Bench Book: Division of Judges

NATIONALLABORRELATIONSBOARD
DIVISIONOFJUDGES
BENCHBOOK
AnNLRBTrialManual
August 2010
BENCHBOOK
AnNLRBTrialManual
TABLEOFCONTENTS
INTRODUCTION ............................................................................................................... 1
CHAPTER1.OPENINGANDCLOSINGTRIAL............................................................... 3
1100 SuggestedFormofOpeningStatementbyJudge............................................. 3
1200 SuggestedFormofClosingStatementbyJudge .............................................. 3
1300 ModelSequestrationOrder............................................................................... 4
1400 AdministrationofOath ...................................................................................... 5
1410
WitnessOath.............................................................................................. 5
1420
Interpreter'sOath........................................................................................ 6
CHAPTER2.ADMINISTRATIVELAWJUDGE ................................................................ 7
2100 Designation....................................................................................................... 7
2200 ExParteCommunications ................................................................................ 7
2210
BasicProhibition......................................................................................... 7
2220
ExceptionstoBasicProhibition .................................................................. 7
2230
ProcedureWhenProhibitedCommunicationReceived .............................. 8
2300 DutiesofAdministrativeLawJudges ................................................................ 9
2400 Trials............................................................................................................... 11
2500 DisqualificationofJudge ................................................................................. 12
2510
GroundsAssertedforDisqualification....................................................... 12
2520
DisqualificationProcedure........................................................................ 16
CHAPTER3.PLEADINGS............................................................................................. 17
3100 TheCharge..................................................................................................... 17
3110
GeneralPrinciples .................................................................................... 17
3120
FilingandServiceUnderSection10(b) .................................................... 17
3130
SufficiencyoftheCharge ......................................................................... 17
3140
WithdrawalorDismissal ........................................................................... 18
3200 Complaint ....................................................................................................... 18
3210
AdequacyofComplaint ............................................................................ 18
3220
ComplaintCloselyRelatedtoTimelyCharge ........................................... 19
3230
BillofParticulars....................................................................................... 20
3300 AmendmentstoComplaints............................................................................ 20
3310
WhoMaySeekandWhoMayGrantAmendments................................... 20
3320
WhenAmendmentsAreAllowed .............................................................. 20
3330
AmendmentsandSection10(b) ............................................................... 21
3340
DeFactoAmendmentUnpleadedButFullyLitigated ............................. 21
3400 ConsolidationandSeveranceofComplaints................................................... 22
3410
GeneralPrinciples .................................................................................... 22
3420
Consolidation ........................................................................................... 23
3430
Severance ................................................................................................ 23
i
TABLEOFCONTENTS
3500 AnswertoComplaint....................................................................................... 24
3550
AffirmativeDefenses ................................................................................ 25
3600 Section10(b)AffirmativeDefense................................................................... 25
3610
ComputationofSection10(b)Period........................................................ 25
3620
NotaRuleofEvidence............................................................................. 26
3630
ContinuingViolations................................................................................ 26
3635
BackpayforContinuingViolations ............................................................ 27
3640
FraudorDeception................................................................................... 27
3650
RevivalofWithdrawnorDismissedCharge.............................................. 27
3700 OtherAffirmativeDefenses............................................................................. 28
3710
MisconductofChargingParty................................................................... 28
3720
Laches ..................................................................................................... 28
3730
InadequateInvestigation/CompliancewithCasehandlingManual............. 29
3740
DeferraltoGrievanceArbitration .............................................................. 29
3750
RelitigationofIssues ................................................................................ 29
3760
Section8(g)Notice................................................................................... 30
3770
SettlementBar.......................................................................................... 30
CHAPTER4.SERVICEOFDOCUMENTS ..................................................................... 33
4100 InGeneral....................................................................................................... 33
4110
FederalRulesofCivilProcedureNotControlling...................................... 33
4200 MethodsofService ......................................................................................... 33
4300 FailureofService............................................................................................ 34
4310
EffortstoFrustrateService....................................................................... 34
4400 WhoMustBeServed...................................................................................... 35
4500 DeterminingDateofService ........................................................................... 35
4600 ProofofService .............................................................................................. 35
4700 SpecialAspectsofServiceofParticularDocuments ....................................... 36
4710
ChargesandAmendedCharges .............................................................. 36
4720
ComplaintandNoticeofHearing.............................................................. 37
4730
ComplianceSpecifications........................................................................ 37
4740
AnswerstoComplaintsandtoComplianceSpecifications........................ 38
4750
Subpoenas ............................................................................................... 38
CHAPTER5.PRETRIALDISCOVERYANDDEPOSITIONS ......................................... 39
5100 PretrialDiscovery............................................................................................ 39
5200 Depositions..................................................................................................... 39
CHAPTER6.TIMEANDPLACEOFTRIAL................................................................... 41
6100 BeforeTrialOpens.......................................................................................... 41
6200 AfterTrialOpens............................................................................................. 41
6300 RequestsforContinuancetoObtainCounsel ................................................. 41
6310
LengthofContinuancetoObtainCounselorSubstituteCounsel.............. 43
6320
WhenCounselorPartyLeavesTrialAfterRequestIsDenied.................. 43
6400 MotionsforContinuancetoPrepareaDefense............................................... 43
6500 MotionsforContinuanceBecauseofUnavailableWitness ............................. 44
CHAPTER7.APPEARANCESATTRIAL ...................................................................... 45
7100 RepresentationatTrial.................................................................................... 45
7110
RespondentNotRepresentedbyCounsel................................................ 45
7120
RepresentationsThatPresentPossibleConflicts ..................................... 45
ii
TABLEOFCONTENTS
7130
AttorneyasWitness.................................................................................. 46
7140
RepresentationatPostelectionProceedings ............................................ 46
7200 FailureofPartytoAppearatTrial ................................................................... 46
7250
AbsenceofRespondent'sAttorney........................................................... 46
7300 RightsofChargingPartiesandDiscriminatees ............................................... 46
7400 InterventionatTrial ......................................................................................... 48
7410
NecessaryParties .................................................................................... 48
7420
PartiesinInterest ..................................................................................... 49
7500 MisconductbyAttorneyorRepresentative...................................................... 49
7510
ExclusionofCounsel................................................................................ 49
7520
AuthoritytoAdmonishorReprimandCounsel .......................................... 50
7530
SuspensionofCounsel............................................................................. 51
7540
AwardingLitigationCosts ......................................................................... 53
CHAPTER8.SUBPOENAS............................................................................................ 55
8100 InGeneral....................................................................................................... 55
8110
ApplicationforSubpoena ......................................................................... 55
8120
ServiceofSubpoena ................................................................................ 55
8130
GeographicReachofSubpoena .............................................................. 56
8140
FeesandMileageRequiredtobePaid..................................................... 56
8150
ExpertWitnesses,RequiredFeesandMileage ........................................ 56
8200 RevocationofSubpoenas............................................................................... 56
8210
PetitiontoRevokeInWriting .................................................................. 56
8220
Within5DaysRequirement.................................................................... 57
8230
GroundsforRevokingSubpoena.............................................................. 57
8300 ScopeofSubpoenas ...................................................................................... 58
8310
MaterialMustBeReasonablyRelevant.................................................. 58
8320
RequestMustNotBeVagueorOverbroad .............................................. 58
8330
BurdensomenessofProduction................................................................ 58
8340
ElectronicallyStoredInformation(ComputerRecords) ............................. 58
8350
RequestforBargainingInformation .......................................................... 59
8360
PreservingRelatedMaterial ..................................................................... 59
8400 PrivilegedMaterial .......................................................................................... 59
8405
BurdenofProofPrivilegeLog/Index....................................................... 59
8410
InCameraInspections.............................................................................. 60
8415
ProtectiveOrders ..................................................................................... 60
8420
AttorneyClientPrivilege ........................................................................... 62
8425
BusinessRecords/LegalAdviceinCollectiveBargaining ......................... 63
8430
WaiverofAttorneyClientPrivilege ........................................................... 63
8435
Crime/FraudExceptiontoAttorneyClientPrivilege .................................. 64
8440
DurationofAttorneyClientPrivilege......................................................... 64
8445
WorkProductPrivilege ............................................................................. 64
8450
ReportersPrivilege .................................................................................. 65
8455
TestimonybyBoardAgentsandPrivilegedFiles...................................... 65
8460
MediatorNotSubjecttoSubpoena........................................................... 66
8465
StateConfidentialityRulesNotControlling ............................................... 66
8470
UnionAuthorizationCardsNotProduciblebySubpoena.......................... 66
8500 JencksStatementsNotProduciblebySubpoena............................................ 66
8510
Tape/VideoRecordings ............................................................................ 66
8520
PermissionoftheGeneralCounsel .......................................................... 67
iii
TABLEOFCONTENTS
8600 RefusaltoHonorSubpoena............................................................................ 67
8610
FailureofWitnesstoAppear .................................................................... 67
8620
FailuretoProduceDocuments ................................................................. 67
8630
InterferencewithSubpoenaCompliance .................................................. 68
8700 EnforcementofSubpoenasonBehalfofPrivateParty.................................... 69
CHAPTER9.SETTLEMENTS ........................................................................................ 71
9100 InGeneral....................................................................................................... 71
9200 PromotingSettlement ..................................................................................... 71
9220
AtPretrialConference .............................................................................. 71
9230
AttheTrial................................................................................................ 72
9240
AftertheTrial............................................................................................ 72
9300 SettlementsApproved..................................................................................... 72
9320
SettlementsBeforeRecordOpensandTestimonyTaken ........................ 72
9330
SettlementsAfterTestimonyIsTakenandBeforeDecisionIssues .......... 73
9340
SettlementAfterJudgesDecisionIssuesADRProgram ....................... 73
9400 StandardsforApprovingorRejectingSettlements.......................................... 73
9410
TypesofSettlementsFormal,Informal,andNonBoard......................... 73
9420
FormalSettlements .................................................................................. 74
9430
InformalandNonBoardSettlements........................................................ 74
9440
SettlementbyConsentOrder ................................................................... 75
9500 ProceduresforConsidering,Accepting,orRejectingSettlement .................... 75
9550
SummaryJudgmenttoEnforceSettlement .............................................. 77
9600 VariousProvisionsofSettlementAgreements ................................................ 77
9610
NonadmissionClauses............................................................................. 77
9620
SettlementBarRule ................................................................................. 77
9630
JointandSeveralLiability......................................................................... 78
9640
Releases .................................................................................................. 78
9650
Taxability .................................................................................................. 78
9700 DeferraltoGrievance/ArbitrationSettlements ................................................. 78
9800 SettingAsideSettlementAgreements............................................................. 79
9850
DecisionVacatedbySettlement............................................................... 80
9900 RoleofSettlementJudge................................................................................ 80
CHAPTER10.SEQUESTRATIONORDER .................................................................... 83
10100 InGeneral ..................................................................................................... 83
10200 ScopeofOrder.............................................................................................. 83
10210 ConferringwithCounsel ........................................................................... 83
10220 ShowingTranscriptstoWitnesses............................................................ 84
10300 RequeststoSeparateWitnesses .................................................................. 84
10400 WhoShouldandShouldNotBeSeparated................................................... 84
10500 ViolationofSequestrationOrder.................................................................... 85
CHAPTER11.MISCELLANEOUSPROCEDURALMATTERS...................................... 87
11100 UseofAudioandVideoEquipment............................................................... 87
11110 AuditoryEquipmentUse,WhetherRequired ............................................ 87
11120 TapeRecordersinTrial,WhetherAllowed ............................................... 87
11130 TelevisionCameras,NotPermittedinCourtroom..................................... 87
11200 Bankruptcy,JurisdictionofBoard .................................................................. 87
11300 BindingPrecedent,JudgeRequiredtoFollow............................................... 88
11310 JudgesDecisions,WhenNotBindingPrecedent...................................... 88
11320 RelianceonPriorFindingsofAnotherJudge............................................ 88
iv
TABLEOFCONTENTS
11330 RelianceonPortionsofOtherRecords .................................................... 89
11340 MotionstoDismiss ................................................................................... 89
11350 MotionsforSummaryandDefaultJudgment............................................ 89
11400 CorrectionofTranscript................................................................................. 89
11500 InterlocutoryAppealsfromJudgesRulings ................................................... 89
11600 OpeningaTrialbyTelephoneorMail............................................................ 90
11610 TestimonybyTelephone .......................................................................... 90
11620 TestimonybyVideo.................................................................................. 90
11700 Remands,LimitedIssues .............................................................................. 91
11800 Stipulations,Useof ....................................................................................... 91
11900 MotiontoReopenRecord.............................................................................. 92
111000 ComplianceProceeding .............................................................................. 92
CHAPTER12.ORALARGUMENT,BRIEFS,JUDGESDECISIONS ............................. 93
12100 PretrialorTrialBriefs..................................................................................... 93
12200 PostTrialOralArgument............................................................................... 93
12300 PostTrialBriefs............................................................................................. 93
12400 BriefsNotPartofOfficialRecord................................................................... 94
12500 ExpeditedDecisionWithoutBriefs,inLieuofBenchDecision....................... 94
12600 BenchDecision ............................................................................................. 95
12610 InGeneral ................................................................................................ 95
12620 DecidingtoIssueBenchDecision ............................................................ 95
12630 ProceduresforIssuanceofBenchDecisions ........................................... 95
12640 ContentsofBenchDecision ..................................................................... 96
CHAPTER13. EVIDENCE ........................................................................................... 97
13100 ApplicableRulesofEvidence,inGeneral...................................................... 97
13101 SoFarasPracticable ............................................................................... 97
13102 TautRecord ............................................................................................. 97
13104 BackgroundEvidence............................................................................... 98
13105 AdmissibletoShowMotive....................................................................... 98
13106 PresettlementConduct ............................................................................. 98
13107 Section8(c)andUnionAnimus ................................................................ 98
13108 JudicialorOfficialNotice .......................................................................... 99
13109 NLRBDecisions ....................................................................................... 99
13110 StateUnemploymentDecisions................................................................ 99
13111 OffersofProof ........................................................................................ 100
13112 InGeneral .............................................................................................. 100
13113 DuringExaminationofAdverseWitness................................................. 100
13114 NarrativeorQandAOffersofProof....................................................... 100
13115 WaiverofObjectiontoOfferofProof ...................................................... 101
13200 Hearsay....................................................................................................... 101
13201 InGeneral .............................................................................................. 101
13202 DoubleHearsayExcluded ...................................................................... 101
13203 AdmissibleifCorroborated ..................................................................... 101
13204 ExceptionstoHearsayRules.................................................................. 102
13205 NoticeNotRequired ............................................................................... 102
13206 Affidavits................................................................................................. 102
13207 InGeneral .............................................................................................. 102
13208 DeclarantDeceased............................................................................... 103
13209 DeclarantUnavailable ............................................................................ 103
13210 OfRecantingWitness............................................................................. 103
v
TABLEOFCONTENTS
13211 BargainingNotes.................................................................................... 103
13212 Newspaper/TelevisionReports............................................................... 104
13213 MarketQuotations,Directories ............................................................... 104
13214 DeadMansStatutes............................................................................ 104
13215 PositionLettersorStatements................................................................ 104
13216 Recordings ............................................................................................. 105
13217 TapeRecording(Audio/Video)MadeSecretly........................................ 105
13218 TapeRecordingObtainedbySubpoena................................................. 106
13219 OpinionTestimonybyLayWitness......................................................... 106
13220 ExpertWitnessTestimony,InGeneral ................................................... 106
13221 AppropriatenessofExpertTestimony..................................................... 106
13222 FlawedPremises.................................................................................... 107
13223 Handwriting/UnionAuthorizationCards .................................................. 107
13224 PriorNoticetoOpponent ........................................................................ 107
13230 Polygraphs ............................................................................................. 107
13235 AdverseInferences ................................................................................ 108
13240 Admissions............................................................................................. 109
13241 AdmissionsbySupervisorinAffidavit ..................................................... 109
13242 StatementsofNonChargingPartyWitnessNotAdmission.................... 109
13243 AdmissionsbyAttorney/PositionStatements.......................................... 109
13244 AdmissionsbyEmployerinSection8(b)(2)Case ................................... 110
13245 SettlementDiscussions .......................................................................... 110
13246 DocumentinPersonnelFile.................................................................... 110
13250 FormalPapersGeneralCounselExhibit1 ........................................... 111
13255 Summaries ............................................................................................. 111
13260 Privileges................................................................................................ 111
13261 GeneralRuleFRE501......................................................................... 111
13262 AttorneyClientPrivilege ......................................................................... 112
13263 WorkProductPrivilege ........................................................................... 112
13264 TestimonyofaMediator ......................................................................... 112
13265 FifthAmendmentClaims ........................................................................ 112
13266 AdverseInferenceMayBeDrawn .......................................................... 112
13267 GrantofImmunity................................................................................... 113
13300 ParolEvidence ............................................................................................ 113
13301 EvidenceImproperlyObtained ............................................................... 113
13400 StateofMind ............................................................................................... 113
13401 AsEvidencingCoercion ......................................................................... 113
13403 EvidenceAffectingRemedy.................................................................... 114
13405 InstatementofApplicantsDeniedEmployment....................................... 114
13406 UndocumentedWorkers......................................................................... 114
13500 Reinstatement ............................................................................................. 114
13501 LitigationofOfferinUnfairLaborPracticeCase ..................................... 114
13502 MisconductAfterAcquiredEvidence ................................................... 115
13600 Witnesses ................................................................................................... 115
13601 Competency ........................................................................................... 115
13602 TrialAttorneyforParty............................................................................ 116
13603 BoardAgents ......................................................................................... 116
13606 Interpreters............................................................................................. 116
13607 AppointmentandPaymentofInterpreters,AuthorityofJudge ................ 117
13608 ExaminationofWitnesses ...................................................................... 117
13609 OrderofExamination.............................................................................. 117
13610 LeadingQuestions ................................................................................. 117
vi
TABLEOFCONTENTS
13611 Section611(c)Witness........................................................................... 118
13612 RefreshingRecollection.......................................................................... 118
13613 PastRecollectionRecorded ................................................................... 119
13700 CrossExamination...................................................................................... 119
13701 BeyondtheScope .................................................................................. 119
13702 NamesofEmployeesWhoSupportedUnionNotObtainable ................. 119
13703 Impeachment ......................................................................................... 119
13704 NoImpeachmentonCollateralMatters................................................... 120
13705 CriminalConvictions............................................................................... 120
13706 InconsistentPriorStatements................................................................. 121
13800 ReleaseofWitnessStatements................................................................... 121
13801 GenerallyNotReleased/JencksException ............................................. 121
13802 CopiesinPossessionofOthers.............................................................. 122
13803 ChargingPartyEntitledtoStatements.................................................... 122
13804 StatementsbyRespondentsWitnesses................................................. 122
13805 WhatIsaJencksStatement? ................................................................. 122
13807 NotesNotAdopted ................................................................................. 123
13808 WitnesssNotesPassedtoGeneralCounselDuringTrial ...................... 123
13809 Letters .................................................................................................... 123
13810 InCameraInspectiononRelatednessIssue .......................................... 123
13811 TimeofProduction ................................................................................. 123
13812 SufficientTimetoStudy.......................................................................... 124
13813 AffidavitsAdmissibleinEvidence ........................................................... 124
13815 RighttoCopyJencksStatements........................................................... 124
13816 TranslationofAffidavit ............................................................................ 125
13900 RebuttalandSurrebuttalTestimony ............................................................ 125
TABLEOFAUTHORITIES ........................................................................................... 127
BOARDCASES ......................................................................................................... 127
FEDERALCASES ..................................................................................................... 143
INDEX ........................................................................................................................... 149
vii
INTRODUCTION
ThisBENCHBOOKhasbeencompiledtoprovidetheNationalLaborRelationsBoards
administrativelawjudgeswithareferenceguideduringtrialswhenotherresourcesare
unavailable.Itdoesnotdealwithissuesthatmayariseduringdecisionwriting.Itrepresentsan
efforttosetforthBoardprecedentandotherrulingsandauthoritiesoncertainrecurring
proceduralissuesthatmayariseduringthecourseofanNLRBtrial.Itisnotadigestof
substantivelaw.Norshoulditbecitedasprecedent,orbeconsideredasubstituteforissue
specificresearch.
ThebasicsourcesthatgovernBoardtrialsaretheNationalLaborRelationsAct(theAct),
theAdministrativeProcedureAct(APA),theBoard'sRulesandRegulations(BoardsRules),
StatementsofProcedure,Boarddecisions,andtheFederalRulesofEvidence(FRE)applicable
inU.S.districtcourts,sofaraspracticable.TheBenchBooksometimesreferstotheFederal
RulesofCivilProcedure(FRCP).ItalsoreferstounpublishedBoardorders,unappealed
administrativelawjudgesdecisions,andotherBoarddocumentsthatarenotbindingprecedent,
butareincludedbecausetheyprovideusefulguidance.* Usefulinformationisalsoavailableinthe
NLRBsClassificationOutlineandIndex(alsoknownasCITENET,theBoardswebsitesearch
databaseofBoardcases)particularlyinChapter596ProcedureinULPProceedings,inChapter
737Evidence,andinChapter700GeneralLegalPrinciples.
TheBenchBookalsoincludescitationstosomeofthetwoMemberBoarddecisionsthatissuedfrom
January1,2008March29,2010.Thedecisions,whicharemarkedwithanasterisk(*),mayalsolack
precedentialweight.SeeNewProcessSteel,L.P.v.NLRB,130S.Ct.2635(2010)(holdingthatthetwo
MemberBoardlackedauthoritytoissueitsdecisioninthatcase).Theyshouldthereforebecited,ifatall,
withcaution,unlessanduntiltheyhavebeenaffirmedbyathreeMemberpanelorthefullBoard.See,e.g.,
ADF,Inc.,355NLRBNo.62(2010),reaffirmingandincorporatingbyreference355NLRBNo.14(2010).
However,likeunpublishedorders,theymayprovideusefulguidanceinevaluatingsimilarissuesand
factualsituations.
CHAPTER1.OPENINGANDCLOSINGTRIAL
1100
SuggestedFormofOpeningStatementbyJudge
Thehearingwillbeinorder.ThisisaformaltrialbeforetheNationalLabor
RelationsBoardin___________________,Case__________.[Ifconsolidatedwithan
objectionstoelectioncase,add:]"consolidatedwithCase__________forhearingon
objectionstoelection.''
Theadministrativelawjudgepresidingis_________________.Iamassignedto
the_____________[Washington,SanFrancisco,NewYork,orAtlanta]officeofthe
DivisionofJudges.Anycommunicationsshouldbeaddressedtothatoffice,andany
requestsforextensionsoftimeshouldbeaddressedtothe___________[ChiefJudgeor
DeputyorAssociateChiefJudgeinWashington,orAssociateChiefJudgeinSan
Francisco,NewYork,orAtlanta]inthatoffice.
Willcounselandotherrepresentativesofthepartiespleasestatetheir
appearancesfortherecord.FortheGeneralCounsel...[theChargingParty]...[the
Respondent].
Ifsettlementdiscussionsaredesiredatanytimeduringthetrial,Iwillbegladto
grantareasonablerecessforthatpurpose.Trialdevelopmentssometimeschange
attitudesandmakesettlementpossible.Accordingly,Iamadvisingyounow,beforeIhave
heardanyofthetestimonythatIintendtoofferopportunityforsettlementdiscussionsat
twospecificstagesofthetrial:first,attheconclusionoftheGeneralCounsel'scaseand,
second,attheconclusionofthetrial.IfbyinadvertenceIoverlookthematter,pleasecallit
tomyattention.
Iinviteyoutobearinmind,asthetrialproceeds,thatopportunitiesfordiscussion
ofsettlementwillbeavailableatalltimesonrequest.
Mr./Ms._______________[theGeneralCounsel'sattorney]pleaseintroducethe
pleadingsandotherformalpapers.Iwilldisposeofanypreliminarymotionsafterthose
areinevidence.
Thejudgemayalsowanttoaskiftheappearancesheetiscompleted.
1200
SuggestedFormofClosingStatementbyJudge
IwillprepareandfilewiththeBoardmydecisioninthisproceeding.Acopywillbe
servedoneachoftheparties.
YouareremindedtorefertotheBoardsRulesandRegulationsforinformation
regardingthefilingofbriefsandproposedfindingsformyconsideration,andregarding
proceduresbeforetheBoardaftertheissuanceofajudge'sdecision.
Nowthatalltheevidenceisin,youhaveabetteropportunitytoassessyour
chancesregardingtheoutcomeoftheissuesthanyouhadattheoutsetofthetrial.All
partiesshouldcarefullyweightherisksentailedanddecidewhetheranamicable
3
settlementoftheissuesmightnotofferamoresatisfactorysolution.Settlementmaybe
arrangednoworatanytimebeforeIissuemydecision.
Iwillallowuntil[datenomorethan35daysfromthecloseofthetrial]forthefiling
ofbriefsandanyproposedfindingsandconclusions.Anyrequestforanextensionoftime
forthefilingofbriefsmustbemadeinwritingtothe[ChiefJudgeorDeputyorAssociate
ChiefJudgeinWashington,orAssociateChiefJudgeinSanFrancisco,NewYork,or
Atlanta]andservedontheotherparties.Thepositionsoftheotherpartiesregardingthe
extensionshouldbeobtainedandsetforthintherequest.ItisthepolicyoftheDivisionof
Judgestograntdiscretionaryextensionsonlywhentheyareclearlyjustified.Requestsfor
extensionsmustcontainspecificreasonsandshowthattherequestingpartycannot
reasonablymeetthecurrentdeadline.
Therebeingnothingfurther,thetrialisnowclosed.Offtherecord.
1300
ModelSequestrationOrder
Counselhasinvokedarulerequiringthatthewitnessesbeseparated,or
sequestered.Thismeansthatallpersonswhoaregoingtotestifyinthisproceeding,with
specificexceptionsthatIwilltellyouabout,maybepresentinthecourtroomonlywhen
theyaregivingtestimony.
Theexceptionsareallegeddiscriminatees,naturalpersonswhoareparties,anda
personwhoisshownbyapartytobeessentialtothepresentationofthepartyscause.
Theymayremaininthecourtroomeveniftheyaregoingtotestify,orhavetestified.
Allegeddiscriminateesincludingchargingparties,however,maynotremaininthe
courtroomwhenotherwitnessesonbehalfoftheGeneralCounselortheChargingParty
aregivingtestimonyregardingeventsaboutwhichtheallegeddiscriminateeswillbe
expectedtotestify.
Therulealsomeansthatfromthispointonuntilthetrialisfinallyclosed,no
witnessmaydiscusswithotherpotentialwitnesseseitherthetestimonythattheyhave
givenorthattheyintendtogive.Thebestwaytoavoidanyproblemsissimplynotto
discussthecasewithanyotherpotentialwitnessuntilafterthetrialiscompleted.
UndertheruleasappliedbytheBoard,withoneexception,counselforaparty
maynotinanymanner,includingtheshowingoftranscripts,informawitnessaboutthe
contentofthetestimonygivenbyaprecedingwitness,withoutexpresspermissionofthe
administrativelawjudge.Theexceptionisthatcounselforapartymayinformthe
counselsownwitnessofthecontentoftestimony,includingtheshowingoftranscripts,
givenbyawitnessfortheopposingsidetoprepareforrebuttalofthetestimony.
Iexpectcounseltopolicetheruleandtobringanyviolationofittomyattention
immediately.Itistheobligationofcounseltoinformpotentialwitnesseswhoarenotnow
presentinthecourtroomoftheirobligationsundertherule.
(Itisalsorecommendedthat,aswitnessesleavethewitnessstandupon
completionoftheirtestimony,theyberemindedthattheyarenottodiscusstheir
testimonywithanyotherwitnessuntilthetrialiscompleted.)
TheabovemodelissetforthinGreyhoundLines,319NLRB554,554(1995).Formore
detailsonseparating,excluding,orsequesteringwitnesses,seeCHAPTER10,Sequestration
Order,below.
NOTE:AshortenedversionoftheGreyhoundorderissetforthbelow.
Asequestrationorderisbeingissuedinthisproceeding.Thismeansthatall
personswhoexpecttobecalledaswitnessesinthisproceeding,otherthanaperson
designatedasessentialtothepresentationofapartyscase,willberequiredtoremain
outsidethecourtroomwhenevertestimonyorotherproceedingsaretakingplace.
Alimitedexceptionappliestowitnesseswhoareallegeddiscriminateesinthis
matter.Theymaybepresentinthecourtroomatalltimes,otherthanwhenwitnessesfor
theGeneralCounselorachargingpartyaregivingtestimonyaboutthesameevents
aboutwhichtheallegeddiscriminateesexpecttotestify.
Thesequestrationorderalsoprohibitsallwitnessesfromdiscussingwithanyother
witnessoranypossiblewitnessthetestimonyhe/shehasalreadygivenorwillgive.
Likewise,counselforapartymaynotdisclosetoanywitnessthetestimonyofanyother
witness.Counselmay,however,informhis/herownwitnessofthecontentoftestimony
givenbyanyopposingpartyswitnesstopreparetorebutthatwitnesstestimony.
Itistheresponsibilityofcounseltoseethattheyandtheirwitnessescomplywith
thissequestrationrule.
NOTE:Thejudgemaywanttoaskifthereisapersonessentialtothepresentationofany
partyscause,tobedesignatedtoremaininthecourtroomduringthetrial.
1400
AdministrationofOath
Examinationisunderoath.BoardsRules,Section102.30.Theoathshouldbe
administeredtowitnessesinamannercalculatedtoimpressthemwiththeimportanceand
solemnityoftheirpromisetoadheretothetruth.Eachwitnessshouldbeswornseparatelyand
impressively.
Anaffirmationinsteadofanoathisacceptable.FRCPRule43(d).Ifawitnessrefusesto
swearoraffirmonthebasisofreligiousconviction,anyformulaofwordsthatcanreasonablybe
construedasapromiseorundertakingtotestifytruthfullywillsuffice.SeeSilverStateDisposal
Service,326NLRB84,98100(1998)andUnionStarch&RefiningCo.,82NLRB495,496
(1949).
1410
WitnessOath
Doyousolemnlyswearthatyourtestimonyatthistrialwillbethetruth,thewhole
truth,andnothingbutthetruth,sohelpyouGod?
Pleasebeseatedandgiveyournameandaddresstothecourtreporter.
(Ifneededforaccuracyoftranscript:)Howdoyouspellyourname(oryourfirstor
lastname)?
Foraffirmation:Doyousolemnlyaffirmthatyouwilltestifytruthfullyatthistrial?
1420
Interpreter'sOath
DoyousolemnlyswearthatyouarefluentinbothEnglishand__________
[foreignlanguage]andthatyouwillfaithfullyandtruly,tothebestofyourskill,knowledge,
andability,translatefromEnglishto__________[foreignlanguage]andfrom
__________[foreignlanguage]toEnglishwhencalledupontodosoduringthetrial,so
helpyouGod?
CHAPTER2.ADMINISTRATIVELAWJUDGE
2100
Designation
BoardsRules,Section102.15,statesthatthecomplaintshallcontainanoticeofhearing
beforeanadministrativelawjudge.TheStatementsofProcedure,Section101.10(a),statesthat
adesignatedadministrativelawjudgepresidesoverthehearing.
TheadministrativelawjudgeisdesignatedbytheChiefJudgeorDeputyorAssociate
ChiefJudgeinWashington,orbytheAssociateChiefJudgeinSanFrancisco,NewYork,or
Atlanta,asthecasemaybe.BoardsRules,Section102.34.Thedesignationisamatterfor
administrativedeterminationbytheBoardwithwhichthepartieshavenoconcern.EastTexas
SteelCastingsCo.,116NLRB1336,1337(1956),enfd.255F.2d284(5thCir.1958).
2200
2210
ExParteCommunications
BasicProhibition
Oncedesignated,thejudgeisprohibitedfromexpartecommunicationwithanyofthe
partiestotheproceeding.BoardsRules,Sections102.126and102.128(e).Norshallanyperson
knowinglyandwillfullysolicitthemakingofanunauthorizedexpartecommunicationbyany
otherperson.BoardsRules,Section102.131.
Anexpartecommunicationisanyoralorwrittencommunicationnotonthepublicrecord
[about]whichreasonablepriornoticetoallpartiesisnotgiven.BoardsRules,Sections
102.127(b)and102.129.Theprohibitioncontinuesuntiltheissuesarefinallyresolvedbythe
Board.Section102.128.
Evencommunicationswiththejudgeregardinginadvertenterrorsinajudgesdecision
maybeconsideredimproperiftheerrorsaresubstantive.SeeWilcoBusinessForms,280
NLRB1336,1336fn.2(1986) (representativeoftheGeneralCounselnotifiedanAssociate
ChiefJudgeoftheomissionoftwoemployeesnamesfromthedecisionslistoflaidoff
employees,promptingthedecidingjudgetoissueanerrataaddingthenames).Seealso
TodaysMan,263NLRB332,333fn.3(1982)(BoardsExecutiveSecretarytreatedasa
prohibitedexpartecommunicationaletterfromtherespondentscounseltothejudge,requesting
deletionofcertainlanguagefromthejudgesdecision).
2220
ExceptionstoBasicProhibition
Obviously,noteveryofftherecordcommunicationbetweenthejudgeandthepartiesis
prohibited,becauseotherwisethejudgecouldnotperformsomeofthedutiesassignedby
BoardsRules,Section102.35(a).See2300,DutiesofAdministrativeLawJudges,below.
Section102.130listsanumberofexpartecommunicationsthatarenotprohibited.These
exceptionsinclude:
Communicationsofmattersthatajudgeisauthorizedtohandleexparte.BoardsRules,
Section102.31(a),states,Applicationsforsubpoenamaybemadeexparte.Thus,apartymay
submitanapplicationtoajudgeoutsidethepresenceofotherpartiesand,further,withoutservice
onthemofacopyoftheapplication.SeeBlakeConstructionCo.,245NLRB630,630fn.1
(1979),enfd.inpart663F.2d272(D.C.Cir.1981).
Communicationsforinformationregardingstatusofcase.BoardsRules,Section
102.130(b).Thisincludes,forexample,callstoapartytoascertainifthetrial,infact,maybeas
longorshortasestimated.InCareManorofFarmington,314NLRB248,248fn.2(1994),the
BoardheldthatthisandtheprecedingexemptionofSection102.130(a)permittedajudgescall
tocounselfortheGeneralCounseltoadvisethat[thejudge]wouldbepresidingandtorequest
thatcounselnotifytherespondentscounselofthatfact.TheBoardspecificallynotedthe
absenceofevidencethataprohibitedtopicwasdiscussedorthatsomeotherprohibitedconduct
occurredduringthatcall.
Communicationstowhichallpartiesagree,oronwhichthejudgeformallyrules,maybe
madeexparte.BoardsRules,Section102.130(c).Thisincludes,forexample,ajudges
settlementconversationwithcounselfortheGeneralCounselthathadoccurredwiththe
knowledgeoftheRespondentsandontheheelsofadiscussionamongallofthepartiesanddid
notinanywayinvolve[]themeritsofthecomplaintallegations.SanfordHomeforAdults,253
NLRB1132,1132fn.1(1981),enfd.669F.2d35(2dCir.1981).
Communicationsproposingsettlementoragreementfordispositionofanyorallissues
maybemadeexparte.BoardsRules,Section102.130(d).Forexample,itisnotimproperforthe
judgetryingacasetodiscusssettlementofferswithallegeddiscriminatees,SumoAirlines,317
NLRB383,383fn.1(1995),nortoinquireaboutparticularremediesthatapartywoulddemand
orforgotoreachsettlement,SanfordHomeforAdults,above,aslongastherewasno
discussionaboutthemeritsofthecomplaintsallegations.
Communicationsbetweenthejudgeandacolleagueconcerningproceduralmattersmay
bemadeexparte.Itisnotaprohibitedexpartecommunicationforajudgetoconsultwitha
colleagueconcerningproceduralmatterspertainingtoacasependingbeforetheconsulting
judge.PioneerHotel,Inc.v.NLRB,182F.3d939,943944(D.C.Cir.1999).
2230
ProcedureWhenProhibitedCommunicationReceived
Ifthecommunicationisoral,thejudgeshouldrefusetolisten,informthecommunicatorof
theprohibitionandadvisethecommunicatortoputwhatheorshehastosayinwriting,with
copiestoallparties.Ifthecommunicationwascompleted,thejudgeshouldpreparea
memorandumstatingitssubstanceandplaceitonthepublicrecordoftheproceeding,Boards
Rules,Section102.132(a),withcopiestobeservedonallotherpartiestotheproceedingandon
theattorneysofrecordfortheparties.BoardsRules,Section102.132(b).
Ifthecommunicationiswritten,thejudgeshouldplaceitonthepublicrecordofthe
proceeding,BoardsRules,Section102.132(a),withcopiestobeservedonallotherpartiesto
theproceedingandontheattorneysofrecordfortheparties.Section102.132(b).
Inbothofthosesituations,partieshave14daysaftermailingofthecopies,tofilewiththe
judgeandserveonallotherparties,astatementsettingforthfactsorconclusionstorebutthose
containedintheprohibitedcommunication,afterwhichtheresponsesshallbeplacedinthe
publicrecordoftheproceeding,andprovisionmadeforanyfurtheraction,includingreopeningof
therecordwhichmayberequiredunderthecircumstances.BoardsRules,Section102.132(b).
Itisnotclearwhatstepsshouldnextbetakenbythejudge.BoardRules,Section
102.133(a),doesprovidethatwhenthenatureandcircumstancesofaprohibitedcommunication
8
...aresuchthattheinterestsofjusticeandstatutorypolicymayrequireremedialaction,the
Board,administrativelawjudge,orRegionalDirector,asthecasemaybe,mayissuetotheparty
makingthecommunicationanoticetoshowcause,returnablebeforetheBoardwithinastated
periodofnotlessthan7daysfromthedate...whytheBoardshouldnotdeterminethatthe
interestsofjusticeandstatutorypolicyrequirethattheclaimorinterestintheproceedingofa
partywhoknowinglymakesaprohibitedcommunicationorknowinglycausesaprohibited
communicationtobemadeshouldbedismissed,denied,disregarded,orotherwiseadversely
affectedonaccountof[the]violation.SucceedingsubsectionsofSection102.133setforth
actionstobetakenbytheBoard,butmakenoprovisionforfurtheractionbyajudgewhoissues
thenoticetoshowcause.
2300
DutiesofAdministrativeLawJudges
Theadministrativelawjudgesbasicdutyistoinquirefullyintothefacts...whetherthe
Respondenthasengagedinorisengaginginanunfairlaborpracticeaffectingcommerceasset
forthinthecomplaintoramendedcomplaint.BoardsRules,Section102.35(a).SeeHall
Industries,293NLRB785,785fn.1(1989),enfd.mem.914F.2d244(3dCir.1990).Obviously,
thisdutyisprimarilyaccomplishedbypresid[ing]overthe[trial].StatementsofProcedure,
Section101.10.Indoingso,thejudgeisresponsiblefor(1)courtroomadministration,Litekyv.
U.S.,510U.S.540,555556(1994),(2)attemptingtomovethetrialalongwithoutunnecessary
delay,U.S.v.GonzalezSoberal,109F.3d64,73(1stCir.1997)thoughnotbysacrificing
strictimpartiality,U.S.v.Saenz,134F.3d697,702(5thCir.1998),and(3)prevent[ing]
improprietiesduringthetrial,U.S.v.Warner,971F.2d1189,1197(6thCir.1992).Regarding
courtroomadministration,thejudgeisthegovernorofthetrialforthepurposesofassuringits
properconduct.Querciav.U.S.,289U.S.466,469(1933).
SpecificauthorityconferreduponadministrativelawjudgesbytheBoardisenumeratedin
BoardsRules,Section102.35(a)(1)(a)(13).Someofthatauthorityisdiscussedfurtherbelow.
Toregulatethecourseofthetrial.BoardsRules,Section102.35(a)(6).Participationof
partiesduringtrialsshallbelimitedtotheextentpermittedbytheadministrativelawjudge,
BoardsRules,Section102.38.Itisappropriatealsoforthe[judge]todirectthe[trial]sothatit
maybeconfinedtomaterialissuesandconductedwithallexpeditiousnessconsonantwithdue
process(footnoteomitted).IndianapolisGloveCo.,88NLRB986,987(1950).Towardthat
end,[i]ntheconductingofa[trial]thequestionofwhethercertainlinesofinquiryorresponsesof
witnessesshouldbecurtailedrestswithinthesounddiscretionofthejudge.AmericanLife
InsuranceandAccidentCo.,123NLRB529,530(1959).
SeealsoFRE611(a)(Thecourtshallexercisereasonablecontroloverthemodeand
orderofinterrogatingwitnessesandpresentingevidencesoasto(1)maketheinterrogationand
presentationeffectivefortheascertainmentoftruth,(2)avoidneedlessconsumptionoftime,and
(3)protectwitnessesfromharassmentorundueinfluence).
Thejudgesauthoritytoexpeditetrials,however,mustnotbeexercisedtotheextentthat
itlimit[s]eitherpartyinthefulldevelopmentofitscase.IndianapolisGloveCo.,above,88
NLRBat987.SeealsoAmericanLifeInsuranceandAccident.Co.,above,123NLRBat530.
Thus,ajudgemaynotcutofflinesofinquiryandlimit[]theresponseofwitnessestosuchan
extentthatthedevelopmentofthecasemayhavebeenhampered(footnoteomitted),Better
MonkeyGripCo.,113NLRB938,940(1955),ortoanextentthatprecludesafair
determinationofthemeritsofpartiescases,DaytonPower&LightCo.,267NLRB202,202
(1983).SeealsoBoetticher&KelloggCo.,137NLRB1392,1392fn.1,13981399(1962)
(BoardheldthatthejudgeerredbyrefusingtopermitrespondenttocrossexamineaGeneral
9
Counselwitnessbecauserespondentrefusedjudgesdirectiontoconductcrossexamination
beforethechargingpartyunionhadquestionedthewitness).
Inpropercircumstances,however,thejudgemayplacetimelimitsonapartys
presentationofitscase.Dickens,Inc.,355NLRBNo.44,slipop.at4(2010)University
MedicalCenter,335NLRB1318,1318fn.1,1343(2001),enfd.inpart335F.3d1079(D.C.Cir.
2003)andTeamstersLocal122(AugustA.Busch&Co.ofMassachusetts),334NLRB
1190,1193,and1255(2001)(alsoorderinglitigationcostsfordelayingtrial).Seealso13102,
TautRecord,below.
Ifappropriateornecessarytoexcludepersonsorcounselfromthetrialforcontemptuous
conduct.BoardsRules,Section102.35(a)(6).AlthoughSection102.38providesthatAnyperson
shallhavetherighttoappearat[thetrial]inperson,bycounsel,orbyotherrepresentative,the
rightofpartiesandcounseltoappearattrialsisnotunlimited.
Aspointedoutabove,judgesareresponsibleforcourtroomadministration,Litekyv.
U.S.,above,andoneaspectofthatresponsibilityisprevent[ing]improprietiesduringthetrial.
U.S.v.Warner,971F.2d1189,1197(6thCir.1992).Toensureafairtrial,thetrialjudgehasa
dutytorequireallcounsel...toabidebytheorderssheissuedandtoadheretotherulesof
evidenceandprocedure.U.S.v.Logan,998F.2d1025,1029(D.C.Cir.1993),cert.denied510
U.S.1000(1993).BoardsRules,Section102.177(a),providesthat,Misconductatany[trial]
beforeanadministrativelawjudge...shallbegroundforsummaryexclusionfromthe[trial].In
takingthisstep,however,thejudgeshouldcarefullyexplicatethereasonsforexclusion.See
GreatLakesScrewCorp.v.NLRB,409F.2d375,378381(7thCir.1969).Seealso7510,
ExclusionofCounsel,below.
Tomakeandfiledecisions.After[trial]forthepurposeoftakingevidenceupona
complaint,theadministrativelawjudgeshallprepareadecision.BoardsRules,Section
102.45(a).SeealsoStatementsofProcedure,Section101.11(a).Thus,althoughallpartiescan
agreetostipulatetherecordforadecision,waivingtrialbeforeanadministrativelawjudge,a
judgecannotgrantonlyonepartysmotiontotransferacasedirectlytotheBoardfordecision.
See MachinistsLodge1129(SunbeamApplianceCo.),216NLRB630,630(1975).
BoardsRules,Section102.45(a),requiresthatdecisionscontainfindingsoffact,
conclusions,andthereasonsorbasis[forthem],uponallmaterialissuesoffact,law,or
discretionpresentedontherecord,andshallcontainrecommendations[on]whatdispositionof
thecaseshouldbemade.SeealsoStatementsofProcedure,Section101.11(a).Decisions
whichfailtomakespecificfactualfindingsregardingissuesraisedbycomplaints,andwhichfail
toincludeanalysisofcontentions,donotsatisfytheobligationsimposedonjudgesandmaybe
remanded.SeeWebbFurnitureEnterprises,272NLRB312,312(1984).
Indecisions,judgesmustapplyestablishedBoardprecedentwhichtheSupremeCourt
hasnotreversed(citationomitted),leavingfortheBoard,notthejudge,todeterminewhether
thatprecedentshouldbevaried.Waco,Inc.,273NLRB746,749fn.14(1984).Accord:
PathmarkStores,Inc.,324NLRB378,378fn.1(2004).Seealso11300,BindingPrecedent,
JudgeRequiredtoFollow,below.
Afteradecisionissues,thejudgemayissueanerratum.DanielConstructionCo.,239
NLRB1335,1335fn.2(1979),enfd.mem.634F.2d621(4thCir.1980),cert.denied450U.S.
918(1981).But,anerratummaynotbeusedasameansformakingsubstantivechangesina
decision.Under[BoardsRules]Secs.102.35and102.45...[the]judgeisauthorizedtoissue
postdecisionalerratatocorrectmaterialtypographicalerrors,butnottochangemattersof
10
substance,suchasfindingsonthemerits.WilcoBusinessForms,280NLRB1336,1336fn.2
(1986).Aspointedoutinthatfootnote,inadditiontotypographicalerrors,anerratummaybe
utilizedtocorrectobviousomissions,butonlyonesexplicitlyencompassedbywhathasbeen
saidinthedecision,suchascorrectinganoticesothatitconformstotheremedyand
recommendedorder.Anerratummaynotbeutilizedtoaddnamesofdiscriminateeswhowere
nevermentionedinthedecision.Forthosechanges,partiesshouldseekcorrection...either
throughexceptions...orbymotionstotheBoard.
Tocall,examine,andcrossexaminewitnessesandtointroducedocumentaryandother
evidence.BoardsRules,Section102.35(a)(11).ThissectioncorrespondstoFRE614andhas
generallybeenappliedconsistentlytherewith.Thus,ajudgesdecisiontoquestionwitnesses,or
eventocallwitnesses,isnotimproper.HallIndustries,293NLRB785,785fn.1(1989),enfd.
mem.914F.2d244(3dCir.1990). Judgesmaydosorepeatedlyandaggressivelytoclearup
confusionandmanagetrials,orwhentestimonyisinarticulatelyorreluctantlygiven.U.S.v.
Tilghman,134F.3d414,416(D.C.Cir.1998),quotingfromU.S.v.Norris,873F.2d1519,
15251526(D.C.Cir.1989),cert.denied493U.S.835(1989).SeealsoTeamstersLocal722
(KasperTrucking),314NLRB1016,1017(1994),enfd.mem.57F.3d1073(7thCir.1995)and
U.S.v.Filani,74F.3d378,386(2dCir.1996)(discussingjudgesroleinclarifyingambiguities,
correctingmisstatements,orobtaininginformationneededtomakerulings).Judgesarenot
requiredtowithholdtheirquestioninguntilthepartieshavefinishedexaminingwitnessesrather,
judgesmayinterruptquestioning...toclarifytestimonyor...developacompleteand
integratedrecord.TeamstersLocal722(KasperTrucking),above.
Evenso,discretiontoexaminewitnessesandtointroduceevidenceisnotunlimited.See
U.S.v.GonzalezSoberal,109F.3d64,72(1stCir.1997).Thejudgemustrefrainfrom
impeachingorfromexaminingwitnessestotheextentthathetakesoutofthehandsofeither
partythedevelopmentofitscase(footnoteomitted),IndianapolisGloveCo.,88NLRB986,
987(1950),fromappearingtoassumetheroleofanadvocateinattemptingtoimpeach
[witnesses]priortestimony(footnoteomitted),BetterMonkeyGripCo.,113NLRB938,939
(1955),andingeneralfromslanting,asopposedtoclarifying,therecord.SeeNLRBv.Honaker
Mills,789F.2d262,265(4thCir.1986).
Thejudgesfailuretoaskquestionsofapartywitnessisgenerallynotgroundsfor
reversal.SeeAdvocateSouthSuburbanHospitalv.NLRB,468F.3d1038,1048(7thCir.
2006) ([I]nanadversarylegalsystemitisgenerallytheattorneysdutytoprovidespecific
testimony.[A]nadvocatecannotpalmoffontheALJitsapparentfailuretoproperlyquestion[the
witness]).
2400
Trials
Anypartyshallhavetherighttoappearat[thetrial]inperson,bycounsel,orbyother
representative,tocall,examine,andcrossexaminewitnessesandtointroduceintotherecord
documentaryorotherevidence,BoardsRules,Section102.38.SeealsoStatementsof
Procedure,Section101.10(a).
Publictrials.Section102.34oftheBoardsRulesprovidesthatourhearingsshallbe
publicunlessotherwiseorderedbytheBoardortheadministrativelawjudge.TheBoards
StatementsofProcedure,Section101.10(a)provides:Exceptinextraordinarysituationsthe
[trial]isopentothepublic.
Unrepresentedparties.TheActprovidesnoauthoritytoprovidecounselforlitigants
beforetheBoard.GoldenHoursConvalescentHospitals,200NLRB279,280fn.5(1972).
11
Moreover,thejudgeshouldnotactasadvocateofthosewhoappearwithoutrepresentation,
becausetodosowouldseriouslyerode[thejudges]neutralpositionatthe[trial].AirTransport
Equipment,190NLRB377,377fn.2(1971),enfd.mem.486F.2d1394(2dCir.1972).An
unrepresentedpartymustcomplywithrelevantrulesofproceduralandsubstantivelaw,Faretta
v.California,422U.S.806,834fn.46(1975),andhasnoconstitutionalrighttoreceivepersonal
instructionfromthetrialjudgeoncourtroomprocedure.McKasklev.Wiggins,465U.S.168,
183184(1984).Seealso7110,RespondentNotRepresentedbyCounsel,below.
InterventionatTrial.Apersonseekingtointerveneshallfileamotioninwritingor,ifmade
atthe[trial],maymoveorallyontherecord,statingthegroundsuponwhich[the]personclaims
aninterest,andmaybepermittedtointerveneinpersonorbycounselorotherrepresentativeto
[the]extentanduponsuchtermsas[theRegionalDirectororadministrativelawjudge,depending
onwhetherthemotionwasmadebeforeorduringtrial]maydeemproper.BoardsRules,
Section102.29.See7400,InterventionatTrial,below.
Rulesofevidence.Any[unfairlaborpractice]proceedingshall,sofaraspracticable,be
conductedinaccordancewiththerulesofevidenceapplicableinthedistrictcourtsoftheUnited
StatesundertherulesofcivilprocedureforthedistrictcourtsoftheUnitedStates,adoptedbythe
SupremeCourtoftheUnitedStatespursuanttosection2072oftitle28,U.S.Code[section2072
oftitle28].Section10(b)oftheAct.ThatprovisionisessentiallyrestatedinBoardsRules,
Section102.39,andinStatementsofProcedure,Section101.10(a).Thisisanareacoveredin
greaterdepthinCHAPTER13,Evidence,below.
NOTE:BoardsRules,Section102.39,statesthatdocumentaryevidenceshallbe
submittedinduplicate.
Oralargumentsandbriefs.Anypartyshallbeentitled,uponrequest,toareasonable
periodatthecloseofthe[trial]fororalargument,butitiswithinthediscretionofthe...judge
toallowbriefsorproposedfindingsandconclusions,orbothtobefiled.BoardsRules,Section
102.42.UnderBoardsRules,Section102.42,however,Inanycaseinwhichthe...judge
believesthatwrittenbriefsorproposedfindingsoffactandconclusionsmaynotbenecessary,he
orsheshallnotifythepartiesattheopeningofthe[trial]orassoonthereafteraspracticablethat
heorshemaywishtohearoralargumentinlieuofbriefs.Underthatsection,thejudgehas
discretiontofixareasonabletimeforbriefstobefiled,butnot[morethan]35daysfromthe
closeofthe[trial].Whethertopermitthepartiestofileposthearingbriefsisamattercommitted
tothesounddiscretionoftheadministrativelawjudge. K.O.SteelFoundry&Machine,340
NLRB1295(2003).SeealsoCHAPTER12,OralArgument,Briefs,JudgesDecisions,below.
2500
2510
DisqualificationofJudge
GroundsAssertedforDisqualification
Thefunctionsofalladministrativelawjudges...areconductedinanimpartialmanner,
StatementsofProcedure,Section101.10(b).Themostcommonlyadvancedgroundfor
disqualificationisthejudgespersonalbias.TheFourthCircuitheldinEldeco,Inc.v.NLRB,132
F.3d1007,1010(4thCir.1997),however,thatacontentionthatapproximately89%ofan
administrativelawjudgesdecisionsinthelast20yearswereinfavoroftheUnion,thereby
indicatingabiasinfavoroflaborunions,isirrelevantindeterminingbias.Itciteditsearlier
decision,FieldcrestCannon,Inc.v.NLRB,97F.3d65,69(4thCir.1996),whichheldthistype
ofstatisticalargumentisirrelevantbecauseinrealityittellsuslittleornothing.
12
Thetermsbiasandprejudicecanalsobeappliedwhenajudgesconduct,forwhatever
reason,precludesafairdeterminationofthemerits,DaytonPower&LightCo.,267NLRB
202,203(1983),prejudicingnotonlythepartyaffected,butalsothebasicobjectiveofinquir[ing]
fullyintothefacts.HallIndustries,293NLRB785,785fn.1(1989),enfd.mem.914F.2d244
(3dCir.1990).Beyondthat,proceedingsshouldbefreefromanyappearance[emphasisadded]
ofpartialityorbias.EngineersBeneficialAssn.District1(CrestTankers),274NLRB1481,
1482fn.5(1985).
Ingeneral,thetermsbiasandprejudiceconnoteafavorableorunfavorabledispositionor
opinionthatissomehowwrongfulorinappropriate,eitherbecauseitisundeserved,orbecauseit
restsuponknowledgethatthesubjectoughtnottopossess...orbecauseitisexcessivein
degree.Litekyv.U.S.,510U.S.540,550(1994).Thus,astheCourtexplained,thosetermsare
notconfinedtoopinionsreachedonthebasisofextrajudicialsources,510U.S.at554,butcan
bebaseduponfavorableorunfavorablepredispositionwhicheventhoughitspringsfromthe
factsadducedortheeventsoccurringattrial,itissoextremeastodisplayclearinabilitytorender
fairjudgment.510U.S.at551.Inreachingadeterminationinthoseareas,aseriesoffactors
havebeenscrutinized:
Formerrepresentationofaparty.FormerserviceonthestaffoftheGeneralCounsels
officeisnotgroundsfordisqualification.Heads&ThreadsCo.,261NLRB800,800fn.1(1982),
enfd.inpart724F.2d282(2dCir.1983).Nor,forthatmatter,ispastrepresentationofanother
party,atleastifthatrepresentationwasrelativelyremoteintime.CentenoSuperMarkets,220
NLRB1151,1151fn.1(1975),enfd.555F.2d442(5thCir.1977),cert.denied434U.S.1064
(1978)(8or9yearshadpassedbytimeoftrial).And,somewhatrelated,itisnotgroundsfor
disqualificationthattheadministrativelawjudgeisemployedbytheBoardwhich...also
employsthestaffoftheGeneralCounselprosecutingthecase.MoneyRadio,297NLRB705,
705706(1990).
Priorrulingagainstparty.Ajudgeisnotdisqualifiedfrompresidingovertheremandofa
caseinwhichthesamejudgepreviouslyruledagainstarespondent.Accordingly,thejudgedid
noterrinrefusingtorecusehimselfsimplybecausehehadruledagainstrespondents
predecessorinanunrelatedcase.WaterburyHotelManagementv.NLRB,314F.3d645,650
651(D.C.Cir.2003).Butadherencetoanerroneousruling,afteraninitialremand,and
allegationsjudgeshowedirritationandimpatience,werefoundtowarrantasecondremand,
thistimetoanotherjudge,toremoveanysuggestionofbiasorprejudice.St.MarysNursing
Home,342NLRB979,980fn.6(2004),secondremanddecisionaffd.240Fed.Appx.8,10,12
13(6thCir.2007).
Criticismsofcounsel,parties,orwitnesses.Althoughjudicialremarksduringthecourse
ofatrialthatarecriticalordisapprovingof,orevenhostileto,counsel,theparties,ortheircases,
ordinarilydonotsupportabiasorpartialitychallenge,thecriticismsmaydosoiftheyrevealan
opinionthatderivesfromanextrajudicialsourceandtheywilldosoiftheyrevealsuchahigh
degreeoffavoritismorantagonismastomakefairjudgmentimpossible.Litekyv.U.S.,510U.S.
540,555(1994).
Forexample,noprejudiceisshownbycommentsrebuk[ing]counselforimproper
behavior(citationomitted),U.S.v.Logan,998F.2d1025,1029(D.C.Cir.1993),cert.denied
510U.S.1000(1993),norevennecessarilyforremarksandbehavior[that]couldwellbe
interpretedasdisparagingtheGeneralCounselandtheUnion.WeatherShieldMfg.,292NLRB
1,1fn.3(1988),enf.denied890F.2d52(7thCir.1989).Forthatmatter,biaswasnotshownby
certainremarksmadebythejudgeinanunrelatedpriorproceedingduringwhichthejudgehad
13
questionedcounselsprofessionalintegrity.MerillatIndustries,307NLRB1301,13011302
(1992).
Ontheotherhand,theBoardconcludedthatdisqualificationforbiaswaswarrantedby
commentsthatimpugnedthegoodfaithof[aparty]andquestionedwhethertheGeneral
CounselandtheChargingPartywereabusingtheBoardsprocesses,NewYorkTimesCo.,
265NLRB353,353(1982),aswellasbyseriousaccusationsandhostiletonedirectedtoone
counsel,includingtheaccusationthatcounselwouldbesuborningperjuryifheaskedcertain
questions.ReadingAnthraciteCo.,273NLRB1502,1502(1985).TheBoardhascautioneda
judgeagainstmakingintemperatecommentsaboutawitnessandcounselfortheGeneral
Counsel,toavoidgivingeventheappearanceofbias,whichmightcompromisetheintegrityof
theBoardsdecisionmakingprocess.VictorsCaf52,Inc.,338NLRB753,756757(2002).
ReferralofEvidenceofAttorneyMisconductunderSection102.177oftheBoardsRules.
Judicialreferralorreportingofevidenceofattorneymisconducttodisciplinaryauthoritiesis
generallynotgroundsforrecusalordisqualification.SeeU.S.v.Mendoza,468F.3d1256,1262
(10thCir.2006)andConklinv.Warrington,476F.Supp.2d458,464(M.D.Pa.2007),affd.in
relevantpart304Fed.Appx.115(3dCir.2008)(unpublished).
Commentsaboutthemeritsandaboutevidencepresented.Ajudgesopinions,formed
onthebasisoffactsintroducedoreventsoccurringinthecourseofthecurrentproceedings,or
ofpriorproceedings,donotconstituteabasisforabiasorpartialitymotionunlesstheydisplaya
deepseatedfavoritismorantagonismthatwouldmakefairjudgmentimpossible.Litekyv.U.S.,
510U.S.540,555(1994).Thus,althoughtheBoardhascautionedjudgesthatitisboth
advisableandprudenttorefrainbothonandofftherecordfrommakingunnecessaryremarks
orcommentstopartiesconcerningthemeritsoftheircases,AerosonicInstrumentCorp.,116
NLRB1502,1503(1956),ithasnotviewedasimpropereitheropinionsexpressedbyjudges
aboutaparticulardefense,afterallevidencehasbeenreceived,TeamstersLocal722(Kasper
Trucking),314NLRB1016,1018(1994),enfd.mem.57F.3d1073(7thCir.1995),oropinions
regardingtheultimatemeritsofthecase...inthecontextofsuggestingthepossibilityof
settlement.RotoRooter,288NLRB1025,1025fn.2(1988).
Forthatmatter,theBoardconcludedtherewasnobiasshownbycommentsconcerning
testimonywhichwasevasive,unresponsive,andcircumlocutory,althoughitpointedoutthatthe
commentswouldhavebetterbeenleftunsaid.AmericanLifeInsuranceandAccidentCo.,
123NLRB529,530(1959).Ajudgesremarksthatconstitutemereexpressionsofapointoflaw
arenotsufficienttoshowpersonalbiasorprejudice.NLRBv.HonakerMills,789F.2d262,265
(4thCir.1986).
Ontheotherhand,biaswasshownwhenthejudgeexpressedhisviewthatsome
allegations...didnotconstituteunfairlaborpracticesand,accordingly,intendedtopreclude
introductionofanyevidencetosupport[the]allegations.CenterforUnitedLaborAction,209
NLRB814,814815(1974).SeealsoDaytonPower&LightCo.,267NLRB202,202203
(1983).Biaswasalsoshownbyajudgesstatementsthroughoutthe[trial]creatingthe
impressionthathehadprejudgedtheultimateissueinthecase.ReadingAnthraciteCo.,273
NLRB1502,1502(1985).
Rulings.[J]udicialrulingsalonealmostneverconstitutevalidbasisforabiasorpartiality
motion...andcanonlyintherarestcircumstancesevidencethedegreeoffavoritismor
antagonismrequired...whennoextrajudicialsourceisinvolved.Litekyv.U.S.,510U.S.540,
555(1994).Forexample,nobiaswasshownwhen,beforemakingevidentiaryrulings,thejudge
sometimesaskedhowapartyscasewouldbeprejudicedifitsobjectionwasoverruled,andthe
14
judgetoldthepartiesthatafairapplicationoftherulesofevidencemayattimesturnonwhether
...thecaseofthepartyopposingintroductionofevidencewouldbeprejudicedwerethe
evidencereceived.BlakeConstructionCo.,245NLRB630,630fn.1(1979),enfd.inpart663
F.2d272(D.C.Cir.1981).SeealsoBethlehemTempleLearningCenter,Inc.,330NLRB1177,
1177fn.1and11821183(2000).
Participationinquestioningwitnesses.Assetforthin2300,DutiesofAdministrative
LawJudges,above,administrativelawjudgespossessauthoritytoexamineandcrossexamine,
aswellascall,witnesses.Asalsopointedout,therearelimitstothatauthority,andprejudicemay
befoundwhenthoselimitsareexceeded.
Suggestionstocounselregardinghowtoproceed.Ithasbeenheldimproperforajudge
tosuggestthatcounselmaintainareasonablymilitantposture[regarding]therelevancyof...
material.ReadingAnthraciteCo.,273NLRB1502,1502(1985).Evenso,theBoardhasnot
foundbiaswhenthejudgesuggestedtocounselalineofquestioningthatthejudgemighthave
accomplished...throughhisownquestioning.TeamstersLocal722(KasperTrucking),314
NLRB1016,1017(1994),enfd.mem.57F.3d1073(7thCir.1995).
Gratuitousandofftherecordremarks.Ajudgemakingsuchremarks,ofitself,doesnot
necessarilyestablishprejudice.Becauseofthepotentialforanappearanceofpartialityand
accusationsofbias,however,theBoardhascautionedagainstgratuitousremarks.Better
MonkeyGripCo.,113NLRB938,940(1955)andTeamstersLocal777(CrownMetal),145
NLRB197,198fn.4(1963),enfd.340F.2d905(7thCir.1964).Ithasalsocautionedagainstoff
therecordremarks.AerosonicInstrumentCorp.,116NLRB1502,1503(1956)(unnecessary
remarksorcommentstotheparties[offtherecord]concerningthemeritsoftheircases)and
ThermoidCo.,90NLRB614,614fn.2(1950)(duringarecessofferingsuggestionsintrial
tacticstocounsel).
Effortstoexpeditetrial.Ajudgeseffortsatcourtroomadministrationevenasternand
shorttemperedjudgesordinaryeffortsatcourtroomadministrationremainimmunefrom
accusationsofprejudice.Litekyv.U.S.,510U.S.540,555556(1994).Evenso,theefforts
cannotbesoextremethattheylimiteitherpartyinthefulldevelopmentofitscase.Indianapolis
GloveCo.,88NLRB986,987(1950).Forexample,althoughcertainlinesofinquiryor
responsesofwitnesses[can]becurtailed,AmericanLifeInsuranceandAccidentCo.,123
NLRB529,530(1959),inattemptingtomovethetrialalongwithoutunnecessarydelay,U.S.v.
