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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 6, 2009, B. L. Faulknier ("the Claimant") was charged with
possible violation of Safe Way Rules ES-15 a and GS-3 and Operating Rules 700 and 727
in connection with an incident that occurred on June 18, 2009, on the Rivanna
Subdivision at Maiden, Virginia, and directed to attend a formal Investigation to be held
on July 17, 2009, in Huntington, West Virginia. As a result of various postponements
jointly agreed to by the parties, the hearing in the Investigation was not held until
October 22, 2009.
FINDINGS:
Public Law Board No. 7120, upon the whole record and all the evidence, finds
that:
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 began his service with the Carrier on June 19, 2000. At the time of
the incident he held the position of Trackman, although, according to his testimony, he
has previously held positions of Foreman, Equipment Operator, Track Inspector, Welder,
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Welder Helper, and Vehicle Operator. On June 18, 2009, the Claimant was assigned to
operate a backhoe and work together with a spiker machine crew to install ties in the
switch at Maiden, Virginia.
The employee in charge of operating the spiker was R. E. Woodson. The operator
controls forward and backward movement of the machine by means of a pedal. He uses a
button on the control button to guide a device on the spiker machine called nippers to
grab or release railroad ties during the spiking process. The other operator on the
machine was J. G. Taylor, whose task was to drive spikes into the ties in coordination
with the nipping operation of Mr. Woodson. Mr. Taylor had no part in moving the spiker
machine forward or backward.
The Claimant testified as follows regarding how his injury occurred. Mr. Taylor
informed the Claimant that he needed more spikes. The Claimant drove his backhoe to
the section truck where there were kegs of spikes in the bed of the truck. He took some
kegs from the truck and placed them in the bucket of the backhoe. He got back into the
backhoe and drove back to the spiker, which was stopped on the track. He had a job
briefing with operators Woodson and Taylor regarding where to place the backhoe in
order to be able to move the kegs of spikes from the bucket of the backhoe to the back of
the spiker in the most efficient manner, i.e., without having to carry them any further than
necessary.
In accordance with what was discussed, the Claimant parked the baekhoe at a right
angle to the track with the front edge of the bottom of the bucket resting on the ground
next to the outer rail of the track. The height of the bucket was about thigh-level of a
standing person. The backhoe was parked about two and a half feet behind the back of
the spiker machine which sat on the track. The spiker is a wide machine, and its body
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extended several feet beyond the outer rail of the track on the side of the track where the
backhoe was parked. The back frame of the spiker and the side of the backhoe bucket
thus formed the walls of a kind of passage about two and a half feet wide where one
could stand next to the track and move the kegs of spikes from the bucket to the floor of
the back of the spiker.
The Claimant was standing in the two and a half foot space described above for the
purpose of moving the kegs of spikes from the bucket to the back of the spiker when
suddenly the spiker machine moved a couple of feet backwards, pinning the Claimant's
leg against the bucket and injuring the leg. He testified that the motor of the spiker was
running at the time, but the machine was stopped. On-Track Worker Rule 727, Spacing
of Equipment, provides in pertinent part as follows:
1. Work (Red) Zones:
a. Red Zone for on-track equipment is defined as a point 15 feet in front of
the machine to a point 15 feet behind the machine or 10 feet behind the machine or
10 feet beyond the maximum reach of any extended portion of the machine, in any
direction, which ever is applicable.
c. Roadway workers must not enter a machine's Red Zone without first
communicating with the operator to establish safe work procedures.
In describing how the accident happened the Claimant testified, "[B]efore entering
the red zone I spoke with Mr. Taylor and Mr. Woodson and we briefed and then I
proceeded and the machine struck my leg and pinned me." The hearing officer asked the
Claimant where he job briefed when he brought the spikes to the spiker. He stated, "At
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the side of the machine." Asked if the spiker was running at the time, the Claimant
testified, "The motor was running." Questioned if all work was stopped when he
proceeded to transfer the spikes from the bucket to the spiker, the Claimant testified,
"That is correct. The parking brake on the backhoe was engaged when I got out of it and
the spiker was sitting there and to my knowledge it was not being run."
