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8 204.53 Filing of complaints.

A complaint alleging violations of this part may be filed with any Area Administrator.

PROCEDURES UNDER BILL OF RIGHTS § 204.54 Complaints alleging violations

of 8 204.2, Bill of Rights of members

of labor organizations. Any member of a labor organization whose rights under the provisions of § 204.2 are alleged to have been infringed or violated, may file a complaint in accordance with $ 204.53: Provided, however, That such member may be required to exhaust reasonable hearing procedures (but not to exceed a 4-month lapse of time) within such organization. § 204.55 Content of complaint.

(a) The complaint shall contain appropriate identifying information and a clear and concise statement of the facts constituting the alleged violation.

(b) The complainant shall submit with his complaint a statement setting forth the procedures, if any, invoked to remedy the alleged violation including the dates when such procedures were invoked and copies of any written ruling or decision which he has received. $ 204.56 Service on respondent.

Simultaneously with the filing of a complaint, a copy of the complaint shall be served upon the respondent, and a written statement of such service shall be furnished to the Area Administrator. § 204.57 Investigation.

(a) Upon the filing of a complaint pursuant to $$ 204.54–204.56, the Area Administrator shall make such investigation as he deems necessary and shall report the essential facts, the positions of the parties, and any offers of settlement to the Regional Administrator.

(b) An investigation to determine whether any person has violated § 204.2 shall be conducted only after receipt of a complaint filed pursuant to $8 204.54204.56 and shall be limited to the allegations of such complaint. 8 204.58 Dismissal of complaint.

If the Regional Administrator, after receipt of a report of the Area Administrator pursuant to $ 204.57, determines that a reasonable basis for the complaint has not been established, or that a satisfactory offer of settlement has been

made, he may dismiss the complaint. If he dismisses the complaint, he shall furnish the complainant with a written statement of the grounds for dismissal, sending a copy of the statement to the respondent. $ 204.59 Review of dismissal.

The complainant may obtain à review of such action by filing a request for review with the Assistant Secretary within ten (10) days of service of the notice of dismissal and simultaneously serving a copy of such request on the Regional Administrator and the respondent. A statement of service shall be filed with the Assistant Secretary. The request for review shall contain a complete statement of the facts and reasons upon which a request is based. $ 204.60 Actionable complaint.

If it appears to the Regional Administrator that there is a reasonable basis for the complaint, and that no satisfactory offer of settlement has been made, he shall cause a notice of hearing to be issued and served on both the complainant and the labor organization. $ 204.61 Notice of hearing.

The notice of hearing shall include: (a) A copy of the complaint;

(b) A statement of the time and place of the hearing which shall be not less than 10 days after service of notice of the hearing, except in extraordinary circumstances;

(c) A statement of the nature of the hearing; and

(d) A statement of the authority and jurisdiction under which the hearing is to be held. 8 204.62 Hearing procedures.

The proceedings following issuance of the notice of hearing shall be as provided in $ $ 203.10 through 203.26 of this chapter.

ELECTION OF OFFICERS

$ 204.63 Complaints alleging violations

of $ 204.29, Election of officers. (a) A member of a labor organization may file a complaint alleging violations of 204.29 within 1 calendar month after he has (1) exhausted the remedies available under the constitution and bylaws of the labor organization and of any parent body, or (2) invoked such available remedies without obtaining a

final decision within 3 calendar months ure to reach agreement following any of such invocation.

such conference, the Director shall, (b) The complaint shall contain a through the Regional Administrator, clear and concise statement of the facts cause a notice of hearing to be issued. constituting the alleged violation(s) and a statement of what remedies have been

§ 204.67

Notice of hearing. invoked under the constitution and by- The notice of hearing shall constitute laws of the labor organization and when the institution of a formal enforcement such remedies were invoked.

proceeding in the name of the Director, (c) The complainant shall submit who shall be the only complaining party with his complaint a copy of any ruling in the proceeding and shall, where he or decision he has received in connection believes it appropriate, refrain from diswith the subject matter of his complaint. closing the identity of any person who § 204.64 Investigation;

called the violation to his attention (ex

dismissal of complaint.

