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

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

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

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 2009 753 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

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 25 1. Field Examiners 26 2. Attorneys 27 V. The National Labor Relations Board Union 28 VI. Management 29 A. Supervisors 30 B. Resident Officers 31 XI

xii Winning at the NLRB C. Higher Regional Management 32 1. Regional Director 2. Assistant to the Regional Director 32 33 3. Regional Attorney 4. Deputy Regional Attorney 34 34 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 44 44 2. 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 55 55 D. NLRB Appendix 3.1 Special Distribution Cases Decided From 56 December 2004 to 2008 57 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 ; 96 96 B. Motivation 96 1. Advice for Unions 98 2. 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 115 1. Background 115 a. Advice for Employers 116

Detailed Table of Contents xiii 2. Unit Clarification Petitions 116 3. RC, RM, and AC Petitions B. Fair Representation Lawsuits 118 119 C. Filings With Other Agencies D. Arbitration 121 123 E. Lawsuits Under Section 301 or ERISA 123 II. Filing the ULP Charge A. Identifying the Charged Party 124 124 1. Advice for Unions...: 124 2. Advice for Employers...777. 125 B. Preparing the Charge 125 1. Which Sections to Allege a. NLRB's Numbering System Explained 125 128 b. Advice for Unions 128 c. Advice for Employers 129 (1) Charges Under Sections 8(e) and 8(b)(4)... 130 (2) Charges Under Section 8(g) (3) Charges Under Section 8(b)(7) 131 132 d. Advice for Individuals 132 2. Wording the Charge 133 a. Advice for Unions 134 b. Advice for Employers C. Having the NLRB Prepare the Form 136 137 D. Preparing the Form Yourself 138 E. Who, Where, and When 138 1. Advice for Employers 140 2. Advice for Unions 140 F. Amending Charges III. Beating the Clock: The Statute of Limitations 141 141 A. Last-Minute Filings 141 B. Filing Despite the Statute of Limitations 1. Theories for Extending the Limitations Period 143 144 2. Other Tactics for Rescuing a Case 146 3. 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

xiv Winning at the NLRB 1. Category III (Highest Priority) 158 2. Category II (Middle Priority) 3. Category I (Lowest Priority) 159 159 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 ; ~7. 173 III. Decisional Process 174 A. Preliminary Decisions 174 B. Agenda 174 C. Division of Advice 176 D. Merit Dismissals IV. Injunction Cases 177 177 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 182 189 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 216 216 B. A Good Start C. Stretching the Calendar 217 220 D. Reluctant or Unfriendly Witnesses E. Investigative Subpoenas 7 221 223 F. Information the Agency Already Has 223 G. Injunctions 224 H. Appeals 1. Adverse Decisions 225 225 a. Dismissal Versus Withdrawal b. Types of Dismissal 226 226 c. Partial Dismissal 2. Filing the Appeal 227 228 3. Odds of Success 229 I. New Evidence 230 II. Strategies for the Charged Party 231

Detailed Table of Contents xv A. Initial Contacts 231 B. Your Relationship With the Board Agent 233 C. To What Extent Should You Cooperate? 235 1. You Have More Control Over the Investigation Than You Think 235 2. Statements of Position 3. Providing Witnesses 238 239 4. 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 256 1. Informal Settlements 256 2. Formal Settlements 257 3. Unilateral Settlements B. Settlement Provisions 261 262 1. Notices 2. Broad v. Narrow Order 262 263 3. Nonadmissions Clause 264 4. Backpay 266 5. Reinstatement 269 C. Default Language 271 D. Waivers E. Negotiating Ploys 271 272 F. Circumventing the Region G. For the Respondent, Persuading Your Own People 273 275 H. Other Issues I. Settlement Judges 276 278 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 288 289 IV. Violations of Settlements 291 CHAPTER 10. DEFERRAL TO ARBITRATION 295 I. NLRB Deferral Policies 296 A. Spielberg Postarbitration Deferral 298

xvi Winning at the NLRB B. Collyer Prearbitration Deferral 303 C. Dubo Prearbitration Deferral 311 II. Getting What You Want 313 A. Prearbitration 313 1. Deciding What You Want a. Advantages of Arbitration 314 314 (1) Advantages for Unions 315 (2) Advantages for Employers 315 b. Advantages of NLRB Decision 316 (1) Advantages for Unions" 316 2. 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 329 330 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 341 341 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 347 348 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

