Final Rules Governing Consent-Election Agreements, 3477-3478 [05-1173]
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Federal Register / Vol. 70, No. 15 / Tuesday, January 25, 2005 / Rules and Regulations
condition of eligibility that did not
apply to the installment form. However,
an otherwise identical distribution form
need not retain rights or features of the
optional form of benefit that is
eliminated or restricted to the extent
that those rights or features would not
be protected from elimination or
restriction under section 411(d)(6) or
this section.
(3) Example. The following example
illustrates the application of this
paragraph (e):
Example. (i) P is a participant in Plan M,
a qualified profit-sharing plan with a
calendar plan year that is invested in mutual
funds. The distribution forms available to P
under Plan M include a distribution of P’s
vested account balance under Plan M in the
form of distribution of various annuity
contract forms (including a single life
annuity and a joint and survivor annuity).
The annuity payments under the annuity
contract forms begin as of the first day of the
month following P’s severance from
employment (or as of the first day of any
subsequent month, subject to the
requirements of section 401(a)(9)). P has not
previously elected payment of benefits in the
form of a life annuity, and Plan M is not a
direct or indirect transferee of any plan that
is a defined benefit plan or a defined
contribution plan that is subject to section
412. Distributions on the death of a
participant are made in accordance with plan
provisions that comply with section
401(a)(11)(B)(iii)(I). On September 2, 2004,
Plan M is amended so that, effective for
payments that begin on or after November 1,
2004, P is no longer entitled to any
distribution in the form of the distribution of
an annuity contract. However, after the
amendment is effective, P is entitled to
receive a single-sum cash distribution of P’s
vested account balance under Plan M payable
as of the first day of the month following P’s
severance from employment (or as of the first
day of any subsequent month, subject to the
requirements of section 401(a)(9)).
(ii) Plan M does not violate the
requirements of section 411(d)(6) (or section
401(a)(11)) merely because, as of November
1, 2004, the plan amendment has eliminated
P’s option to receive a distribution in any of
the various annuity contract forms previously
available.
(4) Effective date. This paragraph (e)
is applicable on January 25, 2005.
*
*
*
*
*
Mark E. Matthews,
Deputy Commissioner for Services and
Enforcement.
Approved: January 10, 2005.
Eric Solomon,
Acting Deputy Assistant Secretary of the
Treasury (Tax Policy).
[FR Doc. 05–1327 Filed 1–24–05; 8:45 am]
BILLING CODE 4830–01–P
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NATIONAL LABOR RELATIONS
BOARD
29 CFR Parts 101 and 102
Final Rules Governing ConsentElection Agreements
AGENCY:
National Labor Relations
Board.
ACTION:
Final rule.
SUMMARY: On July 22, 2004 the National
Labor Relations Board published in the
Federal Register proposed changes to its
rules to provide a mechanism to have
preelection disputes decided with
finality by the Regional Director as part
of its ongoing efforts to address the
needs of employers, individuals and
labor organizations and to further the
fundamental purposes of the Act. One
comment was received in response to
this publication. The American
Federation of Labor and Congress of
Industrial Organizations, AFL–CIO,
supported the proposed changes, but
expressed the view that the changes did
not address what it considered to be
major problems in the Board’s
representation process. Upon
consideration of that comment, the
National Labor Relations Board (NLRB)
is adopting the proposed changes and
publishing the rules as final.
EFFECTIVE DATES: March 1, 2005.
FOR FURTHER INFORMATION CONTACT:
Lester A. Heltzer, Executive Secretary,
National Labor Relations Board, 1099
14th Street, NW., Room 11600,
Washington, DC 20570. Telephone:
(202) 273–1067.
SUPPLEMENTARY INFORMATION: Section
102.62 of the Board’s Rules and
Regulations currently provides two
kinds of ‘‘consent’’ election procedures.
Under both procedures, the parties must
stipulate with respect to jurisdictional
facts, labor organization status,
appropriate unit description, and
classifications of employees included
and excluded. The parties must also
agree to the time, place and other
election details. Under Sec. 102.62(a),
the parties agree that postelection
disputes will be resolved with finality
by the Regional Director. Under Sec.
