Corporate Practice Series Portfolio No. 41-4th, Practice and Procedure Before the National Labor Relations Board, analyzes the processes by which employees secure union representation and enforce rights granted by the National Labor Relations Act.  The Detailed Analysis section of the portfolio examines representation proceedings in depth, including discussions of certification petitions, election campaigns and procedures, post-election hearings, and certification proceedings.  In addition, it discusses unfair labor practice proceedings, highlighting the filing of charges and the subsequent filing of the complaint by the NLRB general counsel, unfair labor practice hearings, and the post-hearing and enforcement processes.  The portfolio also covers jurisdictional dispute cases. 

Portfolio 41-4th: Practice and Procedure before the NLRB

I. The Statute
    A. History
    B. Employer Unfair Labor Practices
    C. Union Unfair Labor Practices

II. Structure of the National Labor Relations Board
    A. National Labor Relations Board
    B. General Counsel's Office
    C. Regional Offices
    D. Division of Administrative Law Judges
    E. Communicating With The National Labor Relations Board

III. Board Jurisdiction
    A. Employers Covered by the Act
         1. Advisory opinions
         2. Declaratory orders
    B. Employees Covered by the Act

IV. Representation Proceedings
    A. Types of Petitions
    B. Certification Cases
         1. Who may file questions of representation
         2. How a question of representation is raised
              a. Demand and refusal of recognition
              b. Sufficiency of the demand
              c. Timeliness of the demand
         3. Form of the petition
              a. Content requirements
              b. Showing of interest
         4. Notice to the employer
         5. Employer response
         6. Prehearing investigation
              a. Questions concerning representation
              b. Determination of an appropriate unit
              c. Disclaimers of interest
              d. Proof of majority status
                   (1). Showing of interest
                   (2). Objective considerations
              e. Bars to elections
                   (1). Election year rule
                   (2). Certification year rule
                   (3). Voluntary recognition
                   (4). Contract bar rules
              f. Eligible voters
                   (1). An employee under § 2(3) of the Act
                   (2). Employment prior to the election
                   (3). Employment on the date of election
         7. Withdrawal of the petition
         8. Dismissal of the petition
              a. Reasons for dismissal
              b. Appeal of the dismissal
    C. Types of Elections
         1. Consent elections
         2. Severance elections
         3. Professional employee elections
         4. Residual elections
    D. The Representation Hearing
         1. Notice of the hearing
         2. Postponements
         3. Blocking charges
         4. Prehearing motions
         5. Subpoenas
         6. Conduct of the hearing
              a. The hearing officer
              b. Appearances; intervention
              c. Presentation of evidence; witnesses
              d. Close of the hearing
         7. The Director's decision
         8. Request for review
              a. Content of the request
              b. Grounds for granting review
              c. Statement opposing review
         9. Board review; requirements for briefs
         10. Amicus briefs
         11. Motions for reconsideration, rehearing, or to re-open the record
    E. Elections
         1. Introduction
         2. Date, location, and hours of the election
              a. Date of the election
              b. Location of the election
              c. Hours of the election
         3. The Excelsior rule
         4. Notice of the election
         5. Campaign conduct
              a. Campaign misrepresentations
              b. “Captive audience” speeches
         6. Preelection conferences
         7. Election procedures
              a. The mechanics of voting
              b. Party observers
              c. Electioneering
              d. Challenges
              e. Counting the ballots
              f. Preparation and service of the tally
              g. Runoff and rerun elections
    F. Resolution of Challenges
         1. Investigation
         2. Hearings
         3. Report or decision of the Director; review process
              a. Directed elections
              b. Consent election agreements
              c. Stipulated election agreements
    G. Objections to Elections
         1. Who may file objections
         2. When to file objections
         3. What to file
         4. Investigation of objections
         5. Right to a hearing on objections
              a. Directed elections
              b. Consent election agreements
              c. Stipulated election agreements
              d. Requests for an extension of time
    H. Post-certification Proceedings
         1. Certification
         2. Correction or amendment to certification
         3. Revocation of certification
         4. Judicial review of Board certification decisions
    I. Decertification Election Procedures
    J. Deauthorization Election Procedures
    K. Unit Clarification Proceedings

V. Unfair Labor Practice Proceedings
    A. Filing of the Charge
         1. Who may file
         2. Where to file
         3. What to file
         4. When to file
         5. Notice to the charged party
         6. Right to counsel; notice of appearance
         7. Amendment of the charge
    B. Investigation
         1. Scope of the investigation
              a. Jurisdiction and timeliness
              b. Gathering relevant information
         2. Regional Office decisions
         3. Appeals to the General Counsel
    C. Settlement Agreements
         1. Informal settlement agreements
         2. Formal settlement agreements
         3. Notice of employee rights
         4. Non-Board settlements
    D. The Complaint
         1. Amendment of the complaint
         2. Consolidation of charges or complaints
         3. Answer
         4. Section 10(j) emergency relief
         5. Prehearing motions
         6. Prehearing applications for depositions
         7. Prehearing applications for subpoenas
    E. The Hearing
         1. Pretrial conference
         2. Formal papers
         3. Trial motions
         4. Presentation of evidence
              a. Rules of evidence
              b. Stipulations
              c. Witnesses
                   (1). Sequestration of witnesses
                   (2). Payment of fees
                   (3). Hostile witnesses
                   (4). Pretrial statements
              d. Exhibits
                   (1). Introduction of exhibits
                   (2). Rejected exhibits
              e. Appeals from the ALJ's ruling
              f. Depositions
              g. Subpoenas
              h. Petition to revoke a subpoena
         5. Oral argument
         6. Briefs filed with the ALJ
         7. Correcting the transcript
    F. Posthearing
         1. The ALJ's decision
         2. Filing of exceptions
         3. Filing of briefs
         4. Answering briefs and cross-exceptions
         5. Requests for oral argument
         6. Posthearing motions
         7. Reopening of the record
    G. The Board's Decision
         1. Reconsideration of the decision
         2. Compliance with the decision
         3. Enforcement or review of the Board's decision; time for filing
    H. Compliance Proceedings
         1. Compliance specifications
         2. Answer to compliance specifications
         3. Compliance hearing procedures
    I. Awards of Fees and Other Expenses