GonzalezSoberal,109F.3d64,73(1stCir.1997),judgesmaynotintheprocesspreclude
partiesfrompresentingevidencethatwillallowafairdeterminationoftheissues.Dayton
Power&LightCo.,267NLRB202,202(1983)andCenterforUnitedLaborAction,209
NLRB814,814815(1974).Doingsomaynotleadtodisqualification,butitsurelywillresultin
remandforfurthertrial.See,forexample,discussionofSt.MarysNursingHome,above.
Copyingfrombriefs.Althoughitisnotpersedisqualifyingforajudgetoadoptonesides
posthearingbrief,moreorlessverbatim,thepracticeisfrownedupon.WaterburyHotel
Managementv.NLRB,314F.3d645,650651(D.C.Cir.2003)FairfieldTowerCondominium
Assn.,343NLRB923,923fn.1(2004).However,whereajudge,whohadpreviouslybeen
warnedagainstverbatimcopyingofbriefsoftheGeneralCounselandtheChargingParty,didso
again,theBoardfoundthatthejudgesdecisioncreatedtheimpressionthathewasnotimpartial
andthejudgehadfailedtoconductanindependentanalysisofthecasesunderlyingfactsand
legalissues.TheBoardthereforesetasidethejudgesdecisionandremandedthecasetoa
newjudgeforanindependentreviewoftherecordandpreparationofanewdecision.Dish
NetworkServiceCorp.,345NLRB1071(2005).SeealsoJ.J.CassoneBakery,345NLRB
1305(2005)and12300,PostTrialBriefs,below.
15
2520
DisqualificationProcedure
Anadministrativelawjudgemaywithdrawfromaproceedingwheneverhedeems
himselfdisqualified,andpartiescanrequestthatajudgewithdrawatanytimefollowinghis
designationandbeforefilingofhisdecision.BoardsRules,Section102.37.Seealso
StatementsofProcedure,Section101.10(b).Thismeansthatiftheasserteddisqualifyingfacts
arediscoveredaftertrial,butbeforeissuanceofthejudgesdecision,amotion fordisqualification
mustbemadetothejudge.AlBryant,Inc.,260NLRB128,128fn.1(1982),enfd.711F.2d543
(3dCir.1983),cert.denied464U.S.1039(1984).
Tomovefordisqualification,apartymustfilewiththejudgepromptlyuponthediscovery
oftheallegedfactsatimelyaffidavitsettingforthindetailthemattersallegedtoconstitute
groundsfordisqualification.BoardsRules,Section102.37.SeealsoManorWest,Inc.,311
NLRB655,665fn.1(1993)(motiontodisqualifyfiled7weeksaftertrialclosedbutbeforejudges
decisionissuedfoundtimely).
Ifapartyfailstofileanaffidavitwiththejudgebeforeissuanceofthejudgesdecision,
althoughawareoftheasserteddisqualifyingfacts,asubsequentmotionfordisqualificationwillbe
regardedbytheBoardasuntimely.SeeRotoRooter,288NLRB1025,1025fn.2(1988)
CentralMackSales,273NLRB1268,1268fn.2(1984)andSanfordHomeforAdults,253
NLRB1132,1132fn.1(1981),affd.inrelevantpart669F.2d35(2dCir.1981).
Ifthemotionistimelyfiled,thejudgemustruleontheaffidavitalleginggroundsfor
disqualificationandcannotsimplyreferittotheBoardfordisposition.SeeAlBryant,Inc.,above.
UnderBoardsRules,Section102.37,thejudgecandisqualifyhimselforherselfiftheaffidavitis
regardedassufficientonitsface.Ifthejudgereachesacontraryconclusion,heorsheshallso
ruleontherecord,statingthegroundsforhisruling,andproceedwiththe[trial]or,ifthe[trial]has
closed,heshallproceedwithissuanceofhisdecision,presumablyincludingarulingonwhy
disqualificationisrejected.
16
CHAPTER3.PLEADINGS
3100
TheCharge
SeeBoardsRules,Section102.9102.14.
3110
GeneralPrinciples
Achargemaybefiledbyalabororganization,anemployee,anemployer,oranyother
entity.SeeApexInvestigation&SecurityCo.,302NLRB815,818(1991)(chargesfiledon
behalfof,orby,healthandwelfarefundarevalidbecauseanyonemayfileacharge).Acharge
mustbefiledwiththeappropriateRegionalDirectororwiththeGeneralCounsel.BoardsRules,
Sections102.10and102.33.ThevenueofchargefilingdoesnotaffecttheBoardsjurisdiction.
HarrisCorp.,269NLRB733,734fn.1(1984),citingAlliedProductsCorp.,220NLRB732,
733(1975).
3120
FilingandServiceUnderSection10(b)
UnderSection10(b)oftheAct,achargemustbefiledandservedwithin6monthsofthe
allegedunfairlaborpractice.
Achargemustbeserved,notmerelyfiled,withinthe6monthperiod.Dun&Bradstreet
SoftwareServices,317NLRB84,8485(1995),affd.79F.3d1238(1stCir.1996)(Acharge
servedonedaylate,basedinpartonerroneousadvicefromRegionalOffice,isuntimely).Itdoes
not,however,havetobereceivedbythechargedpartywithinthe6monthperiod.NLRBv.
ImperialHouseCondominium,831F.2d999,1003(11thCir.1987)andNLRBv.Laborers
Local264,529F.2d778,781785(8thCir.1976).Thechargemustbesigned.BoardsRules,
Section102.11.Butanunsignedcopyservedonthechargedpartyisadequateiftheoriginalfiled
withtheRegionalOfficeissigned.FreightwayCorp.,299NLRB531,531(1990).TheBoardhas
alsoheldthatthefailureofachargingpartytocomplywiththeswornacknowledgmentor
declarationrequirementsofSection102.11doesnotaffectthetimelinessofthefilingofthe
charge.AlldataCorp.,324NLRB544,544545(1997),enf.deniedonothergrounds,245F.3d
803,807(D.C.Cir.2001).
Section10(b)oftheActisdiscussedmorefullyat 3600,Section10(b)Affirmative
Defense,below.
3130
SufficiencyoftheCharge
AchargeisrequiredbeforetheBoardcanact.NLRBv.KohlerCo.,220F.2d3,7(7th
Cir.1955).Butachargeisnotapleadinganddoesnotrequirethespecificityofapleading.It
merelyservestoinitiateaBoardinvestigationtodeterminewhetheracomplaintshouldbe
issued.NLRBv.FantMillingCo.,360U.S.301,307(1959).Acharge"issufficientifitinforms
theallegedviolatorofthegeneralnatureoftheviolationchargedagainsthimandenableshimto
preservetheevidencerelatingtothematter.''NLRBv.LouisianaMfg.Co.,374F.2d696,704
705(8thCir.1967),quotingfromNLRBv.RaymondPearson,Inc.,243F.2d456,458(5thCir.
1957).
17
CHAPTER3.PLEADINGS
3140
WithdrawalorDismissal
WithdrawalofachargemaybetheresultofsolicitationbytheGeneralCounsel.Ifthe
chargelacksmerit,butwithdrawalisrefused,thechargewillbedismissed.TheNLRB
CasehandlingManual(PartOne)InformalDispositionsSection10120.3.Chargesmayalsobe
withdrawnaspartofasettlementagreement.
Beforethetrialopens,achargemaybewithdrawnonlywiththeconsentoftheRegional
Director.Afterthetrialopensandevidenceisintroduced,butbeforethejudgesdecisionissues,
thechargemaybewithdrawnonlywiththeconsentofthejudgeusuallyaspartofthewithdrawal
ofthecomplaintallegationsapprovedbythejudgepursuanttoapprovalofasettlement
agreement.Alternatively,thejudgemayorderthematterremandedtotheRegionalDirector,
whomayruleonthewithdrawalofthecharge.Afterthejudgesdecisionissues,thechargemay
bewithdrawnonlywiththeconsentoftheBoard.Section101.9oftheBoardsStatementof
Procedure.TheBoardhasheldthatevenaftertheopeningoftrialbutbeforethereceiptof
evidence,theGeneralCounselhasunreviewablediscretiontowithdrawthecomplaint.Sheet
MetalWorkersLocal28(AmericanElgen),306NLRB981,981982(1992).Afterevidencehas
beenintroduced,however,theGeneralCounselnolongerhasunreviewablediscretionto
withdrawacomplaintallegation.SheetMetalWorkersLocal162(LangsEnterprises),314
NLRB923,923fn.2(1994).SeealsoCHAPTER9,Settlements,below.
ThedismissalofachargebytheRegionalDirectormaybeappealedtotheGeneral
CounselsOfficeofAppealsinWashington.UntilthechargeisfinallydismissedbytheOfficeof
Appeals,itcontinuestoexistduringtheappealsperiod.Itisnottimebarredifitisreinstated
duringthatperiodbytheRegionalDirector,eventhoughthereinstatementcomesmorethan6
monthsaftertheoccurrenceoftheunfairlaborpractice.ChildrensNationalMedicalCenter,
322NLRB205,205(1996)SiouxCityFoundryCo.,323NLRB1071,1074(1997),enfd.154
F.3d832,837838(8thCir.1998)(reinstatementinthesecircumstancesisconsistentwith
DucaneHeatingCorp.,273NLRB1389,13891390(1985),enfd.mem.785F.2d304(4thCir.
1986)).
Seealso3650,RevivalofWithdrawnorDismissedCharge,below,inthecontextof
Section10(b)oftheAct.
3200
Complaint
TheauthoritytoissuecomplaintsrestssolelywiththeGeneralCounsel.Thedispositionof
charges,andthedecisionwhetheracomplaintshouldissueorbelitigated,iswithintheexclusive
provinceoftheGeneralCounselandisnotsubjecttoreview.Vacav.Sipes,386U.S.171,182
(1967)(theBoard'sGeneralCounselhasunreviewablediscretiontorefusetoinstituteanunfair
laborpracticecomplaint).ItisthereforeerrorforajudgetoconcludethattheRegionalDirector
waswithoutauthoritytoissueacomplaint.SeeCincinnatiEnquirer,298NLRB275,275
(1990),reviewdenied938F.2d284(D.C.Cir.1991),citingNLRBv.Food&Commercial
WorkersLocal23,484U.S.112,118119,124126(1987).
3210
AdequacyofComplaint
"Theproprietyofapleadingistodayjudgedbyitseffectivenessasamechanismforgiving
anadversepartynoticeoftheclaimuponwhichreliefissought.''CurtissWrightCorp.v.NLRB,
347F.2d61,72(3dCir.1965).AllthatisrequisiteinavalidcomplaintbeforetheBoardisthat
therebeaplainstatementofthethingsclaimedtoconstituteanunfairlaborpracticethatthe
respondentmaybeputuponhisdefense.AmericanNewspaperPublishersAssn.v.NLRB,
18
CHAPTER3.PLEADINGS
193F.2d782,800(7thCir.1951),affd.345U.S.100(1953),quotingfromNLRBv.Piqua
MunisingWoodProductsCo.,109F.2d552,557(6thCir.1940).Acomplaintisadequateifit
allegesadefinedandeasilyidentifiedclassofemployeesandotherssimilarlysituated
becausetheallegationissufficienttoputtherespondentonnoticethatthecomplaintisnot
limitedtonamedindividuals.IronWorkersLocal433(ReynoldsElectrical),298NLRB35,35
36(1990),enfd.mem.931F.2d897(9thCir.1991).
Foranothercasediscussingtheseprinciples,seeArtesiaReadyMixConcrete,Inc.,
339NLRB1224,1226(2003).Seealso3230,BillofParticulars,below.
3220
ComplaintCloselyRelatedtoTimelyCharge
Acomplaintisnotrestrictedtothepreciseallegationsofthecharge.Aslongasthereisa
timelycharge,thecomplaintmayallegeanymattersufficientlyrelatedtoorgrowingoutofthe
chargedconduct.NLRBv.FantMillingCo.,360U.S.301,309(1959).
ThetestthatappliesforaddingrelatedunchargedallegationsisstatedinReddI,Inc.,
290NLRB1115,11151116(1988),citingNLRBv.DinionCoil,201F.2d484,491(2dCir.
1952).AlthoughReddIdealtwithallegationsincomplaintamendmentsthatwerenotdescribed
intheunderlyingcharge,asimilarrelatednesstestappliestoallegationsininitialcomplaints.
NicklesBakeryofIndiana,296NLRB927,927928(1989).
InapplyingthecloselyrelatedtestsetforthinReddI,theBoardlooksat
1) Whethertheuntimelyallegationinvolvesthesamelegaltheoryasthetimelycharge.
2) Whethertheuntimelyallegationarisesfromthesamefactualcircumstancesor
sequenceofeventsasthetimelycharge.
3) Whethertherespondentwouldraisethesameorsimilardefensestobothallegations.
TheBoardhasclarifiedReddItomakeclearthattheuntimelyallegationneednotinvolve
thesamesectionoftheActastheotherallegedviolations.NicklesBakeryofIndiana,296
NLRB927,928fn.5(1989).Theboilerplate"otheracts"languagepreprintedonthechargeform,
however,isnotitselfsufficienttosupportamorespecificSection8(a)(1)complaintallegation.
SeeNicklesBakery,aboveandLotusSuites,Inc.v.NLRB,32F.3d588,591592(D.C.Cir.
1994).
TheBoardhasalsorejectedaclaimofdifferentdefenseswhenthecomplaintallegations
involvedthesameunlawfulobject.Nickles,above,at928fn.6.Sufficientnexushaslikewise
beenfoundwhenthedisputedchargeandexistingchargeallegations"alloccurredwithinthe
samegeneraltimeperiodandconcernconductwhichconstitutesanoverallplantoresistthe
Union."WellBredLoaf,303NLRB1016,1016fn.1(1991).SeealsoOfficeDepot,Inc.,330
NLRB640,640642(2000).ButseeTheCarneyHospital,350NLRB627,630(2007)(Mere
chronologicalcoincidenceduringaunioncampaigndoesnotwarranttheimplicationthatall
challengedemployeractionsarerelatedtooneanotheraspartofaplannedresponsetothat
campaign)andSKCElectric,Inc.,350NLRB857,858(2007)(applyingCarneyHospital).
ComparealsoKentuckyTennesseeClayCo.,343NLRB931,932(2004),enfd.179
Fed.Appx.153(4thCir.2006),(reductioninhourscloselyrelatedtocharge)with*TradeFair
Supermarkets,354NLRBNo.16(2009)(failuretoapplybargainingagreementtononmembers
notcloselyrelatedtoretaliationagainstemployeesforunionactivity).
19
CHAPTER3.PLEADINGS
Seealso3330,AmendmentsandSection10(b),and3650,RevivalofWithdrawn
orDismissedCharge,below,formoredetaileddiscussionsoftherelatednesstestinthecontext
ofSection10(b).
3230
BillofParticulars
BillsofparticularsarenormallyhandledatthepretrialstagebytheChiefJudgeorDeputy
orAssociateChiefJudgeinWashington,orbytheAssociateChiefJudgeinSanFrancisco,New
York,orAtlanta.Theymay,however,beraisedatthebeginningofatrialinthesameora
somewhatdifferentform.
Asageneralmatter,"abillofparticularsisjustifiedonlywhenthecomplaintissovague
thatthepartychargedisunabletomeettheGeneralCounsel'scase.''NorthAmerican
RockwellCorp.v.NLRB,389F.2d866,871(10thCir.1968).Acomplaintthatalleges
interrogationandthreats,givesthemonthoftheoccurrence,andidentifiestheofficialresponsible
issufficienttoacquainttherespondentwiththechargesandissuestobeconsideredatthetrial.
LloydA.FryRoofingCo.v.NLRB,222F.2d938,940(1stCir.1955).
Alsoadequateisacomplaintthatdescribesthenatureoftheactivityandgivesdatesand
namesoftherespondent'sagents.DalTexOpticalCo.,130NLRB1313,1315(1961).The
namesofemployeestowhomanallegedSection8(a)(1)violationwasdirectedneednotbe
pleaded,andarespondentisnotentitledtodisclosureofthenamesbeforethetrial.SeeWalsh
LumpkinWholesaleDrugCo.,129NLRB294,295(1960)andStorklineCorp.,141NLRB
899,902903(1963),enfd.inpart330F.2d1(5thCir.1964).NoristheGeneralCounsel
requiredtopleadevidenceorthetheoryofthecaseinthecomplaint.NorthAmericanRockwell,
above,389F.2dat871andBoilermakersLocal363(FluorCorp.),123NLRB1877,1913
(1959).SeealsocasescitedinArtesiaReadyMixConcrete,Inc.,339NLRB1224,1226fn.3
(2003).
Aroughruleofthumbisthatacomplaintshouldallegethe4Ws:whocommittedtheact,
whatwasdone,whenwasitdone,andwhere.SeealsoBoardsRules,Section102.15,which
setsoutwhatisrequiredinacomplaint.
3300
3310
AmendmentstoComplaints
WhoMaySeekandWhoMayGrantAmendments
Afterthetrialopens,thejudgemayamendthecomplaintonlyonmotionby,orwiththe
consentof,theGeneralCounsel.GPSTerminalServices,333NLRB968,968969(2001).The
chargingpartycannotenlargeuponorchangetheGeneralCounselstheoryofthecase.
KimtrussCorp.,305NLRB710,711(1991).However,thechargingpartymaysubmitevidence
regardinganappropriateremedydifferentfromtheremedysoughtbytheGeneralCounsel.
KaumagraphCorp.,313NLRB624,624625(1994).
3320
WhenAmendmentsAreAllowed
BoardsRules,Section102.17,permitscomplaintamendmentsupon[termsthat]may
seemjust.Thisgivesthetrialjudgewidediscretion.*EmpireStateWeeklies,Inc.,354NLRB
No.91,slipop.2(2009).Generally,amendmentsarepermittedwhentheyaresufficientlyrelated
toexistingallegationsandnoundueprejudicewouldbevisitedontherespondent.SeePayless
20
CHAPTER3.PLEADINGS
DrugStores,313NLRB1220,12201221(1994)andPincusElevator&ElectricCo.,308
NLRB684,684685(1992),enfd.mem.998F.2d1004(3dCir.1993).SeealsoSheetMetal
WorkersLocal91(ScheblerCo.),294NLRB766,774775(1989),enfd.inpartandremanded
inpart905F.2d417(D.C.Cir.1990)(afterthecloseoftrialistoolate).
InStagehandsReferralService,347NLRB1167(2006),theBoardaffirmedajudge
whodeniedamotiontoamendatthehearing.CitingCabAssociates,340NLRB1391,1397
(2003),theBoardanalyzedthreefactorsindeterminingwhethertheamendmentwasjust:(1)
whethertherewassurpriseorlackofnotice(2)whethertheGeneralCounselofferedavalid
excuseforitsdelayinmovingtoamendand(3)whetherthematterwasfullylitigated.In
assessingthosefactors,theBoardconcludedthattheproposedamendmentwouldnotbejustin
thecircumstancespresented.Id.at1171.
Evenwhenamendmentswouldotherwisebepermitted,however,thejudgemaybe
reluctanttograntamendmentsthatrequiresignificantfurtherevidenceaftertheGeneralCounsel
hasrestedorwhenthecaseisnearingcompletion.Particularlyinlongcasesinwhichthereisno
Section10(b)problem,itmightbemoreappropriatetorequirethefilingofanewchargeand,if
thereismerittothecharge,anewcomplaint.Inanyevent,thejudgehasconsiderablediscretion
ingrantingmotionstoamend.Ifthemotionisgranted,thejudgeshouldbeliberalingrantingthe
respondentssufficienttimetosubmitevidenceinresponsetotheamendments.
Openendedmotionsmadeattheconclusionofatrialtoconformthepleadingstothe
proofshouldbeviewedwithskepticism.Anyamendmentsshouldbeexplicitandanything
materialshouldbefullylitigated.SeegenerallyDesertAggregates,340NLRB289,292293
(2003).Minordiscrepanciesthatarenotmaterial,suchasdates,maynotprecludeafindingthat
isotherwisesupportedbytheevidence.See*EmpireStateWeeklies,Inc.,above.
3330
AmendmentsandSection10(b)
Incertaincircumstances,unchargedallegationsmaybethesubjectofamendmentstothe
complaint.Ifachargewasfiledandservedwithin6monthsaftertheviolationsallegedinthe
complaint,thecomplaint(oramendedcomplaint),althoughfiledafterthe6months,mayallege
violationsnotallegedinthechargeif(1)theyarecloselyrelatedtotheviolationsnamedinthe
charge,and(2)occurredwithinsixmonthsbeforethefilingofthecharge.ReddI,Inc.,290
NLRB1115,11151116(1988),citingNLRBv.DinionCoil,201F.2d484,491(2dCir.1952).
SeealsoOldDominionFreightLine,331NLRB111(2000).
Thus,Section10(b)establishestwoindependentrequirementsforcomplaintallegations:
theymustbecloselyrelatedtochargeallegations,andtheunfairlaborpracticesallegedinthe
complaintmusthaveoccurredlessthan6monthsbeforethechargewasfiled.*TradeFair
Supermarkets,354NLRBNo.16,slipop.at3(2009).
3340
DeFactoAmendmentUnpleadedButFullyLitigated
Anunpleadedmattermaysupportanunfairlaborpracticefindingifitiscloselyconnected
tothesubjectmatterofthecomplaintandhasbeenfullylitigated.PergamentUnitedSales,296
NLRB333,334(1989),enfd.920F.2d130(2dCir.1990)and MeisnerElectric,Inc.,316NLRB
597,597(1995),affd.mem.83F.3d436(11thCir.1996).SeealsoAirborneFreightCorp.,343
NLRB580,581(2004)andHiTechCableCorp.,318NLRB280,280(1995),enfd.inpart128
F.3d271(5thCir.1997).
21
CHAPTER3.PLEADINGS
Arespondentcannotfullyandfairlylitigateamatterunlessitknowswhattheaccusation
is.AlliedMechanicalServices,Inc.,346NLRB326,329(2006).Thus,astheBoardstatedin
*UnitedStatesPostalService,352NLRB923,923(2008):
Thedeterminationofwhetheramatterhasbeenfullylitigatedrestsinpartonwhether...
therespondentwouldhavealteredtheconductofitscaseatthehearing,hadaspecific
allegationbeenmade[citingPergament,above,296NLRBat335].Further,[t]he
presentationofevidenceassociatedwithanallegedclaim...isinsufficienttoputthe
partiesonnoticethatanother,unallegedclaim(forwhichtheevidencemightalsobe
probative)isbeinglitigated,especiallywherethetwoclaimsrelyondifferenttheoriesof
liability,[citingDillingMechanicalContractors,348NLRB98,107(2006)].
Seealso*NewYorkPost,353NLRBNo.343(2008)LamarAdvertisingofHartford,
343NLRB261,265(2004)DesertAggregates,340NLRB289,292293(2003)and
ChampionInternationalCorp.,339NLRB672(2003),inwhichtheBoardlikewisefoundthe
newmatterswerenotfullylitigated.Butsee*AKALSecurity,Inc.,354NLRBNo.11,slipop.at
4(2009)(judgesapplicationofBurnup&SimsinsteadofWrightLinetofindviolationdidnot
denyrespondentdueprocessasrespondentclearlyanticipatedthatBurnup&Simscouldapply
andlitigatedaccordingly)andFacetEnterprisesv.NLRB,907F.2d963,969975(10thCir.
1990)(upholdingtheBoardsfindingofarefusaltobargainviolationbasedonadirectdealing
theoryeventhoughtheallegedrefusaltobargainwasbasedonatheoryofattemptedunit
splittingquiteadifferentoffense,whichwasnotexplicitlymentionedinthecomplaintand
whichrequiresdivergentcomponentsofproofsincetheissueofdirectdealingwasfullyand
fairlylitigatedattrial).
Thefullylitigatedprincipleapplieswithparticularforcewhentheviolationisestablished
fromtestimonialadmissionsbytherespondentswitness.SeeMeisnerElectricandPergament,
above.
3400
3410
ConsolidationandSeveranceofComplaints
GeneralPrinciples
Beforeissuanceofacomplaint,theGeneralCounselorRegionalDirectorhasexclusive
authoritytoconsolidateorsevercases.Afteracomplaintissuesandbeforeatrialopens,the
RegionalDirectorretainsauthoritytoconsolidateorseveronhisorherownmotion.Boards
Rules,Section102.33(a)(d).
Afterissuanceofacomplaintandbeforeatrialopens,theChiefJudgeorDeputyor
AssociateChiefJudgeinWashington,ortheAssociateChiefJudgeinSanFrancisco,NewYork,
orAtlanta,hastheauthoritytoconsolidateorsevercasesonmotionofanyparty.Afteratrialhas
opened,consolidationorseverancemayoccuronlyonmotiontoandgrantedbythetrialjudge.
BoardsRules,Sections102.33(d),102.24,102.25,and102.35(a)(8).Whentheissueis
presented,thejudgehastheauthorityanddiscretiontodeterminewhenconsolidation,or
severance,ofanycomplaintiswarranted,consideringsuchfactorsastheriskthatmatters
litigatedin[anearliertrial]willhavetoberelitigatedin[asecondtrial]andthelikelihoodofdelayif
consolidation,orseverance,isgranted.ServiceEmployeesLocal87(Cresleigh
Management),324NLRB774,775776(1997).
Incomplianceproceedings,seeBoardsRules,Section102.54(b),regardingconsolidation
ofcomplaintandrelatedcompliancespecifications.
22
CHAPTER3.PLEADINGS
3420
Consolidation
DespitethediscretiongenerallyaccordedtotheGeneralCounseland(whentheissueis
presentedtothem)judgesindeterminingwhethercasesshouldbeconsolidated(seeCresleigh
Management,above),theBoardgenerallydisfavorspiecemeallitigation.Thus,theGeneral
Counselisexpectedtoconsolidateallpendingchargesintoonecomplaintandlitigateallknown
issuesinonecase.SeePeytonPackingCo.,129NLRB1358,1360(1961)andJefferson
ChemicalCo.,Inc.,200NLRB992,992fn.3(1972).ButtheBoardhasrecognizedthatPeyton
PackingandJeffersonChemicalarenotabsolute.TheBoardhasheldthatthosecasesdonot
giverisetoablanketrulethatrequiresconsolidationintooneproceedingofallchargesfiled
againstthesamerespondentduringthependencyofthatproceeding.SeeMaremontCorp.
WorldPartsDivision,249NLRB216,216217(1980)andHarrisonSteelCastingsCo.,255
NLRB1426,14261427(1981).
Thus,itisnotappropriateforajudgeinasecondrelatedcaseinvolvingthesame
respondenttodismissacomplaintallegationunderPeytonPacking,ifthejudgeinthefirstcase
properlyrefusedtoallowanamendmenttoincludethatallegationinthefirstproceeding.
MaremontCorp.,aboveandFES,331NLRB9,14fn.13(2000),enfd.301F.3d83(3dCir.
2002).SeealsoBeverlyHealth&RehabilitationServices,346NLRB1319fn.3and1337fn.4
(2006).Moreover,theGeneralCounselmaylitigatecomplaintallegationsinasubsequent
proceedingiftheeventsunderlyingthenewallegationsoccurredafterthecloseofthetrialinthe
firstcase.SeeGreatWesternProduce,299NLRB1004,1004fn.1(1990).Separatelitigationis
alsopermittedwheretheGeneralCounselfocusesonadiscrete,reasonablyselfcontained,set
ofissues.SeeBeverlyHealth,aboveandGoyaFoodsofFlorida,351NLRB94,94fn.4
(2007),enfd.309Fed.Appx.422(D.C.Cir.2009).
TheBoardseemsreluctanttodismissasecondcaseunderPeytonPackingand
JeffersonChemicalexceptinunusualcircumstances.SeeServiceEmployeesLocal87
(CresleighManagement),above,324NLRBat775FrontierHotel&Casino,324NLRB1225,
12251226(1997)andDetroitNewspapers,330NLRB524,525526(2000).Indeed,inU
HaulofNevada,Inc.,345NLRB1301,1302(2005),enfd.490F.3d957(D.C.Cir.2007),the
Boardstatedthat[e]venwheretheGeneralCounselfailstoconsolidatecasesthattheBoard
believesshouldhavebeenconsolidated,theBoardwillnotdismissthecomplaintintheabsence
ofashowingofprejudicetotherespondent.
3430
Severance
Asindicatedabove,ajudgehastheauthority,afteratrialopens,tosevercases
previouslyconsolidatedbytheRegionalDirector.SeeQuakerTool&Die,Inc.,169NLRB1148,
1148(1968)(reversingthejudgeonthemeritsofseverance,butnotquestioninghisauthority).A
gooddiscussionoftheissuebyajudgewhoproperlyutilizedhisdiscretiontoseverisfoundin
AdairStandishCorp.,283NLRB668,669671(1987),enfd.mem.875F.2d866(6thCir.
1989).InAdair,atechnical8(a)(5)refusaltobargaincasehadbeenconsolidatedbythe
RegionalDirectorwithanessentiallyunrelatedunfairlaborpracticecasebut,afterthetrial
opened,thejudgeproperlyseveredthecasesandissuedseparatedecisions.SeealsoStorer
CableTVofTexas,292NLRB140,140(1988).ThereisnoJeffersonChemicalproblemwith
theseveranceinsuchcircumstances.WinchellCo.,315NLRB526,532(1994),enfd.mem.74
F.3d1227(3dCir.1995).
23
CHAPTER3.PLEADINGS
3500
AnswertoComplaint
BoardsRules,Section102.20,setsforththerequirementsforananswer.Itprovidesthat,
ifnoansweristimelyfiledwithin14daysafterservice,allallegationsofthecomplaintare
deemedtobeadmittedastrue.Itfurtherprovidesthattheanswermustspecificallyadmit,deny,
orexplaineachofthefactsallegedinthecomplaint.
LikeFRCP8(b),Section102.20allowsanexceptionwheretherespondentiswithout
knowledgesufficienttoadmitordenytheallegation,andsostatesinitsanswer,inwhichcase
thestatementwilloperateasadenial.However,sucharesponsemaybestrickenasasham
wheretheallegationinvolvestherespondentsownconductorisotherwisewithinitsknowledge.
SeeInformationProcessingSVC,Inc.,330NLRBNo.95(2000)(strikingproserespondents
responsestotheservice,jurisdictional,andsupervisoryallegationsofthecomplaint),citingDPM
ofKansas,261NLRB220,220fn.2(1982).Seealso7520below,regardingauthorityto
admonishorreprimandcounselfordenyingallegationswithoutgoodcauseandpurelyfordelay.
Inmostcasesinwhichnoansweroraninsufficientanswerisfiled,theGeneralCounsel
filesamotionfordefaultjudgmentdirectlywiththeBoardpursuanttoBoardsRules,Section
102.24(b).ClementBlytheCos.,168NLRB118,118119(1967),enf.denied415F.2d78(4th
Cir.1969).Motionsfordefaultjudgmentmustbefilednolaterthan28daysbeforethescheduled
trialandarefiledwiththeExecutiveSecretaryoftheBoardandnottheDivisionofJudges.
IfforanyreasontheGeneralCounselfailstofileamotionfordefaultjudgmentwithinthe
timeprescribedbyBoardsRules,Section102.24(b),issuesregardingtheabsence,timeliness,or
adequacyofananswermayberaisedbeforethejudge,towhosediscretiontheissuesare
committed.SeeTextileWorkersLocal229(MetzgerCo.),120NLRB1700,17001701(1958)
(affirmingthejudge'srefusalatthetrialtoacceptananswerretroactivelybecausenoadequate
excusewasofferedfortheuntimelyfiling)andCCYNewWorktech,Inc.,329NLRB194,194
(1999)(respondentfailedtofileansweranddidnotappearatthetrial).Seealso11350,
MotionsforSummaryandDefaultJudgment,below.
EffectofaWithdrawnAnswer.Sometimes,pursuanttoasettlementorforotherreasons,
arespondentmaywithdrawananswer.Thewithdrawalofananswerhasthesameeffectasa
failuretofileananswer,i.e.,theallegationsintheconsolidatedcomplaintmustbeconsideredto
betrue. RockTechnologies,346NLRBNo.68,slipop.1(2006).
AmendmentofanAnswer.UnderBoardsRules,Section102.23,arespondentmay
amenditsansweratanytimebeforetrial.Afterthetrialopens,thejudgehasthediscretionto
permitanamendedanswer.Motionstoamendananswer,particularlywhentheycomeearlyin
thetrialandthereisnoprejudicetotheGeneralCounsel,shouldprobablybeviewedfavorably.
SeeFRCP15(b)andHyltonv.JohnDeereCo.,802F.2d1011,1015(8thCir.1986)(district
courtjudgedidnotabusehisdiscretionbygrantingdefendantsinproductsliabilitycaseleaveto
amendtheiranswertorespondtotwoallegationsinamendedcomplainttheyhadinadvertently
failedtorespondto).AndseeBaronHondaPontiac,316NLRB611,611(1995)(becausean
allegationintheamendedcomplaintwassubstantiallyunchangedfromthedeniedallegationin
theinitialcomplaint,theBoarddidnotdeemtheundeniedallegationadmitted).
However,inSt.GeorgeWarehouse,Inc.,349NLRB870(2007),theBoarduphelda
judgesdenialofrespondentsmotion,ontheseconddayoftrial,toamenditsanswertodenya
supervisorystatusallegationthatithadpreviouslyadmitted,assertedlybymistake.Seealso
HarcoTrucking,LLC,344NLRB478,479(2005),holdingthatrespondentsrequesttoamend
24
CHAPTER3.PLEADINGS
itsanswertodenycorporatestatusforthefirsttimeinitsposthearingbrieftothejudgewas
untimely.
TheBoardhasrepeatedlyheldthatadmissionsinananswer,orotherpleadings,are
bindingevenwheretheadmittingpartylaterattemptstoproducecontraryevidence.C.P.
Associates,Inc.,336NLRB167(2001)ConsolidatedBusTransit,Inc.,350NLRB1064,
1065fn.6(2007),enfd.577F.3d467(2dCir.2009).SeealsoT.SteeleConstruction,Inc.,351
NLRB1032fn.12(2007) (rejectingrespondentsargumentthatitspreviousadmissioninits
answershouldbeamendedtoadenialtoconformtotheevidencepresentedattrial)and
BoydstonElectric,Inc.,331NLRB1450,1451(2000)(holdingthatjudgeerredinfinding,based
ontheevidenceattrial,thatallegeddiscriminateewasnotdischarged,inlightofrespondents
previousadmissiontothedischargeinitsanswer).
3550
AffirmativeDefenses
Affirmativedefensesmustbepledinananswer.Affirmativedefensesraisedforthefirst
timeinposthearingbriefsareuntimelyandmaybeconsideredwaived.HarcoTrucking,LLC,
344NLRB478,479(2005)andDaytonNewspapers,Inc.,339NLRB650,653fn.8(2003),
enfd.inpart402F.3d651(6thCir.2005).
Defensesshouldbestrickeniftheyarenotrecognizedaffirmativedefensesinlaw,are
outsidethescopeofthecomplaint,orareirrelevanttotheissuessetforhearing.Thus,
compliancematters,whicharenotlitigatedinacomplaintcase,maynotberaisedasaffirmative
defensesandmustbestricken.*LitigationMediationGroup,Inc.,12CA25513(unpublished
Boardorder,June13,2008).
TheGeneralCounselisnotrequiredtonegateanaffirmativedefenseinthecomplaint.
SeeFlyingFoodGroup,Inc.v.NLRB,471F.3d178,183(D.C.Cir.2006).
3600
Section10(b)AffirmativeDefense
Section10(b)oftheActisastatuteoflimitations.Itgenerally"extinguishesliabilityfor
unfairlaborpracticescommittedmorethan6monthspriortothefilingofthecharge.NLRBv.
FantMillingCo.,360U.S.301,309fn.9(1959).Foracompleteanalysis,seeMachinists
Lodge1424(BryanMfg.Co.)v.NLRB,362U.S.411,414429(1960).
Section10(b)isnotjurisdictional.Itisanaffirmativedefenseand,ifnottimelyraised,itis
waived.PublicServiceCo.,312NLRB459,461(1993)andDTRIndustries,311NLRB833,
833fn.1(1993),enf.deniedonothergrounds,39F.3d106(6thCir.1994).
3610
ComputationofSection10(b)Period
TheSection10(b)periodcommencesonlywhenapartyhasclearandunequivocal
noticeofaviolation.LeachCorp.,312NLRB990,991992(1993),enfd.54F.3d802(D.C.Cir.
1995).Theburdenofshowingnoticeisonthepartyraisingthe10(b)affirmativedefense.Ibid.
Therequisitenoticemaybeactualorconstructive,i.e.,sufficientnoticemaybefoundif
thepartyshouldhavebecomeawareofaviolationintheexerciseofreasonablediligence.See,
e.g.,MoellerBros.BodyShop,306NLRB191,192(1992).However,constructivenoticewill
notbefoundwhereadelayinfilingisaconsequenceofconflictingsignalsorotherwise
25
CHAPTER3.PLEADINGS
ambiguousconduct.A&LUnderground,302NLRB467,469(1991).SeealsoCab
Associates,340NLRB1391,1392(2003).
InPostalServiceMarinaCenter,271NLRB397,397400(1984),theBoardheldthat
theSection10(b)periodiscomputedfromthedateoftheallegedunlawfulact,ratherthanthe
dateitsconsequencesbecomeeffective.Thus,anemployeewhoreceivednoticethathewould
beterminated,butwaitedtofileachargeuntiltheterminationbecameeffectivemorethan6
monthsfromthedateofthenoticewasbarredbySection10(b).ThePostalServiceMarina
rule,however,isrestrictedtodiscriminatorydischargecases.Itprobablydoesnotapplyinrefusal
tobargaincases.SeeEsmark,Inc.v.NLRB,887F.2d739,746fn.6(7thCir.1989).Seealso
LeachCorp.,above,312NLRBat991fn.7(theSection10(b)periodforaSection8(a)(5)
charge,involvingaplanttransferandwithdrawalofrecognition,didnotbeginuntilasubstantial
percentageofemployeeshadbeentransferred).
Incomputingthetime,thedayonwhichtheunfairlaborpracticeoccurredisexcluded.
MacDonald'sIndustrialProducts,281NLRB577,577(1986).
3620
NotaRuleofEvidence
Evidencemaybeadmittedconcerningeventsoutsidethe10(b)period,iftheevidenceis
usedonlyasbackgroundandnottoproveatimebarredunfairlaborpractice.MachinistsLodge
1424(BryanMfg.Co.)v.NLRB,362U.S.411,414429(1960).SeeMonongahelaPowerCo.,
324NLRB214,214215(1997)(admissibletoshedlightontherespondentsmotivation).
When,however,theconductwithinthe10(b)periodcanbefoundtobeanunfairlabor
practiceonlythroughrelianceuponanearlierunfairlaborpractice,evidenceoftheearlier
conductcannotbeused,because"itdoesnotsimplylaybareaputativecurrentunfairlabor
practice,but"servestocloakwithillegalitythatwhichwasotherwiselawful.BryanMfg.,above
at417418.Thus,evidenceofallegedsupervisorycoercionofemployeestodesignateaunion
thatoccurredoutsidethe10(b)period,wasbarredbySection10(b)whenofferedtoprove
illegalityofcontractexecutedwithinthe10(b)period.SeeTeamstersLocal27(Combined
ContainairIndustries),209NLRB883,883884(1974).
3630
ContinuingViolations
Anallegationthatanemployermaintainedanunlawfulnosolicitationrulewithinthe10(b)
periodistimely,eveniftherespondentpromulgatedtheruleoutsidetheperiod.Control
Services,305NLRB435,435fn.2,442(1991),citingAlamoCementCo.,277NLRB1031,
10361037(1985).
Similarly,theBoardheldinA&LUnderground,302NLRB467,468469(1991),thatif
theemployersimplyfailstoabidebycertaincontractprovisions,withoutrepudiatingthecontract,
eachsuccessivecontractbreachconstitutesaseparateunfairlaborpractice.However,ifthe
chargingpartyhadreceivedclearandunequivocalnoticeofthetotalcontractrepudiationbefore
the10(b)cutoffdate,itistimebarredfromsubsequentlyallegingcontractviolationswithinthe
10(b)period.SeeChambersburgCountyMarket,293NLRB654,655(1989)(acharge
alleginganunlawfulrefusaltoexecuteabargainingcontractiscognizableonlywhenfiledwithin6
months).
26
CHAPTER3.PLEADINGS
3635
BackpayforContinuingViolations
Whereacontinuingviolationisfound,andthechargingpartydidnothaveclearand
unequivocalnoticeoftheoriginalviolation,theusualmakewholeremedyfromthedateofthe
originalviolationisnormallyappropriate,i.e.,backpaymaybeorderedbeyondthe10(b)period,
evenintheabsenceofanyfraudulentconcealment.SeeVallowFloorCoverings,Inc.,335
NLRB20,2021(2001)(orderingemployertopaybackpaysince1991,eventhoughthecharge
wasnotfileduntil6yearslater,in1997).
3640
FraudorDeception
Fraudulentconcealmentoffactsofanunfairlaborpracticefromachargingpartytolls
Section10(b),unlessthechargingpartyfailedtoexerciseduediligence.LadiesGarment
Workers(McLoughlinMfg.)v.NLRB,463F.2d907,921923(D.C.Cir.1972)(false
representationthattheemployerwasgoingoutofbusinesswheninfactitwassecretlymoving
plant).Accord:BurgessConstruction,227NLRB765,766(1977),enfd.596F.2d378(9thCir.
1979),cert.denied444U.S.940(1979)(fraudulentconcealmentfoundwhentherespondent
fraudulentlyassuredtheunionitnolongeremployedcarpenters).
FortheeffectsoffraudontheGeneralCounsel,seethenextsection.
3650
RevivalofWithdrawnorDismissedCharge
Asageneralrule,awithdrawnorfinallydismissedchargemaynotberevivedbythe
GeneralCounselaftertheSection10(b)periodhasrun.DucaneHeatingCorp.,273NLRB
1389,13901391(1985),enfd.mem.785F.2d304(4thCir.1986).
Thereare,however,threeexceptionstothegeneralrule:
1) FraudulentConcealment.IfmaterialfactshavebeenconcealedfromtheGeneral
Counsel,adismissedorwithdrawnchargemayberevived.KanakisCo.,293NLRB435,435
437(1989)(anaffidavitsubmittedtoGeneralCounsel,uponwhichtheGeneralCounselreliedin
dismissingthecharge,waslaterdiscoveredtohavebeenperjured).CompareBrown&Sharpe
Mfg.Co.,321NLRB924,924925(1996),reviewdenied130F.3d1083,1087(D.C.Cir.1997),
cert.denied524U.S.926(1998)(findingnofraudulentconcealmentfromtheGeneralCounselof
materialfactsonallegedbadfaithbargainingbecausetheGeneralCounseldidnotaskforor
demandinformationaboutcertainissues)andBenfieldElectricCo.,331NLRB590,591592
(2000)(nofraudulentconcealmentfoundwhenanattorneyspositionstatementwasnot
forthcomingabouthisclientstruemotive,butdidnotattempttoconcealmaterialfacts).
InBrown&Sharpe,above,321NLRBat924,theBoardsetforththethreeelementsthat
arerequiredtoestablishfraudulentconcealmentinthesecircumstances.Theyare(a)deliberate
concealment,(b)ofmaterialfacts,and(c)theinjuredpartywasignorantofthosefactswithout
anyfaultorwantofduediligenceonitspart.InMorgansHolidayMarkets,333NLRB837,
840841(2001),theBoardclarifiedthatmaterialfactsmeansconcealedevidencethatwould,
asanobjectivematter,makethecriticaldifferenceindeterminingwhetherornottherewasa
reasonablecausetobelievetheActwasviolated."
2) NoncompliancewithInformalSettlementAgreement.Ifchargesarewithdrawnor
dismissedasaconsequenceofaninformalsettlementagreementapprovedbytheAgencyand
therespondentdoesnotcomplywiththetermsofthesettlement,Section10(b)doesnotbar
revivalofthecharges.Settlementsaresubjecttoimplicitconditionthattheywillbecarriedout
27
CHAPTER3.PLEADINGS
andthatunfairlaborpracticeswillnotberesumed.SeeSterlingNursingHome,316NLRB413,
416(1995).
3) CloselyRelatedtoCurrentComplaint.Ifaviableandtimelychargeexistsandthe
GeneralCounselseekstoaddallegationsthatwerecontainedinapreviouslywithdrawnor
dismissedcharge,thecloselyrelatedtestapplies.SeeReddI,Inc.,above,290NLRBat1115
1116.SeealsoSonicraft,Inc.v.NLRB,905F.2d146,148149(7thCir.1990),cert.denied,
498U.S.1024(1991)andPioneerHotel,Inc.v.NLRB,182F.3d939,944945(D.C.Cir.
1999),enfg.inpart324NLRB918,918fn.1(1997).Andsee3220,ComplaintClosely
RelatedtoTimelyChargeand3330,AmendmentsandSection10(b),above.
Finally,assuggestedabove,thegeneralrulesetforthinDucaneprohibitingrevivalof
dismissedchargesdoesnotapplytoachargethathasnotbeenfinallydismissed,butispending
beforetheGeneralCounselonappeal.See3140,WithdrawalorDismissal,above.Seealso
SmithfieldPackingCo.,344NLRB1,10(2004),enfd.447F.3d821(D.C.Cir.2006).
3700
3710
OtherAffirmativeDefenses
MisconductofChargingParty
Theallegedmisconductofachargingpartyisordinarilynotadefensetoanunfairlabor
practice.SeeCarpentersLocal621(ConsolidatedConstructors),169NLRB1002,1003
(1968),enfd.406F.2d1081(1stCir.1969)andPlumbersLocal457(BomatPlumbingand
Heating),131NLRB1243,12451247(1961),enfd.299F.2d497(2dCir.1962).
Butif,asalegalmatter,proofofmisconductcouldaffectunfairlaborpracticefindings,an
affirmativelypleadeddefensetothateffectmustbeheard.Thisapplieseventhoughthe
misconductwasthesubjectofachargedismissedbytheGeneralCounsel.Hotel&Restaurant
EmployeesLocal274(WarwickCaterers),269NLRB482,482483(1984).SeealsoChicago
TribuneCo.,304NLRB259,259261(1991)(badfaithbargainingbytheunionmayberaised
asadefensetobadfaithbargainingbytherespondent,eventhoughtheGeneralCounsel
dismissedthechargeofunionbadfaithbargaining).CompareGreyhoundLines,319NLRB
554,555557(1995)(affirmativedefensebasedonallegedunionmisconductwasstricken
becausenonexuswasshownbetweenallegedmisconductandtherespondentsrefusalto
bargain,whichwasthesubjectofthecomplaint).
Althoughnotadefensetoacomplaint,unionmisconduct(violence)mayrequire
withholdingabargainingorder.SeeLauraModesCo.,144NLRB1592,1596(1963)andAllou
Distributors,201NLRB47,4748(1973).CompareCascadeCorp.,192NLRB533,533fn.2
(1971),enf.denied466F.2d748(6thCir.1972),distinguishingLauraModes andMaywood
PlantofGredePlastics,235NLRB363,365366(1978),enfd.asmodified628F.2d1(D.C.
Cir.1980)(provocationmustbeweighed).
3720
Laches
ApartfromtherestrictionsofSection10(b)oftheAct,theBoardgenerallydoesnotapply
thedoctrineoflachestoitselfortheGeneralCounsel.See MidStateReadyMix,316NLRB
500,500501(1995),citingNLRBv.J.H.RutterRexMfg.Co.,396U.S.258,264(1969)
(inordinatedelaybytheBoardisnodefensetoabackpayordertheremedyiswithintheBoard's
discretionandtherightsofinnocentemployeesareinvolved).Indeed,despitecharacterizingthe
GeneralCounsels5yeardelayasinordinateandinexcusable,theBoardinUnited
ElectricalContractorsAssn.,347NLRB1,23(2006)deniedamotiontodismissinthe
28
CHAPTER3.PLEADINGS
absenceofanyshowingofprejudice.ButseeGarveyMarine,Inc.,328NLRB991,995997
(1999)andWallaceInternationalofPuertoRico,328NLRB29,29(1999)(Boardconsiders
passageoftimeasafactorinevaluatingwhethertoissueaGisselbargainingorder.)
Foraninterestingdiscussionofwhetherandinwhatcircumstanceslachesappliestothe
Governmentgenerally,seeMartinv.Consultants&Administrators,Inc.,966F.2d1078,
10901091(7thCir.1992).
3730
InadequateInvestigation/CompliancewithCasehandlingManual
Dueprocessclaimsaretestednotbyanalysisoftheinvestigation,butbyanalysisof
complaintallegations.Therefore,theadequacyofGeneralCounselsinvestigationmaynotbe
litigatedintheunfairlaborpracticetrial.RedwayCarriers,274NLRB1359,1371(1985).
RespondentsmayalsoarguethattheGeneralCounselfailedtofollowtheNLRB
CasehandlingManual.However,theCasehandlingManualprovidesguidanceonlyandisnot
bindingontheGeneralCounselortheBoard.SeeHempsteadLincolnMercuryMotorsCorp.,
349NLRB552,fn.4(2007)andOffshoreMarinersUnited,338NLRB745,746(2002),and
casescitedtherein.
3740
DeferraltoGrievanceArbitration
Deferraltothegrievanceandarbitrationmachineryofthecollectivebargainingagreement
pursuanttoCollyerInsulatedWire,192NLRB837,839(1971)isanaffirmativedefensethat
mustbetimelyraisedintheanswertothecomplaintoratthetrial.*AiroDieCasting,Inc.,354
NLRBNo.8,slipop.1fn.5(2009).Therefore,therespondentsinterjectionofthisdefenseafter
thetrialclosesisuntimely.MasterMechanicalInsulation,320NLRB1134,1134fn.2(1996).
SeealsoWisconsinBellTelephone,346NLRB62,64,fn.8(2005)(althoughrespondentraised
deferralasanaffirmativedefenseinitsanswer,theBoardheldthatitwaivedtheargumentby
failingtoraisetheissuesubsequentlyatthehearingorinitsbrieftothejudge).
3750
RelitigationofIssues
Intheabsenceofnewlydiscoveredandpreviouslyunavailableevidenceorspecial
circumstances,therespondentinaSection8(a)(5)unfairlaborpracticecasemaynotrelitigate
issuesthatwereorcouldhavebeenlitigatedinapriorrepresentationproceeding.Nursing
CenteratVineland,318NLRB901,903(1995),enfd.mem.151LRRM2736(3dCir.1996).Nor
maytherespondentrelitigateincomplianceproceedingmattersdecidedinpriorunfairlabor
practiceproceedings.TaskForceSecurity&Investigations,323NLRB674,674fn.2(1997).
Seealso*AlliedMechanicalServices,Inc.,352NLRB662,664(2008)(respondent
collaterallyestoppedfromallegingthatitsbargainingrelationshipwithaunionwasbasedon
Section8(f)ratherthatSection9(a)becauseapriorBoarddecisioninvolvingthesameparties
wasnecessarilypremisedontheexistenceofaSection9(a)relationshipandapriorsettlement
agreementconfirmedsucharelationship)andGreatLakesChemicalCorp.,300NLRB1024,
1025andfns.3and4(1990),enfd.967F.2d624(D.C.Cir.1992)(respondentcollaterally
estoppedfromrelitigatingfactsrelatingtoitsdutytobargainasasuccessor,whichwerefullyand
fairlylitigatedandnecessarilydecidedinpriorproceedinginvolvingsameparties).
WithrespecttotheapplicationofcollateralestoppelandresjudicatatotheGeneral
CounselorBoard,seePrecisionIndustries,320NLRB661,663(1996),enfd.118F.3d585
29
CHAPTER3.PLEADINGS
(8thCir.1997).Inthatcase,theBoardheldthatpriorageandracediscriminationchargesfiled
withtheEEOCbyseveraldiscriminateesdidnotjudiciallyestoptheGeneralCounselfrom
assertingthatthe failuretohirewasbasedonantiunionanimus,asneithertheGeneralCounsel
northeChargingPartyUnionwerepartiesintheEEOCproceeding.
TheBoardinPrecisionIndustries alsorejectedrespondentsresjudicataargumentthat
thecomplaintwasbarredbecauserespondenthadprevailedinanERISAsuitbroughtbythe
Unionandcertainformeremployeesandretirees.TheBoardcitedthegeneralrulethatthe
GovernmentisnotprecludedfromlitigatinganissueinvolvingtheenforcementofFederallaw
thataprivatepartyhaslitigatedunsuccessfully,whentheGovernmentwasnotapartytothe
privatelitigation.Ibid.,citingFieldBridgeAssociates,306NLRB322(1922),enfd.subnom.
ServiceEmployeesLocal32B32Jv.NLRB,982F.2d845(2dCir.1993),cert.denied509
U.S.904(1993).
SeealsoRoadwayExpress,355NLRBNo.23(2010),wheretherespondentemployer
arguedthatacourtsdismissaloftheallegeddiscriminateeshybrid301/DFRclaimagainstthe
employerandunioncollaterallyestoppedtheGeneralCounselfromsubsequentlyopposing
deferraloftherelated8(a)(3)allegationsagainsttheemployeronthegroundthattheunionhad
breacheditsDFRinthepriorgrievanceproceeding.Relyingonthesamegeneralruleabove,
theBoardrejectedtherespondentsargumentastheGeneralCounselwasneitherapartytothe
unsuccessfullawsuitnorinprivitywiththeallegeddiscriminatee(sincetheBoardactsinthe
publicinterest),andthecourtdismissedtheDFRclaimonthegroundthatthediscriminateehad
waivedit,ratherthanonthemerits.
TheBoardsapplicationofitsgeneralpolicyhasbeenrejectedbytwocircuitcourts.See
NLRBv.DonnaLeeSportswear,836F.2d31(1stCir.1987)andNLRBv.Heyman,541F.2d
796(9thCir.1976)(holdingthatwheretheexistenceofacontracthasbeendecidedbyadistrict
courtinactionsbroughtunderERISAorSec.301,theBoardisprecludedfromrelitigatingthat
issueinalater8(a)(5)case).However,insubsequentcases,theBoardhasdistinguishedthese
twocircuitcourtdecisionsbasedontheirparticularfacts.SeeFieldBridgeAssociates,above,
306NLRBat323fn.2(theexistenceofthecontractwastheessenceoftheunfairlaborpractice
charge,ratherthanjustoneaspectoftheallegations,anddidnothaveimplicationsconcerning
Section8(a)(3)oftheAct)PrecisionIndustries,above,320NLRBat663,fn.13(theissuein
theunfairlaborpracticecasetheexistence,velnon,ofacontractwasthesameastheone
thathadbeendecidedinthecourtproceeding)andRoadwayExpress,above(theBoards
unfairlaborpracticefindingsdependedentirelyontheexistenceofacontract,andthecourts
priorfindingsonthatissuerepresentedaminimalintrusionintotheBoardsjurisdictionasno
broadpolicyquestionwasimplicatedinthatdetermination).
3760
Section8(g)Notice
ArespondentsassertionthattheunionfailedtogivenoticeunderSection8(g)oftheAct
isanaffirmativedefense.Therefore,raisingtheissueforthefirsttimeinaposttrialbrieftothe
judgeisuntimely.VencareAncillaryServices,334NLRB965,968969(2001),enf.deniedon
otherground,352F.3d318(6thCir.2003).
3770
SettlementBar
Asettlementagreementgenerallydisposesofallissuesunlessthepriorviolationswere
unknowntotheGeneralCounsel,notreadilydiscoverablebyinvestigation,orspecifically
reservedfromthesettlementbythemutualunderstandingoftheparties.HollywoodRoosevelt
HotelCo.,235NLRB1397,1397(1978).
30
CHAPTER3.PLEADINGS
Thissocalledsettlementbarruleislikewiseanaffirmativedefenseandiswaivedifnot
timelyraisedinthepleadingsoratthetrial.SeeRichardMellowElectricalContractorsCorp.,
327NLRB1112,11121113(1999).Seealso9620,SettlementBarRule,below.
31
CHAPTER4.SERVICEOFDOCUMENTS
4100
InGeneral
Serviceisaconceptdistinctfromfiling.Thatis,filingreferstoreceiptbytheBoardorthe
officeroragentdesignatedtoreceiveapleadingorotherdocument.BoardsRules,Section
102.111(b).Serviceisnoticereasonablycalculated,underthecircumstances,toapprise
interestedpartiesofthependencyoftheactionandaffordthemtheopportunitytopresenttheir
objections.Mullanev.CentralHanoverBank&TrustCo.,339U.S.306,314(1950).Seealso
NLRBv.OKeefe&MerrittMfg.Co.,178F.2d445,447(9thCir.1949)(aformofnotice
reasonablycalculatedtogiveadefendantknowledgeofproceedingsandanopportunitytobe
heard).
4110
FederalRulesofCivilProcedureNotControlling
TheAct(NLRA),theBoardsRulesand,toadegree,theStatementsofProcedure,
specifytherequirementsforserviceundertheAct.Therefore,theFederalRulesofCivil
ProceduredonotgovernserviceofprocessinBoardproceedings.ControlServices,303NLRB
481,481482(1991),enfd.961F.2d1568(3dCir.1992).
4200
MethodsofService
UndertheBoardsRules,thefollowingmethodsofservicecanuniversallybeutilizedby
RegionalDirectorsandbyparties,includingcounselfortheGeneralCounselaftercomplainthas
issued,excepttotheextentindicated:
Personalservice.BoardsRules,Sections102.14(a)(forcharges),102.113(a)(d)(for
complaintsandamendments,compliancespecificationsandamendments,subpoenas,
administrativelawjudgesdecisions,andotherdocuments),and102.114(a)(forpapersbya
partyonotherparties).
Registeredorcertifiedmail.BoardsRules,Sections102.14(a)(forcharges),102.113(a)
(d),and102.114(a),asabove.
Regularmail.BoardsRules,Sections102.14(a)(forcharges)102.113(d)(bythe
Agencyfordocumentsotherthancomplaintsandamendments,compliancespecificationsand
amendments,subpoenas,andadministrativelawjudgesdecisions)and102.114(a)(forpapers
byapartyonotherparties).
Privatedeliveryservice.BoardsRules,Sections102.14(a)(forcharges)102.113(d)(by
theAgencyfordocumentsotherthancomplaintsandamendments,compliancespecifications
andamendments,subpoenas,andadministrativelawjudgesdecisions)and102.114(a)(for
papersbyapartyonotherparties).
ServicebyFax.Othermeansofservicearepermittedtoparties,includingcounselforthe
GeneralCounselaftercomplainthasissued(exceptcomplaintsandamendments,compliance
specificationsandamendments,andsubpoenas),BUTonlywiththeconsentofthepartybeing
served.BoardsRules,Section102.114(a).Oneothermeansisbyfax.Thus,charges,papers
byapartyonotherpartiesanddocumentsotherthansubpoenas,complaintsandbackpay
33
specifications,andamendmentsbytheAgencymaybeservedbyfax,orfaxed,onlywith
permissionofthereceivingparty.
WhenadocumentandotherpapersarefiledbyfaxwiththeAgency,suchascharges,
BoardsRules,Section102.114(f),providesthatapartyshallservecopiesonallpartiesinthe
samewayasusedtoservetheofficewherefiled,orinamoreexpeditiousmanner,andfaxes
shallbeusedforthispurposewheneverpossible.BoardsRules,Section102.114(h).Ifaparty
refusestoacceptservicebyfax,orifapartycannotbeservedbyfax,thepartyshallbenotified
personallyorbytelephoneofthesubstanceofthe[faxed]document,andacopyofthedocument
shallbeservedbypersonalserviceorovernightdeliveryservice.BoardsRules,Section
102.114(h).
EMailService.BoardRules,Section102.114(i)requiresemailserviceontheother
parties,ifpossible,fordocumentsefiledwiththeAgency.Iftheotherpartydoesnothavethe
abilitytoreceiveemailservice,theotherpartyshallbenotifiedbytelephoneofthesubstanceof
theefileddocumentandacopyshallbeservedbypersonalservicenolaterthanthenextday,
byovernightdelivery,or,withthepermissionoftheotherparty,byfacsimiletransmission.
4300
FailureofService
Apartysfailuretomaketimelyserviceonotherpartiesisabasisforeitherrejectionof
thedocument,ORfor[w]ithholdingorreconsideringanyrulingonthesubjectmatterraisedby
thedocumentuntilafterservicehasbeenmadeandtheservedpartyhashadreasonable
opportunitytorespond.BoardsRules,Section102.114(c).
Ordinarily,theBoardhasbeenreluctanttorejectadocument.SeeCameronIronWorks,
235NLRB287,287288(1978),enf.deniedonothergrounds591F.2d1(5thCir.1979)Our
Way,Inc.,244NLRB236,236fn.1(1979)(GeneralCounselsfailuretoservetimelyfiled
exceptions)andTerpeningTruckingCo.,271NLRB96,96fn.1(1984)(therespondents
failuretoserveexceptionsonthechargingparty).TheBoardhasbeenparticularlyreluctanttodo
soifapartyisunrepresentedandiffilingofthatdocumentotherwisecomplieswiththeRules.
SeeTriWaySecurity,310NLRB1222,1223fn.5(1993)(answertocomplaint)andAcme
BuildingMaintenance,307NLRB358,359fn.6(1992).
However,inActiveMetalMfg.,316NLRB974,974975(1995),aselfrepresented
respondentstimelyfiledanswerwasrejectedforfailuretoservethechargingpartywherethere
hadbeenrepeatedeffortsbytheRegiontoapprisetheRespondentofitsobligationsunderour
Rules,butservicewasnevermade.
Whenserviceisattemptedbyfax,failuretotimelyfileorserveadocumentwillnotbe
excusedonthebasisofaclaimthattransmissioncouldnotbeaccomplishedbecausethe
receivingmachinewasofflineorbusyorunavailableforanyotherreason.BoardsRules,
Section102.114(f).
4310
EffortstoFrustrateService
[T]heBoardhaslongheldthatarespondentsfailureorrefusaltoclaimcertifiedmailor
toprovideforreceivingappropriateservicewillnotbepermittedtodefeatthepurposesoftheAct
(citationsomitted).SMCEngineering&Contracting,324NLRB341,341(1997)(complaint).
Accord:MichiganExpeditingService,282NLRB210,210fn.6(1986),enfd.mem.869F.2d
1492(6thCir.1989)(amendedcharge)andDaVinciFashions,286NLRB809,814816(1987)
(compliancespecificationandamendedcompliancespecification).
34
4400
WhoMustBeServed
Complaintsandamendments,compliancespecificationsandamendments,andother
documentsoftheGeneralCounselshallbeserveduponallparties.BoardsRules,Section
102.113(a)and(d).Administrativelawjudgesdecisionsalsoshallbeserveduponallparties.
BoardsRules,Section102.113(b).
Subpoenasshallbeservedupontherecipient.BoardsRules,Section102.113(c).
Pleadingsfiledbyaprivatepartymustbeservedontheotherparties.BoardsRules,
Sections102.21(answerstocomplaints)102.26(requestforspecialpermissiontoappealand
theappeal,oppositions,andresponses)102.56(a)(answerstocompliancespecifications)and
102.42(briefs).
Arequestforspecialpermissiontoappealarulingbyanadministrativelawjudge,aswell
astheappealandanystatementsinoppositionorotherresponses,mustbeservedontheother
partiesandtheadministrativelawjudge.BoardsRules,Section102.26.
Whenserviceisrequired,itmustbemadeonattorneysorrepresentativeswhohave
enteredawrittenappearanceintheproceedingonbehalfofparties.Butwhenapartyis
representedbymorethanoneattorneyorrepresentative,serviceuponanyoneof[the]persons
inadditiontothepartyshallsatisfy[the]requirement.BoardsRules,Section102.113(f).
4500
DeterminingDateofService
Thedateofservice,specifiedinBoardsRules,Section102.112,isasfollows:
Personalservice:thedaydeliveredinperson.
Mail:thedaywhenthematterservedisdepositedintheUnitedStatesmail.See
ElectricalWorkersIUE(SpartusCorp.),271NLRB607,607(1984).
Privatedeliveryservice:thedatethedocumentwastenderedtothedeliveryservice,as
shownbyarecordprovidedbythedeliveryservice.
Fax:thedateonwhichthefaxisreceived.See HardestyCo.,336NLRB258,259
(2001),enfd.308F.3d859(8thCir.2002)(presumptionofemployersreceiptofunionsfaxed
informationrequestsupportedbyfaxconfirmationreport,whichwasnotrebuttedbytestimonial
denialofemployerslawyerattrial).
4600
ProofofService
ForComplaints,ordersandotherprocessandpapersoftheBoard,itsmember,agent,or
agency,Section11(4)oftheActprovides:Theverifiedreturnbytheindividual[makingthe
service]settingforththemannerof...serviceshallbeproofofthe[service],andthereturn
[postalservice]receiptortelegraphreceipt...whenregisteredorcertifiedandmailedorwhen
telegraphed...shallbeproofofservice.
