ROSS STORES, INC., Petitioner, v. NATIONAL LABOR RELATIONS BOARD, Respondent.
No. 99-1453.
United States Court of Appeals, District of Columbia Circuit.
Argued Sept. 12, 2000. Decided Jan. 12, 2001.
235 F.3d 669
Jill A. Griffin, Attorney, National Labor Relations Board, argued the cause for the respondent. Leonard R. Page, General Counsel, Linda Sher, Associate General Counsel, Aileen A. Armstrong, Deputy Associate General Counsel, and David Habenstreit, Attorney, National Labor Relations Board, were on brief.
James B. Coppess and Jonathan P. Hiatt were on brief for amicus curiae American Federation of Labor and Congress of Industrial Organizations
Before: HENDERSON, RANDOLPH and GARLAND, Circuit Judges.
Opinion for the court by Circuit Judge HENDERSON.
Concurring opinion filed by Circuit Judge HENDERSON.
Concurring opinion filed by Circuit Judge RANDOLPH.
Opinion concurring in part and dissenting in part filed by Circuit Judge GARLAND.
Ross Stores, Inc. (Ross) petitions for review of a decision and order of the National Labor Relations Board (Board, NLRB) finding that Ross violated section
I.
In May 1993 a group of employees at Ross‘s non-union distribution center in Carlisle, Pennsylvania began organizing efforts on behalf of the International Ladies Garment Workers Union, Local 170, AFL-CIO (Union). On June 1, 1993 the Union wrote to David Morrison, a Ross vice president in charge of the Carlisle facility, formally advising him of the organization activity and identifying 15 involved employees, including David Jumper and Jumper‘s fiancee, Kathy Curtis. Three incidents during the organizing campaign were alleged below to constitute unfair labor practices by Ross.
First, at an assembly in late May 1993 Morrison told the gathered employees they did not need a union and he would do anything in his power to keep the union out of the building. App. 670.
Second, in late May or early June 1993 supervisor Michael Simondi observed Jumper and a coworker exit the men‘s restroom together and, when he entered the restroom, discovered they had posted union literature inside. He removed the postings and later admonished each of them separately that there was no solicitation on these premises. App. 670.
The third incident was Jumper‘s discharge. On August 12, 1993 Jumper, who had a history of tardiness and absenteeism, asked his supervisor if he could change his upcoming August 16 personal birthday vacation day to August 12 so that he could accompany Curtis to the hospital to be treated for an injury she had suffered the previous day. Jumper‘s supervisor responded that he lacked authority to approve the switch and referred Jumper up the chain of command. Two higherups similarly disclaimed approval authority and Jumper was finally referred to human resource specialist Paula Hoch. Jumper met with Hoch at about 8:15 the same morning and explained his situation. She told him the vacation day had to be scheduled in advance and, when he said he was leaving anyway, warned him he would then incur additional absentee points. Jumper then left. When he arrived at work the next day, August 13, he was greeted by Morrison and Hoch. Morrison told Jumper he was being discharged in accord with Ross‘s absence policy because he had exceeded the permissible number of absentee points, which he had.
The day he was fired, August 13, 1993, Jumper filed a handwritten charge with the NLRB expressing his belief that he had been terminated from Ross Inc. due to union involvement. App. 1. On March 4, 1994 Jumper filed a second, typewritten charge alleging three separate unfair labor practices: Simondi‘s no-solicitation admonition, Morrison‘s comments to the employees and the discharge. On March 18, 1994 the Board‘s General Counsel issued a
After a two-day hearing in February 1994 the Administrative Law Judge (ALJ) issued a decision dated April 5, 1995 finding each of the three charges proven. In the decision the ALJ denied Ross‘s motion to dismiss the first two charges as time-barred under section
In a decision and order issued September 30, 1999 a divided Board affirmed the ALJ‘s denial of Ross‘s motion to dismiss and the findings that Simondi‘s no-solicitation admonition and Jumper‘s discharge violated, respectively, section
Ross petitioned for review and the Board cross-applied for enforcement.