102.62(b), postelection disputes are
resolved pursuant to Sec. 102.69, with
the parties retaining the right to file
exceptions or requests for review with
the Board. The Board is revising its
Rules and Regulations to create a new,
voluntary procedure whereby the
parties can agree to the conduct of an
election with disputed preelection and
postelection matters to be resolved with
finality by the Regional Director. The
new rule also amends Sec. 102.62(a) to
PO 00000
Frm 00005
Fmt 4700
Sfmt 4700
3477
provide that the decision of the Regional
Director in a postelection proceeding
has the same force and effect as that of
the Board ‘‘in that case.’’ The addition
of this language makes it clear that the
Regional Director’s decision will not be
regarded as Board precedent in future
cases. Identical language is present in
the revised Sec. 102.62(c). In addition to
revisions to Sec. 102.62 of the Board’s
Rules and Regulations, the Board also
has revised its Statements of
Procedures, Sec. 101.19 and 101.28, to
reflect the revisions to Sec. 102.62 in the
description of Board processing of
union deauthorization elections (Sec.
101.28) and all other elections (Sec.
101.19).
Under the new procedures, after the
filing of a petition supported by the
requisite showing of interest, an
employer and individual or labor
organization can voluntarily enter into
an agreement under which the Regional
Director will resolve with finality
disputed pre- and postelection issues
and issue a certification of
representative or results. If the parties
voluntarily agree to utilize this new
procedure they will be assured of a
more expeditious and final resolution of
their question concerning representation
by a Regional Director, who will act in
a neutral, expert, and conclusive
fashion. Although the Agency decided
to give notice of proposed rulemaking
with respect to these rule changes, the
changes involve rules of agency
organization, procedure, or practice and
thus no notice of proposed rulemaking
was required under section 553 of the
Administrative Procedure Act (5 U.S.C.
553). Accordingly, the Regulatory
Flexibility Act (5 U.S.C. 601), does not
apply to these rule changes.
List of Subjects in 29 CFR Parts 101 and
102
Administrative practice and
procedure, Labor management relations.
I For the reasons set forth above, the
NLRB amends 29 CFR parts 101 and 102
as follows:
PART 101—STATEMENTS OF
PROCEDURES
1. The authority citation for 29 CFR
part 101 continues to read as follows:
I
Authority: Section 6 National Labor
Relations Act, as amended (29 U.S.C. 151,
156), and sec. 55(a) of the Administrative
Procedure Act (5 U.S.C. 552(a)). Section
101.14 also issued under sec. 2112(a)(1) of
Public Law 100–236, 28 U.S.C. 2112(a)(1).
2. Section 101.19 is amended by
revising the introductory text and adding
paragraph (c) to read as follows:
I
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3478
Federal Register / Vol. 70, No. 15 / Tuesday, January 25, 2005 / Rules and Regulations
§ 101.19 Consent adjustments before
formal hearing.
§ 101.28 Consent agreements providing
for election.
The Board has devised and makes
available to the parties three types of
informal consent procedures through
which representation issues can be
resolved without recourse to formal
procedures. These informal
arrangements are commonly referred to
as consent-election agreement followed
by Regional Director’s determination,
stipulated election agreement followed
by Board certification, and full consent
agreement, in which the parties agree
that all pre- and postelection disputes
will be resolved with finality by the
Regional Director. Forms for use in
these informal procedures are available
in the Regional Offices.
*
*
*
*
*
(c) The full consent-election
agreement followed by the Regional
Director’s determination of
representatives is another method of
informal adjustment of representation
cases.
(1) Under these terms the parties agree
that if they are unable to informally
resolve disputes arising with respect to
the appropriate unit and other issues
pertaining to the resolution of the
question concerning representation; the
payroll period to be used as the basis of
eligibility to vote in an election, the
place, date, and hours of balloting, or
other details of the election, those issues
will be presented to, and decided with
finality by the Regional Director after a
hearing conducted in a manner
consistent with the procedures set forth
in § 101.20.
(2) Upon the close of the hearing, the
entire record in the case is forwarded to
the Regional Director. The hearing
officer also transmits an analysis of the
issues and the evidence, but makes no
recommendations as to resolution of the
issues. All parties may file briefs with
the Regional Director within 7 days after
the close of the hearing. The parties may
also request to be heard orally. After
review of the entire case, the Regional
Director issues a final decision, either
dismissing the petition or directing that
an election be held. In the latter event,
the election is conducted under the
supervision of the Regional Director in
the manner already described in this
section.
(3) All matters arising after the
election, including determinative
challenged ballots and objections to the
conduct of the election shall be
processed in a manner consistent with
paragraphs (a)(4), (5), and (6) of this
section.
I 3. Section 101.28 is revised to read as
follows:
(a) The Board makes available to the
parties three types of informal consent
procedures through which authorization
issues can be resolved without resort to
formal procedures. These informal
agreements are commonly referred to as
consent-election agreement followed by
Regional Director’s determination,
stipulated election agreement followed
by Board certification, and full consentelection agreement providing for the
Regional Director’s determination of
both pre- and postelection matters.
