This is a copy of the System General Notice No. 128 that covers the Policy Employee Performance Accountability (PEPA). Please remember that this can change at any time by General Notice, please see your general notices for the most current information.
February 01, 2017
BNSF Railway Co.
ALL DIVISIONS
SYSTEM GENERAL NOTICE NO. 128
TO ALL CONCERNED,
SUBJECT: PEPA Information
System General Notice No. 48 is cancelled.
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Explanation:
February 1, 2017 an updated Employee Performance Accountability Policy
(PEPA) takes effect. Pertinent changes include a reduction of discipline-
free years needed to qualify for a reduced review period and
implementation of Risk-Reduction Education.
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Corporate Policy Employee Performance Accountability (PEPA)
Effective February 1, 2017
I. Scope
-------------------
This Policy applies to all employees of BNSF Railway and provides
standards for addressing rules violations by scheduled employees.
II. Purpose
------------------
Our vision is to realize the tremendous potential of BNSF Railway by
providing transportation services that consistently meet our
customers' needs. As a part of this vision, it is important that our
employees work in a safe environment free from incidents and
injuries, focus on continuous improvement in safety initiatives,
share the opportunity for personal and professional growth that is
available to all members of our diverse workforce, and take pride in
their association with BNSF.
Working safely and treating others with honesty and respect are core
values at BNSF. Employees across BNSF demonstrate this daily, through
their efforts to identify and control risk of exposure during
peer-to-peer communications and problem solving discussions to
complete each task safely. Rules, procedures and policies outline
expectations, set standards, provide a basis for training, and help
us identify and control risk. Written rules alone cannot protect us
from accident or injury; they are merely words. Understanding and
appropriately applying rules, procedures and policies is a part of
BNSF Railway's proactive safety efforts.
In some situations discipline is necessary to deter unsafe behavior.
This policy outlines the handling of violations in a consistent
manner, reinforcing our mutual commitment to a safe workplace and our
individual commitment so that every one of us returns home safely at
the end of the workday.
III. Definitions
----------------------
* Actual Suspension: A suspension that results in actual time away from
work and loss of pay.
* BNSF Railway: BNSF Railway Company.
* Record Suspension: A suspension recorded in an employee's personnel
file, but that does not result in actual time away from work or loss
of pay.
* Risk-Reduction Education: An alternative to the formal discipline
process.
IV. Policy Requirements
-----------------------
A. General
1. Violations of BNSF safety and operating rules and policies,
including BNSF Railway's safety management system programs and
procedures, by scheduled employees, will be addressed as
provided in this Policy.
2. In the event a collective bargaining agreement provides for
discipline or alternative handling that is inconsistent with
the provisions in this Policy, the provisions of the collective
bargaining agreement will take precedence.
3. As used in this Policy, a Review Period is a period of time
that begins on the date discipline for a violation is assessed
and lasts for the duration provided in this Policy.
a. If an employee commits an additional violation during a
Review Period, he or she may be subject to
escalating/progressive discipline as provided in this
Policy.
b. Only time in service is credited toward a Review Period. If
an employee is on leave, furlough or otherwise not in active
status during the Review Period, such time does not count
toward the Review Period. The Review Period will resume when
the employee returns to active status.
4. Where this Policy provides for the imposition of a Record
Suspension, a supervisor has the discretion to impose an Actual
Suspension, if warranted.
a. For example, an employee withheld from service pending a
formal discipline investigation can be issued an Actual
Suspension to account for the time served while withheld.
5. A supervisor must consult with a Director of Employee
Performance prior to issuing a dismissal, an Actual Suspension
greater than 30 days, or discipline that deviates from this
Policy.
6. Except as otherwise provided in Section IV.C.1.d. and Section
IV.0.1.h., craft-specific attendance requirements are governed
by departmental requirements and are not governed by this
Policy.
B. Standard Violations
-----------------------
1. A Standard Violation is a violation of a rule or procedure
that:
a. Does not subject an employee or others to potentially
serious injury or fatality; and
b. Does not otherwise meet the criteria for a Serious Violation
or a Stand-Alone Dismissible Violation.
2. An employee who commits an initial Standard Violation will
receive a formal reprimand with a Review Period of 12 months.
3. If an employee commits additional Standard Violations within a
Review Period, he or she will receive discipline as provided
below:
a. A second Standard Violation will result in a Record
Suspension of 10 days.
b. A third Standard Violation will result in a Record
Suspension of 20 days.
c. A fourth Standard Violation will result in a Record
Suspension of 30 days.
d. A fifth Standard Violation (or five violations of any kind,
including violations of departmental attendance guidelines)
committed in the 12-month Review Period may result in
dismissal.
C. Serious Violations (Level S)
-------------------------------
1. Serious Violations include, but are not limited to:
a. A violation of any work rule or procedure that is intended
to protect employees, the public and others from a
potentially serious injury or fatality. Many of these rules
and procedures are identified in departmental publications,
including but not limited to, Telecom's Safety Essentials,
Engineering's Critical Decisions, Mechanical's Safety
Absolutes, Intermodal's Safety Fundamentals, and TY&E's
Deadly Decisions.
b. A violation for which FRA decertification is mandated by
Federal Regulation. If applicable, the violation is also
considered a Serious Violation for the ground crew.
c. A violation of the Use of Alcohol and Drugs Policy, except
as provided in Section IV.D.1.d. of this Policy.
d. An unauthorized absence (AWOL).
e. Tampering with safety devices.
f. A violation of the Equal Employment Opportunity, Anti-
Discrimination and Harassment Policy.
g. A failure to timely report a DWI conviction when required to
do so by rule or company policy.
h. Late reporting of an accident or injury. However, an
employee will not be disciplined for reporting a muscular-
skeletal injury after the prescribed time period, provided:
(i) the injury is reported within 72 hours of the probable
triggering event,
(ii) the employee notifies the supervisor before seeking
medical attention, and
(iii) the medical attention verified that the injury was
most likely linked to the event specified.
