Midwest Stock Exchange, Inc.Download PDFNational Labor Relations Board - Board DecisionsApr 24, 1979241 N.L.R.B. 1102 (N.L.R.B. 1979) Copy Citation DECISIONS OF NATIONAL LABOR RELATIONS BOARD Midwest Stock Exchange, Incorporated, Midwest Clearing Corporation, Midwest Securities Trust Co., and Midwest Stock Exchange Service Corpora- tion and Office and Professional Employees Inter- national Union, Local 28, AFL-CIO. Case 13-CA 18121 April 24, 1979 DECISION AND ORDER BY CHAIRMAN FANNING AND MiEMHI RS JENKINS ANI) PENEI.I.O Upon a charge filed on October 16, 1978, by Office and Professional Employees International Union, AFL-CIO, herein called the Union, and duly served on Midwest Stock Exchange, Incorporated, Midwest Clearing Corporation, Midwest Securities Trust Co., and Midwest Stock Exchange Service Corporation, herein called Respondent, the General Counsel of the National Labor Relations Board, by the Regional Di- rector for Region 13, issued a complaint and notice of hearing on November 22, 1978, against Respondent, alleging that Respondent had engaged in and was en- gaging in unfair labor practices affecting commerce within the meaning of Section 8(a)(5) and (1) and Section 2(6) and (7) of the National Labor Relations Act, as amended. Copies of the charge, complaint, and notice of hearing before an administrative law judge were duly served on the parties to this proceed- ing. The complaint alleges in substance that on Septem- ber 29, 1978, following a Board election in Case 13- RC- 14526, the Union was duly certified as the exclu- sive collective-bargaining representative of Respon- dent's employees in the unit found appropriate;' and that, commencing on or about November 10, 1978, and at all times thereafter, Respondent has refused, and continues to date to refuse, to bargain collec- tively with the Union as the exclusive bargaining rep- restntative, although the Union has requested and is requesting it to do so. On December 4, 1978, Respon- dent filed its answer to the complaint admitting, in part, and denying, in part, the allegations in the com- plaint. On December 28, 1978, counsel for the General Counsel filed directly with the Board a Motion for Summary Judgment. Subsequently, on January 18, I Official notice is taken o the record in the representation proceeding. Case 13-RC 14526, as the term "record" is defined in Secs. 102.68 and 102.69ig) of the Board's Rules and Regulations, Series 8, as amended. See LTV Electrossstremr, Inc., 166 NLRB 938 (1967), enfd. 388 F.2d 633 (4th Cir. 1968); Golden Age Beverage (o.. 167 NLRB 151 (1967), enfd. 415 F.2d 26 (5th Cir. 1969); Intertype Co. v. Penello. 269 F.Supp. 573 (D.C.Va.. 1967): Follerrt Corp. 164 NLRB 378 (1967), enfd. 397 F.2d 91 (7th Cir. 1968); Sec. 9(d) of the NI.RA, as amended. 1979, the Board issued an order transferring the pro- ceeding to the Board and a Notice To Show Cause why the General Counsel's Motion for Summary Judgment should not be granted. Respondent there- after filed a response to Notice To Show Cause.2 Pursuant to the provisions of Section 3(b) of the National Labor Relations Act, as amended, the Na- tional Labor Relations Board has delegated its au- thority in this proceeding to a three-member panel. Upon the entire record in this proceeding, the Board makes the following: Ruling on the Motion for Summary Judgment In its answer to the complaint and response to the Notice To Show Cause, Respondent in substance contends that the certification is invalid for the rea- sons stated in its objections to the election and excep- tions to the Hearing Officer's Report on Objections and Recommendations. A review of the record in the representation pro- ceeding, Case 13-RC 14526, discloses that an elec- tion directed by the Regional Director was held on January 26, 1978, and was won by the Union. Re- spondent filed timely objections to conduct affecting the results of the election which, in substance, alleged that: (I) the National Labor Relations Board agents conducting the election wrongfully denied Respon- dent's request to extend polling hours; (2) the Union's election observer unlawfully engaged in electioneer- ing at the polls; (3) the Board agents improperly su- pervised the election; (4) agents of the Union inter- fered with the employees' free choice by acts of coercion and by challenging voters on frivolous grounds; and (5) the Board unlawfully discouraged certain employees from filing unfair labor practice charges. The Regional Director issued his Supplemental Decision on March 16, 1978, overruling all of Re- spondent's objections except the one pertaining to the electioneering of the Union observer during the vot- ing period and the failure of the Board agent to pre- vent it, and ordered a hearing on this objection. Re- spondent did not file exceptions. On May 5, 1978, the I-learing Officer issued her Report on Objections and Recommendations, in which she recommended that Respondent's objection be overruled on the ground that the conversations of the union observer with em- ployees were merely brief, innocuous exchanges and did not involve the appearance of electioneering, and the observer's performance of' childcare services was only a courtesy performed in response to a request. 