WINNING AT TH E NLRB SECOND EDITION. Matthew M. Franckiewicz Arbitrator Wilmerding, PA. Daniel Silverman Silverman & Silverman Brooklyn, NY

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1 WINNING AT TH E NLRB SECOND EDITION Matthew M. Franckiewicz Arbitrator Wilmerding, PA Daniel Silverman Silverman & Silverman Brooklyn, NY BNA Books, A Division of BNA, Arlington, VA

2 Summary Table of Contents PREFACE DETAILED TABLE OF CONTENTS v xi PART I. IN GENERAL CHAPTER 1. THE ACT : 3 CHAPTER 2. THE NLRB 17 CHAPTER 3. NLRB LAW AND PROCEDURE 35 CHAPTER 4. INVESTIGATING BEFORE THE INVESTIGATION 93 CHAPTER 5. FILING YOUR CHARGE 113 PART II. UNFAIR LABOR PRACTICE INVESTIGATIONS CHAPTER 6. How THE REGION INVESTIGATES AND DECIDES UNFAIR LABOR PRACTICE CASES 153 CHAPTER 7. WINNING INVESTIGATIONS 179 CHAPTER 8. WINNING INVESTIGATIONS: PARTY-SPECIFIC STRATEGIES 215 CHAPTER 9. SETTLEMENT CONSIDERATIONS 253 CHAPTER 10. DEFERRAL TO ARBITRATION 295 PART III. UNFAIR LABOR PRACTICE AND BACKPAY LITIGATION CHAPTER 11. WINNING TRIAL TACTICS 327 IX

3 x Winning at the NLRB CHAPTER 12. WINNING TRIAL TACTICS FOR CHARGING PARTIES 373 CHAPTER 13. WINNING TRIAL TACTICS FOR RESPONDENTS 385 CHAPTER 14. PROCEDURAL ASPECTS OF BACKPAY AND COMPLIANCE 445 CHAPTER 15. SUBSTANTIVE BACKPAY LAW AND IMPLICATIONS 487 PART TV. REPRESENTATION CASES CHAPTER 16. WINNING REPRESENTATION CASES 609 CHAPTER 17. WINNING REPRESENTATION CASE HEARINGS 637 CHAPTER 18. ELECTIONS: PROTECTING YOUR VICTORY 669 CHAPTER 19. POSTELECTION PROCEEDINGS: PRESERVING VICTORY OR REVERSING DEFEAT 679 PART V. MISCELLANEOUS PROCEEDINGS INVOLVING THE NLRB CHAPTER 20. INJUNCTIONS UNDER SECTIONS 10(j) AND 10(1) 705 CHAPTER 21. OTHER PROCEEDINGS INVOLVING THE NLRB 731 APPENDIXES APPENDIX A. Divisions of Operations-Management 751 APPENDIX B. APPENDIX C. Index of Significant General Counsel and Operations Management Memoranda 2000 to Areas to Explore in Preparing for an Unfair Labor Practice Investigation 761 APPENDIX D. Forms 853 APPENDIX E. Charge Language 879 APPENDLX F. Areas to Explore at Representation Case Hearings 889 TABLE OF CASES 945 INDEX 987 ABOUT THE AUTHORS 1015

4 Detailed Table of Contents PREFACE SUMMARY TABLE OF CONTENTS v ix PART I. IN GENERAL CHAPTER 1. THE ACT 3 I. Introduction 3 II. History 3 III. The Wagner Act 6 A. Jurisdiction 8 B. The Representation Function 11 C. The Unfair Labor Practice Function 12 IV. Injunctions 1 15 CHAPTER 2. THE NLRB! 17 I. General Matters 17 II. Organization of the Office of the General Counsel and Office of the Inspector General 19 III. Regional Offices, 22 IV. Aspects of Employment at the NLRB 22 A. General 22 B. Clericals 24 C. Agents Field Examiners Attorneys 27 V. The National Labor Relations Board Union 28 VI. Management 29 A. Supervisors 30 B. Resident Officers 31 XI

