E-Z Supply Corp.Download PDFNational Labor Relations Board - Administrative Judge OpinionsDec 28, 200729-CA-027927 (N.L.R.B. Dec. 28, 2007) Copy Citation JD(NY)-54-07 UNITED STATES OF AMERICA BEFORE THE NATIONAL LABOR RELATIONS BOARD DIVISION OF JUDGES NEW YORK BRANCH OFFICE E-Z SUPPLY CORP. AND SUNRISE PLUS CORP., Alter Egos Case. No. 29-CA-27927 and 29-CA-28115 29-CA-28280 INDUSTRIAL WORKERS OF THE WORLD, NEW YORK CITY GENERAL MEMBERSHIP BRANCH Tara O’Rourke, Esq., and Annie Hsu, Esq. for the General Counsel Stuart Lichten, Esq., (Schwartz, Lichten & Bright, P.C.), of New York, New York for the Union Anthony Emengo, Esq. and Joseph Obiora, Esq., of Brooklyn, New York for Respondent Sunrise Plus Corp. DECISION Statement of the Case ELEANOR MACDONALD, Administrative Law Judge: This case was tried in Brooklyn, New York, on July 5, 6, 9 and 10 and September 4, 2007. The Amended Consolidated Complaint alleges that Respondents engaged in various violations of Section 8(a)(1),(3) and (5) of the Act. Respondent Sunrise Plus Corp. filed an Answer denying that it had violated the Act. Respondent E-Z Supply Corp. did not file an Answer and no appearance on its behalf was made herein.1 On the entire record, including my observation of the demeanor of the witnesses, and after considering the brief filed by Counsel for the General Counsel on October 17 and by Respondent on October 19, 2007, I make the following2 1 Attorney Emengo stated that he did not represent E-Z Supply and he was adamant that he and Sunrise were not obligated to produce any subpoenaed documents relating to E-Z Supply. Attorney Emengo stated on the record his inability to contact principals of E-Z and he implied that he was never in communication with E-Z. The record shows that on November 20, 2006 E- Z supply issued a check for $3,500 to Mr. Emengo and this check was negotiated on November 27. 2 The date for filing briefs was October 17, 2007. Respondent’s brief was postmarked October 18. Counsel for the General Counsel has filed a motion to strike the brief as untimely. The motion is hereby denied. JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 2 Findings of Fact3 I. Jurisdiction In Case No. 29 RC-11287 Respondent E-Z Supply Corp. stipulated that is a domestic corporation with its office and principal place of business located at 48-01 Metropolitan Avenue, Ridgewood, New York, where it is engaged in the nonretail distribution of paper products within the food service industry and annually receives goods and supplies valued in excess of $50,000 directly from points located outside the State of New York. E-Z Supply stipulated that it is an employer engaged in commerce within the meaning of Section 2(6) and (7) of the Act and that Industrial Workers of the World is an organization is a labor organization within the meaning of Section 2(5) of the Act. The Complaint herein alleges that Respondent Sunrise Plus Corp. has been engaged in the nonretail distribution of products within the food service industry since December 2006 at its office and place of business at 48-01 Metropolitan Avenue, Ridgewood, New York, and that it annually purchases and receives goods and supplies valued in excess of $50,000 from points located outside the State of New York. At the instant hearing Sunrise stipulated that it is an employer engaged in commerce within the meaning of Section 2(2), (6) and (7) of the Act. Based on the undisputed testimony of James Crutchfield and Billy Randel I find that the Union conducts membership meetings and election campaigns and that it represents employees in negotiations with employers concerning wages, hours and working conditions. I find that the Union is a labor organization within the meaning of Section 2(5) of the Act. II. Alleged Unfair Labor Practices A. Background The facts found herein will be based on evidence presented by Counsel for the General Counsel. Respondent Sunrise Plus did not call any witnesses after the General Counsel rested. Respondent E-Z Supply Corp. did not file an Answer herein and no representative appeared separately on its behalf. 4 E-Z Supply did not respond to subpoenas issued by Counsel for the General Counsel. Sunrise did not furnish many of the documents sought in a subpoena served upon it by Counsel for the General Counsel even though testimony established that the documents exist. In addition Lester Wen, an employee of Sunrise and a shareholder of E-Z Supply, did not appear in response to the General Counsel’s subpoena. In accordance with Board practice, the use of secondary evidence was permitted in the presentation of the General 3 The record is hereby corrected so that at page 153, line 8, the word “company” is replaced by the word “employees”; at page 203, line 3, the phrase should read “there would not be loans given to employees”; at page 361, line 16 the last phrase should read “Ramalis would be his patronymic last name”; at page 380, line 2, Mr. Emengo stated the objection; at page 392, line 11 the phrase was said by Mr. Emengo; at page 392, line 18, the sixth word is “she”; at page 429, line 4, the line should read “evidence that the employees were not documented in response to the employer’s request”; at page 496, line 11, the names of the restaurants are “Ollie’s 84 and Ollie’s 116”; at page 505, line 7 and thereafter, Mr. Emengo was speaking and Mr. Obiora did not voice objections or comments; at page 548, line 24, Counsel for the General Counsel was speaking; at page 549, line 2, Counsel for the General Counsel was speaking; at page 635, line 13, Mr. Emengo was speaking. 4 As will be seen below, I find that Sunrise Plus is the alter ego of E-Z Supply. Thus, service on Sunrise Plus was effective for both entities and Sunrise Plus was bound to respond to subpoenas served upon E-Z Supply at the warehouse. JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 3 Counsel’s case. It is not necessary to discuss this issue in detail as Respondent Sunrise did not object to the admission of the General Counsel’s evidence at the instant hearing. The facts in the case may be summarized as follows: On February 23, 2006 the Union was certified as the collective bargaining representative of the employees of E-Z Supply Corp. within the following appropriate unit: All full-time and regular part-time truck drivers, drivers’ helpers, hi-lo operators, warehousemen and warehouse/cleaning employees employed by the Employer at its facility located at 48-01 Metropolitan Avenue, Ridgewood, New York, excluding office clerical employees, guards and supervisors as defined in the Act. E-Z Supply is a family owned and run business. One member of the family, Ellen Wen, (Xue Fen Wen), was called by Counsel for the General Counsel and testified herein. The other members of the family who are or were active in the management of the company are: Raymond Wen, (Xue Chao Wen), husband of Ellen Wen Lester Wen, brother of Raymond Wen Florence Wen, sister of Raymond Wen Eva Ma, (Hui Yan Ma), sister of Raymond Wen Following the issuance of the certification the Union and E-Z Supply engaged in bargaining for an initial contract. On November 30, 2006 the assets of E-Z Supply were purchased by Sunrise Plus. The same family members, by and large, are involved in the management of Sunrise. In November 2005 a number of E-Z Supply employees attended a meeting at a community organization known as “Make the Road by Walking.” The employees discussed violations of the wage and hour laws and they were directed to Union agent Billy Randel for assistance in pursuing their rights. In December 2005 Randel assisted them in providing statements to the Department of Labor concerning unpaid wages.5 The record evidence shows that in November 2006 a number of employees received checks for overtime owed to them by E-Z Supply. This event is described below. The Union also helped the employees file another case against E-Z Supply, Sunrise Plus and Lester Wen in the United States District Court for the Eastern District of New York in Case No. 06 CV 6790. The summons and complaint in that case were filed on December 28, 2006 and were served at the company premises on December 28, 2006 at 11 am. The complaint alleges that the employees were not paid the minimum wage and that they were not paid overtime. The employees named as Plaintiffs in the complaint are Primitivo Aguilar, Joaquin Almazan, Alberto Barranco, Ramiro Casa, Joaquin Corona, Hugo Flores, Javier Flores, Voon Onn, Jorge Orea, Augustin Ramales, Angel Zambrano and Jun Zhao. On the evening of December 28, 2006 Sunrise discharged a large number of unit employees. 5 The uncontradicted testimony establishes that the following employees provided statements: Barranco, Jorge Orea, Joaquin Almazan Olmos, Fernando Corona, Hugo Flores Perez, Javier Flores, Joaquin Corona Solis, Daniel Cazerez, Ramiro Casa and Raymundo Tlaltepa. JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 4 B. The Sale of E-Z Supply Assets to Sunrise Plus Ellen Wen testified that she is the president and sole shareholder of Sunrise Plus. Sunrise purchased the assets of E-Z Supply with a check for $68,000 dated November 30, 2006.6 Ellen Wen stated that she borrowed money from friends and family to finance the purchase of E-Z Supply. She borrowed sums from her relatives including $5000 from Florence Wen, $5000 from Lester Wen, and $15,000 from Eva Ma, but there are no writings that memorialize these loans. She borrowed $3000 from a friend in Hong Kong, again with no accompanying documentation. Wen has not made any payments on these loans and there are no repayment schedules. Ellen Wen took out a home equity loan but she could not recall the exact amount of the loan; she thought it was about $40,000. Although the General Counsel subpoenaed all of the documents relative the purchase by Sunrise Plus no documents relating to loans taken by Ellen Wen in order to complete the purchase were ever produced. The contract of sale for the assets of E-Z Supply is dated October 10, 2006 and signed by Eva Ma as the seller and Ellen Wen as the buyer.7 The assets listed in the contract are automobile trucks and the unexpired residue of a leasehold held by E-Z Supply for 48-01 Metropolitan Avenue. A schedule attached to the contract lists the vehicles included in the sale including trucks, forklifts and other equipment. The original costs are listed and total somewhat over $224,853. The closing on the sale took place on November 30, 2006. At the closing, Sunrise Plus assumed the lease of the warehouse premises and paid the sum of $10 to E-Z Supply for the assignment of the lease. The lease recites that the sum of $9072.00 is on deposit with the landlord as security and is returnable to the tenant at the expiration of the lease. E-Z Supply continued to maintain an active bank account and by the beginning of March 2006 it had a balance of $93,657.96. On March 7, 2006 four separate checks for identical amounts of $23,186.49 were issued to Eva Ma, Ellen Wen (Xue Fen Wen), Florence Wen and Lester Wen. There is no testimony in the record to explain this distribution of E-Z Supply cash. C. The Business of E-Z Supply and Sunrise Plus Counsel for the General Counsel called Ellen Wen to testify about the business of E-Z Supply and Sunrise Plus. Ellen Wen testified that she has been the president of Sunrise since December 2006 when she purchased the assets of E-Z Supply. Before that she worked at E-Z Supply for at least two years taking telephone orders from customers. Ellen Wen confirmed that the address of Sunrise Plus is the same as the E-Z Supply address. Sunrise Plus kept the E-Z Supply telephone number so that it could maintain the same business and keep the E-Z Supply customers. E-Z Supply gave Sunrise Plus a list of its customers so that Sunrise could solicit business from these customers. Wen testified that both E-Z Supply and Sunrise delivered goods and supplies to restaurants in New York City and its environs. I rely on the uncontradicted testimony of the following witnesses who worked for both E-Z Supply and Sunrise Plus: Angel Zambrano Orellana, Primitivo Aguilar Flores, Hugo Flores Perez and Augustin Ramalis Flores. Based on the testimony of these witnesses, I find that both E-Z Supply and Sunrise Plus purchased goods from suppliers such as Dart, New Yung, Amercino, Oasis, HVA, New Spring and Handi. Based on the testimony of these witnesses, I find that both E-Z Supply and Sunrise Plus supplied restaurants with oil, rice, sugar, paper plates, canned goods, paper bags and vegetables. Based on the testimony of these witnesses I find 6 Sunrise has no debt outstanding to E-Z Supply. 