2 Respondent's response, in part, requests that the Board reconsider its decision in the underlying representation case. lo the extent that Respon- dent's response may be considered a motion for reconsideration. it is denied as not raising any issues not presiousl) considered by the Board. 241 NLRB No. 158 1102 MIDWEST STOCK EXCHANGE Respondent filed exceptions to the Hearing Officer's report. On September 29, 1978, the Board, in an un- published decision, adopted the Hearing Officer's re- port and certified the Union as the exclusive collec- tive-bargaining representative of Respondent's employees in the unit found appropriate. It is well settled that in the absence of newly dis- covered or previously unavailable evidence or special circumstances, a respondent in a proceeding alleging a violation of Section 8(a)(5) is not entitled to reliti- gate issues which were or could have been litigated in a prior representation proceeding.3 All issues raised by Respondent in this proceeding were or could have been litigated in the prior repre- sentation proceeding, and Respondent does not offer to adduce at a hearing any newly discovered or previ- ously unavailable evidence, nor does it allege that any special circumstances exist herein that would require the Board to reexamine the decision made in the rep- resentation proceeding. We therefore find that Re- spondent has not raised any issue which is properly litigable in this unfair labor practice proceeding. Ac- cordingly, we grant the Motion for Summary Judg- ment. On the basis of the entire record, the Board makes the following: FINDINGS OF FACT I. THE BUSINESS OF RESPONDENT Midwest Stock Exchange, Incorporated, Midwest Clearing Corporation, Midwest Securities Trust Co., and Midwest Stock Exchange Service Corporation, are affiliated businesses with common owners, direc- tors, control, location, and a common labor relations policy, and constitute a single employer and an inte- grated business enterprise engaged in commerce within the meaning of Section 2(6) and 2(7) of the Act. Respondent has an office and place of business in Chicago, Illinois, where it provides facilities and services for individuals engaged in the business of purchasing and selling certain securities and options. During a representative 12-month period, Respon- dent, in the course and conduct of its business opera- tions, serviced securities with shares having a com- bined value of over $500.000 which were purchased and sold at Respondent's facility, as well as serviced securities with shares having a combined par value of over $50,000 which originated outside the State of Illinois and were purchased and sold at Respondent's Illinois facility. We find, on the basis of the foregoing. that Respon- dent is, and has been at all times material herein, an ISee Pittsburgh Plate Glass Co. v. N L.R B., 313 U.S. 146, 162 (1941): Rules and Regulations of the Board, Secs. 102.67(f) and 102 6 9(c) employer engaged in commerce within the meaning of Section 2(6) and (7) of the Act, and that it will effectuate the policies of the Act to assert jurisdiction herein. II. THE LABOR ORGANIZATION INVOI.VED Office and Professional Employees International Union, Local 28. AFL-CIO, is a labor organization within the meaning of Section 2(5) of the Act. III. THE UNFAIR LABOR PRACTICES A. The Representation Proceeding 1. The unit The following employees of Respondent constitute a unit appropriate for collective-bargaining purposes within the meaning of Section 9(b) of the Act: All employees of the Employer at its facilities currently located at 120 South LaSalle Street and 640 North LaSalle Street, Chicago, Illinois, as specifically included in Appendix B attached hereto, but excluding those specifically excluded in said Appendix B, all professional employees, guards and supervisors as defined in the Act, as amended, constitute a unit appropriate for the purposes of collective bargaining within the meaning of Section 9(b) of the Act. 2. The certification On January 26, 1978, a majority of the employees of Respondent in said unit, in a secret-ballot election conducted under the supervision of the Regional Di- rector for Region 13, designated the Union as their representative for the purpose of collective bargaining with Respondent. The Union was certified as the col- lective-bargaining representative of the employees in said unit on September 29, 1978, and the Union con- tinues to be such an exclusive representative within the meaning of Section 9(a) of the Act. B. The Request To Bargain and Respondent's Reisal Commencing on or about October 5. 