Forotherparties,andforpleadingsandotherdocuments,BoardsRulesspecifysome
methodsofproofofservice:
35
Personalservice,theverifiedreturnbytheindividualservingthedocument.Boards
Rules,Section102.113(e).
Registeredorcertifiedmail,thereturn[postalservice]receipt.BoardsRules,Sections
102.113(e)and102.114(b).
Telegraph,telegraphreceipt.BoardsRules,Section102.113(e).
Privatedeliveryservice,thereceiptfrom[the]serviceshowingdelivery.BoardsRules,
Section102.114(b).
Deliverytoaprincipalofficeorplaceofbusiness,verifiedreturnbytheindividualserving
thedocument.BoardsRules,Section102.113(e).
Formethodsofservicethatarenotexclusive,anysufficientproofmayberelieduponto
establishservice.BoardsRules,Sections102.113(e)(theAgency),and102.114(b)(parties).
WhetherserviceismadebytheAgencyorbyaprivateparty,thepersonmakingservice
shallsubmitawrittenstatementofservice...statingthenamesofthepartiesservedandthe
dateandmannerofservice.BoardsRules,Section102.114(e).SeealsoUnitedStatesService
Industries,324NLRB834,834(1997).
However,failuretomakeproofofservicedoesnotaffectthevalidityofservice.Boards
Rules,Section102.114(e).Thus,theabsenceofsuchastatementwillnotinvalidateservice,nor
precludeothermethodsofproofofservice.TheBoardhaslongheldthatprocedural
requirementsregardingproofofserviceshouldbeliberallyconstrued.SeeControlServices,303
NLRBat481482(1991).Forexample,inG.W.Truck,240NLRB333,334335(1979),proofof
achargesservicewasbasedupontestimonybyaBoardagent,supportedbyherwritten
description,almostcontemporaneouswithservice,ofwhathadoccurredwhensheservedthe
charge.
4700
4710
SpecialAspectsofServiceofParticularDocuments
ChargesandAmendedCharges
Asindicatedin4200,above,underBoardsRules,Sections102.14(a)and(b),service
ofachargemaybemadebypersonalservice,byregistered,certified,orregularmail,byprivate
deliveryservice,byfax,withthepermissionofthepersonreceivingthecharge,orbyanyother
agreeduponmethod.
UndertheprovisoofSection10(b)oftheAct,achargemustbebothfiledandserved
withinthe6monthlimitationsperiodprescribed.Thus,thefailuretomaketimelyservicewarrants
dismissal,evenifthechargewastimelyfiled.Dun&BradstreetSoftwareServices,317NLRB
84,8486(1995),affd.79F.3d1238,1250(1stCir.1996).Accord:NLRBv.LaborersLocal
264,529F.2d778,782(8thCir.1976).
AspointedoutinDun&Bradstreet,above,thechargingparty,nottheRegionalOffice,is
responsibleforassuringtimelyserviceofacharge.AlthoughtheRegionalOfficewillnormally
serveacopyofthechargeonthechargedparty,thisismerelyacourtesyanddoesnotrelieve
thechargingpartyofitsserviceobligation.BoardsRules,Section102.14(a)and(b),and
StatementsofProcedure,Section101.4.
36
However,technicaldefectsinthemannerofservicewillnotnecessarilyinvalidatethe
service.SeeControlServices,above,303NLRBat481482(1991)(whenchargeshaveinfact
beenreceived,technicaldefectsintheformofservicedonotaffectthevalidityoftheservice).
Forexample,serviceofanunsignedcopyofachargewasheldadequateinFreightwayCorp.,
299NLRB531,531(1990).
Further,thefailuretomaketimelyserviceofachargeonarespondentwillbecuredby
timelyservicewithinthe10(b)periodofacomplaintontherespondent,absentashowingthatthe
respondentisprejudicedby[the]circumstances.BuckeyePlasticMolding,299NLRB1053,
1053(1990).
Wheretherearemultiplechargedparties,serviceonbutoneofthemissufficientifthey
arenottrulyindependententities,butare:
Alteregos.BMDSportswearCorp.,283NLRB142,142fn.1(1987),enfd.mem.847
F.2d835(2dCir.1988)andNLRBv.ONeill,965F.2d1522,15281529(9thCir.1992),cert.
denied509U.S.904(1993).
Singleemployers.IlProgressoItaloAmericanoPublishingCo.,299NLRB270,270fn.
4,289(1990).
Jointemployers.WhitewoodMaintenanceCo.,292NLRB1159,1169fn.29(1989),
enfd.928F.2d1426(5thCir.1991).
Jointbargainingrepresentatives.ElectricalWorkersIUE(SpartusCorp.),271NLRB
607,607(1984).SeealsoUnitedElectricalContractorsAssn.,347NLRB1,12(2006)
(serviceofchargeonmultiemployerassociationamounts,underagencyprinciples,toserviceon
eachofitsmembers).
Onlychargedpartiesmustbeserved.Thus,acopyofachargeneednotbeservedupon
thelabororganizationthatisassertedtobeapartytoanallegedlyunlawfulcollectivebargaining
contract,orwhichisassertedtobeunlawfullydominated,assisted,orsupported,aslongasno
remedialorderissoughtagainstthelabororganization.MeyersBros.ofMissouri,Inc.,151
NLRB889,893fn.1(1965)(thelimitationsclauseofSection10(b)relatesonlytotheBoards
powertoissuecomplaintsandthuslimitstheBoardinproceedingagainstRespondentsas
distinguishedfromparties).SeealsoGeneralMolds&PlasticsCorp.,122NLRB182,186
(1958).
4720
ComplaintandNoticeofHearing
Complaintsmustbeservedonallotherparties. BoardRules,Section102.15.Thus,in
contrasttocharges,acopyofthecomplaintandnoticeofhearingmustbeservedonthepartyto
acollectivebargainingcontractthatwouldbeinvalidatedbytheremedialorder.Consolidated
EdisonCo.ofNewYorkv.NLRB,305U.S.197,218219(1938).
4730
ComplianceSpecifications
[T]heRegionalDirectormayissueandserveonallpartiesacompliancespecificationin
thenameoftheBoard.BoardsRules,Section102.54(a).
Serviceofacompliancespecificationupontherespondentsattorneyofrecordis
sufficient.StarGroceryCo.,245NLRB196,197(1979)andCeraInternationalCorp.,272
37
NLRB1360,1360fn.2(1984).Thisisso,eveniftheattorneynolongerrepresentsthe
respondent,unlessnoticehasbeengiventotheRegionalDirectorofdiscontinuanceof
representation.HopkinsHardware,280NLRB1296,1297(1986).
4740
AnswerstoComplaintsandtoComplianceSpecifications
Answerstocomplaints.Section102.21oftheBoardsRulesprovidesthat,immediately
uponthefilingofitsanswer,therespondentshallserveacopyontheotherparties.Assetforth
in4300,FailureofService,above,althoughtheBoardisreluctanttorejectananswerfor
failuretomakeserviceonotherparties,particularlyiffiledbyanunrepresentedrespondent,itwill
dosoiftheanswerisnotsubstantiallyadequateoriftherespondenthasignoredrepeatedefforts
toencourageittomakeproperservice.
Answerstocompliancespecifications.Section102.56(a)oftheBoardsRulesprovides
thateachrespondentallegedinthespecificationtohavecomplianceobligationsshallfilean
answerandimmediatelyserveacopyontheotherparties.
4750
Subpoenas
Section102.113(c)oftheBoardsRulesprovidesthat. subpoenasshallbeservedupon
therecipienteitherpersonallyorbyregisteredorcertifiedmail,orbytelegraph,orbyleavinga
copy...attheprincipalofficeorplaceofbusinessofthepersonrequiredtobeserved.
Itisnotnecessarytoestablishactualreceiptofthesubpoenabytherecipientproofthat
itwasmailedissufficienttoproveservice.BestWesternCityViewMotorInn,327NLRB468,
468469(1999).Moreover,anattorneysaffirmationofservicewillsufficeasproofofservice,
evenwithoutsubmissionofthepostal[service]returnreceiptcard.Ibid.
38
CHAPTER5.PRETRIALDISCOVERYANDDEPOSITIONS
5100
PretrialDiscovery
ItiswellestablishedthatpretrialdiscoverydoesnotapplyinBoardproceedings.See
OffshoreMarinersUnited,338NLRB745,746(2002),andauthoritiescitedtherein.Thus,for
example,in*Bashas,Inc.,352NLRB661(2008),theBoardfoundthatthejudgeimproperly
orderedtheGeneralCounseltoprovidealistofwitnessesinadvanceoftheirtestimonybecause
thatwould,ineffect,amounttopretrialdiscovery.
5200
Depositions
Alimitedgoodcauseexceptionexiststopermitthetakingofadepositiontopreservethe
testimonyofonesownwitnessatthediscretionoftheRegionalDirectororthejudge.Boards
Rule,Section102.30.KenrichPetrochemicals v.NLRB,893F.2d1468,1483(3dCir.1990),
cert.denied498U.S.981(1990).Butspecialcircumstancesmustbeshown.SeeDavidR.
WebbCo.,311NLRB1135,1136(1993).(Boardrejectedrespondentsrequestforpermissionto
takedepositionsofdiscriminateesincomplianceproceedingasitsstatedreasonscouldapplyto
virtuallyanybackpayproceeding).SeealsoDecember12,Inc.,282NLRB475,475fn.1
(1986).
ArespondentsfailuretorequestpermissiontotakeadepositionwascitedinGoya
FoodsofFlorida,347NLRB1118,11191120(2006),enfd.525F.3d1117(11th Cir.2008).In
thatcase,thejudgehadrefusedtoadmitintoevidenceawitnessdepositionthathadbeentaken
pursuanttoaseparatestatecourtaction.Thejudgenotedthattherespondentfailedtoseek
enforcementofitssubpoenatohavethewitnesstestifyintheBoardproceeding.Inaffirmingthe
judgesruling,theBoardnoted,amongotherthings,thattheGeneralCounselhadnoopportunity
toexaminethewitnessinthestatecourtproceeding,andthattherespondentdidnotapplytothe
judgetopermitdeposingthewitnesswithallpartiesintheBoardproceedingpresent,asprovided
inSection102.30oftheBoardsRules.
Seealso11620,TestimonybyVideo,below.
39
CHAPTER6.TIMEANDPLACEOFTRIAL
6100
BeforeTrialOpens
BoardsRules,Section102.15,requiresthatacomplaintcontainanoticeofhearingata
fixeddateandatimenotlessthan14daysaftertheserviceofthecomplaint.
Exceptinextraordinarysituationsthe[trial]is...usuallyconductedintheRegionwhere
thechargeoriginated.StatementsofProcedure,Section101.10(a).
Generally,beforetrial,theRegionalDirectorissuingacomplaintmayextendthedateof
thetrialormaychangetheplaceatwhichitistobeheld.Butwhentherearelessthan21days
beforethescheduledtrialdateandapartyobjectstoapostponement,motionstoreschedulethe
trialshouldbefiledwiththeDivisionofJudges,whichrulesonlyonwhethertograntthemotionto
extendthetrialdate.BoardsRules,Section102.16(a).SeealsoCarriageInnofSteubenville,
309NLRB383(1992).TheRegionalDirectorissuingthecomplaintshallretaintheauthorityto
orderanewdatefor[trial]andretainstheresponsibilitytomakethenecessaryarrangementsfor
conducting[thetrial],includingitslocationandthetranscriptionoftheproceedings.Boards
Rules,Section102.16(b).
6200
AfterTrialOpens
Afteratrialopenstheadministrativelawjudgedesignatedtoconductitpossesses
authoritytoregulatethecourseofthe[trial].BoardsRules,Section102.35(a)(6).Thejudge
maycontinuethetrialfromdaytoday,oradjourn[it]toalaterdateortoadifferentplace,by
announcement...atthe[trial]...orbyotherappropriatenotice.BoardsRules,Section102.43.
Thegrantingorrefusalofacontinuanceiswithinthediscretionoftheadministrativelawjudge.
AbrahamsonChryslerPlymouth,225NLRB923,923fn.1(1976),enfd.mem.559F.2d1226
(7thCir.1977).SeealsoTeamstersLocal777(CrownMetal),145NLRB197,197fn.2(1963),
enfd.340F.2d905(7thCir.1964).
Theexerciseofthatdiscretionwillbereversedonlywhenthereisashowingofabuse.
FranksFlowerExpress,219NLRB149,149150(1975),enfd.mem.529F.2d520(5thCir.
1976).Thus,adecisionnottotransferthetrialtoanothercitywasupheldwhen,inthe
circumstances,itwasclearlyreasonable.FlameofMiami,Inc.,159NLRB1103,1105(1966).
Andadecisiontodenyarequestforasecondcontinuancewasupheldbecausenoprejudice
wasshowntothepartywhomadetherequest.PeterVitalieCo.,310NLRB865,865fn.1
(1993).
NOTE:Thenoticeofhearingthataccompaniesallcomplaintsprovidesthatthetrialwill
commenceonthedatesetbytheRegionalDirectorandcontinueonconsecutivedays
thereafter.
6300
RequestsforContinuancetoObtainCounsel
Typically,twosituationsarepresented:(1)whenanunrepresentedpartyisseekinga
continuancetoobtaincounselorotherrepresentativeand(2)whenthecounselorrepresentative
ofapartyisunavailableonthetrialdate.
41
ToObtainCounsel.Whenapartyseeksacontinuancetoobtaincounsel,abalancemust
bestruckbetweentherightofpartiestoberepresentedatthetrial(BoardsRules,Section
102.38),and,ontheotherhand,theprinciplethatproceedingsmustproceedwiththeutmost
dispatch.NLRBv.AmericanPotash&ChemicalCorp.,98F.2d488,492(9thCir.1939),cert.
denied306U.S.643(1939).Instrikingthatbalanceinparticularsituations,severalrelevant
considerationshavebeenidentified:
1) Thelengthoftimesincethecomplaintissued,duringwhichthepartyhadan
opportunitytoobtaincounsel.K&LFireProtectionSystems,306NLRB988,988fn.1(1992)
(complainthadbeenoutstandingformorethan6months).
2) Whetheracontinuancehasalreadybeengrantedtoallowthepartytoobtaincounsel.
PeterVitalieCo.,310NLRB865,865fn.1(1993)(theRespondenthadalreadyrequestedand
hadalreadybeengrantedapriorpostponementinthisproceedingfromJuly22untilAugust31)
andCrusaderLancerCorp.,144NLRB1309,1309fn.1(1963)(requestfora1week
continuanceforthesamepurposehadpreviouslybeengranted).
3) Effortsshownbythemovingpartytoobtaincounsel.K&LFireProtectionSystems,
above(applicationtobankruptcycourtforauthorizationtoappointanattorneymadeonly3days
beforethe[trial]andwithoutnoticetothecounselfortheGeneralCounsel)andPeterVitalie
Co.,above,(afterreceivingonecontinuancetoobtaincounsel,therespondentelectedtodo
nothingexceptseekanothereleventhhourpostponement).
Unavailabilityofchosencounselontrialdate.Instrikingabalanceinthisarea,the
followingrelevantconsiderationshavebeenidentified:
1) Reasonforunavailability.MississippiValleyStructuralSteelCo.v.NLRB,145F.2d
664,665667(8thCir.1944)(unreasonabletodenyduetoillnessofcounselwhowastheonly
attorneyconversantwithcase).
2) Whentheconflictingcommitmentwasmade.HijosdeRicardoVela,Inc.,194NLRB
377,377fn.1(1971),enfd.475F.2d58(1stCir.1973)(reasonabletodenywhentheconflicting
commitmenttobargainonbehalfofanotherclientwasmadelongafterthenoticeofhearing
andindeedonlyshortlybeforethescheduled[trial]date).
3) Lengthofcontinuancecontemplated.WittekIndustries,313NLRB579,579(1993)
(notunreasonabletodenywhen,inpart,noalternativetrialdateproposed)andSmithWeik
MachineryCorp.v.MurdockMachineCo.,423F.2d842,845(5thCir.1970)(unreasonableto
denywhenonlyshortcontinuancesoughtduetoillnessofcounselincomplicatedcase).
4) Complexityoffactsandissues.FranksFlowerExpress,219NLRB149,149150
(1975),enfd.mem.529F.2d520(5thCir.1976)(notunreasonabletodenywhenneithera
complicatednorlengthyproceeding)andSmithWeikMachineryCorp.,above(unreasonable
when,amongotherfactors,casewascomplicated).
5) Whetheritisthefirstrequestforacontinuance.FranksFlowerExpress,above,219
NLRBat150(theRespondentwasgrantedtheoriginalcontinuanceitrequested)andGlacier
PackingCo.,204NLRB597,600(1973),enfd.507F.2d415(9thCir.1974)(onepretrialrequest
granted,twolaterpretrialrequestsforfurthercontinuancedenied).
6) Availabilityofsubstitutecounsel.MississippiValleyStructuralSteelCo.v.NLRB,
145F.2d664,665667(8thCir.1944)(unreasonabletodenywhenillcounselwastheonly
42
attorneyconversantwiththecase)WittekIndustries,above(notunreasonabletodenywhen
thecorporatecounsel,whohadsomefamiliaritywiththecircumstancesleadingtothedischarge
oftheallegeddiscriminatees,wasavailabletotrycase)FranksFlowerExpress,above(not
unreasonabletodenywhenrepresentedatthe[trial]byamemberof[unavailablecounsels]
firm,whomaybepresumedtohaveknowledgeoftheissuesasframedbythepleadings)and
NLRBv.GlacierPackingCo.,507F.2d415,416(9thCir.1974)(notunreasonabletodeny
whentheunavailablecounselwasamemberofafirmwithotherattorneyscapableoflitigating
thecase).
6310
LengthofContinuancetoObtainCounselorSubstituteCounsel
Inthefollowingcases,theBoardfoundthatthetimegranted toobtaincounselor
substitutecounselwasreasonableinlength:PeterVitalieCo.,above(40daystosecure
counsel)FranksFlowerExpress,above,219NLRBat149(1975)(5daystosecuresubstitute
counsel)WittekIndustries,above(1dayforcounseltobeavailable)andNLRBv.Glacier
PackingCo.,above(4hourstosecuresubstitutecounselfromsamefirmafterpretrialdenialsof
requestsforfurthercontinuances).
6320
WhenCounselorPartyLeavesTrialAfterRequestIsDenied
Inasmuchasdueprocesspreserves[only]theopportunitytobeheard,Broadway
Hospital,Inc.,244NLRB341,341fn.5(1979),whenacontinuancehasbeenproperlydenied,it
isnotimpropertogoforwardwiththetrialwithoutthepresenceofcounsel.NLRBv.Glacier
PackingCo.,above,507F.2dat416(9thCir.1974)andNLRBv.HijosdeRicardoVela,Inc.,
475F.2d58,61(1stCir.1973).SeealsoEthanEnterprises,Inc.,342NLRB129,129fn.2
(2004),enfd.154Fed.Appx.23(9thCir.2005)(approvingjudgesdecisiontoproceedwith
hearingafterdepartureofrespondentsattorney,followingadverseruling,wheretheattorney
agreedtonotifyrespondentthathearingwasgoingtoproceedinhisabsence).Andsee7250,
AbsenceofRespondentsAttorney,below.
6400
MotionsforContinuancetoPrepareaDefense
TheBoardhasupheldthedenialofarespondentsrequestforacontinuance,afterthe
GeneralCounselrests,toinvestigateandprepareitsdefense.Becauseoftheinformation
suppliedtotheattorneyinthecomplaintandintheGeneralCounselsopeningstatementand
becauseoftherecessgrantedtherespondentsattorneyaftertheopeningstatementtoconfer
withhisclient,whowasallegedtohavecommittedtheunfairlaborpractices,theattorneywas
requiredtogoforwardwiththerespondentsproof.SpiegelTruckingCo.,225NLRB178,179
fn.8(1976),enfd.mem.559F.2d188(D.C.Cir.1977).SeealsoEastBronxHealthCenter,271
NLRB898,898fn.1(1984).
Thefollowingfactorshavebeenviewedasimportant:
1) WhetherthecomplaintcomplieswithBoardsRules,Section102.15,whichrequires
thecomplainttocontainaclearandconcisedescriptionoftheactswhichareclaimedto
constituteunfairlaborpractices,includingwhereknown,theappropriatedatesandplacesofsuch
actsandthenamesofrespondentsagentsorotherrepresentativesbywhomcommitted.
2) Lengthoftimebetweenissuanceofcomplaintandtrial,duringwhicharespondent
couldprepareitsdefense.
43
3) Natureofargumentsadvancedinsupportofmotion.See*PaintAmericaServices,
Inc.,353NLRB973(2009)(rejectingproserespondentsargumentsinsupportofrequestfor
furthercontinuance)andEastBronxHealthCenter,above(thereasonstheRespondent
presentedinitsmotionforadjournmentfailtoexplainadequatelywhytheRespondentwas
unabletogoforwardwithitscaseorwhyanotherpostponementwasnecessary).
6500
MotionsforContinuanceBecauseofUnavailableWitness
Obviouslytherearesituationsinwhicharespondentistrulysurprisedbyparticular
evidencepresentedduringtheGeneralCounselscaseand,inconsequence,demonstratesa
needforacontinuancetosecurethepresenceofaparticularwitnessordocumentstomeet
unanticipatedevidence.
Asidefromthesesituations,however,thefollowingfactorshavebeenidentifiedwhen
concludingthatdenialofthemotionswasreasonable:
1) Existenceofpriornoticeoflikelyinvolvementofwitness,particularlywhenthewitness
isnamedinthecomplaint.*AsherCandy,Inc.,353NLRB959(2009)QuebecorGroup,Inc.,
258NLRB961,961fn.1(1981)andDontStop,298NLRB961,962(1990).
2) Failuretoshowstepstakentoensurepresenceofwitness.BatchelorElectricCo.,
254NLRB1145,1145fn.1(1981),enfd.mem.716F.2d903(6thCir.1983)andDontStop,
above.Seealso*PaintAmericaServices,Inc.,above(affirmingjudgesdenialofprose
respondentsrequestforfurthercontinuance).
3) Failuretoshowthatwhereaboutsofwitnessareunknown.QuebecorGroup,Inc.,
above.
4) Failuretoprovidesupportingdetailstoexplainabsenceofwitness.SkylineBuilders,
Inc.,340NLRB109(2003)RiverdaleNursingHome,317NLRB881,881(1995)andFlorida
CocaColaBottlingCo.,31NLRB21,21fn.2(1996).
5) Showingthatthewitnesssimplychosetodosomethingotherthanattendthetrial.
GreenparkCareCenter,236NLRB683,683fn.3(1978)(thewitnesschosetoleavethe
countryonvacationdespiteamplenoticeofthetrialdatefromthenoticeofhearingissued
almost2monthsbeforethetrialdate)andDontStop,above(chosenottobepresentatthe
[trial]becauseitwashisconsideredbusinessjudgmentthathispresenceatthe[trial]wasless
importantthanameetingwithamajorcustomer).
6) Failuretoclaimthepresenceofawitnesswasactuallyneededtopresentthe
respondentsdefense.StevensFord,272NLRB907,907(1984),enfd.inpart773F.2d468,
476477(2dCir.1985).
7) Failuretoindicatewhenwitnesswouldbecomeavailable.SarkesTarzian,Inc.,157
NLRB1193,1194fn.3(1966).
8) Failuretotakeadvantageofasuggestion,whichwasnotassertedtobeunreasonable,
foralternativearrangementstoavoidcontinuance.SomervilleCreamCo.,95NLRB1144,1146
(1951),enfd.199F.2d257(1stCir.1952)(movingtrialtemporarilytothehomeofanassertedly
incapacitatedwitness).
44
CHAPTER7.APPEARANCESATTRIAL
7100
RepresentationatTrial
Section102.38oftheBoard'sRulesandRegulationsgivesanypartytherighttoappearin
person,orbyanyotherrepresentative.Thereisnorequirementthattherepresentativebea
lawyer.
7110
RespondentNotRepresentedbyCounsel
Thereisnoconstitutionalorstatutoryrightfortherespondenttohaveanattorney
appointedtorepresentitatgovernmentexpense. BetraMfg.Co.,233NLRB1126,1126fn.2
(1977),enfd.mem.624F.2d192(9thCir.1980),cert.denied450U.S.996(1981).Further,when
alosingrespondentwasrepresentedbyanattorneyatthetrial,therespondentcannotoverturn
anadversedecisiononanyclaimofaconstitutionalorstatutoryrighttotheeffectiveassistance
ofcounsel.Father&SonsLumberv.NLRB,931F.2d1093,10961097(6thCir.1991),enfd.
297NLRB437,437(1989).
Itissufficientthattheselfrepresentedrespondentisaccordedafullandfairopportunityto
presenttherespondent'scaseandcrossexaminewitnesses.*PaintAmericaServices,Inc.,
353NLRB973(2009)andAmericanCleaningCo.,291NLRB399,399fn.1(1988).Aslongas
thejudgeremainsimpartial,heorshemaygosomewhatbeyondaccordingfundamentalfairness
anddueprocessbyansweringproceduralquestionsorexplainingbasicrights.SeeDickens,
Inc.,355NLRBNo.44,slipop.at3(2010)(judgeinstructedunrepresentedrespondentregarding
whichareasoftestimonywouldberelevant)QualityAsbestosRemoval,310NLRB1214,1215
(1993)(judgeinformedtherespondent'snonlawyerrepresentative,itsowner,thatshecouldask
toseeanystatementsoftheGovernment'switnesseswhentheyhadcompletedtheirdirect
examination).
7120
RepresentationsThatPresentPossibleConflicts
Courtsclearlyhavetheauthority,derivedfromtheirinherentpowertopreservethe
integrityoftheadversaryprocess,todisqualifycounselduetoaconflictofinterestunderthe
canonsofethics.SeeHempsteadVideo,Inc.v.VillageofValleyStream,409F.3d127,132
133(2dCir.2005).SeealsoPaulE.IaconoStructuralEngineer,Inc.v.Humphrey,722F.2d
435(9thCir.1983).
ForadiscussionofwhethertheBoardsjudgeshaveorshouldexercisesimilarauthority
todisqualifyapartysattorneyduetoaconflictofinterestunderthecanonsofethics,seeMack
Trucks,277NLRB711fn.1and715723(1985).Seealso7130,AttorneyasWitness,
below.
ForsituationswhereapartysattorneyisaformerBoardlawyer,andisthereforesubject
tothepostemploymentrestrictionscurrentlysetforthinSec.102.119oftheBoardrules,see
HillviewConvalescentCenter,266NLRB758(1983)(Boardstatedthatitwouldorderformer
Boardattorneytoterminatehisparticipationifhewasstilldoingso,asitwouldviolatetheBoards
postemploymentrules,butreversedjudgesconclusionthatentirelawfirmshouldalsobe
disqualifiedunderthecircumstancespresented).
45
WithrespecttoallegedconflictsinvolvingcounselfortheGeneralCounsel,seeAM
PropertyHoldingCorp.,350NLRB998,1008(2007)(counselfortheGeneralCounsel,whose
priorlawfirmhadrepresentedthechargingparty,hadnoconflictunderapplicableFederal
statutesandregulationsbecauseshehadnotservedasanattorneyforthelawfirminthelast
year).
7130
AttorneyasWitness
TheBoardwillnotpolicethecanonsofethicsofthevariousbarassociations.When,for
example,apartystriallawyertakesthestandasawitness,anyobjectionthattheattorneys
testimonyshouldbestrickenasaviolationofthecanonsofethicsshouldbeoverruled.
OperatingEngineersLocal9(FountainSandCo.),210NLRB129,129fn.1(1974).Accord:
WellsFargoArmoredServiceCorp.,290NLRB872,873fn.3(1988).SeealsoPageLitho,
Inc.,311NLRB881,881fn.1(1993),enf.deniedinpartonothergroundsmem.65F.3d169
(6thCir.1995)(citingWellsFargoanddisavowingjudgesstatementthatcounselwasprecluded
ethicallyfromappearingasawitness).
7140
RepresentationatPostelectionProceedings
InconsolidatedCandRcases(whenacomplaintcaseisconsolidatedwithobjections
orchallengedballotsinarepresentationcase),theestablishedBoardlawpermitstheGeneral
Counsel'strialattorneytoswitchtoaneutralastheRegionalDirectorsrepresentativeforthe
objections/ballotsportionofthecase.FreuhaufCorp.,274NLRB403,405406(1985).The
proceduregenerallyhasbeenupheldbythecourts.See,forexample,BeairdPoulanDivision
v.NLRB,649F.2d589,597598(8thCir.1981)andBarrusConstructionCo.v.NLRB,483
F.2d191,194195(4thCir.1973).
7200
7250
FailureofPartytoAppearatTrial
AbsenceofRespondent'sAttorney
Whentherespondenthasfiledananswer,butitslawyerorrepresentativefailstoappear
atthetrial,thejudgeshouldheartheGeneralCounsel'sevidenceandissueadecision.Beta
SteelCorp.,326NLRB1267,1267fn.3,1268(1998)QualityHotel,326NLRB83,83fn.4
(1998)(inwhichthejudgeissuedabenchdecision)andBristolManorHealthCareCenter,
295NLRB1106,1106fn.1(1989),enfd.mem.915F.2d1561(3dCir.1990).
Ofcourse,iftheanswerpreviouslyfiledbyrespondentisfoundinsufficient,adefaultor
summaryjudgmentmaybeappropriate.See*AsherCandy,Inc.,353NLRB959(2009).
7300
RightsofChargingPartiesandDiscriminatees
ChargingParties.BoardsRules,Section102.38,providesthatAnyparty[includingthe
chargingparty]shallhaverighttoappearatthetrial,tocall,examine,andcrossexamine
witnesses,andtointroduceevidence,exceptthattheparticipationofanypartyshallbelimited
totheextentpermittedbytheadministrativelawjudge.
Therightofthechargingpartytoparticipateinthetrialextendstochargingpartieswho
arenotrepresentedbycounsel.Inthatregard,theBoardhasobservedthatitwouldbebetter
practiceforthejudgetospecificallyoffertheunrepresentedchargingpartytheopportunityto
46
questioneachwitness,althoughfindingthatthefailureofthejudgetodosodoesnotrepresenta
denialofdueprocess.Cowin&Co.,322NLRB1091,1091fn.1(1997).
ThechargingpartyalsohastherightunderBoardsRules,Section102.118(b)(1),tosee
theaffidavitsofwitnessesoftherespondentintheGeneralCounselsfileforcrossexamination.
SenftnerVolkswagenCorp.,257NLRB178,178fn.1,186187(1981),enfd.681F.2d557(8th
Cir.1982).See13803,below.
Althoughthechargingpartymayparticipateinthetrial,itcannotamendthecomplaint.
SeeGTEAutomaticElectric,196NLRB902,903(1972)(judgeerredbygrantingthecharging
partysmotiontoallegeanadditionaldiscriminatee).SeealsoWinnDixieStores,224NLRB
1418,1420(1976),enfd.inpart567F.2d1343(5thCir.1978)(judgelacksauthoritytoamend
thecomplaintunlesssoughtorconsentedtobytheGeneralCounselorevidencehasbeen
received...withoutobjection)andGPSTerminalServices,333NLRB968,968970(2001)
(judgeerredbyamendingcomplaintconsistentwithrespondentsrequest).
TheGeneralCounselalsocontrolsthetheoryofthecase,andajudgecannotconsider
theoriesforviolationsarguedbythechargingpartythatsubstantiallydifferfromtheGeneral
Counsels.Zurn/N.E.P.C.O.,329NLRB484(1999)andLocal282Teamsters,335NLRB1253,
1254(2001).
Afteracomplaintissues,however,theresponsibilityforfashioninganappropriateremedy
restswiththeBoardunderSection10(c)oftheAct.Thus,itwaserrorforajudgetoprecludethe
chargingpartyfromintroducingevidenceinsupportofarestorationremedy,eventhoughthe
GeneralCounselhadnotsoughttheremedyandthechargingpartyhadnotappealedthe
Directorsrefusaltoseektheremedy.KaumagraphCorp.,313NLRB624,624625(1994)and
SunlandConstructionCo.,311NLRB685,706(1993)(thechargingpartyhastherighttoseek
extraordinaryremediesnotsoughtbytheGeneralCounsel,includingabargainingorder).Accord:
GourmetFoods,270NLRB578,579(1984).However,theremediesmustbeconsistentwiththe
GeneralCounselstheoryofthecase.ATSAcquisitionCorp.,321NLRB712,712fn.3(1996)
(errorforajudgetoawardbackpaypursuanttoarequestofthechargingparty,because
complaintdidnotallegeunlawfulunilateralchanges).
Inacomplianceproceeding,thechargingpartyhassomewhatgreaterrights,becausethe
GeneralCounseldoesnothavefinalauthorityunderSection3(d)oftheAct,asitdoesregarding
complaints.AceBeverageCo.,250NLRB646,647(1980).Thus,incompliancematters,the
GeneralCounseldoesnotactonhisowninitiative,butasagentoftheBoardineffectuatingthe
remedy.Therefore,thechargingpartyisentitledtoappealtotheBoardaRegionalDirectors
decisionregardingthecutoffdateforreinstatement.AceBeverage,above(theprocedure
followedwasamotiontotheBoardforclarificationofitspriororder).
Thisdoesnotmean,however,thatthechargingpartyisentitledtoraiseandlitigateissues
beforethejudge,contrarytothebackpayspecification.Thechargingpartyshouldmakeits
appealdirectlytotheBoardfromtheRegionalDirectorsdecisionregardingthespecification.
JohnCuneo,Inc.,276NLRB75,77(1985),remanded792F.2d1181(D.C.Cir.1986)and
PageLitho,Inc.,325NLRB338,338339(1998).SeeBoardsRules,Section102.53(c),
providingforreviewbytheBoardoftheGeneralCounselsdecisionconcerningcompliance
determinations.
Discriminatees.Thefailureofadiscriminateetoappearortestifyatthetrialdoesnot
precludethejudgeortheBoardfromfindingaviolationregardingthatemployee.RileyStoker
Corp.,223NLRB1146,11461147(1976),enfd.inpartmem.559F.2d1209(3dCir.1977)
47
(Boardreversedjudgewhodismissedan8(a)(3)violationbecausetheemployeeabstainedfrom
appearingatthetrial).
Seealso10400,below,regardingexclusionofchargingpartiesanddiscriminateesfrom
portionsofthehearingpursuanttoasequestrationorder.
7400
InterventionatTrial
BoardsRules,Section102.29,permitsanypersontofileamotionwiththejudgeto
interveneinthetrial,andthejudgeshallruleonthemotionandmaypermitintervention...to
[the]extentanduponsuchtermsashemaydeemproper.SeealsoFRCP24.Theissueof
interventionissubjecttothediscretionofthejudgeandwillnotbedisturbedabsentabuseor
prejudice.AutoWorkersv.NLRB,392F.2d801,809(D.C.Cir.1967),cert.denied392U.S.906
(1968)andBilesColemanLumberCo.,4NLRB679,682(1937).
Interventionhasbeenpermittedbyjudgeswhenemployeesorgroupsofemployees
soughtinterventiontolitigatetheunionsmajoritystatusoritssolicitationofauthorizationcards.
TaylorBros.,Inc.,230NLRB861,861fn.1(1977)J.P.Stevens&Co.,179NLRB254,255
(1969),enfd.441F.2d514(5thCir.1971),cert.denied404U.S.830(1971)andSprucePine
Mfg.,153NLRB309,309fn.1(1965),enfd.inpart365F.2d898(D.C.Cir.1966).
Foragooddiscussionofrelevantfactorstoconsider,seeCamayDrillingCo.,239NLRB
997,998998(1978).Inthatcase,theBoardreversedajudgesdenialofamotiontointervene
filedbytrusteesofajointlyoperatedpensionfund.Thejudgehadconcludedthatthetrustees
wouldhavenointerestinthetrialuntilabackpayproceedingwasheld.TheBoarddisagreed,
findingthatbecauseofthefiduciaryobligationsimposedonthetrusteesbyERISA,theyare
interestedpartiesundertheAdministrativeProcedureActandareentitledtointerveneto
safeguardassetsofthetrustfund.
SeealsoOperatingEngineersLocal12(GriffithCo.),212NLRB343,345(1974),revd.
onothergrounds545F.2d1194(9thCir.1976),cert.denied,434U.S.854(1977),inwhichthe
judgepermittedtrusteesoftrustfundstoappearinan8(b)(4)(ii)(B)and8(e)casethatinvolveda
clauseprohibitingsubcontractingtoemployerswhoweredelinquentinpaymentstothefunds.
ForacasewherethejudgeandBoarddeniedamotiontointervene,butgrantedtheright
tofileanamicusbrief,seeHotelDelCoronado,345NLRB306,306fn.1,308fn.1(2005)
(attorneyforNationalRighttoWorkLegalDefenseFoundation,whorepresentedanemployeeof
respondentopposedtounionization,soughttointervenein8(a)(5)casetourgethataneutrality
agreemententeredintobetweenrespondentspredecessorandtheunionwasimproper).
7410
NecessaryParties
ForadiscussionoftheapplicationofFRCP19(requiredjoinderofparties)toBoard
proceedings,seeExpertElectric,Inc.,347NLRB18,19(2006)(holdingthat,evenassuming
FRCP19appliestoBoardproceedings,whichisquestionable,individualmembersofamulti
employerassociationwerenotnecessaryandindispensiblepartiestothe8(a)(5)refusalto
bargaincaseagainsttheassociationitselfbecausetheBoardcouldaccordfullrelieftotheparties
withoutthejoinderofeachindividualmember).
48
7420
PartiesinInterest
Apartyininterestnamedinthecomplainthasthesamerightsasothernamedparties,
underSection102.38oftheBoardsRules,tonoticeandanopportunitytobeheard,including
presentingevidenceandexaminingwitnesses.See,e.g.,MidwesternPersonnelServices,Inc.,
331NLRB348,349(2000)andU.S.SteelCorp.,280NLRB837(1986).Thus,itspositionmust
alsobeconsideredinapprovingasettlementagreement,butonlytotheextentofitsinterest.See
HavenManorHealthRelatedFacility,243NLRB39(1979)(whereunionwaspartyininterest
onlyto8(a)(2)allegations,itsjoiningorbecomingapartytosettlementof8(a)(1)and(3)
allegationswasunnecessary).
7500
MisconductbyAttorneyorRepresentative
Thejudgehasnoauthoritytoholdattorneysincontemptforengaginginmisconduct
duringthetrialsuchasinterruptingothercounsel,witnesses,orthejudge,makingderogatory
commentstooraboutthem,refusingtoobeythejudgesrulings,orengaginginotherconduct
thatthejudgebelievesisintendedtounreasonablydelaythetrial.
However,theBoardsRulesandprecedentsprovidethejudgevariousothermethodsto
dealwithsuchmisconduct.Obviously,thejudgeshouldfirstpointouttotheoffendingpartythat
theconductisimproperandwillnotbetolerated.Iftheconductneverthelesspersists,Section
102.177oftheBoardsRulesandRegulations(MisconductbyAttorneysorParty
Representatives)providesthatthejudgemay: (1)excludecounselfromthehearing,(2)issue,
afterduenotice,anadmonishmentorreprimand,and/or(3)referthemattertotheGeneral
Counselforinvestigationandappropriateaction.
7510
ExclusionofCounsel
BoardsRules,Section102.177(b),providesthatmisconductbyanyperson...shallbe
groundsforsummaryexclusion fromthe[trial].Althoughthisoptioniswithinthejudges
discretion,itshouldbeusedcautiouslybecauseitinvolvesaninterferencewiththerespondents
righttocounsel.SeeGreatLakesScrewCorp.v.NLRB,409F.2d375,380381(7thCir.1969)
(courtreversedtheBoardsaffirmanceofajudgesdecisiontoexcludecounsel,criticizingboth
thejudgeandtheBoardfornotprovidingdetailedandspecificreferencestotheattorneys
conductthatallegedlywarrantedexclusion).SeealsoOperatingEngineersDistrict1(Crest
Tankers),274NLRB1481,1482(1985)(Boardreversedjudgewhohadexcludedcounsel
becausethejudgebelievedthatcounselhadmisrepresentedhisrulinginfilingaspecialappeal
andhadrefusedthejudgesdirectivetocorrecttheappeal).
Proceduresbeforeandafterexclusion.Ifthejudgedecidestoexercisetheexclusion
option,itisessentialthatheorsheprovidetheoffendingpartywithseveralwarnings,specifying
theconductthatthejudgeconsidersinappropriate.Thejudgeshouldalsomakeaclearstatement
ontherecordthatheorshewillexcludethepartyiftheconductcontinues.
Further,ifthepersonbeingexcludedrepresentstherespondent,itisappropriate,ifnot
essential,toadjournthetrialtopermittherespondenttoobtainnewcounselortoappealthe
judgesexclusionaryruling.SeeGreatLakesScrewCorp.,164NLRB149,149fn.2(1967),
revd.andremanded409F.2d375(7thCir.1969).
Foragoodexampleofhowtoproceedbothbeforeandafterexcludingarespondents
representativefromparticipatinginthetrial,seethejudgesdecisioninUSARemediation
Services,Inc.,5CA31524,JD20062006, WL691192(March15,2006)(slipop.at1520),
49
adoptedbytheBoardintheabsenceofexceptionsinaMay16,2006order.Seealsothe
subsequent,relateddisciplinaryproceeding,InreDavidM.Kelsey,349NLRB327(2007)
(issuingdefaultjudgmentimposing6monthsuspensionforthesameconduct).
Conductwarrantingexclusion.Forcaseswherethejudgehasexcludedthecharging
partysrepresentative,seeAdvanceWasteSystems,306NLRB1020,10321033(1992)
(representativeexcludedovertheobjectionoftheGeneralCounselandwithassistanceof
FederalProtectiveService)andStateBankofIndia,283NLRB266,277278(1987).Itisnot
clearwhetheranadjournmentwasrequestedorgrantedineitherofthesecasestopermitthe
chargingpartytoobtainanewrepresentative.However,ifanattorneyforthechargingpartyis
excludedandthechargingpartyrequestsanadjournmentofthetrialtoobtainnewcounselto
appealtheexclusionruling,therequestshouldprobablybegranted.GreatLakesScrew,above.
Apossiblemiddleground,whichcouldavoidthepostponementproblem,isavailable
whentheoffendingpartyhascocounsel.Thus,inBaddour,Inc.,281NLRB546,546fn.2
(1986),enfd.mem.848F.2d193(6thCir.1988),cert.denied488U.S.944(1988),theBoard
affirmedthejudgesrulingthatanattorney,whoconstantlyinterruptedwitnesses,objectedto
questionsthejudgehadpreviouslyruledproper,andarguedafterhisevidentiaryrulings,should
beprecludedfromspeakingorexaminingwitnesses,butcouldremainintheroomtoassistco
counsel.TheBoardconcludedthatjudgesrulinglimitingtheparticipationoftheattorneywasnot
improper.
7520
AuthoritytoAdmonishorReprimandCounsel
BoardsRules,Section102.177(b),alsoauthorizesjudgesandtheBoardtoadmonishor
reprimand,afterduenotice,anypersonwhoengagesinmisconductata[trial]. Aformal
admonitionorreprimanddeclaresconductimproperandcautionstheoffenderthatrepetitionof
offensewillresultinmoreseverediscipline.SargentKarch,314NLRB482,486fn.14(1994).
Seealso675WestEndOwnersCorp.,345NLRB324,325326fn.11(2005),enfd.304Fed.
Appx.911(2dCir.2008).ButseeMailContractorsofAmerica,347NLRB1158(2006),enf.
deniedonothergrounds,514F.3d27(D.C.Cir.2008)(holdingthatjudgesissuanceinhis
decisionofanoticeofpotentialadmonishment,reprimand,orsummaryexclusionstatingthat
counselshearingconductwasunprofessionaland,ifrepeated,couldresultinanadmonishment,
reprimand,orexclusion,wasitselfanadmonishmentorreprimandunderSec.102.177).
Theexclusionandformaladmonitionremediesarenotmutuallyexclusiveand,infact,in
mostcases,exclusionwillalsobeaccompaniedbyaformaladmonition.SeeAdvanceWaste
Systems,306NLRB1020,10321033(1992),andStateBankofIndia,above,283NLRBat
277278(1987).
Duenoticerequired.Therulespecificallyrequiresduenoticebeforeanadmonishment
orreprimandisissued.Thus,thejudgeshouldbecarefultogivebothadvancenoticeandan
opportunitytorespondbeforeissuingsuchdiscipline.SeeMailContractorsofAmerica,above.
Oneoptionwouldbetoprovidetherepresentativenoticeduringthehearingandanopportunityto
respondinaposthearingbriefbeforeissuingtheadmonishmentorreprimand.
Asindicatedabove,Section102.177(b)alsoauthorizestheBoardtoissuean
admonishmentorreprimandafterduenotice.Inlightofthis,somejudgeshavesimply
recommendedinthedecisionthatthelawyerorrepresentativebeadmonishedorreprimandedby
theBoard.Thisprocedureallowedtherepresentativetoaddresstheissueonexceptionsbefore
suchdisciplinewasactuallyadministered.However,theBoardhasnotbeenreceptivetothis
procedure.See675WestEndOwners,above(holdingthatthejudgeshouldhaveeither
50
exercisedherauthorityunder102.177(b)toissuethewarningandreprimandherself,orreferred
themattertotheGeneralCounselforinvestigationunder102.177(e)[discussedbelow]).
Conductwarrantingreprimand.Someexamplesofconductfoundtowarrantaformal
reprimand,admonishment,orwarninginclude:interruptingcounsel,witnesses,andthejudgeand
failingtofollowthejudgesinstructions,AdvanceWaste,aboveinappropriateorunprofessional
commentsaboutthejudge,MaiettaContracting,265NLRB1279,12791280(1982),enfd.
mem.729F.2d1448(3dCir.1984)profanitydirectedtowardscounselandthejudgeandrefusal
toobeythejudgesinstructions,accusingthejudgeoftakingmoney,StateBankofIndia,
aboveviolatingaseparationofwitnessesorderofthejudge,SeattleSeahawks,292NLRB899,
908(1989),enfd.mem.888F.2d125(2dCir.1989)andwillfullytaking frivolouspositionatthe
trialtodelayandabusetheBoardsprocesses,NursingCenteratVineland,318NLRB337,
344(1995).Otherexamplesincludetalkingloudly,interruptingwhilewitnessesaretestifying,
interposingbaselessobjectionsandevadingordisregardingajudgesrulings.675WestEnd
Owners,above,345NLRBat325326.SeealsoGovernmentEmployees(IBPO),327NLRB
676(1999)andAlanShortCenter,267NLRB886,886fn.1(1983).
Frivolousanswers.Notethataseparaterule,Section102.21,specificallyprovidesfor
disciplinaryactionagainstanattorneyorrepresentativeforwillfullyfilingananswerthatiswithout
goodgroundstosupportitandisinterposedfordelay.Thissectionhasfrequentlybeencitedby
theBoardincautioningandwarningattorneysagainstengaginginmisconduct.See,e.g.,Inre
Konig,318NLRB337,338fn.7(1995)GrahamWindhamServices,312NLRB1199,1199fn.
2(1993)WorldwideDetectiveBureau,296NLRB148,148fn.2(1989)andM.J.Santulli
MailServices,281NLRB1288,1288fn.1(1986).
Itisausefultoolforjudgestocitethesecaseswhenencounteringobviouslyfrivolous
answerstocomplaintallegations.Thisshouldbedoneinconferencecalls,especiallybecause
veryoftentheseanswersengendersubpoenasandneedlesslitigation.Itisnotuncommonfor
attorneystosuddenlyamendtheiranswerswhenconfrontedwiththepossibilityofdisciplinary
actionforneedlesslylitigatingissuesthatarenotreallyindispute.
7530
SuspensionofCounsel
ThefinalandmostsevereremedyformisconductissetforthinSection102.177(d)ofthe
BoardsrevisedRules,whichstatesthatmisconductatanystageofanyAgencyproceeding,
includingbutnotlimitedtothetrial,whichisofanaggravatedcharacter,shallbegroundsfor
suspensionand/ordisbarmentfrompracticebeforetheBoard.Thissection,whichhad
previouslybeenincorporatedinSection102.44,nowalsosetsforthadetailedprocedurefor
implementation.
Procedureforreferralofallegations.UnderSection102.177(e),anyperson,includingthe
judge,canfileanallegationofmisconductwiththeinvestigatingofficer,theAssociateGeneral
Counsel,DivisionofOperationsManagement,whohasfinal,unreviewableauthoritytoinitiate
disciplinaryproceedingsagainstanattorneyorotherrepresentative.
TheexplanatorymaterialpublishedintheFederalRegisterindicatedthatthejudgecould
recommenddisciplinaryactioninhisorherdecision,whichmaythenbereferredbytheBoardto
theinvestigatingofficer.61Fed,Reg,65323,65329,fn.12(Dec.12,1996).However,in
subsequentcases,theBoardhasexpressedapreferencethatthejudgeseparatelysubmita
recommendationfordisciplinedirectlytotheinvestigatingofficer.SeeEarthgrainsCo.,351
NLRB733,733fn.3(2007)675WestEndOwnersCorp.,345NLRB324,325326(2005),
enfd.304Fed.Appx.911(2dCir.2008)andMcAllisterTowing&Transportation,341NLRB
51
394,398fn.7(2004),enfd.156Fed.Appx.386(2dCir.2005).SeealsoSmithfieldPacking
Company,Inc.,344NLRB1,19fn.59(2004),enfd.447F.3d821(D.C.Cir.2006)(agreeing
withjudgesrecommendationtoreferperjuryandsubornationofperjuryallegationstothe
GeneralCounsel,butnotingthatthejudgehadtheauthoritytodosoaswell).
Thus,disciplinaryallegationsandrecommendationsshouldnormallybesenttothe
GeneralCounselbyseparateletter,nottotheBoard.See,e.g.,DavidM.Kelsey,349NLRB327
(2007)(judgeexcludedrespondentsrepresentativefromthehearingduetohismisconduct,and
thereafter,onthesamedayashisdecisionintheunderlyingcase,sentaseparateletterreferring
misconductallegationstoGeneralCounselpursuanttoSec.102.177,whichultimatelyresultedin
representatives6monthsuspension).
Definitionofaggravatedmisconduct.TheBoardsRulesdonotdefinetheterm
aggravatedmisconduct.ButSection102.177(a)oftheRulesstatesthatattorneysand
representativesshallconformtothestandardsofethicalandprofessionalconductrequiredof
practitionersbeforethecourts,andtheAgencywillbeguidedbythesestandardsininterpreting
andapplyingtheprovisionsofthissection.Seealsothesupplementaryinformation
accompanyingthefinalrulepublishedintheFederalRegister,61Fed.Reg.65323,65327(Dec.
12,1996)(statingthattheBoardwouldbeguidedbystandards,includingtheABAModelRules
ofProfessionalConduct,otherABAstandardsadoptedinthefuture,applicableStateBarrules,
andcourtdecisionsapplying[the]rules).
TheBoardemphasizedwhenitadoptedSection102.177in1996thatitwasnotchanging
thestandardforaggravatedmisconduct.Thus,itisalsoinstructivetoexaminecaseprecedent
todeterminethemeaningofthatterm.
Oneofthemostimportantfactorsappearstobethepresenceofpriordisciplinary
offenses.SeeSargentKarch,314NLRB482,486fn.10(1994),wheretheBoardsuspendedan
attorneyfrompracticefor6monthsforviolatingthejudgessequestrationorder.TheBoardnoted
thattheattorneyhadbeenformallyadmonishedforidenticalmisconductinapriorcase,and
citedSection6.23oftheAmericanBarAssociationStandardsforImposingLawyerSanctions,
whichstatesthatpriordisciplinaryoffensesconstituteanaggravatingfactorjustifyingincreased
discipline.
However,theBoardmadeclearinSargentKarchthatitdidnotmeantoimplythat
suspensionwouldneverbeappropriateintheabsenceofapriorformaladmonitionorreprimand.
TheBoardcited MatterofanAttorney,307NLRB913,913(1992),inwhichitapproveda
settlementcallingfora6monthsuspensionofanattorneyforusingprofanityandverbally
addressingopposingcounselinarude,vulgar,andprofanemanner,evenintheabsenceofprior
disciplinaryproceedingsagainsthim.SeealsoDavidM.Kelsey,349NLRB327(2007)(despite
lackofpriordiscipline,Boardissueddefaultjudgmentandordered6monthsuspensionof
respondentemployersnonattorneyrepresentativeforhismisconductduringthetrialinUSA
RemediationServices,Inc.,5CA31524,JD2006,2006WL691192(March15,2006),
adoptedintheabsenceofexceptionsMay16,2006).
Commontypesofmisconduct foundtowarrantsuspensionincludeinterruptions,refusals
toobeyjudgesinstructionsorrulings,delayingtactics,andderogatory,abusive,orprofane
commentstoopposingcounselandthejudge.See*UziEiny,352NLRB1178(2008)(6month
suspensionimposedonnonattorneyrespondentrepresentative)andDavidM.Kelsey,above
(same).
52
Lengthofsuspension.Although6monthsappearstobeacommonsanction,longer
suspensionshavebeenordered.SeeStuartBochner,322NLRB1096,1096(1997)(Board
issued21/2yearsuspensiontoattorneywhohadliedtothejudgeinoneproceedingand
purposelydelayedotherproceedingsbyengaginginfrivolousdelayingtactics,includingthe
failuretoproducesubpoenaeddocumentswithoutfilingamotiontorevokeinthreeseparate
proceedings,filedanswersthathekneworshouldhaveknownwerefalseinthreeproceedings,
andhadbeenpreviouslyadmonishedbytheBoardinAdvanceWasteSystems,306NLRB
1020,10321033(1992)forinterruptingcounsel,witnesses,andthejudgeandforfailingtofollow
thejudgesinstructions).SeealsoJoelI.Keiler,316NLRB763,766770(1995),vacatedby
unpublisheddistrictcourtorderdatedFebruary3,1998(Boardissued1yearsuspensionto
attorneywhoengagedinadhominemcommentsandscurrilouscharacterizationsoftheGeneral
Counsel,aswellasotherconductdesignedtoobstructanddelaytheBoardsexerciseof
subpoenaauthority,despitetheBoardspreviousexpressionsofdisapprovalwithrespecttohis
similarconductintwopriorcases).
Althoughrare,theBoardhasalsodisbarredanattorney.SeeKingsHarborHealthCare,
239NLRB679(1978)(attorneyhadpleadedguiltyincriminalproceedingtosubornationof
perjuryinpriorBoardproceeding).SeealsoApplicationandMotionofHorowitz,266NLRB
755(1983)(denyingsameattorneyssubsequentrequestforreinstatementofrighttoappear
beforeBoard).
7540
AwardingLitigationCosts
TheBoardhasalsoupheldtheawardoflitigationcostsagainstapartywhosecounselhas
engagedinconductdeliberatelydesignedtocausedelayandtherebydrawoutthelitigation. See
TeamstersLocal122(AugustA.Busch&Co.ofMassachusetts),334NLRB1190,1193,and
1255(2001).Seealso675WestEndOwnersCorp.,345NLRB324,326,and340(2005).
53
CHAPTER8.SUBPOENAS
8100
8110
InGeneral
ApplicationforSubpoena
BoardsRules,Section102.31,requiresawrittenapplicationforissuanceofasubpoena.
See8210,below.Iftheapplicationisfiledbeforetrial,itshouldbefiledwiththeRegional
Director.Iffiledduringthetrial,itshouldbefiledwiththejudge.
Applicationsforsubpoenasmaybemadeexparte.Ajudgemustissueasubpoenaand
awaitapetitiontorevoke,evenifthesubpoenaonitsfaceseekstheproductionofunobtainable
information.SeeCanovav.NLRB,708F.2d1498,1503(9thCir.1983).Afterthetrialopens,if
thejudgeisunavailable,asoveraweekend,theRegionalDirectormayissuearequested
subpoenabecausetheissuanceisvirtuallyaministerialactandinvolvesnoexerciseof
discretion.FreeFlowPackagingCorp.,219NLRB925,926(1975),enfd.inpart566F.2d1124
(9thCir.1978).
8120
ServiceofSubpoena
Serviceofsubpoenasmaybemadebypersonalservice,byregisteredorcertifiedmail,by
telegraph,orbyleavingacopyattheprincipalofficeorplaceofbusinessofthepersonrequired
tobeserved.BoardsRules,Section102.113(c).SeealsoOffshoreMarinersUnited,338NLRB
745(2002).
Itisnotrequiredthatasubpoenaservedbythelastofthesemethodsbeleftwithaperson
specificallyauthorizedtoacceptserviceofsubpoenas.SeePackagingTechniques,Inc.,317
NLRB1252,1253(1995)andControlServices,303NLRB481,483fn.13(1991),enfd.961
F.2d1568(3dCir.1992)(table)(leavingacopyofthesubpoenawiththereceptionistatthe
respondentsprincipalplaceofbusinesswaseffectiveserviceontherespondentsofficerunder
Section102.113(c),eveniftherespondenthadnotauthorizedthereceptionisttoacceptsuch
service).
Anysufficientproofmaybereliedupontoestablishthatservicewasmade.Section
102.113(e).BestWesternCityViewMotorInn,327NLRB468,468469(1999)(theattorneys
affirmationofserviceissufficient).Itisnotessentialtoprovideapostalreturnreceiptcardsigned
bythepersonsubpoenaedtoeffectuateservice.Id.at469.
ThedateofserviceisthedaywhenthesubpoenaisdepositedintheUnitedStatesmail,
orisdepositedwithaprivatedeliveryservicethatwillprovidearecordshowingthedateitwas
tenderedtothedeliveryservice,orisdeliveredinperson.BoardsRules,Section102.112.See
NationalAutomaticSprinklers,307NLRB481,481fn.1(1992).Seealso4750,
Subpoenas,above.
Notethatacopyofthesubpoenashallalsobeservedonanyattorneywhohasentered
anappearance,butthatservicecanbemadebyanymeansofservicepermittedbytheserules,
includingregularmail.Section102.113(f)oftheBoardsRules(formerlySec.102.111(b)).See
alsoIronWorkersLocal75(DefcoConstruction),268NLRB1453,1456fn.8(1984)(declining
totakeadverseinferencebasedonpartysfailuretocomplywithsubpoenawhere,interalia,
subpoenawasnotservedonpartysattorney).
55
CHAPTER8.SUBPOENAS
8130
GeographicReachofSubpoena
Section11(1)oftheActprovidesthattheBoardmayrequiretheattendanceofwitnesses
fromanyplaceintheUnitedStates,itsterritories,orpossessions.
8140
FeesandMileageRequiredtobePaid
Witnessessubpoenaedfortrialshallbepaidthesamefeesandmileagethatarepaid
witnessesintheFederalcourtsbythepartywhoissuedthesubpoena.BoardsRules,Section
102.32Zurn/N.E.P.C.O.,329NLRB484,486487(1999).Seealso28U.S.C.Section1821and
FRCP45(b).
Thefailureofarespondentorchargingpartytoprovidefeesandmileagewithsubpoenas
atthetimeofservicerendersthemdefectiveontheirface,anditistherecipientsprivilegenot
tocomplywiththem.RolligonCorp.,254NLRB22,22(1981).SeealsoChampCorp.,291
NLRB803,817(1988),enfd.933F.2d688(9thCir.1990),cert.denied,502U.S.957(1991)and
O.K.Machine&ToolCorp.,279NLRB474,479(1986).
Incontrast,however,theGeneralCounselneednotadvancethestandardfeesupon
serviceofasubpoena.Zurn/N.E.P.C.O.,above.SeealsoValentinePaintingand
Wallcovering,Inc.,331NLRB883,884(2000)(rejectingrespondentsobjectionthatwitnessand
mileagefeeswerenottenderedwiththeGeneralCounselssubpoena,notingthatthesubpoena
statedonitsfacethatsuchfeeswouldbepaiduponthepresentationofavoucher).Seealso
FRCP45(b)andNLRBCasehandlingManual(PartOne),Secs.11778(serviceofsubpoenas)
and11780(witnessfees).
Thedistancetobetraveled,however,mayjustifyrequiringthattravelexpensesbe
includedwithserviceofthesubpoena,evenbytheGovernment.SeeZurn/N.E.P.C.O.,above
(judgeconcludedthatitwasanundueburdentorequiredisinterestedwitnesstoadvancehis
owncostsfor550mileroundtrip).
Notethatarespondentsfailuretopaythewitnessfeeandmileagetoemployeeswho
appearatthehearingasrequiredbythesubpoenamayalsoconstituteaviolationoftheAct.See
HowardMfg.Co.,231NLRB731,732(1977)(respondentdidnottenderfeeseitherupon
serviceorthereafter).
8150
ExpertWitnesses,RequiredFeesandMileage
Regardingexpertwitnesses,thestandardfeeforwitnessesdoesnotconstitutepayment
ofthefeechargedbyanexpert,andasubpoenamaybequashedwhentheappropriateexpert
witnessfeehasnotbeenincludedwithserviceofthesubpoena.Zurn/N.E.P.C.O.,above,329
NLRBat486487.
8200
8210
RevocationofSubpoenas
PetitiontoRevokeInWriting
BoardsRules,Section102.31(b),providesthatpetitionstorevokeshallbe filedwithin5
daysafterservice,inwriting.However,toavoidunnecessarydelay,apartymayberequiredto
argueorallyagainstasubpoena.PackagingTechniques,Inc.,317NLRB1252,1253(1995)
56
CHAPTER8.SUBPOENAS
(denyingrespondentsrequestforthefull5daysallowedbySec.102.31tofileawrittenpetition
torevokeasubpoenaservedonthemorningofthetrial).
8220
Within5DaysRequirement
Asindicatedabove,anypartyservedwithasubpoenahas5daysfromthedateofreceipt
inwhichtopetitionforrevocationofthesubpoena.SeeSec.11oftheActandBoardsRules,
Section102.31(b).Incomputingthetimeperiod,thedateofserviceandintermediateSaturdays,
Sundays,andholidaysarenotcounted.BoardsRules,Section102.111(a).
However,toavoidunnecessarydelay,apartyseekingtorevokeasubpoenamaybe
requiredtorespondinlessthan5days.PackagingTechniques,Inc.,above,317NLRBat
1253.
Notethatthe5dayrulemaynotbestrictlyappliedifthesubpoenaedmaterialissubjectto
aprivilege.SeeM.J.MechanicalServices,324NLRB812,832(1997)(reportersprivilege)
andcasescitedbythejudgethere.Seealsothefollowingcourtcasesholdingthatapartydidnot
waiveitsrighttochallengesubpoenaenforcementbyfailingtoexhaustadministrativeremedies
bytimelyfilingapetitiontorevoke:NLRBv.MidlandDailyNews,151F.3d472,474475(6th
Cir.1998)(aBoardsubpoenathatconstitutedaconstitutionalinfringementof[therespondent
newspapers]righttoexercisecommercialfreespeech)andEEOCv.LutheranSocial
Services,186F.3d959,960(D.C.Cir.1999)(anEEOCdocumentprotectedbytheattorney
clientprivilege),discussedatlengthinNLRBv.Coughlin,176LRRM3197,2005WL850964(S.
Dist.Ill.2005)(notreportedinF.Supp.2d)(followingEEOC,above,withrespecttodocuments
privilegedbyattorneyclientandworkproductdoctrines).
ButseeDetroitNewspapersAgency,326NLRB700,751fn.25(1998),enf.deniedon
othergrounds216F.3d109(D.C.Cir.2000),wheretheBoard,inanunpublishedorderon
interlocutoryappealduringthetrial,reversedajudgewhorefusedtoapplythe5dayrule
because,interalia,thesubpoenaedmaterialwascoveredbytheattorneyclientprivilege.Apanel
majorityoftheBoardheldthatthejudgeabusedhisdiscretion...becausetheRespondentdid
notfileapropermotionorpetitiontorevokewithin5days.Dissenting,oneMemberwouldnot
havegrantedthespecialappeal,butwouldhavepermittedtheissuestoberaisedinthe
exceptionsprocess.SeealsoFTCv.GlaxoSmithKline,202F.R.D.8(D.D.C.2001)
(distinguishingEEOC,above,ongroundthatFTCsubpoenaspecificallystatedthatapetitionto
revokeorprivilegelogmustbefiledwithin5days).
8230
GroundsforRevokingSubpoena
Asubpoenamayberevokediftheevidencerequesteddoesnotrelatetoanymatter
underinvestigation,thesubpoenadoesnotdescribewithsufficientparticularitytheevidence
required,orthesubpoenaisinvalidforanyotherreasonsufficientinlaw.BoardsRules,Section
102.31(b).SeealsoBrinks,Inc.,281NLRB468,468(1986)(settingforthgeneralprinciples
withrespecttosubpoenarevocationandnotingusefulguidanceprovidedbyFederalRulesof
CivilProcedure,althoughthoserulesarenotbindingontheAgency).
