Autoprod, Inc.Download PDFNational Labor Relations Board - Board DecisionsApr 8, 1976223 N.L.R.B. 773 (N.L.R.B. 1976) Copy Citation AUTOPROD, INC Autoprod , Inc. and Shopmen 's Local Union No. 455, International Association of Bridge , Structural and Ornamental Iron Workers, AFL-CIO. Case 29- CA-4186 April 8, 1976 DECISION AND ORDER BY CHAIRMAN MURPHY AND MEMBERS FANNING AND PENELLO On October 22, 1975, Administrative Law Judge Joseph I. Nachman issued the attached Decision in this proceeding. Thereafter, Respondent filed excep- tions and a supporting brief, and General Counsel filed a reply brief and a brief in support of the Ad- ministrative Law Judge's Decision. 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. The Board has considered the record and the at- tached Decision in light of the exceptions and briefs and has decided to affirm the rulings, findings,' and conclusions 2 of the Administrative Law Judge and to adopt his recommended Order, as modified here- in. 1 The Respondent has excepted to certain credibility findings made by the Administrative Law Judge . It is the Board 's established policy not to over- rule an Administrative Law Judge 's resolutions with respect to credibility unless the clear preponderance of all of the relevant evidence convinces us that the resolutions are incorrect . Standard Dry Wall Products, Inc., 91 NLRB 544 ( 1950), enfd . 188 F.2d 362 (C.A. 3, 1951). We have carefully examined the record and find no basis for reversing his findings. 2 In agreeing with the Administrative Law Judge that Respondent unlaw- fully terminated negotiations following the filing of the decertification peti- tion , we rely on the fact that Respondent withdrew recognition in the con- text of its unlawful conduct . Such conduct directly affected all unit employees and could have reasonably been predicted to cause employee disaffection . In these circumstances, the filing of the decertification petition is not sufficient to justify Respondent's refusal to bargain with the Union. Anvil Products Inc., 205 NLRB 709 (1973), reversed and remanded 496 F.2d 94 (C.A. 5, 1974), Supplemental Decision and Order 216 NLRB 158 (1975); Warehouse Market, Inc., 216 NLRB 216 (1975). Contrary to our dissenting colleague , we agree with the Administrative Law Judge. that the addresses of the unit employees were necessary and relevant for collective -bargaining purposes . Respondent 's plant is located in a heavily populated area . Plant employees live throughout this area. It would be unduly burdensome to require the Union to search for the ad- dresses of the unit employees , particularly where , as here, there has been substantial turnover of employees and a long lapse of time between the Union's organizational campaign and commencement of bargaining. In contrast , Respondent could prepare the requested information with relative ease from its employment records, thereby facilitating the bargaining proc- ess. Moreover , the fact that the Union may have been able to obtain the addresses of the employees by other means does not diminish the obligation of the Employer to furnish relevant information. For it is clear that Sec. 8(a)(5) imposes on an employer the duty to furnish a union with informa- tion relevant to the union's intelligent performance of its representative function . Acme Industrial Company, 150 NLRB 1463 (1965), enfd. 385 U.S. 432 (1967). ORDER 773 Pursuant to Section 10(c) of the National Labor Relations Act, as amended, the National Labor Re- lations Board adopts as its Order the recommended Order of the Administrative Law Judge and hereby orders that the Respondent, Autoprod, Inc., New Hyde Park, New York, its officers , agents, succes- sors , and assigns, shall take the action set forth in the said recommended Order, as so modified: 1. Substitute the following paragraph for para- graph 1(b) of the Administrative Law Judge's recom- mended Order: "(b) Unilaterally changing the wages, hours, or any other terms and conditions of employment of any employee in the unit for whom the aforesaid la- bor organization is the exclusive collective-bargain- ing representative; provided, however, that nothing contained in this Decision shall require the Respon- dent to vary or abandon any wages or other benefits which the Respondent already has established, or prejudice the assertion by the employees of any rights previously acquired." 2. Delete paragraph 2(c) of the Administrative Law Judge's recommended Order. 3. Substitute the attached notice for that of the Administrative Law Judge. CHAIRMAN MURPHY, concurring in part and dissent- ing in part: I agree with my colleagues that Respondent violat- ed Section 8(a)(5) and (1) of the Act by unilaterally granting a wage increase, by terminating negotiations with the Union, and by failing to bargain in good faith. However, I do not agree with their finding that Respondent violated Section 8(a)(5) of the Act by refusing to furnish the Union with the addresses of the approximately 14 employees in the bargaining unit. An employer violates the Act by refusing to fur- nish the collective-bargaining representative the ad- dresses of unit employees only if such information is necessary and relevant.' Such information is neces- sary and relevant where it is established that the rela- tionship between the collective-bargaining represen- tative and the employees is such that the collective-bargaining representative has no alterna- tive means of effectively communicating with a sub- stantial number of unit employees .4 In each case where the Board has found that this was the case and that, as a result, the employer was obligated to pro- 7 Standard Oil Company of California, Westerns Operations, Inc., 166 NLRB 343 ( 1967), enfd . 399 F.2d 636 (C.A . 9, 1968); Prudential Insurance Company, 173 NLRB 792 (1968); Southern Counties Gas Company of Califor- nia, 174 NLRB 19 (1969 ); The Western and Southern Life Insurance Compa- ny, 188 NLRB 509 (1971). 4 Standard Oil Company, 166 NLRB at 345-346. 223 NLRB No. 101 774 DECISIONS OF NATIONAL LABOR RELATIONS BOARD vide the requested information, there was either a large number of employees, multiple employer loca- tions, irregular or infrequent reporting to the employ- er location, or a combination of these and other fac- tors which established that the collective-bargaining representative was having difficulty communicating with a large number of the employees it represented.' In fact, the Board rejected the position that a bar- gaining representative was entitled to such a list as a matter of right.6 In contrast with the cited cases, here the unit consisted of but 14 employees, all of whom worked at a single accessible location. There is thus no showing other than unfounded assumptions drawn by the Administrative Law Judge that the Union had any difficulty communicating with these employees.' Therefore, it has not been established that the requested information of employee address- es is relevant and necessary for the Union to carry out its bargaining obligation. Accordingly, I would dismiss this allegation of the complaint. s Magma Copper Company, San Manuel Division, 208 NLRB 329 (1974). 