1. Q. What is changed about this policy from previous discipline policies?
    A. This policy offers opportunities for diversion from formal discipline.

2. Q. How did this policy come about?
   A. The Carrier, the Unions, and the FRA have collaborated under SACP to establish a policy which offers alternatives to formal discipline in the interest of improving safety and morale.

3. Q. What are the options to formal disciplinary action under the new policy?
    A. The employee may be informally conferenced, formally conferenced or receive training/education in lieu of formal discipline depending upon the eligibility criteria set forth in the policy.

4. Q. Does this new policy constitute a labor agreement?
    A. No. It is a company policy reached through a consensus process with extensive input from labor representatives. The policy includes provisions for similarly involving labor in the consideration of any future changes in the policy.

5. Q. What is an example of Informal Conferencing?
    A. An-employee uses improper radio procedure and the manager elects to handle the incident verbally with the employee rather than formally charge the employee with an alleged rules infraction.

6. Q. What is the difference between a Formal and Informal Conference?
    A. An Informal Conference may be used at any time at the manager's discretion. No records are required and it is not necessary for employee's union representative to be present.

    A Formal Conference requires records be kept. Employee's union representative must be present. Employee has right, under the policy, to elect Formal Conferencing in lieu of discipline once in any three year period. Formal Conferencing may be used at other times by the mutual consent of parties involved.

7. Q. Is a Formal Conference for an alleged Level 1 or 2 rules infraction the same as being assessed Level 1 or 2 discipline under the formal discipline policy?
    A. No. The employee's discipline level after the Formal Conference remains at Level 0. The Formal Conference makes no determination of guilt or innocence of the alleged infraction.

8. Q. Are there limits to the number of times an employee may elect or "'demand" Formal Conference in lieu of formal discipline.
    A. Yes. The employee may employ this "demand" right only once in any three year period.

9. Q. Is this the only time an employee may receive a Formal Conference in lieu of formal discipline?
   A. No. Employee may receive Formal Conference at other times when agreed to by mutual consent of parties involved.

10. Q. Does the Formal Conference assign blame or guilt for the alleged infraction?
     A. No. the conference is documented on a form signed by the employee but does not assign guilt.

11. Q. Must an employee choose Formal Conference in lieu of formal discipline if eligible?
     A. No. This policy in no way restricts an employee's right to a formal investigation.

12. Q. Who is present at a Formal conference?
     A. The employee, the employee's union representative and the manager conducting the conference.

13. Q. Who is responsible to arrange for union representative's presence?
     A. The employee.

14. Q. Must an employee's current discipline status be Level 0 to be eligible for Formal Conference by employee's request?
     A. Yes.

15. Q. Must employee's current discipline status be Level 0 to be eligible for Formal Conference by mutual consent?
     A. No.

16. Q. When does the three year period within which an employee may demand Formal Conference begin?
      A. The date or the most recent incident for which an employee exercised the right to a Formal Conference in lieu of discipline.

17. Q. How is record kept of a Formal Conference?
     A. A copy of Conference/Training form is placed on employee's PR file and conference is recorded in PINS as Formal Conference.

18. Q. If an employee exercises the right to a Formal Conference in lieu of formal discipline for an alleged Level 2 infraction occurring on December 1,1998, when would that employee be again eligible to demand a Formal Conference in lieu of disciplinary action?
     A. December 1,2001.

19. Q. Referring to Q&A No. 18. During the period December 1,1998 - December 1,2001, could the employee still receive Formal Conferencing by Mutual Consent?
     A. Yes.

20. Q. Must employee's demand right have been previously exercised to be eligible for Formal Conference by Mutual Consent?
     A. No.

21. Q. May Formal Conferencing in lieu of discipline be used for all levels of alleged infractions?
    A. No. May be use only for alleged Level 1 or 2 infractions.

22. Q. What Level of alleged infractions are eligible for Training/Education in lieu of formal discipline?
     A. Levels 3 and 4.

23. Q. Does an employee have the right to request (demand) Training/Education in lieu of formal disciplinary action for alleged Level 3 or 4 infractions?
     A. Yes.

24. Q. How often may this right be exercised?
     A. Once in any 8 year period.

25. Q. May the Training / Education in lieu of discipline be used at any other time?
     A. Yes. May be used at any time by the mutual consent of the parties involved.

26. Q. Must an employee's current discipline status be Level 0 to exercise the right to Training/Education in lieu of disciplinary action?
     A. No.

27. Q. Is participation in the Training/Education option for alleged level 3 or 4 infractions the same as being assessed Level 3 or 4 under the formal discipline policy?
     A. No. The employee's discipline status after exercising the Training / Education option remains the same as it was before.

28. Q. What is an example of an employee using the Training / Education option?
     A. An employee's current discipline is Level 3 at the time of being charged with an alleged Level 4 infraction. If the employee chooses the Training / Education option, after completing the training the employee's discipline status remains at Level 3.

29. Q. How is record kept of Training / Education in lieu of discipline?
     A. A copy of conference / Training form is placed on employee's PR file and recorded in PINS as Training / Education.