57
CHAPTER8.SUBPOENAS
8300
8310
ScopeofSubpoenas
MaterialMustBeReasonablyRelevant
Subpoenaedinformationshouldbeproducedifitrelatestoanymatterinquestion,orifit
canprovidebackgroundinformationorleadtootherevidencepotentiallyrelevanttoanallegation
inthecomplaint.BoardsRules,Section102.31(b)andPerdueFarms,323NLRB345,348
(1997),affd.inrelevantpart144F.3d830,833834(D.C.Cir.1998)(theinformationneedstobe
onlyreasonablyrelevant).
8320
RequestMustNotBeVagueorOverbroad
Althoughasubpoenashouldbespecificinaskingforrelevantinformation,ajudgemay
oftenresolveobjectionsthatasubpoenaisvagueoroverbroadbyaskingthattherequestbe
narrowedormademorespecific. Withalittletimeandattention,suchobjectionsmayberesolved
bycompromise.
Ifpressed,however,thejudgemustruleonsuchobjections.Inanunpublishedorder,the
BoardreversedajudgesdecisiontoquashasubpoenaoftheGeneralCounselforbeingvague
andoverbroadbecausethelanguageinthesubpoenaaskedforinformationaboutunion
pressureregardingemployeesrefusaltoworkovertimeinlanguageborrowedfromBoardcases
dealingwithconcertedrefusalstovolunteerforovertimeinthehealthcareindustry.SEIUUnited
HealthcareWorkersWest,20CG65(October24,2006).
8330
BurdensomenessofProduction
Thepartyassertingburdensomenessmustmeetahighstandardorburdenofproof.A
subpoenaisnotundulyburdensomesimplybecauseitrequirestheproductionofalarge
numberofdocuments.Tosatisfytheburden,thepartymustshowthatproductionofthe
subpoenaedinformationwouldseriouslydisruptitsnormalbusinessoperations.NLRBv.
CarolinaFoodProcessors,Inc.,81F.3d507,513514(4thCir.1996),citedwithapprovalin
McAllisterTowing&TransportationCo.,341NLRB394,397(2004),enfd.156Fed.Appx.386
(2dCir.2005)and*CNNAmerica,Inc.,352NLRB675,676(2008).
In*CNNAmerica,above,theBoardindicatedthat,whenanalyzingalargescalerequest
forinformationunderasubpoena,thejudgemustbalancetherelevancyandneedforthe
informationagainstthepotentialcostandburdensomenessofitsproductionintheform
requested.TheBoardinthatcasealsoendorsedapplicationoftheFederalRulesofCivil
Proceduretoaidinresolvingsuchquestions.352NLRBat676.Seealso8340,below.
8340
ElectronicallyStoredInformation(ComputerRecords)
In*CNNAmerica,discussedabove,theBoardfoundthattherespondentmadea
plausibleargumentthatproductionofcertaintypesofinformationinelectronicformcouldbe
disruptiveofitsbusinessoperations.Notingthecomplexissuesinvolvedwithsuchelectronic
records,theBoarddirectedtheappointmentofaspecialmastertoassistinresolvingthematter.
TheBoarddirectedthatthespecialmaster(anotheradministrativelawjudge)applythebalancing
testsdescribedinFRCP26(b)(2)(C)andTheSedonaPrinciples.Principle3ofSedonarequires
theassessmentoftherealisticcostsofpreserving,retrieving,reviewing,andproducing
electronicallystoredinformation.Sedonaalsoprovidesguidanceinassessingthe
58
CHAPTER8.SUBPOENAS
burdensomenessofproductionofcomputerinformationindifferentformats(i.e.metadata)and
fromdifferentsources(i.e.disasterrecoverybackuptapes).
In*CNNAmerica,Inc.,353NLRB891(2009),theBoardadoptedthespecialmasters
analysisinthefollowingtworespects.UsingthecriteriacontainedinSedonaandFRCP
26(b)(2)(C),thespecialmasterconcludedthatanarrowlytailoreddemandforelectronic
discoveryshouldbeproducedwithaccompanyingmetadatasincesuchproductioninahighly
functionalformat...willincreasetheutilityofthismaterial. 353NLRBat902.Bycontrast,the
masternotedthattherequestingpartyhadfailedtodemonstratethenecessityforproductionof
materialfromdisasterrecoverytapes.353NLRBat902fn.21.
8350
RequestforBargainingInformation
TheGeneralCounsel(andindirectlythechargingpartyunion)maynot,byusinga
subpoena,obtainthesameinformationthatisallegedlyunlawfullywithheldfromtheunionin
violationofSection8(a)(5)oftheAct.Thiswouldamounttousingthesubpoenaprocessasa
substitutefortheBoardordersoughtbythecomplaint. ElectricalEnergyServices,288NLRB
925,931(1988).
Respondentsubpoenasthatbroadlyrequestedunionrecordsrelatingtopending
negotiations,includingcommunicationsbetweentheunionanditsmembers,havebeenrevoked
inordertoprotectthebargainingprocess.SeejudgesdecisioninBerbiglia,Inc.,233NLRB
1476,1495(1977).SeealsoChampCorp.,291NLRB803,817(1988),enfd.933F.2d688(9th
Cir.1990),cert.denied,502U.S.957(1991)(judgecitedBerbiglia,aswellasthesubpoenas
overbreadthandfacialdeficiency,asgroundsforrevokingrespondentssubpoenaseekingall
unionnotesorotherrecordsdescribingorrecordingcollectivebargainingsessions).
Thisrationalewouldseemalsotoapplytoemployernotesrelatingtobargainingstrategy.
SeeBoiseCascade,279NLRB422,432(1986)(Boardfoundnoviolationwhereemployer
refusedtoprovideunionrequestedinformationregardinghistoricaloverviewofitsnegotiations
andstrategy,andadoptedjudgesreasoningthat[a]properbargainingrelationshipbetweenthe
partiesmandatesthatRespondentbeabletoconfidentiallyevaluatepossibleinterpretationsof
theexistinglaboragreementandthatitbeabletoplaninconfidenceastrategyforalteringor
changing[thetermsandconditions]).
8360
PreservingRelatedMaterial
InDaumanPallet,Inc.,314NLRB185,213(1994),thejudgeexercisedhisdiscretionto
deferissuesofpiercingthecorporateveilandpersonalliabilitytothecomplianceproceeding,
butdidnotrevoketheGeneralCounselssubpoenaforthisreasontotheextentitsoughtsuch
informationrather,heorderedtherespondenttopreserveandmaintaindocumentsrelatedto
theseissuesforlateruseatthecompliancestageoftheproceedings.
8400
8405
PrivilegedMaterial
BurdenofProofPrivilegeLog/Index
Thepartyassertingaprivilegebearstheburdenofprovingthatitisapplicable.*CNN
America,Inc.,352NLRB448,448449(2008).Aspartofthisburden,thepartymustprovidea
privilegeindexlogspecificallyidentifyingthedocumentsitbelievesarecoveredbytheprivilege.
Theindexmustinclude(1)adescriptionofthedocument,includingitssubjectmatterandthe
59
CHAPTER8.SUBPOENAS
purposeforwhichitwascreated(2)thedatethedocumentwascreated(3)thenameandjob
titleoftheauthorofthedocumentand(4)ifapplicable,thenameandjobtitleoftherecipient(s)
ofthedocument.See*CNNAmerica,Inc.,above,353NLRBat899(quotingfromtheBoards
unpublishedorderinTriTechServices,15CA16707,datedJuly17,2003).SeealsoU.S.v.
ConstructionProductsResearch,Inc.,73F.3d464,473(2dCir.1996),cert.denied519U.S.
927(1996).Oncetheindexlogispreparedandreceived,thejudgemaythen,ifnecessary,
reviewthedocumentsincameratodecidewhetherthedocuments fallwithintheprivilege.
8410
InCameraInspections
Incamerainspectionsconductedbyadministrativelawjudgeshavebeenspecifically
authorizedbytheBoard.*CNNAmerica,Inc.,352NLRB448,449(2008)KaiserAluminum&
ChemicalCorp.,339NLRB829(2003)andBrinks,Inc.,281NLRB468,470(1986).Butsee,
tothecontrary,NLRBv.DetroitNewspapersAgency,185F.3d602,605(6thCir.1999).
Ifapartyseeksincamerainspectionofmaterialthatisclaimedtobeprivileged,thejudge
shouldrequirethatpartytoarticulatespecificgroundsfortheinspection.Ifthemovingparty
showsanadequatefactualbasistosupportagoodfaithbeliefthatsuchinspectionmayreveal
evidencethatisnotprotectedbytheprivilege,anincamerainspectionshouldbeconductedand
privilegedinformationshouldberedactedfromwhatevermaterialisturnedover.SeeU.S.v.
Zolin,491U.S.554,571(1989).
Incamerainspectionsmayalsobeusedinothercontexts.Forexample,whereaparty
soughtcopiesofminutesofunionmeetings,theBoardnotedthatSection7givesemployeesthe
righttokeepattendanceatunionmeetingsconfidential.Guess,Inc.,339NLRB432,434(2003).
Thus,ifsuchmaterialisfoundrelevant,thejudgeshouldviewitincameraandredactany
portionsidentifyingindividualsotherthantheallegeddiscriminatee.R.K.Mechanical,27CA
18863(unpublishedBoardorder,June23,2008,fn.2).Seealso13810,InCamera
InspectiononRelatednessIssue,below,withrespecttoJencksstatements.
8415
ProtectiveOrders
ItisclearthatBoardjudgeshavetheauthoritytoissueprotectiveordersinappropriate
circumstances.TeamstersLocal917(PeerlessImporters),345NLRB1010,1011(2005).
Thus,ifaservedpartyconsidersanyitemsirrelevant,privileged,orotherwiseexemptfrom
production,thejudgemaywanttoconsiderthematterafteranincamerainspection.Any
subsequentrulingmayincludeaprotectiveorderthatconditionsorlimitsuseoftherelevant
material
Apartyseekingaprotectiveorderinconnectionwithsubpoenaeddocumentsbearsthe
burdenofestablishinggoodcauseforsuchanorder.SeeFRCPRule26(c).Thisrequiresa
specificfactualshowing,asdistinguishedfrommereconclusorystatements,thatdisclosurewill
resultinaclearlydefinedandseriousinjury.Further,evenifsuchashowingismade(and,
indeed,evenifthepartiesstipulatetoissuanceofanorder),thejudgeshouldbalancethisinjury
againstotherfactorsthatmaywarrantdenyingorlimitingthescopeordurationofaprotective
order,includingthepublicsrighttoobtaininformationconcerningjudicialproceedings.See
Pansyv.BoroughofStroudsburg,23F.3d772,786789(3rd Cir.1994)and8AFed.Prac.&
Proc.Civ.2035(3dEd.2010).
Thejudgehasconsiderablediscretionindecidingwhethergoodcauseexiststoissuea
protectiveorder.However,itisnotunlimited.Forexample,inRichmondTimesDispatch,5CA
29157etal,thejudgegrantedaprotectiveorderrelatingtosubpoenaeddocuments,including
60
CHAPTER8.SUBPOENAS
timesheetsthatshowedhoursworkedorwagespaidtoemployees.TheGeneralCounsel
requestedspecialpermissiontoappeal,andtheBoardinanunpublishedorderissuedonAugust
1,2002,reversedthejudge,notingthatthematerialconsistedofroutineemploymentrelated
information,andthatRespondenthadfailedtodemonstrategoodcausewarrantingaprotective
orderunderFRCP26(c).TheBoardmajoritydidnotpassatthattimeonwhetherthejudge
properlyprotectedcertainotherinformation,includingdisciplinaryrecordsandelectronicmail
documentshowever,theBoardmajoritylaterdeniedtheGCsappealwithrespecttothis
information,notingthattherehadbeennoshowingofprejudicefromentryoftheprotectiveorder.
RichmondTimesDispatch,346NLRB74,74 fn.1(2005).Thejudgeshouldalsobecarefulnot
toundulyrestricttherightsofotherpartiesanddiscriminateestoparticipateintheproceeding.
SeeWaterbedWorld,289NLRB808,809(1988).
Ifitisdeterminedthatsuchanorderisappropriate,thejudgemayaskthepartyseeking
theordertosubmitaproposedprotectiveorder.Thejudgecanthentailortheordertomeetthe
legitimateneedsofthemovingpartyandthepossibleobjectionsofotherparties.Protective
ordersgenerallylimitthepersonswhoaretohaveaccesstotheinformationandtheusetowhich
thesepersonsmayputtheinformation.
Iftheprotectiveorderforbidsdisclosureofevidencetothegeneralpublicorother
nonpartiesorparticipantsintheproceeding,itisessentialthatthejudgeplacetheevidence
underseal.Thefailuretodosomayunderminesubsequentattemptstoenforcetheorder.See
UnitedParcelService,304NLRB693,694(1991).Itisalsoadvisabletoincludetheprotective
orderinanyrecommendedorderissuedbythejudge.NationalFootballLeague,309NLRB78,
79(1992)andCarthageHeating&SheetMetal,273NLRB120,123(1984).
ThefollowingareexamplesofprotectiveordersissuedinBoardcases:
1) AT&TCorp.,337NLRB689,693fn.1(2002):Theexhibitsinthisproceedingare
coveredbyaprotectiveorder...andnoexhibitsaretobefurnishedtooutsidesourcespursuant
totheFreedomofInformationActorpursuanttootherrequests.
2) NationalFootballLeague,309NLRB78,88(1992):Itisorderedthattheprotective
orderenteredintoduringthehearingprohibitingthepartiesfromdisclosingthecontentsofcertain
testimonybecontinuedinfullforceandeffectandthatallexhibitsintroducedintoevidenceunder
sealwillcontinuetobemaintainedundersealandthatportionsofthetranscriptofthehearing
heldduringincamerasessionswillnotbeopentothepublic.
3) UnitedParcelService,304NLRB693,693694(1991):Thejudgeruledthatcertain
subpoenaeddocumentsshouldbeproduced,overrespondentsobjection,butdirectedthattheir
useshallbelimitedtothishearingandshallneitherbedisclosednordisseminatedtootherthan
counselofrecordatthishearing.Twoofthedocumentswerelateradmittedintoevidence.The
issueinthecasewaswhethertheprotectiveorderwasviolatedbyuseofthedocumentsin
anotherproceeding.TheBoardheldthat,becausethejudgedidnotorderthatthedocuments
receivedinevidencebesealedandtherespondentsattorneydidnotrequestaseal,theirusein
anothercase,afterthecloseofthehearing,bythechargingpartysattorneywasnotimproper.
TheBoardnotedthatthejudgefailed...tocontinueadequatelytheprotectionaffordedbyhis
extantorder.
InUnitedParcel,theBoardalsonotedthatviolationofaprotectiveordermaybe
enforcedbyprocessingachargeofmisconductunderSection102.177oftheBoardsRulesand
Regulations.See7500etseq.,above.
61
CHAPTER8.SUBPOENAS
SometimestheGeneralCounselorotherpartymaywanttoremovefilesanddocuments
producedundersubpoenatoaseparateroomorevenkeepthemovernight.Theproblemis
enhancediftherequestappliestopersonnelfilesandpayrollrecordsofcurrentemployees.
Beforepermittingthis(evenifthereisnoobjection),thejudgemustconsiderthepossibilitythata
contentioncanbemadelater,whentheGeneralCounselseeksastipulationofauthenticity,that
someoftheaffecteddocumentshavebeentamperedwith(forexample,acontentionthatthe
presenceofyellow(orothercolor)highlightingwasnotpresentwhenthefileswereturnedoverto
theGeneralCounsel)andthatthepartyservedcannotnowstipulatetoauthenticity.Evenworse,
acontentioncouldbemadethatthefileshadcontainedcriticaldocumentsthathavebeen
removed,andnotreturned,andthatnowtheservedpartywillhavetooffersecondaryevidence
oftheir(purported)contents.
8420
AttorneyClientPrivilege
Theattorneyclientprivilegeprotectsfromdisclosurecommunicationsfromaclienttoan
attorneyandresponsivecommunicationsfromtheattorneytotheclient.Theprivilegeapplies
onlyif(1)theholderoftheprivilegeisorsoughttobecomeaclient(2)thepersontowhomthe
communicationwasmade(a)isamemberofthebarofacourt,orhisorhersubordinate,and(b)
inconnectionwiththiscommunicationisactingasalawyer(3)thecommunicationrelatestoa
factofwhichtheattorneywasinformed(a)byhisorherclient(b)withoutthepresenceof
strangers(c)forthepurposeofsecuringprimarilyeither(i)anopiniononlawor(ii)legalservices
or(iii)assistanceinsomelegalproceeding,andnot(d)forthepurposeofcommittingacrimeor
tortand(4)theprivilegehasbeen(a)claimedand(b)notwaivedbytheclient.SeeU.S.v.
UnitedShoeMachineryCorp.,89F.Supp.357,358359(D.Mass.1950).SeealsoInre
VioxxProductsLiabilityLitigation,501F.Supp.2d789(E.D.La.2007).
Inrulingonattorneyclientprivilege,theBoardgenerallytrackstheSupremeCourts
decisioninUpjohnCorp.v.U.S.,449U.S.383,389390(1981).Whenapartyarguesthatthe
informationsoughtbyasubpoenaisprotectedbytheattorneyclientprivilege,therelevantinquiry
iswhetherthesubpoenaedmaterialdisclosesacommunicationmadeinconfidencetoan
attorneybyaclientforthepurposeofseekinglegaladvice.Theprivilegeprotectsnotonlythe
givingoflegaladvicetoonewhocanactonit,butalsothegivingofinformationtotheattorneyto
enablehimtogiveinformedadvice.PatrickCudahy,Inc.,288NLRB968,969971(1988).
Theprivilegeappliesonlytocommunicationsandnottofacts.Awitnessmaynotrefuseto
disclosefactswithinhisownknowledgesimplybecauseheincorporatesthosefactsintoa
communicationwithhisattorney.SunlandConstructionCo.,311NLRB685,699700(1993),
quotingfromUpjohn,above,449U.S.at396397.SeealsoB.P.Exploration,Inc.,337NLRB
887,889(2002)(reportspreparedatattorneysbehestinpreparationforlitigationwereprivileged
attorneyclientcommunicationsanditwasthereportsnotthefactualinformationcontainedin
themthattheUnionsought.).Cf.BorgessMedicalCenter,342NLRB1105,1106fn.5(2004)
(sinceincidentreportssoughtbyunioninconnectionwitharbitrationproceedingwerenot
preparedbyorwithparticipationofattorney,theprivilegedoesnotapply).
Onerecurringtypeofprivilegeissueconcernsthepropercharacterizationof
communicationsinvolvinginhousecounselincircumstanceswhereitisshownthatthisofficial
performsbothlegalandregularbusinessfunctions.Asonecourthasexplained:
Itisoftendifficulttoapplytheattorneyclientprivilegeinthecorporatecontextto
communicationsbetweeninhousecorporatecounselandthosewhopersonifythe
corporateentitybecausemoderncorporatecounselhavebecomeinvolvedinallfacetsof
theenterprisesforwhichtheywork.Asaconsequence,inhouselegalcounsel
62
CHAPTER8.SUBPOENAS
participatesinandrendersdecisionsaboutbusiness,technical,scientific,publicrelations,
andadvertisingissues,aswellaspurelylegalissues.
InreVioxxProductsLiabilityLitigation,501F.Supp.2d789,797(E.D.La.2007).TheBoard
addressedtheproblemin*CNNAmerica,Inc.,352NLRB448,448449(2008),affirmingthe
judgesorderforanincamerainspectionofsuchcommunicationstoresolveclaimsofprivilege.
AstheBoardstated,anemployersmereassertionthatinformationwassentorreceivedby...
inhousecounselisinsufficienttomeetitsburden.
Foranindepthanalysisofattorneyclientandworkproductissues,seeEpstein,The
AttorneyClientPrivilegeandtheWorkProductDoctrine,FourthEdition,ABASectionof
Litigation(2001).
8425
BusinessRecords/LegalAdviceinCollectiveBargaining
Ordinarycorporaterecordssuchaspayrollorpersonnelrecords,cannotbesweptwithin
theprivilegesimplybybeingtransmittedfromtheclienttotheattorney.Nevertheless,whenlegal
advicerelatestocollectivebargaining,theBoardwillnotreadilyandbroadlycompeldisclosureof
confidentialcommunicationsbetweenattorneyandclientsimplybecausethecommunicationsare
intermixedwithbusinessandeconomicconsiderations.Thenotesofexchangesinabargaining
sessionwithotherpartiesarenotprotected,however,unlesstheyareintermingledwithprivileged
communications.See*CNNAmerica,Inc.,above,352NLRBat449andPatrickCudahy,
above,288NLRBat971fn.13.SeealsoTaylorLumber&Treating,Inc.,326NLRB1298,
1298fn.2(1998).
8430
WaiverofAttorneyClientPrivilege
Theattorneyclientprivilegemaybewaived,eitherdeliberatelyorbyinadvertenceor
failingtosafeguardthematerial.Thus,inFarmFresh,Inc.,301NLRB907,917(1991),the
Boardheldthattheprivilegedidnotapplywhenadocument,arguablysubjecttotheprivilege,
wasstolenandgiventotheunion,astherespondentwasrequiredtosafeguardthedocument.
However,withrespecttoinformationdisclosedinaFederalproceedingortoaFederalofficeror
agency,FRE502(enactedinSeptember2008),providesthataninadvertentdisclosurewillnot
operateasawaiveroftheprivilegeifreasonablestepsweretakentopreventdisclosureandto
rectifytheerror.AsindicatedintheAdvisoryCommitteeNotes,anumberoffactorsmaybe
consideredinapplyingthisrule,includingthenumberofdocumentstobereviewedandthetime
constraintsforproduction.
Thepresenceofathirdpersonwaivestheprivilege,evenifthethirdperson(notpartof
theclientorlegalteam)isalawyerwhoispresentmerelyasafamilycounselorratherthanto
givelegaladvice.U.S.v.Evans,113F.3d1457,14621467(7thCir.1997).
Theprivilegemayalsobewaivedbyprovidingthedocumentsinotherproceedings.Wal
MartStores,Inc.,348NLRB833,834(2006).ButseeTaylorLumber&Treating,Inc.,above,
326NLRBat1300(nowaiverwhereattorneygaveaffidavitduringtheregionaloffices
investigation,andtheaffidavitdidnotcontainfactsaboutprivilegedcommunications).
Oncewaived,theattorneyclientprivilegeislostinallforumsforproceedingsrunning
concurrentwithorafterthewaiveroccurs.WalMartStores,Inc.,above,348NLRBat834,citing
cases.InWalMart,theBoardruledthattherespondentsproductionofsubpoenaeddocuments
inastatecourtproceedingconstitutedawaiverintheBoardproceeding,eventhoughthewaiver
camemonthsafterthejudgesrulingintheNLRBcasethatthedocumentswereprivileged.The
63
CHAPTER8.SUBPOENAS
judgesrulingwasnotfinalbecausethematterwaspendingbeforetheBoardonexceptions
whenthewaivertookplace.
Seealsothediscussionoftheseissuesin13260to13263,below.
8435
Crime/FraudExceptiontoAttorneyClientPrivilege
Attorneyclientcommunicationsinfurtheranceofcrimesorfraudsarenotprotectedbythe
attorneyclientprivilege.Asufficientshowingoftheapplicabilityofthecrime/fraudexceptionis
madebyevidencethat,ifbelieved,wouldprimafacieestablishtheelementsofanongoingor
futurecrimeorfraud.See,e.g.,SmithfieldPackingCo.,344NLRB1,1314 fn.60(2004),enfd.
447F.3d821(D.C.Cir.2006)(testimonywithrespecttocommunicationsbetweenrespondents
formermanagerandrespondentsattorneyregardingthepreparationofmanagersaffidavit,
specificallyastowhethermanagergaveafalseaffidavittotherespondentsattorneyandwhether
theattorneyknewitwasfalse,camewithincrimefraudexception).
However,theBoardhasdeclinedtoapplythecrime/fraudexceptiontoattorneyclient
communicationsinfurtheranceofunfairlaborpractices.PatrickCudahy,Inc.,above,288NLRB
at972974.
8440
DurationofAttorneyClientPrivilege
InSwidler&Berlinv.U.S.,524U.S.399(1998),theSupremeCourtheldthatthe
attorneyclientprivilegesurvivesthedeathoftheclient.
8445
WorkProductPrivilege
Theworkproductprivilegeprotectsdocumentspreparedinanticipationoflitigationbyor
forapartyrepresentative,regardlessofwhethertherepresentativeisanattorney.Itwasfirst
recognizedinHickmanv.Taylor,329U.S.495,511(1947),andisnowcodifiedinRule26(b)(3)
oftheFederalRulesofCivilProcedure(FRCP).
Adocumentiscoveredbytheprivilegeifitwaspreparedorobtainedbecauseofthe
prospectoflitigation,ratherthanintheordinarycourseofbusiness,i.e.itwouldnothavebeen
preparedbutforthefairlyforeseeableprospectoflitigation.SeecasescitedinCentral
TelephoneCompanyofTexas,343NLRB987,988(2004)(findingthattheprivilegeapplied,
andthattheunionwasnotentitledtocopiesofnotestakenbyrespondentshumanresources
specialistwhileinvestigatingallegedmisconductthatlaterbecamethesubjectofagrievance,as
theinvestigationwasdirectedbyinhousecounsel,respondentdidnotordinarilyconductsuchan
extensiveinvestigation,anditsfearoflitigationwasobjectivelyreasonableeventhoughno
litigationhadbeeninitiatedandtheemployeeshadnotyetbeendisciplinedwhenthenoteswere
prepared).
FRCP26(b)(3)(A)(ii)providesforanexceptionuponapartysshowingthatithasa
substantialneedforthematerialsandcannot,withoutunduehardshipobtaintheirsubstantial
equivalentbyothermeans.Forcasesapplyingthisexception,seeCentralTelephone,above
(unionfailedtomeetitsburdenastherespondenthadprovidedtheunionwithwitness
statementsandtheunionwasabletoconductitsownwitnessinterviews)andMarianManorfor
theAgedandInfirm,Inc.,333NLRB1084(2001)(employerseekingcopyofresponsesto
unionssurveyofemployersnursingstaffregardingsupervisoryindiciafailedtoshowthatitwas
unabletoobtaintheequivalentinformationbyothermeans,includingconductingitsownsurvey
ofemployees).SeealsoKaiserAluminum&ChemicalCorp.,339NLRB829(2003)
64
CHAPTER8.SUBPOENAS
(respondentfailedtoshowsubstantialneedforcopyofpositionstatementsubmittedbycharging
partytoGeneralCounselinsupportofitschargeduringtheinvestigation).
However,eveniftheexceptionisfoundtoapply,anddocumentswithintheprivilegeare
ordereddisclosed,Rule26(b)(3)(B)requiresprotectionagainstdisclosureofthemental
impressions,conclusion,opinions,orlegaltheoriesofapartiesattorneyorotherrepresentative
concerningthelitigation.CentralTelephone,above,343NLRBat998.
Foracaseaddressingwaiveroftheworkproductprivilege,see*RalphsGroceryCo.,
352NLRB128,129(2008)(findingnowaiverbyrespondentemployer).Withrespecttoposition
statements,compareKaiserAluminum,above(chargingpartydoesnotwaiveprivilegeby
givingpositionstatementtoGeneralCounsel)withEvergreenAmericaCorp.,348NLRB178,
187(2006)(contraryruleapplieswhererespondentsubmitspositionstatementtoGeneral
Counsel).SeealsoFRE502(addressingwaiveroftheattorneyclientandworkproductprivileges
inconnectionwithbothintentionalandinadvertentdisclosuresinFederalproceedingsortoa
Federalofficeoragency).
8450
ReportersPrivilege
In*CNNAmerica,Inc.,352NLRB675,676677(2008),theBoarddidnotspecifically
decidewhetherareportersprivilegeappliesinBoardproceedings.However,assuming forsake
ofargumentthatitdid,theBoardendorsedabalancingtesttodeterminewhetherthe
subpoenaedinformationmustbeprovided.Relevantfactorstoconsiderare:whetherthe
informationisnotobtainablefromalternativesourceswhetheritiscrucialtoestablishtheclaim
andwhethertheneedfortheinformationoutweighstheinterestinprotectingthesubstanceofthe
reportersnewsgathering.Applyingthesefactors,theBoardfoundthatthebalancetippedinfavor
ofdisclosuretotheGeneralCounsel,notingtheabsenceofanyclaimbyCNNthatthe
informationsoughtwasobtainedfromaconfidentialsourceorwouldlikelyleadtodiscoveryof
confidentialinformationorsources.
8455
TestimonybyBoardAgentsandPrivilegedFiles
Section102.118(a)oftheBoardsRulesprovidesthat,exceptasprovidedunderthe
BoardsFreedomofInformationAct(FOIA)regulations(102.117(a)(c)),nopersonemployedby
theAgencyoractingonitsbehalfshallproduceorpresentfiles,reports,orrecordsunderthe
controloftheBoardorGeneralCounselinanylegalproceeding,whetherinresponsetoa
subpoenaorotherwise,withoutthewrittenconsentoftheBoardoritsChairman(ifthe
documentsareinWashington,D.C.andintheBoardscontrol),orthewrittenconsentofthe
GeneralCounsel(ifthedocumentsareinaRegionalOfficeorinWashington,D.C.underthe
GeneralCounselscontrol).
ThesamesectionalsorequiressimilarconsenttoobtaintestimonybyanAgency
employeeoragent.SeealsoLaidlawTransit,Inc.,327NLRB315,316(1998)(toavoidthe
appearanceofpartiality,theBoardhasastrongandlongstandingpolicyagainstBoardagents
andemployeesappearingaswitnessesinalegalproceeding).Seealso13603,Board
Agents,below.
65
CHAPTER8.SUBPOENAS
8460
MediatorNotSubjecttoSubpoena
BoardpolicydoesnotpermitapartytocompelamediatortotestifyinBoardproceedings.
SuccessVillageApartments,Inc.,347NLRB1065,1065(2006).Thus,asubpoenarequiring
thetestimonyofamediatortotestifymustbequashed.
8465
StateConfidentialityRulesNotControlling
EvidencethatisotherwiseadmissibleisnotrenderedinadmissibleinBoardproceedings
becauseitisprivilegedunderStatelaw.SeeR.SabeeCo.,351NLRB1350,1350fn.3(2007)
(judgeproperlyacceptedintoevidencestatementsmadeduringstatecourtinjunctionproceeding
andrelatedcourtorderedmediationofstatelawclaims,despiteclaimofprivilegeunder
Wisconsinlaw)andNorthCarolinaLicensePlateAgency#18,346NLRB293,294fn.5
(2006),enfd.243Fed.Appx.771(4thCir.2007)(evidencefromastateunemployment
commission,whichwasprivilegedunderstatelaw,wasneverthelessadmissibleinBoard
proceeding).SeealsoTrinidadLogisticsCo.,7CA44621et.al.,ALJorderdatedJune4,
2002,2002WL1466281(Californiaconfidentialityprovisionprecludingproductionofcriminal
convictionsdoesnotoutweighneedofrespondenttoobtainsuchinformationbysubpoenatouse
inimpeachinganallegeddiscriminateeinBoardproceeding).
8470
UnionAuthorizationCardsNotProduciblebySubpoena
Arespondentmaynotobtaincopiesofunionauthorizationcardsbysubpoena.The
identityofcardsignersisdeemedconfidentialanddisclosurewouldhaveachillingeffecton
unionactivity.SeeWrightElectric,Inc.v.NLRB,200F.3d.1162,1167(8thCir.2000),citing
withapprovalNationalTelephoneDirectoryCorp.,319NLRB420,421422(1995).Seealso
13702,NamesofEmployeesWhoSupportedUnionNotObtainable,below.
8500
JencksStatementsNotProduciblebySubpoena
AJencksstatementoraffidavitgiventotheGeneralCounselbyawitnessisnotsubject
toproductionbysubpoenainadvanceoftrial.H.B.ZachryCo.,310NLRB1037,1037,1038
(1993).NorissuchstatementoraffidavitproducibleundertheFreedomofInformationAct.See
StrideRiteCorp.,228NLRB224,226fn.3(1977).
Suchstatementsoraffidavitsareproducibleonlyafterthewitnesshastestifiedforuseon
crossexaminationofthewitness.SeeBoardsRulesSection102.118(b)(c)and(d).Fortheorigin
oftherule,seeJencksv.U.S.,353U.S.657,662(1957).Seealso13800etseq.,Releaseof
WitnessStatements,below.
8510
Tape/VideoRecordings
Taperecordingsandtranscriptsofconversationsbetweenasupervisorandemployeeare
notJencksstatementsandneednotbeproducedunderSection102.118(d).LeisureKnoll
Assn.,327NLRB470,470fn.1(1999).Similarly,contemporaneousremarkscapturedonan
audioorvideotape,taken,forexample,whenapplicantsapplyforworkinanemployersoffice,
arenotaJencksstatementbecausetheyarenotadescriptionofapasteventbutpartofthe
substantiveeventitself.DeltaMechanical,Inc.,323NLRB76,77(1997).
However,suchrecordingsmaybesubpoenaed.DeltaMechanical,above.Seealso13
218,TapeRecordingObtainedbySubpoena,below.Iftherecordingisinthesolepossessionof
66
CHAPTER8.SUBPOENAS
theGeneralCounsel,awrittenrequestmustbemadepursuanttoSection102.118(a).See
Gallup,Inc.,349NLRB1213,1218(2007),discussedmorefullyinthenextsectionbelow.
8520
PermissionoftheGeneralCounsel
OneissuethathasarisenfollowingLeisureKnollandDeltaMechanical,above,is
whetherasubpoenaservedonawitnesstoproduceanyaudioorvideotaperecordings
pertainingtothecase,willreachthetapesifthewitnesshadpreviouslyturnedthetapesoverto
theRegionalOffice.InGallup,Inc.,above,thejudgeruledthatitdid,andthereforestruckthe
witnesstestimonyunderBannonMills(see8620,FailuretoProduceDocuments,below)
whentheGeneralCounselrefusedtoturnthetapesovertotherespondentpursuanttoeitherthe
subpoenaortheJenksrule(astherecordingswerenotstatementsunderthatrule).Onspecial
appeal,however,theBoardreversed,andheldthattherespondentmustfirstrequesttheGeneral
Counsel'sconsenttoproduceunderSection102.118(a).
Asecondquestioniswhetherthetrialmustbedelayedwhiletherespondentmakesa
writtenrequestthattheGeneralCounsel(inWashington,D.C.)grantpermissionunderBoard's
Rules,Section102.118(a)(1),forproduction,and/orservesanewsubpoenaontheRegional
DirectorortheGovernment'strialattorney.Thiswillprobablydependonthespecific
circumstancesofeachcase.Thejudgeshouldutilizehisorherdiscretion.
8600
8610
RefusaltoHonorSubpoena
FailureofWitnesstoAppear
Thefailureofawitnesstoappearandtestifyincompliancewithasubpoenaonbehalfofa
partyforwhomthewitnesswouldnormallybeexpectedtogivefavorabletestimonymay
appropriatelygiverisetoaninferencethatthewitnesstestimonywouldbeunfavorabletothat
party(i.e.wouldfavortheadverseparty).CarpentersLocal405,328NLRB788,788fn.2
(1999).Seealso13235,AdverseInferences,below.
8620
FailuretoProduceDocuments
Severaloptionsareavailabletoajudgewhereapartyrefusestocomplywithasubpoena
andtheGeneralCounselhaschosennottoinitiatecourtenforcementproceedingstoavoid
unduedelayinthehearingorforsomeotherreason(see8700,below,Enforcement of
SubpoenasonBehalfofPrivateParty).McAllisterTowing&Transportation,341NLRB394,
396397(2004),enfd.156Fed.Appx.386(2dCir.2005).Theappropriateoption,ifany,iswithin
thediscretionofthejudge,whomaychooseanyorallofthem,dependingonthecircumstances.
Ibid.Thejudgemay:
1) Drawanadverseinference.SeeADF,Inc.,355NLRBNo.14,slipop.at6(2010),
reaffirmedandincorporatedbyreference355NLRBNo.62(2010)*PaintAmericaServices,
Inc.,353NLRB973,989(2009)*EssexValleyVisitingNursesAssoc.,352NLRB427,440
443(2008)andTeamstersLocal776(PennsySupply),313NLRB1148,1154(1994)
2) Baranoncomplyingpartyfromaskingquestionsondirectorcrossexaminationabout
thesubjectmattersoughtbythesubpoena.PerdueFarms,323NLRB345,348(1997),affd.in
relevantpart144F.3d830,833834(D.C.Cir.1998)andPackagingTechniques,Inc.,317
NLRB1252,1253(1995)and
67
CHAPTER8.SUBPOENAS
3) Permittheintroductionofsecondaryevidencebythepartywhohasbeen
disadvantaged.BannonMills,146NLRB611,614fn.4,633634(1964)andAmericanArt
Industries,166NLRB943,951953(1967),affd.inpertinentpart415F.2d1223,12291230
(5thCir.1969).Thismaybefollowedbyanorderprecludingtheoffendingpartyfromcross
examiningwitnesseswhoofferthesecondaryevidence.NLRBv.C.H.Sprague&Son,428
F.2d938,942(1stCir.1970).
AgooddiscussionoftheuseofsuchsanctionsisfoundinMcAllisterTowing&
Transportation,above.Inthatcase,theBoardapprovedthejudgesimpositionoflimited
sanctionsforthefailureofapartytocomplyanddelayincomplyingwithavalidsubpoena.The
Boardnotedthat[a]subpoenaisnotaninvitationtocomplyatamutuallyconvenienttime,and
thatapartyhasanobligationtobeginagoodfaithefforttogatherresponsivedocumentsupon
serviceofthesubpoenas.341NLRBat397.TheBoardthereforeaffirmedthejudgesapprovalof
theuseofsecondaryevidencebythepartyseekingproduction,herrefusaltopermitthe
noncomplyingpartyfromrebuttingsuchevidenceorcrossexaminingwitnessesaboutit,andher
drawingofadverseinferencesagainstthenoncomplyingparty.
AsindicatedinMcAllisterTowing,thecourtshavegenerallyupheldtheBoardsauthority
toimposesanctionsasanalternativetoseekingcourtenforcement,basedontheBoards
inherentinterestinmaintainingtheintegrityofthehearingprocess.ButseeNLRBv.Intl
MedicationSystems,640F.2d1110(9thCir.1981),denyingenf.of244NLRB861(1979).
Theadverseinferenceruleisnotmandatory.See NationalSpecialtiesInstallations,
Inc.,344NLRB191(2005).Generally,itwouldbeimpropertodrawanadverseinferenceifa
satisfactoryexplanationisprovidedforthefailuretoproducethedocuments.SeeHansenBros.
Enterprises,313NLRB599,608(1993)(discriminateecrediblytestifiedthatoldtaxreturnsdid
notexist)ChampCorp.,291NLRB803(1988),enfd.933F.2d688(9thCir.1990),cert.denied
502U.S.957(1991)(unionpresentedcredibletestimonyconcerningitsgoodfaithbut
unsuccessfulsearchforsubpoenaednotesandotherevidencesupportedreasonableinference
thatnotescouldhavebeeninadvertentlydestroyedormisplaced).Thejudgemay,inhisorher
discretion,alsodeclinetomakeanadverseinferenceundertheparticularcircumstances
presented.SeeCPSChemicalCo.,324NLRB1018,1019(1997),enfd.160F.3d150(3dCir.
1998)(noprejudicesufferedbynonproduction). Seealso13235,AdverseInferences,below.
Noncompliancewithasubpoenadoesnotwarrantthedismissalofacomplaint.In
TeamstersLocal917(PeerlessImporters),345NLRB1010(2005),theBoardreverseda
judgewhohaddismissedtheGeneralCounselscomplaintbecausethechargingpartyfailedfully
tocomplywiththerespondentssubpoena,findingthatthejudgehadabusedhisdiscretion.
CitingMcAllisterTowing,above,theBoardnotedthattherewereotherlessdrasticsanctions
availabletothejudgeandobservedthatdismissingacomplaintbecauseofsubpoena
noncompliancewouldhavebeenunprecedented.345NLRBat1011.
8630
InterferencewithSubpoenaCompliance
ItisaviolationoftheActtostateorimplythatcompliancewithasubpoenaisoptional.
BobsMotors,Inc.,241NLRB1236,1236(1979).Attemptingtodissuadeanemployeefrom
speakingtoaBoardagentorappearingataBoardtrialalsoviolatestheAct.Alterman
TransportLines,Inc.,127NLRB803,804(1960)CertainTeedProductsCorp.,147NLRB
1517,1520(1964)andFitel/LucentTechnologies,Inc.,326NLRB46,54(1998).Seealso
U.S.PrecisionLens,288NLRB505,505fn.3(1988)(treatingawitnessattendanceataBoard
trialasabsencescountingagainstheremployersexcellentattendanceprogramviolates
68
CHAPTER8.SUBPOENAS
Section8(a)(4)).Ajudgewholearnsthatwitnessesarebeingsubjectedtoretaliationfortestifying
shouldtakestepstopreventretaliationbyatleastfirmlywarningagainstit.
Incertaincircumstances,thejudgemayimposelitigationcostsagainstapartywho
violatesajudgesinstructionsregardingsubpoenas.In675WestEndOwnersCorp.,345NLRB
324,326,327fn.11(2005),enfd.304Fed.Appx.911(2dCir.2008),theBoardapprovedsuch
costsagainstarespondentwhodisobeyedthejudgesinstructionsthatarevokedsubpoenamay
notbeservedagainandthatissuanceofasubpoenaafterthecloseofthehearingisanabuse
ofBoardprocess.TheBoardagreedwiththejudgesrecommendationthatahearingbeheldto
determinethelitigationcostsexpendedbythechargingpartyandtheGeneralCounselbecause
oftherespondentsconduct,citingapplicableauthoritiesunderthebadfaithexceptiontothe
AmericanRuleagainstawardinglitigationcosts.
8700
EnforcementofSubpoenasonBehalfofPrivateParty
Section102.31(d)oftheBoardsRulesprovidesthatuponapartysfailuretocomplywith
asubpoenaissuedonrequestofaprivateparty,theGeneralCounselshallinstitute(butnot
prosecute)aproceedingindistrictcourt,unlessenforcementofthesubpoenawouldbe
inconsistentwiththelawandthepoliciesoftheNationalLaborRelationsAct.
TheBoard,however,hasmadeclearthattheGeneralCounselisnotrequiredtoinstitute
enforcementproceedingssuasponte,butonlyonrequestofthepartyonwhosebehalfthe
subpoenawasissued.SeeBestWesternCityViewMotorInn,325NLRB1186,1186(1998).
NoristheGeneralCounselrequiredtoinitiateenforcementproceedingswherethesubpoenais
incapableofbeingenforced.SeeChampCorp.,291NLRB803(1988),enfd.933F.2d688(9th
Cir.1990),cert.denied502U.S.957(1991)(subpoenawasincapableofbeingenforcedas
documentswereunavailable).
Whereenforcementproceedingsareinitiated,anadjournmentofthetrialmaybe
necessaryuntilthesubpoenaissueisresolved.Oftenthejudgemayavoidthedelayattendantto
subpoenaenforcementbyconvincingthepartiestoresolvetheissuebyagreement.
69
CHAPTER9.SETTLEMENTS
9100
InGeneral
[T]heBoardhasfromtheverybeginningencouragedcompromisesandsettlements.The
purposeofsuchattemptedsettlementshasbeentoendlabordisputes,andsofaraspossibleto
extinguishalltheelementsgivingrisetothem.WallaceCorp.v.NLRB,323U.S.248,253254
(1944).AsstatedintheNLRBCasehandlingManual(PartOne)SettlementsSection10124.1:
ItisthepolicyoftheBoardandtheGeneralCounseltoactivelyencouragethepartiesto
reachamutuallysatisfactoryresolutionofissuesasanalternativetolitigation.Moreover,
theAdministrativeProcedureAct(Sec.5(b))requiresthattheAgencyconsideroffersof
settlement,orproposalsofadjustmentwheretime,thenatureoftheproceeding,andthe
publicinterestpermit.(5U.S.C.554(c)(2)).Sincevoluntaryremedialactionisahigh
priority,diligentsettlementeffortsshouldbeexertedinallmeritoriouscases.Settlementof
ameritoriouscaseisthemosteffectivemeansto:1)improverelationshipsbetweenthe
parties2)effectuatethepurposesoftheActand3)permittheAgencytoconcentrateits
limitedresourcesonothercasesbyavoidingcostlylitigationexpenses.
9200
9220
PromotingSettlement
AtPretrialConference
Normallythetrialjudgehashisorherfirstcontactwiththepartiesbytelephoneinthe
pretrialconferencecall.Bydefinition,atthisstageoftheproceedingacomplainthasissued,the
partieshavenotbeenabletosettlethecase,andthetrialisimminent.
Consistentwiththegeneralpoliciessetforthabove,thejudgeatthattimeshould
emphasizetheimportanceofpursuingsettlement,andensurethatthepartiesarefullyapprised
ofeachotherspositionsonsettlement.Thepartiesshouldalsobeencouragedtodiscusstheir
positionsandsettlementtermsduringtheconferencecall,withthedegreeofjudicialparticipation
thepartiesandthejudgefindappropriate.Finally,theGeneralCounselshouldbeaskedto
prepareacompletesettlementpackageincluding,whenappropriate,acalculationofallmonetary
obligations.
Parties,particularlyrespondents,maysometimesbereluctanttofreelydiscussthemerits
ofthecaseduringsettlementdiscussions.However,theyshouldbeencouragedtodoso,atleast
tosomeextent,asitwillassistinidentifyingareasofdisagreementandevaluatingwhethera
settlementispossible.
Itmaybehelpfultoremindthepartiesofthemanydisadvantagesoflitigation,including:
(1)thefinancialcostsoftrial(2)thetimethatmanagers,supervisors,andemployeeswillbe
absentfromworktoprepareforandattendthetrial(3)thedelayinresolvingthedispute,
includingthepossibilityofsubsequentappealsandcomplianceproceedingsand(4)theriskof
losing,andtherebyeitherreceivingnothing(ifthechargingparty),orbeingorderedtopay
additionalbackpaywithinterest(iftherespondent),includingmedicalexpenses(see,e.g.,
NortechWaste,336NLRB554,554fn.2(2001) McDanielFord,Inc.,331NLRB1645(2000)
andHansenBros.Enterprises,313NLRB599(1993)).
71
Ifthereisanypossibilityofsettlement,thepartiesshouldbeencouragedtocontinue
settlementdiscussionsaftertheconferencecall.Ifpracticalandpotentiallyhelpful,thejudge
shouldalsoattempttoscheduleoneormorefollowupconferencecalls.Thiswillestablishbotha
targetdatefortheexchangeofadditionalinformationorproposalsandanagreedupontimefor
furtherdiscussion.
Ordinarilysuchcallsshouldincludeallparties,unlessthejudgesecurespermissionto
speaktoonepartyseparately.Thejudgeshouldbecarefulnottodiscusssettlementoffers
directlywithanallegeddiscriminateeintheabsenceofcounselfortheGeneralCounsel.
9230
AttheTrial
Howmuchtimeajudgeshouldallowbeforegoingontherecordorduringthetrialfor
settlementdiscussionswilldependonallthecircumstances.Relevantfactorsincludethe
willingnessofthepartiestoshareinformationandofferreasonableterms,thecomplexitiesofthe
caseandthelikelihoodofreachingafullorpartialsettlementthatwillsignificantlyreducethetime
neededforlitigation,andtheavailabilityofwitnessesifthetrialisdelayed.
Thejudgeshouldcarefullyevaluatethecircumstancestoensurethatanysignificantdelay
islikelytobefruitfulandminimallyimpacttheflowofthetrialintheeventafinalsettlementisnot
realized.
9240
AftertheTrial
Partiesmay,ofcourse,continuetoengageinsettlementdiscussionsaftertherecordis
closedandwhilethejudgeispreparingadecision.Suchdiscussionstypicallyoccur,ifatall,
withoutthejudge,butthejudgemayparticipateifrequested.Ifthepartiesdesireanextensionof
timebeyondtheusual35daylimitforthefilingofposthearingbriefstoengageinfurther
settlementefforts,theymayseekanextensionfromtheChiefJudgeorDeputyorAssociateChief
JudgeinWashington,orfromtheAssociateChiefJudgeinSanFrancisco,NewYork,orAtlanta.
9300
9320
SettlementsApproved
SettlementsBeforeRecordOpensandTestimonyTaken
NeitherthejudgenortheBoardhasanyroleinapprovingorrejectinganunfairlabor
practicesettlementbeforethetrialopens.Considerationandapprovalorrejectionofapretrial
settlementarethesoleprovinceoftheGeneralCounselandhisagents,subjecttothereview
proceduresprovidedtopartiesadverselyaffectedbytherulings.NLRBv.Food&Commercial
WorkersLocal23,484U.S.112,124126(1987).
TheBoardhasappliedthissamepolicywheretheGeneralCounselseekstowithdrawthe
complaintafterthehearinghasopenedbutnoevidencehasbeenintroduced.SeeSheetMetal
WorkersLocal28(AmericanElgen),306NLRB981,981982(1992)(reversingthejudge,the
Boardheldthat,evenifthetrialhasopened,theGeneralCounselretainssole,unreviewable,
authoritytowithdrawthecomplaintifnoevidencehasbeenintroducedandnocontentionhas
beenmadethatalegalissuewasripeforadjudicationontheparties'pleadingsalone).
However,ifthesettlementisnonBoard,i.e.theGeneralCounselisnotapartytothe
settlement,itmayproperlybesubmittedtothejudgeforreviewandapprovalafterthehearing
hasopened,evenifnoevidencehasbeenintroduced.SeeFlintIcelandArenas,325NLRB318
(1998),whereboththejudgeandtheBoard(onappeal)reviewedandappliedtherelevantfactors
72
inconsideringanonBoardsettlementopposedbyGeneralCounselatthebeginningofthe
hearingandbeforeanyevidencewasintroduced.
9330
SettlementsAfterTestimonyIsTakenandBeforeDecisionIssues
Section101.9(d)(1)oftheBoardsStatementsofProcedureprovidesthatifaninformal
settlementisreachedafterthetrialopensandtestimonyistakenbutbeforeadecisionisissued,
itmustbesubmittedtothetrialjudgeforreviewandapproval.Thisprovisionhasbeeninterpreted
toapplytoallsettlements,includingformalsettlementsprovidingforissuanceaBoardorder.See
NLRBCasehandlingManual(PartOne),Section10164.7(b).SeealsoBeverlyCaliforniaCorp.,
326NLRB232,236fn.18(1988)andTodaysMan,263NLRB332(1982).However,Section
101.9(d)(1)providesthataformalsettlementmustalsobesubmittedtotheBoardforfinal
approvalafterreceivingapprovalfromthejudge.
Ifthejudgeapprovesorrejectsthesettlementovertheobjectionofaparty,theaggrieved
partymayfileaspecialappealwiththeBoardpursuanttosection102.26oftheBoardsrules.
See11500,InterlocutoryAppealsfromJudgesRulings,below.
9340
SettlementAfterJudgesDecisionIssuesADRProgram
Afterthejudgeissuesadecisioninacase,thematteristransferredtotheBoardandthe
judgehasnofurtherrole.Therefore,anysettlementproposalprofferedtothejudgeafterthe
decisionhasissuedshouldberejectedasbeyondthejurisdictionofthejudgeandreturned.The
movingpartiesshouldbedirectedtotakeappropriatematterstotheExecutiveSecretaryofthe
Board.
ThepartiesmayalsoavailthemselvesoftheBoardsvoluntaryAlternativeDispute
Resolution(ADR)program,whichappliestocertainunfairlaborpracticecasespendingbefore
theBoardonappeal.TypicallyanNLRBjudge,notthejudgewhoissuedtheunderlyingdecision,
willbeappointedtomediatethematter. DetailsoftheADRprogrammaybefoundintheBoards
May2009pressreleaseannouncingthatthepilotprogramhadbeenmadepermanent.See
http://www.nlrb.gov/shared_files/Press%20Releases/2009/R2684.pdf.Formoreinformation,theparties
shouldconsulttheExecutiveSecretarysoffice.
9400
9410
StandardsforApprovingorRejectingSettlements
TypesofSettlementsFormal,Informal,andNonBoard
Settlementsmaybeeitherformal(providingforissuanceofaceaseanddesistorderby
theBoardandcourtenforcement)orinformal(notinvolvingtheissuanceofaBoardorder).Either
typeofsettlementmaybeutilizedatanytimeafterachargehasbeenfiled,althoughnormally
informalsettlementsarenotacceptedafterthecasehasbeenheardandtheBoardhasissueda
ceaseanddesistorderonthebasisoftherecord.
Athirdtypeofsettlement,anonBoardsettlement,involvesanadjustmentstrictlybetween
therespondent(s)andtheothernonBoardparties.TheGeneralCounselisnotapartytoanon
Boardsettlement,eventhoughhemaybeinvolvedinthesettlementdiscussionsandpost
settlementcompliance.Thus,acomplaintmaynotbedismissedbecauseofanallegedbreachby
theGeneralCounselofanonBoardsettlement.SeeDillingMechanicalContractors,348
NLRB98,103(2006).
73
9420
FormalSettlements
TheNLRBCasehandlingManual(PartOne)SettlementsSection10164.1provides:
Generally:Aformalsettlementisawrittenstipulationcallingforremedialactionin
adjustmentofunfairlaborpracticesandprovidingthat,onapprovalbytheBoard,aBoard
orderinconformitywithitstermswillissue.Ordinarilyitwillalsoprovidefortheconsent
entryofacourtjudgmentenforcingtheorder.
TheBoardandtheGeneralCounselhaveevolvedanelaborateprocedurefortransferring
formalsettlementstotheGeneralCounselsWashington,D.C.officeandtheBoard,witha
significantbodyofsamplelanguageappropriateforformalsettlements.SeetheNLRB
CasehandlingManual(PartOne)SettlementsSections1016410174.
NormallyformalsettlementagreementsaredraftedbytheRegionalOffices,usingthe
proceduralandtechnicallanguageinthemanuals,tomeettherequirementsforsubmittingthe
agreementstotheGeneralCounselandtheBoardforfinalreviewandapproval.Thejudge
shouldrefrainfromsignificantlyreviewingnonsubstantiveaspectsofformalsettlement
agreements.ButseePipefittersLocal290,UFCW,348NLRB998(2006)(Boardmajority
rejectedproposedformalsettlementbecauseitdidnotcontainprovisionsmemorializingthe
partiesreportedagreementthattheGeneralCounselwouldonlyseekenforcementoftheorderif
therespondentfailedtocomplywithit).
Ifthejudgerulesonaformalsettlementduringthetrial,thejudgeshouldindicateapproval
orrejectionontherecord.Duringanadjournmentorafterthetrialcloses,thejudgeshouldissue
anorderandnotificationtotheparties.TheRegionalOfficethereafterassumestheresponsibility
fortransmittingthestipulationandsupportingdocumentstotheGeneralCounselsDivisionof
OperationsManagementsothattheprocedureforobtainingapprovaloftheGeneralCounseland
theBoardcanbeimplemented.
9430
InformalandNonBoardSettlements
Intheleadcaseonsettlements,IndependentStaveCo.,287NLRB740,743(1987),the
BoardsetoutconsiderationsforapprovingnonBoardsettlements.TheBoardstatedthatitwould
notrejectthepartiesnonBoardsettlementsimplybecauseitdoesnotmirrorafullremedy
rather,itwould
examineallthe...circumstancesincluding,butnotlimitedto,(1)whetherthecharging
party(ies),therespondent(s),andanyoftheindividualdiscriminatee(s)haveagreedtobe
bound,andthepositiontakenbytheGeneralCounselregardingthesettlement(2)
whetherthesettlementisreasonableinlightofthenatureoftheviolationsalleged,the
risksinherentinlitigation,andthestageofthelitigation(3)whethertherehasbeenany
fraud,coercion,orduressbyanyofthepartiesinreachingthesettlementand(4)whether
therespondenthasengagedinahistoryofviolationsoftheActorhasbreachedprevious
settlementagreementsresolvingunfairlaborpracticedisputes.
Applyingthesefactors,theBoardapprovedthesettlement(whichhadbeensignedbythreeof
thefourallegeddiscriminatees)overtheGeneralCounselsobjection.SeealsoBPAmoco
ChemicalChocolateBayou,351NLRB614(2007),wheretheBoardappliedthesamefactors
toprivateterminationagreementsinwhichemployeeswaivedorreleasedanysubsequent
claims,includingtherighttofilechargeswithorobtainanyrelieffromtheBoardarisingoutof
74
theirprioremployment.(Afurtherdiscussionofsuchreleasesisfoundin9640,Releases,
below.)
TheBoardhasalsoappliedtheIndependentStavefactorstobothinformalandformal
settlements.SeeWoodworkersLocal3433(KimtrussCorp.),304NLRB1,2(1991)
(upholdingjudgesapprovalofposthearingsettlementofSection8(b)allegationsagainstthe
respondentunionovertheobjectionsoftherespondentemployerinthecompanionSection8(a)
case)andKWElectricInc.,327NLRB70(1998)(approvingformalsettlementovercharging
partysobjectionafterjudgesdecisionissued).
Forothercaseexamplesapplyingtheabovefactors,compareAmericanPacificPipe
Co.,290NLRB623,623624(1988)(approvingnonBoardsettlementofabackpayclaimover
GeneralCounselsobjection)LongshoremenILALocal1814(AmstarSugar),301NLRB764,
764765(1991)(approvingnonBoardsettlementovertheoppositionoftheGeneralCounsel
afterthejudgeissuedhisdecision),withFlintIcelandArenas,325NLRB318,318319(1998),
andAlamoRentACar,Inc.,338NLRB275(2002)(rejectingnonBoardsettlementsopposed
bytheGeneralCounsel).SeealsoFrontierFoundries,Inc.,312NLRB73(1993)(rejectingnon
Boardsettlementthatprovidedonly6percentbackpay,eventhoughitalsoprovidedfor
additionalamountsasliquidateddamages,allegedlytoavoidbeingtaxedasincome).
9440
SettlementbyConsentOrder
Inverylimitedcircumstances,thejudgemayalsoapproveasettlementbyconsent
orderthatis,aunilateralsettlementofferedbytherespondentandopposedbyboththe
GeneralCounselandthechargingparty,butapprovedbythejudge.
AlthoughtheBoardhascitedIndependentStave inevaluatingsuchconsentorders,the
keyfactorappearstobewhethertheprofferedunilateralsettlementaddressesandfullyremedies
alltheunfairlaborpracticesallegedinthecomplaint.CompareIronWorkersLocal27
(MorrisonKnudson),313NLRB215,217(1993),enfd.mem.70F.3d119(9thCir.1995)Food
Lion,Inc.,304NLRB602,602fn.4(1991)andCopperStateRubber,301NLRB138,138
(1991)(rejectingproposedunilateralsettlements),withNationalTelephoneServices,301NLRB
1,fn.2(1991)andElectricalWorkersIUELocal201(GeneralElectricCo.),188NLRB855,
857(1971)(acceptingproposedunilateralsettlements).SeealsotheBoardsunpublishedorder
ofAugust29,2008,in*SpurlinoMaterials,LLC,25CA29866,wheretheBoardcitedand
appliedtheIndependentStavefactorsinaffirmingajudgewhohadapprovedaconsentorderto
whichtheGeneralCounselobjected.
9500
ProceduresforConsidering,Accepting,orRejectingSettlement
Preparationofwrittenagreement.Itisalwayswisetoensurethatthepartiespreparea
legibleandcompletesettlementwithallelementsincludedbeforethesettlementisformally
considered.Experiencehasshownthatoralagreementsaresometimesbasedonmutual
misunderstandings.Indeed,evenwrittensettlementsshouldbeclearandunderstandable
becausetheBoardwillsetasideanambiguoussettlementwhereitconcludestherehasbeenno
meetingoftheminds.SeeLocalUnion290,UFCW,348NLRB998(2006)andDoubletree
GuestSuitesSantaMonica,347NLRB782(2006).
AninformalsettlementmaybesecuredonFormNLRB5378,SettlementAgreement
ApprovedbyanAdministrativeLawJudge.TheformsareavailableinRegionalOffices.The
settlementagreementandthenoticeshouldbeenteredintoevidenceasexhibitssothatthe
Boardhasafullrecordtoreviewifthereisanappeal.
75
PositionsofParties.Thepositionsofallpartiesonthesettlementshouldalsobeputon
therecord.Whenapartyobjectstotheapprovalofaformalsettlement,thepartymustbegivena
reasonableopportunityontherecordtostateitspositionandargumentopposingthesettlement.
See101.9(d)(1)ofStatementsofProcedure.Iftheissuesaresomewhatcomplex,itmaybe
appropriatetorequestbriefsontheadvisabilityofapprovingasettlement.
PositionsofDiscriminatees.Insettlementsinvolvingdiscriminatees,theirposition
regardingapprovalofthesettlementshouldalsobeputontherecord,eitherdirectlyorindirectly
throughtheGeneralCounselorthechargingpartysrepresentationoftheirposition.InFlint
IcelandArenas,325NLRB318,320(1998),aBoardmajorityrejectedanonBoardsettlementin
partonthisbasis.TheBoardmajorityheld,amongotherthings,thatalthoughitisnotnecessary
thatalldiscriminateesbenotifiedandthattheyallagreetobebound,theviewsofnamedand
otherwiseidentifiablediscriminateesshouldbetakenintoaccountand,ifthoseindividualshave
notbeeninformedofthesettlementorhavenotbeengivenopportunitytoexpresstheirviewsof
thesettlement,theirlackofarecordpositionisafactortobeconsideredinevaluatingthe
settlement.SeealsoAlamoRentACar,Inc.,338NLRB275(2002)(affirmingthejudges
rejectionofanonBoardsettlement,opposedbytheGeneralCounsel,wherethesettlementonly
partiallyremediedtheunfairlaborpracticesallegedandhadtheapprovalofonlyoneoffour
discriminatees).
JudgesRulingorOrder.Thejudgesrulingandreasoninginapprovingorrejectingthe
settlementshouldlikewisebestatedontherecordforpurposesofreview.Alternatively,Ifthe
settlementoccursafterthecloseoftrialorduringahiatusinthecase,awrittenorderis
appropriate.Thejudgeshouldissueanorderratherthanadecisionwhenapprovingasettlement
agreement,evenwherethejudgeoverrulesanobjectiontothesettlement.
RighttoAppeal.Ifthejudgeapprovesorrejectsthesettlementovertheobjectionofa
party,theaggrievedpartyshouldbeadvisedoftherighttofileaspecialappealwiththeBoard
pursuanttosection102.26oftheBoardsrules.SeeSection101.9(d)(2)oftheStatementsof
Procedure.Seealso11500,InterlocutoryAppealsfromJudgesRulings,below.
RecessingTrialPendingCompliance.Ordinarily,ifajudgeapprovesasettlementonthe
record,thejudgeshouldrecessthetrialindefinitely.ThejudgeshouldaskthattheGeneral
Counselfileamotiontodismisswhencompliancehasbeencompleted.
Alternately,ifthecomplianceisstraightforwardafterthesettlementisapproved,the
complaintmaybeimmediatelydismissedandthecaseremandedtotheRegionalDirectorto
handlecomplianceandclosethecasewithoutfurtherinterventionbythejudge.Theparties
shouldbeinformedthatintheeventtheRegionalDirectordeterminescompliancehasnotbeen
achieved,theRegionalDirectormaysetasidethesettlementandreissuethecomplaint,which
wouldbeassignedfortrialinthenormalcourse,withoutautomaticreassignmenttothejudgewho
approvedthesettlement.
FormalSettlements.Ifthejudgeapprovesaformalsettlement,asindicatedin9420,
FormalSettlements,above,itshouldbeapprovedinwritingandleftwiththeRegionalOfficeso
thattheprocedureintheNLRBCasehandlingManual(PartOne)SettlementsSection10164.6for
obtainingapprovaloftheBoardcanbeimplemented.
76
9550
SummaryJudgmenttoEnforceSettlement
Settlementagreements,bytheirterms,mayprovideforsummaryjudgmenttoenforcethe
settlementintheeventofnoncompliance.See,e.g.,GreatNorthwestBuilders,344NLRB969
(2005)(BoardgrantedGeneralCounselsmotionforsummaryjudgmentwherethesettlement
agreementprovidedthat,incaseofnoncompliance,therespondentsanswertotheoriginal
complaintwouldbewithdrawnandtheGeneralCounselcouldobtainanordertoremedythe
allegationsinthecomplaintthroughamotionforsummaryjudgment.Seealso9800,Setting
AsideSettlementAgreements,below.