7 Attorney Emengo represented Sunrise when the contract was signed on October 10, 2006. JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 5 that both E-Z Supply and Sunrise Plus had customers such as Ollie’s 84th Street and Ollie’s 116th Street, Ginger Restaurant, Marco Polo, China Chalet, Lemon Grass and various restaurants with the word “Cottage” in their names. I credit the uncontradicted testimony of unit employee Hugo Flores Perez that on December 1, 2006 he noticed that invoices he was checking in the warehouse said “Sunrise” instead of “E-Z Supply”. Perez stated that large letters saying “Sunrise Plus” appeared on the side of one truck. On some trucks the name Sunrise was placed on the door but the name “E-Z Supply” continued on the side of the trucks.8 Some trucks continued to say only “E-Z Supply.” D. The Employees of E-Z Supply and Sunrise Plus Ellen Wen testified that Sunrise hired all the warehouse employees of E-Z Supply. Wen testified that a number of former non unit employees of E-Z Supply now work for Sunrise. According to Ellen Wen these are: Ai Lan Wu Debbie Chen Ping Gao Xiang Yi Lang “Danny”, Can Hong Liu, the warehouse supervisor9 Ellen Wen, president and owner of Sunrise Lester Wen, sales manager Florence Wen10 Ellen Wen also testified that a number of other family members are involved in or have been involved in the business. These are: Raymond Wen, a sales person for Sunrise Eva Ma, former “boss” of E-Z Supply11 In addition to Ellen Wen, many witnesses testified about the supervisors and agents of E-Z Supply and Sunrise Plus. The employee witnesses testified without contradiction that the identities of the supervisors and their duties did not change when the company changed from E- Z Supply to Sunrise Plus on December 1, 2006. Lester Wen’s affidavit was received into evidence by agreement of the parties.12 It establishes that Lester Wen is a shareholder of E-Z Supply and its “General Manager” since the business opened in 2001. His responsibilities include the “daily business operation of the Company.” I credit the uncontradicted testimony of Primitivo Aguilar Flores that Lester Wen hired him to work for E-Z. Several employees identified Lester Wen as the “owner” of E-Z Supply; these are Angel Zambrano Orellana, Primitivo Aguilar Flores, Augustin Ramalis Flores 8 This was the case as late as June 2007 when Perez saw a truck on the street. 9 Ellen Wen testified that Danny assigns work and grants time off 10 Ellen Wen testified that Florence has the authority to issue written warnings. Ellen Wen did not identify Florence Wen’s job title or other duties. 11 Employee testimony establishes that she still worked at the warehouse on December 28, 2006. 12 Although Lester Wen, an employee of Sunrise, was under subpoena by the General Counsel he failed to appear despite repeated efforts by the ALJ to secure his testimony. JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 6 and Hugo Flores Perez. I credit the uncontradicted testimony of Augustin Ramalis Flores that Lester Wen hired him and subsequently suspended him for a day for failing to complete a delivery. I credit the uncontradicted testimony of Jorge Orea that Lester Wen hired him and subsequently suspended him for a day when he was late to work. I credit the uncontradicted testimony of Joaquin Almazan Olmas that Lester Wen suspended him for overstaying a meal break. All of the unit employees stated that Lester Wen’s duties and responsibilities continued unchanged when the company was known as Sunrise Plus. I credit the uncontradicted testimony of Primitivo Aguilar Flores that Danny was identified as “the warehouse manager” and that Danny had the authority to assign work and make sure that employees were performing their tasks. I credit the uncontradicted testimony of Augustin Ramalis Flores that Danny issued him both oral and written discipline for various infractions. I credit the uncontradicted testimony of Joaquin Corona that Florence Wen issued many written warnings to him for tardiness. Lester Wen’s affidavit states that Florence Wen suspended driver Sow Onn Voon, a/k/a Allen, and gave him written warnings. I credit Ellen Wen than Eva Ma was the “boss” of E-Z Supply. I credit the uncontradicted testimony of Primitivo Aguilar Flores that on December 28, 2006 Eva Ma was working in the office of Sunrise Plus and directed him to keep working overtime until he finished his deliveries. Lester Wen’s affidavit identifies “Wing” as the warehouse manager of E-Z Supply, with the authority to assign work to employees and grant sick leave. Ellen Wen testified that Ah Wing was the warehouse manager for E-Z Supply. At some point Wing was fired. E. Collective Bargaining between the Union and E-Z Supply Billy Randel, an organizer for the IWW, helped organize the E-Z Supply employees and he attended negotiations with E-Z Supply after the Union was certified.13 Union treasurer James Crutchfield attended many of the bargaining sessions. The collective bargaining negotiations with E-Z Supply began on February 21 or 23, 2006 at the office of Lloyd Somer, Esq., attorney for E-Z Supply. Randel testified that Lester Wen and Attorney Somer represented E-Z Supply. One of the subjects discussed by the parties involved the employer’s practice of making loans to employees. Employees who were given loans by the company often had large sums taken out of their paychecks. The employee bargaining committee members present, Jorge Orea and Joaquin Corona, said the workers in the shop wanted the employer to cease providing loans to unit employees. The Union asked the company to stop making any loans. According to Randel the employer’s representatives agreed that the loans would cease. Randel said the employer never asked the Union for permission to resume the employee loans. Lester Wen’s affidavit places this agreement in April or May 2006 and states that he agreed to cease giving loans to employees. Wen asserts that “since the agreement … the employer has not issued any loans to employees.” Randel testified that a number of bargaining sessions were conducted over the course of the year on March 18, April 6, May 15 and July 5. Lester Wen was always present for the employer. 13 I credit Randel’s testimony. He displayed an excellent recollection of the events about which he was questioned and his demeanor impressed me as forthright and aware. JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 7 Randel testified that Attorney Somer discussed the immigration status problem of the company’s employees. On November 20, 2006 the parties again met for collective bargaining negotiations. The Union was represented by Randel and Crutchfield as well as a number of employees.14 The sign in sheet for the meeting shows that E-Z Supply was represented by Attorney Somer, Lester Wen, Chao X. Wen (Raymond Wen) and Zhao Jame Ma.15 The Union and the company reached an agreement that the employer would not terminate the employees based on their immigration status. Attorney Somer said the employer was apprehensive about immigration raids in Chinatown.16 Randel testified that sometime during the week of November 27, 2006 a sign appeared on the warehouse identifying the business as “Sunrise Plus Corp.” Randel spoke to Attorney Somer about the name change. Somer stated that for business purposes E-Z Supply was now known as Sunrise Plus but that the business had not been sold and it was not going to be sold. Crutchfield testified that at the last meeting with E-Z Supply both Attorney Somer and Lester Wen said they were changing the name of the company because the union had damaged E-Z Supply’s reputation and they wanted a new name. They told Crutchfield there was no change in the corporate entity. 17 On December 7, 2006 the Union and the employer met for a grievance session. The company was represented by Attorney Somer, Lester Wen, Raymond Wen and Mr. Ma.18 In addition to Randel, a number of employees were present.19 Primitivo Flores testified that the employees asked about the name change and the employer said that he did not want a bad reputation for his company. Hugo Flores Perez testified that when he was asked about the new name for the company Lester Wen replied that because of Union publicity the company had a bad reputation. Lester Wen told the Union not to worry that he would sign the contract with the Union. Jorge Orea recalled that when the Union asked about the name change Lester said it would not be a problem. Randel testified that on December 8, 2006, Attorney Somer faxed him a sheet of proposed work rules. The fax transmission was admitted into evidence. It bears a heading entitled Lloyd Somer, Esq., and a date of December 8, 2006. The work rules are addressed to “All Employees” and deal with working hours, procedures for signing in and out, and procedures for securing receipts and payments from customers. The work rules are signed “Sunrise Plus Corp.” Following receipt of the December 8 fax, Randel spoke to Attorney Somer concerning the precise wording of the rules. 14 These employees included Jorge Orea, J. Alexander van Schaick, Jose Aguilar Flores, Voon Sonn Onn, Hugo Flores Perez, Primitivo Aguilar Flores, Luis Alberto Barranco, Silvestre Mungia and Javier Flores Perez. 15 Hugo Flores Perez called the husband of Eva Ma “Ah-lam” and he named that person as a company representative at this meeting. In the absence of any testimony to the contrary I find that this person signed the list of company representatives as Zhao Jame Ma. 16 Chinatown is on the island of Manhattan. The company premises in Ridgewood are on Long Island on the border between the boroughs of Brooklyn and Queens. 