The Claimant was asked how, if there was no work being done with the spiker, it
rolled back? He replied, "That I don't know, I'm not a mechanic." The hearing officer
asked the Claimant, "Are you stating that Mr. Woodson and Mr. Taylor acknowledged
that you could enter into the red zone and that it was safe for you to enter into the red
zone?" "Yes, they did," the Claimant stated. "We job briefed on it and I did not go
through that red zone until we communicated and everybody was clear on what we were
going to do." In his opinion the machine was secure and would not move, the Claimant
testified. "If you job briefed and you determined that the machine was not going to
move," the hearing officer questioned the Claimant, "how did the machine move?" "On
my knowledge," the Claimant answered, "the failure of the machine is what caused the
incident." The Claimant estimated that the spiker moved about 18 inches or two feet.
The hearing officer questioned the Claimant as to whether the spiker machine
should have been turned off as opposed to merely being stopped. The Claimant replied,
"Only if the rule had stated so." The Claimant added, "If the rule had stated `cut it off,'
that's what we'd have done." The hearing officer asked the Claimant if in their job
briefing it was determined that Mr. Woodson and Mr. Taylor would be working while he
brought the spikes to them. He stated, "No, they were not working."
The hearing officer noted that the Claimant had testified that the spiker machine
was running and asked him, "What communication did you have with Mr. Taylor or Mr.
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Woodson that it was okay for you to come on in to unload spikes?" The Claimant
answered:
I approached the machine on Mr. Taylor's side of the machine, got his and Mr.
Woodson's attention. Notified them that I had the spikes in the bucket. They
acknowledged my presence there, the spikes in the bucket of the backhoe and we
discussed me going through there and loading the spikes on the back of the
machine. And upon my walking through that red zone they were setting on the
machines like this. Grandy [Mr. Taylor] was looking this direction to me and
Woody was looking, Mr. Woodson and Mr. Taylor were watching me as I walked
through. I have no reason to believe that they would have done anything to
jeopardize me.
Ron Hale, Engineer of Track, the charging officer of the Carrier, conducted an
investigation the next day, June 19, 2009, at the scene of the incident. Mr. Hale testified
that what prompted the hearing in this case was that "we were told by the employees that
the nippers on the machine had slipped off the tie-causing the machine to move
backwards in an eastward direction, pinning the employee between the machine and the
backhoe." During the reenactment of the incident on June 19, 2009, in the presence of
Mr. Taylor, the nippers were made to slip off the tie a number of times, but not once when
this happened did the spiker machine move. The reason the machine did not move, Mr.
Hale explained, was that once you take your foot off the pedal, the brake is automatically
engaged on the machine. Mr. Hale testified that in his opinion there is no way that the
accident could have happened as claimed by the employees because there is an electric
eye that engages the brake when the pedal is released.
The employees, according to Mr. Hale, told him that they had a job briefing after
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which the Claimant went to the truck to get spikes, loaded them in the front end of the
backhoe bucket, and drove the backhoe back to the spiker. Then, Mr. Hale continued, the
Claimant sounded the horn on the backhoe, and Mr. Woodson and Mr. Taylor, the
operators on the spiker, acknowledged his presence. The Claimant, Mr. Hale stated, then
positioned his backhoe with the bucket on the rail, dismounted the backhoe, and went
between the two machines. His understanding, Mr. Hale testified, was that the job
briefing they had consisted of the Claimant sounding his horn and the acknowledgment
by Mr. Woodson and Mr. Taylor that he was going to come in behind the spiker.
If there had been a complete job briefing, Mr. Hale testified, the incident would
not have happened because they would have identified the safe job procedures, including
the shutting down of the spiker machine, before the Claimant entered the red zone. Mr.
Hale read into the record Engineering Department Safety Rule ES-15 e, which states:
ES-15 Mechanized Equipment
Operator must:
e. Stop equipment when the operator's attention cannot be directed exclusively to
controlling the movement.
General Safety Rule GS-3, Job Briefing, was not followed, Mr. Hale testified, in that a
thorough job briefing was not held, just a sound of the horn and a nod of the head. The
operators of the spiker, Mr. Hale stated, should have gotten off of the machine and
discussed the sequence of steps to be followed in delivering the spikes and the hazards
involved. The spiker, Mr. Hale asserted, should have been shut down so that it could not
move. The Claimant, Mr. Hale stated, would then have had a safe place in which to
work. Mr. Hale also cited On Track Worker Rule 700, Job Briefing, as another rule that
would require a more thorough job briefing than was had in this case.