VI. Jurisdictional Dispute Cases
    A. Introduction
    B. Notice of the Hearing
    C. Effect of an Agreement
    D. The Hearing
    E. Board Determination of the Dispute
    F. Issuance of the Complaint
    G. The Board Decision
    H. Judicial Review 

Portfolio 41-4th: Practice and Procedure before the NLRB

Wks. 1 National Labor Relations Act

Wks. 2 NLRB Statements of Procedures

Wks. 3 NLRB Rules and Regulations

Wks. 4 Petition (RC, RM, RD, UD, UC, AC)

Wks. 5 Report on Investigation of Interest

Wks. 6 Notice to Parties Involved in a Representation Petition

Wks. 7 Summary of Standard Procedures in Formal Hearings Held Pursuant to Petitions Filed Under Section 9

Wks. 8 Waiver

Wks. 9 Notice of Representation Hearing

Wks. 10 Request to Proceed

Wks. 11 Agreement on Voting Eligibility

Wks. 12 Notice of Election

Wks. 13 Regional Office Letter Enclosing Notice of Election

Wks. 14 Instructions to Eligible Employees Voting by United States Mail (English and Spanish)

Wks. 15 Official Secret Ballot (English and Spanish)

Wks. 16 Official Secret Ballot (UD Cases) (English and Spanish)

Wks. 17 Official Secret Ballot (Sonotone) (English and Spanish)

Wks. 18 Instructions to Election Observers (English and Spanish)

Wks. 19 Instructions to Temporary Election Agents

Wks. 20 Tally Sheet

Wks. 21 Tally of Ballots

Wks. 22 Tally of Ballots—UD Election

Wks. 23 Revised Tally of Ballots (Counting of Challenged Ballots)

Wks. 24 Certification of Representative

Wks. 25 Certification of Results of Election

Wks. 26 Notice of Appearance

Wks. 27 Affidavit of Service

Wks. 28 Charge Against Employer (ULP)

Wks. 29 Charge Against Labor Organizations or Its Agents

Wks. 30 Charge Alleging Unfair Labor Practice Under Section 8(e) of the NLRA

Wks. 31 Obligation of Person Filing a Charge Important Information for Charging Parties

Wks. 32 Procedures in Investigation of Unfair Labor Practice Charge

Wks. 33 Collyer Deferral Letter

Wks. 34 Notice to Arbitrator

Wks. 35 Notice: Rights and Procedures Concerning Issuance of Notice of Formal Hearing

Wks. 36 Summary of Standard Procedures in Formal Hearings in Unfair Labor Practice Proceedings

Wks. 37 Notice of Appeal and Procedures for Filing an Appeal

Wks. 38 Information on Backpay for Employees

Wks. 39 Backpay Claimant Identification Form (English and Spanish)

Wks. 40 Withdrawal Request

Wks. 41 Board Agent Letter Transmitting Stipulated Election Agreement and Confirming Arrangement

Wks. 42 Board Agent Letter Transmitting List of Eligible Voters

Wks. 43 Stipulated Election Agreement

Wks. 44 Consent Election Agreement

Wks. 45 Full Consent Election Agreement

Wks. 46 Stipulated UD Election Agreement

Wks. 47 Consent UD Election Agreement

Wks. 48 Region 5 Informal Settlement Agreement

Wks. 49 Settlement Agreement Approved by an Administrative Law Judge

Wks. 50 Notice to Employees and/or Members

Wks. 51 Request for Compliance with Settlement Agreement and Certification of Posting/Mailing

Wks. 52 Re quest for Compliance with Board Order with Certification of Posting and Notice to Employer

Wks. 53 Recommendation That Enforcement of NLRB Order Be Sought

Wks. 54 Instructions to Employer Accompanying Settlement Agreement

Wks. 55 Instructions to Employer Accompanying Settlement Agreement and Requesting Issuance of Backpay Checks

Wks. 56 Instructions to Union Accompanying Settlement Agreement

Wks. 57 Instructions for Paying Court Costs

Wks. 58 Questionnaire on Commerce Information

Wks. 59 Authorization to Obtain Earnings Data from the Social Security Administration

Wks. 60 Initial Backpay Questionnaire with Claimant Expense and Search for Work Report

Wks. 61 Quarterly Backpay Questionnaire with Letter

Wks. 62 Directory of Key Telephone Numbers for the NLRB

Wks. 63 Policies and Procedures for Electronic Communications with the NLRB

Elliot S. Azoff
Baker & Hostetler, LLP
Cleveland, Ohio

David A. Grant
Baker & Hostetler, LLP
Washington, D.C.

Betty Southard Murphy
Baker & Hostetler, LLP
Washington, D.C.