquarters around 10:30 in the morning, and both of them
together then met with Mr. Willingham. In their meeting, Mr. Wolfe testified, Mr.
Willingham stated that he was not aware of the severity of the situation and that he didn't
think that there was that much to it. Mr. Willingham was asked to give a written
statement and provided the following:
Sat. July 2"° 2011
I was covering for my co-worker who wanted the day off. I got an EC-1
from the NAS Magella MP OOL 395.3 to the NAS SE Dudley M.P. OLK 428.0.
While doing my heat run I stopped to inspect four (4) turnouts. I finish up my heat
run & I was ready to get away from work because it was my off day. So I change
and go home to enjoy the rest of my "off day." I didn't sync the computer or enter
in any of the work I had done because I felt there were no issues.
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Monday July 4, 2011
I was told to do a heat run by my roadmaster. Before I left the office I
entered in what I had done on Sat to get a head start on the tracks transversed
[sic].
So I enter in what I had done on Sat. July 2nd 2011. I do my heat run, give up my
EC-1, then head home. After I leave the office, I was _off the clock, so I buy me
some beer. I get a phone call telling me of a flood run. I say that I've been
drinking & that I'll take a shower, eat, & come back into work in about a hour. I
was told to "stay home," so I did. I also asked if he was going to be able to, - he
cut me off & said he will "handle it."
Wednesday July 6, 2011
I was asked by Robert Wolfe to provide him with our SOTS book for Sat &
Monday. I had filled out a page for Sat but not Monday. I filled one out not
knowing what he was wanting from me. I did everything in such a rush that I
didn't remember that I had no reason to fill out a SOTS book for Monday. I was
afraid of Wolfe & I didn't know what was going on. He asked me if I had filled
out the SOTS book today & I told him I put the date (7-4-11) on there. Then he
asked me again if I had wrote it today & I said yes once I knew that I didn't need
it, considering I didn't inspect the turnouts on Monday. But he said he is only
dealing facts & that's what I had put in the computer. My track time didn't reflect
the turnouts I had inspected.
/s/ Chris Willingham
7/6/ 11
Mr. Wolfe testified that during his investigation he was unable to determine if
there was really an inspection made on July 2, 2011. According to his investigation, Mr.
Wolfe stated, Mr. Willingham did perform a heat inspection on the Birmingham Mineral
Subdivision on July 4, 2011. A special inspection report was not entered into the ITIS
computer system for that inspection as should have been done.
The Claimant, Chris Willingham, testified as follows. He filled out an inspection
report for July 4, 2011, but not a heat inspection report. On July 4`e he had EC-1 track
authority from South Bessemer Yard limit OLC 405.1 to the South Brookwood Yard limit
OLK 430.0. He did not enter an inspection report for July 2nd because he "accidentally
forgot." At the time he was not aware of the requirement to enter an inspection report on
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the day that the inspection is done, but he is now.
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On July 6`'', Mr. Willingham testified, Mr. Wolfe asked him if he filled out the
SOTS form dated July 4, 2011, on that day (July 6`h),
and he told him that he put the date
July 4 on it that day. Then Mr. Wolfe asked him if he filled out the entire form on July
6", and he said, yes, he did. Mr. Wolfe then "was irate, furious." Asked by the
conducting officer, "Did you falsify FRA track inspection documents?" Mr. Wi
answered, yes. Questioned by the conducting officer, "Did you fabricate a track authority
document?," he stated, yes. Asked if at any point he was dishonest when questioned by
Mr. Wolfe, he acknowledged, yes.
Mr. Willingham's attention was directed to his written statement that said that after
he left the office on Monday, July 4", he bought some beer. He was asked what time he
bought the beer. He stated that it "was roughly about 15:20." He released his EC-1 track
authority on July 4`h 85 minutes after he acquired it, he stated, which would have been
around 14:45. When he released his authority, he testified, he was at the south end of
Yolandy at milepost OLK 421.3. The driving time from there to the yard office, he
stated, was 30 or 35 minutes. He arrived back at the yard office about 15:15 hours, he
testified. He began his tour of duty that day, he testified, "roughly 10:30 - 11:00,
somewhere in there."