6 Id. r The most that can be said is that some of the possible alternative meth- ods of communicating with unit employees were not available . Where the Union is nevertheless able to communicate readily with unit employees in various other ways, the fact that not all means of communication are open to it hardly is reason for finding that employee addresses are relevant and necessary. APPENDIX NOTICE To EMPLOYEES POSTED BY ORDER OF THE NATIONAL LABOR RELATIONS BOARD An Agency of the United States Government After a hearing at which all sides had the opportunity to present evidence and state their positions , the Na- tional Labor Relations Board found that we violated the National Labor Relations Act and has ordered us to post this notice. The Act gives all employees these rights: To organize themselves To form , join , or help unions To act together for collective bargaining or other mutual aid or protection To refuse to do any or all these things. WE WILL NOT do anything to interfere with you in the exercise of the aforementioned rights, and all our employees are free to become or remain members of Shopmen 's Local Union No. 455, International Association of Bridge , Structural and Ornamental Iron Workers , AFL-CIO, or not to become or remain members of that or any other union. WE WILL NOT unilaterally change the wages, hours, or any terms or conditions of employ- ment of any employee in the unit for which Lo- cal 455 is the exclusive collective-bargaining rep- resentative. WE WILL, upon request, bargain collectively with the aforesaid Local 455 as the exclusive col- lective-bargaining representative of our employ- ees in an appropriate unit composed of all pro- duction and maintenance employees, excluding office clericals, professional employees, sales- men, guards, and supervisors, as defined in the National Labor Relations Act, with respect to rates of pay, wages, hours, and other terms and conditions of employment, and if an under- standing is reached reduce the same to a signed written agreement. As the National Labor Relations Board found that we violated the law when we refused to supply Local 455 with the addresses of the employees in the afore- said unit, we will, upon request of Local 455, prompt- ly supply the latter with such information. AUTOPROD, INC. DECISION STATEMENT OF THE CASE JOSEPH I. NACHMAN, Administrative Law Judge: This pro- ceeding heard before me at Brooklyn, New York, on Au- gust 18 and 19,1 with all parties duly represented, involves a complaint 2 pursuant to Section 10(b) of the National Labor Relations Act, as amended (herein the Act), which alleges that Autoprod, Inc. (herein Respondent or Compa- ny), violated Section 8(a)(5) and (1) of the Act by (a) fail- ing and refusing to furnish information requested by Shopmen's Local No. 455, International Association of Bridge, Structural and Ornamental Iron Workers, AFL- CIO (herein the Union), the duly designated collective-bar- gaining representative of Respondent's employees in a des- ignated unit (b) unilaterally granting a wage increase, and (c) bargaining with the Union in bad faith and with the intention of avoiding agreement. By answer duly filed, Re- spondent admitted certain allegations of the complaint, but denied the commission of any unfair labor practice. For reasons hereafter more fully detailed, I find the material allegations of the complaint sustained by the evidence and recommend an appropriate remedial order. At the hearing all parties were permitted to introduce relevant and material evidence, to examine and cross-ex- amine witnesses, to argue orally on the record, and to sub- mit briefs. Oral argument by the General Counsel and lim- ited remarks by counsel for Respondent are included in the transcript. This argument, as well as briefs submitted by This and all dates hereafter mentioned are 1975, unless otherwise indi- cated. 2 Issued June 24, on a charge filed and served January 14, and amended on February 26. AUTOPROD, INC the General Counsel and Respondent, respectively, has been duly considered. Upon the pleadings, stipulations of counsel, the evidence, including my observation of the de- meanor of the witnesses while testifying, and the entire rec- ord in the case , I make the following: FINDINGS OF FACT 3 I. BACKGROUND By its Decision and Order issued February 5, 1973 (201 NLRB 597), the Board adopted the findings, conclusions, and recommended Order of Administrative Law Judge Janus who had found that, in the course of the Union's organizational campaign among its employees , Respon- dent engaged in conduct violative of Section 8(a)(1), (3), and (5) of the Act, and that under the Gissel rule (Gissel Packing Co., Inc., 375 U.S. 575 (1969) ), Respondent as a part of the remedy for such violations should be required to recognize and bargain with the Union as the representa- tive of the employees involved. On January 8, 1974, the United States Court of Appeals for the Second Circuit en- forced the Board's order in full. 489 F.2d 752. One other fact found in the prior proceeding is of some relevance to the issues in the instant case . Although deem- ing it unnecessary to determine the exact number of em- ployees involved, Administrative Law Judge Janus found that there were either 12 or 14 employees in the unit and 11 of those employees had signed an authorization card for the Union and that each card so signed had spaces which provided the name of the employee, the name and address of the employer, the job held and the rate of pay, as well as the employees' residence address and telephone number. 201 NLRB at 598. 11. THE CURRENT UNFAIR LABOR PRACTICES ALLEGED Following the court's judgment of enforcement, counsel for Respondent wrote the Union on January 31 that the Company desired to negotiate a contract and requested a copy of an agreement which the Union would propose, stating that upon receipt and study of such proposal coun- sel would communicate with the Union for mutually con- venient bargaining dates . The letter also stated that counsel deemed it appropriate to advise the Union that the Re- spondent had an established policy of granting wage in- creases to the unit employees in January of each year; that no increase had yet been granted for 1974; and that the Company wished to maintain its policy and asked whether the Union would object to the Company implementing and effectuating its wage policy by granting the January 1974 increases . The Union replied by letter dated February 7 that it would object to the Company granting any wage increase without first negotiating the same with the Union and suggested that bargaining sessions be scheduled for No issue of commerce or labor organization is presented . The complaint alleges and the answer admits facts which establish these jurisdictional ele- ments . Moreover, the Board asserted jurisdiction over Respondent in a prior case , hereafter more fully discussed , which resulted in an order requiring it to bargain with the Union, which order forms the basis for this proceeding. 775 February 14 or 15. Company counsel replied under date of February 25,4 stating in effect that before meaningful bar- gaining could take place it would be necessary for the Union to submit a written comprehensive proposal in or- der that the Union's demands could be properly evaluated. Along with its letter dated March 4, the Union sent com- pany counsel a proposed contract embodying its demands, which was complete except for wage rates and classifica- tions, stating those portions of its proposal would "follow soon." 5 By letter dated March 6, the Union wrote compa- ny counsel, referring to its March 4 letter and its contract proposals submitted therewith, and added that, for purpos- es of negotiations, "rates of pay and any [other] benefits presently in effect" for the unit employees. The letter con- cluded by saying that the Union hoped to have the request- ed information "within the next few days." Receiving no reply, the Union again wrote company counsel on March 14, calling attention to the fact that the information re- quested in its March 6 letter had not been received, and again asked that it be furnished.6 The Company furnished all the information requested by the Union with its letter of April 15, except that