WINNING

AT TH E

NLRBSECOND EDITION

Matthew M. FranckiewiczArbitrator

Wilmerding, PA

Daniel SilvermanSilverman & Silverman

Brooklyn, NY

BNA Books, A Division of BNA, Arlington, VA

Summary Table of Contents

PREFACE v

DETAILED TABLE OF CONTENTS 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. Index of Significant General Counsel andOperations Management Memoranda2000 to 2009 753

APPENDIX C. 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 v

SUMMARY TABLE OF CONTENTS ix

PART I. IN GENERAL

CHAPTER 1. THE ACT 3

I. Introduction 3II. History 3

III. The Wagner Act 6A. Jurisdiction 8B. The Representation Function 11C. The Unfair Labor Practice Function 12

IV. Injunctions 1 15

CHAPTER 2. THE NLRB ! 17

I. General Matters 17II. Organization of the Office of the General Counsel and

Office of the Inspector General 19III. Regional Offices , 22IV. Aspects of Employment at the NLRB 22

A. General 22B. Clericals 24C. Agents 25

1. Field Examiners 262. Attorneys 27

V. The National Labor Relations Board Union 28VI. Management 29

A. Supervisors 30B. Resident Officers 31

XI

xii Winning at the NLRB

C. Higher Regional Management 321. Regional Director 322. Assistant to the Regional Director 333. Regional Attorney 344. Deputy Regional Attorney 34

CHAPTER 3. NLRB LAW AND PROCEDURE 35

I. A Few Words for Non-Lawyers 36II. Substantive Law 40

A. Treatises 40B. Case Research 41C. Work That Has Already Been Done 44

1. Advice Memoranda 442. General Counsel's Memoranda 46

III. Procedural Matters 48IV. Good and Bad Law 50V. Statistical Information 53

VI. Keeping Up 53VII. Filing Documents with the Board 54

A. Regional Office 54B. Office of Appeals 55C. Division of Judges 55D. NLRB 56

Appendix 3.1 Special Distribution Cases Decided FromDecember 2004 to 2008 57

CHAPTER 4. INVESTIGATING BEFORE THE INVESTIGATION 93

I. Why a Charging Party Should Do Its OwnInvestigating 94

II. How to Do Your Own Investigating ; 96A. Elements of Your Case 96B. Motivation 96

1. Advice for Unions 982. Advice for Employers 101

C. Agency 102D. Foundations 103E. Creating Your Record 105

III. Advance Investigating by Charged Parties 108Appendix 4.1 Supervisory Status I l l

CHAPTER 5. FILING YOUR CHARGE 113

I. Should You File Something Other Than an UnfairLabor Practice Charge? 114A. Representation Case Petitions 115

1. Background 115a. Advice for Employers 116

Detailed Table of Contents xiii

2. Unit Clarification Petitions 1163. RC, RM, and AC Petitions 118

B. Fair Representation Lawsuits 119C. Filings With Other Agencies 121D. Arbitration 123E. Lawsuits Under Section 301 or ERISA 123

II. Filing the ULP Charge 124A. Identifying the Charged Party 124

1. Advice for Unions ....: 1242. Advice for Employers .....777. 125

B. Preparing the Charge 1251. Which Sections to Allege 125

a. NLRB's Numbering System Explained 128b. Advice for Unions 128c. Advice for Employers 129

(1) Charges Under Sections 8(e) and 8(b)(4)... 130(2) Charges Under Section 8(g) 131(3) Charges Under Section 8(b)(7) 132

d. Advice for Individuals 1322. Wording the Charge 133

a. Advice for Unions 134b. Advice for Employers 136

C. Having the NLRB Prepare the Form 137D. Preparing the Form Yourself 138E. Who, Where, and When 138

1. Advice for Employers 1402. Advice for Unions 140

F. Amending Charges 141III. Beating the Clock: The Statute of Limitations 141

A. Last-Minute Filings 141B. Filing Despite the Statute of Limitations 143

1. Theories for Extending the Limitations Period 1442. Other Tactics for Rescuing a Case 1463. Armed Services Loophole 147

