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hearing for the purpose of taking evi- the record documentary or other evidence upon a complaint shall be con- dence; ducted by a trial examiner designated (k) To take any other action necesby the Chief Trial Examiner, unless the
sary under the foregoing and authorized Board or any member thereof presides.
by the published rules and regulations At any time a trial examiner may be
of the Board. designated to take the place of the trial examiner previously designated to con- $ 203.36 Unavailability of trial exami. duct the hearing. Such hearings shall ners. In the event the trial examiner be public unless otherwise ordered by the designated to conduct the hearing beBoard or the trial examiner.
comes unavailable to the Board after the
hearing has been concluded and before 8 203.35 Duties and powers of trial ex- the filing of his intermediate report, the aminers. It shall be the duty of the trial Board may transfer the case to itself for examiner to inquire fully into the facts
purposes of further hearing or issuance as to whether the respondent has en- of an intermediate report or both on the gaged in or is engaging in an unfair record as made, or may request the Chief labor practice affecting commerce as set Trial Examiner to designate another trial forth in the complaint or amended com- examiner for such purposes. plaint. The trial examiner shall have authority, with respect to cases assigned
$ 203.37 Disqualification of trial erto him, between the time he is desig
aminers. A trial examiner may withnated and transfer of the case to the
draw from a proceeding whenever he Board, subject to the rules and regula
deems himself disqualified. Any party tions of the Board and within its powers:
may request the trial examiner, at any
time following his designation by the (a) To administer oaths and affirma- Chief Trial Examiner and before filing tions;
of his intermediate report, to withdraw (b) To grant applications for sub
on grounds of personal bias or disqualipenas;
fication, by filing with him promptly
upon the discovery of the alleged facts a (c) To rule upon petitions to revoke subpenas;
timely affidavit setting forth in detail
the matters alleged to constitute grounds (d) To rule upon offers of proof and for disqualification. If, in the opinion of receive relevant evidence;
the trial examiner, such affidavit is filed (e) To take or cause depositions to be
with due diligence and is sufficient on its taken whenever the ends of justice would
face, he shall forthwith disqualify himbe served thereby;
self and withdraw from the proceeding.
If the trial examiner does not disqualify (f) To regulate the course of the hear
himself and withdraw from the proceed. mg and, appropriate or necessary, to
ing, he shall so rule upon the record. exclude persons or counsel from the hear
stating the grounds for his ruling and ing for contemptuous conduct and to
proceed with the hearing, or if the hear. strike all related testimony of witnesses
ing has closed, he shall proceed with isrefusing to answer any proper question;
suance of his intermediate report, and (g) To hold conferences for the set- the provisions of $ 203.26, with respect tlement or simplification of the issues to review of rulings of trial examiners, by consent of the parties, but not to ad
shall thereupon apply. just cases; (h) To dispose of procedural requests
8 203.38 Rights of parties. Any or similar matters, including motions re
party shall have the right to appear at ferred to the trial examiner by the Re
such hearing in person, by counsel, or yional Director and motions to amend
by other representative, to call, examine pieadings; also to dismiss complaints or
and cross-examine witnesses, and to inportions thereof, and to order hearings troduce into the record documentary or reopened prior to issuance of intermedi- other evidence, except that the particiate reports (recommended decisions); pation of any party shall be limited to (i) To make and file intermediate re
the extent permitted by the trial ports in conformity with section 8 of the
examiner. Administrative Procedure Act;
§ 203.39 Rules of evidence controlling (j) To call, examine and cross-ex- so far as practicable. Any such proceedamine witnesses, and to introduce into ing shall, so far as practicable, be con
ducted in accordance with the rules of evidence applicable in the district courts of the United States under the rules of civil procedure for the district courts of the United States, adopted by the Supreme Court of the United States pursuant to the act of June 19, 1934 (U. S. C., Title 28, secs. 723-B, 723-C).
§ 203.40 Stipulations of fact admissible. In any such proceeding stipulations of fact may be introduced in evidence with respect to any issue.
§ 203.41 Objection to conduct of hearing; how made; objections not waived by further participation. Any objection with respect to the conduct of the hearing, including any objection to the introduction of evidence, may be stated orally or in writing, accompanied by a short statement of the grounds of such objection, and included in the record. No such objection shall be deemed waived by further participation in the hearing.
