Page images

on all parties to the proceeding in accordance with the provisions of § 102.112.

(b) Such communications, when oral, unless advance notice thereof is given by the communicator to all parties in the proceeding and adequate opportunity afforded to them to be present. § 102.130 Communications not prohib

ited. Ex parte communications prohibited by $ 102.126 shall not include:

(a) Oral or written communications which relate solely to matters which the hearing officer, regional director, trial examiner, or member of the Board is authorized by law or Board rules to entertain or dispose of on an ex parte basis.

(b) Oral or written requests for information solely with respect to the status of a proceeding.

(c) Oral or written communications which all the parties to the proceeding agree, or which the responsible official formally rules, may be made on an ex parte basis.

(d) Oral or written communications proposing settlement or an agreement for disposition of any or all issues in the proceeding.

(e) Oral or written communications which concern matters of general significance to the field of labor-management relations or administrative practice and which are not specifically related to pending on-the-record proceedings. § 102.131 Communications by Board

agents. No Board agent of the categories defined in § 102.128, participating in a particular proceeding as defined in that section, shall (a) request or entertain any prohibited ex parte communications; or (b) make any prohibited ex parte communications about the proceeding to any person who is a party to the proceeding, any agent of any person who is a party, or any other person, whom he has reason to know may transmit the communication to a person who is a party or to an agent of a person who is a party. 102.132 Solicitation of prohibited

communications. No person shall knowingly and willfully solicit the making of an unauthorized ex parte communication by any other person.

$ 102.133 Receipt of prohibited com

munications; reporting require

ments. (a) Any Board agent of the categories defined in § 102.128 to whom a prohibited oral ex parte communication is attempted to be made shall refuse to listen to the communication, inform the communicator of this rule, and advise him that if he has anything to say it should be said in writing with copies to all parties. Any such Board agent who receives a written ex parte communication which he has reason to believe is prohibited by this subpart shall promptly forward such communication to the Office of the Executive Secretary if the proceeding is then pending before the Board, to the chief trial examiner if the proceeding is then pending before a trial examiner, or to the regional director involved if the proceeding is then pending before a hearing officer or the regional director. If the circumstances in which the unauthorized communication was made are not apparent from the communication itself, a statement describing those circumstances shall also be submitted. The executive secretary, the chief trial examiner, or the regional director to whom such a communication is forwarded shall then place the communication in the public file maintained by the agency and shall serve copies of the communication on all other parties to the proceeding and attorneys of record for the parties. Within 10 days after the mailing of such copies, any party may file with the executive secretary, the chief trial examiner, or regional director serving the communication, and serve on all other parties, a statement setting forth facts or contentions to rebut those contained in the unauthorized communication.

(b) Upon appropriate motion to the regional director, the trial examiner, or the Board, before whom the proceeding is pending, under circumstances in which such presiding authority shall determine that the dictates of fairness so require, the unauthorized communication and response thereto may be made part of the record of the proceeding, and provision made for any further action, including reopening of the record, which may be required under the circumstances. No action taken pursuant to this provision shall constitute & waiver of the power of the Board to impose an appropriate penalty under $ 102.134.

$ 102.134 Penalties and enforcement.

Upon notice and hearing, the Board may censure, suspend, or revoke the privilege of practice before the agency of any person who knowingly and willfully makes or solicits the making of a prohibited ex parte communication. To the extent permitted by law, the Board may, under appropriate circumstances, deny or limit remedial measures otherwise available under the act to any party who shall, directly or indirectly, knowingly and willfully make or solicit the making of an unauthorized communication. However, before the Board institutes formal proceedings under this section, it shall first advise the person or persons concerned in writing that it proposes to take such action and that they may show cause, within a period to be stated in such written advice, but not less than 7 days from the date thereof, why it should not take such action. The Board may censure, or, to the extent permitted by law, suspend, dismiss, or institute proceedings for the dismissal of, any Board agent who knowingly and willfully violates the prohibitions and requirements of this rule. 132 F.R. 8406, June 13, 1967) Subpart Q-Procedure Governing

Matters Affecting EmploymentManagement Agreements Under

the Postal Reorganization Act 8 102.135 Employment-management

agreements. (a) Employment-management agreements. All matters within the jurisdiction of the National Labor Relations Board pursuant to the Postal Reorgani

zation Act (chapter 12 of title 39, United States Code, as revised) shall be governed by the provisions of Subparts A, B, C, D, F, G, I, J, K, L, M, O, and P of the rules and regulations insofar as applicable.

(b) Inconsistencies. To the extent that any provision of this Subpart Q is inconsistent with any provision of title 39, United States Code, the provision of said title 39 shall govern.

(c) Exceptions. For the purposes of this subpart, references in the subparts of the rules and regulations cited above to (1) "employer" shall be deemed to include the Postal Service, (2) “act” shall in the appropriate context mean “Postal Reorganization Act," (3) "section 9(c) of the act” and cited paragraphs thereof shall mean “39 U.S.C. secs, 1203(c) and 1204,” and (4) "section 9(b) of the act” shall mean"39 U.S.C. sec. 1202.” [36 F.R. 12532, July 1, 1971)

PART 103—OTHER RULES 1 Subpart A-Jurisdictional Standards § 103.1 Colleges and universities.

