AUTHORITY: §§ 203.1 to 203.97, inclusive, issued under sec. 6, 49 Stat. 452, Pub. Law 101, 80th Cong.; 29 U. S. C. 156.

SOURCE: $§ 203.1 to 203.97, inclusive, contained in Regulations, Chairman, National Labor Relations Board, Aug. 19, 1947, effective Aug. 22, 1947, 12 F.R. 5657.

Subpart A-Definitions

§ 203.1 Terms defined in section 2 of the act. The terms "person," "employer," "employee," "representative," "labor organization," "commerce," "affecting commerce," and "unfair labor practice," as used herein, shall have the meanings set forth in section 2 of the National Labor Relations Act, as amended by Title I of the Labor Management Relations Act, 1947.

§ 203.2 Act, Board, Board Agent. The term "act" as used herein shall mean the National Labor Relations Act, as amended. The term "Board" shall mean the National Labor Relations Board, and shall include any group of three or more members designated pursuant to section 3 (b) of the act. The term "Board agent" shall mean any member, agent or agency of the Board, including its General Counsel.

§ 203.3 General Counsel. The term "General Counsel" as used herein shall mean the General Counsel under section 3 (d) of the act.

§ 203.4 Region. The term "region" as used herein shall mean that part of the United States or any Territory thereof fixed by the Board as a particular region.

§ 203.5 Regional Director, Regional Attorney. The term "Regional Director" as used herein shall mean the agent designated by the Board as Regional Director for a particular region. The term "Regional Attorney" as used herein shall mean the attorney designated by the Board as Regional Attorney for a particular region.

§ 203.6 Trial examiner, hearing officer. The term "trial examiner" as used herein shall mean the agent of the Board conducting the hearing in an unfair labor practice or Telegraph Merger Act proceeding. The term "hearing officer" as used herein shall mean the agent of the Board conducting the hearing in a proceeding under section 9 or in a dispute proceeding under section 10 (k) of the act.

§ 203.7 State. The term "State" as used herein shall include the District of Columbia and all States, Territories, and possessions of the United States.

§ 203.8 Party. The term “party” as used herein shall mean the Regional Director in whose region the proceeding is pending, and any person named or admitted as a party, or properly seeking and entitled as of right to be admitted as a party, in any Board proceeding, including, without limitation, any person filing a charge or petition under the act. any person named as respondent, as employer, or as party to a contract in any proceeding under the act, and any labor organization alleged to be dominated, assisted, or supported in violation of section 8 (a) (1) or 8 (a) (2) of the act; but nothing herein shall be construed to prevent the Board or its designated agent from limiting any party to participate in the proceedings to the extent of his interest only.

Subpart B-Procedure Under Section 10 (a) to (i) of the Act for the Prevention of Unfair Labor Practices

CHARGE

§ 203.9 Who may file; withdrawal and dismissal. A charge that any person has engaged in or is engaging in any unfair labor practice affecting commerce may be made by any person. Any such charge may be withdrawn, prior to the hearing, only with the consent of the Regional Director with whom such charge was filed; at the hearing and until the case has been transferred to the Board pursuant to § 203.45, upon motion, with the consent of the Trial Examiner designated to conduct the hearing; and after the case has been transferred to the Board pursuant to § 203.45, upon motion, with the consent of the Board. Upon withdrawal of any charge, any complaint based thereon shall be dismissed by the Regional Director issuing the complaint, the Trial Examiner designated to conduct the hearing, or the Board.

§ 203.10 Where to file. Except as provided in § 203.33, such charge shall be filed with the Regional Director for the Region in which the alleged unfair labor practice has occurred or is occurring. A charge alleging that an unfair labor practice has occurred or is occurring in two or more Regions may be filed with the Regional Director for any of such Regions.

§ 203.11 Form; jurat. Such charge shall be in writing, the original being signed and sworn to before any notary public, Board agent, or other person duly authorized by law to administer oaths and take acknowledgments. Four additional copies of such charge shall be filed.2

§ 203.12 Contents. Such charge shall contain the following:

(a) The full name and address of the person making the charge.

(b) If the charge is filed by a labor organization, the full name and address of any national or international labor organization of which it is an affiliate or constituent unit.

(c) The full name and address of the person against whom the charge is made (hereinafter referred to as the "respondent").

(d) A clear and concise statement of the facts constituting the alleged unfair labor practices affecting commerce.