17 I credit Crutchfield’s uncontradicted testimony. 18 Primitivo Aguilar Flores identified an attendee for the company as someone called “Allen” who was the husband of Eva Ma. This testimony is uncontradicted and I find that the Mr. Ma mentioned by the witnesses is the husband of Eva Ma who was called “Ah-lam” by other witnesses. 19 These were Jorge Orea, Joaquin Olmos, Hugo Flores, Javier Flores, Sow Onn Voon, Jose Aguilar, Primitivo Aguilar Flores and employees not identified by a last name. JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 8 On December 12 or 13 Lester Wen telephoned Randel to discuss a problem with employee “Acuan” who frequently asked to leave work early. Randel testified he visited the shop several times in December 2006 to discuss employee loan payments and cell phone bills with warehouse supervisor Danny. On one such visit Randel was speaking to the Chinese workers and telling them to call the Union if they had any problems when Danny appeared and said Florence Wen had instructed him that the Union had no right to speak to the Chinese workers. On the day after Christmas there was a wildcat strike at the company and Danny spoke to Randel in an effort to resolve the issue. Danny said the attorney would come to the shop to settle the issue. On April 25, 2007 Crutchfield wrote to Attorney Emengo requesting negotiations with E-Z Supply Corp. and Sunrise Plus Corp. Crutchfield proposed four dates in April and May, but stated that if he did not have a response by April 27 the Union would “take whatever actions are necessary to protect its interests.” The employer did not respond to the Union’s request for negotiations. F. Union Activities of the Employees The uncontradicted testimony shows that all of the Union supporters at the company were from Mexico with the exception of Sow Onn Voon. The recitation of the employees’ Union and concerted activities was similarly uncontradicted. The following employees engaged in a strike against the company: Jorge Orea, “Tony” Angel Zambrano Orellena, Joaquin Almazan Olmas, Joaquin Corona Solis, Fernando Corona, Hugo Flores Perez, Javier Flores Perez, Christian Barroa, Luis Alberto Barranco, Daniel Munguia Munguia, Ramiro Cazarez and Raymond Tlaltepa. Primitivo Aguilar Flores went to the Union to get a better wage. He recalled that the following co-workers also went to the Union: Hugo Flores Perez, Javier Flores Perez, Jorge Orea, “Tony” Angel Zambrano Orellana, Joaquin Almazan Olmas and Jose Aguilar Flores. Primitivo Flores participated in marches to show support for the Union. Other employees who marched included Javier, Tony, Jose, Jorge Orea, Olmas and “Allen” Sow Onn Voon. Flores attended a few negotiation sessions with the employer. He is named in the lawsuit filed on December 28, 2006. Augustin Ramalis Flores joined the Union and attended about five meetings before December 28, 2006. He is named in the lawsuit filed on December 28, 2006. Jorge Orea joined the Union and received Union assistance in collecting unpaid overtime as a result of the wage and hour proceeding at the Department of Labor. Orea attended most of the bargaining sessions between the company and the Union. He is named in the lawsuit filed on December 28, 2006 Joaquin Almazan Olmas joined the union in December 2005. He is named in the lawsuit filed on December 28, 2006. Hugo Flores Perez received Union assistance in attempting to collect unpaid overtime as a result of the wage and hour proceeding at the Department of Labor. He received a letter stating that he would receive a check for $1400 in unpaid wages but at the time of the instant hearing the check had not arrived. He joined the Union in November 2006. Perez attended two bargaining sessions between the parties. He is named in the lawsuit filed on December 28, JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 9 2006. Angel Zambrano Orellana testified that he joined with others in going to the union to file a claim for unpaid wages. In November 2006 Orellana received a check for $3200 for unpaid wages. Orellana recalled others who went to the Union for this purpose: Jorge, Carmero, Fernando, Louis and Danny. Orellana is named in the lawsuit filed on December 28, 2006. Sow Onn Voon joined the Union in January 2006. He is named in the lawsuit filed on December 28, 2006. G. Attempts to Decertify the Union A number of employees testified that in April 2006 Lester Wen held a meeting in the second floor office of the warehouse. Also in attendance were warehouse supervisor “Danny” (Can Hong Liu), and another warehouse supervisor named “Wing”.20 A document introduced into evidence contains 23 employee signatures in two columns. At the top of these columns is the following: We, E-Z supply employees do not wish to have IWW (Industrial Workers of the World), to represent us. Angel Zambrano Orellana testified that Lester Wen asked the employees to sign a paper stating that they did not want the Union any more.21 He promised the employees more pay and less work if they signed. Wen said that he would resume paying the employees in cash and he would conduct monthly meetings to fix problems in the warehouse. Wen said if the employees remained in the union he would hire more people and give the employees less work. Lester Wen had never before held a similar general meeting and he had never asked employees about their problems before this occasion. Orellana stated that 45 minutes after the meeting ended while he was performing his duties, Lester told him he had to sign a paper. Danny had the paper in his possession and Orellana signed it in the presence of five other employees who also signed. I credit Orellana’s testimony. Although his affidavit given to a Board agent states “no management representative has ever said anything to me about my Union activities”, it also contains a lengthy and detailed description of the meeting with Lester Wen. I observed that Orellana answered the questions put to him readily and that his recollection was good. Primitivo Aguilar Flores testified about the meeting on the second floor. Lester Wen offered better wages if the employees would be on his side and “get away from the Union.” The employees asked Wen to sign a paper with these promises but he refused saying that it would be illegal. Testifying about the document repudiating Union representation, Flores stated that the lines at the top of the letter, quoted above, were in his handwriting. Lester Wen wrote the words and Flores copied them onto a piece of paper while the two men were in Wen’s office.22 Wen told Flores to go to the Hispanic workers and obtain their signatures. I credit Flores’ 20 The testimony concerning Wing is confused and confusing. He was apparently fired at some point and his real name is hard to determine, although some witnesses said his name was Awen and some said it was AhWing. 21 Orellana identified the following employees as among those who were present: Jorge, Javier, Carmero, Raymond and Luis; in all there were a total of 15 Spanish workers. 22 Flores is not able to write in English, but he understands some English and some Chinese as a result of many years working in the warehouse. JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 10 testimony about the meeting and the subsequent creation and signing of the letter. Although he was not able to recall specific dates it was clear that he recalled the actual events about which he was asked. Furthermore, Flores truthfully stated when he could not recall the answer to a question and he tried to answer accurately. Jorge Orea testified about the second floor meeting with Lester Wen. Orea understood some of what Wen said in English and the rest was translated by Primitivo Aguilar Flores and Hugo Flores. Lester Wen told them employees that if they had complaints they should come to his office. He said, “We are all a family.” Lester told the employees about signing a paper and said he could give more than the Union was offering. Orea signed the document repudiating the Union after Primitivo Aguilar Flores gave it to him for a signature. I credit Orea’s testimony. Although Orea could not recall specific dates accurately I find that he testified truthfully about the signing of the paper and the substance of the meeting with Lester Wen. Furthermore, his affidavit introduced into evidence by Respondent offers a detailed and corroborating account of the events. Hugo Flores Perez recalled the second floor meeting with Lester Wen. Perez testified that Wen spoke about the Union and said before the union he had not deducted taxes from employees’ pay. Wen told the employees he would give them a paper to sign stating that they did not want the Union. He said in a few weeks they would “do something” and he might be able to return the payroll taxes. Perez signed the document repudiating the Union after the meeting at the request of Primitivo Aguilar Flores and Jorge Orea. I credit Perez’ testimony. He listened carefully to the questions posed to him, he understood the import of the questions, he was cooperative on cross-examination and he made every attempt to answer fully and accurately. Joaquin Corona recalled the April meeting with Lester Wen on the second floor. Danny and AhWing were there and about 12 or 14 employees attended. Lester Wen said that the employees should get out of the union. He stated that he would give the employees twice what the Union promised them but that they had to leave the Union. Wen said he would pay employees half their taxes and try to give back the rest, or he would try to avoid having the employees pay the taxes. This was a good deal for the employees because they did not have social security. Lester Wen said that in two weeks he and his lawyer would try to get the union out. After that they would pay the employees higher wages, or they would pay them by check and would add a little on the side without the knowledge of the Union. Lester gave Corona the document repudiating the Union to sign after the meeting while the two were in the unloading area. I credit Corona’s testimony. He answered questions fully and was cooperative on cross- examination. Some of the employees testified that the lines repudiating the Union were not at the top of the document when they signed. No explanation has been offered for this testimony and I do not find it significant for two reasons: all the employees testified that they knew they were signing a document to get rid of the Union at Lester Wen’s behest and all the employees identified their own signatures on the document. I note that Lester Wen’s affidavit denies that the April meeting described by the employees took place and denies that he made promises and asked the employees to sign a document repudiating the Union. As stated above, Lester Wen was under subpoena by the General Counsel but he did not appear at the hearing despite Counsel for Respondent’s repeated assurances that he would be present at the adjourned date of the hearing. Respondent apparently decided that it did not require Lester Wen’s testimony. As a result, I shall not rely on the denials in his affidavit as to this event or any other