5 xii Winning at the NLRB C. Higher Regional Management Regional Director 2. Assistant to the Regional Director Regional Attorney 4. Deputy Regional Attorney CHAPTER 3. NLRB LAW AND PROCEDURE 35 I. A Few Words for Non-Lawyers 36 II. Substantive Law 40 A. Treatises 40 B. Case Research 41 C. Work That Has Already Been Done 1. Advice Memoranda General Counsel's Memoranda 46 III. Procedural Matters 48 IV. Good and Bad Law 50 V. Statistical Information 53 VI. Keeping Up 53 VII. Filing Documents with the Board 54 A. Regional Office 54 B. Office of Appeals C. Division of Judges D. NLRB Appendix 3.1 Special Distribution Cases Decided From 56 December 2004 to CHAPTER 4. INVESTIGATING BEFORE THE INVESTIGATION 93 I. Why a Charging Party Should Do Its Own Investigating 94 II. How to Do Your Own Investigating A. Elements of Your Case ; B. Motivation Advice for Unions Advice for Employers 101 C. Agency 102 D. Foundations 103 E. Creating Your Record 105 III. Advance Investigating by Charged Parties Appendix 4.1 Supervisory Status 108 Ill CHAPTER 5. FILING YOUR CHARGE 113 I. Should You File Something Other Than an Unfair Labor Practice Charge? 114 A. Representation Case Petitions Background 115 a. Advice for Employers 116

6 Detailed Table of Contents xiii 2. Unit Clarification Petitions RC, RM, and AC Petitions B. Fair Representation Lawsuits C. Filings With Other Agencies D. Arbitration E. Lawsuits Under Section 301 or ERISA 123 II. Filing the ULP Charge A. Identifying the Charged Party Advice for Unions...: Advice for Employers B. Preparing the Charge Which Sections to Allege a. NLRB's Numbering System Explained b. Advice for Unions 128 c. Advice for Employers 129 (1) Charges Under Sections 8(e) and 8(b)(4) (2) Charges Under Section 8(g) (3) Charges Under Section 8(b)(7) d. Advice for Individuals Wording the Charge 133 a. Advice for Unions 134 b. Advice for Employers C. Having the NLRB Prepare the Form D. Preparing the Form Yourself 138 E. Who, Where, and When Advice for Employers Advice for Unions 140 F. Amending Charges III. Beating the Clock: The Statute of Limitations A. Last-Minute Filings 141 B. Filing Despite the Statute of Limitations 1. Theories for Extending the Limitations Period Other Tactics for Rescuing a Case Armed Services Loophole 147 IV. What Else to Do When Filing the Charge 147 A. Advice for Unions 148 B. Advice for Employers 149 V. Countercharges 149 PART II. UNFAIR LABOR PRACTICE INVESTIGATIONS CHAPTER 6. How THE REGION INVESTIGATES AND DECIDES UNFAIR LABOR PRACTICE CASES 153 I. Time Targets 155 A. System of Categorization 156

7 xiv Winning at the NLRB 1. Category III (Highest Priority) Category II (Middle Priority) 3. Category I (Lowest Priority) B. Mechanics of Classification 160 C. Effect of Categorization 161 D. Regional Reports 166 II. Investigation 166 A. Role of the Agent 166 B. Investigative Subpoenas 170 C. Priority Cases ; ~ III. Decisional Process 174 A. Preliminary Decisions 174 B. Agenda 174 C. Division of Advice 176 D. Merit Dismissals IV. Injunction Cases CHAPTER 7. WINNING INVESTIGATIONS 179 I. Dealing With the Agent 180 A. Psychological Factors 180 B. Witness Interviews and Affidavits II. Avoiding Spurious Credibility Conflicts III. Input Into the Decisional Process 191 Appendix 7.1 Checklist for Section 8(a)(l) Allegations 193 Appendix 7.2 Checklist for Section 8(a)(3) Allegations 197 Appendix 7.3 Checklist for Section 8(a)(5) Allegations 203 Appendix 7.4 Checklist for Section 8(b)(l)(A) Allegations 211 CHAPTER 8. WINNING INVESTIGATIONS: PARTY-SPECIFIC STRATEGIES 215 I. Strategies for the Charging Party A. Picking Your Agent B. A Good Start C. Stretching the Calendar D. Reluctant or Unfriendly Witnesses E. Investigative Subpoenas F. Information the Agency Already Has 223 G. Injunctions 224 H. Appeals 1. Adverse Decisions a. Dismissal Versus Withdrawal b. Types of Dismissal c. Partial Dismissal 2. Filing the Appeal Odds of Success 229 I. New Evidence 230 II. Strategies for the Charged Party 231