1978, and at all times thereafter, the Union has requested Respon- dent to bargain collectively with it as the exclusive collective-bargaining representative of all the employ- ees in the above-described unit. Commencing on or about November 10, 1978. and continuing at all times thereafter to date, Respondent has refused, and con- tinues to refuse, to recognize and bargain with the Union as the exclusive representative for collective bargaining of all employees in said unit. 1103 DECISIONS OF NATIONAL LABOR RELATIONS BOARD Accordingly, we find that Repondent has, since November 10, 1978, refused to bargain collectively with the Union as the exclusive representative of the employees in the appropriate unit, and that, by such refusal, Respondent has engaged in, and is engaging in, unfair labor practices within the meaning of Sec- tion 8(a)(5) and (1) of the Act. IV. THE EFFECT OF THE UNFAIR LABOR PRACTICES UPON COMMERCE The activities of Respondent set forth in section III above, occurring in connection with its operations de- scribed in section I above, have a close, intimate, and substantial relationship to trade, traffic, and com- merce among the several States, and tend to lead to labor disputes burdening and obstructing commerce and the free flow of commerce. V. THE REMEDY Having found that Respondent has engaged in and is engaging in unfair labor practices within the mean- ing of Section 8(a)(5) and (1) of the Act, we shall order that it cease and desist therefrom, and, upon request, bargain collectively with the Union as the exclusive representative of all employees in the ap- propriate unit, and, if an understanding is reached, embody such understanding in a signed agreement. In order to insure that the employees in the appro- priate unit will be accorded the services of their se- lected bargaining agent for the period provided by law, we shall construe the initial period of certifica- tion as beginning on the date Respondent commences to bargain in good faith with the Union as the recog- nized bargaining representative in the appropriate unit. See Mar-Jac Poultry Company, Inc., 136 NLRB 785 (1962); Commerce Company d/b/a Lamar Hotel, 140 NLRB 226, 229 (1962), enfd. 328 F.2d 600 (5th Cir. 1964), cert. denied 379 U.S. 817 (1964); Burnett Construction Company, 149 NLRB 1419, 1421 (1964), enfd. 350 F.2d 57 (10th Cir. 1965). the Board, upon the basis of the foregoing facts and the entire record, makes the following: CONCLUSIONS OF LAW 1. Midwest Stock Exchange, Incorporated, Mid- west Clearing Corporation, Midwest Securities Trust Co., and Midwest Stock Exchange Service Corpora- tion, is an employer engaged in commerce within the meaning of Section 2(6) and (7) of the Act. 2. Office and Professional Employees International Union, Local 28, AFL-CIO, is a labor organization within the meaning of Section 2(5) of the Act. 3. All employees of the Employer at its facilities currently located at 120 South LaSalle Street and 640 North LaSalle Street, Chicago, Illinois, as specifically included in Appendix B attached hereto, but exclud- ing those specifically excluded in said Appendix B, and all professional employees, guards and supervi- sors as defined in the Act, as amended, constitute a unit appropriate for the purposes of collective bar- gaining within the meaning of Section 9(b) of the Act. 4. Since September 29, 1978, the above-named la- bor organization has been and now is the certified and exclusive representative of all employees in the aforesaid appropriate unit for the purpose of collec- tive bargaining within the meaning of Section 9(a) of the Act. 5. By refusing on or about November 10, 1978, and at all times thereafter, to bargain collectively with the above-named labor organization as the ex- clusive bargaining representative of all the employees of Respondent in the appropriate unit, Respondent has engaged in and is engaging in unfair labor prac- tices within the meaning of Section 8(a)(5) of the Act. 6. By the aforesaid refusal to bargain, Respondent has interfered with, restrained, and coerced, and is interfering with, restraining, and coercing, employees in the exercise of the rights guaranteed to