§ 203.42 Filing of briefs and proposed findings with the trial examiner and oral argument at the hearing. Any party shall be entitled, upon request, to a reasonable period at the close of the hearing for oral argument, which shall be included in the stenographic report of the hearing. Any party shall be entitled, upon request made before the close of the hearing, to file a brief or proposed findings and conclusions, or both, with the trial examiner who may fix a reasonable time for such filing, but not in excess of fifteen days from the close of the hearing. Requests for further extensions of time shall be made to the Chief Trial Examiner in Washington, D, C.
$ 203.43' Continuance and adjournment. In the discretion of the trial examiner, the hearing may be continued from day to day, or adjourned to a later date or to a different place, by announcement thereof at the hearing by the trial examiner, or by other appropriate notice.
previously given by such witness on related matters. INTERMEDIATE REPORT TRANSFER OF
CASE TO THE BOARD § 203.45 Intermediate report and reccommended order; contents; service; transfer of the case to the Board; contents of record in case. After hearing for the purpose of taking evidence upon a complaint, the trial examiner shall prepare an intermediate report and recommended order, but the initial decision shall be made by the Board. Such report shall contain findings of fact, conclusions, and the reasons or basis therefor, upon all material issues of fact, law or discretion presented on the record, and the recommended order shall contain recommendations as to what disposition of the case should be made, which may include, if it be found that the respondent has engaged in or is engaging in the alleged unfair labor practices, a recommendation for such affirmative action by the respondent as will effectuate the policies of the act. The trial examiner shall file the original of the intermediate report and recommended order with the Board and cause a copy thereof to be served upon each of the parties. Upon the filing of the report and recommended order, the Board shall enter an order transferring the case to the Board and shall serve copies of the order, setting forth the date of such transfer, upon all the parties.
The charge upon which the complaint was issued and any amendments thereto, the complaint and any amendments thereto, notice of hearing, answer and any amendments thereto, motions, rulings, orders, the stenographic report of the hearing, stipulations, exhibits, documentary evidence, and depositions, together with the intermediate report and recommended order and exceptions, shall constitute the record in the case.
$ 203.44 Contemptuous conduct; refusal of witness to answer questions. Contemptuous conduct at any hearing before a trial examiner or before the Board shall be ground for exclusion from the hearing. The refusal of a witness at any such hearing to answer any question which has been ruled to be proper shall, in the discretion of the trial examiner, be ground for striking all testimony
EXCEPTIONS TO THE RECORD AND
PROCEEDING $ 203.46 Exceptions or supporting briefs; time for filing; where to file; service on parties; extension of time; effect of failure to include matter in exceptions; oral arguments. (a) Within twenty days or within such further period as the Board may allow from the date of service of the order transferring the case to the Board, pursuant to § 203.45, any party may file with the Board in Washington, D. C., an original and six copies of a statement in writing
setting forth such exceptions to the intermediate report and recommended or. der or to any other part of the record or proceedings (including rulings upon all motions or objections) as he relies upon, together with the original and six copies of a brief in support thereof, and immediately upon such filing copies shall be served on each of the other parties; and any party may, within the same period, file an original and six copies of a brief in support of the intermediate report and recommended order, copies of which shall be immediately served on each of the other parties. Upon special leave of the Board, any party may file a reply brief upon such terms as the Board may impose.
(b) No matter not included in a statement of exceptions may thereafter be urged before the Board, or in any further proceedings.
(c) Should any party desire permission to argue orally before the Board, request therefor must be made in writing to the Board within 10 days after the date of service of the order transferring the case to the Board pursuant to $ 203.45. The Board shall notify the parties of the time and place of oral argument, if such permission is granted.
(d) Oral arguments are limited to 30 minutes for each party entitled to participate. No request for additional time will be granted unless timely application is made in advance of oral argument.
(e) Briefs shall be in legible typewritten or printed form and shall contain references to the portions of the record relied upon and which it is desired that the Board examine.
$ 203.47 Filing of motion after transfer of case to Board. All motions filed after the case has been transferred to the Board pursuant to $ 203.45 shall be filed with the Board in Washington, D. C., by transmitting an original and six copies thereof, together with an affidavit of service upon each of the parties.
be adopted by the Board and become its findings, conclusions and order, and all objections and exceptions thereto shall be deemed waived for all purposes.