II.
We address Ross‘s challenge to each of the two unfair labor practice findings separately.
A.
First we consider the Board‘s finding that Simondi violated section
Whenever it is charged that any person has engaged in or is engaging in any such unfair labor practice, the Board, or any agent or agency designated by the Board for such purposes, shall have
power to issue and cause to be served upon such person a complaint stating the charges in that respect, and containing a notice of hearing before the Board or a member thereof, or before a designated agent or agency, at a place therein fixed, not less than five days after the serving of said complaint: Provided, That no complaint shall issue based upon any unfair labor practice occurring more than six months prior to the filing of the charge with the Board and the service of a copy thereof upon the person against whom such charge is made, unless the person aggrieved thereby was prevented from filing such charge by reason of service in the armed forces, in which event the six-month period shall be computed from the day of his discharge.
The NLRB has long construed section
First, the Board will look at whether the otherwise untimely allegations involve the same legal theory as the allegations in the pending timely charge. Second, the Board will look at whether the otherwise untimely allegations arise from the same factual circumstances or sequence of events as the pending timely charge. Finally, the Board may look at whether a respondent would raise similar defenses to both allegations.
Nickles Bakery of Indiana, Inc., 296 N.L.R.B. 927, 928 (1989) (citing Redd-I, Inc., 290 N.L.R.B. 1115, 1116 (1988)). Here the Board found the separate allegations are closely related based on (1) the common legal theory of animus in opposition to the Union‘s organizational campaign; (2) the similar factual circumstances that each incident arose in the context of a single organizational campaign and was part of the Respondent‘s overall efforts to resist that campaign; and (3) the common defenses that Ross did not seek to unlawfully restrict Jumper‘s union activity by the manager‘s placing restrictions on Jumper‘s solicitation activities or by Jumper‘s subsequent discharge. NLRB Dec. at 2-3. We hold that the Board‘s finding of a factual nexus under the second prong of the test is inadequate as we held regarding similar findings in both Drug Plastics & Glass Co. v. NLRB, 44 F.3d 1017 (D.C. Cir. 1995), and G.W. Galloway Co. v. NLRB, 856 F.2d 275 (D.C. Cir. 1988).3
In Drug Plastics the Board‘s General Counsel filed a complaint alleging a timely charged retaliatory discharge and a series of uncharged anti-union acts in the months surrounding the discharge. The Board found the uncharged complaint allegations closely related to the charged termination allegation because it found that the allegations arise out of the Respondent‘s overall plan to resist the Union ...; that all the allegations occurred after the respondent‘s acknowledged awareness of the organizing effort ...; that several of the allegations involved statements to [the discharged employee] ...; and that the
The Board‘s contention that the factual relationship prong can be satisfied solely on the basis that the separate acts arise out of the same anti-union campaign here is a deviation from the very precedent it cites. As we stated in Drug Plastics, Nickles simply does not support the Board‘s conclusion. 44 F.3d at 1021. The Board in Nickles did not even address whether the circumstances there supported a closely related finding but merely overruled those cases holding or implying that the catchall other acts language preprinted on the charge form provides a sufficient basis, on its own, to support any and all
Not only is the Board‘s decision unsupported by its own case law, it also flouts ours. In Drug Plastics the court overturned the Board‘s closely related finding not only because it was inconsistent with Nippondenso but also because the court‘s opinion in Galloway dictate[d] its reversal. Drug Plastics, 44 F.3d at 1021. After examining the language, legislative history and judicial construction of section
It cannot be that allegations in a charge and a complaint having no more in common than that they concern the same employer and occur at the same location are sufficiently related to satisfy Section
10(b) . Were that the rule, the Board would be free to include in a complaint anything transpiring at an employer‘s place of business without regard to the type of violation involved or when it occurred. Such a broad interpretation of the Board‘s power clearly would clash with the limiting intent pervading Section10(b) .