Mr. Willingham was asked by the conducting officer why, when he entered the
July 2°d inspection report in the computer on July 4`h, he did not go back and put the
correct date on the report. He answered, "We did everything on the computer. I have not
received proper training on how to go back and put a different for that day that I'm
previously on the screen for." (Tr. 98). He was asked, "Did you ask Mr. Wilson before
you entered it on the 4
`h
to tell you how to go back and put it in on the 2 nd?" He stated,
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"No because like I said before when I done the inspection on Saturday, there was nothing
wrong with the switches. There's nothing ever wrong with those switches and that's why
I inspected them on a Saturday and so I put them in the computer on Monday and I
realized today after Mr. Wolfe had said that if - I believe brought up if there was a track
caused derailment there if they say that nothing has been in the computer for that, that it
can fall back on me, you can pull those reports up and see that nothing was entered and I
realize why the big deal is now and at the time I did not and that's why I put it in on
Monday." (Tr.99).
Mr. Willingham testified that when he performs a heat run, he is required to
document it with a special inspection report entered into the ITIS computer system. He
acknowledged that one of the requirements of an FRA Inspector is to properly fill out an
inspection report and know how to do it.
Mr. Willingham testified that he did not do a heat run inspection of the track from
milepost 421.3 to 430.0 on July
4`h
because it had been raining since the morning on that
part of the track. He stated that he has a close friend who lives around that area, and she
said that it had been raining there all morning. Therefore, he testified, "the rail would not
have gotten warm enough to cause any kind of track disturbance."
Permitted to give a statement in his own behalf at the conclusion of the hearing,
Mr. Willingham stated that he is good at track inspecting and going out and finding stuff
wrong with tracks. He feels that he has done a good job track inspecting, he asserted.
His rule violations, he stated, were a momentary lapse in judgment, an accident. Where
he is "messing up," he declared, is with respect to the computer. With the proper
computer training, he asserted, he would "be a complete track inspector." He is a hard
worker, he stated, not afraid to get dirty on the job. There have been no derailments on
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the tracks he inspected, he asserted. He works safely. Mr. Willingham expressed his
understanding of why Mr. Wolfe and Mr. Wilson were upset with him. He needs his job,
he asserted. He is a perfectionist, Mr. Willingham stated, and does not like to make
mistakes. He reiterated that he does a good job and declared that nobody has found
anything wrong with his track work. He apologized for taking up everyone's time with
the hearing that was held.
Following the close of the hearing, by letter dated August 10, 2011, the Division
Engineer notified the Claimant of the Carrier's determination that the hearing was
conducted in accordance with his contractual due process rights and that all objections
were properly addressed by the conducting officer during the hearing. A review of the
transcript and exhibits, the letter stated, confirmed that the charges placed against him
"were valid, accurate and proven." There was sufficient proof, the letter continued, that
he was "guilty. . . as charged" and that his "actions were in violation of the cited CSX
Transportation Operating Rules and Regulations." It was his decision, the Division
Engineer stated, that the discipline to be assessed was the Claimant's "immediate
dismissal in all capacities from CSX Transportation."
It is the position of the Carrier that the Claimant was afforded a fair and impartial
investigation in accordance with the parties' Agreement. Contrary to the Organization's
assertion, the Carrier argues, the conducting officer did not demonstrate prejudice.
Further, the Carrier contends, previous awards have held that it is not required to provide
the Organization prior to the hearing with documents it intends to introduce into evidence
at the hearing. Nor, the Carrier argues, was the Claimant denied union representation
when interviewed by management in the preliminary investigation of the matters here
involved.
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Regarding the merits of the charges, the Carrier contends that it met its burden of
producing substantial evidence of the Claimant's guilt. The Claimant, the Carrier argues,
violated Rule GR-2 by being dishonest, making false statements, and concealing facts
during the preliminary investigation of his conduct. In addition, the Carrier asserts, he
falsely told the Engineer of Track that he filled out a SOTS form and then filled out the
form with false entries. He also admitted during the hearing that he was dishonest in the
preliminary investigation, the Carrier notes.
Further, the Carrier contends, the Claimant violated Rule GR-2 by claiming time
for hours not worked. In addition, the Carrier argues, he willfully violated GR-2 by
neglecting his duties and endangering life or property by failing to conduct a heat
inspection on all of the track assigned for such an inspection. The Claimant violated Rule
704-B, the Carrier asserts, by failing to complete a SOTS form as required. He violated
FRA §213.369(b), the Carrier contends, by failing to enter inspection reports on the day
of the inspection. There is no merit, the Carrier argues, to the Claimant's defense that he
was not properly trained in the computer system. The discipline assessed, the Carrier
contends, was fully justified by the terms of the IDPAP and the seriousness of the
offense.