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Jim Seeders, an equipment mechanic with the Carrier for 31 years, was assigned to
go to the site of the incident on June 19, 2009, to check out the spiker machine. His
inspection, he stated, showed that the brakes were "probably 60% to the good" and "all
the machine checked out satisfactorily." He found nothing with the machine, he testified,
that would cause it to roll backwards on its own. He cycled the machine three or four
times, he stated, and it worked through its functions properly.
Regarding nippers on a spiking machine, Mr. Seeders testified that on a good tie
nippers would hold virtually 100 percent of the time. "You take an old tie where the
bottom of it is soft," he stated, "I've seen nippers . . . slide off the ties." During the
reenactment of the incident, he testified, the nippers did not come off the ties. At a
switch, Mr. Seeders stated, because of the angle at which ties go into the switch, that
could contribute to nippers slipping off.
The hearing officer asked Mr. Seeders whether, if the nippers slipped off, the
machine would move backwards without the foot pedal being depressed. He answered, "
".
. . I couldn't say. I've seen . . . your nippers slip off with just the up force of the
nippers coming up . . . will vibrate the machine." The braking system of the machine is
engaged, Mr. Seeders testified, so long as you don't touch the foot pedal.
The following additional testimony was given by Equipment Mechanic Seeders:
\ Q. (By Organization Representative): So based on your testimony previously when
you stated that it is possible that if a spiker was nipping a tie that was old and
under strain that it could possibly move back, 2 feet is not a very long distance for
it to actually . . .
A. (By Mr. Seeders): No. If the rail was oily - you know, I know the machine
probably leaked oil as most do. It's possible it could have slid on the rail, yes sir.
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The hearing officer then asked Mr. Seeders the following questions:
Q. (By hearing officer): Mr. Seeders, again - this braking system is engaged unless
the pedal is pressed, correct?
A. (By Mr. Seeders): Correct.
Q. (By hearing officer): So for this to move, it would have to be done under the
braking system applied, correct?
A. (By Mr. Seeders): In order for the machine to move you have to press the pedal,
yes - correct.
After the testimony of Claimant Faulknier, Equipment Mechanic Seeders was
called back by the hearing officer to testify and asked if the spiker would on its own move
back if it was "in non-operational mode" and the pedal was not depressed. He answered,
"No. If the machine was not functioning in any way, the machine should sit there." He
was asked "if the nippers come straight up, would that propel the machine?" He
answered that it was his opinion that if the machine "was on a little bit of a bind" and the
nippers came straight up "it could . . . move the machine forward or reverse, one way or
the other, just as long as there's a little bit of bind." He added that "if your rail is wet,
rails got oil on it, it don't take much to move a machine when it's wet."
Equipment Operator Woodson testified that he has been an Equipment Operator
since 1981. He had a job briefing, he stated, regarding what he was going to be doing
with regard to the loading of the spikes. Mr. Taylor told the Claimant that they needed
some more spikes, Mr. Woodson stated, and Mr. Taylor instructed the Claimant to take
the backhoe and bring some spikes over. After the Claimant brought the backhoe back,
Mr. Woodson stated, he got off of the backhoe and asked where they wanted him to put
the spikes. They stopped the spiker but did not turn it off. The machine was running, Mr.
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Woodson stated, and the nipper was clamped to the tie. He and Mr. Taylor, Mr. Woodson
testified, did not do any more work.
The hearing officer asked Mr. Woodson what was discussed during the job
briefing concerning how the Claimant was to enter into their red zone. He answered,
"Well he told him bring the backhoe bucket around, and he brought the backhoe bucket
around, and we unloaded it." The Claimant, Mr. Woodson continued, was putting the
spikes on the spiker machine "and Mr. Taylor and I were taking the spikes and dumping
`em over in there in the chute . . . ."
The hearing officer asked Mr. Woodson whether, when the Claimant came back
with the spikes, a job briefing was held with him to limit the hazards of his entering the
spiker's red zone. He answered that they stopped completely and had a job briefing. If
they had a job briefing and identified the hazards, the hearing officer asked, why did the
machine roll backwards? Mr. Woodson suggested that "when the nippers came up I
guess it threw the machine back. It wasn't because we were working," Mr. Woodson
insisted, "because we had completely stopped working." Questioned by the hearing
officer if the machine had ever done the same thing previously, Mr. Woodson testified
that previously he had seen the nippers come up, but "the machine did never move back."