the addresses of the unit employees were not supplied. By its letter to company counsel dated April 23, the Union called attention to the fact that, although the Company had not provided all the requested information, it wished to com- mence negotiations promptly, asked for a meeting for that purpose on April 30, and requested that in the meanwhile it be furnished with the addresses of the unit employees. Company counsel replied on April 26 that the suggested date of April 30 for a meeting would not be convenient because a principal officer of the Company who would participate in the bargaining would be out of the country from April 26 to May 10, and suggested that the first bar- gaining session be held on May 15. The suggestion was accepted by the Union, and the bargaining sessions began on that date. Counsel's letter made no comment on the Union's request for the addresses of 'the employees. The May 15 meeting was devoted entirely to a discussion of the contract proposals the Union had submitted to the Company, except for economic issues which the parties agreed to defer. Although agreement was reached on some provisions, mostly of a minor nature, most produced dis- agreement and brought about considerable discussion. Thus there was disagreement on the language of the preamble as well as on the scope of the unit. On union security, the Company announced its opposition as a mat- ter of principle and that it would also want a broad man- agement prerogative provision. The Company also op- posed the provision for shift differential, as well as for daily overtime, saying that overtime should accrue only after 40 hours of work in the week. On premium pay for holidays, the Company objected to the Union's proposal 4 The reason for the lapse of time in replying to the Union' s letter of February 7 is not explained in the record. Counsel's letter of February 25 seems to have been prompted, at least in part, by a telephone call made by Union President Calavito on February 25, reference to which is made in counsel 's letter. 5 The provisions of the Union's proposed contract, to the extent material, are hereafter discussed. 6 With this letter the Union supplied its contract proposals for wages and classifications , which had been omitted from its original submission. 776 DECISIONS OF NATIONAL LABOR RELATIONS BOARD and advanced a proposal of its own. On the section on grievances and arbitration , the Company opposed virtually the entire proposal of the Union and regarding plant visits by union officials proposed that a formal application for such leave be filed. On promotions the Company opposed the Union's entire proposal , urging that such matters should be in the sole discretion of the Company. The Union's proposal on leave of absences was also opposed by the Company, and it objected to the language of the Union's proposal on vacations. In addition, the Company opposed the Union's proposal for a trust fund from which vacation benefits would be paid. With respect to subcon- tracting, the Company wanted to continue its then current practice and opposed the Union's proposals for washup and rest periods. The Company had its own program for sick leave and proposed that such program be retained in- stead of that proposed by the Union. The remainder of the Union's proposals dealing with pensions , annuities, sick leave and severance, the Company opposed. As the meet- ing of May 15 was about to conclude, the Company an- nounced that it was giving consideration to putting a wage increase into effect , but did not state when this might be done . Colavito protested that any wage increases should be negotiated, and that such action by the Company, if taken unilaterally, could only have the effect of undermining the Union. Company Attorney Goldblatt stated that such was his view, and for that reason he had advised against it, but that company officers felt they had to proceed with that action. The next negotiating session was on June 4.' At the out- set of this meeting the Company announced that a 10-per- cent wage increase, retroactive to January 1, had been put into effect . Colavito again protested this action , but the Company insisted that conditions made it necessary, and that in any event the increase had been fully accom- plished .8 The remainder of this meeting was devoted to further discussion of the Union's contract proposals relat- ing to welfare and rates of pay for vacations. The Compa- ny adhered to the positions it had taken at the meeting of May 15 , and no agreements were reached . The parties then agreed to and did meet on June 12. At the June 12 meeting, the Company presented its counterproposals, which the parties discussed. Colavito tes- r Union President Colavito testified that the parties had agreed to meet on some date in the latter part of May, but this was canceled by the Compa- ny. The reason for the cancellation does not appear , nor is there any evi- dence that the delay was not with the acquiescence of the Union. B There is a conflict in the evidence as to when this increase was put into effect . As indicated , Colavito's testimony was that he was informed at the May 15 meeting that the Company was considering it, and at the June 4 meeting that the increase had been made effective. Maurer, an employee witness called by Respondent , while not certain of the date , fixed it at 6 months after January 1 , "close to vacation time" or "close to summertime." Company President Tropp testified that the increase was put into effect "the end of March ." If Tropp was correct , then the company statements at the meetings of May 1S and June 4 make no sense whatever , unless his purpose was to mislead the Union , a question I need not decide . On the entire record, I find that this increase was put into effect at some point between May 15 and June 4. The General Counsel concedes that this increase cannot be made on the basis of an independent unfair labor practice finding, be- cause it occurred more than 6 months prior to filing of the initial charge herein on January 14, 1975, but contended that it is indicia that Respondent 's bargaining was, from its inception , in bad faith. tified that while the counterproposals represented some changes in the positions Respondent took at the prior meetings, particularly in the area of holidays, sick leave, and vacations, he informed Respondent that such changes represented little of substance. He gave no testimony as to the precise area of such changes in position. In addition, the parties had further discussion on the Union's proposal for union security, but the Company adhered to its position voiced at the prior meetings that it considered it improper to force any employee to maintain union membership, and that it did not wish to do so. At the end of this meeting the parties agreed to and did meet on June 19. The June 19 meeting was devoted to a discussion of the Union's proposals dealing with welfare, pensions, and clas- sifications, including whether any classification system was necessary in view of the small number of employees in the unit. On welfare and pensions, the Company again rejected the proposal that it participate in the Union's industrywide plan and stated that it wished to continue with its existing practice. Costs of these plans were also discussed, it being agreed that under the Union's proposal the cost to the Company would be about $60 a month per employee, and under the Company's plan about $40 a month. The next meeting was on July 24,9 and lasted about an hour. The meeting opened with a statement by the Compa- ny that on noneconomic issues, other than union security and management prerogative, there would probably be no difficulty in reaching