(b) Upon the filing of a statement of exceptions and briefs, as provided in § 203.46, the Board may decide the matter forthwith upon the record, or after oral argument, or may reopen the record and receive further evidence before a member of the Board or other Board agent or agency, or may close the case upon compliance with the recommendations of the intermediate report or may make other disposition of the case.
$ 203.49 Modification or setting aside of order of Board before record filed in court; action thereafter. Within the limitations of the provisions of section 10 (c) of the act, and 8 203.48 of these rules, until a transcript of the record in a case shall have been filed in a court, within the meaning of section 10 of the act, the Board may at any time upon reasonable notice modify or set aside, in whole or in part, any findings of fact, conclusions of law, or order made or issued by it. Thereafter, the Board may proceed pursuant to $ 203.50, insofar as applicable.
$ 203.50 Hearings before Board or member thereof. Whenever the Board deems it necessary in order to effectuate the purposes of the act or to avoid unnecessary costs or delay, it may, at any time after a complaint has issued pursuant to $ 203.15 or $ 203.33 order that such complaint and any proceeding which may have been instituted with respect thereto be transferred to and continued before it or any member of the Board. The provisions of this subpart shall, insofar as applicable, govern proceedings before the Board or any member pursuant to this section, and the powers granted to trial examiners in such provisions shall, for the purpose of this section, be reserved to and exercised by the Board or the member thereof who shall preside.
$ 203.51 Settlement or adjustment of issues. At any stage of a proceeding prior to hearing, where time, the nature of the proceeding, and the public interest permit, all interested parties shall have opportunity to submit to the Regional Director with whom the charge was filed, for consideration, facts, arguments, offers of settlement, or proposals of adjustment.
PROCEDURE BEFORE THE BOARD 8 203.48 Action of Board upon expiration of time to file exceptions to intermediate report. (a) In the event no statement of exceptions is filed as herein provided, the findings, conclusions, and recommendations of the trial examiner as contained in his intermediate report and recommended order shall
Subpart C-Procedure Under Section 9 (2) The address of the establishments
(c) of the Act for the Determination involved.
ployer's business. $ 203.52 Petition for certification or
(4) A description of the bargaining decertification; who may file; where to unit which the petitioner claims to be file; withdrawal. A petition for investi- appropriate. gation of a question concerning repre- (5) The names and addresses of any sentation of employees under paragraphs other persons or labor organizations who (1) (A) (i) and (1) (B) of section 9 (c) claim to represent any employees in the of the act (hereinafter called a petition, alleged appropriate unit, and brief defor certification) may be filed by an em- scriptions of the contracts, if any, coypioyee or group of employees or any in- ering the employees in such unit. dividual or labor organization acting in
(6) The number of employees in the their behalf or by an employer. A petition under paragraph (1) (A) (ii) of sec
alleged appropriate unit and the number
who have designated the petitioner to tion 9 (c) of the act, alleging that the
act, individual or labor organization which has been certified or is being currently
(7) A statement that the employer derecognized as the bargaining representa
clines to recognize the petitioner as the tive is no longer such representative
representative within the meaning of (hereinafter called a petition for decer
section 9 (a) of the act. tification), may be filed by any employee (8) The name, afiliation, if any, and or group of employees or any individual address of the petitioner. or labor organization acting in their be
(9) If filed by a labor organization, a half. Petitions under this section shall
statement whether it and any national be in writing, the original being signed
or international labor organization of and sworn to before any notary public, which it is an affiliate or constituent Board agent, or other person duly au- unit are in compliance with section 9 (f), thorized by law to administer oaths or
(g), and (h) of the act within the meantake acknowledgments. Four copies of ing of $ 203.13. the petition shall be filed. Except as provided in § 203.64, such petitions shall
(10) If filed by a labor organization be filed with the Regional Director for
and if it alleges that it is in compliance the region wherein the bargaining unit
with the provisions of section 9 (f) and exists, or, if the bargaining unit exists in
(g) of the act, the number and date of two or more regions, with the Regional
expiration of the letter of compliance Director for any of such regions. Prior
issued by the Secretary of Labor pursuto the close of the hearing, pursuant to
ant to the regulations of the Department $ 203.55, the petition may be withdrawn
of Labor. only with the consent of the Regional
(11) Any other relevant facts. Director with whom such petition was (b) A petition for certification, when filed. After the close of the hearing, the filed by an employer, shall contain the petition may be withdrawn only with the following: consent of the Board. Whenever the Regional Director or the Board approves
(1) The name and address of the peti
tioner. the withdrawal of any petition, the case shall be closed.