Forms for use in these informal
procedures are available in the Regional
Offices.
(b) The procedures to be used in
connection with a consent-election
agreement providing for the Regional
Director’s determination, a stipulated
election agreement providing for Board
certification, and the full consentelection agreement providing for the
Regional Director’s determination of
both pre- and postelection matters are
the same as those already described in
subpart C of this part in connection with
similar agreements in representation
cases under section 9(c) of the Act,
except that no provision is made for
runoff elections.
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PART 102—RULES AND
REGULATIONS, SERIES 8
4. The authority citation for 29 CFR
part 102 continues to read as follows:
I
Authority: Section 6, National Labor
Relations Act, as amended (29 U.S.C. 151, of
Information Act, as amended (5 U.S.C.
552(a)(4)(A)), and section 552a(j) and (k) of
the Privacy Act (5 U.S.C. 552a(j) and (k).
Sections 102.143 through 102.155 also issued
under Section 504(c)(1) of the Equal Access
to Justice Act, as amended (5 U.S.C.
504(c)(1)).
5. Section 102.62 is amended by
revising paragraph (a) and adding
paragraph (c) to read as follows:
I
§ 102.62
Consent-election agreements.
(a) Where a petition has been duly
filed, the employer and any individual
or labor organizations representing a
substantial number of employees
involved may, with the approval of the
Regional Director, enter into a consentelection agreement leading to a
determination by the Regional Director
of the facts ascertained after such
consent election. Such agreement shall
include a description of the appropriate
unit, the time and place of holding the
election, and the payroll period to be
used in determining what employees
within the appropriate unit shall be
eligible to vote. Such consent election
PO 00000
Frm 00006
Fmt 4700
Sfmt 4700
shall be conducted under the direction
and supervision of the Regional
Director. The method of conducting
such consent election shall be
consistent with the method followed by
the Regional Director in conducting
elections pursuant to §§ 102.69 and
102.70 except that the rulings and
determinations by the Regional Director
of the results thereof shall be final, and
the Regional Director shall issue to the
parties a certification of the results of
the election, including certifications of
representative where appropriate, with
the same force and effect, in that case,
as if issued by the Board, provided
further that rulings or determinations by
the Regional Director in respect to any
amendment of such certification shall
also be final.
*
*
*
*
*
(c) Where a petition has been duly
filed, the employer and any individual
or labor organizations representing a
substantial number of the employees
involved may, with the approval of the
Regional Director, enter into an
agreement providing for a hearing
pursuant to §§ 102.63, 102.64, 102.65,
102.66 and 102.67 to resolve any issue
necessary to resolve the question
concerning representation. Upon the
conclusion of such a hearing, the
Regional Director shall issue a Decision.
The rulings and determinations by the
Regional Director thereunder shall be
final, with the same force and effect, in
that case, as if issued by the Board. Any
election ordered by the Regional
Director shall be conducted under the
direction and supervision of the
Regional Director. The method of
conducting such consent election shall
be consistent with the method followed
by the Regional Director in conducting
elections pursuant to §§ 102.69 and
102.70, except that the rulings and
determinations by the Regional Director
of the results thereof shall be final, and
the Regional Director shall issue to the
parties a certification of the results of
the election, including certifications of
representative where appropriate, with
the same force and effect, in that case,
as if issued by the Board, provided
further that rulings or determinations by
the Regional Director in respect to any
amendment of such certification shall
also be final.
Dated in Washington, DC, on January 13,
2005.
By direction of the Board.
Lester A. Heltzer,
Executive Secretary.
[FR Doc. 05–1173 Filed 1–24–05; 8:45 am]
BILLING CODE 7545–01–P
E:\FR\FM\25JAR1.SGM
25JAR1
]]>Agencies
[Federal Register Volume 70, Number 15 (Tuesday, January 25, 2005)]
[Rules and Regulations]
[Pages 3477-3478]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-1173]
=======================================================================
-----------------------------------------------------------------------
NATIONAL LABOR RELATIONS BOARD
29 CFR Parts 101 and 102
Final Rules Governing Consent-Election Agreements
AGENCY: National Labor Relations Board.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: On July 22, 2004 the National Labor Relations Board published
in the Federal Register proposed changes to its rules to provide a
mechanism to have preelection disputes decided with finality by the
Regional Director as part of its ongoing efforts to address the needs
of employers, individuals and labor organizations and to further the
fundamental purposes of the Act. One comment was received in response
to this publication. The American Federation of Labor and Congress of
Industrial Organizations, AFL-CIO, supported the proposed changes, but
expressed the view that the changes did not address what it considered
to be major problems in the Board's representation process. Upon
consideration of that comment, the National Labor Relations Board
(NLRB) is adopting the proposed changes and publishing the rules as
final.