agreement, but that on economic is- sues the Company could not afford to pay more than it was then paying, augmented by a 10-percent increase to be ef- fective in January 1975, and a like increase in January 1976. The Union announced that it wanted an accountant to examine the Company's books. Company counsel agreed and stated that the accountant selected by the Union could get together with company officials and ar- range for the examination, but that pending the accountant's report he saw no purpose in further negotia- tions. There is no evidence that the Union objected to the suspension of negotiations, or asked the Company to re- sume or continue bargaining, pending the auditor's report. At this meeting the Union again asked for the addresses of the employees, and the Company again refused saying it had no obligation to furnish such information and would not do so. On November 4, the Union wrote company counsel that it was in receipt of its accountant's report, which in its view indicated that the Company was operating at a profit, re- quested resumption of negotiations, and stated that it hoped to hear promptly with respect to an agreeable date. The record does not show any written response from the Company, but Colavito testified that a meeting was set up for mid-December, which it became necessary for him to cancel, and that he agreed on January 3, 1975, as the date to resume negotiations. There is no evidence indicating company responsibility for the fact that no bargaining oc- 9 Actually the parties had agreed to meet early in July, but that meeting was canceled by the Company because of a conflict in dates with another Board case in which company counsel represented a party, pending in Re- gion 11 , and that Region declined to grant him a continuance . The parties then agreed on July 24. There is no evidence that the Union objected to this delay in negotiations. AUTOPROD, INC curred between July 24 and the following January 3. At the meeting on January 3, the Union took the posi- tion that the Company was operating at a profit and should make a better economic offer than it had made. The Company's only reply was that it needed its earnings for growth. The parties then had some discussion regarding job requirements, but no agreement was reached. The Company then stated that it was considering giving the employees a 10-percent wage increase. Colavito protested that such action would be illegal; that more was required for a meaningful wage offer, but that in any event both the giving of the increase and the amount thereof should be first negotiated. Colavito also again told the Company that he still wanted the addresses of the employees, and compa- ny counsel again responded that such would not be sup- plied. The parties then agreed to meeting again on January 19. In the meantime, on January 8 an RD petition was filed by a group of employees, and on January 17 the Union filed its initial charge herein, which was amended on Feb- ruary 26.10 At the meeting on January 17, the Company announced that the 10-percent wage increase, mentioned at the previ- ous meeting, had been placed into effect, and Colavito again protested that the Company's actions in that regard were undercutting the Union. The parties stipulated that this wage increase was granted by the Company on Janu- ary 8 and was given to all unit employees. The parties also discussed at this meeting such issues as vacations , holidays, and premium pay, in each instance the Union modifying its proposals and accepting the proposals submitted by the Company, with some suggested modifications. However, no agreements were reached. The parties then agreed on January 24 as the date for the next meeting, but that date was canceled and the parties met on January 27.11 At the January 27, 1975, meeting, the parties further dis- cussed certain union proposals. According to Colavito, considerable time was spent in discussing the union-securi- ty proposal, the Union explaining that initially the Union had not sought out the employees, rather the latter came to the Union for assistance; that the Company then intimi- dated the employee, which gave rise to the prior case, and that the Company was not in good position to argue that it merely was protecting the rights of the workers. The Com- pany agreed to give consideration to the Union's argument and also to consider the contract proposals which the Union had agreed to modify. On this note the meeting ended with an agreement to meet early in February, the exact date being thereafter fixed as February 7. However, 10 The initial charge filed January 14 alleged that while the Company was under an obligation to and was in fact bargaining with the Union, and before an impasse was reached , the Company unilaterally changed terms and conditions of employment . No mention was made of the failure and refusal of Respondent to supply the addresses of the employees as requested by the Union. The amended charge repeated the allegations of the original charge and added the allegation that on various dates in the past 6 months, and including among others on January 17 and 27, 1975, the Union request- ed the names and addresses of employees in the unit and that the Company refused to supply that information. 11 The record does not indicate who requested the postponement, or the reason for it . In any event, if the Union did not request the postponement, there is no evidence that it raised any objection thereto. 777 no further meetings were held because by letter dated Feb- ruary 5 the Company declined to meet further by reason of the pendency of the decertification petition filed by the employees on January 8, saying that it would resume such bargaining only if the Union was thereafter certified as the collective-bargaining representative of the employees.12 Contentions and Conclusions The General Counsel predicates his contention that Respondent's bargaining violated Section 8(a)(5) of the Act, on four basic points. He argues that (1) the failure to furnish the Union with the addresses of the unit employ- ees; (2) the January 1975 wage increase granted as it was unilaterally, and after Respondent had refused the Union's request for bargaining concerning the granting of the in- crease and the amount thereof; (3) the termination of ne- gotiations and refusal to meet with the Union, on or about February 5; and (4) viewed in its entirety, the course of conduct engaged in by Respondent in its negotiations with the Union, constituted bad-faith bargaining." These con- tentions will be discussed in order. The Refusal to Provide Addresses of Unit Employees The duty of an employer to supply information concern- ing unit employees to a collective-bargaining agent has been considered by the Board in a number of cases.14 The 12 My findings regarding the bargaining negotiations are based on the uncontradicted and credited testimony of Colavito. The only witness called by Respondent who attended the bargaining sessions was Tropp, who gave no testimony relating to the bargaining sessions other than the practice of granting wage increases and the Union 's request for the addresses of em- ploTees. 