The Organization has raised several procedural arguments in support of its case.
At the hearing it asked that the conducting officer recuse himself or that the charges be
dropped because when the charge letter came out, the Organization representative called
the conducting officer to talk about a waiver. Allegedly the conducting officer said that
the Claimant should be going into another line of work. This, the Organization argues,
showed that the conducting officer would not be able to conduct a fair and impartial
hearing. The conducting officer refused to recuse himself. The Organization requests
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that the charges against the Claimant therefore be dismissed.
Published Board decisions regarding conducting officers do not require absolute
impartiality on their part. For example, Third Division Award No. 24207 found that the
claimant in that case was not deprived of a fair hearing because the conducting officer
was also the charging officer. This Board believes that a comment by a carrier official
reflecting on the guilt or innocence of a claimant in response to a settlement inquiry
initiated by an Organization representative is not a basis for disqualifying the official
from serving as conducting officer.
A contrary ruling would stifle the free and open discussion between the parties that
is necessary for the settlement of cases. The Board believes that it is in the best interests
of the parties and the employees to encourage the settlement of disciplinary cases. If
either party feels that it cannot express itself frankly about the merits of a particular case,
settlement possibilities will suffer. A party should not be penalized for speaking in good
faith on why a case should or should not be settled.
The critical question in this case is whether the conducting officer provided the
parties a fair and adequate hearing which allowed them to present their respective
evidence and afforded the Claimant and the Organization the opportunity to make closing
argument in the Claimant's behalf. The Board has carefully perused the record and finds
that the conducting officer provided both parties a fair hearing. Specifically with regard
to the Claimant, he and the Organization were allowed to call witnesses, to cross-examine
the witnesses called by the Carrier, and present their own evidence. They were also
permitted to voice objections and to make argument in support of the Claimant's case. In
addition the Claimant and his Organization representative were both treated courteously.
The Board finds that the conducting officer was not required to recuse himself in this case
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and that his failure to do so did not deprive the Claimant of a fair hearing.
The Organization also argues that the Claimant did not receive a fair hearing
because the Carrier denied its request to be provided certain evidentiary documents prior
to the hearing and refused to provide the documents. A number of prior Board decisions
have held that there is no obligation on the part of the Carrier to furnish evidentiary
documents of the kind here in dispute to the Organization prior to the hearing. Public
Law Board No. 7120, Awards Nos. 3, 27, and 73; Public Law Board No. 7008, Awards
Nos. 16 and 25. Consistent with the earlier awards, the Board finds that the failure to
provide the Organization the requested documents prior to hearing is not a basis for
finding that the Claimant was deprived of a fair hearing or for dismissing the charges
against him.
The Organization also contends that the Claimant's contractual due process rights
were violated because he was not offered Union representation when he was interviewed
by management officials during its preliminary investigation and asked to give a written
statement. The governing contract provision in such a situation is Rule 25, Section 1(c).
In Public Law Board No. 7120, Award No. 96 this Board interpreted the language of that
provision and held that Rule 25, Section I (c) does not come into play until an official
Investigation has been scheduled regarding a particular incident. As of the time of the
preliminary investigation, Mr. Willingham had not been required to attend an
Investigation, and no determination had yet been made that a hearing would be scheduled.
On those facts the Carrier was not required to offer him union representation before
interviewing him or taking his statement. Mr. Willingham made no request on his own
for union representation. Under these circumstances the failure of the Carrier to provide
him union representation did not violate his contractual due process rights.
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The Board will now consider the substantive aspect of the case. It is not disputed
in the record that the Claimant falsified a SOTS form and lied about it to Engineer of
Track Wolfe. He submitted the form to Mr. Wolfe in response to Mr. Wolfe's request for
evidence of the Claimant's authority to inspect certain switches on July 4, 2011, as
represented in an Inspection Report filed by the Claimant dated July 4, 2011.
The Claimant has attempted to excuse his dishonesty with regard to the SOTS
form on the basis that he acted in a rush, did not at first remember that he had no reason
to fill out the form for Monday, July 4`h, and that he was afraid of Mr. Wolfe. According
to the Claimant's own testimony, however, the SOTS book with the forms was in his
truck, and he walked from Mr. Wolfe's office to his truck to get the book to bring it back
to Mr. Wolfe. During the time that he was walking to and from his truck he was by
himself and not under pressure from Mr. Wolfe. He should have remembered that two
days previously, on July 4`h, he came in specially to do an inspection and entered into the
computer system a report of his July 2°d inspection with a July 4`h date. Had he provided
that information to Mr. Wolfe, he would have been able to account for how he inspected
the switches in accordance with his authority. The fact that he did not tell the truth to Mr.