event. I find that the JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 11 witnesses present in the hearing room were credible and reliable and my findings shall be based on their testimony. Hugo Flores Perez testified that in August 2006 Lester Wen directed the employees to go to the Labor Board and cancel the election because the union was not doing anything for the workers. Lester Wen instructed Perez to inform the employees that they would be paid as if they had been at work. Perez conveyed this information to five or six other employees. One morning, after the employees had punched in for work, Danny took three employees to the Labor Board in his car and Jorge Orea drove some employees to the Board in his car. The employees met with a female Board agent. Danny had possession of the signed document in which the employees repudiated the Union. However, the Board agent informed the men that nothing could happen before one year was up. Perez testified that he was paid for the time he spent at the Board’s office. Angel Zambrano Orellana testified that in July 2006 Danny instructed him to drive several employees to the Labor Board. Danny promised that he would be paid for his time, for fuel and for the parking fee. Danny said they had to go because that was the only way to deal with the problem between the warehouse and the Union. Orellana took Javier, Raymond, Carmero and Danny in his car. At the Labor Board the employees met with an agent named “Kate.” Danny gave Kate the document signed by employees repudiating the Union. But Kate said nothing could be done until there was a trial. Orellana said he was not paid for his time. On cross-examination Orellana stated that he went to the Labor Board voluntarily. Respondent introduced Orellana’s affidavit into evidence. The affidavit, dated October 19, 2006, provides a few more details. It states that one week before the employees went to the Labor Board Javier Flores told Orellana that Lester Wen would pay for gas, parking and time if the employees went to the Labor Board to “fix the problem” and dissolve the Union.23 Orellana agreed “if this was the only way we could fix the problem.” On the day the employees went to the Board, according to Orellana’s affidavit, Danny said Lester Wen would pay for gas, for parking and for all the time. Danny said that if the men no longer belonged to the union all the problems would be over. Jorge Orea testified that Lester Wen asked employees to bring their vehicles for the trip to the NLRB. On the actual day of the Board visit Hugo Flores Perez told them to drive to the Board office. Orea was among those who informed the Board agent that they did not want the Union. Orea expected to be paid for the parking fee and his lost time; he asked Lester Wen who promised to pay him later. However, Wen never paid Orea. H. Other Alleged Violations Joaquin Corona testified that in May 2006 Lester Wen held a meeting in his office with Corona and employees Jorge Orea, Primitivo and David. Lester Wen told the employees that he wanted them to leave the Union. He promised to give them back everything they had before such as the payment of wages in cash and the granting of loans. Lester Wen told the employees that if the Union came the employees should ignore it and if the Union called the employees should not go. Wen stated that he would fire those who were not with him. Joaquin Corona had received 10 or 15 loans from Lester Wen before the Union came in. In May 2006, Lester Wen gave him a $300 or $400 loan and instructed Corona not to tell the Union.24 Sometime later Lester Wen told Corona and Jorge Orea that someone had informed 23 The affidavit does not describe the problem. 24 Corona knew the Union had secured an agreement that the company would no longer Continued JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 12 the Union that he had given them loans. Wen said they should tell the Union that AhWing and a salesman had lent the money to them. Augustin Ramalis Flores testified that on May 15 Danny (Can Hong Liu), asked him why he was not a member of the Union. Ramalis Flores replied that he did not want any problems. Later that day Randel and another Union agent named Alberto were speaking with Primitivo, Javier, Joaquin and Jorge in front of the gate. After this Danny asked Flores what they had been talking about. Danny told Flores not to listen to the Union members because everything they said was a lie and the Union would not be there by the following year. Hugo Flores Perez testified that in June 2006 he asked Lester Wen what was happening with the Union.25 Wen replied that everything was fine because Perez was not paying attention to the Union. However, Wen said, some people were still speaking to the Union. Wen directed Perez to tell those other employees not to speak to the Union. Wen told Perez that Randel had made promises to the employees but he would not be able to provide anything because Wen would never sign a collective bargaining agreement with the Union. Lester Wen promised Perez that he would pay him more once the Union left the company. He asked Perez to tell him anything that happened with the Union and the employees. In July 2006 Primitivo Aguilar Flores asked Hugo Flores Perez to accompany him to Lester Wen’s office. Perez testified that Wen asked the two men to tell their brothers and co- workers to ignore the Union.26 He promised that he would pay the employees more in the future. Later that day Lester Wen told Perez that he would pay him as much as he paid Flores but that Perez should keep this a secret. One week later Perez received a 30 cent hourly rate increase which raised his pay from $6.75 to $7.05 per hour. After the men returned from the presenting the petition repudiating Union representation at the Board’s office Lester Wen asked Hugo Flores Perez what had happened. When Perez replied that nothing could be done because the Union had won the election, Wen responded that this was not true. According to Perez Wen said he would speak to his lawyer and in a couple of months he would get the Union out. At that time he would pay the employees more. Sow Onn Voon testified that in July or August 2006 Lester Wen gathered four Chinese workers together and told them that there was a Union and they had to pay more taxes.27 However, Wen continued, if there were no longer a Union then he would find some way to compensate the employees so that they could pay less tax. Voon asked Wen what he meant by this. Wen replied that he needed two weeks to find an attorney to get rid of the Union and then it would be a different situation. Hugo Flores Perez testified that at the end of September 2006 Florence Wen came up to a group of employees that also included Ramiro, Raymundo and Joaquin and told them that everything was fine without the Union. She urged them to keep working this way and the company would get them work permits and social security next year. Perez stated that at the end of October 2006 Lester Wen spoke to him in the warehouse. Wen said that people were going back to the Union. Wen instructed Perez to tell the emoloyees that he would get them work permits and social security. When Perez asked Wen if he was fooling the employees, _________________________ make loans to employees but he asked for a loan because he needed the money. 25 Perez placed this conversation in the warehouse. 26 Perez’ brother is Javier Flores. Jose Aguilar is Primitivo Aguilar Flores’ brother. 27 In addition to Voon, the other employees were Ah-Dong, Ah-Guen and Ah-Yee. JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 13 Wen replied that it was not so difficult and he could help by paying for the documents. I credit the testimony summarized above. I have found that the witnesses are credible and, as noted above, Respondent presented no witnesses at the hearing to contradict the employees’ testimony. Joaquin Almazan Olmas testified to a number of incidents. However, on cross- examination it became evident that his recollection was very limited and that he could not recognize documents bearing his signature. Further it was unclear whether Olmas had a firm understanding of the matters about which he was testifying. I shall not rely on the testimony of Joaquin Almazan Olmas to find any violations of the Act. I. Request for Employee Status Documentation A number of witnesses herein testified that were not asked for proof of their right to work in the United States when they were hired by E-Z Supply. Augustin Ramalis Flores testified that he was hired by E-Z Supply in 2002 and that he took a leave of absence in 2006. When he returned and asked for his job back, Lester Wen said he could not take him because he was asking for papers to be able to work. Wen eventually called Ramalis Flores back because he needed workers. However, he did not ask for any papers when he rehired Ramalis Flores. Jorge Orea denied that he had been asked for employment papers when he was hired by Lester Wen in 1997. Angel Zambrano Orellana, who worked for E-Z Supply for 1 ½ years until September 2006, was not asked to show any identification when he was hired. Primitivo Aguilar Flores was not asked to provide a social security card or a green card at the time he was hired in the early 1990’s. Hugo Flores Perez was hired by Eva Ma’s husband in 2002. Flores Perez was not asked for any documents showing his eligibility to work in the United States. There is no record evidence that any employees were asked for legally required documentation prior to being hired to work by E-Z Supply. On December 22, 2006 Sunrise Plus distributed a letter to certain of its employees requesting them to furnish a social security card and proof of eligibility to work in the United States. The letter stated that the documents must be presented by 10 am on December 28. Employees who did not present the appropriate documents would be terminated immediately. These letters were sent to all employees including Raymond Tlatelpa Camacho, Son Onn Voon, Augustin Ramales Flores, Daniel Munguia Munguia, Hugo Flores Perez, Javier Flores Perez, Joaquin Almazan Olmos, Jose Aguilar Flores, Luis Alberto Barranco, Jorge Orea Paez, Ramiro Cazarez Rosas, Primitivo Aguilar Flores and Jun Zhao. These employees were all discharged after work on the evening of December 28 with the exception of Jun Zhao who was discharged during the first week of January. The parties stipulated that none of the employees terminated on December 28, 2006 provided the immigration documents requested by the employer by the deadline set forth in the letter of December 22, 2006 with the exception of employee Jun Zhao. The employees who failed to provide the documents by December 28, 2006 did not provide these documents after that date.28 28 Counsel for the General Counsel stated on the record that Jun Zhao did provide documents showing that he was able to work in the United States. Counsel for Respondent was unwilling to stipulate whether Jun Zhao provided the employment documents and stated Continued JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 14 Respondent admits that it discharged the above-named