30. Q. When does the 8 year period begin within which an employee may exercise the one time demand right to Training / Education in lieu of discipline?
     A. The date of the most recent incident for which an employee exercised this right.

31. Q. If an employee exercises the right to Training / Education in lieu of formal discipline for an alleged Level 4 infraction occurring on December 1, 1998, when would that employee again be eligible to request (demand) Training / Education in lieu of disciplinary action?
     A. December 1,2006.

32. Q. Referring to Q&A No. 31. During the period December 1,1998 - December 1,2006, could the employee still receive Training / Education in lieu of discipline by Mutual Consent?
     A. Yes.

33. Q. Must an employee's demand right to Training /Education have been previously exercised to be eligible for Training/Education by Mutual Consent?
     A. No.

34. Q. May Training / Education in lieu of formal discipline be used for all levels of alleged infractions?
     A. No. May be used only for Level 3 or 4 infractions.

35. Q. Referring to Q&A No. 34. Do Level 3 or 4 infractions include lesser infractions that when coupled with discipline status in effect, stand to result in Level 3 or 4 discipline?
     A. No. Applies only to stand alone Level 3 or 4 infractions as defined in Discipline Assessment Tabie.(i.e. Current Status Level 2 plus Current Infraction Level 2 = Level 3 discipline. Not Eligible.)

36. Q. Is an implementing labor agreement supporting the Training / Education opinion required for an employee to be eligible for this option?
     A. Yes.

37. Q. Will employee's be reimbursed for necessary expenses such as travel, meals and lodging if incurred in order to attend Training / Education in lieu of discipline?
     A. Yes, provided that training takes place at other than employee's home terminal.

38. Q. If an employee elects Training /Education in lieu of disciplinary action, may the employee continue in service, or be returned to service, prior to receiving the training?
     A. Yes, subject to FRA Engineer Certification Regulations.

39. Q. If an employee charged with an alleged Level 3 or 4 infraction elects Training /Education, what is the disposition of the disciplinary hearing?
     A. Disciplinary hearing will be postponed and held hi abeyance until the Training / Education is completed.

40. Q. Referring to Q&A No. 41. What if the employee fails to attend or complete the Training?
     A. Hearing will be rescheduled and Formal discipline process resumed.

41. Q. Referring to Q&A No(s). 41&42. If hearing is rescheduled could employee again elect Training /Education in lieu of disciplinary action for that same alleged infraction?
     A. No.

42. Q. How is Formal Disciplinary Action initiated?
     A. By the issuance of a notice of investigation or hearing.

43. Q. Does this Policy impose any time limits for initiating formal disciplinary action?    
     A. No. Any such time limits are prescribed by applicable collective bargaining agreements, not this policy.

44. Q. Who issues the investigation / hearing notice?
     A. This is an administrative function that may be performed by any manager designated by the person in charge of the responsible reporting unit.

45. Q. Is this the same as the Charging Manager?
     A. No. The Charging Manager is that manager who causes charges to be issued as the result of his/her knowledge of alleged rules infractions. Generally the Charging Manager is the carrier's witness in a disciplinary hearing.

46. Q. Who is the Hearing Manager?
     A. The manager who actually conducts the investigation or hearing.

47. Q. Can the Hearing Manager also be the Charging Manager?
     A. No. The Hearing Manager cannot be both Hearing Manager and witness.

48. Q. When do-the retention periods for the UPGRADE levels begin?
     A. On the date of the incident prompting the disciplinary action.

49. Q. If an employee is reinstated after dismissal for a first time Rule 1.5 (Rule G) offense what would the employee's current discipline status be?
     A. The 1.5 dismissal has no effect on the current discipline status.

50. Q. If a Rule 1.5 violation is coincident with another alleged rule violation are the two violations handled together or separately?
     A. The investigations are handled separately.

51. Q. In the event of multiple rules infractions, which rule shall be used to determine the maximum discipline level applicable?
     A. The highest level rule or primary rule.

52. Q. Are only primary rules to be considered when applying the "3 violations of the same rule within 36 months" clause?
     A. Yes.

53. Q. In the event of multiple rules violations in a single incident may they be combined and thus incur a higher level of discipline? For example, two Level 2 violations in single incident receive Level 3 discipline?
     A. No. The highest level rules infraction involved in the incident determines the maximum level to be assessed. In this case Level 2.

54. Q. Where departmental or other Absenteeism Policies are in effect, do these policies take precedence over UPGRADE?
     A. No. Absenteeism Policies determine at what point Formal Discipline is invoked. When Formal Discipline is used, this policy will govern.

55. Q. Are non-agreement employees covered by UPGRADE?
     A. No. The UPGRADE Policy covers agreement employees only.

56. Q. If an employee is returned from dismissal status on leniency basis, at what Level does the employee return?
     A. Level 3.

57. Q. Reference Q&A No. 58. What is the effective date of the Level 3 for retention purposes?
     A. The date of the incident for which the dismissal was issued.