8 Detailed Table of Contents xv A. Initial Contacts 231 B. Your Relationship With the Board Agent 233 C. To What Extent Should You Cooperate? You Have More Control Over the Investigation Than You Think Statements of Position 3. Providing Witnesses Providing Affidavits 241 D. Advice for Employers 244 E. Advice for Unions..T.' 246 F. Responding to Appeals 247 G. Section 10(j) Injunctions 248 Appendix 8.1 An NLRB Regional Director's Advice for Putative Labor Lawyers 249 CHAPTER 9. SETTLEMENT CONSIDERATIONS 253 I. Settling With the Board 256 A. Types of Settlements Informal Settlements Formal Settlements Unilateral Settlements B. Settlement Provisions Notices 2. Broad v. Narrow Order Nonadmissions Clause Backpay Reinstatement 269 C. Default Language 271 D. Waivers E. Negotiating Ploys F. Circumventing the Region G. For the Respondent, Persuading Your Own People H. Other Issues I. Settlement Judges II. Settling Without the Board, 281 A. Repudiation 281 B. Non-Board Settlement 281 C. Mechanics of a Non-Board Settlement 282 D. Advantages and Disadvantages 284 E. Creative Solutions 286 F. If You Do Not Trust the Other Side III. You May Be Settling More Than You Think IV. Violations of Settlements 291 CHAPTER 10. DEFERRAL TO ARBITRATION 295 I. NLRB Deferral Policies 296 A. Spielberg Postarbitration Deferral 298

9 xvi Winning at the NLRB B. Collyer Prearbitration Deferral 303 C. Dubo Prearbitration Deferral 311 II. Getting What You Want 313 A. Prearbitration Deciding What You Want a. Advantages of Arbitration (1) Advantages for Unions 315 (2) Advantages for Employers 315 b. Advantages of NLRB Decision 316 (1) Advantages for Unions" How You Can Get What You Want 317 a. Advice for Unions 317 b. Advice for Employers 320 c. Advice for Both Sides 321 B. Postarbitration 321 PART III. UNFAIR LABOR PRACTICE AND BACKPAY LITIGATION CHAPTER 11. WINNING TRIAL TACTICS 327 I. Dealing With Administrative Law Judges 329 A. Who Are the ALJs? B. Influences on the Lives of ALJs C. Biases of AJLs 331 II. Pretrial Conference 334 III. Pretrial Preparation and Witness Instructions 335 IV. Subpoenas 337 A. Service 339 B. Petition to Revoke 339 C. Enforcement 340 D. Scope of Subpoena V Opening Statements VI. Conduct of the Hearing 342 A. Sequestration of Witnesses 343 B. Use of Audio and Video Equipment 344 C. Exhibits 345 D. Speaking to the Record 346 E. Rejected Testimony or Documents; Offers or Proof 346 F. Evidence Depositions G. Questions by the ALJ H. Interlocutory Appeals 348 VII. Evidence 349 A. Federal Rules of Evidence Checklist 350 B. Hearsay 351 C. Stolen Documents 351 D. Surreptitious Recordings 351

10 Detailed Table of Contents xvii E. Dead Man's Rule 352 F. Decisions of Other Agencies 352 G. Testimony by Attorneys H. Refusal to Answer VIII. Evidence From the Other Side 354 IX. Credibility 355 X. Correcting the Record 356 XL Reopening the Record 357 XII. Briefs and Argument \ 358 A. Obtaining Transcripts...-r. 358 B. How Judges Write Decisions 358 C. Writing Your Brief 359 D. Reply Briefs 360 E. The Decision That Never Comes 361 XIII. Exceptions to the ALJD 361 A. Post-ALJD Filings B. Writing Your Exceptions C. Mechanics of Board Decisions 365 D. Briefs to the Board 367 E. Reconsideration 369 XIV Winning by Losing 369 CHAPTER 12. WINNING TRIAL TACTICS FOR CHARGING PARTIES 373 I. Limited Role of the Charging Party 373 II. First, Do No Harm 377 III. Second, Do Some Good 379 A. Before the Trial 379 B. At the Trial 381 C. After the Trial 383 CHAPTER 13. WINNING TRIAL TACTICS FOR RESPONDENTS 385 I. Answering the Complaint 387 A. Filing B. Who Should Answer C. Format of a Typical Complaint 389 D. General Thoughts About Answers E. Jurisdiction F. Labor Organization Status 393 G. Agency 393 H. Bargaining Unit I. Allegations of Violations J. Affirmative Defenses 394 K. Motions for a Bill of Particulars L. Class Action Complaints II. Complaint Amendments 402 A. Before the Hearing 402 B. At the Hearing 403

