NATIONAL LABOR RELATIONS BOARD DIVISION OF JUDGES BENCH BOOK An NLRB Trial Manual 2021 Edition (Updated March 31, 2021) Judge Jeffrey D. Wedekind Editor FOREWORD A handbook for NLRB trial examiners or administrative law judges has existed in various forms since the earliest days of the National Labor Relations Act. The Bench Book was first published in 2001 and has been updated periodically since. Judge Jeffrey Wedekind has served as its editor since 2010. This 2021 edition of the Bench Book updates the previous edition published in January 2020. It contains citations to numerous additional Board and court decisions. It also includes several new sections: § 12–500 (holding remote hearings by videoconference); § 15–100 (opening statements); § 16–103.1 (timing of evidentiary objections); § 16–407 (subsequent remedial measures); §§ 16–803.1 and 16–803.2 (the hearsay exceptions for present sense impressions and excited utterances); and § 16–901.2 (authenticating audio and video recordings). Like previous editions, this edition of the Bench Book is designed to provide NLRB judges with a reference guide during unfair labor practice (ULP) hearings when other resources may not be readily available. However, it is also a useful tool for all trial practitioners before the Board. It sets forth Board precedent and other rulings and authorities on certain recurring procedural and evidentiary issues that may arise during the hearing. It is not a digest of substantive law. Nor should it be cited as precedent or considered a substitute for issue-specific research. A good source for such research is the NLRB’s Classification Outline and Index (also known as CITENET, the Board’s website search database of Board cases) particularly Chapter 596 “Procedure in ULP Proceedings,” Chapter 737 “Evidence,” and Chapter 700 “General Legal Principles.” The basic sources that govern Board ULP hearings are the National Labor Relations Act (the Act), the Administrative Procedure Act (APA), the Board's Rules and Regulations and Statements of Procedure, and Board decisions. The Board also applies, so far as practicable, the Federal Rules of Evidence (FRE), and frequently seeks guidance from the Federal Rules of Civil Procedure (FRCP). All citations in the Bench Book to the Board’s Rules and Regulations and Statements of Procedure, the FRE, and the FRCP have been updated to reflect the most recent amendments. The Bench Book includes references to unpublished Board orders, unappealed administrative law judge decisions, and other Agency documents that are not binding precedent. It also includes citations to some of the two-Member Board decisions that issued from January 1, 2008–March 29, 2010, and the recess-Board decisions that issued from January 4, 2012–August 4, 2013. These decisions, which are marked with an asterisk (*), lack precedential weight and should be cited, if at all, with caution, unless they have been reaffirmed. See New Process Steel, L.P. v. NLRB, 560 U.S. 674 (2010) (holding that the two-Member Board lacked authority to issue its decision in that case); and NLRB v. Noel Canning, 573 U.S. 513 (2014) (holding that the appointments of Members Sharon Block, Richard Griffin, and Terence Flynn during a 3-day intrasession recess were invalid). However, they may provide useful guidance in evaluating similar issues and factual situations. A search of the Bench Book can be performed by pressing the “Ctrl” and “F” keys together and typing the search word(s) in the box. Robert A. Giannasi Chief Administrative Law Judge BENCH BOOK An NLRB Trial Manual TABLE OF CONTENTS1 CHAPTER 1. MODEL STATEMENTS, ORDERS, AND OATHS .................................................. 1 § 1–100 Opening Statement by Judge .................................................................................. 1 § 1–200 Closing Statement by Judge ................................................................................... 1 § 1–300 Sequestration Order ................................................................................................ 2 § 1–400 Witness Oath .......................................................................................................... 3 § 1–500 Interpreter's Oath .................................................................................................... 4 CHAPTER 2. THE TRIAL JUDGE ................................................................................................ 5 § 2–100 Designation ............................................................................................................. 5 § 2–200 Ex Parte Communications ....................................................................................... 5 § 2–210 Basic Prohibition ................................................................................................. 5 § 2–220 Exceptions to Basic Prohibition ........................................................................... 5 § 2–230 Procedure When Prohibited Communication Received ....................................... 6 § 2–300 Duties and Powers of Trial Judge ............................................................................ 7 § 2–400 Disqualification of Judge ......................................................................................... 9 § 2–410 Grounds Asserted for Disqualification ................................................................. 9 § 2–420 Disqualification Procedure................................................................................. 12 CHAPTER 3. PLEADINGS ......................................................................................................... 13 § 3–100 The Charge ........................................................................................................... 13 § 3–110 General Principles ............................................................................................. 13 § 3–120 Filing and Service Under Section 10(b) ............................................................. 13 § 3–130 Sufficiency of the Charge .................................................................................. 14 § 3–140 Scope of Investigation of the Charge ................................................................ 14 § 3–200 Complaint .............................................................................................................. 14 § 3–210 Complaint Closely Related to Timely Charge .................................................... 15 § 3–220 Adequacy of Complaint ..................................................................................... 16 § 3–230 Bill of Particulars or More Definite Statement .................................................... 16 § 3–300 Amendments to Complaints .................................................................................. 18 § 3–310 Who May Seek and Who May Grant Amendments ........................................... 18 § 3–320 When Amendments Are Allowed ....................................................................... 19 § 3–330 Amendments and Section 10(b) ........................................................................ 21 § 3–340 De Facto Amendment—Unpleaded But Fully Litigated ...................................... 21 § 3–400 Consolidation and Severance ............................................................................... 25 § 3–410 General Principles ............................................................................................. 25 § 3–420 Consolidation .................................................................................................... 26 § 3–430 Severance or Bifurcation ................................................................................... 27 § 3–500 Withdrawal or Dismissal ........................................................................................ 28 § 3–550 Revival of Withdrawn or Dismissed Charge ...................................................... 29 1 To proceed directly to a chapter or section, place the cursor over it and left click the mouse. i § 3–600 Answer to Complaint ............................................................................................. 30 § 3–610 Jurisdiction ........................................................................................................ 32 § 3–620 Affirmative Defenses ......................................................................................... 33 § 3–700 Section 10(b) Affirmative Defense ......................................................................... 34 § 3–710 Computation of Section 10(b) Period ................................................................ 34 § 3–720 Background Evidence ....................................................................................... 35 § 3–730 Continuing Violations ........................................................................................ 35 § 3–740 Backpay for Continuing Violations ..................................................................... 36 § 3–750 Fraud or Deception ........................................................................................... 36 § 3–800 Other Affirmative Defenses ................................................................................... 36 § 3–810 Charging Party’s Motive or Misconduct ............................................................. 36 § 3–820 Laches .............................................................................................................. 37 § 3–830 Inadequate Investigation/Compliance with Casehandling