9600
9610
VariousProvisionsofSettlementAgreements
NonadmissionClauses
Inclusionofanonadmissionclauseisnotavalidbasisforobjectingtoaproposedformal
settlementthatprovidesforentryofanenforceableBoardorderandotherwiseeffectuatesthe
policiesoftheAct.ContainairSystemsCorp.v.NLRB,521F.2d1166,1172(2dCir.1975)
NLRBv.OilWorkers(CatalyticMaintenance),476F.2d1031,1037(1stCir.1973)Concrete
MaterialsofGeorgiav.NLRB,440F.2d61,68(5thCir.1971)and MineWorkers(James
Bros.Coal),191NLRB209,209210(1971).Butcf.TeamstersLocal115(GrossMetal
Products),275NLRB1547(1985)(upholdingjudgesrejectionofformalsettlementafterthe
closeofthetrial,whichwasopposedbythechargingparty,asitcontainedbothanarroworder
andanonadmissionclausenotwithstandingthattherespondentunionwasarecidivist,had
allegedlyagainengagedinwidespreadpicketlinemisconductandviolence,andofferedonlya
limiteddefenseattrial).
InformalsettlementscontainingsuchclausesarealsofrequentlyagreedtobytheGeneral
CounselandapprovedbyjudgesandtheBoard,evenovertheobjectionofthechargingparty.
See,e.g.,WoodworkersLocal3433(KimtrussCorp.),304NLRB1,2(1991)andGarment
WorkersILGWULocal415475(ArosaKnitting)v.NLRB,501F.2d823,826,832833(D.C.
Cir.1974).AlthoughtheNLRBCasehandlingManual(ULP),Sec.10130.8,statesthat
nonadmissionclausesshouldnotberoutinelyincorporatedinsettlementagreements,this
provisionappearstobeintendedsimplytomakecleartoregionalofficepersonnelthattheycan
rejectsuchclausesinegregiouscases.SeeBPH&Co.v.NLRB,333F.3d213,222(D.C.Cir.
2003).
Nonadmissionclauses,however,maynotbeincludedintheBoardsNoticetoEmployees
underanycircumstances.PottsvilleBleachingCo.,301NLRB1095,10951096(1991).See
alsoTeamstersLocal372(DetroitNewspapers),323NLRB278,280fn.4(1997).
9620
SettlementBarRule
ApriorformalorinformalBoardsettlementdisposesofallissuesinvolvingpresettlement
conduct,unlesspriorviolationswereunknowntotheGeneralCounsel,werenotreadily
discoverablebyinvestigation,orwerespecificallyreservedfromthesettlementbymutual
understandingoftheparties.HollywoodRooseveltHotelCo.,235NLRB1397,1397(1978),
reaffirmedinParkOhioIndustries,283NLRB571,572(1987).SeealsoRatliffTrucking
Corp.,310NLRB1224,1224(1993)(findingthattheissuewasnotspecificallyreserved,andthat
thesettlementthereforebarredthenewcomplaint).Thus,wheretheissueisraised,thejudge
mayhavetodeterminethescopeandmeaningofthepriorsettlementagreement.
77
ApriornonBoardsettlement,however,doesnotprecludetheGeneralCounselfromre
allegingsettledmattersinsubsequentunfairlaborpractices.Suchasettlementisnotapproved
bytheRegionalDirector,eventhoughwithdrawalofachargemayhavebeenapproved,and
thereforedoesnotestoptheRegionalDirectorfromproceedingonanynewchargeallegingthe
sameconductasthewithdrawncharges.AutoBus,Inc.,293NLRB855,855856(1989),
quotingthejudgeinQuinnCo.,273NLRB795,799(1984).SeealsoKFMBStations,343
NLRB748,748,fn.3(2004)(citingAutoBuswithapproval).
9630
JointandSeveralLiability
Asettlementproposallimitedtooneofanumberof(potential)jointlyandseverallyliable
respondentsdoesnotextinguishtheliabilityofthenonsettlingrespondents,unlessthatisthe
intentionoftheparties.SeeUrbanLaboratories,305NLRB987,987988(1991),citingZenith
Radiov.HazeltineResearch,401U.S.321,342348(1971)(anantitrustcase).
9640
Releases
Releaseanddischargeoftherespondentfromallclaimsbyanemployeeispermissible
aspartofasettlement,unlessitprohibitsfilingfutureunfairlaborpracticechargesthatare
unrelatedtothepastdisputeoremployment.SeeFirstNationalSupermarkets,302NLRB727,
727728(1991)(Boardfoundreleaselawful,asitwaslimitedtoclaimsarisingoutofthepast
employmentrelationship).SeealsoBPAmocoChemicalChocolateBayou,351NLRB614,
615616(2007)(Boardapprovedsettlementagreemententeredintopriortothefilingofcharges,
providingforwaiverandreleaseofclaimtofilechargesoverterminations)andSeptixWaste,
Inc.,346NLRB494(2006)(Boardupheldsettlementstipulationbetweenunionandemployer
thatresolvedallpotentialchargesthatwereorcouldhavebeenraisedatthetimeofthe
stipulation).
Areleasemayalsobefoundoverbroadandunlawfulifitprohibitstheemployeefrom
providingevidenceintheinvestigationofcharges.SeeClarkDistributionSystems,Inc.,336
NLRB747(2001).
9650
Taxability
Backpayisgenerallytaxableasincomeintheyearitisreceived.SeeWebco,Inc.,340
NLRB1,12,16(2003)(reversingjudgesorderincomplianceproceedingrequiringrespondentto
reimbursediscriminateesforanyhigherfederalandstateincometaxestheymightincurasa
resultofamultiyearlumpsumaward,asthisremedywasnotraisedoraddressedinthe
underlyingunfairlaborpracticecase)andFrontierFoundries,Inc.,312NLRB73(1993)
(rejectingnonBoardsettlementthatprovidedonly6%backpay,eventhoughitalsoprovidedfor
additionalamountsasliquidateddamages,allegedlytoavoidbeingtaxedasincome).Seealso
U.S.v.Burke,504U.S.229,242(1992)(TitleVIIcase)andCIRv.Schleier,515U.S.323
(1995)(ADEAcase).ButseeBanksv.U.S.,81F.3d874,876(9thCir.1996)(settlementfor
unionsbreachofdutyoffairrepresentationwasofatortlikecauseofactionandthereforenot
taxable).
9700
DeferraltoGrievance/ArbitrationSettlements
TheBoardappliestheprinciplesofSpielbergMfg.Co.,112NLRB1080,1082(1955)
andOlinCorp.,268NLRB573,573575(1984)indecidingwhethertodefertoasettlement
agreementreachedbetweenanemployerandunionpursuanttotheircontractualgrievance/
78
arbitrationmachinery.SeeAlphaBetaCo.,273NLRB1546(1985),reviewdenied808F.2d
1342,13451346(9thCir.1987)(deferringtosettlement,despitethelackofanybackpay,asthe
contractualgrievanceproceedingswerefairandregular,allpartiesagreedtobebound,the
employeeswerefullyinformedandgiventherighttoacceptorrejectthesettlement,andthe
GeneralCounselfailedtoestablishthatthesettlementwasclearlyrepugnanttotheAct).
Inapplyingthesestandards,however,theBoardmaylooktotheIndependentStave
factorsindeterminingwhetherthesettlementisclearlyrepugnantorpalpablywrong.See
PostalService,300NLRB196,198,fn.13(1990).
9800
SettingAsideSettlementAgreements
AninformalornonBoardsettlementmaybesetasideifitsprovisionsarebreached,if
postsettlementunfairlaborpracticesarecommitted,orifthesettlementissoambiguousthat
therewasnomeetingoftheminds.
NoncompliancewithSettlement.TheBoardsStatementsofProcedure,Section
101.9(e)(2),specificallyprovidesthatifarespondentfailstocomplywiththetermsofaninformal
settlementagreement,theRegionalDirectormaysettheagreementasideandinstitutefurther
proceedingsonthesamecharge.ItisalsowellestablishedthataRegionalDirectorhasthe
authoritytoreinstateawithdrawnchargefollowingnoncompliancewithanonBoardsettlement
agreement,notwithstandingSection10(b)oftheAct,providedtheoriginalchargewastimely
filed.SeeSterlingNursingHome,316NLRB413,416(1995)andNorrisConcreteMaterials,
282NLRB289,291(1986).
TheRegionalDirectorsactioninsettingasidethesettlementandreactivatingthecaseis
reviewablebythejudgeandtheBoardinthenewcomplainttrial.Forcasesupholdingthe
RegionalDirectorsaction,seeNationsRent,Inc.,339NLRB830,831(2003)(employer
reinstatedandmadewholeemployee,butcontinuedtomaintainoverbroadruleandfailedto
notifyemployeeinwritingthathisdisciplinehadbeenexpunged)andAmericanPostalWorkers
Local735,340NLRB1363,13641365(2003)(respondentunionspresidentpublishedapost
settlementcolumncondemningthechargingpartyandlaudingthestewardwhoseconductledto
theoriginalcharge).ButseeTheCourierJournal,342NLRB1148,11491150(2004)(Board
majorityfoundunionsfailuretoprotestclosureoforiginalcaseoncompliance,pursuantto
settlementagreement,precludedunfairlaborpracticepredicatedoncompanysfailuretofurnish
certaininformationnotprovidedattimeofcompliance).
NewUnfairLaborPractices.Subsequentorcontinuingunfairlaborpracticeswillordinarily
justifysettingasideasettlementagreement.ScrippsMemorialHospitalEncinitas,347NLRB
52,53(2006)andandYMCAofthePikesPeakRegion,Inc.,291NLRB998,1010,1012
(1988),enfd.914F.2d1442,14491450(10thCir.1990),cert.denied500U.S.904(1991).
However,newunfairlaborpracticeswillnotwarrantsettingasidethesettlementifthey
areisolatedorinsubstantial.SeeDiamondElectricMfg.Corp.,346NLRB857,862863
(2006)(singlepostsettlementinstanceofdiscriminatorydisciplineinsufficient),citingCoopers
IntlUnion,208NLRB175(1974).SeealsoPortoMills,149NLRB1454,1470(1964)and
WoosterBrassCo.,80NLRB1633,1635(1948).
AmbiguousAgreement.Aninformalsettlementmayalsobesetasideiftheagreementis
soambiguousthataconclusioniswarrantedthattherewasnomeetingofthemindsona
settlement.SeeDoubletreeGuestSuitesSantaMonica,347NLRB782,782783(2006)
79
(settingasidepriorinformalsettlementonthisbasis,andthereforefindingnosettlementbarto
issuingnewcomplaint).
9850
DecisionVacatedbySettlement
Unlessotherwiseexpresslyprovided,anordervacatingapriordecisionpursuanttoa
settlementvacatesthatdecisiononlyinsofarasthereisnolongeracourtenforceableorderin
thecaseandthedecisionhasnopreclusiveeffectontheparties. Caterpillar,Inc.,332NLRB
1116,1116(2000).Thedecisionremainspublishedandmaybecitedascontrollingprecedent
withrespecttothelegalanalysistherein.Ibid.Inthisrespect,itisdistinguishable fromavacatur
onthemerits,whicheliminatesthepriordecisionforallpurposes,includingprecedentialeffect.
9900
RoleofSettlementJudge
TheroleofajudgeassettlementjudgeisestablishedanddefinedbytheBoardsRules,
Section102.35(b):
Upontherequestofanypartyorthejudgeassignedtohearacase,oronhisor
herownmotion,the[ChiefJudgeorDeputyorAssociateChiefJudgeinWashington,or
theAssociateChiefJudgeinSanFrancisco,NewYork,orAtlanta]mayassignajudge,
whoshallbeotherthanthetrialjudge,toconductsettlementnegotiations.Inexercising
hisorherdiscretion,the[ChiefJudge,DeputyChiefJudge,orAssociateChiefJudge]
makingtheassignmentwillconsider,amongotherfactors,whetherthereisreasonto
believethatresolutionofthedisputeislikely,therequestforassignmentofasettlement
judgeismadeingoodfaith,andtheassignmentisotherwisefeasible.Provided,however,
thatno...assignmentshallbemadeabsenttheagreementofallpartiestotheuseofthis
procedure.
(1)Thesettlementjudgeshallconveneandpresideoverconferencesand
settlementnegotiationsbetweentheparties,assessthepracticalitiesofapotential
settlement,andreporttothe[ChiefJudge,DeputyChiefJudge,orAssociateChiefJudge]
thestatusofsettlementnegotiations,recommendingcontinuationorterminationofthe
settlementnegotiations.[Iffeasible],settlementconferencesshallbeheldinperson.
(2)Thesettlementjudgemayrequirethattheattorneyorotherrepresentativefor
eachpartybepresentatsettlementconferencesandthatthepartiesoragentswithfull
settlementauthorityalsobepresentoravailablebytelephone.
(3)Participationofthesettlementjudgeshallterminateupontheorderofthe[Chief
Judge,DeputyChief,orAssociateChiefJudge]issuedafterconsultationwiththe
settlementjudge.Theconductofsettlementnegotiationsshallnotundulydelaythe[trial].
(4)Alldiscussionsbetweenthepartiesandthesettlementjudgeshallbe
confidential.Thesettlementjudgeshallnotdiscussanyaspectofthecasewiththetrial
judge,andnoevidenceregardingstatements,conduct,offersofsettlement,and
concessionsofthepartiesmadeinproceedingsbeforethesettlementjudgeshallbe
admissibleinanyproceedingbeforetheBoard,exceptbystipulationoftheparties.
Documentsdisclosedinthesettlementprocessmaynotbeusedinlitigationunless
voluntarilyproducedorobtainedpursuanttosubpoena.
80
(5)Nodecisionof[theChiefJudge,DeputyChiefJudge,orAssociateChief
Judge]concerningtheassignmentofasettlementjudgeortheterminationofasettlement
judge'sassignmentshallbeappealabletotheBoard.
(6)Anysettlementreachedundertheauspicesofasettlementjudgeshallbe
subjecttoapprovalinaccordancewiththeprovisionsofSection101.9oftheBoard's
StatementsofProcedure.
Althoughtheruleprovidesthatthesettlementjudgeshallbeotherthanthetrialjudge,
thesettlementjudgemaybeassignedtohearthecaseintheabsenceofanyobjections.See
*KingsbridgeHeightsRehabilitationandCareCenter,353NLRB631,633(2008).
81
CHAPTER10.SEQUESTRATIONORDER
10100
InGeneral
TheprimaryBoardcasesaddressingseparationofwitnessesduringtrialareUnga
PaintingCorp.,237NLRB1306,1308(1978)(addressingrightsofdiscriminateesunder
sequestrationorder)andGreyhoundLines,319NLRB554,554(1995)(settingforthmodel
sequestrationorder).
ConsistentwiththestatutorycommandtofollowtheFederalRulesofEvidencesofaras
practical,theBoardhasgenerallyattemptedtofollowthespiritofFRE615(Exclusionof
Witnesses)infashioningitsownrulesinthisarea.Thus,asunderFRE615,theBoardhasheld
thatexclusionofwitnessesisamatterofright,andthejudgethereforehasnodiscretiontodeny
arequest.UngaPainting,above.
Indealingwithspecificsituationsarisingundertherule,however,theBoardhas
attemptedtobalancethesometimescompetinginterestsofopennessandprotectingtherightsof
partiesanddiscriminateesontheonehand,andminimiz[ing]fabrication,detectinginconsistent
testimony,andascertainingthetruthontheother.UngaPainting,above.Specificsituations
addressedbytheBoardandcourtsarediscussedinthesectionsbelow.
10200
ScopeofOrder
Asindicatedabove,amodelseparationofwitnessesorderissetforthinGreyhound
Lines,319NLRB554,554(1995).See1300,above.
TheheartlandofFRE615istheexclusionofpotentialwitnessesfromthecourtroomso
thattheycannothearthetestimonyofotherwitnesses.U.S.v.Sepulveda,15F.3d1161,1175
1176(1stCir.1993),cert.denied512U.S.1223(1994).However,underFRE615,acourt
retainsdiscretiontoaddotherrestrictionsornot,asitjudgesappropriate.U.S.v.Magana,127
F.3d1,5(1stCir.1997)(citingcases).Examplesarediscussedbelow.
10210
ConferringwithCounsel
Thejudgehasthediscretiontoprohibitcounselfromconferringwithawitnessduringthe
witnesstestimony,includingduringanyrecessesinthetrial. Gedersv.U.S.,425U.S.80,87
88(1976).Similarly,itisnotadenialoftherighttoassistanceofcounseltoprohibitarespondent
fromconsultingwithcounselduringashortrecessbetweendirectandcrossexaminations.Perry
v.Leeke,488U.S.272,283284(1989).
However,thejudgemaynotprohibitthenormalconsultationbetweenattorneyandclient
thatoccursduringanovernightrecess[which]wouldencompassmattersthatgobeyondthe
contentofthedefendantsowntestimony.Ibid.SeealsoUnitedChromeProducts,288NLRB
1176,1176fn.1(1988).(Duringa10minuterecesswhiletheGeneralCounselwasexamining
anadversepartywitness,itwasnoterrorforthejudgetoallowthatwitnesstospeakwithcounsel
tobepreparedforquestioningby[that]counsel,butnotaboutwhathetestifiedandhowto
changeit).
83
10220
ShowingTranscriptstoWitnesses
Informingprospectivewitnessesofpriortestimony,includingbyshowingtranscriptsto
them,isprohibitedwithoutexpresspermissionoftheadministrativelawjudgehowever,
counselforapartymayinformcounselsownwitnessofthecontentoftestimony,includingthe
showingoftranscripts,givenbyawitnessfortheopposingside...toprepareforrebuttalof[the]
testimony.GreyhoundLines,above,319NLRBat554.
GreyhoundmodifiestheBoardspriorseeminglyabsoluteprohibitiononshowing
separatedwitnessesthetranscriptsofotherwitnessestestimony.SeeElMundoCorp.,301
NLRB351,351(1991).But,thatmodificationappearsconfinedtoashowingbycounseland,
further,toonelimitedtoonlysomuchofthetranscriptasisneededforpossiblerebuttalof
testimonyrecitedinthetranscript,asopposedtomakingtheentiretranscriptavailabletoopen
endedperusalbyaprospectivewitness.
10300
RequeststoSeparateWitnesses
Asindicatedabove,ifarequestismade,thejudgeshall(i..e.isrequiredto)order
witnessesexcluded.FRE615andUngaPaintingCorp.,above,237NLRBat1307.Noformal
exceptionstothisrulearerecognized.However,thefailureofthejudgetoissueasequestration
orderonrequestwillnotrequirereversalintheabsenceofanyprejudice.SeeAEI2,LLC,343
NLRB433(2004) (findingnoprejudicewheretherewereonlytwootherwitnesses,onewho
wouldnothavetestifiedtotheevents,andtheotherwholikelywouldhavebeendesignatedasa
partyrepresentative)andCurleeClothingCo.,240NLRB355,355fn.1(1979),enfd.in
relevantpart607F.2d1213(8thCir.1979)(findingnoprejudicewherejudgeinapreUnga
Paintinghearingdeniedarequestbecausethelargenumberofwitnessesandseverespatial
limitationsrenderedseparationimpossible).
Notimeisspecifiedformakingtherequesttoseparatewitnesses.SeeFRE615.Seealso
AEI2,LLC,above,343NLRBat433fn.4andauthoritiescitedthere.ButseeAlperts,Inc.,267
NLRB159,159fn.1(1983)(upholdingjudgesdenialofrequestthatwasnotmadeuntilafterthe
GeneralCounselssecondwitnesshadtestified).
Thejudgealsopossessesauthoritytoorderwitnessesexcludedonhis/herownmotion,
i.e.evenifnotrequested.FRE615.
10400
WhoShouldandShouldNotBeSeparated
Allpotentialwitnessesshouldbeexcludedfromthetrial.UngaPaintingCorp.,above,
237NLRBat1307andGreyhoundLines,above,319NLRBat554.BothFRE615andthe
Board,however,recognizeseveralexceptions.
Partywhoisanaturalperson.SeeFRE615(1)(apartywhoisanaturalperson)and
Greyhound,above,319NLRBat554(naturalpersonswhoareparties).
Officeroremployeeofanonnaturalpartywhoisdesignatedasitsrepresentativebyits
attorney.FRE615(2).SeealsoGreyhoundLines,above,319NLRBat554(representativesof
nonnaturalparties).TheBoardreadsthisexceptionaslimitingacorporaterespondenttoits
attorneyandoneotherrepresentative.UngaPaintingCorp.,above,237NLRBat1308fn.16.
Further,inOpus3Ltd.v.HeritagePark,91F.3d625,630(4thCir.1996),thecourtheldthatthe
representativemustbeanemployee,andthatthecorporationsmeredesignationofapersonto
actonitsbehalfattrialdoesnotconvertthepersonintoitsemployee.
84
Personessentialtoapartyspresentation.SeeFRE615(3)(apersonwhosepresenceis
shownbyapartytobeessentialtothepresentationofhiscause)andGreyhoundLines,
above,319NLRBat554(apersonwhoisshownbyapartytobeessentialtothepresentationof
thepartyscause).Itmustbeshownthatthepresenceisessential,ratherthansimply
desirable.U.S.v.Jackson,60F.3d128,135(2dCir.1995),cert.denied516U.S.980,1130,
1165(1995and1996).SeealsoOpus3Ltd.v.HeritagePark,above,91F.3dat628(burdenis
onpartyassertingthatwitnessspresenceisessential).
Allegeddiscriminatees.TheBoardallowsalimitedexemptionforallegeddiscriminatees.
Theyareexemptedfromexclusion,exceptduringthatportionofthe[trial]whenanotherofthe
GeneralCounselsorthechargingpartyswitnessesistestifyingabouteventstowhichthe
discriminateeshavetestified,orwillormaytestify,eitherinthecaseinchieforonrebuttal.Unga
PaintingCorp.,above,237NLRBat1307.SeealsoGreyhoundLines,above,319NLRBat
554.
However,thejudgeretainssomediscretioninapplyingthislimitedexemption.Thus,in
UngaPainting,above,237NLRBat1307,theBoardstatedthatthejudgemaydeclinetofollow
theruleif,inhis/herjudgmenttherearespecialcircumstanceswarrantingtheunrestricted
presenceofdiscriminateesortotalexclusionwhennottestifying.Forexample,inafootnotethe
BoardnotedthatthethirdexceptioninFRE615foressentialpersonsisbroadenoughto
permitashowingofthesespecialcircumstancesandallowsthe[judge]considerablediscretion.
Ibid.atfn.14.
Discriminateesdesignatedessentialrepresentative.NotwithstandingtheBoardsfootnote
inUngaPainting,above,thereappearstobesomeambiguityregardingtherightofa
discriminateewhoisalsodesignatedastheGeneralCounselsorchargingpartysrepresentative
tostaythroughoutthetrial.Thejudgeapprovedsuchadesignation,andallowedthe
discriminateetoremaininthehearingroom,inImpactIndustries,285NLRB5,6(1987),
remandedonothergrounds847F.2d379(7thCir.1988).ButseeWeisMarkets,Inc.v.NLRB,
265F.3d239,245246(4thCir.2001),modifyinginpart325NLRB871(1998)(courtrejected
respondentscontentionthatitwasprejudicedbyjudgesallowingdiscriminateewhowasthe
GeneralCounselsdesignatedrepresentativetoremainthroughoutthetrial,evenwhile
subsequentGeneralCounselwitnessestestifiedtothesameevents,butexpresseddisapproval
ofthejudgesdeparturefromBoardprecedent).Inanyevent,asindicatedabove,thejudge
shouldrequireashowingthatthediscriminateesunrestrictedpresenceisessentialinthese
circumstances.
10500
ViolationofSequestrationOrder
Aprerequisitetofindingaviolationofasequestrationorderistheissuanceoftheorder
itself.SeeU.S.v.Williams,136F.3d1166,11681169(7thCir.1998)(partiesinformedthe
judgethattheyhadagreedtosequestration,buttherewasnoformalrequestforentryofan
order,andnosequestrationorderwaseverentered).Further,theparametersofthejudges
sequestrationordershouldbeclearlydefined.SeeContinentalWindingCo.,305NLRB122,
129(1991).
Onceanorderhasissued,however,counselareexpectedtopolicetherule,toinformany
witnessesnotpresentatthetimethejudgeissuestheorderoftheirobligationsundertheorder,
andtobringanyviolationstothejudgesattention.SeeGreyhoundLines,above,319NLRBat
554.
85
Whenawitnesshasviolatedasequestrationorder,theBoardspreferredcourseappears
tobestricterscrutinyofthetaintedtestimony,withoutstrikingthetestimonyofthatwitness.
MediteofNewMexico,Inc.,314NLRB1145,1149(1994),enfd.72F.3d780(10thCir.1995).
Nevertheless,violatingaseparationofwitnessesordermaywarrantstrikingthetainted
testimonyifitcanbedemonstratedthatapartywasprejudicedbytheviolationoftherule.
SuburbanTrails,326NLRB1250,1250fn.1(1998).
Ifdisregardofasequestrationorderisrevealedbeforeawitnessiscalledtotestify,under
FRE615thatwitnessmaybebarredfromtestifying.U.S.v.Wilson,103F.3d1402,1406(8th
Cir.1997)(holdingthattrialcourtclearlyactedwithinitsdiscretioninconcludingthatJonescould
notbecalledtotestifyatthelastminuteaftersittinginthecourtroomandlisteningtomuchofthe
case).Cf.NorthHillsOfficeServices,342NLRB437,437fn.2(2004)(Boardrejected
respondentscontentionthatthejudgeimproperlyallowedtheattorneyforthechargingparty,
whohadbeenpresentthroughoutthetrialtotestifyinviolationofthesequestrationorder,
inasmuchasthejudgehadwarnedthepartiesthatthecredibilityofwitnesseswhowerepresent
duringthetestimonyofotherwitnesseswouldbesubjecttoattack,andfairlyappliedthe
sequestrationordertoallparties).
Asdiscussedabovein7500etseq.(MisconductbyAttorneyorRepresentative),
violationsofasequestrationorderbycounselmaywarrantanadmonishmentorreprimandor
referraltotheGeneralCounselunderSection102.177oftheBoardsrules.SeeSargentKarch,
314NLRB482(1994)(suspendingattorneyfor6monthsaftersecondviolation).
86
CHAPTER11.MISCELLANEOUSPROCEDURALMATTERS
11100
11110
UseofAudioandVideoEquipment
AuditoryEquipmentUse,WhetherRequired
InMannoElectric,321NLRB278,278fn.7(1996),theBoardheldthatrespondents
werenotdenieddueprocesswhenthejudgefailedtoprovideorofferspecialauditory
enhancementdevicestoassistthecompanypresidentwhowashearingimpaired.Althoughthe
respondentcounselinformedthejudgeoftheproblem,thecounselmadenorequestforthe
equipment.Thejudgeonseveraloccasionsinstructedwitnessestospeaklouderandtherewere
nocontemporaneouscomplaintsthatthoseinstructionswerenotsufficienttoreasonably
accommodatethepresidentshearingproblems.TheBoardalsonotedthatneithertheActnorits
Rulesrequireanunsolicitedoffertoprovidethisequipment.
11120
TapeRecordersinTrial,WhetherAllowed
Theuseofataperecorderbypartiestorecordtrialproceedingsiswithinthediscretionof
thejudge.CompareRed&WhiteSupermarkets,172NLRB1841,1846(1968)(useoftape
recorderpermitted),withMarriottCorp.,172NLRB1891,1892fn.1(1968),enfd.inpart417
F.2d176(4thCir.1969)(permissiontousetaperecorderdenied).
AlthoughthecourtinMarriottfoundnoprejudicefromthejudgesruling,itindicatedthat
useoftherecordershouldbepermittedtotheextentthatitdoesnotinterferewithorslowdown
thetrial.417F.2dat178. Nevertheless,theBoardsubsequentlyupheldajudgesdiscretionto
denyarespondentsrequesttouseataperecorderinDaisysOriginals,Inc.,187NLRB251,
251fn.1(1970)(judgedeniedrequestongroundhewouldnotbeabletopoliceitsusethe
Boardfurthernotedthatthejudgeandpartiesareboundbythetranscriptpreparedbytheofficial
reportingservice).
Obviously,ifataperecordingispermitted,itwouldbesubjecttotherestrictionsimposed
byasequestrationorder.
11130
TelevisionCameras,NotPermittedinCourtroom
TheBoardspolicyisthatitstrialsmaynotbetelevised.ThatpolicyisreflectedinaJune
10,1991letterfromtheDeputyExecutiveSecretarytoatelevisionstationthathadrequested
permissiontoteleviseatrial.Theletterstatesthatthepolicymaybereviewedlater,but,todate,
therehasbeennochange.
11200
Bankruptcy,JurisdictionofBoard
Itiswellestablishedthattheinstitutionofbankruptcyproceedingsdoesnotdeprivethe
Boardofjurisdictionorauthoritytoentertainandprocessanunfairlaborpracticecasetoitsfinal
disposition.Boardproceedingsfallwithintheexceptiontotheautomaticstayprovisionfor
proceedingsbyagovernmentalunittoenforceitspoliceorregulatorypowers.BristolNursing
Home,338NLRB737,737fn.1(2002)(citationsomitted).SeealsoCardinalServices,295
NLRB933fn.2(1989)PhoenixCo.,274NLRB995,995(1985)andNLRBv.Evans
PlumbingCo.,639F.2d291,293(5thCir.1981).Collectionofbackpay,however,requiresa
separateapplicationtothebankruptcycourt.NLRBv.ContinentalHagenCorp.,932F.2d828,
87
832833(9thCir.1991)andNLRBv.15thAvenueIronWorks,964F.2d1336,1337(2d.Cir.
1992).
11300
BindingPrecedent,JudgeRequiredtoFollow
ThejudgeisboundtoapplyestablishedBoardprecedentwhichneithertheBoardnorthe
SupremeCourthasreversed,notwithstandingcontrarydecisionsbycourtsofappeals. See,e.g.,
Waco,Inc.,273NLRB746,749fn.14(1984))LosAngelesNewHospital,244NLRB960,
962fn.4(1979),enfd.640F.2d1017(9thCir.1981)andIowaBeefPackers,144NLRB615,
616(1963),enfd.inpart331F.2d176(8thCir.1964).
Ofcourse,ajudgeisalsoboundtofollowparticularBoardfindingsinapriorcase,where
appropriate,underthedoctrineofcollateralestoppel.SeeGreatLakesChemicalCorp.,300
NLRB1024,10241025andfn.3(1990),enfd.967F.2d624(D.C.Cir.1992).Seealso3750,
RelitigationofIssues,above.Andcompare11320,RelianceonPriorFindingsofAnother
Judge,below.
11310
JudgesDecisions,WhenNotBindingPrecedent
WhentheBoardhasadoptedallorevenaportionofajudgesdecisiontowhichno
exceptionshavebeenfiled,thatdecisionorportionisnotbindingprecedentforanyothercase.
*CaliforniaGasTransportation,Inc.,352NLRB246,246fn.3(2008)PathmarkStores,Inc.,
342NLRB378,378fn.1(2004)WatsonvilleRegisterPajaronian,327NLRB957,959fn.4
(1999)andColgatePalmoliveCo.,323NLRB515,515fn.1(1997).
11320
RelianceonPriorFindingsofAnotherJudge
TheBoarddoesnottakejudicialnoticeofajudgesdecisioninanothercasepending
reviewbeforetheBoardbecausethatdecisionisnotbindingauthority.St.VincentMedical
Center,338NLRB888(2003),remandedonothergrounds,463F.3d909(9thCir.2006).Buta
judgemayrelyonthefactualfindingsmadebyanotherjudgeinapriorcase,eventhoughitisstill
pendingbeforetheBoard.SeeGrandRapidsPressofBoothNewspapers,327NLRB393,
394395(1998),enfd.mem.215F.3d1327(6thCir.2000)(judgesfindingsinearliercaserelied
uponasshowingevidenceofanimusinpresentcase)andDetroitNewspapersAgency,326
NLRB782fn.3(1998),enf.denied216F.3d109(D.CCir.2000)(judgeproperlyreliedonearlier
decisionofanotherjudgeinacasependingbeforetheBoardtofindthatastrikewasanunfair
laborpracticestrike).Thisapproachadvancesjudicialefficiency,andavoidsinconsistentresults
anddelaysattendanttoawaitingtheBoardsreviewofthejudgesdecisionintheearliercase.
Thejudge,however,hasthediscretion,inappropriatecircumstances,nottorelyon
anotherjudgespriorfindings,particularlywheretheyinvolvecredibility.SeeFluorDaniel,Inc.v.
NLRB,332F.3d961,972(6thCir.2003),cert.denied,543U.S.1089(2005)(judgewasunder
noobligationtoconsiderdeterminationsmadebyanotherALJinawhollydifferentcaseregarding
thecredibilityofaparticularwitness).SeealsoElectricalWorkers(NixdorfComputersCorp.),
252NLRB539,539fn.1(1980)(itisgenerallyinappropriatetobasecredibilitydeterminations
solelyoncredibilitydeterminationsmadeinapriorcase).
Further,ingivingeffecttotheearlierjudgesfindings,thejudgeshouldkeepinmindthat,
iftheBoard(oracourt)reversestheearlierjudgesfindingsonreview,thejudgesfindingsinthe
secondcasemaylikewisebevulnerabletoreversal.Thesecondjudgesdecisioninthisrespect
iscontingentontheBoardsultimatedispositionoftheissuelitigatedinthepriorcase.
88
11330
RelianceonPortionsofOtherRecords
InBeverlyHealth&RehabilitationServices,335NLRB635,639fn.26(2001),enfd.in
part,317F.3d316(D.C.Cir.2003),theBoardstatedthatitexpectspartiestointroduceall
nontestimonialevidenceonwhichtheyrelyintheformofexhibits.Theycannotincorporateby
referenceportionsofotherrecords,eventhoseofBoardcasesinvolvingthesameparties.
11340
MotionstoDismiss
Sometimesarespondentwillmovetodismissacomplaint,orportionsofacomplaint,at
theconclusionoftheGeneralCounselscase.InrulingonsuchamotionunderSection
102.35(a)(8)oftheBoardsRules,thejudgeshouldfollowthesamestandardtheBoardusesin
rulingonmotionstodismissunderSection102.24thatis,thejudgeshouldconstruethe
complaintinthelightmostfavorabletotheGeneralCounsel,acceptallfactualallegationsastrue,
anddeterminewhethertheGeneralCounselcanproveanysetoffactsinsupportofhisclaims
thatwouldentitlehimtorelief.DetroitNewspapersAgency,330NLRB524,525fn.7(2000).
SeealsoCentralTelephoneCompanyofTexas,343NLRB987,998,AppendixB(2004)
(upholdingjudgesdismissalofcomplaintallegations).Cf.St.MarysNursingHome,citedinfull
in2510,above,342NLRB979,980fn.6(2004)(findingthatthejudgeerroneouslyruledfrom
thebenchthattheGeneralCounselhadfailedtoestablishanimusinadiscriminationcase).
Whengrantingamotiontodismissinthesecircumstances,thejudgeshouldissuea
decisionunderSection102.45(a)oftheBoardsRules,sothattheappropriateproceduresfor
appealingunderSection102.46willapply.SeeTechnologyServiceSolutions,332NLRB
1096,1096andfn.3(2000).
11350
MotionsforSummaryandDefaultJudgment
Ajudgehastheauthoritytoruleonmotionsforsummaryanddefaultjudgmentunder
Section102.35(a)(8)oftheBoardsRulesandRegulations.Thisauthorityexistsnotwithstanding
thefailureofthemovingpartytofilesuchamotionwiththeBoardunderSection102.24ofthe
Rules.SeeCalyerArchitecturalWoodworkingCorp.,338NLRB315(2002).
11400
CorrectionofTranscript
Thejudgeshouldnotunilaterallycorrectatrialtranscript,exceptforobvioustypographical
errors.Correctionsshouldbemadepursuanttoamotionbyapartyor,ifthereisnone,after
issuanceofanordertoshowcause.ServAir,Inc.,161NLRB382,382fn.1(1966)andW.B.
JonesLumberCo.,114NLRB415,415fn.1(1955),enfd.245F.2d388(9thCir.1957).
InTeamstersLocal705(PennsylvaniaTruckLines),314NLRB95,95fn.2(1994),the
BoardrejectedtheGeneralCounselsattempttosupplythesurnameofanadditional
discriminatee,whosenamewasinaudiblydescribedinthetranscript.TheBoardstatedthatthe
burdenisonthepartiestomakecertainthetranscriptisclearandcorrect.Duringatrial,the
judgeshouldmakesure,totheextentpossible,thatthetestimonyiscorrectlyandadequately
transcribed,particularlythatthewitnessstestimonyisaudible.
11500
InterlocutoryAppealsfromJudgesRulings
Ajudgeneednotgrantrecessestopartieswishingtotakeinterlocutoryappealsandmay
continuewithandclosethetrialwithoutwaitingfortheBoardtoruleontheappeal.However,if
89
thejudgehasagenuinedoubtabouttheruling,anyrecessshouldallowadequatetimeforthe
Boardtorule.Itissuggestedthatthejudgesetadatebywhichtherequestforleavetoappeal
shouldbefiledandsetaresumptiondatenolessthanoneweeklater.
NotethatBoardsRules,Section102.26,requiresserviceoftherequestandany
responsesonthejudge.
11600
OpeningaTrialbyTelephoneorMail
Ajudgemayopenatrialbytelephoneorbymailintheinterestsofsavingtimeand
expensesforallconcerned.See,e.g.,IronworkersLocal843(Norglass,Inc.),327NLRB29
(1998).
ThisistypicallydoneinasituationinwhichachargingpartyortheGeneralCounselis
unwillingtojoininaproposedsettlement.See,e.g.,CWALocal9403(PacificBell),322NLRB
142(1996).Insuchsituations,oneofthepartiestothesettlementmakesamotiontoopenthe
trialbymail,toreceivetheformalpapers,andconsidertheproposedsettlementagreement.The
judgeissuesashowcauseorder,givingthepartiesadatetoshowcausewhythemotionshould
notbegrantedortosubmitastatementwhythesettlementshouldbeapproved.Uponreceiptof
thestatements,ifthejudgedecidesthesettlementshouldbeapproved,heorsheissuesanorder
grantingthemotiontoopentherecord,discussestheobjections,approvesthesettlement,and
adjournsthetrialindefinitely,pendingfullcompliancewiththeagreement.
Ifthepartiesarewilling,thiscanbeaccomplishedevenmoreefficientlybyconsideringthe
motion,thesettlementagreement,andanyobjectionsinatelephoneconferencecall,withacourt
reporterrecordingtheproceedings.
Asimilarprocedurehasalsobeenusedinthecaseofalengthytrialatadistantlocation
involvingtheproductionofvoluminoussubpoenaeddocuments.Thetrialwasopenedbya
telephoneconferencecall,thejudgeruledonquestionsraisedinapetitiontorevokethe
subpoena,andsetthegroundrulesforproducingthedocuments.Thejudgethentraveledtothe
trialsitewhenthepartieswerereadytoresumethetrial.
11610
TestimonybyTelephone
TheBoardhasdisapprovedtakingawitnesstestimonybytelephoneoverthe
respondentsobjections.SeeWestsidePainting,Inc.,328NLRB796,796797(1999)(under
Section102.30oftheBoardsRules,witnessesinBoardunfairlaborpracticeproceedingsmay
nottestifybytelephone).TheBoardemphasizedtheimportanceofviewingthedemeanorofthe
witnessbythetrieroffact,aswellasthelackofsufficientsafeguardsthatmayhaveimpairedthe
respondentsrightofcrossexamination.
Nevertheless,judgeshave,onoccasion,takentelephonetestimonywhenallparties
agreedtotheprocedure.See,forexample,TeamClean,Inc.,348NLRB1231(2006),wherean
entiretrialalbeitashortonewithsimpleissueswasconductedbytelephone.
11620
TestimonybyVideo
TheBoardhasnotyetpassedontheuseofvideotestimonyinacontestedunfairlabor
practicecase,inwhichoneofthepartieshasobjectedtotheprocedure.However,FRCP43
specificallyprovidesthatacourtmayforgoodcauseshownincompellingcircumstancesand
90
uponappropriatesafeguards,permitpresentationoftestimonyinopencourtby
contemporaneoustransmissionfromadifferentlocation.
VideotestimonyhasbeenusedinBoardtrialswithoutobjection.See*M.V.M.,Inc.,352
NLRB1165,1165fn.1(2008)(testimonyofonewitnesstakenbyvideowithoutobjection,where
originaltestimonyofwitnesserroneouslywasnottranscribed).Moreover,theBoardhasinstituted
apilotprojectforuseofvideotestimonyinrepresentationcases.PursuanttoaJanuary2008
memorandumfromAssociateGeneralCounselRichardSiegel(OM0820),regionaldirectorsare
authorizedtousevideotestimonyinrepresentationcaseswhenwarranted,evenifaparty
objects.
Videotestimonymayameliorateanyproblemsassociatedwithtelephonetestimony(see
11610,above).Indeed,theMeritSystemsProtectionBoard(MSPB)hasapprovedtheuseof
videotestimonyinitscases,notwithstandingthattheobjectionofaparty(Koehlerv.
DepartmentoftheAirForce,99M.S.P.R.82(2005)),eventhough,liketheNLRB,ithas
disapprovedoftelephonictestimony(Robertsonv.Dept.ofTransportation,113M.S.P.R.16
(2009)).Nevertheless,thejudgeshouldbesatisfiedthattheproponenthasshownaneedgood
causeforvideotestimony,andcarefullyweighanyobjectionsbeforeapprovingit.
Videoconferencingequipmentisavailableinallregionalofficesandmostlargelawfirms.
Ifvideotestimonyistaken,counselshouldbegiventheopportunitytobepresent,perhaps
throughasurrogate,atthelocationwherethewitnessappears,andallotherreasonabledue
processrequirementsshouldbefollowed.Obviously,areportermustbepresenttotranscribethe
testimonyandcareshouldbetakentoensurethatthereporterisabletohearallthespeakers
wherevertheyarelocated.Inaddition,thecamerashouldbeadjustedtogiveacloseupviewof
thewitnessandexhibitsshouldbeprovidedinadvance.Theseandothersuchtechnicalor
logisticalproblemsshouldbeconsideredinevaluatingrelativeadvantagesanddisadvantagesof
permittingvideoconferencing.
11700
Remands,LimitedIssues
Onaremandforfurthertrial,thejudgeislimitedtoconsideringonlythosematters
specifiedbytheBoardsorderandcannotexpandthescopeofthetrial.MonarkBoatCo.,276
NLRB1143,1143fn.3(1985),enfd.800F.2d191(8thCir.1986).
11800
Stipulations,Useof
Astipulationoffactisordinarilyconclusive,precludingwithdrawalorfurtherdisputebya
partyjoininginthestipulationafterthejudgeacceptsit(KrogerCo.,211NLRB363,364(1974)),
exceptonashowingofhonestmistakeornewlydiscoveredevidence.SeealsoGraham,3
HandbookofFed.Evid.Sec.801:26(6thEd.2009).
TheGeneralCounselmaymakeappropriatestipulationswithadversepartiesconcerning
relevantfacts,subjecttotherightofachargingpartywhodoesnotjoininastipulationto
introducecontraryevidenceoradditionalmaterialfacts.BorgWarnerCorp.,113NLRB152,154
(1955),petitionforreviewdenied231F.2d237(7thCir.1956),cert.denied352U.S.908(1956).
UnderSection102.35(a)(9)oftheBoardsRules,arecordmaybestipulateddirectlyto
theBoardfordecision,providedallpartiesconsentandwaiveatrialandtheissuanceofa
decisionbythejudge.
91
UnderSection102.35(a)(9),thepartiesmayalsoagreetowaiveatrialandstipulatefacts
tothejudgeforissuanceofajudgesdecision.Whenacaseisstipulatedtoajudge,heorshe
shouldmakesurethatthestipulationiscompleteenoughtosupportadecisiononallrelevant
issues.
11900
MotiontoReopenRecord
Afterthecloseofthetrialbutbeforeissuanceofthejudgesdecision,apartymayfilea
motionwiththejudgetoreopentherecordonthebasisofnewlydiscoveredevidence.The
judgeisauthorizedtoruleonsuchaproceduralmotionunderBoardsRules,Section
102.35(a)(8).
ThestandardsforrulingonsuchmotionsaresetoutindecisionsaddressingtheBoards
similarauthorityunderBoardsRules,Section102.48(d)(1).
First,themovantmustdemonstratethattheevidenceistrulynewlydiscovered.In
Fitel/LucentTechnologies,Inc.,326NLRB46,46fn.1(1998),theBoardheldthatnewly
discoveredevidenceisevidencewhichwasinexistenceatthetimeofthetrial,andthemovant
wasexcusablyignorantofit,i.e.themovantactedwithreasonablediligencetouncoverand
introducetheevidence.Thus,evidencethatdidnotexistatthetimeofthetrialbecauseit
relatestoeventsthatoccurredafterthecloseofthetrialisnotnewlydiscovered.Allis
ChalmersCorp.,286NLRB219,219fn.1(1987).SeealsoPlannedBuildingServices,Inc.,
347NLRB670,670fn.2(2006)(Boardaffirmedjudgesrefusaltoacceptdocumentssubmitted
byrespondentaftercloseofhearingongroundsthattheevidencewasnotnewlydiscovered).
Second,themovantmustdemonstratethattheintroductionofthe[evidenceinquestion]
wouldrequireadifferentresultthanthatreachedbythejudge.Fitel/LucentTechnologies,
above.SeealsoCountyWasteofUlster,354NLRBNo.54(2009),reaffirmedandincorporated
byreference355NLRBNo.64(2010).
111000 ComplianceProceeding
Specialproceduralrulesgovernsupplementalbackpayproceedings,particularlyregarding
theallocationoftheburdenofproofonvariousissues.Foracasesettingforth10ofthese
burdenofproofrulesintoasinglelist,seeMinetteMills,Inc.,316NLRB1009,10101011
(1995).SeealsoSt.GeorgeWarehouse,351NLRB961(2007)(Boardmajoritymodified
traditionalruleandshiftedburdenofgoingforwardtothediscriminateeandGeneralCounselto
presentevidencethatthediscriminateetookreasonablestepstoapplyforsubstantially
equivalentjobs).
92
CHAPTER12.ORALARGUMENT,BRIEFS,JUDGESDECISIONS
12100
PretrialorTrialBriefs
TheBoardsRulescontainnospecificprovisionforpretrialortrialbriefs.However,
Section102.35(a)(12),providesthatjudgeshaveauthoritytorequestthepartiesatanytime
duringthe[trial]tostatetheirrespectivepositionsconcerninganyissueinthecaseortheoryin
support[ofit].Further,the3dEditionoftheU.S.AdministrativeConferencesManualfor
AdministrativeLawJudgesstatesat47:
Somecases,particularlycomplexones,canbefacilitatedbytrialbriefsstatingthe
principalcontentionsoftheparties,theevidencetobepresentedandthepurposesfor
whichitissubmitted.[The]briefsmayalsopresenttheresultsofresearchthejudgehas
requestedonlegalortechnicalproblems.Thejudgemayinstructeachpartytoincludein
thebriefanyproceduralmotionsandrequests,suchasprovisionstobarproposedwritten
evidence.
However,likeposttrialbriefs,thejudgemaynotrequirethesubmissionofbriefsordraw
anytypeofadverseinferencefromthenonsubmissionofbriefs.
12200
PostTrialOralArgument
BoardsRules,Section102.42,specificallyprovidesthatanypartyshallbeentitled,upon
request,toareasonableperiodatthecloseofthe[trial]fororalargument,whichmayinclude
presentationofproposedfindingsandconclusions,andshallbeincludedinthestenographic
reportofthe[trial].
12300
PostTrialBriefs
BoardsRules,Section102.42,providesthatthejudgehasdiscretionwhethertoallow
timeforpartiestofileposttrialbriefs.SeealsoK.O.SteelFoundry&Machine,340NLRB1295,
1295(2003)(upholdingjudgesdiscretiontoalloworalargumentinlieuofbriefs).However,in
mostcases,judgeswillallowpartiestofileposttrialbriefs,astheycanbequitehelpful.
TimetoFile.Section102.42providesthatthejudgemayfixareasonabletimeforfiling
thebriefs,butnotinexcessof35daysofthecloseoftrial(countingintermediateweekendsand
holidays,seeSec.102.111).Requestsforextensionoftimemustbefiledwiththeappropriate
Chief,Deputy,orAssociateChiefJudge.
PartiesshouldbeinformedthattheBoardanditschiefjudgeswillnotlightlygrant
postponementsforthesubmissionofbriefsandthatmotionsforextensionoftimeshould,ontheir
face,explainthereasonfortherequestandindicatewhethertheotherpartiesobjecttothe
proposedextension.See1200,SuggestedFormofClosingStatement,above.Butsee12
500,ExpeditedDecisionWithoutBriefs,inLieuofBenchDecisionand12600,Bench
Decision,below.
WhereBriefsAretobeFiled.Thejudgeshouldinformthepartiesatthebeginningofthe
trialthatbriefsshouldbefiledintheofficetowhichthejudgeisassigned(Washington,NewYork,
Atlanta,orSanFrancisco).MotionsforextensionoftimeshouldbedirectedtotheChief,Deputy,
orAssociateChiefJudgeatthatofficeaswell.
93
FilingandServiceRequirements.Section102.42,requiresthatthreecopiesofthebriefbe
filed,withsimultaneousserviceontheotherparties.Otherfilingandservicerequirementsfor
briefsaresetforthinSections102.111102.114.SeealsoCHAPTER4,Serviceof
Documents,above.
Notethatbriefsmaybeefiled,butnotfaxed(althoughtheymaybeservedbyfaxwith
consentoftheservedparty).EfilingofbriefsissubjecttorulespostedontheBoardswebsite.
Efiledbriefsmustcomportwithallapplicabletimerequirements,includingthoseinSection
102.111oftheBoardsRulesandRegulations.Filingiseffectiveuponthereceiptofanemailed
documentandnotificationthattheefiledbriefhasbeenreceivedbytheDivisionofJudges.A
statementofservicemustaccompanytheefiledbrief,inaccordancewithSection102.114(i)of
theRules.Electronicfilingswillbeacceptedupto11:59p.m.,localtime,atthereceivingofficeon
theduedate.Partieswhoefiledocumentsarerequiredtoservethemonotherpartiestothe
casebyemailwheneverpossible.
ReplyorAnsweringBriefs.ThereisnoprovisionintheBoardsRulesforthefilingofreply
oransweringbriefstotheadministrativelawjudge.However,thetrialjudgehasthediscretionto
askforthem,orgrantamotionforleavetofilethem,inanappropriatecase.SeeGallup,Inc.,
349NLRB1213,1217(2007),andcasescitedthere.
CAUTION:Judgesshouldnotuseexcerptsfromthebriefsofthepartiesasasubstitute
fortheirfindingsandlegalanalysisinthewrittendecision.Extensiveandverbatimcopyingfrom
thebriefoftheprevailingpartyinthejudgesdecisionnotonlycreatestheappearanceof
partiality,butalsogivestheimpressionthatthejudgefailedtoconductanindependentanalysis
ofthecasesunderlyingfactsandlegalissues. DishNetworkServiceCorp.,345NLRB1071
(2005).Seealso2510,GroundsAssertedforDisqualification,copyingfrombriefs,above.
12400
BriefsNotPartofOfficialRecord
Briefstothejudgedonotnormallybecomepartoftheofficialrecordinthecase.See
BoardsRules,Section102.45(b).SeealsoVanguardFire&SecuritySystems,345NLRB
1016,1020(2005).
12500
ExpeditedDecisionWithoutBriefs,inLieuofBenchDecision
TheBoardallowstheissuanceofanexpediteddecision,withoutwaitingforthefilingof
briefs,uponduenoticetotheparties.BoardsRules,Section102.42,providesthat:
Inanycaseinwhichtheadministrativelawjudgebelievesthatwrittenbriefsorproposed
findingsoffactandconclusionsmaynotbenecessary,heorsheshallnotifythepartiesat
theopeningofthe[trial]orassoonthereafteraspracticablethatheorshemaywishto
hearoralargumentinlieuofbriefs.
Thus,aftergivingtherequirednoticetothepartiesandafterhearingtheoralargumentsin
lieuofbriefs,thejudgemayproceedtoreadthetranscript,exhibits,andapplicableauthorities,
andprepareawrittenexpediteddecisionintheusualmanner.
Anexpediteddecisionmaybepreferredasanalternativetoabenchdecision,discussed
belowin12600.Itavoidsthesometimeshurriedapproachandpotentialpitfallsofabench
decision,whichmustbedeliveredorallyatthecloseofthetrial.
94
12600
BenchDecision
12610
InGeneral
BoardsRules,Section102.35(a)(10),providesthatadministrativelawjudgesshallhave
authoritytomakeandfiledecisions,includingbenchdecisionsdeliveredwithin72hoursafter
conclusionoforalargument,inconformitywithPublicLaw89554,5U.S.C.557. This
procedurehasreceivedcourtapproval.SeeNLRBv.BeverlyManorNursingHome,174F.3d
13,35(1stCir.1999),enfg.325NLRB598(1998).
12620
DecidingtoIssueBenchDecision
Whethertoissueabenchdecisioniswithintheinformeddiscretionofthetrialjudge.
However,benchdecisionsshouldnotbeissuedincomplexcases.DesMoinesRegisterand
TribuneCo.,339NLRB1035,1035fn.1(2003),petitionforreviewdenied,381F.3d767(8th
Cir.2004)(Boardcautionedthatjudgesshouldnotissuebenchdecisionsincomplexcases,but
shouldinvitebriefsandconductamorethoroughanalysisinawrittendecision).Rather,they
shouldberenderedonlyinthosecasesthatturnonaverystraightforwardcredibilityissuecases
involvingoneday[trials]casesinvolvingawellsettledlegalissuewhenthereisnodispute[over]
thefactsshortsingleissuecasesorcasesinwhichapartydefaultsbynotappearingatthe
[trial]....[I]nmorecomplexcases,includingcaseswithlengthyrecords,[benchdecisions]would
likelynotbeappropriate.ProposedBoardGuidelinesonBenchDecisions,59Fed.Reg.65,
942965,943(Dec.22,1994),adoptedasafinalrule,61Fed.Reg.6941(1996),codifiedas29
CFR102.35.
Asindicatedabove,thejudgeshouldputthepartiesonnoticeassoonaspracticablethat
abenchdecisioniscontemplatedandthatoralargumentinsteadofposttrialbriefswillbe
required.Thus,ifpossible,thejudgeshouldnotifythepartiesattheopeningofthetrial,oreven
beforeatthepretrialtelephoneconference,thatabenchdecisionwillberendered.However,
theremaybecircumstanceswherelaternoticeisappropriate.SeeBeverlyManor,above,174
F.3dat36(approvingmidtrialnoticewherethedeterminationandannouncementtotheparties
hadbeenmadebythejudgeassoonaspracticableasthecaseevolved).
12630
ProceduresforIssuanceofBenchDecisions
Oralargumentshouldbeheardfollowingthepresentationofallevidence.Thepartiesmay
requestabrieftimetooutlineandfinalizetheiroralargument.
Thejudgesbenchdecisionisdeliveredorallyontherecord.UnderBoardsRules,
Section102.35(a)(10),thedecisionmaybeissuedupto72hoursaftertheconclusionoforal
argument.SeeEZRecycling,331NLRB950,950fn.1(2000).However,thedecisionshould
ordinarilybedeliveredimmediatelyfollowingoralargument.
Thecourtreporterpreparesthetranscriptoftheproceedings,includingthetranscriptionof
theorallydeliveredbenchdecision.BoardsRules,Section102.45,provides,inpart:
Iftheadministrativelawjudgedeliversabenchdecision,promptlyuponreceivingthe
transcriptthejudgeshallcertifytheaccuracyofthepagesofthetranscriptcontainingthe
decisionfilewiththeBoardacertifiedcopyofthosepages,togetherwithany
supplementarymatterthejudgemaydeemnecessarytocompletethedecisionand
causeacopy...tobeservedoneachoftheparties.Uponthefilingofthedecision,the
BoardshallenteranordertransferringthecasetotheBoardandshallservecopiesofthe
95
order,settingforththedateof[the]transfer,onalltheparties.Serviceofthe
administrativelawjudge'sdecisionandoftheordertransferringthecasetotheBoard
shallbecompleteuponmailing.
Thejudgeshouldbeveryattentivetothetimerestrictionsoftheseprovisionsandcomply
withthem.
Thecertificationmayincludecorrectionsofthetranscript.Althoughthejudgeshouldavoid
wholesalerevisionoftheoraldecision,somecorrectionorclarificationofthedecisionisalso
permitted.Inaddition,ifthejudgeconcludesinreviewingthetranscriptthattheoraldecisionwas
inadequate,thecertificationprocessprovidesopportunityforinclusionofsupplementarymatter
thejudgemaydeemnecessarytocompletethedecision.Thus,thecertificationprocessmaybe
utilizedasnecessarytoeliminatefaultsorinadequaciesintheoraldecision.Forexample,the
certificationmightincludeaformalorderandnoticethathadbeendescribedonlyinsummary
fashionintheoraldecision,ormayincludeomittedcasecitations.
Judgesmustalwaysbemindfulofthepotentialforerrorsinbenchdecisions.Transcripts
ofbenchdecisionsoftencontainnumerousandcriticaltypographicalerrors.Theerrors
necessitatesubstantialcorrections.Toeliminatetheneedforextensivecorrections,judgeshave
madetheirpreparedremarksarecordexhibitorhaveprovidedthecourtreporteracopyoftheir
remarksforguidance.
UnderBoardsRules,Section102.46,thetimeforfilingexceptionstoabenchdecision
runsfromthedateofserviceoftheordertransferringthecasetotheBoard.Thus,thedateofthe
transfershownontheOrderTransferringtheCasetotheBoard(whichaccompaniesthejudges
certificationofthebenchdecisionandsupplement)notthedateoforaldeliveryofthebench
decisioncontrolsthesubmissionofexceptionstothebenchdecision.
12640
ContentsofBenchDecision
Thebenchdecisionitselfshouldcontainalltheelementsthatwouldappearinaregular
writtendecision,includingappropriatecredibilitydeterminations,necessaryfindingsoffactand
conclusionsoflaw,andadequaterationaleonallrelevantissues.Everyeffortshouldbemadeto
renderthedecisioncompleteandunabbreviated.TheBoardwillremandbenchdecisionsthatdo
notmakenecessaryfindingsoffactandconclusionsoflaw,donotproperlydealwithrelevant
contestedtestimonyorotherevidence,orfailtoconsiderthecontentionsofthepartiesorpresent
sufficientlegalanalysis.See,e.g.,Dynatron/BondoCorp.,326NLRB1170,1170(1998).
96
CHAPTER13.EVIDENCE
13100
ApplicableRulesofEvidence,inGeneral
Any[unfairlaborpractice]proceedingshall,sofaraspracticable,beconductedin
accordancewiththerulesofevidenceapplicableinthedistrictcourtsoftheUnitedStates.
Section10(b)oftheAct,29U.S.C.160(b)andBoardsRules,Section102.39.
13101
SoFarasPracticable
TheBoard'spositionisthatitisnotrequiredtoapplytheFederalRulesofEvidence(FRE)
strictly.InternationalBusinessSystems,258NLRB181,181fn.5(1981),enfd.mem.659F.2d
1069(3dCir.1981).Ingeneral,thecourtsagree.NLRBv.AugustaBakeryCorp.,957F.2d
1467,1479(7thCir.1992)(dictum,butcasescited).Butnotalways.SeeNLRBv.United
SanitationService,737F.2d936,940941(11thCir.1984)(findingerrorinthereceiptofa
Boardaffidavitofallegeddiscriminateewhohaddiedbeforetrial).
TheBoardisnotboundbystaterulesofevidence.R.SabeeCo.,351NLRB1350,1350
fn.3(2007).Seealso13214,DeadMansStatutes,below.
13102
TautRecord
Ideally,thejudgewillreceiveevidencethatiscompetent,relevant,andmaterial,and
excludethatwhichisnot,resultinginatautrecord.However,thejudgemaybepresentedwith
circumstanceswheretheevidenceisrelevantbutcouldresultinsignificantdelayinthetrial.In
thesecircumstances,thejudgeshouldrefertoFRE403,ExclusionofRelevantEvidenceon
GroundsofPrejudice,Confusion,orWasteofTime.Therulereads,inpart:
Althoughrelevant,evidencemaybeexcludedifitsprobativevalueissubstantially
outweighedby...confusionoftheissues...orbyconsiderationsofunduedelay,waste
oftime,orneedlesspresentationofcumulativeevidence.
FRE403createsabalancingtest,andnecessarilyinvolvestheexerciseofdiscretion.
Althoughtherulegenerallyfavorsadmission,evidencethathasscantprobativevaluemaybe
excludedundertherule.See22Wright&Gold,Fed.Prac.&Proc.Evid.5214(1stEd.2009)
andGoodeandWellborne,CourtroomHandbookonFederalEvidence,pp.257261(West
2008).
Forcasesupholdingthejudgesexerciseofdiscretion,see,e.g.,J.S.TroupeElectric,
Inc.,344NLRB1009,1010(2005)(BoardcitedbothFRE403andFRE608(b)inupholding
judgesexclusionofprimaryandsecondaryevidenceofallegeddiscriminateesfalseclaimfor
unemploymentorworkerscompensationbenefits,notwithstandingthatthejudgebroadlycredited
thediscriminatee)Dickens,Inc.,355NLRBNo.44,slipop.at4(2010)(judgeproperly
exerciseddiscretioninterminatingunrepresentedrespondentscrossexamination,directinghim
topresenthisowntestimonyatthattime,andsubsequentlycuttingoffhisnarrativetestimony
afterseveralhours)UniversityMedicalCenter,335NLRB1318,1318fn.1&13421343
(2001),enfd.inpart335F.3d1079(D.C.Cir.2003)(upholdingjudgesimpositionoftimelimitson
presentationofrespondentscase)TeamstersLocal122(AugustA.Busch&Co.of
Massachusetts),334NLRB1190,1193,and1255(2001)(samealsoorderinglitigationcosts
fordelayingtrial)andNLRBv.ChampaLinenService,324F.2d28,30(10thCir.1963)
97
CHAPTER13.EVIDENCE
(endorsingthejudgesrefusaltopermitcrossexaminationoftruthofastatement,whichwas
allegedtobeaSection8(a)(1)violation,thatunionofficialstoleamilliondollars).
Seealso2300,DutiesofAdministrativeLawJudges,above,forbasicdutytoinquire
fullyintothefacts.
13104
BackgroundEvidence
13105
AdmissibletoShowMotive
Itiswellestablishedthatevidenceofeventsoccurringmorethan6monthsbeforethe
chargemaybeconsideredasbackgroundtoshedlightonarespondentsmotivationforconduct
withinthe10(b)period.GrimmwayFarms,314NLRB73,7374(1994),enfd.inpartmem.85
F.3d637(9thCir.1996)(walkoutover6monthsearlierconsidered...togivemeaningto
statementmadewithin6months).Seealso3620,NotaRuleofEvidence,above,regarding
admissionofevidenceconcerningeventsoutsidetheSection10(b)period.
13106
PresettlementConduct
UnderwellestablishedBoardlaw,presettlementconductmayproperlybeconsideredas
backgroundevidencetoestablishthemotivefortheRespondentspostsettlementconduct.Host
International,290NLRB442,442(1988).
Forexample,inMonongahelaPowerCo.,324NLRB214,214215(1997),theBoard
heldthat,indeterminingwhethersettlementsofallegeddiscriminationhadbeenbreachedbythe
postsettlementsuspensionandreassignmentoftwounionsupporters,thejudgecouldconsider
evidenceofpresettlementstatementsbytherespondentreflectingunionanimus,asshedding
lightontherespondentsmotivation.TheBoardciteditsdecisioninSpecialMineServices,308
NLRB711,711,720721(1992),enfd.inpart11 F.3d88(7thCir.1993),inwhichitagreedwith
thejudgethattherespondentspresettlementconductevidencedstrongunionanimusforthe
allegedlyunlawfulsubcontracting.
Thepresettlementconductcanbeusedtoshowmotiveevenwithoutareservationof
rightsclauseinthesettlement.SeeSt.MarysNursingHome,342NLRB979,979980(2004),
affd.240Fed.Appx.8,1213(6thCir.2007).Further,ifthesettlementagreementdoes
specificallyreservetheGeneralCounselsrighttousetheevidenceobtainedinthesettledcase
foranypurposeinthelitigationofanyothercase,theGeneralCounselmaypresentthat
evidence,andtheBoardmaymakefindingsandconclusionsthereon,inasubsequentcase.
Thus,inOutdoorVentureCorp.,327NLRB706,708709(1999),theBoardheldthatthe
settledconductinapriorcasecouldbeusedtoestablishthatastrikewasprolongedbyunfair
laborpracticesandtherebyconvertedtoanunfairlaborpracticestrike.
Normally,evidenceofsettlementdiscussionsisinadmissibletoproveordisproveliability
underFRE408,butnotiftheevidenceisusedforotherlegitimatepurposes.See13245,
SettlementDiscussions,below.