employees on December 28, 2006 but asserts that the reason was their lack of employment documentation. Primitivo Aguilar Flores recalled that on December 28 he was still working at 7:40 pm and he called Eva Ma for permission to go home. Eva Ma told him to keep working. When he returned to the warehouse at 8:30 pm Eva Ma asked, “Why have you done that?” General Counsel asserts that the conversation amounts to a threat, basing the argument on details contained in Flores’ affidavit. However, despite being asked to refresh his recollection, Flores did not testify to all the matters contained in his affidavit and I shall not find any unfair labor practice based on his actual testimony about the conversation with Eva Ma. III. Discussion and Conclusions A. Supervisors and Agents of E-Z Supply and Sunrise Plus. As stated above, the company did not provide many items sought in the subpoenas issued by the General Counsel. Among the documents that were not provided were payroll documents, various forms of employee information, lists of job titles and descriptions of duties and information concerning supervisors. These documents are generally used by Counsel for the General Counsel to assist in the determination of supervisory and agency status of employees. Thus, I shall rely on the testimony of Ellen Wen and the employee witnesses as to the duties and status of those alleged to be supervisors and agents in the Complaint. Further, I shall draw an adverse inference as a result of the failure of Respondent to produce the records requested, and I shall find that the requested documents would have supported the General Counsel’s position herein. Ellen Wen is the president and sole shareholder of Sunrise Plus. She was employed by E-Z Supply for two years. Ellen Wen testified that Lester Wen is the sales manager of both E-Z Supply and Sunrise Plus. Wen’s affidavit establishes that he is a shareholder of E-Z supply and its “General Manager” with responsibility for the daily business operation of the company. Credited testimony establishes that Lester Wen exercised the same duties and authority for Sunrise Plus. Lester Wen hires employees and issues discipline. Lester Wen represented both E-Z Supply and Sunrise Plus in negotiations and grievance discussions with the Union. I find that Lester Wen is a supervisor within the meaning of Section 2(11) of the Act. Ellen Wen testified that “Danny”, Can Hong Liu, is the warehouse supervisor of both E-Z Supply and Sunrise Plus with authority to assign work and grant time off. Credited testimony establishes that “Danny” oversees the work of employees and issues discipline to employees. I find that “Danny” is a supervisor within the meaning of the Act. Ellen Wen testified that Florence Wen has the authority to issue written warnings to employees of both E-Z Supply and Sunrise Plus. Lester Wen’s affidavit shows that Florence _________________________ that he would investigate the matter. No further mention was made on the record of this employee. There is thus no evidence whether Jun Zhao did or did not provide the required documents. Counsel for the General Counsel has apparently abandoned any claim on behalf of this employee as he is not included in the discussion of Union adherents in the brief. I shall not make any findings regarding this individual. JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 15 Wen suspended employees and credited testimony establishes that Florence Wen issued discipline for various infractions. Joint Exhibit 1 contains documents signed by Florence Wen as “Personnel Administrator.” I find that Florence Wen is a supervisor within the meaning of the Act. Ellen Wen testified that Eva Ma was the boss of E-Z Supply. The documentary evidence shows that Eva Ma signed the contract selling the assets of E-Z Supply to Sunrise Plus. Credited testimony establishes that Eva Ma was still working at Sunrise Plus in December 2006 and that she had the authority to order employees to keep working overtime until they completed their tasks. I find that Eva Ma is a supervisor within the meaning of the Act. B. Alter Ego and Successor Status of Sunrise Plus The Board has very recently summarized the criteria for finding alter ego status. In Summit Express, Inc., 350 NLRB No. 51, slip opinion page 3, (2007), the Board said: [T]he Board will find alter ego status where two entities have “substantially identical” management, business purpose, operations, equipment, customers, supervision and ownership. Crawford Door Sales, 226 NLRB 1144 (1976). The Board also looks to “whether the purpose behind the creation of the alleged alter ego was legitimate or whether, instead, its purpose was to evade responsibilities under the Act.” Fugazy Continental Corp., 265 NLRB 1301 (1982), enfd. 725 F.2d 1416 (D.C. Cir. 1984). No single factor is determinative of alter ego status, and not all the indicia need be present to conclude that a finding of alter ego status is appropriate. See, e.g., Fugazy. Nevertheless the Board generally has not found an alter ego relationship in the absence of common or related ownership between the two entities. Superior Export Packing co., 284 NLRB 1169, 1170, enfd. Mem. 845 F.2d 1013 (3d Cir. 1988). Significantly, although the Board has on occasion found that two entities are alter egos despite the lack of common ownership, on those occasions, “either the businesses in question were wholly owned by members of the same family or nearly entirely owned by the same individual, or the older business exerted substantial control over the business supposedly sold to the new company.” Hill Industries, 320 NLRB 1116 fn. 1 (1996). The factors set forth above are present in the relationship between E-Z Supply and Sunrise Plus. The management and supervision of Sunrise Plus is substantially identical with that of E-Z Supply. Lester Wen is identified as the general manager and sales manager of both companies with the responsibility for the day to day operation of the warehouse. Lester Wen was the chief management representative at negotiations with the Union for E-Z Supply and he continued in that role after the name of the company was changed to Sunrise Plus. Eva Ma, the boss of E-Z Supply continued to work for Sunrise Plus in a supervisory capacity. Florence Wen is a supervisor of both E-Z Supply and Sunrise Plus. “Danny” Can Hong Liu is the warehouse supervisor for Sunrise Plus, continuing the job position and duties he exercised at E-Z Supply. The uncontradicted testimony of the employees shows that their supervisors remained the same after the warehouse changed its name to Sunrise Plus. The business purpose, operations, equipment and customers of E-Z Supply and Sunrise Plus are identical. Both deliver food and restaurant supplies to restaurants from the same warehouse location. Sunrise Plus purchased the equipment of E-Z Supply and began using it the day after the closing on the sale. Sunrise Plus uses the customer lists of E-Z Supply and kept the same telephone number so that customers could continue to call the warehouse JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 16 without interruption to place their orders. The employees testified that they continued to deliver to the same restaurants after the company became Sunrise Plus. The uncontradicted testimony shows that E-Z Supply and Sunrise Plus used the same suppliers from which to obtain the goods they sold to restaurants. Further, the record shows that the ownership of E-Z Supply and Sunrise Plus is substantially identical. Although Eva Ma was identified as the boss of E-Z Supply, Lester Wen’s affidavit states that there are four shareholders of E-Z Supply. The E-Z Supply bank statement reveals that after the sale of its assets to Sunrise Plus it had a balance of $93,657.96 and that this total sum was paid in equal parts to Lester Wen, Eva Ma, Ellen Wen and Florence Wen. Despite Counsel for the General Counsel’s subpoena to Lester Wen he did not appear at the instant hearing. The bank records of E-Z supply were obtained by General Counsel pursuant to a subpoena issued during a break in the instant hearing after which Lester Wen was to appear and testify. He did not appear. Further, Ellen Wen testified for the General Counsel as an adverse witness but she was not called by Respondent to testify on its behalf. Thus, I am justified in coming to the obvious conclusion, in the absence of any other explanation, that the four-way liquidation of the remaining assets of E-Z Supply was a distribution to the four shareholders of E-Z supply. I find that Lester Wen, Eva Ma, Ellen Wen and Florence Wen were the four shareholders of E-Z Supply. Ellen Wen testified that she is the sole shareholder of Sunrise Plus. However, her testimony shows that she borrowed money from Lester Wen, Eva Ma and Florence Wen to finance her purchase of the E-Z Supply assets for Sunrise Plus. According to Ellen Wen there are no documents showing the existence or amount of these loans nor requiring any repayment. Ellen Wen has not made any payments on these loans. In the absence of any documentation or further explanation it would seem that the so-called loans are a sham and that Lester Wen, Eva Ma and Florence Wen have an ownership interest in Sunrise Plus.29 The conclusion that Lester Wen, Eva Ma and Florence Wen retain an interest in Sunrise Plus is strengthened by the fact that the sum of $68,000 was paid for assets that had a much higher original value, that this price included a going business with customer lists and that only $10 was paid for the assignment of a lease with many times that amount on deposit for security. There are other indications that the purported sale of E-Z Supply assets to Sunrise Plus was a sham and that the two companies share a common ownership. Attorney Emengo represented Sunrise Plus on October 10, 2006 when the contract of sale was signed. Attorney Emengo stated on the record that he had never represented E-Z supply and that he was ignorant of its affairs and not in contact with its principals. However, on November 20, 2006 E-Z Supply issued a check to Attorney Emengo. In the absence of any explanation it is reasonable to assume that E-Z Supply was making a payment for legal services which purportedly had been rendered to Sunrise Plus. This lends further support to the conclusion that the true owners of both companies are the same. Thus, the two businesses at issue in this case are wholly owned by members of the same family, thereby satisfying another criterion used to find alter ego status. J.M. Tanaka Const., 675 F.2d 1029, 1035 (9th Cir. 1982). 