them in Section 7 of the Act, and thereby has engaged in and is engaging in unfair labor practices within the mean- ing of Section 8(a)(l) of the Act. 7. The aforesaid unfair labor practices are unfair labor practices affecting commerce within the mean- ing of Section 2(6) and (7) of the Act. ORDER Pursuant to Section 10(c) of the National Labor Relations Act, as amended, the National Labor Rela- tions Board hereby orders that the Respondent, Mid- west Stock Exchange, Incorporated, Midwest Clear- ing Corporation, Midwest Securities Trust Co., and Midwest Stock Exchange Service Corporation, Chi- cago, Illinois, its officers, agents, successors, and as- signs, shall: 1. Cease and desist from: (a) Refusing to bargain collectively with regard to rates of pay, wages, hours, and other terms and con- ditions of employment with Office and Professional Employees International Union, Local 28, AFL- CIO, as the exclusive bargaining representative of its employees in the following appropriate unit, as set forth in Appendix B attached hereto. (b) In any like or related manner interfering with, restraining, or coercing employees in the exercise of the rights guaranteed them in Section 7 of the Act. 2. Take the following affirmative action which the Board finds will effectuate the policies of the Act: (a) Upon request, bargain with the above-named 1104 MIDWEST STOCK EXCHANGE labor organization as the exclusive representative of all employees in the aforesaid appropriate unit with respect to rates of pay, wages hours, and other terms and conditions of employment, and, if an understand- ing is reached, embody such understanding in a signed agreement. (b) Post at its facilities in Chicago, Illinois, copies of the attached notice marked "Appendix A."4 Copies of said notice, on forms provided by the Regional Director for Region 13, after being duly signed by Respondent's represenative, shall be posted by Re- spondent immediately upon receipt thereof, and be maintained by it for 60 consecutive days thereafter, in conspicuous places, including all places where notices to employees are customarily posted. Reasonable steps shall be taken by Respondent to insure that said notices are not altered, defaced, or covered by any other material. (c) Notify the Regional Director for Region 13, in writing, within 20 days from the date of this Order, what steps have been taken to comply herewith. 4 In the event that 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." APPENDIX A NOTICE To EMPLOYEES POSTED BY ORDER OF THE NATIONAL LABOR RELATIONS BOARD An Agency of the United States Government WE WILL NOT refuse to bargain collectively concerning rates of pay, wages, hours, and other terms and conditions of employment with Office and Professional Employees International Union, Local 28, AFL-CIO, as the exclusive rep- resentative of the employees in the bargaining unit described below. WE WIIL NOT in any like or related manner interfere with, restrain, or coerce our employees in the exercise of the rights guaranteed them by Section 7 of the Act. WE WllL, upon request, bargain with the above-named Union, as the exclusive representa- tive of all employees in the bargaining unit de- scribed below, with respect to rates of pay. wages, hours, and other terms and conditions of employment, and. if an understanding is reached, embody such understanding in a signed agreement. The bargaining unit is: All employees of the Employer at its facili- ties currently located at 120 South LaSalle Street and 640 North LaSalle Street, Chicago, Illinois. as specifically included in Appendix B attached hereto, but excluding those specifi- cally excluded in said Appendix B, all profes- sional employees, guards and supervisors as defined in the Act, as amended, constitute a unit appropriate for the purposes of collective bargaining within the meaning of Section 9(b) of the Act. MIDWEST STOCK EXCHANGE, INCORPORATED, MIDWEST CLEARING CORPORATION, MIDWEST SECURITIES TRUST CO., AND MIDWEST STOCK EXCHANGE SERVICE CORPORATION APPENDIX B Reorganization Department: Included: reorganization clerks and research clerks; excluded: supervisor of reorganization. Stock Transfer Department: Included: stock transfer clerks and stock transfer coor- dinators: excluded: Supervisors of stock transfer and manager of stock transfer. Data Control Department: Included: messengers, peripheral operators, report dis- tribution clerks, group leaders, data control coordina- tors, and research clerks; excluded: supervisors of data control. Microfilm Department: Included: microfilm clerks. Security Processing Department. Included: file clerks, box cashiers, vault clerks, re- search clerks, and