cept in proceedings involving violations

of $ 204.29, Election of officers). The noIf investigation discloses (a) that there

tice of hearing shall include the has been no violation or (b) that a vio

following: lation has occurred but was not of the

(a) The name and identity of each kind that may have affected the outcome

respondent. or (c) that a violation has occurred but

(b) A clear and concise statement of has been remedied, the Director shall

the facts alleged to constitute violations issue a determination dismissing the of the order or of this part. complaint and stating the reasons for his

(c) A statement of the authority and action.

jurisdiction under which the hearing is $ 204.65 Procedures following action

to be held. able complaint.

(d) A statement of the time and place

of the hearing which shall be not less (a) If the Director concludes that

than ten (10) days after service of the there is probable cause to believe that a

notice of the hearing. violation has occurred and has not been

(e) In any notice of hearing issued remedied and may have affected the out

upon the basis of a complaint filed purcome of the election, he shall proceed

suant to $ 204.63, a statement setting in accordance with $ $ 204.66 through

forth the procedures, if any, followed 204.73.

to invoke available remedies, including (b) The challenged election shall be

the dates when such procedures were presumed valid pending a final decision

invoked, and the substance of any ruling thereon by the Assistant Secretary, and

or decision received by the complaining in the interim the affairs of the organi

member from the labor organization or zation shall be conducted by the officers

any parent body. elected or in such other manner as its constitution and bylaws may provide. § 204.68 Answer. OTHER ENFORCEMENT PROCEEDINGS

(a) Within fourteen (14) days from

the service of the notice of hearing, the $ 204.66 Procedures for institution of

respondent shall file an answer thereto enforcement proceedings.

with the Chief Hearing Examiner or Whenever It appears to the Director with the Hearing Examiner if one has that a violation of this part (other than been designated, and furnish a copy to § 204.2, Bill of Rights of members of labor the Director. The answer shall be signed organizations) has occurred and has not by the respondent or his attorney. been remedied, he shall immediately (b) The answer shall (1) contain a notify any appropriate person and labor statement of the facts which constitute organization. Within ten (10) days fol- the grounds of defense, and shall specifilowing receipt of such notification, any

cally admit, explain, or deny each of the such person or labor organization may

allegations of the notice of hearing unrequest a conference with the Director

less the respondent is without knowledge, or his representatives concerning such alleged violation. At any such conference,

in which case the answer shall so state; the Director may enter into an agreement

or (2) state that the respondent admits providing for appropriate remedial ac

all of the allegations in the notice of tion. If no person or labor organization

hearing. Failure to file an answer to or requests such a conference, or upon fail- plead specifically to any allegation in

§ 204.72 Hearing procedures.

After the opening of a hearing, the procedures shall be as provided in $$203.10 through 203.26 of this chapter, with the exception of g 203.11 and that part of $ 203.18 which refers to prehearing motions. § 204.73 Stay of remedial action.

In cases involving violations of this part, the Assistant Secretary may direct, subject to such conditions as he deems appropriate, that the remedial action ordered be stayed pending any further appeal that may be available under $ 203.25(C) or the regulations of the Council, except that an order directing an election of officers shall not be stayed pending appeal.

the notice of hearing shall constitute an admission of such allegation. $ 204.69 Procedure upon admission of

facts. The admission, in the answer or by failure to file an answer, of all the material allegations of fact in the notice of hearing shall constitute a waiver of hearing. Upon such admission, the Hearing Examiner without further hearing shall prepare his report and recommendation in which he shall adopt as his proposed findings of fact the material facts alleged in the notice of hearing. $ 204.70 Motions.

Motions made prior to the hearing shall be filed with the Chief Hearing Examiner or with the Hearing Examiner if one has been designated. Motions during the course of the hearing may be stated orally or filed in writing and shall be made part of the record. Each motion shall state the particular order, ruling, or action desired, and the grounds therefor. The Hearing Examiner is authorized to rule upon all motions made prior to the filing of his report. The Chief Hearing Examiner may rule upon motions made prior to the designation of the Hearing Examiner or may refer such motions to a Hearing Examiner. $ 204.71 Prehearing conferences.

