Ex parte communications prohibited by § 102.126 shall not include:

(a) Oral or written communications which relate solely to matters which the hearing officer, regional director, administrative law judge, or member of the Board is authorized by law or Board rules to entertain or dispose of on an ex parte basis.

(b) Oral or written requests for information solely with respect to the status of a proceeding.

(c) Oral or written communications which all the parties to the proceeding agree, or which the responsible official formally rules, may be made on an ex parte basis.

(d) Oral or written communications proposing settlement or an agreement for disposition of any or all issues in the proceeding.

(e) Oral or written communications which concern matters of general significance to the field of labor-management relations or administrative practice and which are not specifically related to pending on-the-record proceedings. § 102.131 Communications by Board

agents.

No Board agent of the categories defined in § 102.128, participating in a particular proceeding as defined in that section, shall (a) request or entertain any prohibited ex parte communications; or (b) make any prohibited ex parte communications about the proceeding to any

(a) Any Board agent of the categories defined in § 102.128 to whom a prohibited oral ex parte communication is attempted to be made shall refuse to listen to the communication, inform the communicator of this rule, and advise him that if he has anything to say it should be said in writing with copies to all parties. Any such Board agent who receives a written ex parte communication which he has reason to believe is prohibited by this subpart shall promptly forward such communication to the Office of the Executive Secretary if the proceeding is then pending before the Board, to the chief administrative law judge if the proceeding is then pending before an administrative law judge, or to the regional director involved if the proceeding is then pending before a hearing officer or the regional director. If the circumstances in which the unauthorized communication was made are not apparent from the communication itself, a statement describing those circumstances shall also be submitted. The executive secretary, the chief administrative law judge, or the regional director to whom such a communication is forwarded shall then place the communication in the public file maintained by the agency and shall serve copies of the communication on all other parties to the proceeding and attorneys of record for the parties. Within 10 days after the mailing of such copies, any party may file with the executive secretary, the chief administrative law judge, or regional director serving the communication, and serve on all other parties, a statement setting forth facts or contentions to rebut those contained in the unauthorized communication.

(b) Upon appropriate motion to the regional director, the administrative law judge, or the Board, before whom the proceeding is pending, under circumstances in which such presiding authority shall determine that the dictates of fairness so require, the unauthorized communication and response thereto may be made part of the record of the proceeding, and provision made for any further action, including reopening of the record, which may be required under the circumstances. No action taken pursuant to this provision shall constitute a waiver of the power of the Board to impose an appropriate penalty under § 102.134. § 102.134 Penalties and enforcement.

Upon notice and hearing, the Board may censure, suspend, or revoke the privilege of practice before the agency of any person who knowingly and willfully makes or solicits the making of a prohibited ex parte communication. To the extent permitted by law, the Board may, under appropriate circumstances, deny or limit remedial measures otherwise available under the act to any party who shall, directly or indirectly, knowingly and willfully make or solicit the making of an unauthorized communication. However, before the Board institutes formal proceedings under this section, it shall first advise the person or persons concerned in writing that it proposes to take such action and that they may show cause, within a period to be stated in such written advice, but not less than 7 days from the date thereof, why it should not take such action. The Board may censure, or, to the extent permitted by law, suspend, dismiss, or institute proceedings for the dismissal of, any Board agent who knowingly and willfully violates the prohibitions and requirements of this rule.

[32 FR. 8406, June 13, 1967]

Subpart Q-Procedure Governing Matters Affecting EmploymentManagement Agreements Under the Postal Reorganization Act § 102.135 Employment-management

agreements.

(a) Employment-management agreements. All matters within the jurisdiction of the National Labor Relations Board pursuant to the Postal Reorgani

zation Act (chapter 12 of title 39, United States Code, as revised) shall be governed by the provisions of Subparts A, B, C, D, F, G, I, J, K, L, M, O, and P of the rules and regulations insofar as applicable.

(b) Inconsistencies. To the extent that any provision of this Subpart Q is inconsistent with any provision of title 39, United States Code, the provision of said title 39 shall govern.