29 Further, Ellen Wen’s testimony about a purported home equity loan of $40,000 raises some questions. Although the document was subpoenaed, there is no proof of the existence of the loan. Ellen Wen testified that she “thought” the loan was for about $40,000. I have serious doubts about the veracity of the testimony concerning the home equity loan. A business person taking out a loan on a major asset such as a personal residence is not generally ignorant of the amount of the loan. JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 17 Finally, I find that Sunrise Plus was established to evade the responsibilities of E-Z Supply under the Act. As described above E-Z Supply had been negotiating with the Union for an initial contract. In addition, the union had successfully obtained overtime payments for the employees and it was preparing a wage and hour suit. While the negotiations were going on, managers of E-Z Supply were seeking to undermine support for the Union. The credited testimony establishes that in April 2006 Lester Wen instigated a movement to decertify the Union and obtained the signatures of many employees on a petition repudiating the Union. Lester Wen promised the employees more money, payments in cash to avoid taxes and help in obtaining social security and work permits. Lester Wen told the employees to ignore the Union and threatened to fire those employees “who were not with him.” Florence Wen promised the employees legal employment documents if they would work without the Union. Lester Wen told the employees that he and his lawyer would get rid of the Union. Lester Wen instructed Hugo Flores Perez to take employees to the Labor Board and cancel the election. Warehouse supervisor Danny also instructed employees to go to the Labor Board for this purpose. These actions by managers and supervisors of E-Z Supply demonstrate that the company wished to operate without the Union and that Respondent harbored anti-Union animus. Moreover, Lester Wen and his then attorney, Lloyd Somer, assured the Union that the company was changing its name but that the company had not been sold and would not be sold, thus hiding the facts from the employees’ representative until they could be presented with a fait accompli. As late as December 7, 2006, Lester Wen was assuring his employees that he would sign the contract with the Union. I conclude that when the efforts to decertify the Union failed, the shareholders of E-Z Supply determined to enter into a sham sale to a disguised continuance of the company in order to avoid dealing with the Union. Even if I had not found that Sunrise Plus was the alter ego of E-Z Supply, I would find that Sunrise Plus is the successor to E-Z Supply and that, in fact, it recognized and bargained with the Union. The sale of the E-Z Supply assets was final on November 30, 2006 and by then the name of Sunrise Plus had appeared on the warehouse. On December 1 the new name appeared on customer invoices and on some of the delivery trucks. On December 7, 2006 Attorney Somer, Lester Wen and other company representatives met with the Union for a grievance session. On this occasion Lester Wen assured the Union that he would sign the contract. On December 8, 2006 Attorney Somer faxed proposed Sunrise Plus work rules to the Union and the parties later bargained concerning the wording of the work rules. On December 12 Lester Wen telephoned Union agent Randel to discuss a problem employee. Thus, Sunrise Plus recognized the Union as the representative of its employees, bargained with the Union and dealt with it concerning employee problems and grievances. C. Violations of Section 8 (a)(1), (3) and (5) of the Act The credited testimony set forth above shows that in April 2006 Lester Wen held a meeting at which he promised the employees more pay and less work if they signed a paper stating that they no longer wanted the Union. Lester Wen promised the employees that he would not deduct taxes from their pay and would return the taxes they had already paid and that he would pay the employees in cash. Lester Wen wrote out the language repudiating Union representation and he gave it to an employee to copy in his own handwriting. Lester Wen brought the document repudiating the Union to several employees so that they could sign it. Lester Wen instructed employees to obtain signatures on the document. Lester Wen directed employees to go to the Labor Board to decertify the Union and promised to pay employees for their time. Eventually, Respondent paid at least one employee for his time spent at the Labor Board. In either July or August 2006 warehouse supervisor “Danny” Can Hong Liu, instructed employees to go to the Labor Board and he drove employees to present the petition repudiating JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 18 the Union. When the employees returned from the Labor Board Lester Wen told Hugo Flores Perez that in a few months he would get the Union out and he would pay the employees more money. By instigating a movement to decertify the Union, obtaining employee signatures on a petition repudiating Union representation, promising higher wages, payment in cash and help in obtaining employment documents in return for decertifying the Union and by instructing employees to go to the Labor Board and promising to pay them time and expenses for the decertification effort, Respondent violated Section 8 (a)(1) of the Act. St. George Warehouse, Inc., 349 NLRB No. 84 (2007). The credited testimony shows that in April 2006, in connection with initiating the attempt to decertify the Union, Lester Wen promised the employees more pay and less work if they signed a petition. He promised cash payment of wages, the return of payroll taxes already paid and monthly meetings to deal with employee problems. He threatened the employees with less work if they refused to repudiate the Union. By promising higher wages for less work and other benefits to employees if they repudiated the Union and by threatening employees with less work if they failed to repudiate the Union, Respondent violated Section 8 (a)(1) of the Act. The credited testimony shows that in May 2006 Lester Wen told the employees to leave the Union and threatened to fire those “who were not with him.” Wen told the employees to ignore the Union and he promised them payment of wages in cash and resumption of loans to employees. By threatening employees with discharge if the employees did not ignore the Union and by promising benefits if the employees did ignore the Union Respondent violated Section 8 (a)(1) of the Act. The credited testimony shows that on May 15, 2006 warehouse supervisor “Danny” Can Hong Liu questioned Augustin Ramalis Flores about his status with respect to Union membership and asked what he spoke about with a Union agent and other employees. Danny instructed Flores not to listen to the Union because the Union would not be there next year. By interrogating an employee about his support for the Union activities and by giving the impression that it was futile to support the Union Respondent violated Section 8 (a)(1) of the Act. The credited testimony shows that in June 2006 Lester Wen directed Hugo Flores Perez to tell other employees not to speak to the Union and promised to pay Perez higher wages once the Union left the company. Lester Wen asked Perez to inform him what was happening with the Union and the employees. Lester Wen said that he would never sign a contract with the Union. By instructing employees not to speak to the Union, by promising higher wages if the Union was ousted, by interrogating an employee about the employees’ Union activities and by stating that the company would never sign a contract with the Union Respondent violated Section 8 (a)(1) of the Act. The credited testimony shows that in July 2006 Lester Wen instructed Primitivo Aguilar Flores and Hugo Flores Perez to tell employees to ignore the Union in return for a promise of higher wages. One week later Perez received a wage increase. By promising higher wages to employees if they ignored the Union Respondent violated Section 8 (a)(1) of the Act. By granting a wage increase to an employee in return for his help in soliciting employees to ignore the Union Respondent violated Section 8 (a)(3) and (1) of the Act. As described above, Hugo Flores Perez was paid for non-work time when he went to the Labor Board in an attempt to decertify the Union pursuant to the instructions of Lester Wen. By paying an employee for time spent trying to decertify the Union Respondent violated Section 8 (a)(3) and (1) of the Act. The credited testimony shows that in July or August 2006 Lester Wen spoke to four JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 19 Chinese employees and promised them lower taxes if they got rid of the Union and Lester Wen informed the employees that he would find an attorney to get rid of the Union. By promising employees benefits if they did not support the Union and informing employees that the company would get rid of the Union Respondent violated Section 8 (a)(1) of the Act. The credited testimony shows that at the end of September 2006 Florence told the employees that everything was fine without the Union and she urged them to keep working “this way” and promised that the company would get them work permits and social security next year. By promising employees that if they worked without the Union the company would get them employment documents Respondent violated Section 8 (a)(1) of the Act. The credited testimony shows that at the end of October 2006 Lester Wen instructed an employee to inform other employees who were going back to the Union that he would get them work permits and social security and would help pay for these. By implying that if employees stopped going back to the Union the company would pay for employment documents Respondent violated Section 8 (a)(1) of the Act. The credited testimony shows that in negotiations for a collective bargaining agreement the company agreed that it would cease making loans to employees. Lester Wen’s affidavit states that he agreed to stop giving loans and it asserts, “[S]ince the agreement … the employer has not issued any loans to employees.” I find that the parties agreed that the employer would immediately implement the agreement and cease granting loans to employees. Joaquin Corona’s credited testimony shows that in May 2006 Lester Wen told a number of employees that he wanted them to leave the Union and he promised them certain benefits in return including resumption of loans to employees. Also in May 2006 Corona asked Lester Wen for a loan. Wen gave Corona $300 or $400 and instructed him not to inform the Union. I conclude that Lester Wen granted a loan to Corona to induce him to abandon the Union. The granting of the loan constituted a breach of the agreement with the Union. Respondent thus violated section 8 (a)(3) and (5) of the Act. It is undisputed that on April 25, 2007 the Union requested negotiations with Respondent. Respondent has not replied to this request and no negotiations have taken place. Sunrise Plus has an obligation to bargain with the Union as the alter ego of E-Z Supply and as its successor. Further, as I have found above, Sunrise Plus did recognize and bargain with the Union briefly in December 2006. By failing to negotiate with the Union since April 25, 2007, Respondent violated Section 8 (a)(5) and (1) of the Act. D. Request for Employment Documentation and Discharge of Employees The Respondent’s knowledge of its employees’ Union activities is well established. Employees selected the Union as their representative, marched with the Union, engaged in a strike and attended