13107
Section8(c)andUnionAnimus
Toshowanimus,theGeneralCounselmayofferunallegedstatements(madeeither
beyondorwithinthe6monthlimitationperiod)indicatingoppositiontounionization.TheBoard
reliesonsuchstatementsontheissueofmotivation,notwithstandingSection8(c)oftheAct.See
98
CHAPTER13.EVIDENCE
SunshinePiping,Inc.,351NLRB1371(2007)TejasElectricalServices,338NLRB416,417
(2002)TimFoleyPlumbingServices,337NLRB328,329(2001)andStoodyCo.,312NLRB
1175,11761177,1182(1993).
SomecourtsofappealshavedisagreedwiththeBoardsrelianceonsuchstatements.
SeecaseslistedinTimFoleyPlumbingServices,above,atfn.5andNortonAudubon
Hospital,338NLRB320,320fn.1(2002).However,NLRBjudgesareboundtoapply
establishedBoardlaw.See11300,above.
13108
JudicialorOfficialNotice
UnderFRE201,adjudicativefactsthatarenotsubjecttoreasonabledisputemaybe
givenjudicialnotice(sometimesreferredtoofficialoradministrativenotice) atanystageofthe
proceedings,withorwithoutarequestbyoneoftheparties.
ForBoardcasesapprovingoftakingjudicialnotice,seeE&ISpecialists,349NLRB446,
455(2007)(RandMcNallypublicationshowingdistancesbetweencities)RheeBrothers,Inc.,
343NLRB695,697698fn.5(2004)(theweekdateofagivencalendardate)Amptech,Inc.,
342NLRB1131,1146(2004),enfd.165Fed.Appx.435(2006)(thegeneralimpactofhistorical
eventssuchasSeptember11)MimbresMemorialHospital&NursingHome,342NLRB398,
403fn.14(2004),enfd.483F.3d683(2007)(requirementsmandatedbystatestatutes).
SeealsoMetroDemolitionCo.,348NLRB272,272fn.3(2006)(Boardmaytake
administrativenoticeofitsownproceedings)and DrummondCoalCo.,277NLRB1618,1618
fn.1(1986)(afterduenotice,Boardtookofficialnoticeofanarbitralawardissuedaftercloseof
hearing,despitepartysobjection).
Courtsalsosometimestakenoticeofofficialdocuments.SeeJohnsonv.Morgenthau,
160F.3d897,898(2dCir.1998)(noticetakenofapartysdeathwhenacopyofthedeath
certificateisfurnishedtothecourt).ButseeAmericanStoresCo.v.C.I.R.,170F.3d1267,1270
(10thCir.1999),cert.denied528U.S.875(1999)(noofficialnoticetakenofvariousIRS
documents).
13109
NLRBDecisions
TheBoardmayrelyonfindingsandevidenceinanearliercaseasbackgroundina
subsequentcaseagainstthesamerespondent.StarkElectric,Inc.,327NLRB518,518fn.1
(1999).SeealsoPlannedBuildingServices,Inc.,347NLRB670,670fn.2(2006)(Board
affirmedthatjudgecouldrely,atleastinpart,onpriorcasesinvolvingthesamerespondentto
findanimusinthepresentcase)andSuccessVillageApartments,Inc.,348NLRB579,579fn.
4(2006)(same).Seealso11300to11330,above.
13110
StateUnemploymentDecisions
TheBoardreceivesinevidenceandconsidersdecisionsinStateunemployment
compensationproceedings,butdoesnotgivethedecisionscontrollingweightonunfairlabor
practiceissues.SeeCardiovascularConsultantsofNevada,323NLRB67,67fn.1(1997)
(reversingthejudge,theBoardreceivedStateunemploymentcompensationdecisionbecause
establishedBoardlawholdsthemtobeadmissiblebutnotcontrolling)andWhitesvilleMill
ServiceCo.,307NLRB937,945fn.6(1992)(thedecisionoftheStateagencythatthe
employeewasnotfiredforunionactivitieswasconsideredbutfoundnottobepersuasive
99
CHAPTER13.EVIDENCE
because,attheStatehearing,theplantmanagerrefusedtoanswerquestionsconcerninghis
knowledgeofunionactivity).
13111
OffersofProof
13112
InGeneral
Whenthejudgesustainsanobjectiontoaquestionpropoundedtoawitness,the
proponentmaymakeanofferofprooftoshowthesubstanceoftheexcludedevidence.FRE
103(a)(2).Counselnormallymakesanarrativeofferbystatingwhatthewitnesswouldtestifyif
permittedtoanswer.SeeNLRBv.AugustaBakeryCorp.,957F.2d1467,14791480(7thCir.
1992).
Thejudgemayalsodirectthattheofferbemadebyquestionsandanswers(QandA).
FRE103(b).See,e.g.,SmithfieldPackingCo.,344NLRB1,1314andfn.60(2004),enfd.447
F.3d821(D.C.Cir.2006)(judgeproperlypermittedtestimonialofferofproofwithrespectto
communicationsbetweenrespondentsformermanagerandrespondentsattorneyregardingthe
preparationofmanagersaffidavit,specificallyastowhethermanagergaveafalseaffidavittothe
respondentsattorneyandwhethertheattorneyknewitwasfalse,inordertodeterminewhether
theevidencecamewithincrimefraudexceptiontoattorney/clientprivilege).
Ontherequestofaparty,documentsofferedaspartofarejectedofferofproofshouldbe
placedintherejectedexhibitsfile.CrownCorrugatedContainer,Inc.,123NLRB318,320
(1959).
13113
DuringExaminationofAdverseWitness
Iftheofferofproofismadeoncrossexamination, orondirectexaminationofanadverse
witness,thejudgemayinquireofcounsel(usuallyoutsidethepresenceofthewitness)regarding
thebasisforanticipatingaparticularanswer.Thejudgewillthenbeinapositiontodetermine
whetheranofferofproofisgenuineoramerefishingexpedition.SeegenerallyBeacon
ElectricCo.,350NLRB238,254(2007),wherethejudgedidnotpermitsuchaninquirybecause
respondentsattorneywasunabletoshowrelevance.
13114
NarrativeorQandAOffersofProof
TheQ&Aprocedurecanbeusefulifthejudgeisdoubtfulabouthisorherruling.
SometimestheQs&Aswillsuggestthatadifferentrulingshouldbemade.Inthatevent,the
evidencewillalreadybeintherecordifthejudgereverseshimselforislaterreversedbythe
Board.Foranexampleofajudgepermittinganofferofproofinquestionandanswerform,see
MetropolitanTransportationServices,351NLRB657,670(2007).
However,thenegativesassociatedwithaQ&Aofferofproofusuallyoutweighthe
benefits.First,itwillusuallytakemoretimethanasimplenarrativeandtherecordmaybe
unnecessarilyexpanded.Second,thepartiesarelikelytobeencouragedtolitigateashadow
recordthroughaseriesofoffersofproof.Theopponentwillthenseektomakeoffersrebutting
theotherpartysoffersofproof,arguingthatthejudgeshouldallowtherebuttalofferssothatthe
Boardcanseethatthereisnomerittotheoffersoftheproponent.See,e.g.,Smithfield
Packing,above,344NLRBat186.
100
CHAPTER13.EVIDENCE
13115
WaiverofObjectiontoOfferofProof
Ifapartyopposingtheofferofprooflaterentersthesameareaascoveredbytheofferof
proof,theobjectionisconsideredwaivedandtheprofferedmattermaybeconsideredas
evidence.GoskiTruckingCorp.,325NLRB1032,1032(1998)(chargingparty,intheabsence
ofanobjectionfromtheGeneralCounsel,crossedexaminedwitnessonsamesubjectaddressed
intherespondentsofferofproof).
13200
13201
Hearsay
InGeneral
HearsayrulesarecontainedinFRE801807.Aswithotherrulesofevidence,theBoard
appliestheserulessofaraspracticable.See13100,ApplicableRulesofEvidence,in
General,above.
However,likeotheradministrativeagencies,theBoarddoesnotinvokeatechnicalruleof
exclusionbutadmit[s]hearsayevidenceandgive[s]itsuchweightasitsinherentqualityjustifies.
MidlandHilton&Towers,324NLRB1141,1141fn.1(1997),citingAlvinJ.Bart&Co.,236
NLRB242,242(1978),enf.deniedonothergrounds598F.2d1267(2dCir.1979).Thus,
hearsayevidencemaybeadmittedifrationallyprobativeinforceandifcorroboratedby
somethingmorethantheslightestamountofotherevidence.Ibid.,citingRJRCommunications,
Inc.,248NLRB920,921(1980).SeealsoRCAluminumIndustries,Inc.,343NLRB939,940
(2004)(affirmingjudgesrulingadmittingcorroboratedhearsay).Butcf.NLRBv.FirstTermite
ControlCo.,646F.2d424(9thCir.1981)(holdingthattheevidencesupportinglegaljurisdiction
washearsayandremandingthecasetotheBoard).
Ingeneral,thejudgeshouldexerciseinformedcautionbeforereceivinghearsayunlessit
hastheappearanceofbeingreliable,probativeevidenceoriscorroboratedbyotherevidence.
Admissibility,therefore,oughttobegovernedgenerallybythesamebasicconsiderationsas
evidenceingeneral:Onbalance,whatisthenecessityoftheevidenceanditsprobativevalue,as
comparedwiththepossibilitiesofprejudice,inconvenience,anderrorresultingfromits
admission?Thiswillusuallybeamatterofindividualjudgmentinlightoftheparticular
circumstances.
13202
DoubleHearsayExcluded
TheBoardupheldthejudgesexclusionofdoublehearsayinT.L.C.St.Petersburg,307
NLRB605,605(1992),affd.mem.985F.2d579(11thCir.1993)(judgeproperlyaccordedno
weighttotwiceremovedhearsay).SeealsoAutoWorkersLocal651(GeneralMotors),331
NLRB479,481(2000)(Boardheldthatanemployeesuncorroboratedtestimonythatasecond
employeetoldherthatheheardasupervisorcalledheravoodoosisterwasunreliablehearsay
andthatitdidnotsupportafindingthatthesupervisorwasinfacthostiletoher).Compare
Kamtech,Inc.,333NLRB242,242fn.4(2001)(purporteddoublehearsayadmissibleas
admissionofaparty).
13203
AdmissibleifCorroborated
TheBoardheldthatthejudgeshouldhaveadmittedcorroboratedhearsayinDauman
Pallet,Inc.,314NLRB185,186(1994)(overturningjudge'sexclusionofcorroboratedhearsay
andaccordingitweight).SeealsoRCAluminumIndustries,above,343NLRBat940(affirming
101
CHAPTER13.EVIDENCE
judgesrulingadmittingcorroboratedhearsay)andMeyersTransportofNewYork,338NLRB
958,968969(2003)(unobjectedtoandcorroboratedhearsayisadmissibleandmaybeusedas
basisforfindingsoffact).
13204
ExceptionstoHearsayRules
HearsayisalsoadmissibleunderfamiliarexceptionssetforthinFRE803and804.
Helpfulguidanceinapplyingtheserulescanbefoundinthenotesandcommentsaccompanying
therules.
13205
NoticeNotRequired
TheBoarddoesnotrequireadherencetothe[FederalRulesofEvidence]requirement
thattheproponentofahearsaystatementmakeknowntotheadverseparty,withafair
opportunitytopreparetomeetit,oftheintentiontoofferthestatement,andtheparticularsofit,
includingthenameandaddressofthedeclarant. SheetMetalWorkersLocal28(Borella
Bros.),323NLRB207,209fn.2(1997).[Note:thenoticerequirementwaspreviouslysetforthin
FRE803(24),butisnowcontainedonlyinFRE807,theResidualException].
Thejudge,however,mayexercisehisorherdiscretiontoimposeanoticerequirementin
circumstancesindicatingthatalackofsomenoticewillprejudicetheadversepartyorprolongthe
trial.
13206
Affidavits
Itiswellestablishedthatapartymayuseanaffidavittorefreshawitnessrecollection,to
rehabilitateawitnessdirectexaminationtestimonyoncrossexamination,ortoproveawitness
priorstatementswhenawitnesstestimonyathearingdiffersfromthatwitnesssaffidavit.W&M
PropertiesofConnecticut,Inc.,348NLRB162,162(2006),enfd.514F.3d1341(D.C.Cir.
2008).
Thefollowingsectionsaddresstheuseofaffidavitsassubstantiveevidenceunderthe
hearsayrules.Seealso13240,Admissions13612,RefreshingRecollection13613
PastRecollectionRecorded13706InconsistentPriorStatementsand3800etseq.,
Releaseof WitnessStatements,below.
13207
InGeneral
Unlessusedtoimpeachorestablishadmissionsofaparty(discussedinothersections
listedabove),affidavitsgenerallyarereceivedsubstantivelyonlyifthedeclarantisdeceasedor
unavailable,orthetakingoftestimonyposesathreattothehealthofthewitness.Thisis
becausethereisnoopportunityfortheopponenttocrossexamineorthejudgetoobserve
demeanor.WecoCleaningSpecialists,308NLRB310,311fn.7,314315(1992)and
ColonnasShipyard,293NLRB136,143fn.2(1989),enfd.mem.900F.2d250(4thCir.1990).
Seealso13214,DeadMansStatutes,below,discussingtheBoardspolicy(contrarytothe
DeadMansstatutesofsomeStates)admittingstatementsattributedtodeceasedpersonsor
thosetooilltotestify.Seealso BoardsClassifiedIndexcodenumbers73784018400,
Affidavitofdecedent,and73784018500,Affidavitofunavailableorhostilewitness.
102
CHAPTER13.EVIDENCE
13208
DeclarantDeceased
ForaBoardcaseinvolvingadeceaseddeclarant,seeWecoCleaningSpecialists,
above,308NLRBat311fn.7,314315.Inthatcase,theBoardaffirmedthejudge'sreceiptin
evidenceofanaffidavitofadeceasedcompanyagenttakenbytheunion'sattorney,aformer
Boardlawyerbecausetheaffidavitwascorroboratedbyotherevidence.ButtheBoardattached
lessweighttotheaffidavitthandidthejudge.
13209
DeclarantUnavailable
SeeFRE804regardingexamplesofunavailability.ForBoardcases,seePark
Maintenance,348NLRB1373,1373fn.2(2006)(Boardreversedjudgesrulingadmitting
affidavitsintheabsenceofashowingthattheaffiantswereunavailabletotestify,butfoundthat
therulingconstitutedharmlesserrorbecausethejudgediscreditedthestatementsinthe
affidavit)andMarineEngineersDistrict1(DutraConstruction),312NLRB55,55(1993)
(BoardheldthatthejudgeproperlystruckthenonBoardaffidavitofanonappearingwitness,
offeredinsupportofanaffirmativedefense,astheproponentdidnotallegethattheaffiantwas
unavailabletotestify).
Foracaseinvolvingafrightenedwitness,seeThreeSistersSportswearCo.,312NLRB
853,865(1993),enfd.mem.55F.3d684(D.C.Cir.1995),cert.denied516U.S.1093(1996).In
thatcase,thepretrialaffidavitofafrightenedwitness(acurrentemployee),whoclaimednotto
rememberanythingaboutheraffidavitotherthanhersignature,wasreceivedinevidenceaspast
recollectionrecordedunderFRE803(5).
13210
OfRecantingWitness
Thejudgehasconsiderablediscretion,undertheActsguidancetoapplytheFederal
RulesofEvidencesofaraspracticable,torelyonhearsayevidenceassubstantiveevidence,
wherecorroborated,toallayconcernsoverwitnessintimidation.SeeConleyTruckingv.NLRB,
520F.3d629(6thCir.2008),enfg.349NLRB308,309313(2007)(upholding,asanexemplary
applicationoftheaboveprinciples,thejudgesadmissionintoevidenceofthepretrialaffidavitsof
arecantingwitnessandhisrelianceontheaffidavitsascreditedsubstantiveevidencewhere
corroborated).
Foracaseinvolvingaposthearingrecantingaffidavit,seeSouthdownCareCenter,313
NLRB1114,11141115,1118(1994).Inthatcase,theBoardremandedforconsiderationofthe
posthearingrecantingaffidavitofamajorwitnessindicatingthatmostofhertestimonyinthetrial
wasfalse.Onremandthejudge,disbelievingtherecantingversion,reaffirmedhisoriginal
findings,whichtheBoardadopted.
13211
BargainingNotes
Generally,bargainingnotesareadmissibleifmadeatorsoonafterbargainingsessions
andauthenticatedbythesponsoringwitness.PacificCoastMetalTradesCouncil(Lockheed
Shipbuilding),282NLRB239,239fn.2(1986) AllisChalmersMfg.Co.,179NLRB1,2fn.9
(1969)andNLRBv.TexTan,Inc.,318F.2d472,483(5thCir.1963).Insomecasestheparties
willstipulatetothereceiptofthebargainingsummariesofoneormoreparties,withthe
qualificationthatallpartiesarefreetocontestanyentryandtoadvancetheirownversionofthe
meetings.SeeFormosaPlasticsCorp.,Louisiana,320NLRB631,641(1996).
103
CHAPTER13.EVIDENCE
13212
Newspaper/TelevisionReports
Newspaperarticlesandjobadvertisementsareselfauthenticating.FRE902(6).Self
authenticatingdocuments,however,arenotnecessarilyadmissible.See,forexample,Sheet
MetalWorkersLocal15,346NLRB199,202(2006),enf.deniedonothergrounds,491F.3d
429(D.C.Cir.2007)(newspaperarticlesquotationofaCEOexcludedashearsay).SeealsoB.
N.BeardCo.,248NLRB198,199fn.9(1980)(Boardavoidedthehearsayproblemofanarticle
quotingrespondentspresidentbydisregardingthequoteandinsteadconsideringonlythe
newspaperreporterscreditedtestimonydescribingwhatthepresidenttoldhim).
SeealsoDorothyShamrockCoalCo.,279NLRB1298,1298fn.1(1986),enfd.833
F.2d1263(7thCir.1987),wherethejudgeexcludedanewspaperarticleaboutincreased
relianceonleaseddriversinthefinanciallytroubledtruckingindustry.TheBoardaffirmed
becausethearticlewaspublishedaftertheemployerlaidoffitsdrivers,andtherefore,thearticle
playednopartintheemployer'slayoffdecision.
Televisioninterviewsmayrequiredifferenttreatment.TVvideotapesarenotlistedinFRE
902asselfauthenticating.QuestionsaremorelikelytoariseovertheintegrityofaTVnewsclip
(hasitbeenedited?)thanwhetherapagefromanewspaperisaforgery.Inaddition,onceaTV
videotapehasbeenauthenticated,ithelpsifthepartiesagreeonatranscriptofthetextofthe
remarks,byspeaker,shownontheTVvideotape.Anyremarksonthevideotapeofanabsent
witnesspossiblycouldbeadmissibleundertheunavailabilityexceptioninFRE804.
13213
MarketQuotations,Directories
AspecifichearsayexceptionisprovidedforMarketquotations,tabulations,lists,
directories,orotherpublishedcompilationsthataregenerallyusedandrelieduponbythepublic
orbypersonsinparticularoccupations.FRE803(17).Asinglearticle(orevenaseriesof
articles)inageneralinterestnewspapermaynotsatisfythatrule.
13214
DeadMansStatutes
BecauseunfairlaborpracticeproceedingsbeforetheBoardderivesubstantivelyand
procedurallyfromaFederalstatute,StatelawdoesnotsupplytheruleofdecisionunderFRE
601.Accordingly,theBoardisnotboundtoapplyStateDeadMansstatutesexcluding
statementsattributedtodeceasedpersonsorthosetooilltotestify.WestTexasUtilities,94
NLRB1638,1639fn.3(1951),enfd.195F.2d519(5thCir.1952)QuarlesMfg.Co.,83NLRB
697,699fn.8(1949),remanded190F.2d82(5thCir.1951)(onrequestofBoardforvacating
orderanddismissingcomplaint).
However,theBoardsubjectssuchastatementtotheclosestscrutinybeforedeciding
whatweighttogiveit. WestTexasUtilities,above,94NLRBat1639.SeealsoAnns
Laundry,276NLRB269,270fn.3(1985)(same).
13215
PositionLettersorStatements
Arespondentspositionstatement,submittedbyitsattorney,isadmissibleinevidenceas
anadmissionbyapartyopponentunderFRE801(d)(2),evenifsubmittedbytherespondents
formercounsel.SeeUnitedScrapMetal,Inc.,344NLRB467,467468andfn.5(2005)and
OpticaLeeBorinquen,307NLRB705fn.6(1992),enfd.991F.2d786(1stCir.1993)(Table).
Seealso13243,AdmissionsbyAttorney/PositionStatements,below.
104
CHAPTER13.EVIDENCE
13216
Recordings
13217
TapeRecording(Audio/Video)MadeSecretly
GeneralRule.TaperecordingsaregenerallyadmissibleinBoardproceedings,evenif
madewithouttheknowledgeorconsentofapartytotheconversation,andevenifthetaping
violatesStatelaw.TimesHeraldRecord,334NLRB350,354(2001),enfd.27Fed.Appx.64
(2dCir.2001)WilliamhouseofCalifornia,Inc.,317NLRB699,699fn.1andJDfn.2(1995)
andWellstreamCorp.,313NLRB698,711(1994).
AdifferentresultpossiblymightobtainiftheFederalwiretappingstatutewereviolated:
thatis,iftherecordingwassecretlymadeinconjunctionwiththeinterceptionofatelephone
conversationbetweentwoormoreotherparties.Buttheinterceptionofaconversationovera
cordlesstelephonesradiowavehasbeenheldnottoviolatetheFederalwiretappinglaw.Inre
Askin,47F.3d100,102104(4thCir.1995),cert.denied,516U.S.944(1995).Anda
supervisorsremarksduringacordlessphoneconversation,pickedupbythediscriminatees
policescannerandrecordedbythediscriminatee,providedevidenceofanimusinScientific
EcologyGroup,317NLRB1259,1259,1261(1995).
Taperecordingissuesfrequentlyarisewhenanemployeehassecretlytapedremarksofa
managermadeduringameetingorconferenceheldonthejobsite.InMcAllisterBros.,278
NLRB601,601fn.2(1986),enfd.819F.2d439(4thCir.1987),theBoardexpresslydisavoweda
statementbythejudgethattheBoardhistoricallyhastakenadimviewofpersonnelwhotape
recordmeetingswiththeiremployer.Indeed,citingcases,theBoardstatedthatithassometimes
foundtaperecordingsofemployeemeetingstobethebestevidenceofwhatwassaid.Ibid.
Suchconduct,however,isnotabasistodiscredittheindividualwhomadetherecording.
SeeFlemingCompanies,336NLRB192,192fn.2(2001),enfd.inpart,349F.3d968(7thCir.
2003)(Boardstatedthatawitnessssurreptitioustapingofaconversationwithmanagement
representativesisnotabasisfordiscreditingthewitnessstestimony).However,itmaybe
groundsforemployerdiscipline.SeeOprylandHotel,323NLRB723,723fn.3(1997)(Board
impliedthatiftheemployer'spreexistingpracticehadbeentoprohibitemployeesfromusingor
possessingtaperecordersatwork,andtodischargethoseviolatingtherule,thennobackpay
liabilitywouldattachfromthetimetheemployerdiscoveredtheviolation).
CollectiveBargainingException.Asapolicymatter,theBoardexcludessecrettape
recordingsofnegotiations,becausetheywouldinhibitseverelythewillingnessofpartiesto
expressthemselvesfreely.CarpenterSprinklerCorp.,238NLRB974,974975(1978),affd.in
relevantpart,605F.2d60,6566(2dCir.1979).
Authentication.Properauthenticationofatapemeans,inpart,thatanyeditingmustbe
explainedbysomeonewithknowledgeoftheediting.InMediteofNewMexico,Inc.,314NLRB
1145,1146fn.7(1994),enfd.72F.3d780,787(10thCir.1995),theBoardaffirmedthejudge
whoexcludededitedvideotapetakenbyaguard,becausetheguarddidnotdotheeditingand
couldnotdescribewhatwasedited.
DefectsinRecording.Thetapesinmanyofourcasesareoflessthanperfectquality,
somewordsorpassagesbeinggarbledorinaudible.Unlessthedefectsaresosubstantialthat
theyrendertheentirerecordinguntrustworthy,anydefectsgotoweight,nottoadmissibility.See
U.S.v.Parks,100F.3d1300,1305andfn.2(7thCir.1996).
105
CHAPTER13.EVIDENCE
NOTE.Oftenthebestwaytoreceiveevidenceofataperecordingistoobtainastipulation
ofawrittentranscriptforreceiptinevidence,alongwiththetapeifrequested.
13218
TapeRecordingObtainedbySubpoena
InDeltaMechanical,Inc.,323NLRB76,77(1997),theBoardheldthata
contemporaneousstatementcapturedonataperecordingorvideotapeatasubstantiveevent
(unionorganizersapplyingforjobs)isnotaJencksstatementbecauseitisnotadescriptionofa
pastevent.Instead,itisdirectevidencebecauseitispartofthesubstantiveeventitself.Thus,it
issubjecttoasubpoena.SeealsoLeisureKnollAssn.,327NLRB470,470fn.1(1999).And,
ofcourse,itis,underpropercircumstances,admissibleasevidence.Seealso8500and8
510,above.
13219
OpinionTestimonybyLayWitness
FRE701,OpinionTestimonybyLayWitnesses,allowsalaywitnesstogiveanopinionor
inferenceonlyif:(a)rationallybasedontheperceptionofthewitness,(b)helpfultoaclear
understandingofthewitnesstestimonyorthedeterminationofafactinissue,and(c)notbased
onscientific,technical,orotherspecializedknowledgewithinthescopeofRule702.Seealso
13401,below,regardingemployeesubjectiveoropiniontestimonyaboutalleged8(a)(1)
statements.
13220
ExpertWitnessTestimony,InGeneral
FRE702,TestimonybyExperts,setsforththecriteriaforreceivinganexpertsopinion.
Thejudgemustbesatisfiedthattheexpertisqualified,thesubjectmatterisappropriatefor
experttestimony,andtheexperttestimonywillassistindecidingthecase.Inaddition,the
testimonyshouldbebaseduponsufficientfactsordataandtheproductofreliableprinciples
andmethods,andthewitnessshouldhaveappliedtheprinciplesandmethodsreliablytothe
factsofthecase.
ForexampleswhereRule702hasbeenappliedinBoardproceedings,seethejudges
decisioninFluorDaniel,Inc.,350NLRB702,713(2007)andcasescitedthere.
13221
AppropriatenessofExpertTestimony
UnderFRE704,experttestimonyisnotinadmissiblesimplybecauseitembracesan
ultimateissuetobedecidedbythetrieroffact.However,tobeadmitted,thetestimonymuststill
satisfythestandardssetforthinRule702(aswellas403).Seealsocasescitedin13222,
below.
Butexpertopinionsonultimatelegalissuesareproperlyexcludedaswithintheexclusive
provinceofthejudgeandBoard.SeegenerallyNationwideTransportFinancev.Cass
Information,523F.3d1051,1058(9thCir.2008)(experttestimonyonultimatelegalissues
inadmissible).SeealsoGilsonv.Sirmons,520F.3d1196,1243(10thCir.2008)(expert
testimonyonwitnessscredibilityinappropriate).
Thus,thejudgeinaBoardproceedingmayexcludeanexpertopiniononsuchissuesas
theimpactofallegedlyobjectionableconductduringthecriticalperiodbeforeanelection,whether
alleged8(a)(1)statementswouldhavecoercedemployees,orwhetherthestatementshave
causedemployeestoabandontheirsupportofaunion.
106
CHAPTER13.EVIDENCE
13222
FlawedPremises
Whereexperttestimonyhasbeenreceived,thejudgemaydisregarditifthepremiseson
whichtheanalysisandconclusionsrestareflawed.SeeRaleys,348NLRB382,562563
(2006)(handwritingexperttestifyingaboutsignaturesbasedonflawedpremises)H.B.Zachry
Co.,319NLRB967,979980(1995),modifiedondifferentpoint,127F.3d1300(11thCir.1997)
(judgedisregardedmanagementprofessorsanalysis,whichwasshowntobeflawed)Fluor
Daniel,Inc.,304NLRB970,971fn.10,975,978,980(1991),enfd.mem.976F.2d744(11th
Cir.1992)(judgedisregardedtheconclusionsofaconsultantonstatisticsbecausehereliedon
flawedassumptions).
SeealsoPartsDepot,Inc.,348NLRB152,152fn.6(2006)(judgeproperlyrefusedto
permitanexpertwitnesstoopineinbackpayproceeding,basedonananalysisofemployment
trends,thatemployeesdidnotmakereasonableeffortstoseekinterimemployment,sinceBoard
precedentrequiresconsiderationofanindividualsparticularcircumstancesratherthanjust
probabilities).
TheforegoingrulingsareconsistentwiththeSupremeCourt'sexpressioninGeneral
ElectricCo.v.Joiner,522U.S.136(1997)thatacourtmayconcludethatthereissimplytoo
greatananalyticalgapbetweenthedataandtheopinionproffered.
13223
Handwriting/UnionAuthorizationCards
Eitherthejudgeoranexpert(orboth)maycomparehandwritingandsignatureswith
authenticatedspecimensinordertoauthenticateunionauthorizationcards. SeeFRE901(b)(3)
andPartsDepot,Inc.,332NLRB670,674(2000),enfd.24Fed.Appx.1(D.C.Cir.2001)([T]he
Boardhaslongheld,consistentwithSection901(b)(3)oftheFederalRulesofEvidence,thata
judgeorahandwritingexpertmaydeterminethegenuinenessofsignaturesonauthorization
cardsbycomparingthemtoW4formsintheemployersrecordsorotheremployment
documents).SeealsoTractionWholesaleCenterCo.v.NLRB,216F.3d92,105(D.C.Cir.
2000),enfd.328NLRB1058,10591060(1999).
13224
PriorNoticetoOpponent
Priornoticeshouldnormallybegivenbyapartyintendingtouseanexpertwitnessatthe
trialsothattheopposingpartymayhavetimetoobtainitsownexpert.Thefailuretodosomay
beconsideredbythejudgeinrulingontheadmissibilityoftheexperttestimonyunderFRE403.
See13102,above.
13230
Polygraphs
Apolygraphwasadmittedbythejudgeandgivensome,butnotcontrolling,weightin
assessingcredibilityinJ.C.PennyCo.,172NLRB1279(1968),enfd.inrelevantpart416F.2d
702,705(7thCir.1969).Somecourtshavealsoacceptedsuchevidenceuponstipulationorfor
impeachmentorcorroboration.SeeU.S.v.Picciononna,885F.2d1529(11th Cir.1989).See
alsoLeev.Martinez,136N.M.166,168(2004)(summarizingtreatmentofpolygraphevidence
byjurisdiction).
However,theBoardhasnotdirectlyspokenontheadmissibilityofevidenceconcerning
polygraphtests.Further,itappearsthatfederalappellatecourtswillupholdatrialcourts
discretiontorejectsuchevidenceasinadmissible.SeeU.S.v.Henderson,409F.3d1293,1303
107
CHAPTER13.EVIDENCE
(11th Cir.2005),certdenied126S.Ct.1331(2006)andU.S.v.Cordoba,194F.3d1053(9thCir.
1999).
SeealsoLudlumv.DepartmentofJustice,87M.S.P.R.56,66fn.3(2000)(Merit
SystemsProtectionBoardrefusedtoconsideragencysfailuretouseapolygraphtestorthe
employeeswillingnesstoundergooneasprobative,statingthatevenifapolygraphexamination
hadbeenconducted,itisnotclearthattheresultswouldbeadmissibleorprobative)andFinley
LinesJointProtectiveBoardUnit200v.NorfolkSouthernRy.,312F.3d943,947(8thCir.
2002)(upholdingtheassignmentofnoweighttopolygraphevidencebyapubliclawboard).
13235
AdverseInferences
Thejudgemaydrawanadverseinferencewhenapartyfailstoproducedocumentsunder
hiscontrol,ortocallwitnessesreasonablyassumedtobefavorablydisposedtowardtheparty.
SeeAdvocateSouthSuburbanHospitalv.NLRB,468F.3d1038,1048andfn.8(7thCir.
2006)and*ParksiteGroup,354NLRBNo.90,slipop.5(2009)(failureofrespondenttocallits
managerwhoevaluatedallegeddiscriminateesforrehiresubjecttoadverseinferenceGeneral
Counselnotrequiredtosubpoenamanager).Cf.ForsythElectricCo.,332NLRB801,818
(2000)(rejectingGeneralCounselsrequestforadverseinferenceastestimonywasnotrelevant
anditwasnotnaturallyintherespondentsinteresttoproduceit).
Apartysfailuretoexplainwhyitdidnotcallthewitnessmaysupportdrawingtheadverse
inference.See MartinLutherKing,Sr.NursingCenter,231NLRB15,15fn.1(1977)(judge
properlydrewadverseinferenceinabsenceofexplanation).ButseeRooseveltMemorial
MedicalCenter,348NLRB1016,1022(2006)(judgeabusedhisdiscretionbydrawingadverse
inferencefromrespondentsfailuretocallamanagercircumstancesindicatedmanagerwasnot
calledbecausehistestimonywasunnecessary,notbecauseitwouldhavebeenadverse).
Conversely,ofcourse,anadverseinferencewouldnormallynotbeappropriatewherean
adequateexplanationisprovided.
Bystanderemployees.Bystanderemployeesarenotpresumedtobefavorablydisposed
towardanypartyandnoadverseinferenceisdrawnagainstapartyfornotcallingabystander
employee.Torbitt&Castleman,Inc.,320NLRB907,910fn.6(1996),affd.onpoint,123F.3d
899,907(6thCir.1997).However,thejudgemayweightheGeneralCounselsfailuretocallan
identified,potentiallycorroboratingbystanderasafactorindeterminingwhethertheGeneral
Counselhasestablishedbyapreponderanceoftheevidencethataviolationhasoccurred.C&S
Distributors,321NLRB404,404fn.2(1996),citingQueenoftheValleyHospital,316NLRB
721,721fn.1(1995).
FormerSupervisors.Noadverseinferenceisdrawnfromthefailureofarespondenttocall
aformercoowner,manager,orsupervisorwhentherecorddoesnotshowitisreasonableto
assumethatthepersonisfavorablydisposedtowardtherespondent.SeeGoldsmithMotors
Corp.,310NLRB1279,1279fn.1(1993)andChristieElectricCorp.,284NLRB740,784fn.
137(1987)(decliningtodrawanadverseinferencefromthefailuretocallaformersupervisor).
FailuretoHonorSubpoena.See8620,FailuretoProduceDocuments,above,
regardingthedrawingofanadverseinferencebecauseapartyfailstohonorasubpoenaduces
tecumandtheapplicationoftheBannonMillsrule.SeealsocasescitedunderBoardClassified
Indexcodenumbers,59676823320,73742672700,and73784336796.
DestroyedEvidence.SeeAkionav.U.S.,938F.2d158,160161(9thCir.1991),cert.
denied503U.S.962(1992)(Generally,atrieroffactmaydrawanadverseinferencefromthe
108
CHAPTER13.EVIDENCE
destructionofevidencerelevanttoacase).ButseeBPAmocoChemicalChocolateBayou,
351NLRB614,636(2007)(noinferenceofunlawfulintentdrawnfromsupervisorsdestructionof
theirworksheetsusedduringselectionprocesswhererespondenthadnolegaldutytoretainthe
recordsandtherewasnobusinessorpersonalreasonforthesupervisorstokeepthem).
13240
Admissions
StatementsbyapartyoritsagentsarecoveredbyFRE801(d)(2),AdmissionsbyParty
Opponent:StatementsWhichAreNotHearsay.
13241
AdmissionsbySupervisorinAffidavit
PrehearingaffidavitsgiventotheGeneralCounselbysupervisorswhileemployedbythe
respondentconcerningmatterswithinthescopeofemploymentarenonhearsayadmissions
underFRE801(d)(2).SeeFredericksburgGlass&Mirror,323NLRB165,175176(1997)and
casescitedthere.SeealsoWecoCleaningSpecialists,308NLRB310,311fn.7,315(1992)
(judgeadmittedandreliedonpretrialaffidavitgivenbydeceasedmanagertochargingparty
however,Boardfounditunnecessarytorelyontheaffidavitinaffirmingthejudgesdecision).
Withrespecttoaffidavitsgivenbyformermanagers(whichwouldnormallyfallunderFRE
803or804,ratherthan801(d)(2)),seeSuccessVillageApartments,Inc.,347NLRB1065,
1065(2006).Inthatcase,theBoardaffirmedthejudgesadmissionofanaffidavitofaformer
manageroftherespondenttakenexpartebytheGeneralCounselafterthemanagerceased
workingfortherespondent.TheBoardrejectedtheargumentthattheaffidavitwastakenin
contraventionofapplicableethicalstandards.Theformermanagertestifiedatthetrialandhis
affidavitwasturnedovertotherespondentafterhistestimony,inaccordancewithSection
102.118(b)(1)oftheBoardsRules.
13242
StatementsofNonChargingPartyWitnessNotAdmission
Affidavitsorstatementsofanonchargingpartydiscriminateegenerallyarenotadmissible
assubstantiveevidencebecausehe/sheisnotapartyopponentunderFRE801(d)(2).See
PerformanceFrictionCorp.,335NLRB1117,1120fn.20(2001)andVencorHospitalLos
Angeles,324NLRB,235fn.5(1997).Butsee13210,OfRecantingWitness,above.
13243
AdmissionsbyAttorney/PositionStatements
Manycases findattorneystatements,bothinandoutofcourt,tobeadmissions.For
example,itiswellestablishedBoardlawthatalawyerspositionlettercanbereceivedasan
admissionifitcontainsastatementorstatementsconflictingwiththepartysposition.See,e.g.,
Raleys,348NLRB382,501502(2006)McKenzieEngineeringCo.,326NLRB473,485fn.6
(1998)HoganMasonry,314NLRB332,333fn.1(1994)andMassillonCommunityHospital,
282NLRB675,675fn.5(1987).SeealsoUnitedTechnologiesCorp.,310NLRB1126,1127
fn.1(1993),enfd.mem.29F.3d621(2dCir.1994)(positionletterattachedtoanunsuccessful
motiontodismissthecomplaint).Indeed,itisreversibleerrorforthejudgetorefusetoadmitinto
evidencesuchapositionpaper. MassillonCommunityHospital,supraFloridaSteelCo.,235
NLRB1010,10111012(1978)AblonPoultry&EggCo.,134NLRB827fn.1(1961).
Theruleapplieseventopositionstatementspreviouslysubmittedinrepresentation
proceedings.SeeEvergreenAmerica,348NLRB178(2006),previouslydiscussedin8445,
WorkProductPrivilege,above.SeealsoBliss&LaughlinSteelCo.,266NLRB1165,1167fn.
109
CHAPTER13.EVIDENCE
2(1983),enfd.754F.2d229(7thCir.1985).However,itisunclearwhat,ifany,weightthejudge
maygiveapositionstatementthathasbeendisavowedbytheattorneypriortotrial.SeeOrland
ParkMotor,333NLRB1017fn.1&10241026(2001).
Ofcourse,alawyerspositionlettercanalsobeusedtoimpeachthelawyersconflicting
testimonyatthetrial.HaroweServoControls,Inc.,250NLRB958,1033(1980).Seealso
PerformanceFrictionCorp.,335NLRB1117,1149(2001),describingotherwaysanattorney
canmakeadmissionsinBoardproceedings.
However,apartymaynotaffirmativelyrelyonitsownassertionsinpositionstatementsor
briefstohelpestablishapointonwhichitcarriestheburdenofproof.SeeCannondaleCorp.,
310NLRB845,852(1993)(attorneyspositionletter)DomseyTradingCorp.,310NLRB777,
814fn.35(1993),enfd.16F.3d517(2dCir.1994)(attorneyslettertothejudgeinthenatureofa
supplementalbrief)AuburnFoundry,274NLRB1317,1317fn.2(1985),enfd.791F.2d619
(7thCir.1986)(astatementinlawyersbrieftothejudge)andRiverwoodsChappaquaCorp.v.
MarineMidlandBank,30F.3d339,343(2dCir.1994)(statementmadeinthecounsels
openingstatement).
13244
AdmissionsbyEmployerinSection8(b)(2)Case
InTeamstersLocal705(PennsylvaniaTruckLines),314NLRB95,98fn.4(1994),the
Boardstronglysuggestedthataseeminglyhearsaystatementofanonpartyemployeris
admissibleinaSection8(b)(2)casetoshowthebasisforadischarge.Thestatementwasnot
objectedtoandtherewascorroboratingevidence.
13245
SettlementDiscussions
FRE408prohibitsuseofoffersofsettlementorotherstatementsduringsettlement
discussionsasadmissions,butdoesnotprohibittheiruseotherpurposes.Thus,forexample,
allegedthreatsmadeduringinformalgrievancesettlementdiscussionsmaybeadmittedina
subsequentNLRBcase.MiamiSystemsCorp.,320NLRB71,71fn.2(1995),modifiedbut
affirmedonpoint,Uforma/ShelbyBusinessFormsv.NLRB,111F.3d1284,12931294(6th
Cir.1997).SeealsoR.SabeeCo.,351NLRB1350,1350fn.3(2007)(antiunionstatementsof
respondentsnegotiatorduringmediationofstateclaimsadmissibleinNLRBproceeding).
13246
DocumentinPersonnelFile
AdocumentinanemployeespersonnelfilemaybereceivedunderFRE801(d)(2)ifit
constitutesanadmissionagainstarespondentemployer.LaidlawTransit,Inc.,315NLRB509,
512(1994)(amemoinanemployee'spersonnelfile,signedbytheemployeesmanagerand
dated10daysafterthedischarge,warrantsaninferencethatthedocument,describingthe
terminationinterview,wascompanygenerated).
Writtenwarnings(ormemosdocumentingoralwarnings),dischargememos,orsimilar
documentsfrompersonnelfilesarefrequentlyofferedbyoneormoreoftheparties.Normallythe
documentsareofferedforthelimitedpurposeofshowingthecourseofeventsmotivatingthe
company'sdecisiontodisciplinetheemployee.Usuallythereisnoobjectionforthislimited
purpose.
Occasionallyapartyofferssuchdocumentsforthetruthofthemattersassertedinthe
documents.Usuallythisoccursfromamistakennotionofneedingtodoso,orsometimesto
substitutefortestimonyfromasupervisornolongerwiththecompany.Thememosandother
110
CHAPTER13.EVIDENCE
documentsmaybeadmissibleunderFRE803(6), thehearsayexceptionapplicabletorecordsof
regularlyconductedactivity(businessrecords).
However,FRE803(6)specificallyprovidesforexclusionofsuchdocumentsifthesource
ofinformationorthemethodorcircumstancesofpreparationindicatelackoftrustworthiness.
Thus,atrialjudgeisnotrequiredtoreceiveasupervisor'smemotoanemployeespersonnelfile
ifthecircumstancessuggestthatthememomayhavebeenpreparedbecauseofthelitigation
potentialoftheeventsatissue.SeePiercev.AtchisonTopeka&SantaFe,110F.3d431,444
(7thCir.1997(trialjudgeexcludedmemoandtheSeventhCircuitrefusedtosecondguess[that]
determination).
13250
FormalPapersGeneralCounselExhibit1
Generally,documentscontainedinGeneralCounselsExhibit1(charges,pleadings,
motions,orders,andothermattersthatarepartoftherecordunderSection102.45(b)ofthe
BoardsRules),shouldnotbereliedonassubstantiveevidenceunlesstheycontainan
admission.Foracasewherethejudgereliedonarespondentsprecomplaintpositionstatement,
whichwasattachedtoamotiontodismissandincludedintherecord,apparentlyaspartofGC
Exh.1,seeUnitedTechnologiesCorp.,310NLRB1126,1127fn.1(1993).
13255
Summaries
Summariesofdocumentsareoftenpreparedandofferedinevidenceinourcaseswhere
thedocumentsthemselvesaretoovoluminousorcomplicatedtobeconvenientlypresentedin
theirentirety.UnderFRERule1006,suchsummariesareadmissibleiftheunderlyingdocuments
wouldbeadmissibleandhavebeenmadeavailabletoopposingcounselforexamination,anda
properfoundationforthesummaryisestablished(usuallybythepersonwhopreparedthe
summary).
Apartymayalsoofferasummaryofdocumentsalreadyintherecord.Insuch
circumstances,thejudgemayproperlyconsiderwhetheradmissionofthesummaryiswarranted
underFRE611(a).Othertypesofsummariesorcompilationsmayrequireevaluationunderone
ormorerules,suchasFRE803(5)(recordedrecollection)orFRE803(6)(summariesor
compilationsmadeatornearthetimeoftheeventsandkeptintheregularcourseofbusiness).
Regardlessofwhichtypeofsummaryisinvolved,inevaluatingitsadmissibilityand/or
probativeweight,thejudgeshouldcarefullyconsiderthecircumstancesunderwhichthe
summarywasprepared,andwhetheritreflectstheauthorssubjectivevieworinterpretationof
theunderlyinginformation.SeeMonfortofColorado,298NLRB73,82fn.37(1990).
13260
Privileges
13261
GeneralRuleFRE501
AsthecommitteeandconferencereportsonFRE501indicate,incivilcasesStatelawon
privilegeschieflyappliesindiversitycases,withFederallawapplyingotherwise.Hence,inunfair
laborpracticetrialsbeforetheNLRB,Federallawapplies.SeeQuarlesMfg.Co.,83NLRB697,
699fn.8(1949),above,citingSection10(b)oftheActindecliningtoapplytheTexasDead
Mansstatute,asdiscussedin13214,above.SeealsoR.SabeeCo.,above,351NLRBat
1350fn.3,discussedin13101and13245,above.
111
CHAPTER13.EVIDENCE
Foramoredetaileddiscussionofprivileges,includingtheattorneyclientprivilege,the
workproductprivilege,thereportersprivilege,privilegesconnectedwiththeproductionofBoard
filesandtestimonyofBoardagents,andthemediatorsprivilege,see8400etseq.,above,
dealingwithsubpoenas.Thesameprinciplesapplywherepartiesattempttosubmittestimonyor
evidenceinvolvingthenamedprivilegesduringthehearing.
Protectiveordersmayalsobeappropriatewhenhandlingtestimonyorevidencethatmay
callintoquestionconfidentialinformation.Foramoredetaileddiscussionofprotectiveorders,see
8415,above.
13262
AttorneyClientPrivilege
Afulldiscussionoftheprivilegecanbefoundin8420,etseq.,above.
13263
WorkProductPrivilege
Afulldiscussionoftheworkproductprivilegeisfoundin8445,above.
13264
TestimonyofaMediator
Asindicatedabove,amediatorcannotbecompelledtotestifyinBoardproceedings.See
8460,above.NotealsothattestimonyregardingwhataFederalmediatortoldtherespondents
agentsinthecourseofbargainingissubjecttoahearsayobjectionifofferedforthetruth(but
notifofferedforthefactofwhatwassaid).SeeGraniteConstructionCo.,330NLRB205,210
211fn.1(1999).
13265
FifthAmendmentClaims
ThereisnodeprivationofrightsundertheFifthAmendmentsimplybecauseacivilor
administrativeproceedinggoesforwardwhileacriminalproceedinginvolvingthesamepartyisin
progress.SeeUnitedStatesv.White,589F.2d.1283,1286(5thCir.1979)Dieboldv.Civil
ServiceCommissionofSt.LouisCounty,611F.2d697,700701(1979).Atthe
administrativehearing[theindividual]willhaveafreechoicetoadmit,todeny,ortorefuseto
answer.ThisisfullvindicationoftheFifthAmendmentprivilegeagainstselfincrimination.
Lumanv.Tanzler,411F.2d164,167(5thCir.1969),cert.denied,396U.S.929(1969).
Inaddition,becauseBoardproceedingsarenotcriminalcases(inwhichwitnessesor
partiesmaybetakenintocustodyordeprivedoftheirfreedom),Boardagentshavenodutyto
warnchargedpartiesoftheirconstitutionalrights. F.J.BucknerCorp.v.NLRB,401F.2d910
(9thCir.1968),cert.denied393U.S.1084(1969).
13266
AdverseInferenceMayBeDrawn
Incivilcases,thetrieroffactmaydrawanadverseinferencefromtheinvocationofa
privilegeundertheFifthAmendment.MatterofMaurice,73F.3d124,126(7thCir.1995)
LaSalleBankLakeViewv.Seguban,54F.3d387,389391(7thCir.1995)(butmoreis
requiredtosustainajudgment)andF.D.I.C.v.Elio,39F.3d1239,1248(1stCir.1994).See
alsoSunshinePiping,Inc.,351NLRB1371,1378fn.28(2007)(Boardreliedonsupervisors
initialinvocationoftheFifthAmendmentasevidencethatshesincerelybelievedthatshehad
donesomethingwrong).
112
CHAPTER13.EVIDENCE
13267
GrantofImmunity
UnderBoard'sRules,Section102.31(c),ifanypartydesirestoobtaintestimonyfroma
witnesswhohasclaimedaprivilegeundertheFifthAmendment,thepartymayrequestthejudge
torecommendthattheBoardseekapprovalfromtheAttorneyGeneraltoissueanorderrequiring
thewitnesstotestify(underagrantofimmunity).Absentsuchanorder,thewitnessshouldnotbe
askedorpermittedtotestifyaboutthesubjectmatterofhisFifthAmendmentclaim.SeeDomsey
TradingCorp.,351NLRB824,897fn.76(2007).
13300
ParolEvidence
Althoughevidenceoutsideanagreementisinadmissibletovaryorcontradictitsterms,
extrinsicevidencemaybeintroducedforthepurposeofclearingupambiguitiesorascertaining
thecorrectinterpretationoftheagreement.DonLeeDistributor,Inc.,322NLRB470,484485
(1996),enfd.145F.3d834(6thCir.1998),cert.denied525U.S.1102(1999).
Parolevidenceisalsoadmissibletoshowmutualmistakeofthepartiestoacontract.
Londonv.GrandviewBuildingAssoc.,183U.S.308,341(1902)FederatedAmerican
InsuranceCo.,219NLRB200,203(1975)andNLRBv.CookCountySchoolBus,Inc.,283
F.3d888,893(7thCir.2002).SeealsoContekInternational,Inc.,344NLRB879,883884
(2005)(aunilateralmistakemayalsobegroundsforrescissionifitissoobviousastoputthe
otherpartyonnoticeoftheerror).
Foracaseaddressingarespondentsargumentthatparolevidenceshouldlikewisebe
admittedtoshowfraudintheexecutionofanagreement,seeSheehyEnterprises,Inc.,353
NLRB803(2009),reaffirmedandincorporatedbyreference355NLRBNo.83(2010)(Board
founditunnecessarytodecidewhetherparolevidenceisadmissibleunderBoardlawtoprove
thedefense,since,eveniftheevidencewereconsideredandcredited,itfailedtoestablishthe
defense).SeealsoHorizonGroupofNewEngland,347NLRB795(2006)(same).
13301
EvidenceImproperlyObtained
TheBoardadmitsallegedlystolendocumentsunlessitisestablishedthatanagentofthe
Governmentactedincollusionwiththeindividualwhostolethedocument.SeeNLRBv.South
BayDailyBreeze,415F.2d360,363365(9thCir.1969),cert.denied397U.S.915(1970)
(thoroughlydiscussingthereasonsforthepolicyandupholdingit)andAirLinePilotsAssn.,97
NLRB929,933(1951).SeealsoU.S.v.Janis,428U.S.433(1976).
NotethatitisnotimproperfortheGeneralCounseltotaketheaffidavitofarespondents
formermanagerexparte(i.e.withoutrespondentscounselpresent).SeeSuccessVillage
Apartments,Inc.,347NLRB1065,1065(2006).
13400
13401
StateofMind
AsEvidencingCoercion
ThetesttodeterminecoercionunderSection8(a)(1)isanobjectivetest,notasubjective
one.See,e.g.,MultiAdServices,331NLRB1226,1228(2000),enfd.255F.3d363(7thCir.
2001).Thus,testimonyaboutwhatanemployeeunderstoodthesupervisor'sstatementtomean
maynotbereliedonandisnormallynotadmissible.MiamiSystemsCorp.,320NLRB71,71fn.
113
CHAPTER13.EVIDENCE
4(1995),enfd.inrelevantpartandremanded111F.3d1284(6thCir.1997).CompareNLRBv.
GisselPackingCo.,395U.S.575,608609(1969).
13403
EvidenceAffectingRemedy
13405
InstatementofApplicantsDeniedEmployment
InFES,331NLRB9,12(2000),enfd.301F.3d83(3dCir.2002),theBoardissueda
decision,afteroralargument,togiveguidancetoallpartieslitigatingrefusaltohireandrefusal
toconsiderviolationsspecifically[tomake]cleartheelementsoftheviolation,therespective
burdensoftheparties,andthestageatwhichissuesaretobelitigated.TheBoardadoptedthe
frameworkofWrightLine,251NLRB1083(1980),enfd.662F.2d899(1stCir.1981),cert.
denied455U.S.989(1982),inallocatingthepartiesrespectiveburdens,butsupplementedthat
analysisbyrequiringtheGeneralCounseltoestablishadditionalfactsinthehearingonthe
merits.
TheBoardinFESalsodefinedwhatevidenceaffectingapossiblebackpayand
instatementremedyisappropriateatthecompliancestage.Incasesinvolvingafindingof
discriminatoryrefusaltohire,thecomplianceproceedingisusedforprecisecalculationsforthe
makewholeremedy.Thecomplianceproceedingalsomaybeusedtodeterminewhichofthe
applicantswouldhavebeenhiredincaseswherethenumberofapplicantsexceedsthenumber
ofavailablejobs.Itmayalsobeusedinconstructionindustrycasestodeterminewhetherthe
discriminateeswouldhavebeentransferredtootherworksitesuponthecompletionoftheproject
atwhichtheunlawfulconductoccurred.FES,331NLRBat14.Thecomplianceproceedingis
alsousedtodeterminewhetherdiscriminateeswouldhavebeenselectedforjobopeningsarising
afterthebeginningofthehearingonthemerits,orforopeningsarisingbeforethebeginningof
thehearingthattheGeneralCounselneitherknewnorshouldhaveknownabout.Id.at15.
Inrefusaltoconsidercases,theBoardstatedthatwhethertheapplicantwouldhave
beenofferedthatjobhadhebeengivennondiscriminatoryconsideration...isappropriately
determinedinthecompliancestage.Id.at16.
NotethatinPlannedBuildingServices,Inc.,347NLRB670,672(2006),theBoard
modifiedtherespondentsburdeninthecomplianceproceedingunderFESincasesinvolvinga
successoremployersfailuretohire.SeealsoW&MPropertiesofConnecticut,Inc.v.NLRB,
514F.3d1341(D.C.Cir.2008),affg.348NLRB162(2006)(upholdingBoardsmodification).
13406
UndocumentedWorkers
Althoughundocumentedworkersareemployeesentitledtoexercisetheirrightsunderthe
Act,theyarenotentitledtobackpayorreinstatementduringtheperiodwhentheyarenot
authorizedtobepresentintheUnitedStates.SeeDomseyTradingCorp.,351NLRB824,825
(2007),citingHoffmanPlasticsCompoundsv.NLRB,535U.S.137(2002).Fortheappropriate
remedyinsuchcases,see*CaseFarmsofNorthCarolina,Inc.,353NLRB257,263(2008).
13500
13501
Reinstatement
LitigationofOfferinUnfairLaborPracticeCase
Inan8(a)(3)caseinwhichdenialofreinstatementisaffirmativelyallegedinthecomplaint,
thebetterpracticeistoadmittherespondentstestimonyofunconditionaloffersofreinstatement,
114
CHAPTER13.EVIDENCE
becausetheBoardmustfashionaremedy.CharlesE.McCauleyAssoc.,Inc.,266NLRB649
(1983)andKelleyBros.Nurseries,145NLRB285,285fn.2(1963),enf.denied341F.2d433
(2dCir.1965).
However,wherethematterhasnotbeenfullylitigatedinthemeritshearing,theBoard
hasfoundnoprejudicebydeferringthemattertothecomplianceproceeding.SeeCharlesE.
McCauley,aboveBakerMfg.Co.,269NLRB794,794fn.2,813(1984),enfd.inpart759F.2d
1219(5thCir.1985).
.
13502
MisconductAfterAcquiredEvidence
Ifanemployersatisfiesitsburdenofestablishingthatthediscriminateeengagedin
unprotectedconductforwhichtheemployerwouldhaverefusedtohireordischargedany
employee,reinstatementisnotorderedandbackpayisterminatedonthedatethattheemployer
firstacquiredknowledgeofthemisconduct.See,e.g.,FirstTransit,Inc.,350NLRB825(2007)
(employeewhoadmittedpriorfelonyconvictionatcompliancehearing,deniedreinstatementfor
concealingtheconvictiononheroriginalemploymentapplication).SeealsoTelDataCorp.,315
NLRB364,366367(1994),enfd.inpart90F.3d1195(6thCir.1996)andJohnCuneo,Inc.,
298NLRB856(1990).
Thus,iftheissuearisesatorbeforethemeritshearing,thejudgeshouldnormallyreceive
andconsiderevidenceontheissue,includingthenatureofthemisconduct,whentherespondent
firstlearnedofit,andwhethertherespondentwouldhaverefusedtohireordischargedthe
employeeforithadrespondentknownofitearlier.SeeTelDataCorp.,above.SeealsoBobs
AmbulanceService,183NLRB961,961(1970),wheretheBoardgrantedtherespondents
motiontoreopentherecordandremandedtheproceedingtothejudgetodecideifreinstatement
wasanappropriateremedy,notingthattheissueofemployeemisconductwhichmaywarrant
forfeitureofreinstatementgoestotheremedyandnottotheissueofcompliancewiththe
remedy.
13600
Witnesses
ThegeneralrulesgoverningwitnessesaresetforthinFRE601706.
13601
Competency
UnderFRE601,everypersoniscompetenttobeawitnessexceptasotherwiseprovided
intherules.StatelawoncompetencyofwitnessesdoesnotapplyinBoardproceedings,
becausetheActisaFederalstatuteandSection10(b)oftheActprovidesthattheFederalrules
ofevidence,sofaraspracticable,shallapplytoBoardproceedings.Seealso13261,
GeneralRuleFRE501,above.Asaresult,mostobjectionstocompetencyareeliminated,and
areproperlytreatedinsteadasbearingoncredibilityandweight.
115
CHAPTER13.EVIDENCE
13602
TrialAttorneyforParty
Unlikethecourts,theBoarddoesnotpasson,andleavestoStatebarassociationsto
decide,questionsofethicalproprietyofapartystrialattorneytestifyinginaBoardproceeding.
Thus,whenthetrialattorneystestimonyisotherwiserelevantandcompetent,judgesshould
overruleobjectionsbasedoncanonsofethics.RenoHilton,319NLRB1154,1185fn.18(1995)
PageLitho,Inc.,311NLRB881,881fn.1,889(1993),enfd.inpartmem.65F.3d169(6thCir.
1995)andOperatingEngineersLocal9(FountainSand),210NLRB129,129fn.1(1974).
Seealso7130,AttorneyasWitness,above.
13603
BoardAgents
Ordinarily,aBoardagentcannotberequiredtotestifyinaBoardproceeding.SeeBoards
Rules,Section102.118(a),andLaidlawTransit,Inc.,327NLRB315,316(1998)(Rcase,but
statesgeneralpolicyinallBoardproceedings,citingcases).SeealsoSunolValleyGolfCo.,
305NLRB493,495(1991),supplementedby310NLRB357,365,368fns.7and8(1993),enfd.
48F.3d444(9thCir.1995).
ItisalsoimproperforthejudgetodrawanadverseinferencefromGeneralCounsel's
failuretocallaBoardagenttotestify.IndependentStationsCo.,284NLRB394,394fn.1,412,
415(1987).
13606
Interpreters
FRE604providesthat:[a]ninterpreterissubjecttotheprovisionoftheserulesrelatingto
qualificationasanexpertandtheadministrationofanoathoraffirmationtomakeatrue
translation.See1420,InterpretersOath,above.
Interpretersshouldstrivetotranslateexactlywhatwassaid,withoutcommentor
embellishment.Generally,thereisnoobjectionovertheuseofinterpreters,althoughsometimes
questionsariseovertheaccuracyofthetranslation.Insuchcases,theversionoftheofficial
interpretergoverns,unlessthejudge,afterdueconsideration,decidesotherwise.SeeNLRBv.
BakersofParis,Inc.,929F.2d1427,1436fn.4(9thCir.1991)(acknowledgingtheneedfor
thetrieroffactinanyjudicialproceedingtoconsidertheaccuracyofthetranslationspresented
andsuggestingthatthepresenceofanofficialtranslationmaynotalwaysresolvetheissue).
Seealso*CoastalInsulationCorp.,354NLRBNo.70,slipop.at4(2009)(judgeadvisedthat
interpreterstranslationwouldconstitutethetranscribedrecord,butallowedchargingpartyan
opportunitytochallengethetranslation).
Particularcareshouldbegiventotheuseofinterpreterswhenassessingthecredibilityof
awitness.Itmaybeappropriateforthejudgetorestricttheuseofinterpretersincertain
circumstancesforexample,whenallegedthreatsaremadeinEnglish,thewitnessshouldbe
abletorecountwhatwassaidinEnglish.SeeNorthernCapMfg.Co.,146NLRB198,201204
(1964).SeealsoYaohanU.S.A.Corp.,319NLRB424,424fn.2(1995),enfd.mem.121F.3d
720(9thCir.1997)(affirmingjudge'srestrictionsonuseofinterpretersforwitnesseswho
demonstratedsomeabilitytoconverseinEnglish).Whereinterpretationisnecessary,thejudge
shouldcarefullymonitorthetranslationprocesstoensurethatboththetranslatorandthewitness
understoodthequestionsaskedandthatthewitnessanswerswereaccuratelyinterpreted.See
NLRBv.DelRayTortilleria,Inc.,787F.2d1118,11211122(7thCir.1986),enfg.272NLRB
1106,1115fn.21(1984).
116
CHAPTER13.EVIDENCE
13607
AppointmentandPaymentofInterpreters,AuthorityofJudge
InGeorgeJosephOrchardSiding,Inc.,325NLRB252,252253(1998),theBoard
upheldthediscretionofthejudgetoordertheGeneralCounseltoprovideaninterpreterinthe
unfairlaborpracticeproceeding.Specifically,theBoard(overthedissentoftwoMembers)found:
(1)thatadministrativelawjudgeshavediscretionaryauthoritytoappointinterpretersinunfair
laborpracticecases,and(2)thattheGeneralCounselfailedtoestablishthatthejudgeabused
hisdiscretionbyorderingtheAgencytoprovide[andpayfor]aninterpreterinthiscase.
However,inalaterbackpaycaseinvolvingabout200unfairlaborpracticestrikers,the
BoardalsoupheldthediscretionofthejudgetodeclinetoordertheGeneralCounseltoprovide
andpayforaninterpreter.DomseyTradingCorp.,325NLRB429,429432(1998).Thejudge
declinedtoordertheGeneralCounseltopayaninterpreterfordiscriminateescalledbythe
respondentemployerbecauseitwastherespondentsburdentoestablishinterimearningsand
failuretomitigateitsbackpayliability,andrequiringtheAgencytopaythecostofinterpreters
wouldinessence,givetheRespondentablankchecktospendtheGovernmentsmoneyto
defenditself.TheBoard(withthedissentersinGeorgeJosephOrchardnowinthemajority)
foundthatthejudgeproperlyexercisedhisdiscretionunderthecircumstances.
NOTE:Inbothcases,theBoardemphasizedthatitwaslimitingitsrulingtothefactsof
thecase,andthatthemattermightbemoreappropriatelyaddressedthroughrulemaking.
13608
ExaminationofWitnesses
FRE611(a)providesthatthejudgeshallexercisereasonablecontroloverthemodeand
orderofinterrogatingwitnessesandpresentingevidencesoasto(1)maketheinterrogationand
presentationeffectivefortheascertainmentoftruth,(2)avoidneedlessconsumptionoftime,and
(3)protectwitnessesfromharassmentorundueinfluence.
Seealso2300,DutiesofAdministrativeLawJudges,and13102,TautRecord:
FRE403,above.
13609
OrderofExamination
FRE611(a)grantsthetrialjudgewidediscretiontoallowwitnessestotestifyoutofturn,
forexampletosavetime,avoidconfusion,oraccommodatethescheduleofacriticalwitness.
See28Wright&Gold,Fed.Prac.&Proc.Evid.6164(1stEd2009)andGoode&
Wellborne,CourtroomHandbookonFederalEvidence376(West2008).ButseeBoetticher
&KelloggCo.,137NLRB1392,1392fn.1,13981399(1962)(judgeerredinprecludinga
respondentfromconductinganycrossexaminationofaGeneralCounselwitnessafterthe
respondentrefusedthejudgesdirectiontocrossexaminethewitnessbeforethechargingparty
unionhadquestionedthewitness).