1 The General Counsel also appears to argue that a refusal to bargain on the part of Respondent should be found because there was too much delay between meetings, referring particularly to the fact that there were no meet- ings between July 24 and January 3, a delay of nearly 6 months, and that the overall period of negotiations was unduly extended, lasting approxi- mately a year after the initial request for bargaining . I find the evidence insufficient to support such a conclusion . Although the initial request for bargaining was in late January 1974, and the first bargaining session was on May 15, the intervening time was spent in preparing proposals and it was not until April 23 that the Union actually requested a negotiating meeting, and while its proposed date of April 30 was not acceptable to the Company, the latter suggested May 15 and the parties met on that day . There is no showing that the Union did not voluntarily acquiesce in the requested ex- tension . Although there were additional cancellations of proposed meeting dates in late May and early July 1974, there is no evidence that the cancella- tions were not for good and sufficient reasons, or that Union did not volun- tarily acquiesce in what the Company requested. At the July 24, 1974, meet- ing, when the Union requested an audit of Respondent's books, it seems to have agreed that further bargaining was useless until the audit was complet- ed, and it was not until November 4, 1974, that the Union notified Respon- dent that the audit had been completed , and that it desired a resumption of negotiations . Although the next meeting was not held until January 3, 1975, the evidence shows that a scheduled meeting for mid-December was can- celed by the Union because of the inability of its negotiator to attend on that date. Under all the circumstances , I am unable to find that negotiations were unduly delayed by Respondent for the purpose of frustrating or de- feating agreement on contract terms. 14 See, i.e., Standard Oil Company of California, Western Operations, Inc., 166 NLRB 343 (1968); Prudential Insurance Co., 173 NLRB 792 (1968), enfd . 412 F.2d 77 (C.A. 2, 1969); Southern Counties Gas Company of Califor- nia, 174 NLRB 19 (1969); General Electric Company, 176 NLRB 605 (1969); United Aircraft Corporation, 181 NLRB 892 (1970), enfd. 434 F.2d 1198 (C.A. 2, 1970); Magma Copper Company San Manuel Division, 208 NLRB Continued 778 DECISIONS OF NATIONAL LABOR RELATIONS BOARD basic thread running through the applicable decisions is that the information sought by the collective-bargaining agent must be relevant to discharging its statutory duty of fair representation . In determining the relevancy of the in- formation sought , the Board in Magma Copper, supra, 331, said that it will give consideration to: ... such factors as the size of the unit ; the rate of turnover ; the nature of the contractal union -security clause , if any ; the union's ability to reach member and nonmember employees , both at the plant and at their homes , including the effectiveness of any steward sys- tem, and the use of bulletin boards ; and the availabili- ty of the information to the employer . In Standard Oil and United Aircraft, the employers were required to furnish the list in view of such facts as the relatively low union membership in the unit , the absence of a union-security clause in the collective -bargaining agreement , the residential dispersion of the unit em- ployees over a wide geographic area , the apparent in- effectiveness of the steward system , the lack of ade- quate exposure of unit employees to union bulletin boards, the inefficiency of handbilling efforts , and the ability of the company to compile the list with relative ease. In the instant case the evidence shows that the Union had l 1 authorization cards from approximately 14 employ- ees in the unit at the time of the initial hearing , each card calling for the name, residence address, and telephone number of the signing employee . There is nothing in the evidence to indicate that the signed cards were not com- pletely and accurately filled out. In addition to the three employees who did not sign cards, two or three who did sign are no longer employed by Respondent. Presumably the latter group was replaced by new employees, thus leav- ing the Union with 6 of 14 unit employees (over 40 percent) for whom it did not, so far as the evidence shows, have an address or telephone number, and as indicated the infor- mation it had on the other 6 was over 2 years old when the bargaining commenced . The Union's duty, however, was to represent and bargain for all employees in the unit and not just those who had signed cards. No contract between the Union and the Company was in effect, hence no bene- fits could accrue to the Union from a union-security clause, from bulletin board privilege, or from other benefits normally accruing to an incumbent union having the bene- fit of a contract. Respondent's plant, located in New Hyde Park, New York, a community on Long Island, is an exten- sive area and rather heavily populated. To expect the Union to search such a wide area, or even to resort to a search of telephone books, which on Long Island has a substantial duplication of names , is to impose a very heavy burden on the Union compared to the ease which with Respondent could prepare the information from books it is required by law to keep. Upon considerations of all applicable facts, and balanc- 329 (1974); and Viewlex, Inc. formerly known as Globe Albums, Inc., 204 NLRB 1080 ( 1973), where only the address of the employees appears to have been involved. ing the various factors involved, in light of applicable pre- cedent, I find and conclude that the General Counsel has made an adequate showing of the relevance of the address- es of unit employees requested by the Union on numerous occasions with 6 months prior to the filing of the charge herein, and that Respondent violated Section 8(a)(5) and (1) of the Act when it refused the Union's request for such information. The Unilateral Wage Increase As heretofore stated, at the meeting of May 15, 1974, Respondent informed the Union that it was considering a 10-percent wage increase to the unit employees. Notwith- standing the Union's protest that such an increase would have the effect of undermining the Union, and in any event should be negotiated between the parties, Respondent act- ed unilaterally and put the increase into effect, retroactive to early January, and at the June 4 meeting notified the Union of the accomplished fact. Respondent followed the same course with respect to the January 1975 increase. At the meeting on January 3, 1975, it informed the Union that it was considering an increase of 10 percent in wages paid to unit employees. Again the Union protested, and accord- ing to the evidence Respondent agreed to give consider- ation to the Union' s arguments , but, acting unilaterally, and without further consultation with the Union, informed the Union at the meeting of January 17 that an increase of 10 percent had been put into effect as of January 8. Respondent contends that the wage increase in January 1975 was not violative of the Act because it was granted pursuant to its policy and practice to grant a wage increase of about 10 percent to all employees during the first week in January of each year, which policy had been in effect for about 5 years and had been made known to all employees. To support the existence of this policy and practice, Re- spondent relies on the testimony of Maurer, an employee witness called by Respondent, and that of Company Presi- dent Tropp. Maurer's testimony I regard as quite unsatis- factory and do not credit it. He was obviously testifying from recollection, and his testimony as a whole indicates that his memory was quite faulty. I also find myself unable to place reliance on Tropp's testimony that there in fact existed an established policy to grant annual wage increas- es, or that such increases had in fact been granted for some years in the past. The best evidence of Respondent's practice with respect to wage increases would be its books showing hours worked, the rates of pay, the total wages due, and the amounts deducted from the employee during each work- week.ls Since records are required to be kept by lawful authority (United States v. Darby, 312 U.S. 100, 124-125 (1941) ), such records must exist; but Respondent did not produce them. Instead, it relies solely on the uncorroborat- 15 There are records required to be kept and preserved by the Fair Labor Standards Act, and the regulations promulgated pursuant thereto. See 29 U.S.C. 211 (c) and Code of Federal Regulations , Title 29, Chapter V, sub- part A. sec. 516.7, and subpart B, sec . 