The hearing officer asked Mr. Woodson what safe work procedures were
established before the Claimant entered the red zone to make sure that the machine was
not going to move. He stated, "We stopped working the machine." Mr. Woodson
testified that he is not aware of any CSX rule that requires one to turn off a machine (as
opposed to stopping the machine from moving) before someone enters the machine's red
zone. When questioned by the hearing officer about compliance with Rule ES-15 e, Mr.
Woodson testified, "We did stop the equipment."
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John Taylor testified that he, Mr. Woodson, and Claimant Faulknier had a job
briefing before the Claimant entered the spiker's red zone. He was present at the
reenactment of the incident, Mr. Taylor stated, and the nippers came up several times.
When that happened, the machine did not move backwards. The hearing officer asked
Mr. Taylor, "Was all work stopped prior to this job briefing?" Lie answered, "Yes sir."
The hearing officer asked, "Did you all agree that Mr. Faulkner could enter into your red
zone and that you would not be working?" Mr. Taylor answered, "That's correct." The
hearing officer asked, "Did you all agree that it was safe for Mr. Faulknier to enter the red
zone?" Mr. Taylor answered, "We had a job briefing and communicated we knew what
was going to happen." The hearing officer asked, "It was all agreed that the machine
would not be worked, correct?" Mr. Taylor answered, "Yes sir."
The hearing officer asked "what was discussed in your job briefing prior to Mr.
Faulknier entering into your red zone?" Mr. Taylor answered:
We were running low on spikes, told him to come there. He come there, talked to
me, talked to Woodson, we communicated news of what the job was, you know, to
do. He was gonna give us spikes. He was taking the lids off, putting them in that
bucket, setting `em up there, you know, with the top off of `em. And we were
looking at it, we were dumping spikes into the tray, you know what I mean?
The following questions and answers between the hearing officer and Mr. Taylor then
ensued:
Q: When Mr. Faulkner brought the spikes back to your location to load `em
into the machine, did you stop at that time to discuss how he was actually
going to put `em on the machine, or had you already discussed him coming
into your red zone and working, or unloading the machine?
A: No. We, you know, told him take the lids off, when these spikes, he was
doing that to make it easier while he was just setting `em in position for us.
And we knew that he was back there. I was looking at him. Real close
enough to touch, you know what I mean?
Q: In your opinion, under GS-3 Job Briefing, if a proper job briefing was done,
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how do you [it] all hazards was identified, . . . what in your opinion caused
Mr. Faulknier to get hurt?
A: We conducted a job briefing and the equipment malfunctioned is what
caused Mr. Faulknier to get hurt. When the nippers released romped off the
tie and went back and it squeezed his leg.
Q: This was done with the machine in non-operational mode and you and Mr.
Woodson just setting there looking at Mr. Faulknier as he entered into the
red zone?
A: Yes
Dewey Jewell, Regional Manager for the Work Equipment Group, whose job is to
oversee work equipment needs, testified that if nippers come up off of a tie, they would
come directly straight up and would not kick to the front or the rear. The brakes on the
spiker machine are spring loaded, he stated, and it takes hydraulic pressure to release the
brakes. When the travel pedal is placed in neutral position, he testified, the spring
overtakes and pushes the brakes back on. As the brake shoes wear, he explained, they
progressively spring out to maintain the braking capacity of the machine. Mr. Jewell
expressed the opinion that even if the nippers would have come up, the spiker machine
would not have overrid the braking system and moved backwards. To shut down the
machine, he stated, you have to turn off the power switch on the control console. In his
opinion, Mr. Jewell testified, the Claimant was not injured as the result of a mechanical
failure of the spiker machine. He has been with work equipment for 33 years, Mr. Jewell
stated, and he has not seen a situation where a spiker machine moved without the pedal
being pressed just by the nippers coming up.
Mr. Jewell inspected the brakes and other functions on the machine on July 30,
2009, in connection with a good faith challenge regarding the machine made on July 29,
2009, by the Claimant. According to his testimony and a written report regarding the
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results of the challenge, he found that the brakes and other machine functions performed
correctly and that there was no safety issue.
Assistant Roadmaster Kenny Emerson took the Claimant to the hospital on June
18`e.