IV. What Else to Do When Filing the Charge 147A. Advice for Unions 148B. 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 155A. System of Categorization 156

xiv Winning at the NLRB

1. Category III (Highest Priority) 1582. Category II (Middle Priority) 1593. Category I (Lowest Priority) 159

B. Mechanics of Classification 160C. Effect of Categorization 161D. Regional Reports 166

II. Investigation 166A. Role of the Agent 166B. Investigative Subpoenas 170C. Priority Cases ; ~7. 173

III. Decisional Process 174A. Preliminary Decisions 174B. Agenda 174C. Division of Advice 176D. Merit Dismissals 177

IV. Injunction Cases 177

CHAPTER 7. WINNING INVESTIGATIONS 179

I. Dealing With the Agent 180A. Psychological Factors 180B. Witness Interviews and Affidavits 182

II. Avoiding Spurious Credibility Conflicts 189III. Input Into the Decisional Process 191

Appendix 7.1 Checklist for Section 8(a)(l) Allegations 193Appendix 7.2 Checklist for Section 8(a)(3) Allegations 197Appendix 7.3 Checklist for Section 8(a)(5) Allegations 203Appendix 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 216A. Picking Your Agent 216B. A Good Start 217C. Stretching the Calendar 220D. Reluctant or Unfriendly Witnesses 221E. Investigative Subpoenas 7 223F. Information the Agency Already Has 223G. Injunctions 224H. Appeals 225

1. Adverse Decisions 225a. Dismissal Versus Withdrawal 226b. Types of Dismissal 226c. Partial Dismissal 227

2. Filing the Appeal 2283. Odds of Success 229

I. New Evidence 230II. Strategies for the Charged Party 231

Detailed Table of Contents xv

A. Initial Contacts 231B. Your Relationship With the Board Agent 233C. To What Extent Should You Cooperate? 235

1. You Have More Control Over the InvestigationThan You Think 235

2. Statements of Position 2383. Providing Witnesses 2394. Providing Affidavits 241

D. Advice for Employers 244E. Advice for Unions ..T.' 246F. Responding to Appeals 247G. Section 10(j) Injunctions 248

Appendix 8.1 An NLRB Regional Director's Advice forPutative Labor Lawyers 249

CHAPTER 9. SETTLEMENT CONSIDERATIONS 253

I. Settling With the Board 256A. Types of Settlements 256

1. Informal Settlements 2562. Formal Settlements 2573. Unilateral Settlements 261

B. Settlement Provisions 2621. Notices 2622. Broad v. Narrow Order 2633. Nonadmissions Clause 2644. Backpay 2665. Reinstatement 269

C. Default Language 271D. Waivers 271E. Negotiating Ploys 272F. Circumventing the Region 273G. For the Respondent, Persuading Your Own People 275H. Other Issues 276I. Settlement Judges 278

II. Settling Without the Board , 281A. Repudiation 281B. Non-Board Settlement 281C. Mechanics of a Non-Board Settlement 282D. Advantages and Disadvantages 284E. Creative Solutions 286F. If You Do Not Trust the Other Side 288

III. You May Be Settling More Than You Think 289IV. Violations of Settlements 291

CHAPTER 10. DEFERRAL TO ARBITRATION 295

I. NLRB Deferral Policies 296A. Spielberg Postarbitration Deferral 298

xvi Winning at the NLRB

B. Collyer Prearbitration Deferral 303C. Dubo Prearbitration Deferral 311

II. Getting What You Want 313A. Prearbitration 313

1. Deciding What You Want 314a. Advantages of Arbitration 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 317a. Advice for Unions 317b. Advice for Employers 320c. 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 329A. Who Are the ALJs? 329B. Influences on the Lives of ALJs 330C. Biases of AJLs 331

II. Pretrial Conference 334III. Pretrial Preparation and Witness Instructions 335IV. Subpoenas 337

A. Service 339B. Petition to Revoke 339C. Enforcement 340D. Scope of Subpoena 341

V Opening Statements 341VI. Conduct of the Hearing 342

A. Sequestration of Witnesses 343B. Use of Audio and Video Equipment 344C. Exhibits 345D. Speaking to the Record 346E. Rejected Testimony or Documents; Offers or Proof 346F. Evidence Depositions 347G. Questions by the ALJ 348H. Interlocutory Appeals 348

VII. Evidence 349A. Federal Rules of Evidence Checklist 350B. Hearsay 351C. Stolen Documents 351D. Surreptitious Recordings 351

Detailed Table of Contents xvii

E. Dead Man's Rule 352F. Decisions of Other Agencies 352G. Testimony by Attorneys 353H. Refusal to Answer 353

VIII. Evidence From the Other Side 354IX. Credibility 355X. Correcting the Record 356

XL Reopening the Record 357XII. Briefs and Argument \ 358

A. Obtaining Transcripts......-r. 358B. How Judges Write Decisions 358C. Writing Your Brief 359D. Reply Briefs 360E. The Decision That Never Comes 361

