NATIONAL LABOR RELATIONS
BOARD
AN OUTLINE OF LAW AND
PROCEDURE IN REPRESENTATION CASES
N.L.R.B.
AN OUTLINE
OF LAW AND
PROCEDURE IN
REPRESENTATION
CASES
NATIONAL LABOR RELATIONS
BOARD
AN OUTLINE OF LAW AND
PROCEDURE IN REPRESENTATION CASES
OFFICE OF THE GENERAL
COUNSEL
July 2005
For sale by the Superintendent of Documents, U.S. Government Printing Office
Preface
We are very pleased that the Agency is able to provide this updated edition of “An Outline of Law and Procedure in Representation Cases.” This is the second update of this book during my term as General Counsel. As I indicated in the preface to the 2002 edition, I was familiar with this book before my appointment as General Counsel and I know what a great asset it is for those involved in representation case work. Its availability on the Agency’s website (www.nlrb.gov) makes it particularly valuable to practitioners inside and outside the Agency.
High quality casehandling has always been the hallmark of the Board. The Outline was a great contribution to quality case processing when it was first written by former Assistant General Counsel Elihu Platt in the early 1960’s and it continues to be so today.
In 1992, John E. Higgins, Jr., updated the text after a 20-year hiatus in publication. Since then, he has revised and updated the text in 1995, 1997, 1999, and again in 2002. In this new edition, Deputy General Counsel Higgins has brought the text through December 2004, has added a number of new topics and has updated the subject matter index. Any suggestions or corrections for future editions should be forward to Mr. Higgins at Board headquarters.
I am grateful to Mr. Higgins for continuing this project. I also want to thank Lafe Solomon, Director of the Office of Representation Appeals, for reviewing the manuscript, as well as the dedicated employees in the Agency’s Editorial Section for their tireless work on this project.
Arthur F. Rosenfeld
General Counsel
Table of
Contents
1. Jurisdiction...................................................................................................................................................................................... 1
1-100 Jurisdiction Generally 1
1-200 The Jurisdictional Standards 2
1-201 Nonretail 2
1-202 Retail 3
1-203 Instrumentalities, Links, and Channels of
Interstate Commerce 5
1-204 National Defense/Federal Funds 4
1-205 Plenary Jurisdiction 5
1-206 Territories 5
1-207 Labor Organizations 6
1-208 Multiemployer Groups and Joint Employers 6
1-209 Enterprises Falling Under Several Standards 6
1-210 Postal Service Employees 7
1-211 Jurisdiction in an 8(a)(4) Situation 7
1-212 Secondary Boycotts 8
1-213 Indian Tribes 8
1-300 Miscellaneous Categories in Which
Jurisdiction was Asserted 8
1-301 Architects 8
1-302 Amusement Industry 9
1-303 Apartment Houses 9
1-304 Art Museums, Cultural Centers, and Libraries 9
1-305 Bandleaders 9
1-306 Cemeteries 9
1-307 Colleges, Universities, and Other Private
Schools 10
1-308 Communication Systems 10
1-309 Condominiums and Cooperatives 11
1-310 Credit Unions 11
1-311 Day Care Centers 11
1-312 Financial-Information Organizations and
Accounting Firms 11
1-313 Gaming 11
1-314 Government Contractors 12
1-315 Health Care Institutions 12
1-316 Hotels and Motels 13
1-317 Law Firms and Legal Service Corporations 13
1-318 Newspapers 13
1-319 Nonprofit Charitable Institutions 14
1-320 Office Buildings 14
1-321 Private Clubs 14
1-322 Professional Sports 15
1-323 Public Utilities 15
1-324 Restaurants 15
1-325 Shopping Centers 15
1-326 Social Services Organizations 15
1-327 Stock Brokerage Firms 16
1-328 Symphony Orchestras 16
1-329 Taxicabs 16
1-330 Transit Systems 16
1-400 Jurisdiction Declined for Statutory Reasons 16