The Claimant, Mr. Emerson testified, told him that he went to load some spikes on
the spiker and that somehow or other the spiker got kicked back and caught his leg
between the spiker and the backhoe bucket. Mr. Emerson was in charge of the
reenactment of the incident the next day. The reenactment, he stated, was conducted at
the position on the track which Mr. Taylor said appeared to be the location of the
incident. They tried several times, Mr. Emerson testified, in Mr. Taylor's presence to get
the machine to kick back by releasing the nipper but could never get the machine to move
or get into travel mode.
Mr. Emerson expressed the opinion that the only way that the machine could have
moved back if it was stopped but not shut off was that "the traverse pedal had been hit at
the time that he [the Claimant] come in between the machine[s]." After the Claimant was
attended to at the hospital and he got back to the Scottsville office, Mr. Emerson testified,
he approached Mr. Taylor and Mr. Woodson and asked them what happened. They told
him, he stated, that they were stopped and were not working at the time; that the nippers
just released, and the machine rolled back pinching the Claimant's leg between the
machine and the bucket. And they said, Mr. Emerson continued, that when they heard
him scream when he was caught between the machines, they pulled the machine up and
shut it down and proceeded to help the Claimant.
At Scottsville, Mr. Emerson testified, he asked Mr. Taylor and Mr. Woodson to
give him written statements about the incident. Mr. Taylor wrote the following statement:
June
18
2009
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I J. G. Taylor while operating south side of SD9536 asked B. L. Faulknier
to get some spikes. He returned with spikes in backhoe bucket and we
comunicated [sic for backhoe to come in tracks east of spiker, the rear to unload
spikes. Spiker was spiking and nippers released and rolled east into leg into
backhoe bucket.
/s/ J. G. Taylor
Mr. Woodson gave the following written statement:
06/ 18/09
Chilly [Claimant Faulknier] was asked to get spikes off back of the truck.
So he took the backhoe and got them, then he came back with them and put the
bucket down and got them off. While getting them off after he had discussed with
us he started unloading. The spiker never moved backward no it moved forward.
The nipper came off the tie after spiking and the machine moved because the ties
sometimes go it [?] crooked in a switch and the rippers don't catch them exactly
right. We heard Chilly holler and we looked around. He was behind the machine
hurt.
/s/ Robert E. Woodson
Assistant Roadmaster Emerson testified that he did not believe that communication
among the three employees was at the required level. "I think the proper way that they
should've done it," Mr. Emerson stated, "was to shut the machine down before entering
in between the two pieces and stopped working, which I don't believe was done."
On cross-examination Mr. Emerson testified that for the reenactment the spiker
machine was shut off and the parking brake set. There were a few small leaks on the
machine, Mr. Emerson acknowledged, but nothing, he stated, that would keep it from
being operable. Mr. Emerson described what they did to try to get the machine to move
as follows:
We dropped the nippers in various positions leaning more towards one side
of the tie with the other and clamped . . . the tie in a bind position [and] while the
nippers were clamped moved the machine up to where there was a lot pressure on
the back side of the nippers. And then allowed the nippers to come up and see if it
would shift the machine backwards. We done that both ways. And we dropped
the nippers in various different locations trying to get it to jerk the machine.
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According to what Claimant Faulknier told him on the way to the hospital, Mr. Emerson
stated, he had not yet begun to unload the spikes at the time he was injured.
Assistant Roadmaster Emerson testified on cross-examination that he has had an
opportunity to run a spiker on a regular basis, and it never happened that the machine
moved if it was in a bind and the nippers released. Even if the machine was in a bind,
Mr. Emerson insisted, and the nippers released, it was impossible for the machine to
move a few feet, but a couple of inches was possible. When told on cross-examination
that a CSX mechanic had testified to the contrary, Mr. Emerson maintained, "I've never
seen one move more than one or two inches."
The hearing officer recalled Mr. Woodson to testify and asked him the following
question:
In your statement basically you said we heard Chilly holler and we looked around
and he was behind the machine hurt. Previously you had made a comment that
you, Mr. Faulknier and Mr. Taylor had had a job briefing and you all agreed that
no work was to be done and that you was not operating the machine when Mr.
Faulknier entered into the red zone. How come in this statement you basically act
like you was surprised when you heard Mr. Faulknier holler and then you looked
around and he was hurt?