(c) Exceptions. For the purposes of this subpart, references in the subparts of the rules and regulations cited above to (1) "employer” shall be deemed to include the Postal Service, (2) "act" shall in the appropriate context mean "Postal Reorganization Act," (3) "section 9(c) of the act" and cited paragraphs thereof shall mean "39 U.S.C. secs. 1203 (c) and 1204," and (4) "section 9(b) of the act" shall mean "39 U.S.C. sec. 1202." [36 F.R. 12532, July 1, 1971]

Sec. 103.1

103.2 103.3

PART 103-OTHER RULES 1

Subpart A-Jurisdictional Standards

Colleges and universities.

Symphony orchestras.

Horseracing and dogracing industries.

Subparts B-E [Reserved]

Subpart F-Remedial Orders

103.100 Offers of reinstatement to employees in Armed Forces.

AUTHORITY: 49 Stat. 449; 29 U.S.C. 151-166, as amended by act of June 23, 1947 (61 Stat. 136; 29 U.S.C. Supp. 151–167), act of October 22, 1951 (65 Stat. 601; 29 U.S.C. 158, 159, 168), and act of September 14, 1959 (73 Stat. 519; 29 U.S.C. 141-168), unless otherwise noted.

Subpart A-Jurisdictional Standards § 103.1 Colleges and universities.

The Board will assert its jurisdiction in any proceeding arising under sections 8, 9, and 10 of the Act involving any private nonprofit college or university which has a gross annual revenue from all sources (excluding only contributions which, because of limitation by the grantor, are not available for use for operating expenses) of not less than $1 million.

[35 F.R. 18370, Dec. 3, 1970]

135 F.R. 18370, Dec. 8, 1970.

Subpart F-Remedial Orders

§ 103.100 Offers of reinstatement to employees in Armed Forces.

When an employer is required by a Board remedial order to offer an employee employment, reemployment, or reinstatement, or to notify an employee of his or her entitlement to reinstatement upon application, the employer shall, if the employee is serving in the Armed Forces of the United States at the time such offer or notification is made, also notify the employee of his or her right to reinstatement upon application in accordance with the Military Selective Service Act of 1967, as amended, after discharge from the Armed Forces.

[37 FR 21939, Oct. 17, 1972, as amended at 38 FR 9506, Apr. 17, 1973]

(d) Effectuating the standards of conduct required of labor organizations by section 18 of the order;

(e) Deciding complaints of alleged unfair labor practices (including those where an alleged unilateral act by one of the parties requires an initial negotiability determination), and alleged violations of the standards of conduct for labor organizations:

(f) Deciding questions as to whether a grievance is subject to a negotiated grievance procedure or subject to arbitration under an agreement as provided in section 13(d) of the order.

Subpart B-Meaning of Terms as Used in This Chapter

§ 201.10 Order.

"Order" means Executive Order 11491, entitled "Labor-Management Relations in the Federal Service," as amended. § 201.11 Agency, employee, labor organization, Council, Panel, Assistant Secretary.

"Agency," "employee," "labor organization," "Council," "Panel," and "Assistant Secretary" have the meanings set forth in section 2 of the order.

§ 201.12 National consultation rights, exclusive recognition, unfair labor practices.

"National consultation rights," "exclusive recognition," and "unfair labor practices" have the meanings as set forth in sections 9, 10, and 19, respectively, of the order.

§ 201.13

Standards of conduct for labor organizations.

"Standards of conduct for labor organizations" shall have the meaning as set forth in section 18 of the order, as amplified in Part 204 of this chapter. § 201.14 Activity and primary national subdivision of an agency.

"Activity" means any facility, geographical subdivision, or combination thereof, of any agency as that term is defined in section 2 of the order. "Primary national subdivision” of an agency has the meaning set forth in the Council's regulations.

§ 201.15 Assistant Regional Director.

"Assistant Regional Director" means the Administrator of a region of the Labor-Management Services Administra

"Area Director" means the Administrator of an area office within a region of the Labor-Management Services Administration, with geographical boundaries as fixed by the Assistant Secretary. § 201.17 Director.

"Director" means the Director of the Office of Labor-Management Standards Enforcement.

§ 201.18 Hearing Officer.

"Hearing Officer" means the individual designated to conduct a hearing involving a question concerning the appropriateness of a unit or such other representation matters as may be assigned. § 201.19 Administrative Law Judge.

"Administrative Law Judge" means the Chief Administrative Law Judge or any Administrative Law Judge designated by the Chief Administrative Law Judge to conduct a hearing in cases under sections 3, 13, 18, and 19 of the order and such other matters as may be assigned.