516.14. The allegations of pars. 3 and 4 of the complaint, which are admitted by the answer, make it clear that at least some of Respondent 's employees are subject to the Fair Labor Stan- dards Act. AUTOPROD, INC ed testimony of Tropp,16 and the evidence of Maurer which I have rejected as not credible. This I deem insufficient to establish the existence of a plan or practice , as Respondent seeks to do. As the Supreme Court said in Interstate Circuit v. United States, 306 U.S. 208, 226 (1939), "The production of weak evidence when strong is available can lead only to the conclusion that the strong would have been adverse." Accordingly, I find and conclude that Respondent failed to establish that any plan or policy for granting of annual wage increase in fact existed. Respondent's statutory duty to bargain with the Union as the exclusive representative of the unit employees exacts "the negative duty to treat with no other," (May Depart- ment Stores d/b/a Famous-Barr Company v. N.L.R.B., 326 U.S. 376 (1946); N.L.R.B. v. Katz, Benne, d/b/a/ Williams- burg Steel Products Co., 369 U.S. 736 (1962) ). Respondent's conduct here was, in practical effect, bar- gaining with the employees individually in derogation of the status of the majority representative to whom alone the duty to bargain is owed. May Department Store, supra, and Katz, supra. Indeed, in Katz the Supreme Court held that an employer violates Section 8(a)(5) of the Act if he makes unilateral changes in wages , hours, or working conditions without first bargaining to an impasse with the majority representative , regardless of his motive in effectuating such changes.17 Accordingly, I find and conclude that by granting the wage increase to unit employees on January 8, without first bargaining with the Union concerning the same, Respon- dent violated Section 8(a)(5) and (1) of the Act. The Termination of Negotiations in February 1975 As above detailed, at the conclusion of the bargaining meeting on January 27 , the parties agreed to meet again early in February, the exact date being thereafter set for February 7. However, by letter dated February 5, Respon- dent, confirming a telephone conversation of the same date, notified the Union that it would no longer meet with the latter because of the pendency of the decertification filed by the employees on January 8, and would resume such bargaining only in the event that the Union was there- after certified by the Board as the representative of the employees . No further negotiating meetings have been held. I must and do agree with the General Counsel that, on the facts of the instant case , Respondent had no valid basis for terminating negotiations with the Union. The authorities are clear that the filing of a decertifica- 16 It is worthy of note that not even Tropp, the only Respondent witness who gave testimony on the bargaining negotiations , claimed that Respon- dent told the Union during the actual negotiations that it had any custom or practice of granting annual wage increase. 17 In the instant case , plainly no impasse in bargaining had been reached when Respondent granted the January 1975 increase . Prior to the July 24, 1974, meeting , the parties had by agreement deferred considerations of eco- nomic issues . When wages were brought up at the July 24, 1974 , meeting, Respondent pleaded inability to pay, and further bargaining was suspended until the Union completed its audit of Respondent 's records . The meeting on January 3, 1975, was the first meeting when the parties resumed bargain- ing, and plainly no impasse was reached at that meeting. At the next meet- ing on January 17, Respondent told the Union that the increase had been made effective on January 8. 779 tion petition by employees does not, standing alone , justify an employer in refusing to bargain further with the Union. To justify such a refusal there must be an affirmative show- ing of facts demonstrating that reasonable grounds exist for believing that the Union has in fact lost its majority. Anvil Products Inc., 205 NLRB 709 (1973); Celanese Corpo- ration of America, 95 NLRB 664 (1951); Rolich, Inc., 145 NLRB 1236 (1964). Moreover, the issue of loss of majority by a union must not be raised by the employer in a context of illegal conduct on his part. As the Board said in Cela- nese, supra: There must . . . be `some reasonable grounds for be- lieving that the Union lost its majority status' ... and ... the majority issue must not have been raised by the employer in a context of illegal antiunion activi- ties , or other conduct by the employer aimed at caus- ing disaffection from the Union or indicating that in raising the majority issue the employer was merely seeking to gain some time in which to undermine the Union. In the instant case Respondent made no showing of any facts-reasonable or otherwise-forming a ground for be- lieving that the Union had lost its majority status . The only showing it made was that a group of employees had filed a decertification petition, and this, as the authorities hold, is insufficient to justify Respondent's refusal to negotiate fur- ther with the Union. Additionally, the facts strongly indi- cate that employee disaffection from the Union here was caused in no small part by Respondent's illegal activity. Not only did Respondent, as I have found, commit unfair labor practices by refusing to furnish the Union with the addresses of the unit employees, by unilaterally granting the employees a wage increase in January 1975, and as hereafter detailed, by bargaining in bad faith with the Union, but it is difficult to ignore the very salient fact that the January 1975 wage increase was made effective by Re- spondent on the very day that the decertification petition was filed. In this posture it is difficult to ignore the distinct probability that the wage increase was really the "frosting on the cake" that brought about the final act by the em- ployees to demonstrate their belief that the Union could no longer do anything for them, and that all their demands could be satisfied by their individual bargaining with the employer. Cf. C & C Plywood Corporation, 148 NLRB 414 (1964). Accordingly, I find and conclude that the filing of the decertification petition did not justify Respondent' s termi- nation of negotiations with the Union, and that Respon- dent violated Section 8(a)(5) and (1) of the Act when it did SO. The Alleged Bad-Faith Bargaining Section 8(a)(5) of the Act makes it an unfair labor prac- tice for an employer to refuse to bargain collectively with the representative of his employees, and Section 8(d) de- fines the term "bargain collectively" as: ' . .. the performances of the mutual obligation of the employer and the representative of the employees to 780 DECISIONS OF NATIONAL LABOR RELATIONS BOARD meet at reasonable times and confer in good faith with respect to wages, hours, and other terms and condi- tions of employment . . . but such obligation does not compel either party to agree to a proposal or require the making of a concession. Although neither agreement to a specific proposal nor the making of a concession is required , the statutory definition does demand that the parties meet and confer in an honest and