bargaining sessions. The Respondent’s knowledge of its employees’ protected concerted activities is also well established. As a result of the information given to the Labor Department in 2005 with Union assistance many employees collected substantial amounts for overtime that had not been paid them by E-Z Supply. Further, on December 28, 2006 at 11 am, just hours before the employees were fired en masse, Sunrise Plus had been served with a Summons and Complaint alleging that named Plaintiff employees were seeking to collect for failure to pay minimum wages and overtime and seeking attorney’s fees. The Summons bore the name of the Union’s attorney. The Respondent’s anti-Union animus is also well established. Respondent unlawfully initiated an effort to decertify the Union, and Respondent engaged in the unlawful interrogations, JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 20 threats, promises and other violations found above. The Union assisted the employees in their protected concerted activities and it is reasonable to conclude that the Respondent’s hostility was directed not only at the Union activities but also at the employees’ concerted activities which had already proved costly to Respondent and were likely to prove more costly in the future. Further, the credited testimony shows that Lester Wen told employees that he was planning to get rid of the Union and that he would have an attorney assist him in this goal. I have found above that Respondent established Sunrise Plus on December 1, 2006 as a disguised continuance of E-Z Supply in order to evade its obligations under the Act. Respondent had recently learned that it could not obtain decertification of the Union. Respondent had continued its efforts to make the employees leave the Union and ignore the Union. It is reasonable to conclude, given the circumstances, that Respondent determined to discharge the unit employees in furtherance of its object to rid itself of the obligation to recognize and bargain with the Union. The discharges came at a time when the Union was pressing the employer to sign a collective bargaining agreement. Indeed, the testimony shows that Lester Wen was at pains to reassure the Union and the employees that despite the name change he would sign the contract. The employees’ testimony shows that many of them had worked for years at the warehouse without having been required to show a social security card or green card. Augustin Ramalis Flores was put to work in 2002 and again in 2006 without producing any employment documentation. Jorge Orea was hired in 1997 without being asked for documents. Primitivo Aguilar Flores was not asked for documentation when he began work in the early 1990’s. Hugo Flores Perez was not asked for any documents when he was hired in 2002. Further, it is clear that the company knew many employees could not produce the documents proving their right to work in the U.S. For example, in September 2006 Florence Wen promised a group of employees that if they continued to work without the Union the company would get them work permits and social security in the next year. In October 2006 Lester Wen instructed Hugo Flores Perez to tell employees he would help pay for work permits and social security. Thus, it is clear that on December 22, when Respondent asked the employees to provide identity and employment documents it had very good reason to believe that the employees would not be able to provide these items. It is reasonable to conclude based on the anti-union animus of Respondent, the knowledge of its employees’ Union and concerted activities and the timing of the request that employees were requested to provide employment documents as part of a plan to discharge them because they engaged in Union and concerted activities. It follows that Respondent requested employment documents from the employees and discharged the employees on December 28, 2006 because they engaged in Union and protected concerted activities. Respondent thus violated Section 8 (a)(1) and (3) of the Act. The Answer submitted by Sunrise Plus asserts that the employees were terminated because they did not possess valid documentation to be employed in the United States. However, no witness testified to this effect. There is no testimony on behalf of Respondent to explain the reason for the request for employee documents on December 22 and the subsequent discharge of the employees. Assertions in the Answer signed by Counsel for Respondent and statements made by Counsel at the hearing do not take the place of testimony by the managers of Respondent concerning their motivation for requesting employment documents and for terminating employees. Respondent did not explain why, after many years of hiring employees whom it did not ask for documents, it suddenly requested these documents. It would be entirely improper for a fact finder to manufacture a rationale for Respondent when the Respondent itself has not come forward to explain its actions. This is especially so when Lester Wen did not respond either to a subpoena or to numerous on the record requests to be JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 21 present and testify in this proceeding. Further, Ellen Wen, the sole shareholder of Sunrise Plus, was called herein by Counsel for the General Counsel and testified on the record but Respondent did not question her on this issue. Thus I find that the Answer of Respondent, to the extent that it asserts a reason for requesting the employment documents and terminating the employees, is a pretext. Even if I performed the analysis required by Wright Line, 251 NLRB 1083 (1980), enfd. 662 F.2d 899 (1st Cir. 1981), cert. denied 455 U.S. 989 (1982), the record herein would require me to find a violation. Thus, the abundant facts recited above indicate that Respondent would not have established Sunrise Plus and would not have requested a green card and social security card but for the employees’ Union and concerted activities. Respondent was content to employ the workers for many years without requiring proof of their right to work in the United States and Respondent only asked for documentation when its attempts to rid itself of the Union failed of execution. Indeed, the credited testimony shows that Respondent told the employees it would continue to employ them if they repudiated the Union and that it would help them get the proper employment documentation “next year.” The instant case is remarkably similar to Concrete Form Walls, Inc., 346 NLRB 831, 835 (2006). In that case the employer had discharged four purportedly undocumented workers because they voted in a Board election. The Board said that “an employer may violate Section 8(a) (3) even where the employer claims that the discharge was required under another statutory provision. … That an employer can proffer a legitimate reason for a discharge is not a defense where that legitimate reason was ‘not a moving cause of the discharge.’” The Board commented that the employer was aware that the employees were potentially undocumented well before they voted in the election but it “was content to violate the IRCA and employ workers whom its owner believed were illegal aliens until those workers decided to vote in a Board- conducted election.” Conclusions of Law 1. Respondent Sunrise Plus Corp. was established as the alter ego of Respondent E-Z Supply Corp. 2. Industrial Workers of the World, New York City General Membership Branch, is the exclusive collective bargaining representative of the employees of Respondent in the following appropriate unit All full-time and regular part-time truck drivers, drivers’ helpers, hi-lo operators, warehousemen and warehouse/cleaning employees employed by the Employer at its facility located at 48-01 Metropolitan Avenue, Ridgewood, New York, excluding office clerical employees, guards and supervisors as defined in the Act. 3. By instigating a movement to decertify the Union, obtaining employee signatures on a petition repudiating Union representation, promising higher wages for less work, payment in cash, return of payroll taxes already paid, monthly meetings to deal with employee problems, help in obtaining employment documents in return for decertifying the Union and by instructing employees to go to the Labor Board and promising to pay them time and expenses for the decertification effort, Respondent violated Section 8 (a)(1) of the Act. 4. By instructing employees to leave the Union, instructing employees to ignore the Union, threatening to discharge employees who continued to support the Union, and by JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 22 promising to resume making loans to employees if they ignored the Union, Respondent violated Section 8 (a) (1) of the Act. 5. By interrogating employees about their Union activities, Respondent violated Section 8 (a)(1) of the Act. 6. By giving employees the impression that it was futile to support the Union, informing employees that Respondent would get rid of the Union, and stating that Respondent would never sign a collective bargaining agreement with the Union, Respondent violated Section 8 (a)(1) of the Act. 7. By promising employees higher wages if they ignored the Union, Respondent violated Section 8 (a)(1) of the Act. 8. By promising employees green cards and social security in return for abandoning the Union, and by promising to pay for employees’ work documents if they refrained from supporting the Union, Respondent violated Section 8 (a)(1) of the Act. 9. By granting loans to employees to induce them to abandon the Union, Respondent violated Section 8 (a)(1), (3), and (5) of the Act. 10. By granting wage increases to employees in return for his help in soliciting employees to ignore the Union, Respondent violated Section 8 (a)(3) of the Act. 11. By paying employees for time spent trying to decertify the Union, Respondent violated Section 8 (a)(3) and (1) of the Act. 12. By requesting employment documents from its employees and discharging Augustin Ramales Flores, Daniel Mungia, Hugo Flores Perez, Javier Flores Perez, Joaquin Almazan Olmos, Jose Aguilar Flores, Luis Alberto Barranco, Primitivo Aguilar Flores, Ramiro Casa, Raymundo Tlaltepa, Jorge Orea and Son Onn Voon because they engaged in Union and protected concerted activities, Respondent violated Section 8 (a)(1) and (3) of the Act. 13. By failing to bargain with the Union since April 25, 2007 Respondent violated Section 8 (a)(5) and (1) of the Act. 14. The General Counsel has not shown that Respondent engaged in any other violations of the Act. Remedy Having found that the Respondent has engaged in certain unfair labor practices, I find that it must be ordered to cease and desist and to take certain affirmative action designed to effectuate the policies of the Act. The Respondent having discriminatorily discharged employees, it must offer them reinstatement and make them whole for any loss of earnings and other benefits, computed on a quarterly basis from date of discharge to date of proper offer of reinstatement, less any net interim earnings, as prescribed in F. W. Woolworth Co., 90 NLRB 289 (1950), plus