(a) Upon his own motion or the motion of the parties, the Hearing Examiner may direct the parties or their counsel to meet with him for a conference to consider:

(1) Simplification of the issues;

(2) Necessity or desirability of amendments to the notice of hearing or answer for purposes of clarification, simplification, or limitation;

(3) Stipulations, admissions of fact, and of contents and authenticity of documents;

(4) Limitation of the number of expert witnesses; and

(5) Such other matters as may tend to expedite the disposition of the proceeding.

(b) The record shall show the matters disposed of by order and by agreement in such pretrial conferences. The subsequent course of the proceeding shall be controlled by such action.

PART 205_MISCELLANEOUS Sec. 205.1 Computation of time for filing papers. 205.2 Additional time after service by mail, 205.3 Documents in a proceeding. 205.4 Service of pleading and other paper

under this chapter. 205.5 Transfer of case to Assistant Secretary. 205.6 Request for appearance of witnesses

and production of documents at

hearing. 205.7 Rules to be liberally construed. 205.8 Petitions for amendment of regula

tions. AUTHORITY: The provisions of this part 205 issued under secs. 6, 18, E.O. 11491; 3 CFR, 1969 Comp., p. 191.

SOURCE: The provisions of this Part 205 appear at 35 F.R. 2563, Feb. 4, 1970, unless otherwise noted. $ 205,1 Computation of time for filing

papers. In computing any period of time prescribed by or allowed by the regulations in this chapter, the day of the act, event, or default after which the designated period of time begins to run, shall not be included. The last day of the period so computed is to be included unless it is a Saturday, Sunday, or Federal legal holiday in which event the period shall run until the end of the next day which is neither a Saturday, Sunday, or a Federal legal holiday. When the period of time prescribed or allowed is less than seven (7) days, intermediate Saturdays, Sundays, and Federal legal holidays shall be excluded from the computations. When

the regulations in this chapter require the filing of any paper, such document must be received by the Assistant Secretary or the officer or agent designated to receive such matter before the close of business of the last day of the time limit, if any, for such filing or extension of time that may have been granted. $ 205.2 Additional time after service by

mail. Whenever à party has the right or is required to do some act pursuant to the regulations in this chapter within a prescribed period after service of a notice or other paper upon him and the notice or paper is served on him by mail, three (3) days shall be added to the prescribed period: Provided, however, That three (3) days shall not be added if any extension of time may have been granted. $ 205.3 Documents in a proceeding.

(a) Title. Documents in any proceeding under the regulations in this chapter including correspondence shall show the title of the proceeding and the case number, if any.

(b) Number of copies; form. Except as otherwise provided in the regulations in this chapter, any documents or papers shall be filed with four (4) copies in addition to the original. All matters filed shall be printed, typed, or otherwise legibly duplicated; carbon copies of typewritten matter will be accepted if they are clearly legible.

(c) Signature. The original of each document required to be filed under the regulations in this chapter shall be signed by the party or by an attorney or representative of record for the party, or by an officer of the party and shall contain the address and telephone number of the person signing it. 8 205.4 Service of pleading and other

paper under this chapter. (a) Method of service. Notices of hearing, decisions, orders and other papers may be served personally or by registered or certified mail or by telegraph.

(b) Upon whom served. All papers except complaints, petitions and papers relating to requests for appearance of witnesses or production of documents shall be served upon all counsel of record and upon parties not represented by counsel or by their agents designated by

them or by law and upon the Assistant Secretary, or his designated officer or agent or examiner, where appropriate. Service upon such counsel or representative shall constitute service upon the party, but a copy also shall be transmitted to the party.

