Part

201

202

203

§ 201.3 Regional offices; their staffs generally. The Board has established 21 Regional Offices. Nineteen of these are located in the continental United States, and the remaining two are in the Territories of Hawaii and Puerto Rico. *

CODIFICATION: The first two sentences in §201.3 were amended to read as set forth above by Statement, National Labor Relations Board, Feb. 24, 1947, 12 F.R. 1925.

APPENDIX-REGIONAL OFFICES CODIFICATION: The appendix to Part 201 was amended in the following respects by Statement, National Labor Relations Board, Feb. 24, 1947, 12 F.R. 1925:

1. The paragraph designated "Ninth Region" was amended to read as follows:

Ninth region: Cincinnati 2, Ohio, Ingalls Building, Fourth and Vine Streets. Services States of West Virginia, west of the western borders of Wetzel, Doddridge, Lewis, and Webster Counties, and southwest of the southern and western borders of Pocahontas County; Ohio, south of the southern borders of Darke, Miami, Champaign, Union, Delaware, Licking, Muskingum, Guernsey, and

Belmont Counties; Kentucky; Indiana, south of the southern borders of Fountain, Tippecanoe, Clinton, Tipton, Grant, Wells, and Adams Counties.

Sub-regional office: 108 E. Washington Building, Indianapolis 4, Indiana.

2. The paragraph designated "Eleventh Region" was deleted.

3. The paragraph designated "Thirteenth Region" was amended to read as follows:

Thirteenth region: Chicago 3, Illinois, Midland Building, Room 2200, 176 West Adams Street. Services all of the State of Indiana north of the southern borders of Fountain, Tippecanoe, Clinton, Tipton, Grant, Wells, and Adams Counties; Illinois, north of the northern borders of Edgar, Coles, Shelby, Christian, Montgomery, Macoupin, Greene, Scott, Brown, and Adams Counties; Wisconsin, east of the western borders of Green, Dane, Dodge, Fondulac, Winnebago, Outagamie, and Brown Counties. 4. The paragraph designated "Eighteenth Region" was amended to read as follows:

Eighteenth region: Minneapolis 4, Minnesota, Wesley Temple Building. Services States of Minnesota; North Dakota; South Dakota; Iowa; Wisconsin, west of the western borders of Green, Dane, Dodge, Fondulac, Winnebago, Outagamie, and Brown Counties; these counties in Michigan excluded from the Seventh Region, above.

decision).

202.12 Board decision and order.

202.13 Compliance with Board decision and order.

202.14 Judicial review of Board decisions and orders.

202.15 Compliance with court decree. Subpart C-Representation Cases Under Section 9 (c) of the Act

202.16 Initiation of representation case. 202.17 Investigation of petition. 202.18 Consent adjustments before formal hearing.

202.19 Formal hearing.

202.20 Hearing; procedure after hearing. Subpart D-Referendum Cases Under Section 9 (e) (1) and (2) of the Act

202.21 Initiation of authorization cases. 202.22 Investigation of petition; withdrawals and dismissals.

202.23 Consent agreements providing for election.

202.24 Procedure respecting election conducted without hearing. 202.25 Formal hearing and procedure respecting elections conducted after hearing.

202.26 Initiation of rescission of authority

Subpart F-Procedure Under Section 10 (3) and (1) of the Act

Sec.

202.35 Application for temporary relief or restraining order.

202.36 Change of circumstances.

AUTHORITY: §§ 202.1 to 202.36, inclusive, 18sued under sec. 6, 49 Stat. 452, Pub. Law 101, 80th Cong.; 29 U. S. C. 156.

SOURCE: $ 202.1 to 202.36, inclusive, contained in Statement of Procedure, Chairman, National Labor Relations Board, Aug. 19, 1947, effective Aug. 22, 1947, 12 F.R. 5651.

Subpart A-General Statement

§ 202.1 General statement. By virtue of the authority vested in it by the National Labor Relations Act, 49 Stat. 449, as amended by the Labor Management Relations Act, 1947, Public Law 101, 80th Congress, the National Labor Relations Board has issued and caused to be published in the FEDERAL REGISTER Simultaneously herewith, Part 203 of this chapter (rules and regulations, series 5), which it has found necessary, as provided in section 6 of the National Labor Relations Act, to carry out the provisions of that act. These rules and regulations state the general rules of procedure followed by the Board in administering its functions. The following statements of the general course and method by which the Board's functions are channeled and determined, issued and published as provided in section 3 (a) (2) of the Administrative Procedure Act, amplify and supplement these rules of procedure. Subpart B-Unfair Labor Practice Cases Under Section 10 (a) to (i) of the Act and Telegraph Merger Act Cases

§ 202.2 Initiation of Unfair Labor Practice and Telegraph Merger Act cases. The investigation of an alleged violation of the National Labor Relations Act or section 222 (f) of the Telegraph Merger Act is initiated by the filing of a charge by any person. The charge, which must be in writing and under oath, is filed with the Regional Director for the Region in which the alleged violations have occurred or are occurring. A blank form for filing such charges is supplied by the Regional Office upon request. The charge contains the name and address of the person against whom the charge is made and a statement of the facts constituting the alleged unfair labor practices or unlawful conduct.

