List of Exhibits Exhibit 1 1. Provisions of Sections 8(a)(1), (2), (3), (4), and (5)... 16 Exhibit 1 2. Provisions of Sections 8(b)(1), (2), and (3)... 18 Exhibit 1 3. Provisions of Sections 8(b)(4)(i) and (ii)(a), (B), and (C)... 19 Exhibit 1 4. Types of Cases... 34 Exhibit 1 5. Employee NLRA Rights Notice... 1-5 Exhibit 1 5a. Spanish Version of Employee NLRA Rights Notice... 1-6 Exhibit 1 6. NLRB List of Frequently Asked Questions Concerning Required Posting of NLRA Rights Notice... 1-7 Exhibit 2 1. National Labor Relations Board Organization Chart... 45 2-3 Exhibit 5 1. Basic Representation Procedures Under Section 9(c)... 105 5-3 Exhibit 5 2. Timely Filing of Petitions Health Care Industry Only (Form NLRB-5254)... 122 Exhibit 5 3. Timely Filing of Petitions (Except Health Care) (Form NLRB-4645)... 125 Exhibit 5 4. Request to Proceed (Form NLRB-4551)... 138 Exhibit 5 5. Petition Used in Election, Decertification, Union-Shop Deauthorization, Unit Clarification, and Amendment of Certification Cases (Form NLRB-502)... 144 5-10 Exhibit 5 6. Report on Investigation of Interest (Form NLRB-4069)... 147 lxi
lxii How to Take a Case 2011 Supplement Exhibit 6 1. Sample Letter to Employer When Representation Petition (RC) Filed by Union or Employees, or Decertification Petition (RD) Filed... 159 Exhibit 6 1. Sample Letter to Employer When Representation Petition (RC) Filed by Union or Employees... 6-3 Exhibit 6 2. Sample Letter to Union When Representation Petition Filed by Employer (RM)... 162 6-6 Exhibit 6 3. Sample Letter to Employer When Representation Petition Filed by Employer (RM)... 163 6-8 Exhibit 6 4. Statement of Procedures in Representation Proceedings (Form NLRB-4812)... 167 Exhibit 6 5. Notice of Appearance (Form NLRB-4701)... 168 Exhibit 6 6. Annual Notice for Receipt of Charges and Petitions (Form NLRB-4702)... 169 Exhibit 6 7. Questionnaire on Commerce Information (Form NLRB-5081)... 171 6-11 Exhibit 6 8. Notice to Employees (Form NLRB-5492)... 173 Exhibit 6 8a. Spanish Version of Notice to Exhibit 6 9. Employees (Form NLRB-5492(SP))... 174 NLRB List of Email Addresses for Receipt of Documents... 178 Exhibit 6 10. Withdrawal Request (Petition or Charge) (Form NLRB-601)... 181 Exhibit 6 11. Sample Letter Informing Petitioner of the Petition Dismissal... 182 Exhibit 6 12. Notice Acknowledging Receipt of Appeal (Form NLRB-1419)... 185 Exhibit 6 13. Board Order Affirming Regional Director s Dismissal of Petition... 186 6-12 Exhibit 6 14. Agreement for Consent Election (Form NLRB-651)... 191 6-14 Exhibit 6 15. Certification of Results of Election (Form NLRB-4280)... 194 6-17 Exhibit 6 16. Certification of Representative (Form NLRB-4279)... 195 6-18 Exhibit 6 17. Stipulation for Certification Upon Consent Election (Form NLRB-652)... 197 6-20