11 xviii Winning at the NLRB 1. Amendments Before the Evidence Is Presented Amendments After the Evidence Is Presented 3. Requested Remedies III. Pretrial Motions 409 A. Motion to Dismiss for Failure to State a Claim 410 B. Motion for Summary Judgment C. Motion for Consolidation or Severance of Cases D. Motion for Intervention or Joinder of Additional Parties >...-..rr. 412 IV. Continuances V Trial Preparation A. Obtaining Information From the NLRB 414 B. Interviewing and Preparing Witnesses C. Visiting the Plant D. Subpoenas (on Offense) VI. Subpoenas (on Defense) A. In General B. Motions to Quash C. Noncompliance 422 VII. Witnesses at Trial 424 A. Sequestration 424 B. Presenting Your Witnesses C. Cross-Examination D. Jencks Rule 1. Statements That Can Be Obtained Sanitized Statements Lost Statements When You Can Have the Statement How to Use the Statement Other Exculpatory Material 438 VIII. Documents at Trial 439 LX. Special Considerations in Gissel Bargaining Order Cases 439 CHAPTER 14. PROCEDURAL ASPECTS OF BACKPAY AND COMPLIANCE 445 I. Procedures in Backpay Cases 446 A. A Few Words About Words 448 B. Preliminary Computation of Backpay Impact Analysis and Backpay 2. Advice for Respondents Advice for Claimants and Charging Parties 453 C. Obtaining Information (Advice for Respondents) 455 D. Settling 460 E. The Compliance Specification and Answer Elements of the Specification 463

12 Detailed Table of Contents xix 2. Responding to the Specification 464 F. Pretrial Preparation 469 G. Subpoenas 469 H. At Trial 473 I. Missing Claimants 477 J. Respondents in Bankruptcy 478 II. Dealing With Recalcitrant Respondents: Advice Primarily for Charging Parties 479 A. Contempt '.<. 480 B. Collection Techniques...T.T. C. Deep Pockets CHAPTER 15. SUBSTANTIVE BACKPAY LAW AND IMPLICATIONS 487 I. Backpay in General 490 II. Burdens of Proof 493 III. Quarterly Computation 494 A. The Law 494 B. Advice for Respondents 495 IV. Backpay Period 498 A. Terminating Backpay Liability The Law 2. Advice for Respondents Advice for Claimants B. Class Action Cases C. Excepted Periods: Holes in the Backpay Period The Law 511 a. In General 511 b. Business Factors 512 c. Unavailability Factors Advice for Respondents 518 V. Gross Backpay 520 A. The Law 1. Standard for a Formula : Backpay Formulas in Four Dimensions a. Integral or Component Methods b. Measuring Person(s) c. Before and After (the ULP) d. Adjustment Factors Effect of Layoffs and Business Declines Components of Gross Backpay 531 B. Advice for Respondents 1. Assumptions About Overtime Assumptions About Level of Business 3. Assumptions About Raises Assumptions Based on Comparable Employees Assumptions About Absenteeism C. Advice for Claimants 537

13 xx Winning at the NLRB VI. Interim Earnings 537 A. In General The Law 2. Advice for Respondents B. Moonlighting 542 C. Extra Interim Hours The Law 2. Advice for Claimants D. Workers' Compensation and Unemployment Compensation...; E. Self-Employment The Law 2. Advice for Respondents F. Vacations The Law Advice for Respondents Advice for Claimants 549 VII. Expenses A. Advice for Respondents VIII. Reductions of Backpay for Policy Reasons 553 A. Failure to Seek Work The Law 554 a. Prior to b. 2007: An Aberration? Advice for Respondents Advice for Claimants B. Quitting Interim Employment The Law a. Calculating the Willful Loss Offset b. Substantially Equivalent Requirement 576 c. Justification for Quitting Advice for Respondents C. Discharge From Interim Employment The Law 2. Advice for Respondents D. Misconduct The Law 2. Advice for Respondents E. Concealing Interim Earnings and Other Abuses of Agency Processes The Law Advice for Respondents 593 F. Aliens LX. Fringe Benefits The Second Account X. Interest XI. Tax Aspects A. The Law 604 B. Advice for Claimants 605