1-401 State or Political Subdivision 17
1-402 Employers Subject to the Railway Labor Act 18
1-403 Religious Schools 19
1-500 Jurisdiction Declined for Policy
Considerations 20
1-501 Foreign Flag Ships, Foreign Nationals, and
Related Situations 20
1-502 Horseracing and Dogracing 21
1-503 Religious Organizations 21
1-600 Rules of Application 22
1-601 Advisory Opinions 22
1-602 Declaratory Orders 22
1-603 Tropicana
Rule 23
1-604 Totality of Operations 23
1-605 Integrated Operations 23
1-606 Computation of Jurisdictional Amount 23
1-607 Relitigation of Jurisdiction 24
2. Regional Directors’
Decisionmaking Authority In Representation Cases 25
2-100 Statutory and Administrative Delegation 25
2-200 Scope of Authority 26
2-300 Other Specific Powers Under the Delegation 27
2-400 Finality of Decisions 27
2-500 Transfer and Review 28
3. Initial Representation Case Procedures 31
3-100 Filing of Petition and
Notification 31
3-200 Submission of Showing of
Interest 31
3-300 Information Requested of
Parties 32
3-400 Preliminary Investigation 32
3-500 Dismissal or Withdrawal of Petition 32
3-600 Amendments to Petition 32
3-700 Consent-Election Agreements 32
3-800 Notice of Hearing and
Hearings 33
3-810 Nature and Objective 33
3-820 Hearing Officer’s Responsibilities 33
3-830 Intervention 33
3-840 Conduct of Hearing 34
3-850 Hearing Officer’s Report 34
3-860 Briefs 34
3-870 Posthearing Matters Prior to Decision 35
3-880 Regional Director’s or Board Decision and
Request for Review 35
3-900 Review of Representation Decisions 36
3-910 Judicial Review - Generally 36
3-911 Review by Employers 36
3-912 Review By Unions 36
3-920 Litigation of Unfair Labor Practice Issues in
Representation Cases 37
3-930 Effect of Violence on a
Board Certification...................................................................................................................... 37..........
4. Types of Petitions 39
4-100 Representation Petition Seeking Certification
(RC) 39
4-200 Decertification Petition (RD) 39
4-300 Employer Petition (RM) 39
4-400 Union-Security Deauthorization Petition (UD) 40
4-500 Petition For Clarification
(UC) 40
4-600 Petition For Amendment of Certification (AC) 40
4-700 Expedited Elections-Section 8(b)(7)(C) 40
5. Showing of Interest 41
5-100 Timeliness of Submission of a Showing of
Interest 41
5-200 Nature of Evidence of Interest 42
5-210 Construction Industry 42
5-300 Designee 43
5-400 Validity of Designations 44
5-500 Currency and Dating of Designations 45
5-600 Quantitative Sufficiency 45
5-610 No Showing of Interest in 8(b)(7)(c) Cases 46
5-620 A Specific 30-Percent Requirement in UD Cases 46
5-630 Employer Petitions 46
5-640 Showing of Interest for Intervention 46
5-700 Relation to Bargaining Unit 47
5-800 Date for Computation 47
5-900 Investigations of Showing of Interest 48
6. Qualification of Representative 51
6-100 The Statutory Definition of Labor
Organization 51
6-110 Application of the Statutory Definition 51
6-120 Impact of Labor-Management Reporting and
Disclosure Act of 1959 52
6-130 Public Policy Considerations 53
6-200 Statutory Limitation as to “Guards” 53
6-300 Administrative Policy Considerations 54
6-310 A
6-320 Trusteeship 55
6-330 Employer Assistance or Domination and
Supervisory Involvement 56
6-340 Nature of Representation 57
6-350 The
6-360 The
6-370 Joint Petitioners 59
6-380 Effect of Union Violence 59
7. Existence of A Representation Question 61
7-100 General Rules 61
7-110 Prerequisite for Finding a Question
Concerning Representation 61
7-120 The General Box Rule 61
7-130 The Effect of Private Dispute Resolution
Mechanisms 62
7-131 Grievances and Arbitration 62
7-133 No-Raid Agreements 63