(e) If the charge is filed by a labor organization, a statement whether it and any national or international labor organization, of which it is an affiliate or constituent unit, has complied with section 9 (f), (g), and (h) of the act.

(f) If the charge is filed by a labor organization and if it alleges that it is in compliance with the provisions of section 9 (f) and (g) of the act, the number and expiration date of the letter of compliance issued by the Secretary of Labor pursuant to the regulations of the Department of Labor.

§ 203.13 Compliance with section 9 (f), (g), and (h) of the act. (a) For the purpose of these Rules and Regulations, compliance with section 9 (f) and (g) of the act means (1) that the labor organization has a letter of compliance issued by the Secretary of Labor pursuant to the rules of the Department of Labor; and (2) that there is on file with the Regional Director, either as part of the charge or otherwise, a statement by an authorized representative of the labor organization under oath, that it has such letter, and giving the number and expiration date thereof.

(b) For the purpose of these rules and regulations, compliance with section 9 (h) of the act means that a national and

2 A blank form for making a charge will be supplied by the Regional Director upon request.

an international labor organization has on file with the General Counsel in Washington, D. C., and a local labor organization has on file with the Regional Director in the region in which the proceeding is pending:

(1) An affidavit by an authorized representative of the labor organization, under oath, executed contemporaneously with the charge or within the preceding 12-month period, listing the titles of all offices of the organization and stating the names of the incumbents, if any, in each such office and the date of expiration of each incumbent's term.

(2) An affidavit by each officer referred to in subparagraph (1) of this paragraph, executed contemporaneously with the charge or within the preceding 12-month period, stating that he is not a member of the Communist party or affiliated with such party, and that he does not believe in, and is not a member of or supports any organization that believes in or teaches, the overthrow of the United States Government by force or by any illegal or unconstitutional methods.

§ 203.14 Service of charge. Upon the filing of a charge, the charging party shall be responsible for the timely and proper service of a copy thereof upon the person against whom such charge is made. The Regional Director will as a matter of course, cause a copy of such charge to be served upon the person against whom the charge is made, but he shall not be deemed to assume responsibility for such service.

COMPLAINT

§ 203.15 When and by whom issued; contents; service. After a charge has been filed, if it appears to the Regional Director that formal proceedings in respect thereto should be instituted, he shall issue and cause to be served upon all the other parties a formal complaint in the name of the Board stating the charges and containing a notice of hearing before a trial examiner at a place therein fixed and at a time not less than 10 days after the service of the complaint.

§ 203.16 Hearing; extension. Upon his own motion or upon proper cause shown by any other party, the Regional Director issuing the complaint may extend the date of such hearing.

§ 203.17 Amendment. Any such complaint may be amended upon such terms

as may be deemed just, prior to the hearing, by the Regional Director issuing the complaint; at the hearing and until the case has been transferred to the Board pursuant to § 203.45, upon motion, by the trial examiner designated to conduct the hearing; and after the case has been transferred to the Board pursuant to § 203.45, at any time prior to the issuance of an order based thereon, upon motion, by the Board.

§ 203.18 Withdrawal. Any such complaint may be withdrawn before the hearing by the Regional Director on his own motion.

§ 203.19 Review by the General Counsel of refusal to issue. If, after the charge has been filed, the Regional Director declines to issue a complaint, he shall so advise the parties in writing, accompanied by a simple statement of the procedural or other grounds. The person making the charge may obtain a review of such action by filing a request therefor with the General Counsel in Washington, D. C., and filing a copy of the reques with the Regional Director, within 10 days from the service of the notice of such refusal by the Regional Director. The request shall contain a complete statement setting forth the facts and reasons upon which the request is based.

ANSWER

§ 203.20 Answer to complaint; time for filing; contents; allegations not denied deemed admitted. The respondent shall, within 10 days from the service of the complaint, file an answer thereto. Such answer shall contain a short and simple statement of the facts which constitute the grounds of defense. The respondent shall specifically admit, deny, or explain each of the facts alleged in the complaint, unless the respondent is without knowledge, in which case the respondent shall so state, such statement operating as a denial. All allegations in the complaint, if no answer is filed, or any allegation in the complaint not specifically denied or explained in an answer filed, unless the respondent shall state in the answer that he is without knowledge, shall be deemed to be admitted to be true and may be so found by the Board.