14 Detailed Table of Contents xxi PART TV. REPRESENTATION CASES CHAPTER 16. WINNING REPRESENTATION CASES 609 I. Before the Petition 611 A. Advice for Unions B. Questions Concerning Representation C. Card Check Recognition II. Filing the Petition \,...,.._ A. Advice for Unions 616 III. After the Petition 617 A. Initial Dealings With the Region 617 B. Jurisdiction 619 C. Advice for Employers 619 IV. Negotiating Election Agreements 621 A. Election Agreements Forms 623 B. Timing C. Mail Ballots D. Inclusions, Exclusions, and Eligibility 630 V. Statistics and Implications 631 A. Advice for Unions B. Advice for Employers VI. Other Petitions A. RM and RD Petitions B. UD Petitions 634 C. AC and UC Petitions 634 D. Expedited Elections 634 CHAPTER 17. WINNING REPRESENTATION CASE HEARINGS 637 I. Timing of the Hearing : 638 II. Before the Hearing 639 A. Preparation for the Hearing.". 639 B. Advice for Unions 640 C. Securing Witnesses 642 III. Nature of a Representation Case Hearing 643 A. Role of the Hearing Officer 644 B. Stipulations 646 C. Rules of Evidence 647 D. Special Appeals 649 E. Credibility 650 F. Exhibits G. Advice for Employers IV. What to Ask 653 A. Burdens of Proof B. Making Your Case C. Cross-Examination 656 V. Alternative Positions: Advice to Unions 657

15 xxii Winning at the NLRB VI. Filing Your Brief 658 VII. After the Decision 664 VIII. Beyond the Region 665 CHAPTER 18. ELECTIONS: PROTECTING YOUR VICTORY 669 I. Pre-Election Conference 670 II. Eligibility List 671 III. Challenging Ballots 672 IV. Your Observer. 675 V During the Voting 677 VI. Ballot Count 677 VII. Mail Ballot Elections 678 CHAPTER 19. POSTELECTION PROCEEDINGS: PRESERVING VICTORY OR REVERSING DEFEAT 679 I. Objections: How Hard Should You Fight? 680 II. Drafting Objections 681 III. Filing Objections 682 IV. Investigations of Challenges or Objections 684 V. Hearings on Challenges or Objections 687 A. Hearing Officer 687 B. Counsel for the Regional Director 690 C. Burdens of Proof 691 D. Jencks Rule 694 E. Posthearing 695 F. Consolidation With a ULP Case 696 VI. Exceptions and Requests for Review 697 A. Stipulated Elections 697 B. Consent Elections 698 C. Directed Elections 698 D. Mechanics of Board Decisions 699 VII. An Edge for the Next Election 700 PART V. MISCELLANEOUS PROCEEDINGS INVOLVING THE NLRB CHAPTER 20. INJUNCTIONS UNDER SECTIONS 10(j) AND 10(Z) 705 I. Mandatory Injunctions Under Section 10(Z) 706 II. Discretionary Injunctions Under Section 10(j) 707 III. Presentation of the Case 711 IV. Advice for Respondents 717 V. Advice for Charging Parties 722 Appendix 20.1 Categories of Cases Warranting 10(j) Relief 725

16 Detailed Table of Contents xxiii CHAPTER 21. OTHER PROCEEDINGS INVOLVING THE NLRB 731 I. Hearings to Resolve Jurisdictional Disputes 731 A. Advice for Employers 735 B. Advice for Unions 735 II. Equal Access to Justice Act Proceedings III. Freedom of Information Act Requests A. Specific Case Materials What You Can Get 743 B. General Law and Procedure 745 C. How to Get What You Want 746 APPENDICES s APPENDIX A. Divisions of Operations-Management 751 APPENDIX B. APPENDIX C. Index of Significant General Counsel and Operations Management Memoranda 2000 to Areas to Explore in Preparing for an Unfair Labor Practice Investigation 761 APPENDIX D. Forms 853 APPENDIX E. Charge Language 879 APPENDIX F. Areas to Explore at Representation Case Hearings 889 TABLE OF CASES 945 INDEX : 987 ABOUT THE AUTHORS : 1015