CASE HANDLING PROCEDURES

The statutory processes of the National Labor Relations Act are not self-initiating. Rather, they begin with the filing of an unfair labor practice charge or a representation petition by a person or an organization. While the steps taken in the processing of petitions and charges are quite different, they do have similarities. For example, both proceedings provide for investigation by the Regional Director as to whether to proceed with the case. In fact, most cases are processed to finality in the regional offices without formal consideration by the Board, General Counsel, or the courts.

Unfair Labor Practice Cases

Procedures for processing an unfair labor practice charge begin with the filing of the charge. It is then investigated by a regional office. Upon completion of the investigation, the Regional Director reviews the evidence and the recommendation of the investigator and the supervisory staff. If he concludes that there is sufficient evidence to support the allegations of the charge and the case is not settled, he issues an unfair labor practice complaint and sets the matter for hearing before an Administrative Law Judge. If the Regional Director determines that the charge lacks merit, the charge is dismissed if it is not withdrawn by the charging party. A dismissed charge may be appealed directly to the General Counsel, who may reverse or sustain the Director's decision. If reversed, the matter is returned to the regional office for issuance of a complaint. If the Director's decision is sustained by the General Counsel, the matter is closed.

At an unfair labor practice hearing before an Administrative Law Judge, the General Counsel is represented by an attorney from the regional office who acts as a prosecutor of the complaint, and all parties are given onnortunities to present evidence. Appeal from the decision of the Administrative Law Judge is to the Board.

Representation Cases

A representation case is assigned to a professional employee for investigation. In the absence of evidence warranting administrative dismissal, the professional attempts to get the parties to agree as to the unit in which the election should be held, the complement of that unit, and an appropriate time and place for an election. An agreement for an election must be approved by the Regional Director.

If there is no agreement, the matter is scheduled for a hearing before a Hearing Officer. The Hearing Officer, usually a professional from the regional office, is precluded from making findings of fact or recommendations on the case. After the hearing is closed, the case record is reviewed and a decision is issued by the Regional Director. Any party may appeal this decision directly to the Board. Once the issues involved are resolved by a Regional Director or Board decision, an election may be directed or the petition dismissed.

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The secret ballot elections are conducted by an agent from the regional office. Questions as to eligibility of voters at the election are handled through a "challenged ballot" procedure and such ballots become significant only if their number would affect the results of the post-election ballot count. Investigations of objections to an election or of challenged ballots are conducted by the regional offices, and the Regional Director's disposition of these matters can be appealed to the Board.

THE CASE CONTROL SYSTEM

With the broad guideline of establishing interim goals for each stage of case processing, NLRB (aided by a time study and the experience of selected headquarters staff members) developed a time for the average case to be processed. Time objectives were set for processing both unfair labor practice and representation matters.

For example, the standard for investigating and determining the merit of unfair labor practice charges is 30 days. The action implementing that decision (whether a dismissal, withdrawal, settlement, or complaint) is to be completed in an additional 15 days. Thus, in an unfair labor practice case in which merit is found by the Regional Director and no settlement achieved, the complaint and notice of hearing is due 45 days after the charge is filed. The NLRB seeks to close the unfair practice hearing in an additional 45 days or within 90 days of the filing of the charge.

The time objectives developed were promulgated and explained at a conference of top field managers. In addition, recognizing that faster case processing would affect the labor practitioners before the agency, NLRB met with representatives of the Bar throughout the country to explain the program and its objectives.

THE MANAGEMENT INFORMATION SYSTEM

At the same time that time objectives were established for case processing, NLRB created a Time and Performance Branch in Washington to monitor and evaluate monthly statistics on case handling performance. The branch also evaluated the quality of case handling and fed all the performance information back to the regional offices. Today, these functions are the responsibility of the Division of Operations Management which performs an integral and important role in the Office of the General Counsel's case management system.

This division is located in Washington and is headed by an Associate General Counsel. The remainder of the professional staff is made up of a Deputy Associate General Counsel, six Assistant General Counsels, and six Deputy Assistant General Counsels. The nation is divided into six Districts and, working as a team, an Assistant General Counsel and a Deputy Assistant General Counsel are responsible for the overall operation and performance for one of six Districts. These Districts are drawn on geographic lines and are composed of several regional offices. Thus, one Assistant General Counsel and his Deputy are responsible for the performance of the six regional offices in the northeastern United States.

The performance evaluation system has not changed much since its implementation. Procedures were set up to obtain statistics on the attainment of time objectives and on other important areas of case handling. These statistics are translated into case handling performance areas such as:

percentage of cases successfully litigated;

percentage of cases settled;

the median age of cases pending under investigation;

the median days to issuance of complaint; and

the number and percentage of average cases in different
stages computed both nationally and by regional office.

Performance factors are monitored closely by the Division of Operations Management and by the Regional Directors. In addition, in order to measure field office productivity, point values have been developed and assigned to different case handling actions. On a monthly basis, these values are totalled and divided by the number of staff available to the Regional Director for case handling. The result effectively measures both national and individual regional office productivity. The productivity values assigned to the different case handling actions are based on the time required to complete these actions in the typical or average case.

The basic element in the information system is the case dispositions report which is forwarded to Washington monthly and which reflects information on case actions such as the filing of unfair labor practice charges and representation petitions, election agreements, settlements, dismissal letters, and complaints. At the end of each month, regional offices also report a summary of the actions taken and the names, case numbers, and reasons for cases which are overage in a particular stage of case processing.

PERFORMANCE FEEDBACK

Once data computation is complete, each Assistant General Counsel reviews the performance of the regions in his district. He then forwards his comments and analysis of their performance to each region and, based upon discussions with the directors and Washington officials, suggestions for improvement as well. Briefly then, a Regional Director receives a monthly review of the performance of his office which is available to both the Washington and regional staff. The review identifies areas for improvement and provides a continuum of short-range case handling objectives. The Regional Director also receives a series of charts which, without identifying the standings of other specific regions, reflects his standing in comparison to the others. For example, a chart showing the relative standings and performance of the regions for the issuance of complaints is shown on page 8.