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 353 353 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 362 363 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 387 388 C. Format of a Typical Complaint 389 D. General Thoughts About Answers E. Jurisdiction 390 392 F. Labor Organization Status 393 G. Agency 393 H. Bargaining Unit I. Allegations of Violations 393 394 J. Affirmative Defenses 394 K. Motions for a Bill of Particulars L. Class Action Complaints 398 399 II. Complaint Amendments 402 A. Before the Hearing 402 B. At the Hearing 403

xviii Winning at the NLRB 1. Amendments Before the Evidence Is Presented 403 2. Amendments After the Evidence Is Presented 3. Requested Remedies 405 409 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 410 411 D. Motion for Intervention or Joinder of Additional Parties >...-..rr. 412 IV. Continuances V Trial Preparation 413 414 A. Obtaining Information From the NLRB 414 B. Interviewing and Preparing Witnesses C. Visiting the Plant 415 417 D. Subpoenas (on Offense) VI. Subpoenas (on Defense) 418 419 A. In General B. Motions to Quash 419 420 C. Noncompliance 422 VII. Witnesses at Trial 424 A. Sequestration 424 B. Presenting Your Witnesses C. Cross-Examination 424 425 D. Jencks Rule 1. Statements That Can Be Obtained 426 427 2. Sanitized Statements 433 3. Lost Statements 434 4. When You Can Have the Statement 434 5. How to Use the Statement 436 6. 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 449 1. Impact Analysis and Backpay 2. Advice for Respondents 449 451 3. Advice for Claimants and Charging Parties 453 C. Obtaining Information (Advice for Respondents) 455 D. Settling 460 E. The Compliance Specification and Answer 462 1. Elements of the Specification 463

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 481 482 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 498 1. The Law 2. Advice for Respondents 498 507 3. Advice for Claimants B. Class Action Cases 510 511 C. Excepted Periods: Holes in the Backpay Period 511 1. The Law 511 a. In General 511 b. Business Factors 512 c. Unavailability Factors 512 2. Advice for Respondents 518 V. Gross Backpay 520 A. The Law 1. Standard for a Formula :. 520 520 2. Backpay Formulas in Four Dimensions a. Integral or Component Methods 523 523 b. Measuring Person(s) c. Before and After (the ULP) 524 527 d. Adjustment Factors 529 3. Effect of Layoffs and Business Declines 530 4. Components of Gross Backpay 531 B. Advice for Respondents 1. Assumptions About Overtime 533 533 2. Assumptions About Level of Business 3. Assumptions About Raises 534 534 4. Assumptions Based on Comparable Employees... 5. Assumptions About Absenteeism 535 536 C. Advice for Claimants 537

xx Winning at the NLRB VI. Interim Earnings 537 A. In General 537 1. The Law 2. Advice for Respondents 537 539 B. Moonlighting 542 C. Extra Interim Hours 544 1. The Law 2. Advice for Claimants 544 545 D. Workers' Compensation and Unemployment Compensation...;..77. 545 E. Self-Employment 546 1. The Law 2. Advice for Respondents 546 547 F. Vacations 548 1. The Law 548 2. Advice for Respondents 548 3. Advice for Claimants 549 VII. Expenses A. Advice for Respondents 549 552 VIII. Reductions of Backpay for Policy Reasons 553 A. Failure to Seek Work 554 1. The Law 554 a. Prior to 2007 554 b. 2007: An Aberration? 566 2. Advice for Respondents 570 3. Advice for Claimants B. Quitting Interim Employment 574 575 1. The Law a. Calculating the Willful Loss Offset 575 575 b. Substantially Equivalent Requirement 576 c. Justification for Quitting 578 2. Advice for Respondents C. Discharge From Interim Employment 584 585 1. The Law 2. Advice for Respondents 585 587 D. Misconduct 588 1. The Law 2. Advice for Respondents 588 590 E. Concealing Interim Earnings and Other Abuses of Agency Processes 591 1. The Law 591 2. Advice for Respondents 593 F. Aliens LX. Fringe Benefits The Second Account 595 595 X. Interest XI. Tax Aspects 600 604 A. The Law 604 B. Advice for Claimants 605

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 611 614 C. Card Check Recognition II. Filing the Petition \,...,.._ 615 616 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 623 626 D. Inclusions, Exclusions, and Eligibility 630 V. Statistics and Implications 631 A. Advice for Unions B. Advice for Employers 632 633 VI. Other Petitions A. RM and RD Petitions 633 633 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 652 653 IV. What to Ask 653 A. Burdens of Proof B. Making Your Case 653 655 C. Cross-Examination 656 V. Alternative Positions: Advice to Unions 657

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

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 737 742 A. Specific Case Materials 742 1. 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 2009 753 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