7-140 Ability to Determine Unit as Affecting
Representation Question 64
7-150 Statutory Exemption Under Section 8(b)(7)(c)
of the Act-Expedited Elections 64
7-200 Rules Affecting Employer Petitions 65
7-210
7-220 Rm Petitions/Incumbent Unions 66
7-230 Accretions 67
7-240 Changes in Affiliation 67
7-250 Employer Waiver 67
7-300 Rules Affecting Decertification Petitions 68
7-310 Who May File a Decertification Petition 68
7-320 The Unit in Which the Decertification
Election is Held 68
7-330 Categories Which May not be Included in the
Unit in a Decertification Election 69
7-340 Certification not a Prerequisite 70
7-400 Effect of Delay and Turnover 70
8. Disclaimer of Interest and Withdrawal of Petition 71
8-100 Disclaimer 71
8-200 Withdrawal 73
8-300 Effect of Disclaimer or Withdrawal 73
9. Contract Bar 75
9-100 Adequacy of Contract 75
9-110 Written Contract 75
9-120 Signatures of the Parties 76
9-130 Substantial Terms and Conditions 77
9-140 Coverage 77
9-150 Appropriate Unit 78
9-160 “Members Only” 78
9-170 Master Agreement 79
9-180 Prior Ratification 79
9-200 Changed Circumstances Within the Contract
Term 79
9-210 Change in the Size of theUnit 79
9-211 Prehire Contracts 80
9-212 The Yardsticks 80
9-220 Change in the Nature of the Unit 80
9-221 Merger 81
9-222 Shutdown 81
9-223 Relocation 81
9-224 Assumption of Contract 82
9-300 Duration of Contract 83
9-310 Fixed-Term Contracts 83
9-320 Contracts With No Fixed Term 84
9-321 Indefinite Duration 84
9-322 Terminable at Will 84
9-323 Temporary Agreements 84
9-324 Extensions 84
9-400 Representative Status of Contracting Union 85
9-410 Schism 85
9-411 Basic Intraunion Split 85
9-412
9-413 Reasonable Time 86
9-414 Other Schism Issues 86
9-420 Defunctness and Disclaimer 87
9-500 Effect of Contract on Rival Claims or
Petitions 88
9-510 Time of Filing of Petition 89
9-520 Amendment of Petition 89
9-530 “Substantial Claim” Rule 90
9-540 The “Insulated Period” 90
9-550 The Period for Filing 91
9-560 The Impact of Bargaining History on Rival
Petitions 92
9-570 Automatic Renewal Provisions 92
9-580 The “Premature Extension” Doctrine 93
9-600 Private Agreements 95
9-610 Agreements not to Represent Certain Employees 95
9-620 Neutrality Agreements 95
9-700 Unlawful Union-Security and Checkoff
Provisions 96
9-710 Union-Security Provisions 96
9-720 Checkoff Provisions 98
9-800 Racial Discrimination in Contracts 99
9-900 Contracts Proscribed by Section 8(e) 99
9-1000 Special Statutory Provisions as to Prehire
Agreements 100
10. Prior Determinations and Other Bars to an Election 103
10-100 Effect of Prior Election 103
10-110 Board Elections 103
10-120 Comity to State Elections 104
10-200 The 1-Year Certification Rule 104
10-210 Application of the 1-Year Certification Rule 105
10-220 Exceptions to the Rule 106
10-221 The Mar-Jac Exception 106
10-222 The
10-300 Settlement Agreement as a Bar 107
10-400 Court Decree as a Bar 108
10-500 Lawful Recognition as a Bar/Reasonable Period
of Time 108
10-600 Expanding Unit 109
10-700 Contracting Units and Cessation of Operations 110
10-800 Blocking Charges (Chm sec. 11730) 111
10-900 Special Situations 113
10-1000 Reasonable Period of Time 113
11. Amendment, Clarification, and Deauthorization Petitions, Final Offer Elections and Wage Hour Certifications 115
11-100 Amendment of Certification (AC) 115
11-200 Clarification of Certification (UC) 116
11-210 Timing of UC Petition 118
11-220 Accretion V. Question Concerning
Representation 119
11-300 Deauthorization Petition (UD) 120
11-400 Final Offer Elections (Chm sec. 11520) 121
11-500 Certificate of Representative Under FLSA (Chm
sec. 11540) 121
11-600 Revocation of Certification 121
12. Appropriate Unit: General Principles 123