sincere effort to reach agreement on mutually accept- able terms. But "bad faith bargaining is prohibited though done with sophistication and finesse" (N.L.R.B. v. Herman Sausage Company, Inc., 275 F.2d 229, 232 (C.A. 5, 1960) ). And as the same court pointed out, compliance with the employer's statutory obligation: ... takes more than mere "surface bargaining," or "shadow boxing to a draw," or "giving the union a runaround while purporting to be meeting with the Union for purpose of collective bargaining ," (id. at 232), for to ... sit at a bargaining table , or to sit almost forever, or to make concessions here and there , could be the very means by which to conceal a purposeful strategy to make bargaining futile or fail. (id 232.) The standard for assessing whether or not a particular course of bargaining meets the test of "good faith" was well stated by Administrative Law Judge Leff , which the Board adopted, in "M" System, Inc., Mobile Home Division Mid-States Corporation, 129 NLRB 527 (1960), where it is said (at 547): Good faith , or the want of it, is concerned essential- ly with a state of mind. There is no shortcut to a deter- mination of whether an employer has bargained with the requisite good faith the statute commands. That determination must be based upon reasonable infer- ence drawn from the totality of conduct evidencing the state of mind with which the employer entered into and participated in the bargaining process. The employer's state of mind is to be gleaned not only from his conduct at the bargaining table , but also from his conduct away from it-for example , conduct reflecting a rejection of the principle of collective bar- gaining or an underlying purpose to bypass or under- mine the union manifests the absence of a genuine desire to compose differences and to reach agreement in the manner the Act commands . All aspects of the Respondent's bargaining and related conduct must be considered in unity, not as separate fragments each to be assessed in isolation. Applying the foregoing principles to Respondent's course of bargaining in the instant case, I am convinced, and therefore find and conclude , that Respondent from the inception of the bargaining did so in bad faith and with the intent and purpose of avoiding agreement with the Union, and hence violated Section 8(a)(5) of the Act. I reach this conclusion based on the totality of the following consider- ations: 1. Respondent's animus toward the unionization of its employees is made plain by its unlawful conduct in the prior case which , as the Board with court approval found, made a fair election impossible and required the imposi- tion of a bargaining order. 2. The Union's request for the names , addresses, classifi- cations, and rates of pay on March 6 , which request was repeated on March 14 , was completely ignored by Respon- dent until April 15. Although all of the requested informa- tion , except the addresses of the employees , was furnished on the last mentioned date , Respondent has steadfastly re- fused since that date to furnish the Union with the address- es of the employees on its payroll . In view of the minimal inconvenience the furnishing of the addresses of the em- ployees would impose upon Respondent , it is reasonable to infer , as I do , that the purpose of such refusal was to em- barrass the Union, and to try to put a stumbling block into the negotiations. 3. The wage increase granted by Respondent in late May or early June 1974, which I have not herein found to have been an unfair labor practice because of the provi- sions of Section 10(b), I nonetheless find and conclude was timed for and given with the intent and purpose of degrad- ing the Union in the eyes of the employees , and to create a major obstacle to agreement on contract terms . The wage increase granted in January 1975, and which I have found to have been an independent unfair labor practice (it hav- ing occurred within 6 months of the filing of the charge), I find and conclude was granted with the same intent and purpose. 4. Although the Act recognizes the right of Respondent to refuse to agree to a proposal or to make a concession, yet it seems clear that , when it does so for the sole purpose of frustrating agreement , its bargaining is in bad faith. H. K. Porter Company, Inc. Disston Division -Danville Works, 153 NLRB 1370 (1965), enfd . sub nom . United Steel- workers of America v . N.L.R.B., 363 F.2d 272 (C.A.D.C., 1966), cert. denied 385 U.S. 851.18 Here the Union submit- ted proposals for a complete contract , and the vast majori- ty of these proposals were found objectionable by Respon- dent, on one ground or another . Regarding many of these Respondent did submit counterproposals, and both sets of proposals were discussed by the parties at great length. By the time of the January 1975 meetings , the Union had re- ceded from its original position with respect to many of its proposals on which agreement , by accepting Respondent's proposal outright , or with proposed modifications . There is no evidence that at any time during the negotiations did Respondent significantly depart from its original opposi- tion to any proposal or make a significant concession de- signed to produce agreement. In short , all the movement toward reaching agreement was on the part of the Union; there was none on the part of Respondent . While the Board has no power to sit in judgment on what terms the parties to bargaining negotiations should , or should not agree to, and I am not suggesting that it do so in the instant is That decision did not reach the Supreme Court for review. A subse- quent order of the Board, enforced by the court of appeals , did reach the Supreme Court, the latter holding that the Board was without power to order an employer to agree to a checkoff provision. See H . K. Porter Com- pany, Inc., 397 U.S. 99 (1970). AUTOPROD, INC case, the Board if it "is not to be blinded by empty talk and by the mere surface motions of collective bargaining . must take some cognizance of the reasonableness of the positions taken by an employer in the course of bargaining negotiations" (per Judge Magruder in N.L.R.B. v. Reed & Prince Manufacturing Company, 205 F.2d 131, 134, In. 3 (C.A. 1), cert. denied 346 U.S. 887). In view of the large number of proposals on the bargaining table concerning which agreement had not been reached, it is inconceivable that there were not some areas in which it could either totally or with modifications recede from positions previ- ously taken, if it in fact had any reasonable desire to reach agreement on mutually acceptable terms. However, the evi- dence shows no such movement on the part of Respon- dent. This is some evidence that Respondent's bargaining was not in the requisite good faith. 