Id. at 280-81. Nor, the court concluded, was the Board‘s case helped by the additional link that the alleged incidents occurred only one day apart:
We cannot ... accept the proposition that mere chronology is sufficient to put the Board beyond Section
10(b) ‘s restraints. That a discharge occurred one day and a strike the next day does not mean that the two events had any common features. If the strike was sparked by the discharge or was staged to protest the discharge, the necessary relationship would likely exist. Similarly, if an employee was fired for participating in a strike characterized in a filed charge as improper, a complaint based on that charge might permissibly assert that other employees were threatened with dismissal for taking part in the same strike. However, if the consecutive occurrence of the two incidents was no more than happenstance, the relationship essential to incorporation of uncharged incidents into complaints is entirely lacking.
856 F.2d at 281 (footnote omitted).
We have no closer connection here than was present in Galloway or in Drug Plastics. The coincidence of the two separate violations during the same organizing campaign does not of itself create a close factual relationship. As we indicated in Galloway and Drug Plastics, some additional factual similarity is necessary before
B.
Next we address the Board‘s finding that Ross violated section
Under the Board‘s established Wright Line test,
the general counsel must first show that the protected activity was a motivating factor in the adverse employment decision.
Frazier Indus. Co., Inc. v. NLRB, 213 F.3d 750, 755 (D.C. Cir. 2000) (internal quotation marks omitted). If this prima facie showing is made, the burden shifts to the employer to demonstrate that it would have made the adverse decision even had the employee not engaged in protected activity. Vincent Ind. Plastics, Inc. v. NLRB, 209 F.3d 727, 735 (D.C. Cir. 2000) (citing Wright Line, Inc., 251 N.L.R.B. 1083, 1089 (1980)). In determining whether an employer had a discriminatory motive, the NLRB may consider[] such factors as the employer‘s knowledge of the employee‘s union activities, the employer‘s hostility toward the union, and the timing of the employer‘s action. Id. (quoting Power Inc. v. NLRB, 40 F.3d 409, 418 (D.C. Cir. 1994)).
Traction Wholesale Ctr. Co. v. NLRB, 216 F.3d 92, 99 (D.C. Cir. 2000). The Board below based its finding of anti-union animus on management‘s knowledge that Jumper was participating in the ongoing union organization campaign and on the two other incidents of anti-union animus by management: Simondi‘s admonition to Jumper and Morrison‘s comments to the employees. Ross does not challenge the evidentiary basis of the Board‘s factual findings and we conclude they are sufficient to establish animus.8 The Board further found Ross had failed to meet its burden under Wright Line of showing it would have discharged Jumper even if he had not been a union organizer. Specifically, the Board, like the ALJ, found that Ross had no rule requiring that time off be scheduled in advance that would support Ross‘s proffered alternative justification for firing Jumper. This finding too is supported in the record by the absence of any such rule from Ross‘s written time-off policies and by the testimony of a Ross employee that she had previously asked for and received time-off without prior approval.
For the foregoing reasons, Ross‘s petition for review is granted as to the no-solicitation violation and denied as to Jumper‘s discharge and the Board‘s cross-application for enforcement is denied as to the former and granted as to the latter.
So ordered.
KAREN LECRAFT HENDERSON, Circuit Judge, writing separately:
Although Ross does not raise the issue on appeal, I write separately to express my agreement with Board Members Hurtgen and Brame that section
(c) Expression of views without threat of reprisal or force or promise of benefit
The expressing of any views, argument, or opinion, or the dissemination thereof, whether in written, printed, graphic, or visual form, shall not constitute or be evidence of an unfair labor practice under any of the provisions of this subchapter, if such expression contains no threat of reprisal or force or promise of benefit.