12-100 Introduction 123
12-110 Professional Employees 124
12-120 Craft Units 124
12-130 Plant Guards 124
12-140 Extent of Organization 125
12-200 General Principles 125
12-210 Community of Interest 125
12-220 History of Collective Bargaining 127
12-221 Consent-Election Stipulation 127
12-222 Bargaining History Contrary to Board Policy 128
12-223 Ineffective Bargaining History 128
12-224 Oral Contract 128
12-225 Bargaining History of Other Employees 128
12-226 Significant Changes 129
12-227 Checkered Bargaining History 129
12-228 Deviation From Prior Unit Determination 129
12-229 Other Exceptions 129
12-230 Specific Unit Rules 130
12-231 Size of Unit 130
12-232 Mode and/or Rate of Payment 130
12-233 Age 131
12-234 Sex 131
12-235 Race 131
12-236 Union Membership 132
12-237 Territorial Jurisdiction 132
12-238 Work Jurisdiction 132
12-239 Employees’ Desires 132
12-300 Extent of Organization 133
12-400 Residual Units 134
12-410 Residual Units in the Health Care Industry 135
12-500 Accretions to Existing Units 135
12-510 Interchange 136
12-520 Supervision and Conditions of Employment 137
12-530 Job Classification 137
12-540 Integration of Units 137
12-550 Geographic Proximity 137
12-560 Role of New Employees 138
12-570 Community of Interest 138
12-580 Bargaining History 138
12-590 Skills and Education 139
12-600 Relocations, Spinoffs, and Accretions 139
13. Multilocation Employers 141
13-100 Central Control of Labor Relations 143
13-200 Local Autonomy 143
13-300 Interchange of Employees 144
13-400 Similarity of Skills 144
13-500 Conditions of Employment 145
13-600 Supervision 145
13-700 Geographical Separation 145
13-800 Plant Integration and Product Integration 146
13-900 Bargaining History 146
13-1000 Extent of Organization 147
13-1100 Health Care 148
14. Multiemployer, Single Employer, and Joint Employer Units 149
14-100 Multiemployer Units 149
14-200 The General Rule 150
14-300 Exceptions to the General Rule 152
14-310 Agreement of the Parties 152
14-320 Tainted Bargaining History 152
14-330 Inconclusive Bargaining History 152
14-340 Employees In Different Category 153
14-350 The 8(f) Relationships-Construction Industry 153
14-360 Nonbeneficial Bargaining History 153
14-370 Brief Duration of Multiemployer Bargaining 153
14-400 Employer Withdrawal From Multiemployer
Bargaining 153
14-410 Adequate Timely Written Notice 153
14-420 Intent 154
14-430 Where Actual Bargaining had Begun 154
14-440 After Filing of Petition by Rival Union 155
14-450 Consent of the Union 155
14-460 Appropriate Unit After Withdrawal 156
14-500 Single Employer 156
14-600 Joint Employer 157
14-700 Alter Ego 157
15. Specific Units and Industries 159
15-100 Architectural Employees 159
15-120 Banking 159
15-130 Construction Industry 160
15-140 Drivers 162
15-141 The Koester Rule 162
15-142 Scope of Driver Units 164
15-143 Local Drivers and Over-the-Road Drivers 164
15-144 Severance of Drivers 165
15-145 Driver-Salespersons 165
15-146 Health Care Institution Drivers 166
15-150 Funeral Homes 166
15-160 Gaming Units 166
15-170 Health Care Institutions 167
15-171 Acute Care Hospitals 167
15-172 Other Hospitals 168
15-173 Nursing Homes 169
15-174 Application of the Health Care Rule 169
15-175 Registered Nurse Units 169
15-176 Other Health Care Issues 170
15-180 Hotels and Motels 170
15-190 Insurance Industry 171
15-200 Law Firms 172
15-210 Licensed Departments 172
15-211 In General 173
15-212 Unit Composition-Licensed Departments 174
15-215 Maritime Industry 174
15-220 Newspaper Units 174
15-230 Public Utilities 175
15-250 Retail Store Operations 177
15-251 Scope 177
15-252 Selling and Nonselling Employees 177
15-253 Bargaining History in Retail Industry 178