EFFECTIVE DATES: March 1, 2005.
FOR FURTHER INFORMATION CONTACT: Lester A. Heltzer, Executive
Secretary, National Labor Relations Board, 1099 14th Street, NW., Room
11600, Washington, DC 20570. Telephone: (202) 273-1067.
SUPPLEMENTARY INFORMATION: Section 102.62 of the Board's Rules and
Regulations currently provides two kinds of ``consent'' election
procedures. Under both procedures, the parties must stipulate with
respect to jurisdictional facts, labor organization status, appropriate
unit description, and classifications of employees included and
excluded. The parties must also agree to the time, place and other
election details. Under Sec. 102.62(a), the parties agree that
postelection disputes will be resolved with finality by the Regional
Director. Under Sec. 102.62(b), postelection disputes are resolved
pursuant to Sec. 102.69, with the parties retaining the right to file
exceptions or requests for review with the Board. The Board is revising
its Rules and Regulations to create a new, voluntary procedure whereby
the parties can agree to the conduct of an election with disputed
preelection and postelection matters to be resolved with finality by
the Regional Director. The new rule also amends Sec. 102.62(a) to
provide that the decision of the Regional Director in a postelection
proceeding has the same force and effect as that of the Board ``in that
case.'' The addition of this language makes it clear that the Regional
Director's decision will not be regarded as Board precedent in future
cases. Identical language is present in the revised Sec. 102.62(c). In
addition to revisions to Sec. 102.62 of the Board's Rules and
Regulations, the Board also has revised its Statements of Procedures,
Sec. 101.19 and 101.28, to reflect the revisions to Sec. 102.62 in the
description of Board processing of union deauthorization elections
(Sec. 101.28) and all other elections (Sec. 101.19).
Under the new procedures, after the filing of a petition supported
by the requisite showing of interest, an employer and individual or
labor organization can voluntarily enter into an agreement under which
the Regional Director will resolve with finality disputed pre- and
postelection issues and issue a certification of representative or
results. If the parties voluntarily agree to utilize this new procedure
they will be assured of a more expeditious and final resolution of
their question concerning representation by a Regional Director, who
will act in a neutral, expert, and conclusive fashion. Although the
Agency decided to give notice of proposed rulemaking with respect to
these rule changes, the changes involve rules of agency organization,
procedure, or practice and thus no notice of proposed rulemaking was
required under section 553 of the Administrative Procedure Act (5
U.S.C. 553). Accordingly, the Regulatory Flexibility Act (5 U.S.C.
601), does not apply to these rule changes.
List of Subjects in 29 CFR Parts 101 and 102
Administrative practice and procedure, Labor management relations.
0
For the reasons set forth above, the NLRB amends 29 CFR parts 101 and
102 as follows:
PART 101--STATEMENTS OF PROCEDURES
0
1. The authority citation for 29 CFR part 101 continues to read as
follows:
Authority: Section 6 National Labor Relations Act, as amended
(29 U.S.C. 151, 156), and sec. 55(a) of the Administrative Procedure
Act (5 U.S.C. 552(a)). Section 101.14 also issued under sec.
2112(a)(1) of Public Law 100-236, 28 U.S.C. 2112(a)(1).
0
2. Section 101.19 is amended by revising the introductory text and
adding paragraph (c) to read as follows:
[[Page 3478]]
Sec. 101.19 Consent adjustments before formal hearing.
The Board has devised and makes available to the parties three
types of informal consent procedures through which representation
issues can be resolved without recourse to formal procedures. These
informal arrangements are commonly referred to as consent-election
agreement followed by Regional Director's determination, stipulated
election agreement followed by Board certification, and full consent
agreement, in which the parties agree that all pre- and postelection
disputes will be resolved with finality by the Regional Director. Forms
for use in these informal procedures are available in the Regional
Offices.
* * * * *
(c) The full consent-election agreement followed by the Regional
Director's determination of representatives is another method of
informal adjustment of representation cases.
(1) Under these terms the parties agree that if they are unable to
informally resolve disputes arising with respect to the appropriate
unit and other issues pertaining to the resolution of the question
concerning representation; the payroll period to be used as the basis
of eligibility to vote in an election, the place, date, and hours of
balloting, or other details of the election, those issues will be
presented to, and decided with finality by the Regional Director after
a hearing conducted in a manner consistent with the procedures set
forth in Sec. 101.20.