List of Exhibits lxiii Exhibit 6 18. Full Consent Election Agreement (Form NLRB-5509)... 199 Exhibit 7 1. Notice of Representation Hearing... 7-4 Exhibit 7 2. Summary of Standard Procedures in Formal Hearings Held Before the National Labor Relations Board Pursuant to Petitions Filed Under Section 9 of the National Labor Relations Act (Form NLRB-4669)... 7-5 Exhibit 7 3. Supplemental Notice Regarding Settlements and Postponements of Representation Case Hearings (Form NLRB-4338)... 7-7 Exhibit 7 4. Order Rescheduling Hearing (Form NLRB-859)... 7-10 Exhibit 7 5. Subpoena Ad Testificandum (Form NLRB-32)... 7-20 Exhibit 7 5a. Spanish Version of Subpoena Ad Exhibit 7 6. Testificandum (Form NLRB-31(SP))... 7-22 Subpoena Duces Tecum (Form NLRB-31)... 7-24 Exhibit 7 6a. Spanish Version of Subpoena Duces Tecum (Form NLRB-32(SP))... 7-26 Exhibit 8 1. Notice of Oral Argument... 245 Exhibit 8 2. Exhibit 8 3. Exhibit 8 4. Exhibit 8 5. Exhibit 8 6. Exhibit 8 6. Exhibit 8 7. Sample Decision and Order Dismissing Petition... 246 Sample Decision and Direction of Election... 249 Order Transferring Representation Case to NLRB (Form NLRB-4881)... 278 Waiver of Right to Request Review of Regional Director s Determination (Form NLRB-4480)... 281 Sample Letter Denying Employer s Request for Review of Regional Director s Decision... 282 Sample Letter Denying Request for Review of Regional Director s Administrative Dismissal of Petition... 8-7 Sample Letter Denying Request for Review of Regional Director s Determination Regarding Appropriateness of Conducting an Election and/or Bargaining Unit... 8-8
lxiv How to Take a Case 2011 Supplement Exhibit 9 1. Exhibit 9 2. Exhibit 9 3. Exhibit 9 4. Exhibit 9 5. Exhibit 9 6. Exhibit 9 7. Exhibit 9 8. Exhibit 9 9. Sample Ballot Used in Collective Bargaining Election Involving One Union (Form NLRB-707N2)... 307 9-5 Sample Bilingual Ballot Used in Collective Bargaining Election Involving One Union (Form NLRB-707N2SP)... 308 9-6 Sample Ballot Used in Collective Bargaining Election Involving More Than One Union (Form NLRB-707N3)... 310 9-7 Sample Bilingual Ballot Used in Collective Bargaining Election Involving More Than One Union (Form NLRB-707N3SP)... 311 9-8 Sample Ballot Used in Severance Election... 313 Notice of Election (Form NLRB-707)... 315 Election Notice in Spanish (Form NLRB-707SP)... 316 Form to Help Avoid Use of Supervisors in Observing Elections... 326 Memorandum OM 05-93: Revised Form NLRB-722 and Form NLRB-722SP Instructions to Election Observers... 329 Exhibit 9 9a. Instructions to Election Observers (Form NLRB-722)... 330 Exhibit 9 9b. Spanish Instructions to Election Observers (Form NLRB-722(SP))... 331 Exhibit 9 10. Challenged Ballot Envelope (Form NLRB-4646)... 338 Exhibit 9 11. Instructions to Eligible Employees Voting by United States Mail (Form NLRB-4175)... 343 Exhibit 9 12. Return Ballot Envelope (Form NLRB-4647)... 345 Exhibit 9 13. Tally of Ballots (Form NLRB-760)... 355 9-12 Exhibit 9 14. Revised Tally of Ballots (Form NLRB-4168)... 356 Exhibit 10 1. Postelection Procedures in Consent Election Cases... 387 Exhibit 10 2. Postelection Procedures in Stipulated Election Cases... 388
List of Exhibits lxv Exhibit 10 3. Postelection Procedures in Direct Election Cases... 389 Exhibit 10 4. Notice of Bargaining Obligation... 391 10-4 Exhibit 10 5. Notice of Bargaining Obligation (Attachment B to OM 06-89, Post-Election Notices to Employers in RC Elections, August 31, 2006)... 392 Exhibit 10 6. Sample Letter Informing Employer of Filing of Petition for Clarification of Bargaining Unit... 423 10-7 Exhibit 10 7. Sample Letter Informing Employer of Filing of Petition for Amendment of Certification... 