15-254 Retail Categories 179
15-260 Television and Radio Industry 180
15-270 Universities and Colleges 181
15-271 Faculty 181
15-272 Other Categories 183
15-280 Warehouse Units 184
15-290 Research and Development Industry 186
16. Craft and Traditional Departmental Units .187
16-100 Severance 187
16-110 The Mallinckrodt Criteria 188
16-111 True Craft or Functionally Distinct
Department 188
16-112 History of Collective Bargaining of Employees
Sought to be Represented 188
16-113 Separate Identity 188
16-114 Degree of Integration of the Employer’s
Production Processes 188
16-115 Qualifications of the
16-120 Application of Severance Principles 189
16-130 Severance of Maintenance Departments 192
16-140 Construction Industry 192
16-200 Initial Establishment of Craft or
Departmental Unit 192
16-300 Skilled Maintenance-Health Care 194
17. Statutory Exclusions 197
17-100 Agricultural Employees 197
17-200 Domestics 199
17-300 Individuals Employed by Their Parent or
Spouse 199
17-400 Independent Contractors 199
17-410 Trucking Industry 201
17-420 Newspaper Industry 201
17-430 Taxi Industry 203
17-440 Other Industries 203
17-500 Supervisors 204
17-501 Supervisory “Authority” as Defined in Section
2(11) 205
17-502 Assignment/Responsible Direction/Independent
Judgment 207
17-503 Power Effectively to Recommend 209
17-504 Limited, Occasional or Sporadic Exercise of
Supervisory Power 209
17-505 Substituting for a Supervisor 210
17-506 Promotions to Supervisory Positions and
Management Trainees 210
17-507 Secondary Indicia 211
17-508 Ostensible or Apparent Authority 212
17-509 Supervision of Nonunit Employees 213
17-510 Supervisory Issues Affecting Educational
Institutions 213
17-511 Health Care Supervisory Issues 214
17-600 Railway Workers 215
17-700 Employees of “Nonemployers” 216
18. Statutory Limitations 217
18-100 Professional Employees 217
18-110 The Statutory Mandate 217
18-120 Professionals Defined 218
18-130 Previously Established Units 219
18-200 Plant Guards 220
18-210 The Statutory Mandate 220
18-220 Guards Defined 220
18-230 Guards Unions 222
18-240 Scope of Unit 223
19. Categories Governed by Board Policy 225
19-100 Confidential Employees 225
19-110 Status of Confidentials 227
19-200 Managerial Employees 227
19-300 Relatives of Management 229
19-400 Office Clerical and Plant Clerical Employees 230
19-410 Definitions 230
19-420 Clerical Units Generally 231
19-430 Clericals-Warehouse Units 231
19-440 Self-Determination Elections-Clericals 232
19-450 Multiplant Clerical Units 232
19-460 Business Office Clerical-Health Care 232
19-500 Technical Employees 233
19-510 Technical Employees-Health Care 234
19-600 Quality Control Employees 234
20. Effect of Status or Tenure On Unit Placement and Eligibility to Vote 235
20-100 Part-Time Employees 235
20-110 Generally 235
20-120 “On-Call” Employees 237
20-130 Part-Time Faculty Members 237
20-140 Irregular Part-Time Employees 238
20-200 Temporary Employees 238
20-300 Seasonal Employees 240
20-310 Same Labor Force 240
20-320 Former Employees 240
20-330 Similarity of Duties, Etc.. 240
20-340 Transition 240
20-350 Timing of Seasonal Elections 241
20-400 Student Workers 242
20-500 Dual-Function Employees 243
20-600 Probationary Employees, Trainees, and Clients
(Rehabilitation) 244
20-610 Probationary Employees 244
20-620 Trainees 244
20-630 Clients (Rehabilitation) 245
21. Self-Determination Elections 247
21-100 Several Units Equally Appropriate 247
21-200 Craft and Traditional Departmental Severance 248
21-300 Self-Determination Election For Craft or Traditional Department Employees Where No Prior Plantwide Bargaining History Exists 248
21-400 Professional Employees 249
21-500 Inclusion of Unrepresented Groups 250
