PUBLIC LAW BOARD NO. 4081
PARTIES CHICAGO AND NORTH WESTERN
TRANSPORTATION COMPANY )
AWARD NO. 35
TO AND )
CASE NO. 37
BROTHERHOOD OF LOCOMOTIVE )
DISPUTE ENGINEERS )
STATEMENT OF CLAIM:
The BLE-C&NW General Committee requests the DIVISION (sic.)
compensate Engineer S. M. Alberg Consolidated Seniority District
Northern No. 4 for all time lost, including time spent at the investigation,
and that his record of five days suspension be removed from the C&NW
Discipline System. Additionally, that Claimant be compensated for the
improper Federal Railroad Administration (FRA) 30 days suspension which
has already been stricken from his record by the FRA. Claimant was
investigated on July 1, 1992 on the following charge:
`Your responsibility for your failure in connection with the
derailment and damage to MP642141, MILW 67234, CR
627272 and eight (8) other cars at MP 30.5, Roberts,
Wisconsin, on the Eau Claire Subdivision at approximately
1305 hours on June 28, 1992 and your violation of Federal
Regulation CFR Part 240.117(E), while you were employed
as (head-end) Engineer on 6898 East, EMPRA-'
Copy of transcript attached as Employees' Exhibit A. Claim premised on
BLE Schedule Rule 38(a) attached as Employees Exhibit B, Federal
Regulations 49 CFR Part 240.117, attached as Employees' Exhibit C.
If
oel
~3s
__
HISTORY OF DISPUTE:
On June 28, 1992 Claimant was operating the first of three head units of a 9240
foot train (EMPRA, 6898 East) proceeding from Minneapolis, Minnesota to Altoona,
Wisconsin. The train had pusher or helper service consisting of two units on the rear of
the train operated by a Helper Engineer. The train stopped near Roberts, Wisconsin at
MP 30.5 to detach the helper units. At the time there was a Conductor in the cab of the
lead unit with Claimant as well a Conductor in the cab with the Helper Engineer. There
was a derailment of eleven cars rear of the midpoint of the train.
By letters of 3une 30, 1992 the Carrier notified all four crew members to appear
for investigation on the following charge: "Your responsibility for your failure in
connection with the derailment and damage . . . ." Additionally, both Engineers were
charged with ". . . violation of Federal Regulation 49 CFR Part 240.117(e). The
letters set the investigation for July 1, 1992, and the investigation was held on that date.
By letters of July 10, 1992 the Carrier notified Claimant that as a result of the
investigation he had been found guilty of the charges. One letter assessed Claimant the
following discipline:
"Five (5) Days Su5Vension effective July 10. 1992 (You are now
subiect to the Discipline System)-" The other letter notified Claimant that "[EJffective
July 10, 1992 your Locomotive Engineers Certificate is revoked for 30 Days, for
violation of FRA Regulation 49 CFR Part 240.117(e)." The Helper Engineer was found
guilty of the same rules violations and assessed the same discipline except he was
suspended for ten days. That discipline is the subject of Case No. 38 before this Board.
o 61 -35
_3_
The Organization grieved the discipline. The Carrier denied the grievance. The
organization appealed the denial to the highest officer of the Carrier designated to handle
such disputes. However, the dispute remains unresolved, and it is before this Board for
final and binding determination.
FINDINGS:
The Board upon the whole record and all the evidence finds that the employees
and the Carrier are employees and Carrier within the meaning of the Railway Labor Act,
as amended, 45 U.S.C. §§151,
et sea. The Board also finds it has jurisdiction to decide
the dispute in this case. The parties waived hearing.
At the outset the Organization raises the procedural objection that the Carrier
failed to hold the investigation within the time limits of Schedule Rule 38(a) which
provides in pertinent part that "[Tjhe investigation shall ordinarily be held within three
days; . . . ." The record does not substantiate a violation of the rule as alleged by the
organization. The derailment occurred June 28, 1992, and the investigation was set for
and held on July 1, 1992. Clearly, the investigation was held within the time limits of the
rule.
With respect to the merits of the case, it is the Carrier's position that the record
substantiates Claimant's violation of operating Rule 763 in that Claimant did not
communicate to the Helper Engineer in connection with the stop at MP 30.5 that
Claimant was going to or had applied dynamic braking and had made a brake pipe
' yngl-35
reduction. The Carrier emphasizes that the Helper Engineer, not knowing those facts and
having experienced a run out in slack action, had placed the throttle on the helper units in
the first or second position to ease further slack run out thus causing the derailment.
Under these circumstances, argues the Carrier, the discipline was fully justified.
The Organization responds that Claimant and the Helper Engineer communicated
to the extent required by Rule 763(a) which farces the conclusion that the record does not
substantiate Claimant's violation of the rule. Moreover, urges the Organization, the FRA
set aside the Carrier's finding that Claimant violated 29 CFR 240.117(e) and set aside the
30-day suspension based upon that finding thus warranting this Board in sustaining the
claim for compensation lost by Claimant as a result of that suspension.
We believe the Organization has the stronger position with respect to the merits of
this claim.
Operating Rule 763 provides in pertinent part that when a train has helper service
the Engineer on the front of the train is in charge of any movement,
minimum throttle
setting must be used on the helper engine, the engine on the front of the train must be in a
higher throttle setting, the helper engine must be the first to reduce throttle settings,
dynamic braking is confined to the front engine with the helper engine in idle and the
helper engine must be placed in idle when a brake pipe reduction is observed on the
helper engine unless information from the Head Engineer states otherwise. However,
nothing in the rule specifically requires that the Head Engineer communicate to the
Helper Engineer that he is placing the train in dynamic braking or making a brake pipe
' Li
D3(-35
_5_
reduction in connection with stopping the train. The Carrier would have us infer such a ._
requirement from the aforestated pertinent pro-visions of the rule as well as from the facts.
that the train was unusually long and being operated in undulating territory thus
presenting unusual handling problems. However, all four employees testified at the
investigation that Claimant's handling of the train in connection with the stop as well as
his communication with the Helper Engineer were in accordance with established
practice. While the Carrier disputes that assertion, the fact remains that the weight of the
evidence supports it. Accordingly, we do not believe the record substantiates Claimant's
violation of Rule 763.