§ 202.3 Compliance with section 9 (f), (g), and (h) of the act. If the charge is filed by a labor organization, that labor

organization must present either with the charge or within a reasonable period not to exceed 10 days thereafter, a letter from the U. S. Department of Labor showing that it and every national or international labor organization of which it is an affiliate or constituent unit have complied with section 9 (f) and (g) of the act requiring the filing of certain reports with the United States Department of Labor. In addition the labor organization and every national or international labor organization of which it is an affiliate or constituent unit must have complied with section 9 (h) of the act by filling with the General Counsel of the Board in Washington, D. C., either with the charge or within a reasonable period not to exceed 10 days thereafter, an affidavit by an authorized agent executed contemporaneously or within the preceding twelve-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, and affidavits from each such officer, executed contemporaneously or within the preceding twelve-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. No investigation is made or complaint issued on any charge filed by a labor organization unless that labor organization and every national or international labor organization of which it is an affiliate or constituent unit have complied herewith.

§ 202.4

Investigation of charges. When the charge is received in the Regional Office it is filed, docketed, and assigned a case number. The Regional Director will, on request of the charging party, and may in any case cause a copy of the charge to be served upon the person against whom the charge is made, but timely service of a copy of the charge within the meaning of the proviso to section 10 (b) of the act is the exclusive responsibility of the charging party and not of the General Counsel or his agents. The Regional Director requests the person filing the charge to submit evidence in its support. The person against whom the charge is filed, hereinafter called the respondent, is asked to submit a written

statement of his position in respect to the allegations. The case is then assigned to a member of the field staff for investigation, who interviews representatives of all parties and those persons who have knowledge as to the charges. In the investigation and in all other stages of the proceedings, charges alleging violation of section 8 (b) (4) (A), (B), and (C) are given priority over all other cases in the office in which they are pending except cases of like character and charges alleging violation of section 8 (b) (4) (D) are given priority over all cases except section 8 (b) (4) (A), (B), and (C) cases and other cases alleging violation of section 8 (b) (4) (D). After full investigation, the case may be disposed of through informal methods such as withdrawal, dismissal, and settlement; or, the case may necessitate formal methods of disposition. Some of the informal methods of handling unfair labor practice cases will be stated first.

§ 202.5 Withdrawal of charges. If investigation reveals that there has been no violation of the National Labor Relations or Telegraph Merger Acts or the evidence is insufficient to substantiate the charge, the Regional Director recommends withdrawal of the charge by the person who filed. The complainant may also, on its own initiative, request withdrawal. If the complainant accepts the recommendation of the Director or requests withdrawal on its own initiative, the respondent is immediatley notified of the withdrawal of the charge.

§ 202.6 Dismissal of charges and appeals to Board. If the complainant refuses to withdraw the charge as recommended, the Regional Director dismisses the charge. The Regional Director thereupon informs the parties of his action, together with a simple statement of the grounds therefor, and the complainant of his right of appeal to the General Counsel in Washington within 10 days. If the complainant appeals to the General Counsel, the entire file in the case is sent to Washington where the case is fully reviewed by the General Counsel with the assistance of his staff. Following such review, the General Counsel may sustain the Regional Director's dismissal, stating the grounds of his affirmance, or may direct the Regional Director to take further action.

§ 202.7 Settlements. Before any complaint is issued or other formal action

taken, the Regional Director affords an opportunity to all parties for the submission and consideration of facts, argument, offers of settlement or proposals of adjustment, except where time, the nature of the proceeding, and the public interest do not permit. Normally prehearing conferences are held, the principal purpose of which is to discuss and explore such submissions and proposals of adjustment. The Regional Office provides Board-prepared forms for such settlement agreements, as well as printed notices for posting by the respondent. These agreements, which are subject to the approval of the Regional Director, provide for the withdrawal of the charge by the complainant at such time as the respondent has complied with the terms of the settlement agreement. Proof of such compliance is obtained by the Regional Director before the case is closed. If the respondent fails to perform his obligations under the informal agreement, the Regional Director may determine to institute formal proceedings.

§ 202.8 Complaints. If the charge appears to have merit and efforts to dispose of it by informal adjustment are unsuccessful, the Regional Director institutes formal action by issuance of a complaint and notice of hearing. In certain types of cases, involving novel and complex issues, the Regional Director, at the discretion of the General Counsel, must submit the case for advice from the General Counsel before issuing complaint. The complaint, which is served on all parties, sets forth the facts upon which the Board bases its jurisdiction and the facts relating to the alleged violations of law by the respondent. The respondent must file an answer to the complaint within 10 days of its receipt. setting forth a statement of its defense.

§ 202.9 Settlement after issuance of complaint. (a) Even though formal proceedings have begun, the parties again have full opportunity at every stage to dispose of the case by amicable adjustment and in compliance with the law. Thus, after the complaint has been issued and a hearing scheduled or even begun, the attorney in charge of the case and the Regional Director afford all parties every opportunity for the submission and consideration of facts, arguments, offers of settlement or proposals of adjustment, except where time, the nature of the proceeding and the public interest do not permit.