(2) The general nature of the peti
tioner's business. $ 203.53 Contents of petition for cer- (3) A brief statement setting forth tification; contents of petition for decer- that one or more individuals or labor tification. (a) A petition for certifica- organizations have presented to the petion, when filed by an employee or group titioner a claim to be recognized as the of employees or an individual or labor exclusive representative of all employees organization acting in their behalf, shall in the unit claimed to be appropriate; a contain the following:
description of such unit; and the number (1) The name of the employer.
of employees in the Unit.
(4) The name or names, affiliation, if 3 Blank forms for filing such petitions will
any, and addresses of the individuals or be supplied by the Regional Office upon re- labor organizations making such claim quest.
(5) A statement whether the petitioner has contracts with any labor organization or other representatives of employees and, if so, their expiration date.
(6) Any other relevant facts.
(c) Petitions for decertification shall contain the following:
(1) The name of the employer.
(2) The address of the establishments and a description of the bargaining unit involved.
(3) The general nature of the employer's business.
(4) Name and address of the petitioner and affiliation, if any.
(5) Name or names of the individuals or labor organization, who have been certified or are being currently recognized by the employer and who claim to represent any employees in the unit involved, and the expiration date of any contracts covering such employees.
(6) An allegation that the individuals or labor organization who have been certified or are currently recognized by the employer are no longer the representative in the appropriate unit as defined in section 9 (a) of the act.
(7) The number of employees in the unit and the number who have designated the petitioner to act for them.
(8) If filed by a labor organization, the same information required under paragraph (a) (9) and (10) of this section.
(9) Any other relevant facts.
8 203.54 Consent election agreements. (a) Where a petition has been duly filed, the employer and any individuals or labor organizations representing a substantial number of employees involved may, with the approval of the Regional Director, enter into a consent election agreement leading to a determination by the Regional Director of the facts ascertained after such consent election. Such agreement shall include a description of the appropriate unit, the time and place of holding the election, and the pay roll to be used in determining what employees within the appropriate unit shall be eligible to vote. Such consent election shall be conducted under the direction and supervision of the Regional Director. The method of conducting such consent election shall be consistent with the method followed by the Regional Di. rector in conducting elections pursuant to $ $ 203.61 and 203.62 except that the
rulings and determinations by the Regional Director of the results thereof shall be final.
(b) Where a petition has been duly filed, the employer and any individuals or labor organizations representing a substantial number of the employees involved may, with the approval of the Regional Director, enter into an agreement providing for a waiver of hearing and a consent election leading to a determination by the Board of the facts ascer. tained after such consent election. Such agreement shall also include a description of the appropriate bargaining unit, the time and place of holding the election, and the pay roll to be sed in determining which employees within the appropriate unit shall be eligible to vote. Such consent election shall be conducted under the direction and supervision of the Regional Director. The method of conducting such election and the postelection procedure shall be consistent with that followed by the Regional Director in conducting elections pursuant to $ $ 203.61 and 203.62.
§ 203.55 Investigation of petition by Regional Director; notice of hearing; service of notice; withdrawal of notice. After a petition has been filed, if no agreement such as that provided in $ 203.54 is entered into and if it appears to the Regional Director that there is reasonable cause to believe that a question of representation affecting commerce exists, that the policies of the act will be effectuated, and that an election will reflect the free choice of employees in the appropriate unit, he shall prepare and cause to be served upon the parties and upon any known individuals or labor organizations purporting to act as representatives of any employees directly affected by such investigation, a notice of hearing before a hearing officer at a time and place fixed therein. A copy of the petition shall be served with such notice of hearing. Any such notice of hearing may be amended or withdrawn before the close of the hearing by the Regional Director on his own motion.
$ 203.56 Conduct of hearing. (a) Hearings shall be conducted by a hearing officer and shall be open to the public unless otherwise ordered by the hearing oficer. At any time, a hearing officer may be substituted for the hearing offcer previously presiding. It shall be the duty of the hearing oficer to inquire fully into all matters in issue and neces