Wolfe but, instead, wrote up a false SOTS form, and gave it to Mr. Wolfe indicates that
he may have been trying to hide something from the Carrier.
A review of the evidence in the case shows that prior to providing the SOTS form
to Mr. Wolfe, the Claimant had acted in a questionable way and that there were things
that he might want to hide. On July 4, 2011, the Claimant entered into the ITIS computer
system an official Daily Track Inspection Report of an inspection that he allegedly
performed on July 2, 2011. FRA regulations require that a record of an inspection be
prepared on the day the inspection is made. If the record is stored electronically, FRA
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regulations permit the Inspection Report to be entered into the computer system within 24
hours following the completion of the inspection.
The Claimant stated that he was not aware of the time requirements under the FRA
regulations. The Board finds it difficult to believe that a trained and qualified Track
Inspector with l S months' experience on the job would be unaware of the requirement to
input a report of a track inspection within 24 hours of completion of the inspection.
Indeed the Claimant's testimony that he "accidentally forgot" to enter a report of his July
2°d inspection indicates that he normally enters his inspection reports on time. The
Carrier would have been justified in not crediting the Claimant's testimony that he was
not aware of the time requirements for reporting track inspections.
There is no adequate explanation in the record why the Claimant waited until July
4, 2011, to make a report of the inspection he performed on July 2, 2011. In fact he gave
conflicting explanations for the delay. He was asked by the conducting officer, "Did you
enter an inspection report for July 2°d?" He answered, "No sir, I accidentally forgot."
Jr. 92). Subsequently the co-conducting officer asked the Claimant, "Mr. Willingham,
when you were asked why you did not complete a track inspection report for Saturday,
July the 2°d, I believe you said that you accidentally forgot, is that correct?" He answered,
"Yes, sir." (Tr. 9$).
In his written statement, however, the Claimant gave a different explanation for
not submitting the Track Inspection Report on July 2nd. In the part of his written
statement headed "Sat July 2°d 2011" the Claimant wrote, "I didn't sync the computer or
enter in any of the work I had done because I felt there were no issues." Thus rather than
accidental forgetfulness, as testified to at the hearing, the Claimant gave the absence of
issues as the reason for not entering a report of his alleged inspection on July 2°d.
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Carrier Exhibit 5 shows that the Claimant worked a full eight hours on Sunday,
July 3, 2011. Whatever the reason for his failure to input the Track Inspection Report on
July 2, 2011, the Claimant should have entered it into the computer system no later than
July 3, 2011, especially since FRA Track Safety Standards Part 213, §213.69(e)(2) states,
"The electronic storage of each record shall be initiated by the person making the
inspection within 24 hours following the completion of that inspection." The Claimant
offered no explanation for not inputting the Track Inspection Report on July 3, 2011, after
he failed to do so on July 2nd.
It is possible that the reason that the Claimant did not at first tell Engineer of Track
Wolfe that he inspected the switches on July 2nd instead of July 4`h was that he did not
want to reveal that he violated the FRA and Carrier's rules in not reporting the inspection
on time. It was only after Mr. Wolfe got him to admit that the SOTS form was falsified
that the Claimant told him about reporting the July 2nd inspection on July 4`h. At that time
the Claimant had no choice but to tell the truth about reporting the July 2nd inspection on
July
4`h.
The evidence also indicates that the Claimant may have had an improper reason for
reporting his July 2nd inspection as having been performed on July 4`b. The assigned work
to the Claimant for July
4,
2011, was a heat run inspection from milepost OOL 394.7 to
milepost OLK 429.3 (Tr. $4). By his own testimony the Claimant was required to
document the heat inspection that he performed on July
4`e
(Tr. 102). Yet he did not
document that inspection on either July
4`h
or July 5`'' even though he worked on both
days. Instead of inputting the inspection he actually did on July 4`'', the Claimant entered
into the computer system on that date a report of the inspection that he performed on July
2nd, but incorrectly stated that the inspection was performed on July
4d'.
The inspection
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that the Claimant actually performed on July 4" was never reported.