The Board will assert its jurisdiction in any proceeding arising under sections 8, 9, and 10 of the Act involving any private nonprofit college or university which has a gross annual revenue from all sources (excluding only contributions which, because of limitation by the grantor, are not available for use for operating expenses) of not less than $1 million [35 F.R. 18370, Dec. 3, 1970]

135 F.R. 18370, Dec. 3, 1970.



[blocks in formation]


Subpart A-Purpose and Scope Subpart A-Purpose and Scope

& 201.1 Purpose and scope. Sec.

The regulations contained in this 201.1 Purpose and scope.

chapter are designed to implement the

provisions of sections 6, 9, 10, 18, and 19 Subpart B-Meanings of Terms in This Chapter

of Executive Order 11491 of October 29, 201.10 Order.

1969, “Labor-Management Relations in 201.11 Agency, employee, labor organization,

the Federal Service" (34 F.R. 17605). council, panel, Assistant Secretary. 201.12 National consultation rights, exclu

They prescribe procedures and basic sive recognition, unfair labor

principles which the Assistant Secretary practices.

of Labor for Labor-Management Rela201.13 Standards of conduct for labor tions will utilize in: organizations.

(a) Deciding questions as to the ap201.14 Activity.

propriate unit for the purpose of exclu201.15 Regional Administrator.

sive recognition and related issues 201.16 Area Administrator.

submitted for his consideration; 201.17 Director. 201.18 Party.

(b) Supervising elections to determine 201.19 Intervenor.

whether a labor organization is the 201.20 Certification.

choice of a majority of the employees 201.21 Appropriate unit.

in an appropriate unit as their exclu201.22 Secret ballot.

sive representative, and certifying the 201.23 Hearing Officer.

results; 201.24 Hearing Examiner.

(c) Deciding questions as to eligibility 201.25 Chief Hearing Examiner.

of labor organizations for national con201.26 Showing of interest.

sultation rights under criteria prescribed AUTHORITY: The provisions of this Part by the Federal Labor Relations Council; 201 issued under secs. 6, 18, E.O. 11491; 3

(d) Effectuating the standards of conCFR, 1969 Comp., p. 191.

duct required of labor organizations by SOURCE: The provisions of this part 201 section 18 of the order; appear at 35 F.R. 2556, Feb. 4, 1970, unless (e) Deciding complaints of alleged otherwise noted.

unfair labor practices, and alleged vio

lations of the standards of conduct for 135 F.R. 2556, Feb. 4, 1970.

labor organizations.

66–065-72 -20

Subpart B-Meanings of Terms in This

Chapter $201.10 Order.

"Order" means Executive Order 11491, entitled "Labor-Management Relations in the Federal Service." § 201.11 Agency, employee, labor orga

nization, council, panel, Assistant

Secretary. “Agency," "employee," "labor organization," "Council," "Panel,” and “Assistant Secretary” have the meanings set forth in section 2 of the order. § 201.12 National consultation rights,

exclusive recognition, unfair labor

practices. "National consultation rights,” “Exclusive recognition,” and “unfair labor practices” have the meanings as set forth in sections 9, 10, and 19, respectively, of the order. & 201.13 Standards of conduct for labor

organizations. “Standards of conduct for labor organizations” shall have the meaning as set forth in section 18 of the order, as amplified in Part 204 of this chapter. & 201.14 Activity.

"Activity” means any facility, geographical subdivision, or combination thereof, of any agency, as that term is defined in section 2 of the order. S 201.15 Regional Administrator.

“Regional Administrator" means the Administrator of a region of the LaborManagement Services Administration, with geographical boundaries as fixed by the Assistant Secretary. 8 201.16 Area Administrator.

“Area Administrator" means the Administrator of an area office within a region of the Labor-Management Seryices Administration, with geographical boundaries as fixed by the Assistant Secretary. 8 201.17 Director.

"Director" means the Director of the Office of Labor-Management and Welfare-Pension Reports. 8 201.18 Party.

"Party" means any person, employee, group of employees, labor organization, agency or activity: (a) Filing a com

plaint, petition or request; (b) named as a party in a complaint, petition or request; or (c) whose intervention in a proceeding has been permitted or directed by the Assistant Secretary, Regional Administrator, Area Administrator, Director, Hearing Oficer, or Hearing Examiner, as the case may be. 8 201.19 Intervenor.

“Intervenor” means a party in a proceeding whose intervention has been permitted or directed by the Assistant Secretary, Regional Administrator, Area Administrator, Director, Hearing Officer, or Hearing Examiner, as the case may be. 201.20 Certification.

Certification” means the determination by the Assistant Secretary, Regional Administrator, or Area Administrator of the results of an election held under the order and the regulations in this chapter, including a certification of representative for exclusive recognition under the order. (35 F.R. 2556, Feb. 4, 1970; 35 F.R. 5688, Apr. 8, 1970) & 201.21 Appropriate unit.

"Appropriate unit” means that grouping of employees found to be appropriate for purposes of exclusive recognition consistent with the provisions of section 10 (b) and (c) of the order. § 201.22 Secret ballot.

"Secret ballot" means the expression by ballot, voting machine or otherwise, but in no event by proxy, of a choice with respect to any election or vote taken upon any matter, which is cast in such a manner that the person expressing such choice cannot be identified with the choice expressed, except in that instance in which any determinative challenged ballot is opened. § 201.23 Hearing Officer.

"Hearing Officer” means the individual designated to conduct a hearing in a unit dispute or such other representation matters as may be assigned. $ 201.24 Hearing Examiner.

"Hearing Examiner” means an individual designated by the Chief Hearing Examiner to conduct the hearing in cases under sections 18 and 19 of the order and such other matters as may be assigned.

« PreviousContinue »