428 Exhibit 11 1. Sample Letter to Petitioner, When List of Signatures Accepted as Petition, Enclosing Petition Form... 438 Exhibit 11 2. Sample Initial Letter to Certified Bargaining Agent, Petition Form Being Sent to Petitioner... 441 Exhibit 11 3. Sample Letter to Employer When List of Signatures Accepted as Petition... 442 11-3 Exhibit 11 4. Agreement for Consent Union Security Deauthorization Election (Form NLRB-4931)... 454 11-7 Exhibit 11 5. Stipulation for Certification Upon Consent Union Security Deauthorization Election (Form NLRB-4932)... 456 11-10 Exhibit 11 6. Notice of Deauthorization Election (Form NLRB-4135)... 458 Exhibit 11 6a. Spanish Notice of Deauthorization Election (Form NLRB-4135SP)... 459 Exhibit 11 7. Sample Bilingual Ballot Used in Deauthorization Election (Form NLRB-4135B)... 461 Exhibit 11 7. Sample Ballot Used in Deauthorization Election (Form NLRB-4135B)... 11-12 Exhibit 11 8. Tally of Ballots Union Security Deauthorization Election (Form NLRB-4888)... 462 Exhibit 11 9. Certification of Results of Election Union Security Deauthorization Proceeding (Form NLRB-4889)... 463
lxvi How to Take a Case 2011 Supplement Exhibit 12 1. Charge Against Employer (Form NLRB-501)... 473 12-3 Exhibit 12 2. Charge Against Labor Organization or Its Agents (Form NLRB-508)... 474 12-5 Exhibit 12 3. Charge Alleging Unfair Labor Practice Under Section 8(e) of the NLRA (Form NLRB-509)... 475 12-6 Exhibit 12 4. Sample Letter Acknowledging Receipt of Unfair Labor Practice Charge... 484 12-8 Exhibit 12 5. Sample Letter Notifying Employer of Filing of Unfair Labor Practice Charge... 492 12-13 Exhibit 12 5a. Sample Letter to Charged Party When Allegations Warrant Consideration of Section 10(j) Exhibit 12 6. Relief... 494 12-15 Statement of Procedures in Unfair Labor Practice Proceedings (Form NLRB-4541)... 497 Exhibit 12 6a. Sample Notice Regarding Requirement to Search for Work... 12-18 Exhibit 12 6b. Sample Short-Form Back Pay Sheet... 12-19 Exhibit 12 6c. Exhibit 12 7. Exhibit 12 8. Exhibit 12 9. Sample Compliance Information Form... 12-20 Letter Informing Parties of Regional Director s Refusal to Issue Complaint... 516 12-25 Procedures for Filing an Appeal From Regional Director s Dismissal of Charge (Form NLRB-4938)... 519 12-29 Pattern Letter for Merit Dismissal Conditional Decision to Dismiss (NLRB Casehandling Manual 10122.14(d))... 521 12-30 Exhibit 12 10. Pattern Letter for Merit Dismissal Following Conditional Decision to Dismiss (NLRB Casehandling Manual 10122.14(e))... 523 12-33 Exhibit 12 11. Notice of Appeal From Regional Director s Dismissal of Charge (Form NLRB-4767)... 525 Exhibit 13 1. Collyer Pattern Letter... 534 13-4
List of Exhibits lxvii Exhibit 13 2. Sample Letter to Parties Administratively Deferring Unfair Labor Practice Charge to Pending Arbitration Proceedings... 538 13-7 Exhibit 13 3. Sample Notice to Arbitrator of Deferral Under Collyer or Dubo... 13-9 Exhibit 13 4. Sample Form for Appealing Regional Director s Action in Charge Deferral Under Collyer (Form NLRB-4767)... 13-10 Exhibit 14 1. Settlement Agreement Form (Form NLRB-4775)... 583 Exhibit 14 1. Sample Pre-Complaint Settlement Agreement Form (Form NLRB-4775)... 14-3 Exhibit 14 1a. Sample Post-Complaint Settlement Agreement Form (Form NLRB-4775)... 14-5 Exhibit 14 2. Notice to Employees (Form NLRB-4722)... 