2. An employee who commits an initial Serious Violation will
receive a 30-day Record Suspension with a Review Period of 36
months.
a. An employee may qualify for a reduced Review Period of 12
months for a Serious Violation if he or she:
i. Has at least three years of service and;
ii. Has no record of discipline in the three-year period
immediately preceding the Serious Violation.
b. If an employee commits an additional Serious Violation
within the Review Period, he or she may be subject to
dismissal.
D. Stand-Alone Dismissible Violation
-----------------------------------
1. Stand-Alone Dismissible Violations include, but are not limited
to:
a. Theft or any other fraudulent act that may be evidenced by
the intent to defraud BNSF Railway or by taking of BNSF
Railway monies or property not due.
b. Dishonesty about any job-related subject including, but not
limited to, falsification or misrepresentation of an injury,
abuse of FMLA leave or other leave privileges.
c. Conduct leading to a felony conviction. This includes a plea
of guilty, deferred adjudication or any plea that results in
a felony conviction where sentencing is delayed or suspended
or the felony conviction is subsequently modified or
reduced.
d. Refusal to submit at any time to required testing for drug
or alcohol use, adulterations of sample, second violation of
the Use of Alcohol and Drugs Policy within 10 years, or
failure to comply with instructions of the Medical Director.
e. Violence in the workplace or instigation of a serious
altercation. This includes possession of weapons and the
threat of using weapons.
f. Conscious or reckless indifference to personal safety or
safety of others or the public; indifference to duty;
intentional destruction of BNSF Railway property; malicious
rule violations; insubordination.
g. A rule violation that could or does result in a serious
collision or derailment, serious injury to another employee
or the general public, fatality, or extensive damage to BNSF
Railway or public property.
h. Unauthorized absence (AWOL) of five or more consecutive
days.
i. An aggravated violation of the Equal Employment Opportunity,
Anti-Discrimination and Harassment Policy.
j. Failure to report an accident or injury.
k. Multiple Serious Violations committed during the same tour
of duty.
E. Risk-Reduction Education (RRE)
-------------------------------
1. Risk identification and reduction are at the foundation of BNSF
Railway's proactive safety efforts. By identifying and
controlling risk of exposure, BNSF Railway and its employees
can help ensure a safe workplace, where everyone returns home
safe at the end of each workday. RRE allows employees, their
representatives, and their supervisors to enhance their
understanding of risk, increase education and awareness of the
best ways to control risk of exposure, and voluntarily solve
problems rather than escalate to a formal discipline process.
2. General Eligibility Requirements
a. RRE eligibility is discretionary and will depend on the
circumstances surrounding an incident, and any other
relevant facts. To avoid formal discipline, an eligible
employee must accept responsibility for the incident in
writing, and actively participate in the RRE process.
b. RRE will generally not be available for missed call
violations and layoff on call violations.
c. Employees are generally not eligible for RRE if they have:
i. One prior RRE event in the previous 12 months
ii. A violation (formal discipline or RRE) of a similar
nature in the previous 24 months
iii. Two formal discipline events in the previous 24 months
iv. Been approved for a RRE plan in the previous 36 months,
but failed to successfully complete the plan; or
v. An active Level S violation
3. Process
a. The employee must request RRE and complete a Risk-Reduction
Education acknowledgement no later than 48 hours prior to
the initial scheduled date and time of the investigation. In
this acknowledgement, the employee must waive his or her
right to a formal investigation, accept responsibility for
the rule violation, and agree to fully participate in RRE.
b. The employee must obtain a RRE packet from a supervisor
within 7 days of completing the Risk Reduction Education
acknowledgement.
c. The employee must complete the packet, and meet with his or
her supervisor within 21 days of completing the Risk-
Reduction Education acknowledgement. During this meeting, a
supervisor (or his or her designee) will facilitate a
discussion on risk identification and steps to control risk
of exposure to safety hazards.
d. Unless a violation qualifies for expedited handling, RRE
should be tailored specifically for each employee and event.
e. Some violations may qualify for expedited handling. Under
expedited handling, the RRE process is complete when the
employee accepts responsibility and signs the Risk-Reduction
Education acknowledgement.
f. The review period for RRE begins on the date the employee
meets with a supervisor to discuss the RRE packet as
described in Section IV.E.3.c above.
g. The employee's meeting with the supervisor will be
considered training, and the employee will be compensated
for the meeting pursuant to the existing rules under the
applicable collective bargaining agreement. Employees must
schedule meetings to minimize service, availability and cost
impacts to BNSF Railway.
V. Enforcement
--------------------
Failure to comply with this Policy could result in disciplinary
action, up to and including termination of employment.
VI. Questions/Reports
--------------------
If you have any questions about this Policy or would like to report a
possible violation of this Policy, please contact the Policy
Sponsor or the Vice President Compliance & Audit. Reports regarding
violations of this Policy may also be submitted anonymously by using
the BNSF Hotline at 1-800-533-BNSF.
VII. Policy Sponsor
--------------------
Rob Karov
Vice President Labor Relations
VIII. Related Policies and Corporate Rules
--------------------
Equal Employment Opportunity, Anti-Discrimination & Harassment
Policy Use of Drugs and Alcohol Policy
IX. Policy History
--------------------
Effective Date: February 1, 2017
Last Revised: February 1, 2017
This Policy supersedes the Policy for Employee Performance
Accountability, effective February 1, 2013.
GENERAL NOTICE(S) IN EFFECT
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Last Updated: June 10, 2020