(b) All settlement stipulations made after the issuance of a complaint are subject to the approval of the Regional Director and of the Board in Washington. If the settlement provides for the entry of an order by the Board, the parties agree to waive their right to hearing and agree further that the Board may issue an order requiring the respondent to take action appropriate to the terms of the adjustment. Usually the settlement stipulation also contains the respondent's consent to the Board's application for the entry of a decree by the appropriate Circuit Court of Appeals enforcing the Board's order.

(c) In the event the respondent fails to comply with the terms of a settlement stipulation, upon which a Board order and court decree are based, the Board may petition that court to adjudge the respondent in contempt. If the respondent refuses to comply with the terms of a stipulation settlement providing solely for the entry of a Board order, the Board may petition the court for enforcement of its order, pursuant to section 10 of the National Labor Relations Act.

§ 202.10 Hearings. Except in extraordinary situations the hearing is open to the public and usually conducted in the Region where the charge originated. A trial examiner, designated by the Chief Trial Examiner and sent from the Washington staff, presides over the hearing. The Government's case is conducted by an attorney attached to the Board's Regional Office, who has the responsibility of presenting the evidence in support of the complaint. The rules of evidence applicable in the District Courts of the United States under the Rules of Civil Procedure adopted by the Supreme Court are, so far as practicable, controlling. Counsel for the Board, all parties to the proceeding, and the trial examiner have the power to call, examine and crossexamine witnesses, and to introduce evidence into the record. They may also submit briefs, engage in oral argument, and submit proposed findings and conclusions to the trial examiner. The attendance and testimony of witnesses and the production of evidence material to any matter under investigation may be compelled by subpena.

The functions of all trial examiners and other Board agents or employees participating in decisions in conformity with section 8 of the Administrative Pro

cedure Act, are conducted in an impartial manner and any such trial examiner, agent or employee may at any time withdraw if he deems himself disqualified because of bias or prejudice. The Board's attorney has the burden of proof of violations of section 8 of the National Labor Relations Act and section 222 (f) of the Telegraph Merger Act. In connection with hearings subject to the provisions of section 7 of the Administrative Procedure Act:

(a) No sanction is imposed or rule or order issued except upon consideration of the whole record or such portions thereof as may be cited by any party and as supported by and in accordance with the preponderance of the reliable, probative, and substantial evidence;

(b) Every party has the right to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such crossexamination as may be required for a full and true disclosure of the facts; and

(c) Where any decision rests on official notice of a material fact not appearing in the evidence in the record, any party is on timely request afforded a reasonable opportunity to show the contrary.

§ 202.11 Intermediate report (recommended decision). (a) At the conclusion of the hearing the trial examiner prepares an intermediate report (recommended decision) stating findings of fact and conclusions, as well as the reasons for his determinations on all material issues, and making recommendations as to action which should be taken in the case. The trial examiner may recommend dismissal or sustain the complaint, in whole or in part, and recommend that the respondent cease and desist from the unlawful acts found and take action to remedy their effects.

(b) The intermediate report is filed with the Board in Washington and copies are simultaneously served on each of the parties. At the same time the Board, through its Executive Secretary, issues and serves on each of the parties an order transferring the case to the Board. The parties may accept and comply with the recommendations of the trial examiner, and thus normally conclude the entire proceedings at this point. Or, the parties or counsel for the Board may file exceptions to the inter

mediate report with the Board and may also request permission to appear and argue orally before the Board in Washington. They may also submit proposed findings and conclusions to the Board. Oral argument is very frequently granted.

§ 202.12 Board decision and order. (a) If any party files exceptions to the intermediate report, the Board, with the assistance of the legal assistants to each Board member who function in much the same manner as law clerks do for judges, reviews the entire record, including the trial examiner's report and recommendations, the exceptions thereto, the complete transcript of evidence and the exhibits, briefs, and arguments. The Board does not consult with members of the trial examining staff or with any agent of the general counsel in its deliberations. It then issues its decision and order in which it may adopt, modify, or reject the findings and recommendations of the trial examiner. The decision and order contains detailed findings of fact, conclusions of law, the basic reasons for decision on all material issues raised, and an order either dismissing the complaint in whole or in part or requiring the respondent to cease and desist from its unlawful practices and to take appropriate affirmative action.

(b) If no exceptions are filed to the intermediate report, and the respondent does not comply with its recommendations, the Board adopts the report and recommendations of the trial examiner. All objections and exceptions, whether or not previously made during or after the hearing, are deemed waived for all purposes.

(c) If no exceptions are filed to the intermediate report and its recommendations and the respondent complies therewith, the case is normally closed but the Board may, if it deems necessary in order to effectuate the policies of the act, adopt the report and recommendations of the trial examiner.

§ 202.13 Compliance with Board decision and order. (a) Shortly after the Board's decision and order is issued the Director of the Regional Office in which the charge was filed communicates with the respondent for the purpose of obtaining compliance. Conferences may be held to arrange the details necessary for compliance with the terms of the order.