13610
LeadingQuestions
UnderFRE611(c),leadingquestionsordinarilyarenotpermittedondirectexaminationor
examinationofafriendlywitness,exceptasmaybenecessarytodevelopthewitnesstestimony,
butarepermittedoncrossexaminationorexaminationofanadversewitness.
Leadingquestionsmayimpairtheprobativevalueofthetestimony.GreystonBakery,
327NLRB433,440fn.13(1999).Evenwhenthereisnoobjectiontoleadingquestionsondirect,
thebetterpracticeisforthejudgefirsttowarncounselnottolead.LibertyCoachCo.,128
117
CHAPTER13.EVIDENCE
NLRB160,162fn.7(1960).ButseeW&MPropertiesofConnecticut,Inc.,above,348NLRB
162(noerrorforjudgetopermitGeneralCounseltoaskleadingquestionsondirectexamination
todevelopthewitnessstestimonyafterseveralnonleadingquestionswereunsuccessfulin
elicitingcertaintestimony).
13611
Section611(c)Witness
Noadvancerequestorrulingisnecessarybeforebeginningexaminationofahostileor
adversewitnessunderFRE611(c).Thetestofthatrightcomeswhentheopponentobjectsthata
questionisleading.OmahaBuildingTradesCouncil(CrossroadsJointVenture),284NLRB
328,329fn.4(1987),enfd.856F.2d47(8thCir.1988).
Generally,afterdirectexaminationoftheadversewitnessunder611(c),thenonadverse
partymaynotaskleadingquestionsoncrossexamination.Nevertheless,thejudgeretains
discretiontoallowit.See28Wright&Gold,Fed.Prac.&Proc.Evid.6168(1stEd2009).
AchargingpartydiscriminateeisanadversepartyunderFRE611(c)(formerlyFRCP
43(b))andcanbecalledasanadversewitnessbytherespondent.SecurityServices,Inc.,198
NLRB1166,1166(1972)(reversibleerrorforthejudgetoprecludetherespondentfromcalling
thechargingpartydiscriminateeasanadversewitnessratherthanitsownwitness).
13612
RefreshingRecollection
Ordinarilytherecollectionofonesownnonadversewitnessshouldnotberefresheduntil
hismemoryhasbeenexhausted.Therecollectionofthewitnessmaythenberefreshedby
leadingquestionsoranyartificialaidifappropriateandnotimproperlysuggestive.
AdversePartysRighttoIntroduceRefreshingDocument.UnderFRE612anadverse
partyisentitledtodocumentsusedbythewitnesstorefreshrecollectionwhiletestifyingorin
preparationfortestifying,ifthejudgeinhisorherdiscretiondeterminesitisnecessaryinthe
interestsofjustice.Theadversepartyisentitledtoinspectit,crossexaminethewitness
thereon,andtointroduceinevidencethoseportionswhichrelatetothetestimonyofthewitness.
See,e.g.,J.G.BraunCo.,126NLRB368,369fn.3(1960)(whererespondentoncross
examinationhadreadportionsofanaffidavitintotherecordtorefreshtherecollectionofa
witness,itwaserrorforjudgetorejecttheGeneralCounsel'sofferoftheentireaffidavitinto
evidence)andBakerHotelofDallas,134NLRB524,524fn.1(1961),enfd.311F.2d528(5th
Cir.1963).SeealsoFRE106(RemainderoforRelatedWritingsorRecordedStatements).
InCameraInspectionandRedaction.FRE612alsoprovidesthatthejudgemayexamine
thedocumentsincameratoexciseanyportionofthedocumentnotrelevanttothesubjectmatter
ofthetestimony.In*CNNAmerica,Inc.,352NLRB265(2008),theBoardindicatedthat,with
respecttodocumentsusedinpreparationfortestifying,thejudgesreviewshouldbedoneafter
thewitnesshastestified.Inthatcase,theBoardreversedajudgesrulingthattherespondent
wasrequired,beforethewitnesstestified,toprovideopposingcounselwithalldocumentsthat
hadbeenreviewedbythewitnesswithin6monthspriortothehearing.TheBoardheldthatthe
judgereadRule612(2)toobroadly.Fortheruletoapply,thedocumentsmusthavebeenviewed
forthepurposeofrefreshingawitnessrecollectionandtherefreshingmustbeundertakenforthe
purposeoftestifying.TheBoardheldthatthejudgeshouldonlyorderdocumentstobeturned
overunderRule612afterthewitnesshastestifiedsothatthejudgemayproperlyapplythe
conditionssetforthintherule.
118
CHAPTER13.EVIDENCE
13613
PastRecollectionRecorded
UnderFRE803(5),thecontentsofamemorandumorrecordwritten,signed,oradopted
byawitnessrecitingeventswhichoccurredinthepast,butofwhichthewitnesshasnopresent
recollection,areadmissibleinevidenceassubstantiveproofoftheevents.SeeJ.C.PenneyCo.
v.NLRB,384F.2d479,484(10thCir.1967)(distinguishingbetweenwritingsadmittedaspast
recollectionrecordedandwritingsusedtostimulatememory[presentrecollectionrevived]orto
determinetruthfulness[priorinconsistentstatements]).
ReadingDocumentvs.SubmittingasExhibit.IfadmissibleunderFRE803(5),the
memorandumorrecordmaybereadintotherecordbythepartyofferingitassubstantive
evidence,andtheadversepartymayactuallysubmititasanexhibit.
FoundationRequired.Normally,afoundationmustbelaid,throughtestimonyofthe
witness,thatatthetimeofthememorandumhehadarecollectionoftheevents,andthathe
madeoradoptedthembelievingthemtobetrue.J.C.PenneyCo,above.Butcf.ThreeSisters
SportswearCo.,312NLRB853,865(1993),enfd.mem.55F.3d684(9thCir.1995),cert.
denied516U.S.1093(1996),wherethepretrialaffidavitofafrightenedwitness(acurrent
employee),whoclaimednottorememberanythingaboutheraffidavitotherthanhersignature,
wasreceivedinevidenceaspastrecollectionrecordedunderFRE803(5).
13700
13701
CrossExamination
BeyondtheScope
FRE611(b)providesthatcrossexaminationshouldbelimitedtothesubjectmatterof
directexamination.However,therulegivesjudgesdiscretiontoallowquestionsbeyondthe
scopeofdirectexamination,andjudgesoftendoso(forexample,todevelopafullrecordwithout
recallingwitnesses).Thejudgeshouldusehisorherbestjudgmentinthecircumstances.
13702
NamesofEmployeesWhoSupportedUnionNotObtainable
InNationalTelephoneDirectoryCorp.,319NLRB420,422(1995),theBoardheldthat
acompanyrespondentscounsel,whencrossexaminingaunionrepresentativetotesther
credibility,couldnotobtaintheidentityofcurrentemployeeswhohadsignedauthorizationcards
orattendedunionmeetings.
Inasubsequentunpublishedorder,theBoardupheldajudgesrulingpermitting
productionofcardsandattendancesheets,butonlyaftertheyhadbeenredactedtoshowonly
thesignaturesofwitnesseswhotestifiedabouttheirownparticipationintheseactivities.The
BoardciteditsrulinginNationalTelephone,above,thattherightofconfidentialityexistsforthe
protectionofwitnesses,andthuscannotbewaivedbytheUnion,butonlybytheemployees
themselves.
13703
Impeachment
ImpeachmentevidenceiscrucialinBoardproceedings,becausethe[judge]sitsasjudge
andjury.HalsteadMetalProductsv.NLRB,940F.2d66,7273(4thCir.1991).
Thejudgeshouldbecarefulnottoundulyrestrictquestionsorevidencepertainingto
impeachment.InHalsteadIndustries,299NLRB759,759fn.1(1990),remanded,940F.2d66,
119
CHAPTER13.EVIDENCE
7273(4thCir.1991),thejudge,affirmedbytheBoard,hadrefusedtoreceiveevidencein
supportofHalsteadsofferofproofthattheGeneralCounsel'smainwitnesswasbiasedagainst
Halsteadandinfavoroftheallegeddiscriminatee,becauseofthewitnessintimaterelationship
withthecompany'sformeremployeerelationsdirectorwhohaddemonstratedhostilitytowardthe
company.ThecompanyarguedthattheformerdirectorwasusingtheGeneralCounsel'smain
witnesstogivefalsetestimonyshowinganunlawfulmotivebytheplantmanager.Thecourt
remandedthecasesothattheimpeachmentevidencecouldbeconsideredandweighed.
However,itisgenerallyinappropriatetoconsidercredibilitydeterminationsmadeina
differentcaseinmakingcredibilitydeterminationsinasubsequentcase.ElectricalWorkers
(NixdorfComputersCorp.),252NLRB539,539fn.1(1980).Asdiscussedbelow,thereare
alsorestrictionsontheuseofcertainothertypesofimpeachmentevidence.
13704
NoImpeachmentonCollateralMatters
UnderFRE608(b),ajudgehasdiscretiontorefusetopermitimpeachmentofawitness
onacollateralmatterthatisnotprobativeofthewitnesspropensitytotestifyuntruthfully
concerningamaterialissue.SunshinePiping,Inc.,351NLRB1371,13741376(2007)(judge
couldhaveexcludedcrossexaminationofwitnesspriordrugrelatedactsasitwasnotrelevant
toallegedalterationofattendancerecords).SeealsoNewYorkSheetMetalWorks,Inc.,243
NLRB967,967fn.3(1979).
Further,eveniftestimonyonsuchcollateralmattersisallowed,theuseofextrinsic
evidencetoimpeachisgenerallyprohibited(unlessitinvolvesacriminalconviction,see13
705,below).Thus,admissionofextrinsicevidenceofspecificactstoattackthewitnessresponse
isnotpermitted,unlessittendstoshowbiasormotivetotestifyuntruthfully.SunshinePiping,
above.SeealsoJ.S.TroupElectric,Inc.,344NLRB1009,10091010(2005)(applicationof
FRE608(b)issubjecttoRule403,whichpermitsajudgetoexcludeimpeachmentevidenceifits
probativevalueisoutweighedbyconsiderationsofunduedelayorwasteoftime).
Withrespecttotheappropriateweighttogivespecificprioractsinevaluatingcredibility,
seeDoubleDConstructionGroup,339NLRB303,306(2003),inwhichtheBoardcriticizeda
judgefordiscreditingawitnessforlyingabouthissocialsecuritynumberinthepast,without
takingintoaccountallofthefactorstendingtosupporthiscredibilityatthetimeofhistestimony.
SeealsoBoardwalkRegencyCorp.,344NLRB984,984fn.1(2005),pet.forreviewdenied,
196Fed.Appx.59(3dCir.2006)(DoubleDConstructionstandsforthepropositionthata
judgeshouldnotrelysolelyonasingleprioractoffalsificationinmakingcredibility
determinationsifthereareotherfactorssupportingthewitnessscredibility,theytoomustbe
considered).
13705
CriminalConvictions
UnderFRE608(b)and609,awitnessmaybeimpeached,subjecttoFRE403,by
referencetopriorcriminalconvictions(notjustarrests)iftheyareeither(1)punishablebydeath
orimprisonmentover1year,or(2)theelementsofthecrimerequiredprooforadmissionofan
actofdishonestyorfalsestatement.SeeServiceEmployees(GMGJanitorial),322NLRB402,
406(1996)(mailfraudandconspiracyconvictionsadmittedandconsideredunderFRE609).
FRE609alsosetsforthtimelimits:theevidencemayonlybeusedwithin10yearsofthe
witnessconvictionorreleasefromconfinement,whicheverislater(althoughthejudgeretainsthe
discretiontoallowolderevidenceiftheprobativevalue...substantiallyoutweighsitsprejudicial
effect).
120
CHAPTER13.EVIDENCE
Thejudgemay,ofcourse,stillcreditawitness,notwithstandingsuchconvictions.See
FranklinIron&MetalCorp.,315NLRB819fn.1(1994),enfd.83F.3d156(6thCir.1996)
(judgeconsideredafelonyconvictionwithinthelast10yearsforcarryingaconcealedweapon,
butneverthelesscreditedthesubstantiallycorroboratedtestimonyofthewitness).
13706
InconsistentPriorStatements
Awitnessmaybeimpeachedbyreferencetoapriorinconsistentstatement.UnderFRE
613,theinconsistentstatementneednotbeshownoritscontentsdisclosedtothewitnessduring
theexamination,butmustbeshownordisclosedtotheadversepartyonrequest.Further,the
statementgenerallycannotbeadmittedintoevidenceuntilthewitnesshasbeenaffordedan
opportunitytoexplainordenythestatementandtheopposingpartyhashadanopportunityto
questionthewitnessaboutit.Seealso13800,withrespecttothereleaseofJencksstatements
generally.
Inevaluatingpriorinconsistentstatements,thejudgemustcarefullyweighthe
circumstancesandrelevanceoftheallegedcontradictions.SeeAdvocateSouthSuburban
Hospitalv.NLRB,468F.3d1038,1046(7thCir.2006)(whereacontradictiongoestotheheart
ofawitnesssstory,beliefcanbeerror.Butcreditingthewitnessmakessensewhenthe
impeachingstatementsdifferonlywithrespecttominoraspectsofthestoryorwherethe
discrepanciesareeasilyexplained.[citationsomitted]).
13800
13801
ReleaseofWitnessStatements
GenerallyNotReleased/JencksException
TheGeneralCounselhasnoobligationtoproduceexculpatorymaterialcontainedinthe
Government'sfiles.Indeed,Section102.118oftheBoardsRulesprohibitsanyreleaseof
specifieddocumentswithouttheBoardorGeneralCounselspriorwrittenconsent.
Anexceptionisprovidedin102.118(b)forpretrialstatementsgivenbyawitnesscalled
bytheGeneralCounselinanunfairlaborpracticecase(andalsoinsubsection(c),for
statementsinapostelectioncase).Thetermstatementisdefinedinsubsection(d)oftherule.
See13805,below.SuchpretrialstatementsoraffidavitsarealsoreferredtoasJencks
statements.See8500,above.
However,evenJencksstatementsneednotbereleasedorproduceduntilafterthe
witnesshastestified.Further,theentirestatementneednotbeproducedunless theentire
contentsrelatetothesubjectmatteraboutwhichthewitnesstestified.Section102.118(b)(1).
Thus,inCaterpillar,Inc.,313NLRB626,626(1993),theBoardheldthatwhenthe
GeneralCounselassertsthatmaterialinaJencksstatementdoesnotrelatetothesubjectmatter
ofthewitnesstestimonyondirectexamination,thejudgemustinspectthestatementincamera
andexciseanyportionofthestatementthatdoesnotrelatetothetestimony.Thejudgemay
exercisediscretioninthisrespect,andretainportionsthatrelatetothepleadings,evenifnotto
thetestimony.However,judgesmaynotdirecttheGeneralCounseltoproduceaffidavitsfrom
othercases,regardingmattersonwhichthewitnesshasnottestified.SeealsoTejasElectrical
Services,Inc.,338NLRB416,416fn.2(2002).
WithrespecttotheGeneralCounselsobligationstosearchitsfiles,onJanuary29,1999,
theBoardissuedanunpublishedinterimorderinAlbertsons,Inc.,Case27CA13390,ruling
121
CHAPTER13.EVIDENCE
thattheGeneralCounselisobligatedtosearchitsfiles[before,itisimplied,thewitnesstestifies]
foranystatementsincasesinvolvingchargesfiledbythechargingpartyunionagainstthe
respondentduringtheperiodcoveredbythependingcharges.Further,theBoarddeniedthe
GeneralCounsel'srequesttorestrictthesearchtothesameRegionalOfficewherethepending
chargeswerefiled.However,itruledthattheGeneralCounselwasnotrequiredtosearchfilesin
casesinvolvingchargesagainstotheremployers.
13802
CopiesinPossessionofOthers
InH.B.ZachryCo.,310NLRB1037,1038(1993),theBoardmadeitclearthatSection
102.118(b)(1)alsoappliestoaffidavitsinthepossessionofachargingparty,i.e.therespondent
isnotentitledtotheaffidavitsuntilafterthewitnessiscalledandtestifiesonbehalfoftheGeneral
Counsel.Nowaiverresultsfromthefactthatwitnessesgivecopiesoftheiraffidavitstothe
chargingpartyunion.
13803
ChargingPartyEntitledtoStatements
Achargingpartyisentitled,onrequestandforthepurposeofcrossexamination,toa
pretrialstatementofanagentwhotestifiesonbehalfoftherespondent.SeeSenftner
VolkswagenCorp.,257NLRB178,178fn.1,186187(1981),enfd.681F.2d557(8thCir.
1982),wheretheBoardupheldthejudgesrulingthatallowedthechargingpartytoutilizefor
crossexaminationthepretrialaffidavitgivenbyarespondentwitness.SeealsoSection10394.7
oftheNLRBCasehandlingManual(PartOne).
Boardlawissomewhatunclearwhetherachargingpartymaydemandacopyofa
witnessJencksstatementbeforeoraftercallingthewitnessasanadverseorhostilewitness
underSection611(c)oftheFederalRulesofEvidence.SeeLouisianaDockCo.,293NLRB
233,250251(1989),enf.denied,909F.2d281(7thCir.1990).However,basedondecisions
dealingwith611(c)witnessescalledbyrespondents,theanswerwouldappeartobeno.See
KenrichPetrochemicals,Inc.,149NLRB910,911fn.2(1964)(respondentnotentitledto
Jencksstatementgivenbychargingparty,whenchargingpartywascalledbyrespondentrather
thantheGeneralCounsel,eventhoughcalledasanadversewitnessunderFRCP43(b)[now
FRE611(c)]).SeealsoNLRBv.DuquesneElectricCo.,518F.2d701,705(3dCir.1975)
(upholdingjudgesapplicationofKenrichPetrochemicalswhererespondentcalleda
discriminateetotestify,notingthatFRCP43(b)[nowFRE611(c)]onlyauthorizesleading
questions,notcrossexamination).
13804
StatementsbyRespondentsWitnesses
RespondentsarenotentitledtoJencksstatementsoftheirownwitnesses.ClearChannel
Outdoor,Inc.,346NLRB696fn.1(2006).Thisistrueevenifcalledasanadverseorhostile
witnessunderFRE611(c).SeeKenrichPetrochemicals,Inc.,above,andNLRBv.Duquesne
ElectricCo.,above.Note,however,thatthecourtinDuquesnesuggestedthatrespondentmight
havebeenentitledtothediscriminateesaffidavittoimpeachifshehadgiventestimony
damagingtothe[respondent]case,whichsheneverdid.518F.2dat705.
13805
WhatIsaJencksStatement?
Section102.118(d)definesaJencksstatementtomeananywrittenstatementbythe
witnessthatissignedorotherwiseadoptedorapprovedbyhim/her,aswellasataperecording
ortranscriptionthatisasubstantiallyverbatimrecitalofanoralstatementmadebythewitnessto
122
CHAPTER13.EVIDENCE
thepartyobligatedtoproducethestatementandrecordedcontemporaneouslywiththemakingof
theoralstatement.
IfnotestakenbyaBoardagent(oramemomadeofaninterviewwiththewitness)arenot
adoptedorapprovedbythewitness,theyarenotaJencksstatementandarethereforenot
producibleunderSection102.118(b)(1).Caterpillar,Inc.,above,313NLRBat627fn.4.See
alsoNationalSpecialtiesInstallations,Inc.,344NLRB191(2005)(writtennoticefromthird
partytoawitness,suchasanoticefromawitnessbank,isnotastatementmadebysaid
witnesswithinthemeaningoftheRuleandsinceitwasnotadoptedbythewitness,itisnot
producible).Seealso8510,above,withrespecttootherdocumentsthatarenotconsidered
Jencksstatements.
13807
NotesNotAdopted
InCaterpillar,Inc.,313NLRB626,626fn.2,627fn.4(1993),theBoardheldthatthe
judgeerredbyorderingtheGeneralCounseltoproduceaBoardagentsnotesofconversations
withwitnesses,intheabsenceofanyevidencethatthenoteshadbeenadopted,orthatthe
witnesseswereevenawareofthenotes.
Similarly,inCocaColaBottlingCo.,250NLRB1341,1342(1980),aBoardagents
writingsomethingasawitnessspoketohimdidnotqualifythedocumenteitherasa
statementorastatementadoptedorapproved.
13808
WitnesssNotesPassedtoGeneralCounselDuringTrial
InWabashTransformerCorp.,215NLRB546,546fn.3(1974),enfd.509F.2d647(8th
Cir.1975),cert.denied423U.S.827(1975),therespondentrequestedallnotesthatawitness
hadpassedtotheGeneralCounselduringthetrial.TheGeneralCounselproducedthenotesin
hispossession,butstatedontherecordthathehadprobablydiscardedtheothers,becausehe
didnotconsiderthemtobeJencksstatementsandtherespondenthadnotpreviouslyshown
anyinterestinthem.Assumingarguendothatthenotesconstitutedstatements,theBoardfound
nobasisforrejectingthewitnesstestimonyunderthecircumstances.
13809
Letters
Asignedletterconstitutesaproduciblestatement.SeeRosenbergv.U.S.,360U.S.
367,370(1959).
13810
InCameraInspectiononRelatednessIssue
Asdiscussedabovein13801,whentheGeneralCounselassertsthattheJencks
statementrequestedtobeproducedcontainsinformationthatdoesnotrelatetothesubject
matteraboutwhichthewitnesstestified,thejudgeshouldreviewthestatementincameraand
exciseanyportionsthatdonotrelatetothesubjectmatterofthetestimonyofthewitnessorthe
pleadings.
13811
TimeofProduction
Thepropertimeforarequestisatthecloseofthedirectexamination.U.S.v.Martinez,
151F.3d384,390391(5thCir.1998),cert.denied525U.S.1031and1085(1998and1999).It
isprematuretodemandproductionearlier.SeealsoH.B.ZachryCo.,310NLRB1037,1038
123
CHAPTER13.EVIDENCE
(1993)(productioncannotberequiredbysubpoenaontheorythatemployeewitnesswaived
confidentialitybygivingcopytotheunion)andEdwardsTruckingCo.,129NLRB385,386fn.1
(1960).
Similarly,itmaybetoolatetodemandproductionafterthewitnesshasbeenexcused.
WalshLumpkinWholesaleDrugCo.,129NLRB294,296(1960).SeealsoEarthgrainsCo.,
336NLRB1119,1122(2001)(requestforaffidavitsuntimelywhenmadeimmediatelypriorto
closeoftrialafterlastwitnesshadbeenexcused)SBCCalifornia,344NLRB243,243fn.3
(2005)(requestforaffidavituntimelywhenmadeatthecloseofrespondentscase).
Requestshavealsobeenruleduntimelywhennotmadeuntilwellintothecross
examinationofthewitness.SeeIOServices,218NLRB566,566fn.1(1975)(holdingthat
judgesrulingwasnotanabuseofdiscretionunderallthecircumstances).Seealsothejudges
unexceptedtorulinginLongshoremenILALocal20(RyanWalshStevedoring),323NLRB
1115,1120(1997)(requestforaffidavitafter2hoursofcrossexaminationcouldunnecessarily
prolongthetrialascounselwouldlikelyattempttoreploughgroundalreadycovered).
13812
SufficientTimetoStudy
Ajudgesdenialof15minutestimetostudythestatementafterproductionwasfoundto
beprejudicialerrorrequiringaremandinA.R.BlaseCo.,143NLRB197,197198(1963),enf.
denied338F.2d327(9thCir.1964).Normally,theGeneralCounselshouldnotopposearequest
forareasonabletimeforstudy.SeeSection10394.9oftheNLRBCasehandlingManual(Part
One).
13813
AffidavitsAdmissibleinEvidence
See13206etseq.,above,foradiscussionoftheadmissibilityofaffidavits.
13815
RighttoCopyJencksStatements
Thereisnoabsoluterighttomakecopiesofthestatements,unlessthestatementsare
admittedintoevidence.Thisiswithinthejudgesdiscretion.ManbeckBakingCo.,130NLRB
1186,11891190(1961).However,Section10394.9oftheNLRBCasehandlingManual(Part
One),nowprovidesthat,forwitnessstatementsrequiredtobeproducedbytheGeneralCounsel
toarespondent,theGeneralCounselwillproduceboththeoriginalandacopy.
Withrespecttoretentionofthestatement,inWalMartStores,Inc.,339NLRB64(2003),
theBoardheldthataJenckswitnessstatementmaynotberetainedafterthecloseofthetrial.
Afterthewitnesshastestified,theexceptiontothegeneralprohibitionagainstusingBoardfiles
underSection102.118(b)(1)oftheBoardsRulesnolongerappliesandtheprohibitionofthe
Ruleisrestored.Nonetheless,theBoardconfirmedthatajudgemay,inhisorherdiscretion,
permitcounseltocopythestatementandtoretainitthroughoutthehearingforanylegitimate
trialpurpose.Id.atfn.3.SeealsoSection10394.9oftheNLRBCasehandlingManual(Part
One)(providingthat,onrequest,therespondentmayretainthecopiesthroughoutthetrialfor
legitimatetrialpurposes,returningthematthecloseofthetrial(unless,ofcourse,thestatement
hasbeenmadeanexhibit)).
Becausesomecounselmaymakenotesthattheywouldbereluctanttodisclosetothe
GeneralCounsel,itisprudenttoestablishaprocedureinadvance,suchasanagreedupon
destructionofcopieswithattorneynotes,toavoidlatercontroversyanddispute.
124
CHAPTER13.EVIDENCE
13816
TranslationofAffidavit
InNLRBv.DoralBuildingServices,666F.2d432,435(9thCir.1982),thecourtheld
thattheGeneralCounselerroneouslyfailedtoprovideanofficialtranslationofnonEnglish
languageaffidavitsofhiswitnesses.Itisnotadequatetosimplyprovidetheoriginalaffidavitsto
therespondentandleaveituptotherespondenttoprovideitsowntranslator.Thecasewas
remandedsothattherespondentcouldbeprovidedwithanofficialEnglishtranslationofthe
originalforeignlanguagestatements.SeealsoNLRBv.BakersofParis,Inc.,929F.2d1427
(9thCir.1991)(discussingbothadmissibilityanduseforimpeachmentofEnglishaffidavitstaken
ofnonEnglishspeakingwitnesses).
13900
RebuttalandSurrebuttalTestimony
FRE611makesnomentionofredirectandrecrossexamination.However,thejudgehas
broaddiscretionindecidingwhetherrebuttalandsurrebuttaltestimonywouldbehelpfulin
developingtheevidence,orwhetheritwouldinappropriatelyandunnecessarilyprolongthetrial.
SeeGardenRidgeManagement,Inc.,347NLRB131,131fn.3(2006),citingWatersEdge,
293NLRB465,465fn.2(1989),enfd.inpart14F.3d811(2dCir.1994).InWatersEdge,the
Boardstated:
WeagreewiththejudgethatOReillystestimonywastechnicallynotproper
rebuttalbecauseitwasnotintroducedtorefuteevidenceprovidedbytheRespondents
witness.Wenote,however,thattheadmissibilityofevidenceonrebuttaliscommittedto
thediscretionofthejudge....Thus,althoughtheGeneralCounselshouldhaveelicited
OReillystestimonyduringhercaseinchief,wefindthejudgedidnoterrinadmittingit.
WerejecttheRespondentscontentionthatOReillystestimonyshouldbestricken.
InBethlehemTempleLearningCenter,Inc.,330NLRB1177,1177fn.1(2000),the
respondentprofferedevidenceonsurrebuttalthatawitnesshadacriminalconviction,toattack
hercredibility.TheBoardheldthatjudgedidnotabusehisdiscretioninrulingthattherespondent
madethisprofferatapointtoolateinthetrial.InFirstClassMaintenance,289NLRB484,485
fn.4(1988),theBoardupheldthejudgesrefusaltoallowcertainrebuttaltestimonyofferedbythe
GeneralCounsel,findingboththattheevidencewouldhavebeencumulativeandthatthe
GeneralCounselhad9daysnoticethathemightdesirethetestimony.SeealsoTramontev.
FibreboardCorp.,947F.2d762,764(5thCir.1991).
125
TABLEOFAUTHORITIES
BOARDCASES
*AiroDieCasting,Inc.,354NLRBNo.8,slipop.1fn.5(2009) ................................................29
*AKALSecurity,Inc.,354NLRBNo.11,slipop.at4(2009).....................................................22
*AlliedMechanicalServices,Inc.,352NLRB662,664(2008).................................................29
*AsherCandy,Inc.,353NLRB959(2009) .......................................................................... 44,46
*Bashas,Inc.,352NLRB661(2008) ........................................................................................39
*CaliforniaGasTransportation,Inc.,352NLRB246,246fn.3(2008) ....................................88
*CaseFarmsofNorthCarolina,Inc.,353NLRB257,263(2008) ..........................................114
*CNNAmerica,Inc.,352NLRB265(2008) .............................................................................118
*CNNAmerica,Inc.,352NLRB448(2008) ................................................................... 59,60,63
*CNNAmerica,Inc.,352NLRB675(2008) ......................................................................... 58,65
*CNNAmerica,Inc.,353NLRB891(2009) ......................................................................... 59,60
*CoastalInsulationCorp.,354NLRBNo.70,slipop.at4(2009)...........................................116
*EmpireStateWeeklies,Inc.,354NLRBNo.91,slipop.2(2009)............................................20
*EssexValleyVisitingNursesAssoc.,352NLRB427,440443(2008)..................................67
*KingsbridgeHeightsRehabilitationandCareCenter,353NLRB631,
633(2008)...............................................................................................................................81
*LitigationMediationGroup,Inc.,12CA25513(unpublishedBoard
order,June13,2008) ..............................................................................................................25
*M.V.M.,Inc.,352NLRB1165,1165fn.1(2008) .......................................................................91
*NewYorkPost,353NLRBNo.343(2008)...............................................................................22
*PaintAmericaServices,Inc.,353NLRB973(2009)................................................... 44,45,67
*ParksiteGroup,354NLRBNo.90,slipop.5(2009) ..............................................................108
*RalphsGroceryCo.,352NLRB128,129(2008) .....................................................................65
*SpurlinoMaterials,LLC,25CA29866 ..................................................................................75
*TradeFairSupermarkets,354NLRBNo.16(2009).......................................................... 19,21
*UnitedStatesPostalService,352NLRB923,923(2008) ......................................................22
*UziEiny,352NLRB1178(2008) ..............................................................................................52
675WestEndOwnersCorp.,345NLRB324(2005),enfd.
304Fed.Appx.911(2dCir.2008)......................................................................... 50,51,53,69
A&LUnderground,302NLRB467(1991)...............................................................................26
A.R.BlaseCo.,143NLRB197,197198(1963),enf.denied338F.2d327
(9thCir.1964) .......................................................................................................................124
AblonPoultry&EggCo.,134NLRB827fn.1(1961) ............................................................109
AbrahamsonChryslerPlymouth,225NLRB923,923fn.1(1976),enfd.
mem.559F.2d1226(7thCir.1977)........................................................................................41
AceBeverageCo.,250NLRB646,647(1980) .........................................................................47
AcmeBuildingMaintenance,307NLRB358,359fn.6(1992)................................................34
ActiveMetalMfg.,316NLRB974,974975(1995)...................................................................34
AdairStandishCorp.,283NLRB668,669671(1987),enfd.mem.875
F.2d866(6thCir.1989)..........................................................................................................23
ADF,Inc.,355NLRBNo.14,slipop.at6(2010),reaffirmedandincorporated
byreference355NLRBNo.62(2010).....................................................................................67
AdvanceWasteSystems,306NLRB1020,10321033(1992) .......................................... 50,53
127
BOARDCASES
AEi2,LLC,343NLRB433(2004)...............................................................................................84
AerosonicInstrumentCorp.,116NLRB1502,1503(1956)............................................... 14,15
AirLinePilotsAssn.,97NLRB929,933(1951) .....................................................................113
AirTransportEquipment,190NLRB377,377fn.2(1971),enfd.mem.486
F.2d1394(2dCir.1972)..........................................................................................................11
AirborneFreightCorp.,343NLRB580,581(2004)..................................................................21
AlBryant,Inc.,260NLRB128,128fn.1(1982),enfd.711F.2d543(3dCir.1983),
cert.denied464U.S.1039(1984)...........................................................................................16
AlamoCementCo.,277NLRB1031,10361037(1985) ..........................................................26
AlamoRentACar,Inc.,338NLRB275(2002)................................................................... 75,76
AlanShortCenter,267NLRB886,886fn.1(1983)..................................................................51
Albertsons,Inc.,Case27CA13390 ....................................................................................121
AlldataCorp.,324NLRB544,544545(1997),enf.deniedonothergrounds,
245F.3d803,807(D.C.Cir.2001)..........................................................................................17
AlliedMechanicalServices,Inc.,346NLRB326,329(2006) ..................................................22
AlliedProductsCorp.,220NLRB732,733(1975) ...................................................................17
AllisChalmersCorp.,286NLRB219,219fn.1(1987).............................................................92
AllisChalmersMfg.Co.,179NLRB1,2fn.9(1969)..............................................................103
AllouDistributors,201NLRB47,4748(1973)........................................................................28
Alperts,Inc.,267NLRB159,159fn.1(1983) ..........................................................................84
AlphaBetaCo.,273NLRB1546(1985) ....................................................................................79
AltermanTransportLines,Inc.,127NLRB803,804(1960) ....................................................68
AlvinJ.Bart&Co.,236NLRB242,242(1978),enf.deniedonothergrounds
598F.2d1267(2dCir.1979).................................................................................................101
AMPropertyHoldingCorp.,350NLRB998,1008(2007) ........................................................46
AmericanArtIndustries,166NLRB943,951953(1967),affd.inpertinent
part415F.2d1223,12291230(5thCir.1969) .......................................................................68
AmericanLifeInsuranceandAccidentCo.,123NLRB529,530(1959)....................... 9,14,15
AmericanPacificPipeCo.,290NLRB623,623624(1988) ....................................................75
AmericanPostalWorkersLocal735,340NLRB1363,13641365(2003)..............................79
Amptech,Inc.,342NLRB1131,1146(2004),enfd.165Fed.Appx.435(2006)........................99
AnnsLaundry,276NLRB269,270fn.3(1985).....................................................................104
ApexInvestigation&SecurityCo.,302NLRB815,818(1991) ...............................................17
ApplicationandMotionofHorowitz,266NLRB755(1983) ....................................................53
ArtesiaReadyMixConcrete,Inc.,339NLRB1224(2003)................................................. 19,20
AT&TCorp.,337NLRB689,693fn.1(2002) ............................................................................61
ATSAcquisitionCorp.,321NLRB712,712fn.3(1996) ..........................................................47
AuburnFoundry,274NLRB1317,1317fn.2(1985),enfd.791F.2d619
(7thCir.1986) .......................................................................................................................110
AutoBus,Inc.,293NLRB855,855856(1989)........................................................................78
AutoWorkersLocal651(GeneralMotors),331NLRB479,481(2000) ................................101
B.N.BeardCo.,248NLRB198,199fn.9(1980)....................................................................104
B.P.Exploration,Inc.,337NLRB887,889(2002) ....................................................................62
Baddour,Inc.,281NLRB546,546fn.2(1986),enfd.mem.848F.2d193
(6thCir.1988),cert.denied488U.S.944(1988) ....................................................................50
BakerHotelofDallas,134NLRB524,524fn.1(1961),enfd.311F.2d528
(5thCir.1963) .......................................................................................................................118
BakerMfg.Co.,269NLRB794,794fn.2,813(1984),enfd.inpart759
F.2d1219(5thCir.1985).......................................................................................................115
BannonMills,146NLRB611,614fn.4,633634(1964)..........................................................68
BaronHondaPontiac,316NLRB611,611(1995) ...................................................................24
128
BOARDCASES
BatchelorElectricCo.,254NLRB1145,1145fn.1(1981),enfd.mem.716
F.2d903(6thCir.1983)..........................................................................................................44
BeaconElectricCo.,350NLRB238,254(2007) ....................................................................100
BenfieldElectricCo.,331NLRB590,591592(2000) .............................................................27
Berbiglia,Inc.,233NLRB1476,1495(1977) ............................................................................59
BestWesternCityViewMotorInn,325NLRB1186,1186(1998) ...........................................69
BestWesternCityViewMotorInn,327NLRB468,468469(1999) ................................. 38,55
BetaSteelCorp.,326NLRB1267,1267fn.3,1268(1998).......................................................46
BethlehemTempleLearningCenter,Inc.,330NLRB1177(2000).................................. 15,125
BetraMfg.Co.,233NLRB1126,1126fn.2(1977),enfd.mem.624F.2d192
BetterMonkeyGripCo.,113NLRB938(1955) .............................................................. 9,11,15
BeverlyCaliforniaCorp.,326NLRB232,236fn.18(1988) .....................................................73
BeverlyHealth&RehabilitationServices,335NLRB635,639fn.26(2001),
enfd.inpart,317F.3d316(D.C.Cir.2003).............................................................................89
BeverlyHealth&RehabilitationServices,346NLRB1319fn.3and1337fn.4
(2006)......................................................................................................................................23
BilesColemanLumberCo.,4NLRB679,682(1937) ..............................................................48
BlakeConstructionCo.,245NLRB630,630fn.1(1979),enfd.inpart663
F.2d272(D.C.Cir.1981) ....................................................................................................7,14
Bliss&LaughlinSteelCo.,266NLRB1165,1167fn.2(1983),enfd.754
F.2d229(7thCir.1985)........................................................................................................109
BMDSportswearCorp.,283NLRB142,142fn.1(1987),enfd.mem.847
F.2d835(2dCir.1988) ...........................................................................................................37
BoardwalkRegencyCorp.,344NLRB984,984fn.1(2005),pet.forreview
denied,196Fed.Appx.59(3dCir.2006) ..............................................................................120
BobsAmbulanceService,183NLRB961,961(1970) ..........................................................115
BobsMotors,Inc.,241NLRB1236,1236(1979)......................................................................68
Boetticher&KelloggCo.,137NLRB1392,1392fn.1,13981399(1962) ........................ 9,117
BoilermakersLocal363(FluorCorp.),123NLRB1877,1913(1959)......................................20
BoiseCascade,279NLRB422,432(1986) ..............................................................................59
BorgessMedicalCenter,342NLRB1105,1106fn.5(2004) ...................................................62
BorgWarnerCorp.,113NLRB152,154(1955),petitionforreviewdenied231
F.2d237(7thCir.1956),cert.denied352U.S.908(1956) .....................................................91
BoydstonElectric,Inc.,331NLRB1450,1451(2000) .............................................................25
BPAmocoChemicalChocolateBayou,351NLRB614(2007) .............................. 74,78,109
Brinks,Inc.,281NLRB468(1986) ..................................................................................... 57,60
BristolManorHealthCareCenter,295NLRB1106,1106fn.1(1989),enfd.
mem.915F.2d1561(3dCir.1990).........................................................................................46
BristolNursingHome,338NLRB737,737fn.1(2002) ...........................................................87
BroadwayHospital,Inc.,244NLRB341,341fn.5(1979)........................................................43
Brown&SharpeMfg.Co.,321NLRB924,924925(1996),reviewdenied
130F.3d1083,1087(D.C.Cir.1997),cert.denied524U.S.926(1998).................................27
BuckeyePlasticMolding,299NLRB1053,1053(1990) ..........................................................37
BurgessConstruction,227NLRB765,766(1977),enfd.596F.2d378
C&SDistributors,321NLRB404,404fn.2(1996) ...............................................................108
C.P.Associates,Inc.,336NLRB167(2001).............................................................................25
CabAssociates,340NLRB1391(2003) ............................................................................. 21,26
CalyerArchitecturalWoodworkingCorp.,338NLRB315(2002) ...........................................89
CamayDrillingCo.,239NLRB997,998998(1978) ................................................................48
129
BOARDCASES
CameronIronWorks,235NLRB287,287288(1978),enf.deniedonother
grounds591F.2d1(5thCir.1979)..........................................................................................34
CannondaleCorp.,310NLRB845,852(1993) .......................................................................110
CardinalServices,295NLRB933fn.2(1989)..........................................................................87
CardiovascularConsultantsofNevada,323NLRB67,67fn.1(1997)...................................99
CareManorofFarmington,314NLRB248,248fn.2(1994) .....................................................8
CarpenterSprinklerCorp.,238NLRB974,974975(1978),affd.inrelevant
part,605F.2d60,6566(2dCir.1979).................................................................................105
CarpentersLocal405,328NLRB788,788fn.2(1999)............................................................67
CarpentersLocal621(ConsolidatedConstructors),169NLRB1002,1003
(1968),enfd.406F.2d1081(1stCir.1969).............................................................................28
CarriageInnofSteubenville,309NLRB383(1992).................................................................41
CarthageHeating&SheetMetal,273NLRB120,123(1984) ..................................................61
CascadeCorp.,192NLRB533,533fn.2(1971),enf.denied466F.2d748
(6thCir.1972) .........................................................................................................................28
Caterpillar,Inc.,313NLRB626(1993)............................................................................ 121,123
Caterpillar,Inc.,332NLRB1116,1116(2000) ..........................................................................80
CCYNewWorktech,Inc.,329NLRB194,194(1999)...............................................................24
CentenoSuperMarkets,220NLRB1151,1151fn.1(1975),enfd.555
F.2d442(5thCir.1977),cert.denied434U.S.1064(1978) ...................................................13
CenterforUnitedLaborAction,209NLRB814,814815(1974) ...................................... 14,15
CentralMackSales,273NLRB1268,1268fn.2(1984)............................................................16
CentralTelephoneCompanyofTexas,343NLRB987 ............................................... 64,65,89
CeraInternationalCorp.,272NLRB1360,1360fn.2(1984) ...................................................37
CertainTeedProductsCorp.,147NLRB1517,1520(1964) ...................................................68
ChambersburgCountyMarket,293NLRB654,655(1989).....................................................26
ChampCorp.,291NLRB803(1988),enfd.933F.2d688(9thCir.1990),
cert.denied502U.S.957(1991)........................................................................... 56,59,68,69
ChampionInternationalCorp.,339NLRB672(2003)..............................................................22
CharlesE.McCauleyAssoc.,Inc.,266NLRB649(1983) ......................................................115
ChicagoTribuneCo.,304NLRB259,259261(1991) .............................................................28
ChildrensNationalMedicalCenter,322NLRB205,205(1996) .............................................18
ChristieElectricCorp.,284NLRB740,784fn.137(1987).....................................................108
CincinnatiEnquirer,298NLRB275,275(1990),reviewdenied938F.2d284
(D.C.Cir.1991) .......................................................................................................................18
ClarkDistributionSystems,Inc.,336NLRB747(2001) ..........................................................78
ClearChannelOutdoor,Inc.,346NLRB696fn.1(2006).......................................................122
ClementBlytheCos.,168NLRB118,118119(1967),enf.denied415F.2d78
(4thCir.1969) .........................................................................................................................24
CocaColaBottlingCo.,250NLRB1341,1342(1980) ...........................................................123
ColgatePalmoliveCo.,323NLRB515,515fn.1(1997) ..........................................................88
CollyerInsulatedWire,192NLRB837,839(1971) ..................................................................29
ColonnasShipyard,293NLRB136,143fn.2(1989),enfd.mem.900F.2d250
(4thCir.1990) .......................................................................................................................102
ConsolidatedBusTransit,Inc.,350NLRB1064,1065fn.6(2007),enfd.577
F.3d467(2dCir.2009) ...........................................................................................................25
ContekInternational,Inc.,344NLRB879,883884(2005) ...................................................113
ControlServices,303NLRB481(1991),enfd.961F.2d1568
(3dCir.1992) .............................................................................................................. 33,36,55
ControlServices,305NLRB435,435fn.2,442(1991)............................................................26
CoopersIntlUnion,208NLRB175(1974)...............................................................................79
CopperStateRubber,301NLRB138,138(1991) ....................................................................75
130
BOARDCASES
CountyWasteofUlster,354NLRBNo.54(2009),reaffirmedandincorporated
byreference355NLRBNo.64(2010).....................................................................................92
Cowin&Co.,322NLRB1091,1091fn.1(1997).......................................................................47
CPSChemicalCo.,324NLRB1018,1019(1997),enfd.160F.3d150
(3dCir.1998) ..........................................................................................................................68
CrownCorrugatedContainer,Inc.,123NLRB318,320(1959) .............................................100
CrusaderLancerCorp.,144NLRB1309,1309fn.1(1963) .....................................................42
CurleeClothingCo.,240NLRB355,355fn.1(1979),enfd.inrelevantpart607
F.2d1213(8thCir.1979).........................................................................................................84
CWALocal9403(PacificBell),322NLRB142(1996)..............................................................90
DaVinciFashions,286NLRB809,814816(1987) .................................................................34
DaisysOriginals,Inc.,187NLRB251,251fn.1(1970)...........................................................87
DalTexOpticalCo.,130NLRB1313,1315(1961) ...................................................................20
DanielConstructionCo.,239NLRB1335,1335fn.2(1979),enfd.mem.634
F.2d621(4thCir.1980),cert.denied450U.S.918(1981) .....................................................10
DaumanPallet,Inc.,314NLRB185(1994)....................................................................... 59,101
DavidM.Kelsey,349NLRB327(2007) ....................................................................................52
DavidR.WebbCo.,311NLRB1135,1136(1993) ....................................................................39
DaytonNewspapers,Inc.,339NLRB650,653fn.8(2003),enfd.inpart,
402F.3d651(6thCir.2005)....................................................................................................25
DaytonPower&LightCo.,267NLRB202(1983) .................................................... 9,12,14,15
December12,Inc.,282NLRB475,475fn.1(1986)..................................................................39
DeltaMechanical,Inc.,323NLRB76,77(1997)............................................................... 66,106
DesMoinesRegisterandTribuneCo.,339NLRB1035,1035fn.1(2003),
petitionforreviewdenied,381F.3d767(8thCir.2004)..........................................................95
DesertAggregates,340NLRB289,292293(2003) .......................................................... 21,22
DetroitNewspapersAgency,326NLRB700,751fn.25(1998),enf.denied
onothergrounds216F.3d109(D.C.Cir.2000)......................................................................57
DetroitNewspapersAgency,326NLRB782fn.3(1998),enf.denied216
F.3d109(D.CCir.2000) .........................................................................................................88
DetroitNewspapersAgency,330NLRB524(2000) .......................................................... 23,89
DiamondElectricMfg.Corp.,346NLRB857,862863(2006) ................................................79
Dickens,Inc.,355NLRBNo.44(2010) ......................................................................... 10,45,97
DillingMechanicalContractors, 348NLRB98(2006) ...................................................... 22,73
DishNetworkServiceCorp.,345NLRB1071(2005) ......................................................... 15,94
DomseyTradingCorp.,310NLRB777,814fn.35(1993),enfd.16F.3d517
(2dCir.1994) ........................................................................................................................110
DomseyTradingCorp.,325NLRB429,429432(1998)........................................................117
DomseyTradingCorp.,351NLRB824(2007) ............................................................... 113,114
DonLeeDistributor,Inc.,322NLRB470,484485(1996),enfd.145F.3d834
(6thCir.1998),cert.denied525U.S.1102(1999) ................................................................113
DontStop,298NLRB961,962(1990)......................................................................................44
DorothyShamrockCoalCo.,279NLRB1298,1298fn.1(1986),enfd.833
F.2d1263(7thCir.1987).......................................................................................................104
DoubleDConstructionGroup,339NLRB303,306(2003) ...................................................120
DoubletreeGuestSuitesSantaMonica,347NLRB782(2006)......................................... 75,79
DPMofKansas,261NLRB220,220fn.2(1982)......................................................................24
DrummondCoalCo.,277NLRB1618,1618fn.1(1986)..........................................................99
DTRIndustries,311NLRB833,833fn.1(1993),enf.deniedonothergrounds,
39F.3d106(6thCir.1994)......................................................................................................25
131
BOARDCASES
DucaneHeatingCorp.,273NLRB1389,13891390(1985),enfd.mem.785
F.2d304(4thCir.1986).................................................................................................... 18,27
Dun&BradstreetSoftwareServices,317NLRB84(1995),affd.79
F.3d1238(1stCir.1996)................................................................................................... 17,36
Dynatron/BondoCorp.,326NLRB1170,1170(1998)..............................................................96
E&ISpecialists,349NLRB446,455(2007) ............................................................................99
EarthgrainsCo.,336NLRB1119,1122(2001) .......................................................................124
EarthgrainsCo.,351NLRB733,733fn.3(2007) .....................................................................51
EastBronxHealthCenter,271NLRB898,898fn.1(1984) .....................................................43
EastTexasSteelCastingsCo.,116NLRB1336,1337(1956),enfd.255
F.2d284(5thCir.1958)............................................................................................................7
EdwardsTruckingCo.,129NLRB385,386fn.1(1960) ........................................................124
ElMundoCorp.,301NLRB351,351(1991) .............................................................................84
ElectricalEnergyServices,288NLRB925,931(1988) ...........................................................59
ElectricalWorkers(NixdorfComputersCorp.),252NLRB539,539fn.1(1980) ........... 88,120
ElectricalWorkersIUE(SpartusCorp.),271NLRB607,607(1984) ................................. 35,37
ElectricalWorkersIUELocal201(GeneralElectricCo.),188NLRB855,857
(1971)......................................................................................................................................75
EngineersBeneficialAssn.District1(CrestTankers),274NLRB1481,
1482fn.5(1985) .....................................................................................................................13
EthanEnterprises,Inc.,342NLRB129,129fn.2(2004),enfd.154Fed.
Appx.23(9thCir.2005)..........................................................................................................43
EvergreenAmerica,348NLRB178(2006) .............................................................................109
ExpertElectric,Inc.,347NLRB18,19(2006)...........................................................................48
EZRecycling,331NLRB950,950fn.1(2000) ........................................................................95
FairfieldTowerCondominiumAssn.,343NLRB923,923fn.1(2004) ....................................15
FarmFresh,Inc.,301NLRB907,917(1991) ............................................................................63
FederatedAmericanInsuranceCo.,219NLRB200,203(1975) ...........................................113
FES,331NLRB9(2000),enfd.301F.3d83(3dCir.2002) ................................................ 23,114
FieldBridgeAssociates,306NLRB322(1922),enfd.subnom.Service
EmployeesLocal32B32Jv.NLRB,982F.2d845(2dCir.1993),cert.
denied509U.S.904(1993).....................................................................................................30
FirstClassMaintenance,289NLRB484,485fn.4(1988) .....................................................125
FirstNationalSupermarkets,302NLRB727,727728(1991)................................................78
FirstTransit,Inc.,350NLRB825(2007).................................................................................115
Fitel/LucentTechnologies,Inc.,326NLRB46(1998)........................................................ 68,92
FlameofMiami,Inc.,159NLRB1103,1105(1966) ..................................................................41
FlemingCompanies,336NLRB192,192fn.2(2001),enfd.inpart,349F.3d
968(7thCir.2003).................................................................................................................105
FlintIcelandArenas,325NLRB318(1998).................................................................. 72,75,76
FloridaCocaColaBottlingCo.,31NLRB21,21fn.2(1996) ..................................................44
FloridaSteelCo.,235NLRB1010,10111012(1978).............................................................109
FluorDaniel,Inc.,304NLRB970,971fn.10,975,978,980(1991),enfd.
mem.976F.2d744(11thCir.1992)......................................................................................107
FluorDaniel,Inc.,350NLRB702,713(2007) .........................................................................106
FoodLion,Inc.,304NLRB602,602fn.4(1991) ......................................................................75
FormosaPlasticsCorp.,Louisiana,320NLRB631,641(1996)............................................103
ForsythElectricCo.,332NLRB801,818(2000) ....................................................................108
FranklinIron&MetalCorp.,315NLRB819fn.1(1994),enfd.83F.3d156
(6thCir.1996) .......................................................................................................................121
132
BOARDCASES
FranksFlowerExpress,219NLRB149,149150(1975),enfd.mem.529
F.2d520(5thCir.1976).................................................................................................... 41,42
FredericksburgGlass&Mirror,323NLRB165,175176(1997)...........................................109
FreeFlowPackagingCorp.,219NLRB925,926(1975),enfd.inpart566
F.2d1124(9thCir.1978).........................................................................................................55
FreightwayCorp.,299NLRB531,531(1990)..................................................................... 17,37
FreuhaufCorp.,274NLRB403,405406(1985) ......................................................................46
FrontierFoundries,Inc.,312NLRB73(1993).................................................................... 75,78
FrontierHotel&Casino,324NLRB1225,12251226(1997) ..................................................23
G.W.Truck,240NLRB333,334335(1979)............................................................................36
Gallup,Inc.,349NLRB1213(2007) .................................................................................... 67,94
GardenRidgeManagement,Inc.,347NLRB131,131fn.3(2006)........................................125
GarveyMarine,Inc.,328NLRB991,995997(1999) ...............................................................29
GeneralMolds&PlasticsCorp.,122NLRB182,186(1958) ...................................................37
GeorgeJosephOrchardSiding,Inc.,325NLRB252,252253(1998) .................................117
GlacierPackingCo.,204NLRB597,600(1973),enfd.507F.2d415
(9thCir.1974) .........................................................................................................................42
GoldenHoursConvalescentHospitals,200NLRB279,280fn.5(1972) ...............................11
GoldsmithMotorsCorp.,310NLRB1279,1279fn.1(1993) .................................................108
GoskiTruckingCorp.,325NLRB1032,1032(1998)..............................................................101
GourmetFoods,270NLRB578,579(1984) .............................................................................47
GovernmentEmployees(IBPO),327NLRB676(1999)...........................................................51
GoyaFoodsofFlorida,347NLRB1118,11191120(2006),enfd.525
F.3d1117(11th Cir.2008)........................................................................................................39
GoyaFoodsofFlorida,351NLRB94,94fn.4(2007),enfd.309Fed.
Appx.422(D.C.Cir.2009) ......................................................................................................23
GPSTerminalServices,333NLRB968(2001)................................................................... 20,47
GrahamWindhamServices,312NLRB1199,1199fn.2(1993)..............................................51
GrandRapidsPressofBoothNewspapers,327NLRB393,394395
(1998),enfd.mem.215F.3d1327(6thCir.2000)...................................................................88
GraniteConstructionCo.,330NLRB205,210211fn.1(1999)............................................112
GreatLakesChemicalCorp.,300NLRB1024(1990),enfd.967F.2d624
(D.C.Cir.1992) ................................................................................................................. 29,88
GreatLakesScrewCorp.,164NLRB149,149fn.2(1967),revd.and
remanded409F.2d375(7thCir.1969)...................................................................................49
GreatNorthwestBuilders,344NLRB969(2005).....................................................................77
GreatWesternProduce,299NLRB1004,1004fn.1(1990) ....................................................23
GreenparkCareCenter,236NLRB683,683fn.3(1978) .........................................................44
GreyhoundLines,319NLRB554(1995) ............................................................ 5,28,83,84,85
GreystonBakery,327NLRB433,440fn.13(1999) ...............................................................117
GrimmwayFarms,314NLRB73,7374(1994),enfd.inpartmem.85
F.3d637(9thCir.1996)..........................................................................................................98
GTEAutomaticElectric,196NLRB902,903(1972) ................................................................47
Guess,Inc.,339NLRB432,434(2003).....................................................................................60
H.B.ZachryCo.,310NLRB1037(1993) .................................................................. 66,122,123
H.B.ZachryCo.,319NLRB967,979980(1995) ..................................................................107
HallIndustries,293NLRB785,785fn.1(1989),enfd.mem.914F.2d244
(3dCir.1990) ................................................................................................................ 9,11,13
HalsteadIndustries,299NLRB759,759fn.1(1990),remanded,940F.2d66,
7273(4thCir.1991).............................................................................................................119
133
BOARDCASES
HansenBros.Enterprises,313NLRB599(1993) .............................................................. 68,71
HarcoTrucking,LLC,344NLRB478,479(2005).....................................................................25
HardestyCo.,336NLRB258,259(2001),enfd.308F.3d859(8thCir.2002)...........................35
HaroweServoControls,Inc.,250NLRB958,1033(1980) ....................................................110
HarrisCorp.,269NLRB733,734fn.1(1984) ...........................................................................17
HarrisonSteelCastingsCo.,255NLRB1426,14261427(1981) ...........................................23
HavenManorHealthRelatedFacility,243NLRB39(1979) ....................................................49
Heads&ThreadsCo.,261NLRB800,800fn.1(1982),enfd.inpart724
F.2d282(2dCir.1983) ...........................................................................................................13
HempsteadLincolnMercuryMotorsCorp.,349NLRB552,fn.4(2007) ................................29
HijosdeRicardoVela,Inc.,194NLRB377,377fn.1(1971),enfd.475
F.2d58(1stCir.1973).............................................................................................................42
HillviewConvalescentCenter,266NLRB758(1983) ..............................................................45
HiTechCableCorp.,318NLRB280,280(1995),enfd.inpart128F.3d271
(5thCir.1997) .........................................................................................................................21
HoganMasonry,314NLRB332,333fn.1(1994) ...................................................................109
HollywoodRooseveltHotelCo.,235NLRB1397,1397(1978) ......................................... 30,77
HopkinsHardware,280NLRB1296,1297(1986).....................................................................38
HorizonGroupofNewEngland,347NLRB795(2006)(same) .............................................113
HostInternational,290NLRB442,442(1988) .........................................................................98
Hotel&RestaurantEmployeesLocal274(WarwickCaterers),269NLRB482,
482483(1984) .......................................................................................................................28
HotelDelCoronado,345NLRB306,306fn.1,308fn.1(2005)...............................................48
HowardMfg.Co.,231NLRB731,732(1977)............................................................................56
IlProgressoItaloAmericanoPublishingCo.,299NLRB270,270fn.4,289
(1990)......................................................................................................................................37
ImpactIndustries,285NLRB5,6(1987),remandedonothergrounds847
F.2d379(7thCir.1988)..........................................................................................................85
IndependentStationsCo.,284NLRB394,394fn.1,412,415(1987) ...................................116
IndependentStaveCo.,287NLRB740,743(1987) .................................................................74
IndianapolisGloveCo.,88NLRB986,987(1950) ......................................................... 9,11,15
InformationProcessingSVC,Inc.,330NLRBNo.95(2000) ...................................................24
InternationalBusinessSystems,258NLRB181,181fn.5(1981),enfd.mem.
659F.2d1069(3dCir.1981)...................................................................................................97
IOServices,218NLRB566,566fn.1(1975) .........................................................................124
IowaBeefPackers,144NLRB615,616(1963),enfd.inpart331F.2d176
(8thCir.1964) .........................................................................................................................88
IronWorkersLocal27(MorrisonKnudson),313NLRB215,217(1993),
enfd.mem.70F.3d119(9thCir.1995) ...................................................................................75
IronWorkersLocal433(ReynoldsElectrical),298NLRB35,3536(1990),
enfd.mem.931F.2d897(9thCir.1991) .................................................................................19
IronWorkersLocal75(DefcoConstruction),268NLRB1453,1456fn.8(1984)...................55
IronworkersLocal843(Norglass,Inc.),327NLRB29(1998).................................................90
J.G.BraunCo.,126NLRB368,369fn.3(1960) ....................................................................118
J.P.Stevens&Co.,179NLRB254,255(1969),enfd.441F.2d514(5thCir.1971),
cert.denied404U.S.830(1971).............................................................................................48
J.C.PennyCo.,172NLRB1279(1968),enfd.Inrelevantpart416F.2d702,705
(7thCir.1969) .......................................................................................................................107
J.J.CassoneBakery,345NLRB1305(2005) ...........................................................................15
J.S.TroupElectric,Inc.,344NLRB1009,10091010(2005)........................................... 97,120
134
BOARDCASES
JeffersonChemicalCo.,Inc.,200NLRB992,992fn.3(1972) ................................................23
JoelI.Keiler,316NLRB763,766770(1995),vacatedbyunpublisheddistrict
courtorderdatedFebruary3,1998 .........................................................................................53
JohnCuneo,Inc.,276NLRB75,77(1985),remanded792F.2d1181(D.C.Cir.1986)............47
JohnCuneo,Inc.,298NLRB856(1990).................................................................................115
K&LFireProtectionSystems,306NLRB988,988fn.1(1992) .............................................42
K.O.SteelFoundry&Machine,340NLRB1295(2003)..................................................... 12,93
KaiserAluminum&ChemicalCorp.,339NLRB829(2003).............................................. 60,64
Kamtech,Inc.,333NLRB242,242fn.4(2001).......................................................................101
KanakisCo.,293NLRB435,435437(1989) ...........................................................................27
KaumagraphCorp.,313NLRB624,624625(1994).......................................................... 20,47
KelleyBros.Nurseries,145NLRB285,285fn.2(1963),enf.denied341
F.2d433(2dCir.1965) .........................................................................................................115
KenrichPetrochemicals,Inc.,149NLRB910,911fn.2(1964) .............................................122
KentuckyTennesseeClayCo.,343NLRB931,932(2004),enfd.179Fed.
Appx.153(4thCir.2006).........................................................................................................19
KFMBStations,343NLRB748,748,fn.3(2004).....................................................................78
KimtrussCorp.,305NLRB710,711(1991)..............................................................................20
KingsHarborHealthCare,239NLRB679(1978) ....................................................................53
Konig,318NLRB337,338fn.7(1995).......................................................................................51
KrogerCo.,211NLRB363,364(1974) .....................................................................................91
KWElectricInc.,327NLRB70(1998).......................................................................................75
LaidlawTransit,Inc.,315NLRB509,512(1994)....................................................................110
LaidlawTransit,Inc.,327NLRB315,316(1998).............................................................. 65,116
LamarAdvertisingofHartford,343NLRB261,265(2004) .....................................................22
LauraModesCo.,144NLRB1592,1596(1963) .......................................................................28
LeachCorp.,312NLRB990,991992(1993),enfd.54F.3d802(D.C.Cir.1995).............. 25,26
LeisureKnollAssn.,327NLRB470,470fn.1(1999)....................................................... 66,106
LibertyCoachCo.,128NLRB160,162fn.7(1960) ...............................................................117
Local282Teamsters,335NLRB1253,1254(2001).................................................................47
LocalUnion290,UFCW,348NLRB998(2006)........................................................................75
LongshoremenILALocal1814(AmstarSugar),301NLRB764,764765(1991) ..................75
LongshoremenILALocal20(RyanWalshStevedoring),323NLRB1115,1120
(1997)....................................................................................................................................124
LosAngelesNewHospital,244NLRB960,962fn.4(1979),enfd.640F.2d1017
(9thCir.1981) .........................................................................................................................88
LouisianaDockCo.,293NLRB233,250251(1989),enf.denied,909F.2d281
(7thCir.1990) .......................................................................................................................122
M.J.MechanicalServices,324NLRB812,832(1997) ............................................................57
M.J.SantulliMailServices,281NLRB1288,1288fn.1(1986)...............................................51
MacDonald'sIndustrialProducts,281NLRB577,577(1986).................................................26
MachinistsLodge1129(SunbeamApplianceCo.),216NLRB630,630(1975) .....................10
MackTrucks,277NLRB711 fn.1and715723(1985) ............................................................45
MaiettaContracting,265NLRB1279,12791280(1982),enfd.mem.729
F.2d1448(3dCir.1984)..........................................................................................................51
MailContractorsofAmerica,347NLRB1158(2006),enf.deniedonother
grounds,514F.3d27(D.C.Cir.2008).....................................................................................50
ManbeckBakingCo.,130NLRB1186,11891190(1961) .....................................................124
MannoElectric,321NLRB278,278fn.7(1996) ......................................................................87
135
BOARDCASES
ManorWest,Inc.,311NLRB655,665fn.1(1993)....................................................................16
MaremontCorp.WorldPartsDivision,249NLRB216,216217(1980) .................................23
MarianManorfortheAgedandInfirm,Inc.,333NLRB1084(2001).......................................64
MarineEngineersDistrict1(DutraConstruction),312NLRB55,55(1993) ........................103
MarriottCorp.,172NLRB1891,1892fn.1(1968),enfd.inpart417F.2d176
(4thCir.1969) .........................................................................................................................87
MartinLutherKing,Sr.NursingCenter,231NLRB15,15fn.1(1977) .................................108
MassillonCommunityHospital,282NLRB675,675fn.5(1987) ..........................................109
MassillonCommunityHospital,supra ...................................................................................109
MasterMechanicalInsulation,320NLRB1134,1134fn.2(1996)...........................................29
MatterofanAttorney,307NLRB913,913(1992) ....................................................................52
MaywoodPlantofGredePlastics,235NLRB363,365366(1978),enfd.as
modified628F.2d1(D.C.Cir.1980) .......................................................................................28
McAllisterBros.,278NLRB601,601fn.2(1986),enfd.819F.2d439
(4thCir.1987) .......................................................................................................................105
McAllisterTowing&TransportationCo.,341NLRB394(2004),
enfd.156Fed.Appx.386(2dCir.2005)..................................................................... 52,58,67
McDanielFord,Inc.,331NLRB1645(2000).............................................................................71
McKenzieEngineeringCo.,326NLRB473,485fn.6(1998) .................................................109
MediteofNewMexico,Inc.,314NLRB1145(1994),enfd.72
F.3d780,787(10thCir.1995)......................................................................................... 86,105
MeisnerElectric,Inc.,316NLRB597,597(1995),affd.mem.83F.3d436
(11thCir.1996) .......................................................................................................................21
MerillatIndustries,307NLRB1301,13011302(1992)............................................................13
MetroDemolitionCo.,348NLRB272,272fn.3(2006) ............................................................99
MetropolitanTransportationServices,351NLRB657,670(2007).......................................100
MeyersBros.ofMissouri,Inc.,151NLRB889,893fn.1(1965)..............................................37
MeyersTransportofNewYork,338NLRB958,968969(2003)...........................................102
MiamiSystemsCorp.,320NLRB71,71fn.2(1995),modifiedbutaffirmedon
point,Uforma/ShelbyBusinessFormsv.NLRB,111F.3d1284,12931294
(6thCir.1997) .......................................................................................................................110
MiamiSystemsCorp.,320NLRB71,71fn.4(1995),enfd.inrelevantpartand
remanded111F.3d1284(6thCir.1997)...............................................................................113
MichiganExpeditingService,282NLRB210,210fn.6(1986),enfd.mem.869
F.2d1492(6thCir.1989).........................................................................................................34
MidlandHilton&Towers,324NLRB1141,1141fn.1(1997) ................................................101
MidStateReadyMix,316NLRB500,500501(1995) .............................................................28
MidwesternPersonnelServices,Inc.,331NLRB348,349(2000) ..........................................49
MimbresMemorialHospital&NursingHome,342NLRB398,403fn.14
(2004),enfd.483F.3d683(2007) ...........................................................................................99
MineWorkers(JamesBros.Coal),191NLRB209,209210(1971)........................................77
MinetteMills,Inc.,316NLRB1009,10101011(1995) ............................................................92
MoellerBros.BodyShop,306NLRB191,192(1992)) ............................................................25
MonarkBoatCo.,276NLRB1143,1143fn.3(1985),enfd.800F.2d191
(8thCir.1986) .........................................................................................................................91
MoneyRadio,297NLRB705,705706(1990)..........................................................................13
MonfortofColorado,298NLRB73,82fn.37(1990)..............................................................111
MonongahelaPowerCo.,324NLRB214,214215(1997)................................................. 26,98
MorgansHolidayMarkets,333NLRB837,840841(2001)....................................................27
MultiAdServices,331NLRB1226,1228(2000),enfd.255F.3d363
(7thCir.2001) .......................................................................................................................113
136
BOARDCASES
NationalAutomaticSprinklers,307NLRB481,481fn.1(1992) .............................................55
NationalFootballLeague,309NLRB78(1992) .......................................................................61
NationalSpecialtiesInstallations,Inc.,344NLRB191(2005) ........................................ 68,123
NationalTelephoneDirectoryCorp.,319NLRB420(1995) ............................................ 66,119
NationalTelephoneServices,301NLRB1,fn.2(1991) ..........................................................75
NationsRent,Inc.,339NLRB830,831(2003)..........................................................................79
NationwideTransportFinancev.CassInformation,523F.3d1051,1058
(9thCir.2008) .......................................................................................................................106
NewYorkSheetMetalWorks,Inc.,243NLRB967,967fn.3(1979) .....................................120
NewYorkTimesCo.,265NLRB353,353(1982) .....................................................................14
NicklesBakeryofIndiana,296NLRB927(1989).....................................................................19
NorrisConcreteMaterials,282NLRB289,291(1986) ............................................................79
NortechWaste,336NLRB554,554fn.2(2001).......................................................................71
NorthCarolinaLicensePlateAgency#18,346NLRB293,294fn.5(2006),
enfd.243F.3d.Fed.Appx.771(4thCir.2007)........................................................................66
NorthHillsOfficeServices,342NLRB437,437fn.2(2004) ...................................................86
NorthernCapMfg.Co.,146NLRB198,201204(1964).........................................................116
NortonAudubonHospital,338NLRB320,320fn.1(2002).....................................................99
NursingCenteratVineland,318NLRB901,903(1995),enfd.mem.
