INSTRUCTIONS TO REQUEST 13C PROTECTION

Employees who are requesting Section 13C protection must provide the following in order to determine eligibility:

1. FORM HR-13C1 - REQUEST FOR DETERMINATION OF ELIGIBILITY 13C.

Please supply all the information requested. Return the signed and dated form to Lynn M. O’Flaherty, 13C Administrator, at the address indicated on the form.

The 13C Administrator will forward your request to the Director of Labor Relations for approval or disapproval. The Director of Labor Relations will notify the 13C Administrator who will, in turn, notify you via mail. The notification received will indicate approval or disapproval. If approved the notification will, also, include information pertaining to length of protective period, average monthly earnings, and average monthly hours worked.

If you are approved for Section 13C protection, please follow the instructions for Form HR-13C: Monthly Displacement Allowance Form, which will give you all the information and guidance needed to apply for your guarantee each month.

INSTRUCTIONS TO FORM HR-13C – MONTHLY DISPLACEMENT ALLOWANCE FORM

Once it has been determined that you are a Section 13C protected employee, you and your non-agreement supervisor must supply the information requested on the MONTHLY DISPLACEMENT ALLOWANCE FORM. These forms must be filled out each month, no earlier than the last working day of each month.

FOR PAGE ONE

FORM HR-13C - MONTHLY DISPLACEMENT ALLOWANCE FORM.

Begin by printing the information requested in the box of the MONTHLY DISPLACEMENT ALLOWANCE FORM. Most of the requested information in the box is self-explanatory; you shouldn't have too much trouble obtaining this information.

A few points to take note of:

ROSTER / SENIORITY DATE is the date you entered the craft you arecurrentlyin.

13C TERMINATES DATE is the date your guarantee ends. This information is supplied on your request application - namely,

FORM HR-13C1, REQUEST FOR DETERMINATION OF ELIGIBILITY.

Now you can begin completing the rest of the form.

Line 1: Indicate your 13C monthly guarantee

Line 2: Indicate your total earnings for the month you are claiming. This is the total amount of earnings accounted for on Page 2 of this form.

Line 3: Indicate ANY other earnings, if applicable, including railroad earnings, non-railroad earnings, railroad unemployment benefits received under Railroad Unemployment Insurance, railroad retirement monies, claim monies, etc. This amount would be deducted from your guarantee.

Line 4: Indicate total amount of offset for refusal of overtime, for voluntary absences, early quits, late starts, disciplinary suspensions, etc., if any, listed on Pages 2 and 3. This amount would be deducted from your guarantee.

TOTAL AMOUNT CLAIMED: The total amount claimed is the total on Line 1, your 13C Monthly Guarantee, less the amount on Line 2, which is your Metro-North earnings for the month, less the amount on Line 3 if applicable, less the amount of Line 4, if applicable.

SIGNATURES: Next, sign and date the form at the bottom of EACH page. Now you will give it to your non-agreement supervisor for their signature and date. Afterwards, the non-agreement supervisor should send it to Lynn M. O’Flaherty - 13C Administrator, at the address noted on the form for verification.

The approved forms will then be forwarded to Jason Mues - Payroll Department, who handles and determines the payment of wages.

FOR PAGE 2

1. Fill in the information requested in the box on the top of the form. Everything should be self-explanatory.

2. DAILY RECORD OF WORK PERFORMED: As instructed on the form, for each calendar day fill in your job title, work location, job number,hourly rate, daily earnings, type of absence (especially indicate whether it is PAID or UNPAID), and, finally, if you were absent or refused overtime, list the money you would have earned had you worked.

FOR EXAMPLE:

JOB TITLE:Electrician

WORK LOC:GCT/TRACK 100

JOB: #123

HOURLY RATE:$20.36

DAILY EARNINGS: $162.88 (which is 20.36 x 8 hrs.)

TYPE OF ABSENCE/PAID OR UNPAID: If applicable.

ABSENT OR REFUSE OT LIST MONEY YOU WOULD HAVE EARNEDIf applicable.

You would continue to fill out the form as such for each day of the month. If you are on vacation, personal, holiday, etc., indicate such on the form.

3. TOTAL EARNINGS FOR MONTH: Add the earnings for the month and indicate the total at the bottom of the DAILY EARNINGS column.
4. TOTAL LOST EARNINGS FOR REFUSAL OF OVERTIME, OR VOLUNTARY ABSENCES: Total up the earnings you would have received had you worked and enter that on the bottom of that column.
5. SIGNATURES: You should sign and date the form. Subsequently, your non-agreement supervisor should sign underneath your name.

FOR PAGE 3

1. Fill in the information requested in the box on the top of the form. Everything should be self-explanatory.

2. Now have your non-agreement supervisor supply us with the rest of the information requested on the form. The supervisor should check off Boxes 1, 2, 3, or 4, and indicate the corresponding information in the table below.

3. Upon their completion and your agreement with the information, you should sign and date the form and your non-agreement supervisor should sign and date it as well.

* * * * * * * * * * * * * *

A few points to take note of

Make sure that you sign and date each page and that your non-agreement supervisor signs and dates each page.

After all the information is supplied on the form, have your non-agreement supervisor send the form to Lynn M. O’Flaherty - 13C Administrator for prompt payment. There are three ways you can have the form delivered: by mail, by interoffice mail, or drop it off in person (347 Madison Avenue, Fourth floor).

The approved forms will then be forwarded to Jason Mues - Payroll Department, who handles and determines the payment of wages.

INSTRUCTIONS FOR NON-AGREEMENT SUPERVISORS

Employees directly affected by the closing of a facility or readjustment thereof due to FTA monies are protected from financial loss for a period up to six years, depending on their length of service. In order to receive their full protection, the displaced employees are required to, IF APPLICABLE TO YOUR UNION CONTRACT, exercise their seniority to obtain the highest rated job available within their union, which is within the distance limits specified in their contracts; accept all overtime offered in proper order of seniority; report to work at all scheduled times.

Displaced employees claiming a financial loss must complete FORM HR-13C MONTHLY DISPLACEMENT ALLOWANCE FORM (all three pages).

The Non-Agreement Supervisor must verify the accuracy of the information by reviewing and signing Page 1 of the form. Most of the information supplied on Page 1 is taken from the other pages of the form.

On Page 2: Verify the information supplied by the employee with respect to the days they worked, location, job number, and wages earned. Sign and date the form.

On Page 3: Fill out any information that pertains to the employee. For example, if an employee refused overtime on a given day, you would check off Item 4 on the top half of the form, and indicate the corresponding information in the table below.
IF APPLICABLE TO YOUR UNION CONTRACT, the attached chart supplies pertinent information regarding Page 3. When completed, sign and date the form.

On Page 1: Upon a final review of the information, sign and date the form. Then send it to Lynn M. O’Flaherty - 13c Administrator at the address indicated for prompt processing. The approved forms will then be forwarded to Jason Mues - Payroll Department, who handles and determines the payment of wages.

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