In addition to not reporting his July 4' inspection, the Claimant never completed
the heat inspection that he was assigned to do on that date. By his own testimony, instead
of inspecting the track until milepost 430.0, as he was assigned to do, and for which he
had EC-1 track authority, he stopped at milepost 421.3 (Tr. 95, 103). He did so without
requesting permission from the Roadmaster or any other superior to cut short the
inspection. Moreover, he began the inspection at milepost OLC 405.1 instead of OOL
394.7 (Tr. 101).
Had the Claimant input the actual inspection performed by him on July 4', it
would have been apparent to anyone who might decide to check the record that the
inspection performed by him was incomplete and that he disobeyed the instructions given
to him regarding the inspection. This raises the possibility that the Claimant's input of
the wrong Inspection Report on July 4`" (the July 2°d inspection instead of the actual July
4`" inspection) was a purposeful act on his part to cover up the fact that he did not perform
the full heat inspection that he was assigned to perform that date. In this connection the
Board notes that the written statement given to the Carrier by the Claimant on July
6`h
failed to state that he did not complete his heat run. Instead he wrote, "I do my heat run,
give up my EC-1, then head home."
If the Claimant's failure to input the July 2 inspection in a timely manner was
accidental as repeatedly testified by the Claimant at the hearing, then he surely should
have input the July 4 heat inspection into the ITIS computer system in a timely manner.
It is not reasonable to argue that on July 4`", when the Claimant was rectifying a failure to
make timely documentation of an earlier track inspection, he was unaware of his
responsibility to make timely input of a report of the inspection that he was performing
PLB NO. 7120
Page 18 Award No.97
Case No. 97
that very day. Yet the Claimant did not input a report of the July 4 inspection on that day
or on July 5`'', even though he worked a full shift plus overtime on July 5`". This lends
credence to the suspicion that the Claimant was intentionally passing off the inspection he
performed on July 2°d as having been done on July 4`h. Such conduct, of course, would
constitute falsification.
There is additional evidence that the Claimant's dating of his report of his July 2
inspection as July 4 was not innocent. He testified that he did not know how to work the
computer so that an inspection report input on July 4`h could be backdated as July 2°d.
That nevertheless raises the question why he did not at least send a memorandum to his
Roadmaster or Engineer of Track explaining that the official Daily Track Inspection
Report he filed that contained an Inspected Date of 07!04/2011 on its face was really
performed on July 2, 2011. The Claimant's failure to do so suggests that he was
intentionally trying to pass off the July 2°d inspection as his July 4''' inspection.
The Carrier's Individual Development & Personal Accountability Policy lists
"dishonesty" among the "Major Offenses" that would "warrant an employee's removal
from service pending a formal hearing and possible dismissal from service for a single
occurrence if proven responsible." In this case the evidence clearly shows that the
Claimant acted dishonestly with regard to the SOTS form. The many unanswered
questions in this case raised above regarding the Claimant's conduct in violation of
Carrier rules, and his motive to conceal his failure to comply with the instructions given
to him concerning the heat inspection to be performed by him on July 4`'', provided
substantial evidence to support a Carrier determination that he falsified the SOTS form to
conceal one or more rules violations on his part. The Claimant's conduct warranted
dismissal under the Carrier's IDPAP, and the Board will not disturb the Carrier's action.
PLB No. 7120
Papa 19 Award No.9?
Case No. 97
The Board also notes the evidence that & hours' overtime and S hours' holiday pay
were entered on the payroll record for the Claimant for July 4, 2011, although, at most, he
worked 5 hours on that date. The Board has not considered that evidence, however, in
deciding this case because the charge letter made no reference to alleged falsification or
dishonesty with regard to pay.
___.
--Rule 25, Sectionyl(d) requires that"[a]n employee who is accused of an
offense
shall be given reasonable prompt advance notice, in writing, of the exact offense of which
ha is accused . . . ." (emphasis added): That requirement is not fulfilled by the mere
listing of a rules in the charge letter. For example, in the present case, General
Regulations (1rR-2 covers a multiplicity of possible misconduct. An employee would not
be able to
know
from the reference to GR·2 in the charge letter that he or she was being
accused specifically of an offense related to payroll.
AWARD
Claim denied.
C) R D E ·t
This Board,
after consideration of the dispute identified above, hereby orders that
act award favorable to the Claimant not be made.
Sinclair Kossoff, Ret`eree & Neutral Member
Chicago, Illinois
November 14, 2011