Mr. Woodson answered:
I wasn't looking at him unload the spikes .... I'm done with the spikes I'm done
spiking my chute. That's when I heard him holler. I just looked around done
spiking the chute. I wasn't working the machine. I wasn't directing my attention
to him. Why would I [have] sat up there and look at him do all the work and we
supposed to be helping with the spikes. I was driving the spikes down there in the
chute after he opened them up and I heard him holler that's what I mean I looked
back. Quite naturally I wouldn't run no machine when I was looking around.
That's what I was talking about.
Asked by the hearing officer if he could have hit the pedal in the process of loading the
spikes, Mr. Woodson stated, "No sir, I couldn't."
The hearing officer asked Mr. Woodson if he would not consider loading spikes in
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the chute contrary to his testimony that they had a job briefing and that all work was
stopped. He answered that the chute "is a big bucket" situated between both operators
and does not have anything to do with the controls of the machine.
According to Mr. Woodson's testimony (Tr. 105), the sentence in his written
statement that says, "The spiker never moved backward no it moved forward." should
have said, "The spiker never moved backward nor it moved forward." By that, he
explained, he meant that they had already spiked the tie that was there, and the machine
was standing still. He clarified that he was not saying that they were spiking but that they
had completed the spiking and that the machine moved after they had completed the
spiking.
The hearing officer also recalled Mr. Taylor to testify and asked him what he
meant in his written statement by "Spiker was spiking and nipper released and rolled east
into leg into backhoe bucket." He stated that "it was our job for the day on the spiker is
what I meant." Mr. Taylor testified that the previous testimony was correct that he,
Claimant Faulknier, and Mr. Woodson had a job briefing and that he and Mr. Woodson
had stopped work and were looking at Mr. Faulknier when he entered the red zone.
The hearing officer recalled the Claimant to testify and asked him, "Was Mr.
Woodson looking directly at you when you entered in the red zone?" He answered,
"Until he turned around to check in the bend." He was asked whether, when he
entered the red zone of the spiker, it was his opinion that the spiker was not going to
move. He answered, yes, that it wasn't going to move. He acknowledged that, in fact,
the spiker did move and stated that it was "due to a machine failure."
By letter dated November 10, 2009, L. M. Wharton, Division Engineer, notified
the Claimant of the Carrier's finding "that the charges against all principals were proven
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without a doubt. CSX Operating Rules 700 and 727 and Safe Way Rules ES 15e, GS-3
were violated," the letter continued, "when Mr. Faulknier entered into Mr. Woodson's
and Mr. Taylor's red zone without all having a proper job briefing first." The letter
characterized the evidence presented at the hearing as follows:
The hearing centered on if the principals had a proper job briefing; and if
they did, then why was Mr. Faulknier struck by the spiker? The principals'
testimony centered on machine failure of the spiker. They all agreed that all work
was stopped, they had a job briefing and they were watching Mr. Faulknier enter
the spiker's red zone when he was struck.
The letter reviewed the prior discipline assessed against the Claimant under the Carrier's
IDPAP Policy, including a 34 actual days' suspension upheld by an arbitrator, all within
the past three years. The letter concluded as follows:
After a thorough review of the transcript, personnel record; and based on
the evidence and testimony that has been given, the charges upon which this
investigation was based were upheld. It was determined that an inadequate or no
job briefing was held thus allowing you to be struck by the spiker. It is my
decision that the discipline to be assessed in your case is 60-days actual plus
suspension of all Machine Operator's rights for a period of one year between
November 1 1, 2009 and November 1 1, 2010. Your actual days off will start on
November 1 1, 2009 and run to January 10, 2010.
It should be noted that separate charge letters were also sent to Mr. Taylor and Mr.
Woodson. A single consolidated hearing was held in the cases of all three employees on
October 22, 2009. However, separate decision letters were sent to each employee. The
charges were also sustained against Mr. Taylor and Mr. Woodson. Both men were
assessed 30-day actual suspensions. Their cases are before this Board respectively as
Cases Nos. 60 and 61.
The decision letter of November 10 , 2009, accurately characterized the Claimant's
position regarding the cause of the accident as "machine failure of the spiker." As the
letter also notes, that, too, was the position of Mr. Taylor and Mr. Woodson. When the
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Carrier attempted to reenact the incident, however, despite repeated attempts, it could not
get the spiker machine to move forward or backwards by causing the nippers to release
from the tie, even when the spiker machine was placed in a bind position. Further, Mr.