We believe the foregoing conclusion is buttressed by the April 15, 1994 Decision
of the FRA Locomotive Engineer Review Board finding-that there was no substantial
evidence supporting the conclusion that Claimant had violated 49 CFR 240.117(e)(3)
providing in pertinent part that "[A] railroad shall consider violations of its operating
rules and practices that involve: . . . (3) failure to adhere to procedures for the safe use of
train or engine brakes; . . . ." In the course of its Decision that Board reviewed pertinent
provisions of Rule 763 and found that the record did not substantiate Claimant's violation
of the rule. While this Board is not bound by the Decision, we find it highly persuasive.
Turning to the remedy sought by the Organization in this case, again we must find
that the Organization has the stronger position. Having found that the record does not
substantiate Claimant's violation Rule 763, it follows that the Carrier's finding to the
contrary must be set aside, his record cleared of the five-day suspension and
> ~ta8( -35
-6- ..
compensation afforded for all time lost in connection with the investigation and
suspension. It also follows that the five-day suspension properly could not trigger
application of the Carrier's Discipline System. Although a copy of Claimant's service
record submitted into evidence before this Board by the Organization indicates that
Claimant was removed from the Discipline System on May 16, 1994, that fact does not
alter the conclusion that the Carrier improperly placed Claimant in the Discipline System
as a result of the incident in this case.
Nor is the Carrier's argument well founded that this Board has no jurisdiction to
award compensation to Claimant for the time he was suspended as a result of the
Carrier's finding that he violated applicable FRA Regulations. By letter of March 25,
1992 from the FRA Administrator to the Organization's President the FRA makes clear
that by implementation of the rule at issue
in
this case the FRA did not intend to foreclose
proceedings under Section 3 of the Railway Labor Act, 45 USC § 153, for recovery of
compensation lost as a result of an improper finding by a Carrier that an Engineer
violated the FRA Regulation. Indeed, the letter makes clear that the FRA intended that
avenue to be open to Engineers to recover such compensation. Accordingly, the claim in
this case for compensation for the period Claimant's Locomotive Engineers Certificate
was revoked by the Carrier in connection with the incident
in
this case is valid for the
twenty-five days the license was suspended in addition to the concurrent five-day
suspension from work for which Claimant is to be compensated separately as provided in
this award.
' ~-Fob( 35
AWARD
Claim sustained.
The Carrier will make this award effective within thirty days of the date hereof.
12
W tam E. Fredenberger, Jr.
Chairman and Neutral Member
~. Ij
- ~ cu
~w7`/ -
C. R. Wise R- D. MacArthur
Carrier Member Employee Member
~ZG~
DATED:
Carrier's Dissent to Award Nos. 35 & 36 of PLB 4081 --"
Carrier dissents to the Board's finding of jurisdiction to award lost time caused by the;
application of the FRA decertification regulations covering engineers. The award does not represent
the main-stream line of awards covering this matter. See Award 10 of PLB 5527 (BLE vs Springfield
Term. Ry. Co. - O'Brien, 1996):
"This Board submits that issues involving engineer certification under Title 49 Part 240 of the
Code of Federal Regulations are beyond our jurisdiction. They involve matters of federal law
over which we have no authority. This Board agrees with those prior tribunals that have also
declined to address issues related to FRA certification of locomotive engineers. (See SBA 183,
Award Nos. 2, 19 and 20)."
Also, Award No. 11 of PLB 5663 (UTU vs BN - Cluster; 1995):
"The claim for compensation involves interpretation not of the collective bargaining agreement
but of the Code of Federal Regulations, which is not within our jurisdiction to construe. If the
thirty-day suspension had been imposed as a matter of discipline for rule violation in this case,
we would have no hesitation in sustaining the claim for lost time. But Carrier suspended
Claimant's license based solely on the fact that his unit was moved resulting in running over
a blue flag, and Carrier's apparent understanding that that fact alone, without any prior
determination of fault on Claimant's part, required the revocation of his license under 49 CFR
240. Carrier made the suspension effective before it even sent him a notification of
investigation, much less after it concluded that he was at fault. Thus the issue is whether
Carrier was correct in its interpretation of the Federal Regulations, and that must be
determined according to the dispute resolution process contained in 49 CFR 240, not by this
Board.
Claim for removal of censure from Claimant's personal record sustained. Claim for
compensation for earnings lost due to suspension dismissed for lack of jurisdiction."
Finally, 1st Division Award 24424 (BLE vs CNW -Mikrut; 1995):
"Given the above reasons, this Board is compelled to rule that the pending claim, which
has been filed in this matter, must be sustained as presented. Having made the preceding
determination, however, the Board is also compelled to rule that we have no jurisdiction to
remedy the FRA's 30 days revocation of Claimant's Engineer's Certification. Such a matter
involves a statutory appeal procedure; and the questions of whether or not said revocation was
proper, and whether or not Carrier will be required to reimburse Claimant for lost wages
incurred during the period of said 30 days license revocation will ultimately depend upon a
ruling by the FRA which that agency has the sole and exclusive jurisdiction to make."
August 14, 1997 C. R. Wise - Carrier Member