§ 203.21 Where to file; service upon the parties; form; jurat. An original and four copies of the answer shall be filed with the Regional Director issuing the complaint. Immediately upon the

filing of his answer, respondent shall serve a copy thereof on each of the other parties. The answer shall be in writing, the original being signed and sworn to by the respondent or by a duly authorized agent with appropriate power of attorney affirmed, and shall contain the postoffice address of the respondent.

§ 203.22 Extension of time for filing. Upon his own motion or upon proper cause shown by any other party the Regional Director issuing the complaint may by written order extend the time within which the answer shall be filed.

§ 203.23 Amendment. The respondent may amend his answer at any time prior to the hearing. During the hearing or subsequent thereto, he may amend his answer in any case where the complaint has been amended, within such period as may be fixed by the trial examiner or the Board. Whether or not the complaint has been amended, the answer may, in the discretion of the trial examiner or the Board, upon motion, be amended upon such terms and within such periods as may be fixed by the trial examiner or the Board.

MOTIONS

§ 203.24 Motion; where to file prior to hearing and during hearing; contents; service on other parties. All motions made prior to the hearing shall be filed in writing with the Regional Director issuing the complaint, and shall briefly state the order or relief applied for and the grounds for such motion. The moving party shall file an orignial and four copies of all such motions and immediately serve a copy thereof upon each of the other parties. All motions made at the hearing shall be made in writing to the Trial Examiner or stated orally on the record.

§ 203.25 Ruling on motions; where to file motions after hearing and before transfer of case to Board. The trial examiner designated to conduct the hearing shall rule upon all motions (except as provided in §§ 203.16, 203.22, 203.29, and 203.47). The trial examiner may, before the hearing, rule on motions filed prior to the hearing, and shall cause copies of his ruling to be served upon all the parties. All motions filed subsequent to the hearing, but before the transfer of the case to the Board pursuant to § 203.45, shall be filed with the trial examiner, care of the Chief Trial Examiner, in Washington, D. C., and a copy

thereof shall be served on each of the parties. Rulings by the trial examiner on motions, and any orders in connection therewith, if announced at the hearing, shall be stated orally on the record; in all other cases such rulings and orders shall be issued in writing. The trial examiner shall cause a copy of the same to be served upon each of the other parties, or shall make his ruling in the intermediate report. Whenever the trial examiner has reserved his ruling on any motion, and the proceeding is thereafter transferred to and continue before the Board pursuant to § 203.50, the Board shall rule on such motion.

§ 203.26 Motions; rulings and orders part of record; rulings not to be appealed directly to Board without special permission. All motions, rulings, and orders shall become part of the record, except that rulings on motions to revoke subpenas shall become a part of the record only upon the request of the party aggrieved thereby, as provided in § 203.31. Unless expressly authorized by the rules and regulations, rulings by the Regional Director and by the trial examiner on motions, by the trial examiner on objections, and orders in connection therewith, shall not be appealed directly to the Board except by special permission of the Board, but shall be considered by the Board in reviewing the record, if exceptions to the ruling or order is included in the statement of exceptions filed with the Board, pursuant to § 203.46.

§ 203.27

Review of granting of motion to dismiss entire complaint; reopening of record. If any motion in the nature of a motion to dismiss the complaint in its entirety is granted by the trial examiner before filing his intermediate report, any party may obtain a review of such action by filing a request therefor with the Board in Washington, D. C., stating the grounds for review, and immediately on such filing shall serve a copy thereof on the Regional Director and the other parties. Unless such request for review is filled within 10 days from the date of the order of dismissal, the case shall be closed.

§ 202.28 Filing of answer or other participation in proceedings not a waiver of rights. The right to make motions or to make objections to rulings upon motions shall not be deemed waived by the filing of an answer or by other participation in the proceedings before the trial examiner or the Board.

INTERVENTION

The

§ 203.29 Intervention; requisites; rulings on motions to intervene. Any person desiring to intervene in any proceeding shall file a motion in writing or, if made at the hearing, may move orally on the record, stating the grounds upon which such person claims an interest. Prior to the hearing, such motion shall be filed with the Regional Director issuing the complaint; during the hearing such motion shall be made to the trial examiner. An original and four copies of written motions shall be filed. Immediately upon filing such motion, the moving party shall serve a copy thereof upon each of the other parties. Regional Director shall rule upon all such motions filed prior to the hearing, and shall cause a copy of said ruling to be served upon each of the other parties, or may refer the motion to the trial examiner for ruling. The trial examiner shall rule upon all such motions made at the hearing or referred to him by the Regional Director, in the manner set forth in § 203.25. The Regional Director or the trial examiner, as the case may be, may by order permit intervention in person or by counsel or other representative to such extent and upon such terms as he may deem proper.