Woodson has been an Equipment Operator since 1981, and he acknowledged that it has
never previously happened to him that the spiker machine moved forwards or backwards
as the result of the nippers coming off a tie. Nor did Mr. Taylor claim to have ever
witnessed such an occurrence previously.
In addition, Mr. Emerson, who had personally operated a spiker machine for a
period of time, testified that it was not possible for the machine to move more than an
inch or two as a result of the nippers coming off of a tie. Regional Manager Jewell,
whose experience with work equipment spans 33 years, testified that in his experience he
has not seen it happen that a spiker machine moved just from the nippers coming up.
The only testimony to support the claim that the release of the nippers propelled
the spiker backwards was that of Equipment Mechanic Seeders. From his testimony,
however, it is clear that the only movement he personally observed as a result of nippers
coming off of a tie was vibration of the machine. Thus he stated when asked by the
hearing officer whether the machine would move backwards without depressing the foot
pedal if the nippers slipped off, "It all depends on . . . how much twist the nippers were in
. . . I've seen a machine move . . . your nippers slip off with just the up force of the
nippers coming up will make them, will vibrate the machine - yes." (Tr. 27). That
testimony is consistent with Assistant Roadmaster Emerson's testimony that it's possible
that the machine might move an inch or two. The Board has carefully scrutinized the
transcript, and nowhere in the transcript is there any testimony by Equipment Mechanic
Seeders that he personally observed a spiker machine do anything other than vibrate
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where the nippers came off the tie without the travel pedal being depressed.
From the Carrier's decision in this case it is clear that it did not credit the
testimony of the witnesses who attributed the movement of the spiker to the nippers
slipping from the tie but, on the contrary, credited the testimony of Assistant Roadmaster
Emerson and Regional Manager Jewell that the spiker could not move as much as two
feet as the result of nipper slippage. The Carrier's credibility determination on that
factual issue was supported not only by substantial evidence but by a preponderance of
the evidence. The Board so finds.
The Carrier found that the Claimant violated Operating Rule 727, Spacing of
Equipment. The pertinent portion of the rule reads:
c. Roadway workers must not enter a machine's Red Zone without first
communicating with the operator to establish safe work procedures.
The fact that the Claimant got his leg pinned between the bucket of the backhoe and the
rear of the spiker would indicate that he did not establish safe work procedures with Mr.
Woodson and Mr. Taylor before entering the spiker's red zone. The defense of machine
failure does not hold up because no credible evidence was presented of any kind of
operating failure that could have caused the machine to move on its own after it was
stopped with the brake engaged. The claim that nipper slippage could have caused the
spiker to move has been shown to be without substance.
The evidence shows that as the Claimant was placing the spikes onto the back of
the spiker, the two operators of that machine ceased watching him and started loading the
spikes into the chute on the machine. Thus Mr. Woodson testified, "He [Claimant
Faulknier] was unloading spikes, putting on back up spikes and Mr. Taylor and I were
taking the spikes and dumping `em over in there in the chute so we can get a hold of
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`em." Jr. 50). When recalled to testify, Mr. Woodson reiterated, ". . . I wasn't directing
my attention to him [Claimant Faulknier]. Why would I sat up there and look at him do
all the work and we supposed to be helping with the spikes. I was driving the spikes
down there in the chute after he opened them [the kegs] up and I heard him holler . . . ."
Jr. 103). Similarly Mr. Taylor testified that Claimant Faulknier set the kegs of spikes on
the spiker machine with the lids off the kegs and "we were dumping spikes into the tray,
you know what I mean." (Tr. 63). Further Mr. Woodson's written statement that "We
heard Chilly holler and we looked around" indicates that both he and Mr. Taylor were
occupied with other things and were not watching the Claimant when he became pinned
between the two machines.
It is clear from the testimony that the Claimant remained in the red zone of the
spiker while removing kegs of spikes from the bucket of his backhoe, carrying the kegs to
the spiker, placing them on the back of the spiker, and removing the lids from the spiker
while the spiker machine was running, although stopped, and the two operators of the
spiker were busy dumping the spikes into the spike chute. It should have been evident to
the Claimant that so long as the spiker was running and the operators were doing some
kind of work on the machine there was a danger that something could go wrong to cause
the machine to move and strike him, especially since, if the machine moved while he was
between the two machines, he had no room to escape.