interest as computed in New Horizons for the Retarded, 283 NLRB 1173 (1987). The Respondent may raise any arguments it wishes to present as the eligibility of the JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 23 individual discriminatees to reinstatement and back pay based on their possession of employment documents at the compliance stage of this proceeding. See Tuv Taam Corp., 340 NLRB 756 (2003). The General Counsel has requested an extension of the certification for one year and Union access to Respondent’s bulletin boards. These special remedies were not litigated herein and may be raised during the compliance stage of this proceeding. On these findings of fact and conclusions of law and on the entire record, I issue the following recommended30 ORDER The Respondent, E-Z Supply corp. and its alter ego Sunrise Plus Corp., its officers, agents, successors, and assigns, shall 1. Cease and desist from (a) Instigating a movement to decertify the Union by obtaining employee signatures on a petition repudiating Union representation, promising higher wages and benefits in return for decertifying the Union and promising to pay to employees for time and expenses in the decertification effort. (b) Paying employees for time spent in trying to decertify the Union. (c) Instructing employees to abandon the Union and to ignore the Union. (d) Threatening to discharge employees who continue to support the Union. (e) Promising loans and higher wages to employees if they ignore the Union. (f) Granting loans and wage increases to employees in return for abandoning the Union. (g) Interrogating employees about their Union activities. (h) Giving employees the impression that it is futile to support the Union, stating that the company would get rid of the Union and stating that the company would never sign a contract with the Union. (i) Promising employees green cards and social security, at the Respondent’s expense, if they abandon the Union. (j) Requesting employment documents from employees and discharging employees because they engage in Union and protected concerted activities. 30 If no exceptions are filed as provided by Sec. 102.46 of the Board’s Rules and Regulations, the findings, conclusions, and recommended Order shall, as provided in Sec. 102.48 of the Rules, be adopted by the Board and all objections to them shall be deemed waived for all purposes. JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 24 (k) In any like or related manner interfering with, restraining, or coercing employees in the exercise of the rights guaranteed them by Section 7 of the Act. 2. Take the following affirmative action necessary to effectuate the policies of the Act. (a) On request, bargain with the Union as the exclusive representative of the employees in the appropriate unit found above concerning terms and conditions of employment and, if an understanding is reached, embody the understanding in a signed agreement. (b) Within 14 days from the date of the Board’s Order, offer Augustin Ramales Flores, Daniel Mungia, Hugo Flores Perez, Javier Flores Perez, Joaquin Almazan Olmos, Jose Aguilar Flores, Luis Alberto Barranco, Primitivo Aguilar Flores, Ramiro Casa, Raymundo Tlaltepa, Jorge Orea and Son Onn Voon full reinstatement to their former jobs or, if those jobs no longer exist, to substantially equivalent positions, without prejudice to their seniority or any other rights or privileges previously enjoyed. (c) Make Augustin Ramales Flores, Daniel Mungia, Hugo Flores Perez, Javier Flores Perez, Joaquin Almazan Olmos, Jose Aguilar Flores, Luis Alberto Barranco, Primitivo Aguilar Flores, Ramiro Casa, Raymundo Tlaltepa, Jorge Orea and Son Onn Voon whole for any loss of earnings and other benefits suffered as a result of the discrimination against them, in the manner set forth in the remedy section of the decision. (d) Within 14 days from the date of the Board’s Order, remove from its files any reference to the unlawful discharges, and within 3 days thereafter notify the employees in writing that this has been done and that the discharges will not be used against them in any way. (e) Preserve and, within 14 days of a request, or such additional time as the Regional Director may allow for good cause shown, provide at a reasonable place designated by the Board or its agents, all payroll records, social security payment records, timecards, personnel records and reports, and all other records, including an electronic copy of such records if stored in electronic form, necessary to analyze the amount of backpay due under the terms of this Order. (f) Within 14 days after service by the Region, post at its facility in Ridgewood, New York, copies of the attached notice marked “Appendix”31 in English, Spanish and Chinese. Copies of the notice, on forms provided by the Regional Director for Region 29, after being signed by the Respondent’s authorized representative, shall be posted by the Respondent and maintained for 60 consecutive days in conspicuous places including all places where notices to employees are customarily posted. Reasonable steps shall be taken by the Respondent to ensure that the notices are not altered, defaced, or covered by any other material. In the event that, during the pendency of these proceedings, the Respondent has gone out of business or closed the facility involved in these proceedings, the Respondent shall duplicate and mail, at its own expense, a copy of the notice to all current employees and former employees employed by the Respondent at any time since April 2006. 31 If this Order is enforced by a judgment of a United States court of appeals, the words in the notice reading “Posted by Order of the National Labor Relations Board” shall read “Posted Pursuant to a Judgment of the United States Court of Appeals Enforcing an Order of the National Labor Relations Board.” JD(NY)-54-07 5 10 15 20 25 30 35 40 45 50 25 (g) Within 21 days after service by the Region, file with the Regional Director a sworn certification of a responsible official on a form provided by the Region attesting to the steps that the Respondent has taken to comply. IT IS FURTHER ORDERED that the complaint is dismissed insofar as it alleges violations of the Act not specifically found. Dated, Washington, D.C., December 28, 2007. ____________________ Eleanor MacDonald Administrative Law Judge JD(NY)-54-07 APPENDIX NOTICE TO EMPLOYEES Posted by Order of the National Labor Relations Board An Agency of the United States Government The National Labor Relations Board has found that we violated Federal labor law and has ordered us to post and obey this Notice. FEDERAL LAW GIVES YOU THE RIGHT TO Form, join, or assist a union Choose representatives to bargain with us on your behalf Act together with other employees for your benefit and protection Choose not to engage in any of these protected activities WE WILL NOT discharge or otherwise discriminate against any of you for supporting Industrial Workers of the World or any other union. WE WILL NOT discharge or otherwise discriminate against any of you for engaging in concerted activities with your co-workers. WE WILL NOT instigate a movement to decertify the Union, and we will not promise higher wages and benefits or promise to pay employees for their time spent in return for decertifying the Union. WE WILL NOT pay employees for their time spent trying to decertify the Union. WE WILL NOT instruct employees to abandon the Union and ignore the Union, and WE WILL NOT proise to give employees higher wages and loans if they ignore the Union. WE WILL NOT threaten to discharge employees because they support the Union. WE WILL NOT interrogate employees about their Union activities. WE WILL NOT tell employees that the company will get rid of the Union and WE WILL NOT state that the company would never sign a contract with the Union. WE WILL NOT promise to pay for green cards and social security if employees abandon the Union. WE WILL NOT in any like or related manner interfere with, restrain, or coerce you in the exercise of the rights guaranteed you by Section 7 of the Act. WE WILL, on request, bargain with the Union and put in writing and sign any agreement reached on terms and conditions of employment for our employees in the bargaining unit: All full-time and regular part-time truck drivers, drivers’ helpers, hi-lo operators, warehousemen and warehouse/cleaning employees employed by the Employer at its JD(NY)-54-07 facility located at 48-01 Metropolitan Avenue, Ridgewood, New York, excluding office clerical employees, guards and supervisors as defined in the Act. WE WILL, within 14 days from the date of this Order, offer Augustin Ramales Flores, Daniel Mungia, Hugo Flores Perez, Javier Flores Perez, Joaquin Almazan Olmos, Jose Aguilar Flores, Luis Alberto Barranco, Primitivo Aguilar Flores, Ramiro Casa, Raymundo Tlaltepa, Jorge Orea and Son Onn Voon full reinstatement to their former jobs or, if those jobs no longer exist, to substantially equivalent positions, without prejudice to their seniority or any other rights or privileges previously enjoyed. WE WILL make Augustin Ramales Flores, Daniel Mungia, Hugo Flores Perez, Javier Flores Perez, Joaquin Almazan Olmos, Jose Aguilar Flores, Luis Alberto Barranco, Primitivo Aguilar Flores, Ramiro Casa, Raymundo Tlaltepa, Jorge Orea and Son Onn Voon whole for any loss of earnings and other benefits resulting from their discharge, less any net interim earnings, plus interest. WE WILL, within 14 days from the date of this Order, remove from our files any reference to the unlawful discharges of Augustin Ramales Flores, Daniel Mungia, Hugo Flores Perez, Javier Flores Perez, Joaquin Almazan Olmos, Jose Aguilar Flores, Luis Alberto Barranco, Primitivo Aguilar Flores, Ramiro Casa, Raymundo Tlaltepa, Jorge Orea and Son Onn Voon, and WE WILL, within 3 days thereafter, notify them in writing that this has been done and that the discharges will not be used against them in any way. E-Z Supply Corp. and Sunrise Plus Corp. (Employer) Dated By (Representative) (Title) The National Labor Relations Board is an independent Federal agency created in 1935 to enforce the National Labor Relations Act. It conducts secret-ballot elections to determine whether employees want union representation and it investigates and remedies unfair labor practices by employers and unions. To find out more about your rights under the Act and how to file a charge or election petition, you may speak confidentially to any agent with the Board’s Regional Office set forth below. You may also obtain information from the Board’s website: www.nlrb.gov. Two MetroTech Center (North), Jay Street and Myrtle Avenue, 10th Floor Brooklyn, New York 11201-4201 Hours: 9 a.m. to 5:30 p.m. 718-330-7713. THIS IS AN OFFICIAL NOTICE AND MUST NOT BE DEFACED BY ANYONE THIS NOTICE MUST REMAIN POSTED FOR 60 CONSECUTIVE DAYS FROM THE DATE OF POSTING AND MUST NOT BE ALTERED, DEFACED, OR COVERED BY ANY OTHER MATERIAL. ANY QUESTIONS CONCERNING THIS NOTICE OR COMPLIANCE WITH ITS PROVISIONS MAY BE DIRECTED TO THE ABOVE REGIONAL OFFICE’S COMPLIANCE OFFICER, 718-330-2862. Copy with citationCopy as parenthetical citation