REVISIONS TO COMPLIANCE MANUAL Date Section Update 10/7/2015 10632.6 List of documents to be submitted to CCSLB updated as per ICG 16-01 11/24/2015 10582.1, 10582.2 Procedures for Requesting Disbursement 11/24/2015 Added appendix 25 Finance Branch Disbursement Form 11/24/2015 Added appendix 26 OCFO Recipient Information Form 4/15/2016 10557, 10578.4 Reporting of Backpay Allocation to Social Security Administration 9/1/2016 10592.8 Reinstatement 4/17/17 10508.3 Resolving Remedial Issues in the Original ULP Proceedings 4/17/17 10566.2 Daily Compounded Interest will Accrue on all Backpay on a Pay Period Basis 6/21/17 10557 Reporting of Backpay Allocation to the Social Security Administration 6/21/17 10578.4 Allocation of Social Security Credit 7/22/2017 10562.1 Overview 7/22/2017 10562.2 Resources and Methods 7/22/2017 10582.3 Escrow for Missing or Unavailable Discrminatees 7/22/2017 Index Remove: • Advertising for Missing Discriminatees (under A) • Advertising for (under Discriminatees) • Searching for (under Missing) • Locating Missing Discriminatees (under L) • Searching for Missing Discriminatees (under S) • Letter Forwarding to Missing Discriminatee (under Social Security Security) 7/22/2017 10704.1 Division of Operations-Management - Submit DETAILED TABLE OF CONTENTS COMPLIANCE PROCEEDINGS INTRODUCTION Purpose of the Manual Detailed Table of Contents 10504 Precomplaint Compliance Procedures ............................................................................. 10504 10504.1 Overview ................................................................................................................ 10504.1 Information from Charging Parties/Potential Discriminatees ................................................. 10504.2 Identifying Unnamed Discriminatees ..................................................................................... 10504.3 Recording Social Security Numbers/Interim Employers ........................................................ 10504.4 Obtain Full and Correct Name of Charged Parties ................................................................. 10504.5 Labor Organization Respondents ........................................................................................... 10504.6 Identifying Recidivist Respondents ........................................................................................ 10504.7 Investigation of Alter Ego Operations, Disguised Continuances and Successors .................. 10504.8 Derivative Liability ................................................................................................................ 10504.9 Bankruptcy Coordinator ....................................................................................................... 10504.10 Compliance Assistance From the Compliance Unit and Contempt, Compliance and Special Litigation Branch ...................................................................... 10504.11 Initiation of Compliance Actions ................................................................................................. 10506 Overview ................................................................................................................................ 10506.1 Upon the Region’s Determination of a Violation or Issuance of a Complaint ....................... 10506.2 Maintaining Contact with Discriminatees and Identifying Unnamed Discriminatees ............ 10506.3 Monitoring Ability to Comply ................................................................................................ 10506.4 Following an Informal Settlement Agreement ....................................................................... 10506.5 Following a Formal Settlement Agreement ............................................................................ 10506.6 Following an Administrative Law Judge’s Decision .............................................................. 10506.7 Following a Board Order ........................................................................................................ 10506.8 Following Entry of a Court Judgment .................................................................................... 10506.9 Compliance Procedures While Appeals, Exceptions, and Motions for Reconsideration are Pending ........................................................................................... 10506.10 Following Dismissal of Unfair Labor Practice Proceedings ................................................. 10506.11 Procedures to Follow Upon Issuance of Complaint ................................................................... 10508 Upon the Region’s Determination of a Violation or Issuance of a Complaint ....................... 10508.1 Review of the Complaint for Compliance Issues ................................................................... 10508.2 Resolving Remedial Issues in the Original Unfair Labor Practice Proceedings ..................... 10508.3 Monitoring Respondent’s Ability to Comply ......................................................................... 10508.4 Investigative Methods ............................................................................................................ 10508.5 Investigative Resources .......................................................................................................... 10508.6 Investigative Subpoenas ......................................................................................................... 10508.7 Establish and Maintain Contact with Discriminatees ............................................................. 10508.8 Calculate Backpay With Information Collected From Discriminatees................................... 10508.9 DETAILED TABLE OF CONTENTS Determining Compliance Requirements .................................................................................... 10512 Overview ................................................................................................................................ 10512.1 Negative Provisions ...................................................................................................................... 10514 Affirmative Provisions ................................................................................................................. 10516 Notice Posting ............................................................................................................................... 10518 Wording Fixed ........................................................................................................................ 10518.1 Location and Number of Notices ............................................................................................ 10518.2 Preparation of Notices for Posting .......................................................................................... 10518.3 Respondent Effectuation of Posting ....................................................................................... 10518.4 Posting by a Union ................................................................................................................. 10518.5 Side Notices ............................................................................................................................ 10518.6 Routine Notice Checks ........................................................................................................... 10518.7 Possible Contempt for Refusal to Post Notices ...................................................................... 10518.8 Notice Mailing ............................................................................................................................... 10520 Determining Compliance with Enhanced Remedies Provisions ............................................... 10521 Electronic Posting/Distribution of Notices ............................................................................. 10521.1 Notice Reading ....................................................................................................................... 10521.2 Preserve and Make Available Records ....................................................................................... 10522 Report to the Regional Director on Compliance Steps Taken ................................................ 10522.1 Reimbursement for Dues Deducted ............................................................................................ 10524 Compliance With a 10(k) Determination of Dispute ................................................................. 10526 Bargaining ..................................................................................................................................... 10528 Overview ................................................................................................................................ 10528.1 Affirmative Requirements That Require Charging Party Request ......................................... 10528.2 Obligations to Recognize, Meet, and Bargain ........................................................................ 10528.3 Bargaining Obligations Monitored for a Reasonable Period of Time .................................... 10528.4 Make-Whole Benefit Funds .................................................................................................... 10528.5 Disestablishment..................................................................................................................... 10528.6 Transmarine Remedy .............................................................................................................