senior research clerks; excluded: su- pervisors of security processing and manager of secu- rity processing. Keypunch Department. Included: keypunch operators and lead keypunch op- erators; excluded: supervisor of keypunch. MST/MCC Operations Department. Included: internal controls auditor; excluded: junior and senior secretary of MST/MCC operations, man- ager of internal control audit, director of data control, input and distribution. assistant vice president of MST operations, and director of security. Efficiency Planning Department: Excluded: methods analyst. Special Services Departmentr. Included: special service clerks and senior special ser- vice clerks; excluded: supervisor of special services. Distribution Department. Included: file clerks, microfilm clerks, and window tell- ers: excluded: supervisor of distribution. Trade Recording Department. Included: special services clerks, senior special services clerks, and trade coordinators; excluded: supervisor of trade recording. SSM/ NCC Department: Included: SSM clerks, special cashiers, window clerks, NCC clerks, and messengers: excluded: supervisor and manager of SSM. 1105 DECISIONS OF NATIONAL LABOR RELATIONS BOARD Dividend Department: Included: kray clerks, proxy clerks, dividend research clerks, and group leaders, dividends; excluded: super- visor of controls. Cash Management Department: Included: cash management accounting clerks; ex- cluded: supervisor of cash managment. Product Planning Department. Included: administrative coordinators and project ana- lysts; excluded: junior secretary of product planning and manager of product planning. Control Department: Excluded: secretary of controls, manager of controls, and vice president of controls. Microfilm and Records Retention Department: Included: microfilm librarians, research clerks, senior research clerks, group leader of records retention, and training coordinators MST; excluded: supervisors of records retention. Marketing and Banking. Excluded: secretary of marketing and banking, vice president of marketing, and manager of marketing. Department of Member Services. Included: member services representatives and clerk typists; excluded: secretary of member services, super- visor of member services, and manager of member ser- vices. Communications Department. Included: voice communications analyst; excluded: vice president of communications, manager of commu- nication services, and vice president of conversion and consulting. MTS/MCC Systems and Programming Department: Included: technical administrative clerks, file clerks, senior programmers, programmer analysts, and senior programmer analysts: excluded: secretary of systems and programming, manager of systems and program- ming, director of MST systems and programming. Training Department. Included: member services training coordinators; ex- cluded: manager of member services training. BOA Training Department: Included: BOA training specialists; excluded: vice president of BOA training. Department of Production Planning. Excluded: vice president of production planning and development. Equity and Options Floor Operations Department: Included: programmer analysts; excluded: director of floor marketing services, vice president trading floor surveillance, senior secretary of floor operations, assist- ant floor manager, manager, manager of trading floor systems and programming, secretary of options, man- ager, options floor, and director of options trading. Equity Trading Floor: Included: quote and trade operators, recorders, termi- ral operators, quote clerks, trading floor runners, cabi- net systems clerks. Options Floor. Included: last sale price reporters, quote reporters, comparison clerks, control room clerks, OBO clerks, OBO assistants, bond brokers, and surveillance investi- gators: excluded: supervisors of OBO training and su- pervisors of options comparisons. Telephone Switchboard Department: included: telephone operators and chief PBX opera- tors. Executive Offices. Excluded: executive secretaries, assistant secretaries, administrative assistant to president, executive vice presidents, senior vice presidents, senior vice president and treasurer, president, senior vice president and legal counsel, attorneys, senior secretary in legal depart- ment, senior vice president of floor operations, vice president of marketing, senior vice president of pro- duction management, and executive secretary. Internal Audit Department. Excluded: internal auditor and manager of internal au- dit. Controller's Office. Excluded: staff analysts, assistant controllers, secretary to controller, and controller. Accounting Department. Included: accounting