21-600 Pooling of Votes 252
22. Representation Case Procedures Affecting the Election 253
22-101 The Election Date 253
22-102 The Ballot 253
22-103 The Question and Choices on the the Ballot 253
22-104 Withdrawal From The Ballot 253
22-105 The Polling Place 254
22-106 The Notice of Election 254
22-107 Voting Eligibility 254
22-108 Observers 254
22-109 Closing of the Polls 254
22-110 Mail Ballots 255
22-111 Challenges 255
22-112 The Count 256
22-113 The Tally of Ballots 256
22-114 Runoff Elections 256
22-115 Resolution of Challenges 256
22-116 Objections to Election-Filing Requirements 257
22-117 Investigation of Objections 257
22-118 Hearing on Objections 258
22-119 The Decision 259
22-120 Rerun Elections 259
22-121 The Certification 260
22-122 Expedited Elections Under Section 8(b)(7)(c) 260
23. Voting Eligibility 263
23-100 Eligibility in General 263
23-110 The General Rule 263
23-111 Newly Hired or Transferred Employees 264
23-112 Voluntary Quits 264
23-113 Discharged Employees 264
23-114 Employees on Sick Leave 265
23-115 Laid-Off Employees 265
23-116 Retirees/Social Security Annuitants 266
23-120 Economic Strikers, Locked-Out Employees, and
Replacements 266
23-125 Prisoners and Work Release Inmates 268
23-200 Eligibility Dates 269
23-210 Initial Elections 269
23-220 Runoff Elections 269
23-230 Rerun Elections 269
23-240 Seasonal Operations 270
23-300 Alleged Discriminatees 270
23-400 Special Formulas for Specific Industries 270
23-410 Longshore 270
23-420 Construction 270
23-430 Oil Drilling 271
23-440 Taxicabs 271
23-450 On-Call Employees 271
23-460 Entertainment Industry 272
23-470 On-Call Teachers 272
23-500 Eligibility Lists and Stipulations 272
23-510 Voting List (Excelsior) 272
23-520 Stipulated Eligibility Lists (Norris
Thermador) 273
23-530 Construing Stipulations of the Parties in
Representation Cases 274
24. Interference with Elections 277
24-100 Objections Procedures 277
24-110 Objections Period 277
24-120 Time for Filing Objections 278
24-130 Duty to Provide Evidence of Objections 278
24-140 Scope of Investigation of Objections 279
24-150 Estoppel in Objection Cases 279
24-200 Legal Background of the “Free Speech” Issue 280
24-210 The Early Cases 280
24-220 Intervening Period and Gissel (Sinclair) 281
24-230 The Later Cases 283
24-300 Preelection Campaign Interference 285
24-310 Interference Which May Also Violate the
Unfair Labor Practice Provisions 286
24-311 De Minimis or Isolated Conduct 287
24-312 Litigation of Unfair Labor Practice Issues in
Representation Cases 287
24-313 Narrowness of the Election Results 288
24-314 Dissemination 288
24-320 Types of Interference Under the General Shoe
Doctrine 288
24-321 Assembly of Employees at a Focal Point of
Authority and Home Visitations 291
24-322 Misrepresentation 292
24-323 Racial Appeals 293
24-324 The Excelsior Rule 296
24-325 The Peerless Rule 300
24-326 Third Party Conduct 302
24-327 Offers to Waive
24-328 Prounion Supervisory Conduct 308
24-329 Videotaping 308
24-400 Interference with the Conduct of Elections 309
24-410 Board Agent Conduct 310
24-420 Mechanics of the Election 313
24-421 The Polling Place 313
24-422 Opening and Closing of the Polls 314
24-423 Notice of Election 315
24-424 Observers 316
24-425
24-426 Secrecy of the Ballot 320
24-427 Mail Ballots 322
24-428 Foreign Language Voters 323
24-429 Ballot Count 324
24-430 Payments to Off Duty Employees to Encourage
Voting 324
24-440 Electioneering 325
24-441 Ballot Reproduction 325
24-442 The Milchem Rule 326
24-443 Raffles, Gifts, and Contests 328
24-444 Campaign Insignia 330
24-445 Checking Off Names of Voters 331
24-446 Filing Lawsuits 331
24-500 The
24-600 Postelection Unit Modifications 332