XIII. Exceptions to the ALJD 361A. Post-ALJD Filings 362B. Writing Your Exceptions 363C. Mechanics of Board Decisions 365D. Briefs to the Board 367E. Reconsideration 369

XIV Winning by Losing 369

CHAPTER 12. WINNING TRIAL TACTICS FOR CHARGING PARTIES 373

I. Limited Role of the Charging Party 373II. First, Do No Harm 377

III. Second, Do Some Good 379A. Before the Trial 379B. At the Trial 381C. After the Trial 383

CHAPTER 13. WINNING TRIAL TACTICS FOR RESPONDENTS 385

I. Answering the Complaint 387A. Filing 387B. Who Should Answer 388C. Format of a Typical Complaint 389D. General Thoughts About Answers 390E. Jurisdiction 392F. Labor Organization Status 393G. Agency 393H. Bargaining Unit 393I. Allegations of Violations 394J. Affirmative Defenses 394K. Motions for a Bill of Particulars 398L. Class Action Complaints 399

II. Complaint Amendments 402A. Before the Hearing 402B. At the Hearing 403

xviii Winning at the NLRB

1. Amendments Before the Evidence IsPresented 403

2. Amendments After the Evidence Is Presented 4053. Requested Remedies 409

III. Pretrial Motions 409A. Motion to Dismiss for Failure to State a Claim 410B. Motion for Summary Judgment 410C. Motion for Consolidation or Severance of Cases 411D. Motion for Intervention or Joinder of Additional

Parties >....-..rr. 412IV. Continuances 413V Trial Preparation 414

A. Obtaining Information From the NLRB 414B. Interviewing and Preparing Witnesses 415C. Visiting the Plant 417D. Subpoenas (on Offense) 418

VI. Subpoenas (on Defense) 419A. In General 419B. Motions to Quash 420C. Noncompliance 422

VII. Witnesses at Trial 424A. Sequestration 424B. Presenting Your Witnesses 424C. Cross-Examination 425D. Jencks Rule 426

1. Statements That Can Be Obtained 4272. Sanitized Statements 4333. Lost Statements 4344. When You Can Have the Statement 4345. How to Use the Statement 4366. Other Exculpatory Material 438

VIII. Documents at Trial 439LX. Special Considerations in Gissel Bargaining Order

Cases 439

CHAPTER 14. PROCEDURAL ASPECTS OF BACKPAY

AND COMPLIANCE 445

I. Procedures in Backpay Cases 446A. A Few Words About Words 448B. Preliminary Computation of Backpay 449

1. Impact Analysis and Backpay 4492. Advice for Respondents 4513. Advice for Claimants and Charging Parties 453

C. Obtaining Information (Advice for Respondents) 455D. Settling 460E. The Compliance Specification and Answer 462

1. Elements of the Specification 463

Detailed Table of Contents xix

2. Responding to the Specification 464F. Pretrial Preparation 469G. Subpoenas 469H. At Trial 473I. Missing Claimants 477J. Respondents in Bankruptcy 478

II. Dealing With Recalcitrant Respondents: AdvicePrimarily for Charging Parties 479A. Contempt '.<. 480B. Collection Techniques......T.T. 481C. Deep Pockets 482

CHAPTER 15. SUBSTANTIVE BACKPAY LAW AND IMPLICATIONS 487

I. Backpay in General 490II. Burdens of Proof 493

III. Quarterly Computation 494A. The Law 494B. Advice for Respondents 495

IV. Backpay Period 498A. Terminating Backpay Liability 498

1. The Law 4982. Advice for Respondents 5073. Advice for Claimants 510

B. Class Action Cases 511C. Excepted Periods: Holes in the Backpay Period 511

1. The Law 511a. In General 511b. Business Factors 512c. Unavailability Factors 512

2. Advice for Respondents 518V. Gross Backpay 520

A. The Law :. 5201. Standard for a Formula 5202. Backpay Formulas in Four Dimensions 523

a. Integral or Component Methods 523b. Measuring Person(s) 524c. Before and After (the ULP) 527d. Adjustment Factors 529

3. Effect of Layoffs and Business Declines 5304. Components of Gross Backpay 531

B. Advice for Respondents 5331. Assumptions About Overtime 5332. Assumptions About Level of Business 5343. Assumptions About Raises 5344. Assumptions Based on Comparable Employees.... 5355. Assumptions About Absenteeism 536