(c) Statement of service. The party or person serving the papers or process shall submit simultaneously to the Assistant Secretary or other designated representative, or to the individual conducting the proceeding, a written statement of such service; failure to file a statement of service shall not affect the validity of the service. Proof of service shall be required only if subsequent to the receipt of a statement of service a question is raised with respect to proper service. $ 205.5 Transfer of case to Assistant

Secretary. (a) In any case under Parts 202 and 203 of this chapter in which the Regional Administrator determines that no material issue of fact exists, he may transfer the case to the Assistant Secretary who shall decide the case on the basis of the papers alone after having allowed ten (10) days for the filing of briefs and/or requests for review of the Regional Administrator's action; or the Assistant Secretary may remand the case to the Regional Administrator if he determines that material fact questions exist. Orders of transfer and remand shall be served on all parties.

(b) In any case under Parts 202 and 203 of this chapter in which it appears to the Regional Administrator that the proceedings raise questions which should be decided by the Assistant Secretary, he may, at any time, issue an order transferring the case to the Assistant Secretary for decision or other appropriate action. Such an order shall be served on the parties. $ 205.6 Request for appearance of wit

nesses and production of documents

at hearing. The Regional Administrator, Hearing Officer, or Hearing Examiner as appropriate may request the attendance of witnesses and the production of documents at a hearing held pursuant to this chapter. A party may file a written application for such request with the RePART 210_INTERPRETATIONS Sec. 210.1 Purpose of this part.

SUPERVISORS 210.20 Supervisors acting as delegates to

labor organization conventions

held prior to December 31, 1970. AUTHORITY: The provisions of this part 210 issued under E.O. 11491; 3 CFR, 1969 Comp., p. 191.

SOURCE: The provisions of this Part 210 appear at 35 F.R. 11618, July 21, 1970, unless otherwise noted.

or

gional Administrator before the opening of a hearing or with a Hearing Officer or Hearing Examiner during the hearing. The application for request shall name and identify the witness or the documents sought, or both, and the reason therefor. Notice of an application for request need not be communicated to the parties. The Regional Administrator, Hearing Officer or Hearing Examiner shall grant the request provided the anticipated testimony or documents appear to be reasonably related to the matters under investigation and describes with sufficient particularity the documents sought. If the Regional Administrator, Hearing Officer, Hearing Examiner denies such request he shall set forth the basis for his ruling, which shall become a part of the record. Upon the failure of any party or officer of any party to comply with such a request the Regional Administrator, the Hearing Officer, Hearing Examiner, or the Assistant Secretary may disregard all related evidence offered by the party failing to produce such evidence. § 205.7 Rules to be liberally construed.

(a) The regulations in this chapter shall be liberally construed to effectuate the purposes and provisions of the order.

(b) When an act is required or allowed to be done at or within a specified time the Assistant Secretary may at any time order the period altered where it shall be manifest that strict adherence will work surprise or injustice or interfere with the proper effectuation of the order. § 205.8 Petitions for amendment of

regulations. Any interested person may petition the Assistant Secretary in writing for amendments to any portion of the regulations in this chapter. Such petition shall identify the portion of the regulations involved and provide the specific language of the proposed amendment together with a statement of grounds in support of such petition.

$ 210.1 Purpose of this part.

It is the purpose of this part to make available interpretations under the provisions of Executive Order No. 11491 which will guide the Assistant Secretary of Labor for Labor-Management Relations in the performance of his duties under the Order unless or until he shall subsequently determine that the interpretation is incorrect.

SUPERVISORS $ 210.20 Supervisors acting as delegates

tó labor organization conventions

held prior to December 31, 1970. Under the principles stated in section 1(b) of Executive Order 11491, supervisors are not authorized to participate in the management of a labor organization or to act as a representative of such an organization, except as provided in section 24 of the Order. Section 24(d) of Executive Order 11491 provides that supervisors shall be excluded from units of formal and exclusive recognition by December 31, 1970, except as provided in section 24(a). The Executive Order specifically recognizes a transitional period between Executive Order 10988 and Executive Order 11491 as stated in section 24(d). Therefore, the fact that a supervisor may be a delegate to a labor organization convention held prior to December 31, 1970, will not, in and of itself, violate section 1(b) of Executive Order 11491.

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