151LRRM2736(3dCir.1996).......................................................................................... 29,51
O.K.Machine&ToolCorp.,279NLRB474,479(1986)...........................................................56
OfficeDepot,Inc.,330NLRB640,640642(2000)...................................................................19
OffshoreMarinersUnited,338NLRB745(2002)......................................................... 29,39,55
OldDominionFreightLine,331NLRB111(2000) ...................................................................21
OlinCorp.,268NLRB573,573575(1984)..............................................................................78
OmahaBuildingTradesCouncil(CrossroadsJointVenture),284NLRB
328,329fn.4(1987),enfd.856F.2d47(8thCir.1988) ........................................................118
OperatingEngineersDistrict1(CrestTankers),274NLRB1481,1482(1985)......................49
OperatingEngineersLocal12(GriffithCo.),212NLRB343,345(1974),revd.on
othergrounds545F.2d1194(9thCir.1976),cert.denied,434U.S.854(1977).....................48
OperatingEngineersLocal9(FountainSandCo.),210NLRB129(1974) ..................... 46,116
OprylandHotel,323NLRB723,723fn.3(1997) ....................................................................105
OpticaLeeBorinquen,307NLRB705fn.6(1992),enfd.991F.2d786
(1stCir.1993)(Table) ...........................................................................................................104
OrlandParkMotor,333NLRB1017fn.1&10241026(2001)................................................110
OurWay,Inc.,244NLRB236,236fn.1(1979) .........................................................................34
OutdoorVentureCorp.,327NLRB706,708709(1999) .........................................................98
PacificCoastMetalTradesCouncil(LockheedShipbuilding),282NLRB
239,239fn.2(1986) .............................................................................................................103
PackagingTechniques,Inc.,317NLRB1252,1253(1995) ................................... 55,56,57,67
PageLitho,Inc.,311NLRB881(1993),enfd.inpartmem.65
F.3d169(6thCir.1995).................................................................................................. 46,116
PageLitho,Inc.,325NLRB338,338339(1998) .....................................................................47
ParkMaintenance,348NLRB1373,1373fn.2(2006)............................................................103
ParkOhioIndustries,283NLRB571,572(1987).....................................................................77
PartsDepot,Inc.,332NLRB670,674(2000),enfd.24FedAppx.1(D.C.Cir.2001) .............107
PartsDepot,Inc.,348NLRB152,152fn.6(2006)..................................................................107
PathmarkStores,Inc.,324NLRB378,378fn.1(2004)............................................................10
PathmarkStores,Inc.,342NLRB378,378fn.1(2004)............................................................88
PatrickCudahy,Inc.,288NLRB968,969971(1988)..............................................................62
137
BOARDCASES
PaylessDrugStores,313NLRB1220,12201221(1994) .......................................................20
PerdueFarms,323NLRB345,348(1997),affd.inrelevantpart144F.3d830,
833834(D.C.Cir.1998)................................................................................................... 58,67
PerformanceFrictionCorp.,335NLRB1117(2001)...................................................... 109,110
PergamentUnitedSales,296NLRB333,334(1989),enfd.920F.2d130
(2dCir.1990) ..........................................................................................................................21
PeterVitalieCo.,310NLRB865,865fn.1(1993)............................................................... 41,42
PeytonPackingCo.,129NLRB1358,1360(1961)...................................................................23
PhoenixCo.,274NLRB995,995(1985) ...................................................................................87
PincusElevator&ElectricCo.,308NLRB684,684685(1992),enfd.mem.
998F.2d1004(3dCir.1993)...................................................................................................21
PipefittersLocal290,UFCW,348NLRB998(2006) ................................................................74
PlannedBuildingServices,Inc.,347NLRB670(2006)............................................. 92,99,114
PlumbersLocal457(BomatPlumbingandHeating),131NLRB1243,
12451247(1961),enfd.299F.2d497(2dCir.1962) .............................................................28
PortoMills,149NLRB1454,1470(1964) .................................................................................79
PostalServiceMarinaCenter,271NLRB397,397400(1984)...............................................26
PostalService,300NLRB196,198,fn.13(1990).....................................................................79
PottsvilleBleachingCo.,301NLRB1095,10951096(1991).................................................77
PrecisionIndustries,320NLRB661(1996),enfd.118F.3d585(8thCir.1997)................ 29,30
PublicServiceCo.,312NLRB459,461(1993).........................................................................25
QuakerTool&Die,Inc.,169NLRB1148,1148(1968).............................................................23
QualityAsbestosRemoval,310NLRB1214,1215(1993) .......................................................45
QualityHotel,326NLRB83,83fn.4(1998)..............................................................................46
QuarlesMfg.Co.,83NLRB697(1949),remanded190F.2d82
(5thCir.1951) ............................................................................................................... 104,111
QuebecorGroup,Inc.,258NLRB961,961fn.1(1981)............................................................44
QueenoftheValleyHospital,316NLRB721,721fn.1(1995) ..............................................108
QuinnCo.,273NLRB795,799(1984).......................................................................................78
R.SabeeCo.,351NLRB1350,1350fn.3(2007) ........................................................ 66,97,110
R.K.Mechanical,27CA18863(unpublishedBoardorder,June23,2008,
fn.2)........................................................................................................................................60
Raleys,348NLRB382(2006)......................................................................................... 107,109
RatliffTruckingCorp.,310NLRB1224,1224(1993) ...............................................................77
RCAluminumIndustries,Inc.,343NLRB939(2004) ............................................................101
ReadingAnthraciteCo.,273NLRB1502,1502(1985) ...................................................... 14,15
Red&WhiteSupermarkets,172NLRB1841,1846(1968) ......................................................87
ReddI,Inc.,290NLRB1115,11151116(1988)........................................................... 19,21,28
RedwayCarriers,274NLRB1359,1371(1985)........................................................................29
RenoHilton,319NLRB1154,1185fn.18(1995)....................................................................116
RheeBrothers,Inc.,343NLRB695,697698fn.5(2004) .......................................................99
RichardMellowElectricalContractorsCorp.,327NLRB1112,11121113
(1999)......................................................................................................................................31
RichmondTimesDispatch,346NLRB74,74fn.1(2005) .......................................................61
RichmondTimesDispatch,5CA29157etal...........................................................................60
RileyStokerCorp.,223NLRB1146,11461147(1976),enfd.inpartmem.
559F.2d1209(3dCir.1977)...................................................................................................47
RiverdaleNursingHome,317NLRB881,881(1995) ..............................................................44
RJRCommunications,Inc.,248NLRB920,921(1980).........................................................101
RoadwayExpress,355NLRBNo.23(2010).............................................................................30
138
BOARDCASES
RockTechnologies,346NLRBNo.68,slipop.1(2006) ..........................................................24
RolligonCorp.,254NLRB22,22(1981) ...................................................................................56
RooseveltMemorialMedicalCenter,348NLRB1016,1022(2006) ......................................108
RotoRooter,288NLRB1025,1025fn.2(1988) ................................................................. 14,16
SanfordHomeforAdults,253NLRB1132,1132fn.1(1981),affd.inrelevant
part669F.2d35(2dCir.1981)................................................................................................16
SanfordHomeforAdults,253NLRB1132,1132fn.1(1981),enfd.669F.2d35
(2dCir.1981) ............................................................................................................................8
SargentKarch,314NLRB482(1994) ........................................................................... 50,52,86
SBCCalifornia,344NLRB243,243fn.3(2005).....................................................................124
ScientificEcologyGroup,317NLRB1259,1259,1261(1995)..............................................105
ScrippsMemorialHospitalEncinitas,347NLRB52,53(2006) ..............................................79
SeattleSeahawks,292NLRB899,908(1989),enfd.mem.888F.2d125
(2dCir.1989) ..........................................................................................................................51
SecurityServices,Inc.,198NLRB1166,1166(1972) ............................................................118
SEIUUnitedHealthcareWorkersWest,20CG65(October24,2006)................................58
SenftnerVolkswagenCorp.,257NLRB178,178fn.1,186187(1981),
enfd.681F.2d557(8thCir.1982)................................................................................... 47,122
SeptixWaste,Inc.,346NLRB494(2006) .................................................................................78
ServAir,Inc.,161NLRB382,382fn.1(1966)..........................................................................89
ServiceEmployees(GMGJanitorial),322NLRB402,406(1996).........................................120
ServiceEmployeesLocal87(CresleighManagement),324NLRB774,
775776(1997) ................................................................................................................. 22,23
SheehyEnterprises,Inc.,353NLRB803(2009),reaffirmedandincorporated
byreference355NLRBNo.83(2010)...................................................................................113
SheetMetalWorkersLocal15,346NLRB199,202(2006),enf.deniedon
othergrounds,491F.3d429(D.C.Cir.2007)........................................................................104
SheetMetalWorkersLocal162(LangsEnterprises),314NLRB923,923fn.2
(1994)......................................................................................................................................18
SheetMetalWorkersLocal28(AmericanElgen),306NLRB981,981982
(1992)................................................................................................................................ 18,72
SheetMetalWorkersLocal28(BorellaBros.),323NLRB207,209fn.2(1997)..................102
SheetMetalWorkersLocal91(ScheblerCo.),294NLRB766,774775(1989),
enfd.inpartandremandedinpart905F.2d417(D.C.Cir.1990) ...........................................21
SilverStateDisposalService,326NLRB84,98100(1998) .....................................................5
SiouxCityFoundryCo.,323NLRB1071,1074(1997),enfd.154F.3d832,
837838(8thCir.1998)...........................................................................................................18
SKCElectric,Inc.,350NLRB857,858(2007) ..........................................................................19
SkylineBuilders,Inc.,340NLRB109(2003)............................................................................44
SMCEngineering&Contracting,324NLRB341,341(1997)..................................................34
SmithfieldPackingCo.,344NLRB1(2004),enfd.447F.3d821
(D.C.Cir.2006) ................................................................................................... 28,52,64,100
SomervilleCreamCo.,95NLRB1144,1146(1951),enfd.199F.2d257
(1stCir.1952)..........................................................................................................................44
SouthdownCareCenter,313NLRB1114,11141115,1118(1994)......................................103
SpecialMineServices,308NLRB711,711,720721(1992),enfd.inpart11
F.3d88(7thCir.1993) ............................................................................................................98
SpiegelTruckingCo.,225NLRB178,179fn.8(1976),enfd.mem.559
F.2d188(D.C.Cir.1977) ........................................................................................................43
SpielbergMfg.Co.,112NLRB1080,1082(1955).....................................................................78
139
BOARDCASES
SprucePineMfg.,153NLRB309,309fn.1(1965),enfd.inpart365F.2d898
(D.C.Cir.1966) .......................................................................................................................48
St.GeorgeWarehouse,351NLRB961(2007) .........................................................................92
St.GeorgeWarehouse,Inc.,349NLRB870(2007) .................................................................24
St.MarysNursingHome,342NLRB979(2004),affd.240Fed.
Appx.8,1213(6thCir.2007)........................................................................................... 89,98
St.MarysNursingHome,342NLRB979,980fn.6(2004),secondremand
decisionaffd.240Fed.Appx.8,10,1213(6thCir.2007) ......................................................13
St.VincentMedicalCenter,338NLRB888(2003) ...................................................................88
StagehandsReferralService,347NLRBNo.1167(2006) .......................................................21
StarGroceryCo.,245NLRB196,197(1979) ...........................................................................37
StarkElectric,Inc.,327NLRB518,518fn.1(1999) .................................................................99
StateBankofIndia,283NLRB266,277278(1987).......................................................... 50,51
SterlingNursingHome,316NLRB413,416(1995) ........................................................... 28,79
StevensFord,272NLRB907,907(1984),enfd.inpart773F.2d468,476477
(2dCir.1985) ..........................................................................................................................44
StoodyCo.,312NLRB1175,11761177,1182(1993) .............................................................99
StorerCableTVofTexas,292NLRB140,140(1988)..............................................................23
StorklineCorp.,141NLRB899,902903(1963),enfd.inpart330F.2d1
(5thCir.1964) .........................................................................................................................20
StrideRiteCorp.,228NLRB224,226fn.3(1977)....................................................................66
StuartBochner,322NLRB1096,1096(1997) ..........................................................................53
SuburbanTrails,326NLRB1250,1250fn.1(1998).................................................................86
SuccessVillageApartments,Inc.,347NLRB1065,1065(2006) ............................ 66,109,113
SuccessVillageApartments,Inc.,348NLRB579,579fn.4(2006) ........................................99
SumoAirlines,317NLRB383,383fn.1(1995)..........................................................................8
SunlandConstructionCo.,311NLRB685(1993).............................................................. 47,62
SunolValleyGolfCo.,305NLRB493,495(1991),supplementedby310
NLRB357,365,368fns.7and8(1993),enfd.48F.3d444(9thCir.1995) ..........................116
SunshinePiping,Inc.,351NLRB1371(2007).......................................................... 99,112,120
T.SteeleConstruction,Inc.,351NLRB1032fn.12(2007) ......................................................25
T.L.C.St.Petersburg,307NLRB605,605(1992),affd.mem.985F.2d579
(11thCir.1993) .....................................................................................................................101
TaskForceSecurity&Investigations,323NLRB674,674fn.2(1997)..................................29
TaylorBros.,Inc.,230NLRB861,861fn.1(1977) ...................................................................48
TaylorLumber&Treating,Inc.,326NLRB1298,1298fn.2(1998).........................................63
TeamClean,Inc.,348NLRB1231(2006) .................................................................................90
TeamstersLocal115(GrossMetalProducts),275NLRB1547(1985)...................................77
TeamstersLocal122(AugustA.Busch&Co.ofMassachusetts),334NLRB
1190,1193,and1255(2001) ...................................................................................... 10,53,97
TeamstersLocal27(CombinedContainairIndustries),209NLRB883,
883884(1974) .......................................................................................................................26
TeamstersLocal372(DetroitNewspapers),323NLRB278,280fn.4(1997) ........................77
TeamstersLocal705(PennsylvaniaTruckLines),314NLRB95(1994)........................ 89,110
TeamstersLocal722(KasperTrucking),314NLRB1016(1994),enfd.
mem.57F.3d1073(7thCir.1995).............................................................................. 11,14,15
TeamstersLocal776(PennsySupply),313NLRB1148,1154(1994) ....................................67
TeamstersLocal777(CrownMetal),145NLRB197(1963),enfd.340
F.2d905(7thCir.1964).................................................................................................... 15,41
TeamstersLocal917(PeerlessImporters),345NLRB1010,1011(2005)........................ 60,68
TechnologyServiceSolutions,332NLRB1096,1096andfn.3(2000) ..................................89
140
BOARDCASES
TejasElectricalServices,338NLRB416(2002) .............................................................. 99,121
TelDataCorp.,315NLRB364,366367(1994),enfd.inpart90F.3d1195
(6thCir.1996) .......................................................................................................................115
TerpeningTruckingCo.,271NLRB96,96fn.1(1984)............................................................34
TextileWorkersLocal229(MetzgerCo.),120NLRB1700,17001701(1958) .......................24
TheCarneyHospital,350NLRB627,630(2007) .....................................................................19
TheCourierJournal,342NLRB1148,11491150(2004) ........................................................79
ThermoidCo.,90NLRB614,614fn.2(1950)...........................................................................15
ThreeSistersSportswearCo.,312NLRB853(1993),enfd.mem.55
F.3d684(D.C.Cir.1995),cert.denied516U.S.1093(1996) ....................................... 103,119
TimFoleyPlumbingServices,337NLRB328,329(2001) ......................................................99
TimesHeraldRecord,334NLRB350,354(2001),enfd.27Fed.Appx.64
(2dCir.2001) ........................................................................................................................105
TodaysMan,263NLRB332(1982)......................................................................................7,73
TrinidadLogisticsCo.,7CA44621et.al.,ALJorderdatedJune4,2002,
2002WL1466281 ...................................................................................................................66
TriTechServices,15CA16707,datedJuly17,2003.............................................................60
TriWaySecurity,310NLRB1222,1223fn.5(1993)................................................................34
U.S.PrecisionLens,288NLRB505,505fn.3(1988)...............................................................68
U.S.SteelCorp.,280NLRB837(1986).....................................................................................49
UHaulofNevada,Inc.,345NLRB1301,1302(2005),enfd.490F.3d957
(D.C.Cir.2007) .......................................................................................................................23
UngaPaintingCorp.,237NLRB1306(1978) ............................................................... 83,84,85
UnionStarch&RefiningCo.,82NLRB495,496(1949) ............................................................5
UnitedChromeProducts,288NLRB1176,1176fn.1(1988) ..................................................83
UnitedElectricalContractorsAssn.,347NLRB1(2006) .................................................. 28,37
UnitedParcelService,304NLRB693(1991) ...........................................................................61
UnitedScrapMetal,Inc.,344NLRB467,467468andfn.5(2005) .......................................104
UnitedStatesServiceIndustries,324NLRB834,834(1997).................................................36
UnitedTechnologiesCorp.,310NLRB1126,1127fn.1(1993),enfd.mem.29
F.3d621(2dCir.1994) ................................................................................................. 109,111
University MedicalCenter,335NLRB1318,1318fn.1,1343(2001),enfd.inpart
335F.3d1079(D.C.Cir.2003).......................................................................................... 10,97
UrbanLaboratories,305NLRB987,987988(1991) ...............................................................78
USARemediationServices,Inc.,5CA31524,JD2006,2006WL691192
(March15,2006),adoptedintheabsenceofexceptionsMay16,2006) ........................... 49,52
ValentinePaintingandWallcovering,Inc.,331NLRB883,884(2000)...................................56
VallowFloorCoverings,Inc.,335NLRB20,2021(2001) ......................................................27
VanguardFire&SecuritySystems,345NLRB1016,1020(2005)..........................................94
VencareAncillaryServices,334NLRB965,968969(2001),enf.deniedon
otherground,352F.3d318(6thCir.2003)..............................................................................30
VencorHospitalLosAngeles,324NLRB,235fn.5(1997)....................................................109
VictorsCaf52,Inc.,338NLRB753,756757(2002) .............................................................14
W&MPropertiesofConnecticut,Inc.,348NLRB162(2006),enfd.514
F.3d1341(D.C.Cir.2008) ............................................................................................ 102,118
W.B.JonesLumberCo.,114NLRB415,415fn.1(1955),enfd.245F.2d388
(9thCir.1957) .........................................................................................................................89
WabashTransformerCorp.,215NLRB546,546fn.3(1974),enfd.509F.2d647
(8thCir.1975),cert.denied423U.S.827(1975) ..................................................................123
141
BOARDCASES
Waco,Inc.,273NLRB746,749fn.14(1984) ...................................................................... 10,88
WallaceInternationalofPuertoRico,328NLRB29,29(1999) ...............................................29
WalMartStores,Inc.,339NLRB64(2003) ............................................................................124
WalMartStores,Inc.,348NLRB833,834(2006).....................................................................63
WalshLumpkinWholesaleDrugCo.,129NLRB294(1960)........................................... 20,124
WatersEdge,293NLRB465,465fn.2(1989) .......................................................................125
WaterbedWorld,289NLRB808,809(1988) ............................................................................61
WatsonvilleRegisterPajaronian,327NLRB957,959fn.4(1999)..........................................88
WeatherShieldMfg.,292NLRB1,1fn.3(1988),enf.denied890F.2d52
(7thCir.1989) .........................................................................................................................13
WebbFurnitureEnterprises,272NLRB312,312(1984) .........................................................10
Webco,Inc.,340NLRB1,12,16(2003)....................................................................................78
WecoCleaningSpecialists,308NLRB310(1992)......................................................... 102,109
WellBredLoaf,303NLRB1016,1016fn.1(1991)...................................................................19
WellsFargoArmoredServiceCorp.,290NLRB872,873fn.3(1988) ....................................46
WellstreamCorp.,313NLRB698,711(1994) ........................................................................105
WestTexasUtilities,94NLRB1638,1639fn.3(1951),enfd.195F.2d519
(5thCir.1952) .......................................................................................................................104
WestsidePainting,Inc.,328NLRB796,796797(1999) ........................................................90
WhitesvilleMillServiceCo.,307NLRB937,945fn.6(1992) ..................................................99
WhitewoodMaintenanceCo.,292NLRB1159,1169fn.29(1989),
enfd.928F.2d1426(5thCir.1991).........................................................................................37
WilcoBusinessForms,280NLRB1336,1336fn.2(1986)..................................................7,10
WilliamhouseofCalifornia,Inc.,317NLRB699,699fn.1andJDfn.2(1995) .....................105
WinchellCo.,315NLRB526,532(1994),enfd.mem.74F.3d1227(3dCir.1995) ..................23
WinnDixieStores,224NLRB1418,1420(1976),enfd.inpart567F.2d1343
(5thCir.1978) .........................................................................................................................47
WisconsinBellTelephone,346NLRB62,64,fn.8(2005).......................................................29
WittekIndustries,313NLRB579,579(1993) ...........................................................................42
WoodworkersLocal3433(KimtrussCorp.),304NLRB1,2(1991) ......................................75
WoosterBrassCo.,80NLRB1633,1635(1948)......................................................................79
WorldwideDetectiveBureau,296NLRB148,148fn.2(1989) ................................................51
WrightLine,251NLRB1083(1980),enfd.662F.2d899(1stCir.1981),
cert.denied455U.S.989(1982)...........................................................................................114
YaohanU.S.A.Corp.,319NLRB424,424fn.2(1995),enfd.mem.121F.3d720
(9thCir.1997) .......................................................................................................................116
YMCAofthePikesPeakRegion,Inc.,291NLRB998,1010,1012(1988),
enfd.914F.2d1442,14491450(10thCir.1990),cert.denied500U.S.904(1991) ..............79
Zurn/N.E.P.C.O.,329NLRB484(1999) ............................................................................... 47,56
142
TABLEOFAUTHORITIES
FEDERALCASES
AdvocateSouthSuburbanHospitalv.NLRB,468F.3d1038(7thCir.2006) ........11,108,121
Akionav.U.S.,938F.2d158,160161(9thCir.1991)............................................................ 108
AmericanCleaningCo.,291NLRB399,399fn.1(1988)......................................................... 45
AmericanNewspaperPublishersAssn.v.NLRB,193F.2d782,800
(7thCir.1951),affd.345U.S.100(1953) ............................................................................... 18
AmericanStoresCo.v.C.I.R.,170F.3d1267,1270(10thCir.1999),cert.
denied528U.S.875(1999) .................................................................................................... 99
Askin,47F.3d100,102104(4thCir.1995),cert.denied,516U.S.944(1995) ..................... 105
AutoWorkersv.NLRB,392F.2d801,809(D.C.Cir.1967),cert.denied392
U.S.906(1968)....................................................................................................................... 48
Banksv.U.S.,81F.3d874,876(9thCir.1996)......................................................................... 78
BarrusConstructionCo.v.NLRB,483F.2d191,194195(4thCir.1973)............................. 46
BeairdPoulanDivisionv.NLRB,649F.2d589,597598(8thCir.1981)................................ 46
BPH&Co.v.NLRB,333F.3d213,222(D.C.Cir.2003)............................................................ 77
Canovav.NLRB,708F.2d1498,1503(9thCir.1983).............................................................. 55
CIRv.Schleier,515U.S.323(1995)......................................................................................... 78
ConcreteMaterialsofGeorgiav.NLRB,440F.2d61,68(5thCir.1971) ................................ 77
Conklinv.Warrington,476F.Supp.2d458,464(M.D.Pa.2007),affd.in
relevantpart304Fed.Appx.115(3dCir.2008)(unpublished) ............................................... 14
ConleyTruckingv.NLRB,520F.3d629(6thCir.2008),enfg.349NLRB308,
309313(2007)..................................................................................................................... 103
ConsolidatedEdisonCo.ofNewYorkv.NLRB,305U.S.197,218219(1938).................... 37
ContainairSystemsCorp.v.NLRB,521F.2d1166,1172(2dCir.1975) ................................ 77
ContinentalWindingCo.,305NLRB122,129(1991) .............................................................. 85
CurtissWrightCorp.v.NLRB,347F.2d61,72(3dCir.1965)................................................. 18
Dieboldv.CivilServiceCommissionofSt.LouisCounty,611F.2d697,
700701(1979)..................................................................................................................... 112
EEOCv.LutheranSocialServices,186F.3d959,960(D.C.Cir.1999) .................................. 57
Eldeco,Inc.v.NLRB,132F.3d1007,1010(4thCir.1997)....................................................... 12
Esmark,Inc.v.NLRB,887F.2d739,746fn.6(7thCir.1989).................................................. 26
F.J.BucknerCorp.v.NLRB,401F.2d910(9thCir.1968).................................................... 112
F.D.I.C.v.Elio,39F.3d1239,1248(1stCir.1994).................................................................. 112
FacetEnterprisesv.NLRB,907F.2d963,969975(10thCir.1990)....................................... 22
Farettav.California,422U.S.806,834fn.46(1975)............................................................... 12
Father&SonsLumberv.NLRB,931F.2d1093,10961097(6thCir.1991),
enfd.297NLRB437,437(1989)............................................................................................. 45
FieldcrestCannon,Inc.v.NLRB,97F.3d65,69(4thCir.1996) ............................................. 12
FinleyLinesJointProtectiveBoardUnit200v.NorfolkSouthernRy.,312F.3d
943,947(8thCir.2002) ........................................................................................................ 108
143
FEDERALCASES
FluorDaniel,Inc.v.NLRB,332F.3d961,972(6thCir.2003),cert.denied,
543U.S.1089(2005).............................................................................................................. 88
FlyingFoodGroup,Inc.v.NLRB,471F.3d178,183(D.C.Cir.2006)...................................... 25
FTCv.GlaxoSmithKline,202F.R.D.8(D.D.C.2001).............................................................. 57
GarmentWorkersILGWULocal415475(ArosaKnitting)v.NLRB,501F.2d
823,826,832833(D.C.Cir.1974) ........................................................................................ 77
Gedersv.U.S.,425U.S.80,8788(1976)................................................................................ 83
GeneralElectricCo.v.Joiner,522U.S.136(1997) .............................................................. 107
Gilsonv.Sirmons,520F.3d1196,1243(10thCir.2008) ....................................................... 106
GreatLakesScrewCorp.v.NLRB,409F.2d375(7thCir.1969) ...................................... 10,49
HalsteadMetalProductsv.NLRB,940F.2d66,7273(4thCir.1991) ................................. 119
HempsteadVideo,Inc.v.VillageofValleyStream,409F.3d127,132133
(2dCir.2005) .......................................................................................................................... 45
Hickmanv.Taylor,329U.S.495,511(1947) ........................................................................... 64
HoffmanPlasticsCompoundsv.NLRB,535U.S.137(2002)............................................... 114
Hyltonv.JohnDeereCo.,802F.2d1011,1015(8thCir.1986) ................................................ 24
J.C.PenneyCo.v.NLRB,384F.2d479,484(10thCir.1967)............................................... 119
Jencksv.U.S.,353U.S.657,662(1957).................................................................................. 66
Johnsonv.Morgenthau,160F.3d897,898(2dCir.1998) ...................................................... 99
KenrichPetrochemicalsv.NLRB,893F.2d1468,1483(3dCir.1990),cert.
denied498U.S.981(1990) .................................................................................................... 39
Koehlerv.DepartmentoftheAirForce,99M.S.P.R.82(2005) ............................................. 91
LadiesGarmentWorkers(McLoughlinMfg.)v.NLRB,463F.2d907,921923
(D.C.Cir.1972)....................................................................................................................... 27
LaSalleBankLakeViewv.Seguban,54F.3d387,389391(7thCir.1995) ......................... 112
Leev.Martinez,136N.M.166,168(2004).............................................................................. 107
Litekyv.U.S.,510U.S.540(1994) ...........................................................................9,13,14,15
LloydA.FryRoofingCo.v.NLRB,222F.2d938,940(1stCir.1955) ..................................... 20
Londonv.GrandviewBuildingAssoc.,183U.S.308,341(1902) ........................................ 113
LotusSuites,Inc.v.NLRB,32F.3d588,591592(D.C.Cir.1994) ......................................... 19
Ludlumv.DepartmentofJustice,87M.S.P.R.56,66fn.3(2000)........................................ 108
Lumanv.Tanzler,411F.2d164,167(5thCir.1969),cert.denied,396
U.S.929(1969)..................................................................................................................... 112
MachinistsLodge1424(BryanMfg.Co.)v.NLRB,362U.S.411,414429
(1960) ............................................................................................................................... 25,26
Martinv.Consultants&Administrators,Inc.,966F.2d1078,10901091
(7thCir.1992) ......................................................................................................................... 29
MatterofMaurice,73F.3d124,126(7thCir.1995)................................................................ 112
McKasklev.Wiggins,465U.S.168,183184(1984)............................................................... 12
MississippiValleyStructuralSteelCo.v.NLRB,145F.2d664,665667
(8thCir.1944) ......................................................................................................................... 42
Mullanev.CentralHanoverBank&TrustCo.,339U.S.306,314(1950)............................... 33
NLRBv.15thAvenueIronWorks,964F.2d1336,1337(2d.Cir.1992) .................................. 88
NLRBv.AmericanPotash&ChemicalCorp.,98F.2d488,492(9thCir.1939) ..................... 42
144
FEDERALCASES
NLRBv.AugustaBakeryCorp.,957F.2d1467(7thCir.1992) ....................................... 97,100
NLRBv.BakersofParis,Inc.,929F.2d1427(9thCir.1991)........................................ 116,125
NLRBv.BeverlyManorNursingHome,174F.3d13,35(1stCir.1999,enfg.
325NLRB598(1998) ............................................................................................................. 95
NLRBv.C.H.Sprague&Son,428F.2d938,942(1stCir.1970) ............................................ 68
NLRBv.CarolinaFoodProcessors,Inc.,81F.3d507,513514(4thCir.1996)..................... 58
NLRBv.ChampaLinenService,324F.2d28,30(10thCir.1963).......................................... 97
NLRBv.ContinentalHagenCorp.,932F.2d828,832833(9thCir.1991) ............................. 87
NLRBv.CookCountySchoolBus,Inc.,283F.3d888,893(7thCir.2002) .......................... 113
NLRBv.Coughlin,176LRRM3197,2005WL850964(S.Dist.Ill.2005)
(notreportedinF.Supp.2d) ................................................................................................... 57
NLRBv.DelRayTortilleria,Inc.,787F.2d1118,11211122(7thCir.1986),
enfg.272NLRB1106,1115fn.21(1984)............................................................................. 116
NLRBv.DetroitNewspapersAgency,185F.3d602,605(6thCir.1999) ............................... 60
NLRBv.DinionCoil,201F.2d484,491(2dCir.1952)....................................................... 19,21
NLRBv.DonnaLeeSportswear,836F.2d31(1stCir.1987).................................................. 30
NLRBv.DoralBuildingServices,666F.2d432,435(9thCir.1982)..................................... 125
NLRBv.DuquesneElectricCo.,518F.2d701,705(3dCir.1975)........................................ 122
NLRBv.EvansPlumbingCo.,639F.2d291,293(5thCir.1981) ............................................ 87
NLRBv.FantMillingCo.,360U.S.301(1959) ............................................................ 17,19,25
NLRBv.FirstTermiteControlCo.,646F.2d424(9thCir.1981)........................................... 101
NLRBv.Food&CommercialWorkersLocal23,484U.S.112(1987) ............................. 18,72
NLRBv.GisselPackingCo.,395U.S.575,608609(1969) ................................................. 114
NLRBv.GlacierPackingCo.,507F.2d415,416(9thCir.1974) ............................................. 43
NLRBv.Heyman,541F.2d796(9thCir.1976) ........................................................................ 30
NLRBv.HijosdeRicardoVela,Inc.,475F.2d58,61(1stCir.1973) ...................................... 43
NLRBv.HonakerMills,789F.2d262,265(4thCir.1986) ................................................. 11,14
NLRBv.ImperialHouseCondominium,831F.2d999,1003(11thCir.1987) ........................ 17
NLRBv.IntlMedicationSystems,640F.2d1110(9thCir.1981),denyingenf.
of244NLRB861(1979) ......................................................................................................... 68
NLRBv.J.H.RutterRexMfg.Co.,396U.S.258,264(1969).................................................. 28
NLRBv.KohlerCo.,220F.2d3,7(7thCir.1955) .................................................................... 17
NLRBv.LaborersLocal264,529F.2d778(8thCir.1976) ................................................ 17,36
NLRBv.LouisianaMfg.Co.,374F.2d696,704705(8thCir.1967) ....................................... 17
NLRBv.MidlandDailyNews,151F.3d472,474475(6thCir.1998)...................................... 57
NLRBv.OKeefe&MerrittMfg.Co.,178F.2d445,447(9thCir.1949)................................... 33
NLRBv.ONeill,965F.2d1522,15281529(9thCir.1992),cert.denied509
U.S.904(1993)....................................................................................................................... 37
NLRBv.OilWorkers(CatalyticMaintenance),476F.2d1031,1037(1stCir.1973) .............. 77
NLRBv.PiquaMunisingWoodProductsCo.,109F.2d552,557(6thCir.1940)................... 19
NLRBv.RaymondPearson,Inc.,243F.2d456,458(5thCir.1957) ....................................... 17
NLRBv.SouthBayDailyBreeze,415F.2d360,363365(9thCir.1969),cert.
denied397U.S.915(1970) .................................................................................................. 113
NLRBv.TexTan,Inc.,318F.2d472,483(5thCir.1963)....................................................... 103
NLRBv.UnitedSanitationService,737F.2d936,940941(11thCir.1984) .......................... 97
NorthAmericanRockwellCorp.v.NLRB,389F.2d866,871(10thCir.1968) ....................... 20
Opus3Ltd.v.HeritagePark,91F.3d625(4thCir.1996).................................................. 84,85
145
FEDERALCASES
Pansyv.BoroughofStroudsburg,23F.3d772,786789(3rd Cir.1994) ................................ 60
PaulE.IaconoStructuralEngineer,Inc.v.Humphrey,722F.2d435
(9thCir.1983) ......................................................................................................................... 45
Perryv.Leeke,488U.S.272,283284(1989).......................................................................... 83
Piercev.AtchisonTopeka&SantaFe,110F.3d431,444(7thCir.1997)............................ 111
PioneerHotel,Inc.v.NLRB,182F.3d939,943944(D.C.Cir.1999)........................................ 8
PioneerHotel,Inc.v.NLRB,182F.3d939,944945(D.C.Cir.1999),
enfg.inpart324NLRB918,918fn.1(1997) .......................................................................... 28
Querciav.U.S.,289U.S.466,469(1933)................................................................................... 9
RiverwoodsChappaquaCorp.v.MarineMidlandBank,30F.3d339,343
(2dCir.1994) ........................................................................................................................ 110
Robertsonv.Dept.ofTransportation,113M.S.P.R.16(2009)............................................... 91
Rosenbergv.U.S.,360U.S.367,370,(1959) ........................................................................ 123
SarkesTarzian,Inc.,157NLRB1193,1194fn.3(1966) .......................................................... 44
SmithWeikMachineryCorp.v.MurdockMachineCo.,423F.2d842,845
(5thCir.1970) ......................................................................................................................... 42
Sonicraft,Inc.v.NLRB,905F.2d146,148149(7thCir.1990),cert.denied,
498U.S.1024(1991).............................................................................................................. 28
Swidler&Berlinv.U.S.,524U.S.399(1998)........................................................................... 64
Torbitt&Castleman,Inc.,320NLRB907,910fn.6(1996),affd.onpoint,123
F.3d899,907(6thCir.1997) ................................................................................................ 108
TractionWholesaleCenterCo.v.NLRB,216F.3d92,105(D.C.Cir.2000),
enfd.328NLRB1058,10591060(1999)............................................................................. 107
Tramontev.FibreboardCorp.,947F.2d762,764(5thCir.1991) ......................................... 125
U.S.v.Burke,504U.S.229,242(1992).................................................................................... 78
U.S.v.ConstructionProductsResearch,Inc.,73F.3d464,473(2dCir.1996) ..................... 60
U.S.v.Cordoba,194F.3d1053(9thCir.1999)....................................................................... 108
U.S.v.Evans,113F.3d1457,14621467(7thCir.1997) ......................................................... 63
U.S.v.Filani,74F.3d378,386(2dCir.1996) ........................................................................... 11
U.S.v.GonzalezSoberal,109F.3d64(1stCir.1997).................................................... 9,11,15
U.S.v.Henderson,409F.3d1293,1303(11th Cir.2005),certdenied126S.Ct.
1331(2006)........................................................................................................................... 107
U.S.v.Jackson,60F.3d128,135(2dCir.1995),cert.denied516U.S.980,
1130,1165(1995and1996) ................................................................................................... 85
U.S.v.Janis,428U.S.433(1976)........................................................................................... 113
U.S.v.Logan,998F.2d1025,1029(D.C.Cir.1993),cert.denied510U.S.1000
(1993) ............................................................................................................................... 10,13
U.S.v.Magana,127F.3d1,5(1stCir.1997) ............................................................................ 83
U.S.v.Martinez,151F.3d384,390391(5thCir.1998),cert.denied525U.S.
1031and1085(1998and1999) ........................................................................................... 123
U.S.v.Mendoza,468F.3d1256,1262(10thCir.2006) ............................................................ 14
U.S.v.Norris,873F.2d1519,15251526(D.C.Cir.1989),cert.denied493
U.S.835(1989)....................................................................................................................... 11
U.S.v.Parks,100F.3d1300,1305andfn.2(7thCir.1996) ................................................... 105
U.S.v.Picciononna,885F.2d1529(11th Cir.1989) ............................................................... 107
U.S.v.Saenz,134F.3d697,702(5thCir.1998) ......................................................................... 9
146
FEDERALCASES
U.S.v.Sepulveda,15F.3d1161,11751176(1stCir.1993),cert.denied512
U.S.1223(1994)..................................................................................................................... 83
U.S.v.Tilghman,134F.3d414,416(D.C.Cir.1998) ............................................................... 11
U.S.v.UnitedShoeMachineryCorp.,89F.Supp.357,358359(D.Mass.1950) ................. 62
U.S.v.Warner,971F.2d1189,1197(6thCir.1992) ............................................................. 9,10
U.S.v.Williams,136F.3d1166,11681169(7thCir.1998) ..................................................... 85
U.S.v.Wilson,103F.3d1402,1406(8thCir.1997).................................................................. 86
U.S.v.Zolin,491U.S.554,571(1989) ..................................................................................... 60
UnitedStatesv.White,589F.2d.1283,1286(5thCir.1979) ................................................. 112
UpjohnCorp.v.U.S.,449U.S.383,389390(1981)................................................................ 62
Vacav.Sipes,386U.S.171,182(1967) ................................................................................... 18
VioxxProductsLiabilityLitigation,501F.Supp.2d789(E.D.La.2007) ......................... 62,63
W&MPropertiesofConnecticut,Inc.v.NLRB,514F.3d1341(D.C.Cir.2008),
affg.348NLRB162(2006) ................................................................................................... 114
WallaceCorp.v.NLRB,323U.S.248,253254(1944)............................................................ 71
WaterburyHotelManagementv.NLRB,314F.3d645,650651(D.C.Cir.2003)............. 13,15
WeisMarkets,Inc.v.NLRB,265F.3d239,245246(4thCir.2001)........................................ 85
WoodworkersLocal3433(KimtrussCorp.),304NLRB1,2(1991)...................................... 77
WrightElectric,Inc.v.NLRB,200F.3d.1162,1167(8thCir.2000)........................................ 66
ZenithRadiov.HazeltineResearch,401U.S.321,342348(1971) ....................................... 78
147
INDEX
A
absenceofdiscriminateeattrial
violationmaystillbefound......................47
absenceofrespondent'scounsel
trialmayproceedanddecision
written.....................................................46
administrativelawjudge
authoritytoadmonishorreprimand ........50
correctionoftranscript .............................89
decisions
benchdecisions.....................................95
bindingonlywhensubjectof
exceptionspassedonbyBoard........88
requiredtofollowBoardprecedent......88
designation ..................................................6
disqualification ....................................1215
duties......................................................810
expartecommunications
basicprohibition ......................................6
exceptionstoprohibition ....................67
remedialactionrequired .........................7
admissions
byattorney...............................................109
byemployerin8(b)(2)case ....................109
bysupervisor...........................................109
documentsinpersonnelfile ...................109
informalpapers ......................................111
insettlementdiscussions,for
purposeotherthanliability .................109
ADR................................................................73
adverseinference
fordestructionofevidence.............108,109
forfailureofwitnesssubpoenaed
byanadversepartytoappear
andtestify...............................................67
forfailuretocallfavorablewitness ........108
forfailuretoproducesubpoenaed
documents............................................108
forinvoking5thAmendment
privilege................................................112
notforfailingtocallBoardagent...........116
notforfailingtoproducelostor
misplaceddocuments ...........................68
affidavits
affidavitofformermanager ....................113
affidavitofnontestifyingwitness ...........103
affidavitofrecantingwitness .................103
149
affidavitofunavailablewitness ..............103
affidavittranslation.................................125
affidavitsingeneral.................................102
affirmativedefenses
generally.....................................................25
mustbepled ..............................................25
otherdefenses.....................................2831
Section10(b)........................................2528
afteracquiredevidenceadmissible...........115
AlternativeDisputeResolution(ADR) .........73
amendmentstocomplaint
whomayseekandgrant
amendments.....................................19,20
answertocomplaint
allegationsdeemedtrueiftimely
answernotfiled......................................24
amendments ..............................................24
motionforsummaryordefault
judgment.................................................24
service........................................................37
timeforfiling..............................................24
withdrawnanswer.....................................24
attorneyaswitness...............................46,116
attorneymisconduct ...............................4953
attorneyclientprivilege..........................57,62
appliestoinformationrevealing
attorneyslegaladvice,or
informationgiventoattorney
forlegaladvice.......................................62
bargainingnotesnotprotected
unlessintermingledwith
privilegedcommunications...........63,103
corporaterecordscannotbeswept
withintheprivilegesimplyby
givingthemtoattorney.........................63
counselinganunfairlaborpractice
exceptiontoattorneyclient
privilege ..................................................62
counselinganunfairlabor
practice,notatortorcrime
exceptiontoattorneyclient
privilege ..........................................63,112
privilegesurvivesdeathofclient .............64
privilegedattorneyworkproduct,
fullyprotected ........................................63
waiverofprivilegeifthirdparty
present....................................................63
INDEX
attorney'sadmissions ................................109
auditoryequipmentnotprovided
attrial .........................................................87
B
backgroundevidenceadmissible
toshowmotive ..........................................98
backpay,whentaxable .................................78
bankruptcy,Boardjurisdiction ....................87
bargainingnotes .........................................103
benchdecision........................................9596
billofparticulars ...........................................20
bindingprecedent,Boarddecisions........9,88
exceptwhennoexceptiontaken
torelevantportionofjudges
decision ..................................................88
priorfindingsofanotherjudge.................88
useofpriorrecord.....................................89
Boardagents
notpermittedtotestifywithout
writtenconsentofBoardor
GeneralCounsel ............................65,116
Boardfiles
exceptionforFOIA(Freedomof
InformationAct)materialinfiles...........65
noproductionoffileswithout
writtenconsentofBoardor
GeneralCounsel ....................................65
briefs
copyingfrom,notpermitted .....................15
extensionoftimeforfiling ..........................4
partiesinformedwheretofile...................93
whenfiled.....................................................4
C
charge
service........................................................36
charge
filedbyanypersonorentity .....................17
RegionalDirectorsdismissal
maybeappealedtoGeneral
Counsel..................................................18
service........................................................36
sufficiencyofcharge.................................17
withdrawalonlywithconsentof
RegionalDirectorpretrialandonly
withjudge,aspartofwithdrawal
ofcomplaintallegations,after
evidenceintroducedattrial...................18
150
chargingparty
misconductofchargingparty
asdefense ..............................................28
norighttoamendcomplaint.....................47
righttoappealtoBoardin
complianceproceeding .........................47
righttofullyparticipateintrial .................47
righttointroduceevidencefor
remedynotsoughtbyGeneral
Counsel,unlesscontraryto
GeneralCounselscomplaint
theory......................................................47
righttopretrialaffidavits..........................46
shouldbeofferedopportunityto
questionwitness....................................46
chargingpartydiscriminatee
treatedasadversewitness .....................118
closelyrelatedcharge.............................19,21
closingstatementbyjudgeattrial.................3
competencyofwitnesses
Federallawapplies..................................115
complaint
adequacy....................................................18
amendments ..............................................19
amendments ..............................................20
amendments ..............................................21
billofparticulars........................................20
chargingparty,norighttoamend............47
closelyrelatedtotimelycharge .........19,20
GeneralCounsel'ssolediscretion
toissue ...................................................18
service........................................................37
unpleadedissuefullylitigated..................21
complianceproceeding
chargingpartymayappealto
Board ......................................................47
GeneralCounselwithoutfinal
authority .................................................47
proceduralrules ........................................92
confidentialinformation.............................112
consolidationofcases
beforeandduringtrial...............................22
forlitigatingallknownissues
inonecase .............................................23
whencasesevered,trialwith
latercase ................................................23
continuances...........................................4144
continuingviolations ....................................26
correctionoftranscript.................................89
INDEX
criminalconvictionsofwitness
becausenotcriminalcase,no
warningtowitnessrequired
beforeselfincrimination .....................120
whenevidenceoncross
examinationadmissible.......................120
witnesscredibilitystillweighed ............120
crossexamination
beyondthescopeofdirect
examination,usuallypermitted...........119
criminalconvictions,because
notcriminalcase,nowarning
towitnessrequiredbeforeself
incrimination ........................................112
impeachmentevidenceadmissible
exceptoncollateralmatter..................119
namesofunionsupportersnot
obtainable.............................................119
D
defactoamendmenttocomplaint
whenfullylitigated ....................................21
DeadMan'sstatutes
evidenceattributedtodeceased
personsadmissible,butsubject
toclosestscrutiny ...............................104
evidenceinadmissibleinState
court......................................................104
defaultjudgment .....................................24,89
deferraltoarbitration
whenrequiredincontract.........................29
depositions,notpermittedexcept
whennecessarytopreserve
testimonyofonesownwitness...............39
discoverynotpermitted................................39
disqualificationofjudge .........................1215
documentinpersonnelfile
generallyadmissible,but
inadmissibleifpreparedfor
"litigationpotential".....................110,111
E
efiling ............................................................94
enforcementofsubpoena
indistrictcourtinnameofBoard............69
errata,issuedbyjudge .................................10
151
evidenceaffectingremedyfor
applicantsdeniedemployment
Board'sFESdecision ..............................114
evidence
instatementofapplicants ....................114
evidenceaffectingremedyfor
illegalaliens/undocumented
workersdeterminationof
backpayandreinstatement
lefttocompliance ....................................114
evidenceimproperlyobtained
notadmissibleifGovernment
agentinvolvedinseizure.....................113
stolendocumentsadmissible.................113
basicprohibition..........................................6
exceptionstoprohibition ............................6
remedialactionrequired .............................7
examinationofwitnesses
directexaminationbeforecross
examination ..........................................117
leadingquestionsondirect
shouldbediscouraged........................117
pastrecollectionrecorded,
whennopresentrecollection..............119
refreshingwitnessrecollection,
aftermemoryisexhausted..................118
Section611(c)witness,leading
questionsnotwaived...........................118
whenrespondentmanageris
questionsnotpermittedon
crossexaminationbyrespondent ......118
exclusionofwitnessesfromcourtroom
Seeseparationofwitnessesorder.............5
exculpatorymaterialinGeneral
Counsel'sfiles
noobligationtoproduce.........................121
exhibitssubmittedinduplicate....................11
expediteddecisioninlieuof
benchdecisionadvantages......................94
expertwitnesstestimony
disregardedifbasedon
flawedpremises ...................................107
priornoticetoopponent .........................107
F
failuretoproducesubpoenaed
documents,appropriatechoices
forjudge.....................................................67
INDEX
Federalmediator
subpoenatocompelattendance
ortestimonymustbequashed ...........112
FederalRulesofEvidence
applied"sofaraspracticable" .................97
FifthAmendmentprivilege
witnessnotrequiredtotestify
withoutgrantofimmunity ...................112
FOIA(FreedomofInformationAct).............65
formalpapersinGeneralCounsel
Exhibit1
admissioninpositionletterattached
todocumentinfileadmissible ............111
documentadmissibleonlywhenan
admission .............................................111
formerBoardemployeeascounsel.............12
fraudulentconcealment
threeelementsrequired ......................27,28
FreedomofInformationAct(FOIA).............65
fullylitigatedunpleadedissue .....................21
G
GeneralCounsel
maywithdrawordismisscharge
beforeevidenceintroduced
attrial......................................................18
nofinalauthorityincompliance
proceeding .............................................47
solediscretiontoissuecomplaint ...........18
grantofimmunity........................................113
I
impeachmentofwitness,evidence
admissibleexceptoncollateral
matter .......................................................119
incamerainspections...........................60,123
interferencewithsubpoena
compliancecountingattendance
attrialagainstattendancerecord.............68
discouragingemployeeto
appearattrial .........................................68
discouragingemployeeto
speaktoBoardagent.............................68
statingorimplyingsubpoena
isvoluntary.............................................68
interlocutoryappealsfrom
judgesrulings ............................................89
interpreters
accuracyoftranslation,official
interpretersversiongoverns..............116
ifallegedthreatsmadein
English,witnessshould
beabletorecountinEnglish ..............116
judgesauthoritytorequire
Agencytofurnishinterpreters............117
interventionattrial..................................11,48
investigationbyGeneralCounsel
notlitigable ................................................29
issuepreclusion,referringto
resjudicataandcollateral
estoppel......................................................29
handwritingauthentication........................107
hearings
Seetrials ....................................................11
hearsay
admissibilityif"rationally
probative,"with"slightest
amount"ofcorroboration....................101
exceptionstohearsayrule .....................102
judgeshouldexerciseinformed
cautionbeforereceiving
hearsay,relyingonreliability,
necessity,probativevalue,
andcorroborationbyother
evidence .......................................101,102
twiceremovedhearsay,
heldunreliable......................................101
152
Jencksstatement..........................................66
chargingpartyentitledoncross
examinationtouseaffidavitof
respondentwitness .............................122
definitionofJencksrule ...................66,122
GeneralCounselspolicy,on
request,tofurnishJencks
statementtochargingparty ................122
Jencksrulenotwaivedwhen
copyofaffidavitgiventounion..........122
judgemaypermitcopyingof
Jencksaffidavit ....................................124
noproductionofaffidavitofalleged
discriminateerequiredwhencalled
byrespondent,afternodamaging
testimonygiven....................................122
INDEX
noproductionofBoardagents
unadoptednotesofconversation
withwitness.........................................123
noproductionofchargingpartys
affidavitwhencalledbyrespondent
beforecalledbyGeneralCounsel.......122
norequirementtoproduce
affidavitsfromothercases
regardingmattersaboutwhich
witnesshasnottestified.....................121
notproduciblebysubpoena.....................66
originofJencksrule .................................66
signedletterrelatingtodirect
examinationproducible.......................123
sufficienttimetostudyrequired ............124
taperecordingofpersonapplying
forjob,notaJencksstatement..........106
timeforproduction..................................123
whendisputeovercontentof
affidavit,judgemustinspect
statementincamera ............................121
whenportionofaffidavitread
intoevidence,entireaffidavit
admissible ............................................118
judge
designation ..................................................6
disqualification ....................................1215
duties............................................................8
basicprohibition ......................................6
exceptionstoprohibition ........................6
remedialactionrequired .........................7
mayprohibitcounselfrom
conferringwithwitness .........................83
judgesrulings,interlocutoryappeals..........89
judicialnotice ................................................99
L
laches,generallynotapplicable ..................28
leadingquestionsshouldbe
discouragedondirect .............................117
litigationcosts,whenawarded ....................53
M
marketquotationsanddirectories,
ahearsayexception ................................104
mediatortestimony ...............................66,112
misconductofchargingparty
mayaffectfindingsofviolations ..............28
153
mayrequirewithholdingof
bargainingorder ....................................28
mustbeheardifanaffirmatively
pleadedcase ..........................................28
ordinarilynotadefensetoalleged
violations ................................................28
motionfordefaultorsummary
judgment ..............................................24,89
motiontodismiss,standardto
follow..........................................................89
motiontoreopenrecordfornewly
discoveredevidence .................................92
N
newlydiscoveredevidence ..........................92
newspaperreports,whether
admissible................................................104
nonadmissionclauseinsettle
mentagreementacceptable,
butnotincludedinposted
notice..........................................................77
nonBoardsettlements ......... 73,74,77,78,79
noncompliancewithsettlement
agreement,consequences..................27,79
O
oaths
administrationofoath .................................5
interpretersoath .........................................6
witnessoath
oraffirmation............................................5
objectivetestofcoercion
subjectiveunderstanding
ofsupervisor'sstatement,
normallyinadmissible.........................113
offerofreinstatementadmissible ..............114
offersofproof
usuallymadeinnarrativeform...............100
whenjudgesustainsobjection
toquestion...........................................100
whenmadeoncrossexamination.........100
whenobjectiontooffered
evidenceiswaived...............................101
whenQandAofferpermitted.................100
officialnotice
certainofficialdocuments ........................99
NLRBdecisions .........................................99
openingandclosingstatements
byjudgeattrial............................................3
INDEX
openingtrialbytelephoneormail ...............90
opiniontestimony .......................................106
oralargument..........................................11,93
P
parolevidence
admissibletoresolveambiguities
ortoascertaincorrect
interpretation........................................113
inadmissibletovaryorcontradict
termsofagreement..............................113
parties
ininterest ...................................................49
misconduct,reprimand,
suspension....................... 9,13,28,4953
necessary...................................................48
representation.....................................45,46
unrepresented .....................................11,45
pastrecollectionrecorded .........................119
polygraphs
whetherresultsadmissible.....................107
positionofpartiesmaybe
requestedduringtrial................................93
positionstatementbyattorney
admissible........................................104,109
positionstatements ......................................65
postelectionproceeding
counselforGeneralCounselin
complaintcase .......................................46
samecounselasRegional
Directorsrepresentative
inrepresentationcase ...........................46
presettlementconductshowing
unionanimus .............................................98
pretrialandtrialbriefs ..................................93
privileges
attorneyclient.............................. 62,63,112
Boardagents .............................................65
burdenofproof..........................................59
FifthAmendment,immunity ...................112
incamerareview........................................60
privilegelog/index .....................................59
reporters ...................................................65
waiver ...................................................63,65
workproduct......................................64,112
R
rebuttaltestimony .......................................125
154
refreshingrecollection,after
memoryisexhausted ..............................118
relitigationofissuesattrialorin
complianceproceedings...........................29
remands,limitedissues................................91
remedy
chargingpartysrighttointroduce
evidenceforremedynotsought
byGeneralCounsel,unless
contrarytoGeneralCounsels
theory......................................................47
reopenrecordfornewlydiscovered
evidence.....................................................92
replybriefsindiscretionofjudge ................94
resjudicata..............................................29,30
revivalofwithdrawnordismissed
chargenotpermittedunless
1)fraudulentconcealment ........................27
2)noncompliancewithSettlement
Agreement ..............................................27
3)closelyrelatedtocurrentcomplaint ....28
rulesofevidence...........................................11
S
Section10(b)affirmativedefense
chargenotfiledandservedin
6months...........................................17,25
computationof10(b)period .....................25
nobartoreinstatingchargeafter
fraudulentconcealment,three
elementsrequired ..................................27
nobartoreinstatingchargeafter
noncompliancewithsettlement
agreement.........................................27,79
nobartoreinstatingchargewhile
timelyappealofdismissalpending
beforeGeneralCounsel.........................18
nobarwhenamendedcomplaint
closelyrelatedtotimelycharge............21
Section10(b)notjurisdictional
maybewaived........................................25
withdrawnordismissedcharge
notrevivableafter6months,
exceptions ........................................2728
Section611(c)witness
leadingquestionsnotwaived.................118
whenrespondentmanageris
questionsnotpermittedoncross
examinationbyrespondent.................118
INDEX
Section8(g)notice........................................30
selfincrimination
becausenotcriminalcase,no
warningtowitnessrequired................112
separationofwitnessesorder
exceptions.............................. 4,5,83,84,86
modelorder..................................................4
requestsfororder.................. 4,5,83,84,86
scopeoforder ....................... 4,5,83,84,86
violations.............................................8586
sequestration
Seeseparationofwitnesses
order ...................................................4,84
serviceofchargerequiredonly
onrespondent,notonuncharged
partytoanallegedunlawful
contract ......................................................36
serviceofdocuments .............................3338
settlementagreement
afterdeferraltogrievanceprocedure ......79
evidencepreservedforlatertrial
inscopeofagreementclause ...............98
setasideafternoncomplianceor
newviolation ....................................27,79
settlementapproval
afterjudgesdecision................................73
afterrecordopensandtestimony
taken .......................................................73
beforerecordopensandtestimony
taken .......................................................72
settlementbackpay,whentaxable...............78
settlementbarrule
appliedtoissuesdisposedofin
priorBoardsettlement,exceptions ......77
notappliedtoissuesinpriornon
Boardsettlement....................................77
rulewaivedifnotraisedinpleading
orattrial .................................................31
settlementdiscussions
admissibleforotherpurpose .................110
inadmissibletoproveliability.................110
settlementefforts
effortsaftertrial.........................................72
effortsattrial .........................................3,72
initialcontactwithpartiesoften
helpfultofreelydiscussfacts
andtheoriespartiesplantorelyon......71
settlementjudge.....................................80,81
settlementliabilityextinguishedforonly
settlingrespondent,notfornonsettling
respondents...............................................78
155
settlementreleaseofallemployee
claimspermissible,unlessfiling
offuturechargesprohibited .....................78
settlementsapprovedorrejected
considerations .....................................7576
formalsettlements.....................................74
informalsettlements..................................74
nonBoardsettlements..............................74
provisionsofsettlement ...........................77
settlementbyconsentorder,
issuedinverylimited
circumstances........................................75
severanceofcases
beforeandduringtrial...............................22
whenappropriate.......................................23
whenseveredcasemaybetried
withlatercase ........................................23
Stateconfidentialityrulesregarding
subpoenashonored ..................................66
Stateunemploymentdecisions,
admissiblebutnotconclusive..................99
stipulation
offactstothejudgefordecision
withouttrial............................................91
ofrecordtotheBoardandwaiver
oftrial......................................................91
ofundisputedfacts...................................91
subpoenas.......................................5569,121
burdensomeness.......................................58
compliance...........................................6769
electronicallystoredinformation.............58
feesandmileage........................................56
incamerainspection .................................60
notoverbroad ............................................58
notvague ...................................................58
privilegedmaterial.........................59,6265
protectiveorders .......................................60
relevancy....................................................58
revocation ............................................5657
service........................................................38
summariesofevidence...............................111
summaryjudgment .................................24,89
surrebuttaltestimony.................................125
T
taperecorder,whetherpermittedin
courtroom ..................................................87
taperecordings
audioandvideorecordingsmadein
secret ................................................1056
whenobtainablebysubpoena................106
INDEX
tautrecord
avoidingneedlessandcumulative
evidence .................................................97
televisioncamerasnotpermitted
incourtroom ..............................................87
televisioninterviews,whether
admissible................................................104
testimonybyBoardagents
Boardagentsnotpermittedto
testifywithoutwrittenconsent
ofBoardorGeneralCounsel ................65
testimonybytelephone
disapproved,exceptwhen
judgeandallpartiesagree .......................90
testimonybyvideo........................................90
transcriptcorrections ...................................89
translationofaffidavit.................................125
translators
Seeinterpreters .......................................116
trialattorneyaswitness .......................46,116
trialbriefs ......................................................93
trialwaivedbystipulation............................91
trials
briefs ..........................................................11
intervention..........................................11,48
openingbytelephone...............................90
postponements
byjudge..................................................41
byRegionalDirector ..............................41
publicnature..............................................11
rightsofparties ...................................4648
rulesofevidence .................................11,97
scheduledtocontinueon
consecutivedays ...................................41
timeandplace .....................................4144
U
unconditionalofferofreinstatement
admissible................................................114
156
undocumentedworkers/illegalaliens
determinationofbackpayand
reinstatementlefttocompliance ........115
employeesundertheAct ........................114
evidenceofdiscrimination
andpriorawarenessof
undocumentedstatus
admissible ............................................114
evidenceofillegalstatus
inadmissible .........................................114
unionanimus
Section8(c)statements ............................98
shownbypresettlementconduct .............98
unionsupporters
namesnotobtainableoncross
examination ..........................................119
unrepresentedparties
mustcomplywithrules.............................11
noauthoritytobeprovided
counsel .............................................11,45
norighttoreceivepersonal
instructionduringtrial...........................11
V
videotestimonyordeposition
Seetestimonybyvideo.............................90
W
waiverofattorneyclientprivilege................63
waiveroftrialbystipulation .........................91
waiverofworkproductprivilege.................65
witnessconferringwithcounsel..................83
witnessstatements
SeeJencksstatements,above ...............121
workproductprivilege..................................64

Bench Book: Division of Judges

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