RANDOLPH, Circuit Judge, concurring:
While I join all of Judge Henderson‘s opinion, I believe more should be said about the Board‘s treatment of §
Much of the confusion stems from a failure to distinguish between the two separate functions §
Section
A few years after Congress added the §
(1) A complaint, as distinguished from a charge, need not be filed and served within six months, and may therefore be amended after the six months. (2) If a charge was filed and served within six months after the violations alleged in the charge, the complaint (or amended complaint) although filed after the six months, may allege violations not alleged in the charge if (a) they are closely related to the violations named in the charge and (b) occurred within six months before the filing of the charge.
Id. at 491. The Board adopted this formulation of the closely related test in decisions such as Redd-I, Inc., 290 N.L.R.B. 1115, 1118 (1988). Later Board decisions, such as Nickles Bakery, broke the closely related test down into three parts:
First, the Board will look at whether the otherwise untimely allegations involve the same legal theory as the allegations in the pending timely charge. Second, the Board will look at whether the otherwise untimely allegations arise from the same factual circumstances or sequence of events as the pending timely charge. Finally, the Board may look at whether a respondent would raise similar defenses to both allegations.
Nickles Bakery of Indiana, Inc., 296 N.L.R.B. 927, 928 (1989).
The most important thing to notice about Nickles Bakery is that in reformulating the test, the Board dropped out the requirement of §
Our latest pronouncement on §
The facts of Bryan Manufacturing are important. A union and an employer executed a collective bargaining agreement on August 10, 1954, even though the union did not represent a majority of the employees. Contained in the agreement was a union security clause—that is, a clause requiring all employees to join the union. Under Board law, it was an unfair labor practice for an employer and a labor organization to enter into a collective bargaining agreement which contains a union security clause, if at the time of original execution the union does not represent a majority of the employees in the unit. 362 U.S. at 413. Charges filed with the Board about a year after execution of the agreement alleged the union‘s lack of majority status in August 1954 and the consequent illegality of the continued enforcement of the agreement. Id. at 414. Complaints to this effect followed. The Court held that the proviso in §
In light of the language of §
GARLAND, Circuit Judge, concurring in part and dissenting in part:
I agree that substantial evidence supports the Board‘s finding that Ross Stores discharged an employee because of his support for the union. I respectfully dissent, however, from the conclusion that the Board‘s other finding—that Ross unlawfully admonished the same employee for soliciting for the union—must be set aside because the admonishment is not closely related to the discharge.
As the court acknowledges, section
The Board‘s opinion makes clear that the two allegations are closely related. Indeed, the Board expressly used the earlier incident—in which David Jumper‘s supervisor caught him posting union literature and admonished him against doing so—as part of the basis for its finding that Jumper was discharged because of anti-union animus. See Ross Stores, 329 N.L.R.B. No. 59, at 2, 4 (1999). The incident underlying the untimely charge (the unlawful admonishment) was thus closely related to the incident underlying the timely charge (the unlawful discharge): the former provided, and proved, the motive for the latter.2
That factual connection also distinguishes this case from Drug Plastics & Glass Co. v. NLRB. There, in concluding that untimely allegations of discriminatory statements were unrelated to a timely allegation of unlawful discharge, the court noted that the General Counsel‘s complaint made no mention whatsoever of the discharged employee except in the single allegation relating to the discharge. 44 F.3d at 1020. Here, by contrast, the complaint expressly noted that Jumper was the target of the unlawful admonition against soliciting for the union, and that Jumper was also the employee who had been unlawfully discharged. Complaint ¶¶ 5, 7; see also FPC Holdings, Inc. v. NLRB, 64 F.3d 935, 942 n. 5 (4th Cir. 1995) (distinguishing FPC from Drug Plastics on the ground that, unlike the untimely allegations in Drug Plastics, those in FPC
In sum, because the two charges at issue in this case are closely related, and are not bound together simply by the coincidence of the two separate violations [occurring] during the same organizing campaign, Op. at 674, the admonition allegation is not time-barred under section