clerks and secretary of account- ing; excluded: staff accounting, payroll clerks, supervi- sors of accounting, and manager of accounting. Treasurer's Office: Excluded: staff anlaysts, assistant treasurer, assistant to vice president, secretary, and treasurer. Personnel Department: Excluded: personnel clerks, employment specialist, professional employment specialist, supervisor, person- nel services, manager personnel, and vice president personnel. Marketing Department. Inluded: file clerks and secretary of public relations; excluded: manager of marketing education, secretary of marketing, vice president of marketing field sales, and vice president of marketing sales. Marketing Services Department. Included: marketing research assistants and marketing associates: excluded: manager of marketing services. Regulatoo and Planning Department. Included: junior secretary of member firms; excluded: secretary of regulatory and planning, administrative assistant, and vice president member firms regulatory and planning. Member Firms Department. Excluded: examiners, senior examiners, associate di- rector of member firms, director of member firms, and secretary of member firms. Stock List Department: Included: secretary of listing; excluded: associate di- rector of stock lists. Administrative Services: Included: mail clerks, senior mail clerks, receptionists, space planners, administrative services coordinators secretary of administrative services, and purchasing agents: excluded: manager of office services and spe- cial projects and director of administrative services. 106 MIDWEST STOCK EXCHANGE Reception Department: Excluded: secretary of computer operations. vice pres- ident of computer operations, executive secretary and senior vice president of computer operations. Computler Operations Department. Included: peripheral operators, main frame operators lead computer operators, and schedulers: excluded: shift supervisors, assistant shift supervisors, and man- ager of computer operations. Shipping and Receiving Department: Included: janitors, distribution clerks, messenger driv- ers, quality control clerks, material handlers, and dis- patchers: excluded: supervisor of distribution and manager of computer service. Tape Lihra:- Included: tape librarians, control card clerks, hilling coordinators, operations, and support specialists; ex- cluded: assistant supervisor of tape library. supervisor of operations support, and manager of operations sup- port. Security Glossary Department: Included: security glossary clerks: excluded: supervi- sor of security glossary. Broker Services Department Included: research coordinators and account represen- tatives: excluded: manager of broker services, vice president of B.I.C.S., and senior secretary of broker services. Systems Assurance and Operations Support Department Included: operations support specialists, computer project analysts, and senior programmer analysts; ex- cluded: consulting systems analysts, manager of sys- tems and programming, manager of systems accept- ance, secretary of systems assurance, and vice president of systems assurance. MicroJiche Department. Included: microfiche operators A and B; excluded: assistant shift supervisor. Com,lmunications Department:. Included: communications techs A. communications techs B. applications. and coordinators: excluded: manager of communications operations. applications manager, and Supervisor of Communications. (Customer Service Department (Signet 80): Included: customer services representative. (Cus.tomer Services Department.: Included: programmer analysts and senior progrmmer analysts; excluded: manager of customer ser% ices. Technical Support and Control Departlent: Excluded: senior hardware analysts. secretary for tech- nical support, and director of technical planning and control. Systemsn and Programming Department. Excluded: secretary of systems and programming, vice president of systems and programming, senior vice president, and vice president of programming. BOA S stems and Programming Department.: Included: programmers, senior programmers, pro- grammer analysts, and senior programmer analysts: excluded: consulting programmer analysts, managers of systems and programming, redesign coordinator, and technical operations specialists. (tCommunications Systevs and Programmling Department:l Included: programmers, senior programmers. pro- grammer analysts, senior programmer and analysts: excluded: consulting programmer analysts and man- ager of systems and programming. 7eclhnical Planning Department: Included: senior programmers; excluded: manager of technical planning. 1107 Copy with citationCopy as parenthetical citation