ED & PNW Discipline Agreement - 2021

MEMORANDUM OF AGREEMENT
Between
UNION PACIFIC RAILROAD COMPANY
And the
S. M. A. R. T. – TRANSPORTATION DIVISION

(UP Eastern District and Pacific Northwest Territory)

DISCIPLINE AGREEMENT

Section 1 - APPLICABILITY
This agreement will supersede the Memorandum of Agreement effective May 1, 2005, the Memorandum of Agreement effective March 15, 2007, and the February 10, 2009 Letter of Understanding. This Agreement will apply to Trainmen, Yardmen and Firemen/Hostlers working on the UP Eastern District and Pacific Northwest Territory. 
This agreement is not intended to modify or replace Carrier policies pertaining to discipline, except that to the extent a Carrier policy may conflict with this agreement, this agreement shall govern. 
Note: This agreement is not intended to modify or replace "By-Pass" or "Companion" Agreements. 

Section 2 – GENERAL 
Employees will not be disciplined without just and sufficient cause as determined by a fair and impartial investigation. Employees may, however, be held out of service pending investigation if subject to potential dismissal. 

Section 3 – NOTICE OF INVESTIGATION
A. Within ten (10) days of the time the appropriate officer knew or should have known of the alleged offense, the employee will be given written notice of the specific charges against 
him or her. The notice will state the date, time and place of the investigation, employees charged, witnesses expected to be called, the proposed discipline to be assessed and allow 
the employee the opportunity to arrange for witnesses and representation, if desired, by the SMART TD local representative or their designee. The notice will also designate a carrier 
officer who may be contacted for the purpose of arranging for an informal conference. 
B. A copy of the notice of investigation (NOI) will be furnished to the SMART/TD local representative via electronic means (i.e., email) at the last known email address on file with 
the Carrier, no later than the date the notice of investigation is sent to the employee. The same methods of delivery enumerated herein will apply to any postponements of the 
investigation and/or amendments to the NOI.
Note: The term "the SMART/TD local representative or their designee" as used throughout this agreement refers to and shall be interpreted to mean a person who holds seniority on the Union Pacific Railroad and who is elected to a position with the SMART/TD.

Section 4 – INFORMAL CONFERENCES
The employee and the SMART local chairman (or designee) may contact the designated Carrier officer prior to the investigation and arrange for an informal conference to discuss 
the alleged offense and proposed discipline. Such informal conference may be either in person or by telephone.
1. If such informal conference results in the proposed discipline being dropped, no further action will be taken.
2. If such informal conference results in the charges being resolved by the employee and/or their representative and the investigation being waived, the employee’s record will be updated accordingly. It is understood an employee may not waive an investigation where permanent dismissal may be assessed. 
3. If such informal conference does not result in either (1) or (2) above, the discipline imposed as a result of a hearing may not exceed that proposed in the notice of investigation.

Section 5 - INVESTIGATION
A. Unless postponed for good cause, the investigation will be held no later than ten (10) days after the date of the NOI. Except in extreme cases, investigations shall not be postponed 
beyond thirty (30) days from the date originally scheduled.
Note: In the application of this Paragraph A, it is understood that the parties will exercise reasonable judgement in the postponement of investigations. 
B. When practicable, the investigation will be held at the employee's home terminal. When it is not practicable, the investigation will be held at a location that will minimize the travel, inconvenience and loss of time for all employees involved. When an employee is required to travel to an investigation at other than his or her home terminal, the employee will be reimbursed for actual, reasonable and necessary expenses incurred.
C. For employees who have been properly notified in writing but fail to appear for the investigatory hearing on their own accord, the charges listed in the notice of investigation will be upheld. Investigatory hearings will be held in absentia for employees who are charged with permanent dismissal but fail to appear at the investigatory hearing.
Note 1: Crew Management Services will be notified in advance of the hearing so as to allow the charged employee adequate time to be rested and available for the investigatory hearing in accordance with hours-of-service regulations.
Note 2: If a charged employee has a family/personal emergency beyond their control which prevents them from attending the investigatory hearing, they must contact Carrier immediately. Consideration may be given if the employee provides sufficient information/documentation validating the emergency. The parties may agree to postpone and reschedule the investigatory hearing. 
D. The charged employee and/or representative will be allowed to examine evidence to be presented as far in advance of the date of the investigation as reasonably practicable to provide the employee and/or representative adequate time to prepare. 
E. At the investigation, the employee and/or representative will be afforded the opportunity to examine or cross-examine all witnesses. Such examination will extend to all matters under investigation. At the investigation the hearing officer or the employee or the representative may request that the witnesses be sequestered.
F. The investigation will be recorded and transcribed. If the accuracy of the transcript is questioned the media used shall be examined by both parties and, if necessary, the transcript will be corrected.
Note: The use of the term "media" recognizes the future possibilities of improved electronic methods of recording and transcription.

Section 6 – DECISION 
A. A written decision regarding discipline and copy of the transcript will be issued no later than ten (10) days after completion of the hearing. The notice will be sent by US Mail (e.g., certified mail, or similar, third-party method providing receipt of delivery) to the last known address of the employee. An electronic copy will be sent to the SMART/TD General Chairperson and Local Chairperson via email.
B. If discipline is not upheld, employees will be compensated for all lost time.