(2) Upon the close of the hearing, the entire record in the case is
forwarded to the Regional Director. The hearing officer also transmits
an analysis of the issues and the evidence, but makes no
recommendations as to resolution of the issues. All parties may file
briefs with the Regional Director within 7 days after the close of the
hearing. The parties may also request to be heard orally. After review
of the entire case, the Regional Director issues a final decision,
either dismissing the petition or directing that an election be held.
In the latter event, the election is conducted under the supervision of
the Regional Director in the manner already described in this section.
(3) All matters arising after the election, including determinative
challenged ballots and objections to the conduct of the election shall
be processed in a manner consistent with paragraphs (a)(4), (5), and
(6) of this section.
0
3. Section 101.28 is revised to read as follows:
Sec. 101.28 Consent agreements providing for election.
(a) The Board makes available to the parties three types of
informal consent procedures through which authorization issues can be
resolved without resort to formal procedures. These informal agreements
are commonly referred to as consent-election agreement followed by
Regional Director's determination, stipulated election agreement
followed by Board certification, and full consent-election agreement
providing for the Regional Director's determination of both pre- and
postelection matters. Forms for use in these informal procedures are
available in the Regional Offices.
(b) The procedures to be used in connection with a consent-election
agreement providing for the Regional Director's determination, a
stipulated election agreement providing for Board certification, and
the full consent-election agreement providing for the Regional
Director's determination of both pre- and postelection matters are the
same as those already described in subpart C of this part in connection
with similar agreements in representation cases under section 9(c) of
the Act, except that no provision is made for runoff elections.
PART 102--RULES AND REGULATIONS, SERIES 8
0
4. The authority citation for 29 CFR part 102 continues to read as
follows:
Authority: Section 6, National Labor Relations Act, as amended
(29 U.S.C. 151, of Information Act, as amended (5 U.S.C.
552(a)(4)(A)), and section 552a(j) and (k) of the Privacy Act (5
U.S.C. 552a(j) and (k). Sections 102.143 through 102.155 also issued
under Section 504(c)(1) of the Equal Access to Justice Act, as
amended (5 U.S.C. 504(c)(1)).
0
5. Section 102.62 is amended by revising paragraph (a) and adding
paragraph (c) to read as follows:
Sec. 102.62 Consent-election agreements.
(a) Where a petition has been duly filed, the employer and any
individual or labor organizations representing a substantial number of
employees involved may, with the approval of the Regional Director,
enter into a consent-election agreement leading to a determination by
the Regional Director of the facts ascertained after such consent
election. Such agreement shall include a description of the appropriate
unit, the time and place of holding the election, and the payroll
period to be used in determining what employees within the appropriate
unit shall be eligible to vote. Such consent election shall be
conducted under the direction and supervision of the Regional Director.
The method of conducting such consent election shall be consistent with
the method followed by the Regional Director in conducting elections
pursuant to Sec. Sec. 102.69 and 102.70 except that the rulings and
determinations by the Regional Director of the results thereof shall be
final, and the Regional Director shall issue to the parties a
certification of the results of the election, including certifications
of representative where appropriate, with the same force and effect, in
that case, as if issued by the Board, provided further that rulings or
determinations by the Regional Director in respect to any amendment of
such certification shall also be final.
* * * * *
(c) Where a petition has been duly filed, the employer and any
individual or labor organizations representing a substantial number of
the employees involved may, with the approval of the Regional Director,
enter into an agreement providing for a hearing pursuant to Sec. Sec.
102.63, 102.64, 102.65, 102.66 and 102.67 to resolve any issue
necessary to resolve the question concerning representation. Upon the
conclusion of such a hearing, the Regional Director shall issue a
Decision. The rulings and determinations by the Regional Director
thereunder shall be final, with the same force and effect, in that
case, as if issued by the Board. Any election ordered by the Regional
Director shall be conducted under the direction and supervision of the
Regional Director. The method of conducting such consent election shall
be consistent with the method followed by the Regional Director in
conducting elections pursuant to Sec. Sec. 102.69 and 102.70, except
that the rulings and determinations by the Regional Director of the
results thereof shall be final, and the Regional Director shall issue
to the parties a certification of the results of the election,
including certifications of representative where appropriate, with the
same force and effect, in that case, as if issued by the Board,
provided further that rulings or determinations by the Regional
Director in respect to any amendment of such certification shall also
be final.
Dated in Washington, DC, on January 13, 2005.
By direction of the Board.
Lester A. Heltzer,
Executive Secretary.
[FR Doc. 05-1173 Filed 1-24-05; 8:45 am]
BILLING CODE 7545-01-P