587 Exhibit 14 3. Notice to Members (Form NLRB-4723)... 588 Exhibit 14 4. Informal Settlement Agreement (Form NLRB-5378)... 592 14-10 Exhibit 14 5. NLRB Casehandling Manual 10168 (Pattern Formal Settlement Agreement)... 600 14-12 Exhibit 15 1. Sample Complaint and Notice of Hearing... 621 Exhibit 15 1a. Notice of Formal Hearing (Form NLRB-4338)... 624 15-3 Exhibit 15 2. Sample Answer... 634 Exhibit 16 1. Summary of Standard Procedures in Unfair Labor Practice Hearings (Form NLRB-4668)... 656 Exhibit 17 1. Order Transferring Case to Board (Form NLRB-1406)... 718 Exhibit 17 2. Sample Notice Used in Secondary Boycott Case (Form NLRB-4726)... 746 Exhibit 17 3. Sample Notice Used in Case of Union Coercion (Form NLRB-4820). 747 Exhibit 17 4. Sample Notice Used in Case of Employer Interference, Coercion, and/or Discriminatory Discharge (Form NLRB-4727)... 748
lxviii How to Take a Case 2011 Supplement Exhibit 17 5. Sample Notice Used in Case of Employer s Refusal to Bargain (Form NLRB-4727)... 749 Exhibit 17 6. Sample Notice Used in Case of Employer Domination or Interference With Formation or Administration of Labor Organization (Form NLRB-4727)... 750 Exhibit 17 7. Sample Letter Regarding Compliance With Decision and Order of Board or Court Judgment... 755 Exhibit 17 8. NLRB Order Enforcement Chart... 756 Exhibit 18 1. Procedure for Filing an Appeal of a Compliance Determination (Form NLRB-5436)... 18-7 Exhibit 18 2. Information on Back Pay for Employees (Form NLRB-4288)... 18-22 Exhibit 18 3. Authorization to Social Security Administration to Furnish Employment and Earnings Information... 18-26 Exhibit 18 4. Back Pay Claimant Information (Form NLRB-916)... 18-27 Exhibit 18 5. Claimant Expense, Search for Work, and Interim Earnings Report (Form NLRB-5224)... 18-35 Exhibit 18 6. Compliance Specification Form and Appendices... 18-46 Exhibit 18 7. Compliance Specification Form Involving Derivative Liability, Excluding Back Pay Computation... 18-49 Exhibit 19 1. Sample Notice of Charge Filed in Jurisdictional Dispute Proceeding... 840 Exhibit 19 2. Sample Notice of Hearing in Jurisdictional Dispute Proceeding... 844 Exhibit 19 3. Statement of Procedures in Formal Jurisdictional Dispute Proceeding (Form NLRB-4899)... 847 Exhibit 20 1. Basic Procedures for Casehandling Under Section 8(b)(7)... 869 Exhibit 20 2. Sample Regional Director s Dismissal of CP Charge No Direction of Election... 871
Exhibit 20 3. Exhibit 20 4. Exhibit 20 5. List of Exhibits lxix Dismissal of 8(b)(7)(C) Charge (When Regional Office Has Directed Expedited Election)... 872 Regional Director s Direction of Expedited Election... 876 Notice of Expedited Representation Hearing... 877 Exhibit 20 5a. Order Consolidating Representation Cases and Notice of Expedited Representation Hearing... 878 Exhibit 20 6. Refusal to Process Under Expedited Procedure... 880 Exhibit 20 7. Dismissal of Petition-Meritorious 8(b)(7)(A) or (B) Charge... 881 Exhibit 21 1. Application for Order Enforcing Subpoena Ad Testificandum... 917 Exhibit 21 2. Application for Order Enforcing Subpoena Duces Tecum... 920 Exhibit 21 3. Order to Show Cause... 923 Exhibit 21 4. Exhibit 22 1. Notice of Institution of Proceeding to Enforce Subpoena Ad Testificandum... 925 Notice to Mediation Agencies (FMCS Form F-7)... 941