That is exactly what occurred in this case. Something happened that caused the
spiker brakes to release and the machine to move. According to the evidence, the
machine's brakes were functioning properly, and there was no safety issue with the
spiker. A reenactment of the incident could not cause the machine to move despite
several efforts to accomplish this. No witness had ever experienced a situation where the
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machine had moved from a stopped position more than a couple of inches merely because
the nippers slipped from a tie. This included Equipment Operator Woodson, who has
been an Equipment Operator since 1981. Based on the evidence in the record, it is
reasonable to assume that Mr. Woodson or Mr. Taylor did something to cause the brakes
to release and the machine to move while the Claimant was in the spiker's red zone. They
had the opportunity to do so because they were engaged in other tasks and not watching
him for at least part of the time that he was in the machine's red zone. For the Claimant
to be in the red zone of the spiker under the conditions that prevailed on June 18 when he
was injured was a violation of Rule 727 1 c because it meant that the Claimant had
entered the red zone without having established safe work procedures.
It may be that Mr. Woodson and Mr. Taylor were watching the Claimant when he
first entered their machine's red zone, and only after he delivered the first keg did they
decide to start loading the spikes in the spike chute. It may be that the Claimant did not
expect that to happen and assumed that they would remain at the back of the spiker
watching him and doing nothing else until all of the spikes were delivered and he was out
of their red zone. If that were true, however, it would still be a violation of Rule 727 1 c
because it would have meant that the Claimant had not communicated with the spiker's
operators before entering the red zone to make sure that they did not do any kind of work
on the machine so long as it was running and he was in the machine's red zone. There
was no testimony or claim that safe work procedures were established, but that the
spiker's operators intentionally or mistakenly departed from the safe procedures that had
been agreed on.
The failure to properly communicate in violation of Operating Rule 727 was also a
violation of General Safety Rule GS-3 Job Briefing. That is so because the
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Case No. 59
"communicating with the operator to establish safe work conditions" is another name for
a job briefing. The elements of Rule GS-3 that were not complied with were the
following: Discuss the sequence of job steps; Identify, eliminate, contain, or communicate
all potential hazards related to the job; and Ensure understanding of the planned sequence
of events.
The Board has carefully considered the degree of discipline assessed against the
Claimant. It notes that the Claimant's discipline is twice that assessed against the
operators of the spiker, who each received a 30-day suspension. Certainly the Claimant's
violation was not more serious than theirs. It was their machine that struck the Claimant
and not vice versa. Nevertheless in light of the fact that the other two employees have
significantly less prior discipline on their records than the Claimant and the seriousness of
the present incident, the Board has decided not to disturb the work suspension discipline.
Probably there is nothing that is emphasized more in the railroad industry than the
importance of safe job practices. The Board appreciates that the Claimant was only trying
to do his job and contribute to the team effort. However, safety must always come first.
The Board finds no justification in the record, however, for the suspension of
Claimant Faulknier's Machine Operator rights. First, as noted, the Claimant's machine
did not strike anybody. Nor did it move after the Claimant stopped and parked it. There
is no evidence in the record that the Claimant mishandled his machine in the present case
or at any previous time.
The question was explored at the hearing of whether Rule ES-15 or any
consideration of safety would have dictated that the Claimant shut off his backhoe
machine in the circumstances of the present case. Rule ES-15 a states, "Stop equipment
when the operator's attention cannot be directed exclusively to controlling the
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movement." The rule does not say to "turn off' the equipment. The machine was
stopped
with
the parking brake on. No rule was cited which would have required the
Claimant to turn off his machine in the circumstances of this case.
Nor was there any substantial evidence presented that the backhoe presented a
safety hazard by not being turned off as opposed to being stopped with the parking brake
engaged. The Board finds that there is no support in the record for the Carrier's
suspension of the Claimant's Machine Operator rights. The suspension of those rights
shall be considered null and void, and he shall be made whole for any wages or other
employment benefits lost as a result of said suspension.
AWARD
Claim sustained in accordance with the findings.
ORDER
This Board, after consideration of the dispute identified above, hereby orders that
an award favorable to the Claimant be made. The Carrier
is
ordered to make the Award
effective on or before 30 days following the date the signed Award is transmitted to the
parties.
L
Sinclair Kossoff, Referee & Neutral Member
Chicago, Illinois
February 24, 2010