WITNESSES, DEPOSITIONS, AND SUBPENAS

§ 203.30 Examination of witnesses; depositions. Witnesses shall be examined orally under oath, except that for good cause shown after the issuance of a complaint, testimony may be taken by deposition.

(a) Applications to take depositions shall be in writing setting forth the reasons why such depositions should be taken, the name and post-office address of the witness, the matters concerning which it is expected the witness will testify, and the time and place proposed for the taking of the deposition, together with the name and address of the person before whom it is desired that the deposition be taken (for the purposes of this section hereinafter referred to as the "officer"). Such application shall be made to the Regional Director prior to the hearing, and to the trial examiner during and subsequent to the hearing but before transfer of the case to the Board pursuant to § 203.45 or § 203.50. Such application shall be served upon the Regional Director or the trial examiner, as the case may be, and upon all other par

ties, not less than 7 days (when the deposition is to be taken within the continental United States) and 15 days (if the deposition is to be taken elsewhere) prior to the time when it is desired that the deposition be taken. The Regional Director or trial examiner, as the case may be, shall upon receipt of the application, if in his discretion good cause has been shown, make and serve upon the parties an order which will specify the name of the witness whose deposition is to be taken and the time, the place, and the designation of the officer before whom the witness is to testify, who may or may not be the same officer as that specified in the application. Such order shall be served upon all the other parties by the Regional Director or upon all parties by the trial examiner.

(b) Such deposition may be taken before any officer authorized to administer oaths by the laws of the United States or of the place where the examination is held, including any agent of the Board authorized to administer oaths. If the examination is held in a foreign country, it may be taken before any Secretary or Embassy or Legation, Consul General, Consul, Vice Consul, or Consular Agent of the United States.

(c) At the time and place specified in said order the officer designated to take such deposition shall permit the witness to be examined and cross-examined under oath by all the parties appearing, and his testimony shall be reduced to typewriting by the officer or under his direction. All objections to questions or evidence shall be deemed waived unless made at the examination. The officer shall not have power to rule upon any objections but he shall note them upon the deposition. The testimony shall be subscribed by the witness in the presence of the officer who shall attach his certificate stating that the witness was duly sworn by him, that the deposition is a true record of the testimony and exhibits given by the witness and that said officer is not of counsel or attorney to any of the parties nor interested in the event of the proceeding or investigation. If the deposition is not signed by the witness because he is ill, dead, cannot be found, or refuses to sign it, such fact shall be included in the certificate of the officer and the deposition may then be used as fully as though signed. The officer shall immediately deliver an original and two copies of said transcript, to

gether with his certificate, in person or by registered mail to the Regional Director or the trial examiner, care of the Chief Trial Examiner, in Washington, D. C., as the case may be.

(d) The trial examiner shall rule upon the admissibility of the deposition or any part thereof.

(e) All errors or irregularities in compliance with the provisions of this sec- \ tion shall be deemed waived unless a motion to suppress the deposition or some part thereof is made with reasonable promptness after such defect is or, with due diligence, might have been ascertained.

(f) If the parties so stipulate in writing, depositions may be taken before any person at any time or place, upon any notice and in any manner, and when so taken may be used like other depositions.

§ 203.31 Issuance of subpenas; petitions to revoke subpenas; right to inspect or copy data. (a) Any member of the Board shall, on the written application of any party, forthwith issue subpenas requiring the attendance and testimony of witnesses and the production of any evidence, including books, records, correspondence, or documents, in their possession or under their control. Applications for subpenas, if filed prior to the hearing, shall be filed with the Regional Director. Applications for subpenas filed during the hearing shall be filed with the trial examiner. Applications for subpenas may be made ex parte. The subpena shall show on its face the name and address of the party at whose request the subpena was issued.

(b) Any person subpenaed, if he does not intend to comply with the subpena, shall, within 5 days after the date of service of the subpena upon him, petition in writing to revoke the subpena. All petitions to revoke subpenas shall be served upon the party at whose request the subpena was issued. Such petition to revoke, if made prior to the hearing. shall be filed with the Regional Director and the Regional Director shall refer the petition to the trial examiner or the Board for ruling. Petitions to revoke subpenas filed during the hearing shall be filed with the trial examiner. Notice of the filing of petitions to revoke shall be promptly given by the Regional Director or the trial examiner, as the case