C. Advice for Claimants 537

xx Winning at the NLRB

VI. Interim Earnings 537A. In General 537

1. The Law 5372. Advice for Respondents 539

B. Moonlighting 542C. Extra Interim Hours 544

1. The Law 5442. Advice for Claimants 545

D. Workers' Compensation and UnemploymentCompensation ....;. .77. 545

E. Self-Employment 5461. The Law 5462. Advice for Respondents 547

F. Vacations 5481. The Law 5482. Advice for Respondents 5483. Advice for Claimants 549

VII. Expenses 549A. Advice for Respondents 552

VIII. Reductions of Backpay for Policy Reasons 553A. Failure to Seek Work 554

1. The Law 554a. Prior to 2007 554b. 2007: An Aberration? 566

2. Advice for Respondents 5703. Advice for Claimants 574

B. Quitting Interim Employment 5751. The Law 575

a. Calculating the Willful Loss Offset 575b. Substantially Equivalent Requirement 576c. Justification for Quitting 578

2. Advice for Respondents 584C. Discharge From Interim Employment 585

1. The Law 5852. Advice for Respondents 587

D. Misconduct 5881. The Law 5882. Advice for Respondents 590

E. Concealing Interim Earnings and Other Abuses ofAgency Processes 5911. The Law 5912. Advice for Respondents 593

F. Aliens 595LX. Fringe Benefits—The Second Account 595X. Interest 600

XI. Tax Aspects 604A. The Law 604B. Advice for Claimants 605

Detailed Table of Contents xxi

PART TV. REPRESENTATION CASES

CHAPTER 16. WINNING REPRESENTATION CASES 609

I. Before the Petition 611A. Advice for Unions 611B. Questions Concerning Representation 614C. Card Check Recognition 615

II. Filing the Petition \,...,.._ 616A. Advice for Unions 616

III. After the Petition 617A. Initial Dealings With the Region 617B. Jurisdiction 619C. Advice for Employers 619

IV. Negotiating Election Agreements 621A. Election Agreements Forms 623B. Timing 623C. Mail Ballots 626D. Inclusions, Exclusions, and Eligibility 630

V. Statistics and Implications 631A. Advice for Unions 632B. Advice for Employers 633

VI. Other Petitions 633A. RM and RD Petitions 633B. UD Petitions 634C. AC and UC Petitions 634D. Expedited Elections 634

CHAPTER 17. WINNING REPRESENTATION CASE HEARINGS 637

I. Timing of the Hearing : 638II. Before the Hearing 639

A. Preparation for the Hearing .". 639B. Advice for Unions 640C. Securing Witnesses 642

III. Nature of a Representation Case Hearing 643A. Role of the Hearing Officer 644B. Stipulations 646C. Rules of Evidence 647D. Special Appeals 649E. Credibility 650F. Exhibits 652G. Advice for Employers 653

IV. What to Ask 653A. Burdens of Proof 653B. Making Your Case 655C. Cross-Examination 656

V. Alternative Positions: Advice to Unions 657

xxii Winning at the NLRB

VI. Filing Your Brief 658VII. After the Decision 664

VIII. Beyond the Region 665

CHAPTER 18. ELECTIONS: PROTECTING YOUR VICTORY 669

I. Pre-Election Conference 670II. Eligibility List 671

III. Challenging Ballots 672IV. Your Observer ;. „ 675V During the Voting 677

VI. Ballot Count 677VII. Mail Ballot Elections 678

CHAPTER 19. POSTELECTION PROCEEDINGS: PRESERVING VICTORY ORREVERSING DEFEAT 679

I. Objections: How Hard Should You Fight? 680II. Drafting Objections 681

III. Filing Objections 682IV. Investigations of Challenges or Objections 684V. Hearings on Challenges or Objections 687

A. Hearing Officer 687B. Counsel for the Regional Director 690C. Burdens of Proof 691D. Jencks Rule 694E. Posthearing 695F. Consolidation With a ULP Case 696

VI. Exceptions and Requests for Review 697A. Stipulated Elections 697B. Consent Elections 698C. Directed Elections 698D. 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) 706II. Discretionary Injunctions Under Section 10(j) 707

III. Presentation of the Case 711IV. Advice for Respondents 717V. 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 731A. Advice for Employers 735B. Advice for Unions 735

II. Equal Access to Justice Act Proceedings 737III. Freedom of Information Act Requests 742

A. Specific Case Materials 7421. What You Can Get 743

B. General Law and Procedure 745C. How to Get What You Want 746

APPENDICES

s APPENDIX A. Divisions of Operations-Management 751

APPENDIX B. Index of Significant General Counsel andOperations Management Memoranda2000 to 2009 753

APPENDIX C. 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