5. Finally, and by no means of minimal importance, there is the fact that on February 5 Respondent unlawfully terminated negotiations with the Union and has refused since that date to meet further with the Union. Accordingly, for the reasons stated, I find that Respon- dent violated Section 8(a)(5) and (1) of the Act, as alleged in the complaint.19 Upon the foregoing findings of fact, and the entire re- cord in the case, I state the following: CONCLUSIONS OF LAW 1. Respondent is an employer within the meaning of Section 2(2) of the Act, and is engaged in commerce within the meaning of Section 2(6) and (7) of the Act. 2. The Union is a labor organization within the meaning of Section 2(5) of the Act. 3. The Union is, and at all times material has been, the exclusive collective-bargaining representative within the meaning of Section 9(a) of the Act, in an appropriate unit composed of Respondent's production and maintenance employees, excluding office clericals, professional employ- ees, salesmen, guards and supervisors, as defined in the Act. 19 Two other points were discussed on the record , concerning which I refer to briefly . One was the adequacy of the charge , which referred only to the January 8 wage increase and the failure to supply the addresses of the employees , to support the complaint which also alleged bad-faith bargain- ing; and the other is the necessity for another order requiring Respondent to bargain with the Union when such an order, enforced by the court of ap- peals, is presently in existence . Respondent's brief does not deal with either point . As to the first point , the charge alleging a violation of Sec. 8 (a)(5) is sufficient to support a complaint which alleges bad-faith bargaining, be- cause the Board "is not precluded from dealing adequately with unfair labor practices which are related to those alleged" in the charge . N.L.R.B. v. Fant Milling Co., 360 U.S. 301, 309 (1959); N. L. R. B. v. Indiana & Michigan Elec- tric Company et a!, 318 U.S. 9 (1943); Bob's Casing Crews, Inc., 192 NLRB I (1971), enfd. 458 F.2d 1301, 1304 (C.A. 5, 1972). As to the second point, even were I disposed to hold that the order presently outstanding is suffi- cient for the General Counsel's purposes (Cf. Walling v. Jacksonville Paper Co., 336 U.S. 187, 192-195), I am precluded by Board authority which I am required to follow from doing so. The identical question was considered by the Board in Rish Equipment Company, 173 NLRB 943 (1968), where the Board announced the rule that , if the subsequent case involved conduct not involved in the prior case, an order prohibiting the conduct involved in the second case is appropriate to effectuate the policies of the Act, even though the order in the prior case is broad enough in its terminology to reach the conduct involved in the second case. 781 4. By (a) failing and refusing since July 24, 1974, to comply with the Union's request for the addresses of the employees in the aforesaid unit; (b) unilaterally changing the wages, hours, and terms and conditions of employment of the employees in the aforesaid unit, without first bar- gaining with the Union to an impasse concerning the same; (c) terminating bargaining negotiations with the Union be- cause of the pendency of a decertification petition; and (d) failing to bargain with the Union in good faith, all as here- in found, Respondent engaged in and is engaging in unfair labor practices proscribed by Section 8(a)(5) and (1) of the Act. 5. The aforesaid unfair labor practices are unfair labor practices affecting commerce within the meaning of Sec- tion 2(6) and (7) of the Act. THE REMEDY Having found that Respondent failed to bargain with the Union in good faith which interfered with, restrained, and coerced its employees in the exercise of their guaranteed Section 7 rights, I conclude from the totality of that unlaw- ful conduct that Respondent should be required to cease and desist from in any manner interfering with, restraining, or coercing its employees in the exercise of rights guaran- teed them by Section 7 of the Act. N.L.R.B. v. Entwistle Manufacturing Company, 120 F.2d 532 (C.A. 4 1941); Cali- fornia Lingerie, Inc., 129 NLRB 912, 915 (1960). Having also found that since on or about January 31, 1974, Respondent failed to bargain in good faith with the Union as the exclusive collective-bargaining representative of the employees in an appropriate unit, it will be recom- mended that upon request Respondent bargain with the Union as such representative, and if an understanding is reached embody the same into a written signed agreement. This obligation to bargain shall include, of course, the obli- gation to furnish the Union, upon request, with the ad- dresses of the employees in the unit, as well as any other data needed by the Union for the proper performance of its duties as collective-bargaining representative. Having found that Respondent also violated Section 8(a)(5) of the Act by unilaterally changing the wages, hours, and terms and conditions of employment of unit employees, it will be recommended that it be required to revoke such changes, provided, however, that no such change shall be revoked if the Union, within 30 days after receipt of the order herein, requests Respondent, in writ- ing, not to revoke a specified change. Upon the foregoing findings of fact, and conclusions of law and the entire record in the case, and pursuant to Sec- tion 10(c) of the Act, I hereby issue the following recom- mended: ORDER20 Respondent, Autoprod, Inc., New Hyde Park, New York, its officers, agents, successors, and assigns, shall: 20 In the event no exceptions are filed as provided by Sec. 102.46 of the Rules and Regulations of the National Labor Relations Board, the findings, conclusions and recommended Order herein shall, as provided in Sec. Continued 782 DECISIONS OF NATIONAL LABOR RELATIONS BOARD 1. Cease and desist from: (a) Failing or refusing upon request, to supply Shopmen's Local Union No. 455 International Association of Bridge , Structural and Ornamental Iron Workers, AFL- CIO, the collective-bargaining representative of its employ- ees in an appropriate unit, with the addresses of the em- ployees in said unit, or any other data requested by the aforesaid labor organization which is necessary for the proper performance of its duty as collective -bargaining representative for the aforesaid employees. (b) Unilaterally changing the wages, hours, or any other terms and conditions of employment of any employee in the unit for which the aforesaid labor organization is the exclusive collective -bargaining representative. (c) Failing or refusing , upon request, to bargain collec- tively with the aforesaid labor organization as the exclusive collective-bargaining representative of its employees in the aforesaid appropriate unit. (d) In any other manner interfering with, restraining, or coercing employees in the exercise of their right to self- organization , to form , join , or assist labor organizations, to bargain collectively through representatives of their own choosing, and to engage in other concerted activities for the purpose of collective bargaining or other mutual aid or protection , or to refrain from any and all such activities. 2. Take the following affirmative action designed and found necessary to effectuate the policies of the Act: (a) Upon request furnish the Union with the addresses of all employees in the unit for which the Union is the collective-bargaining representative , as well as all other in- formation necessary for the Union's discharge of its bar- gaining duties. 102.48 of the Rules and Regulations, be adopted by the Board and become its findings, conclusions , and Order , and all objections thereto shall be deemed waived for all purposes. (b) Upon request, bargain collectively with the aforesaid labor organization as the exclusive collective-bargaining representative of the employees in the aforesaid appropri- ate unit, with respect to rates of pay, wages, hours and other terms and conditions of employment and if an un- derstanding is reached reduce the same to a signed written agreement. (c) Revoke and cease to comply with the changes in the wages , hours, and other terms and conditions of employ- ment unilaterally promulgated by it, as herein found; pro- vided, however, that Respondent shall not revoke any such change which Local 455 shall, within 30 days from the date of this Decision, notify Respondent in writing that it does not wish revoked. (d) Post at its premises in New Hyde Park, New York, copies of the attached notice marked "Appendix." 21 Cop- ies of said notice, on forms provided by the Regional Di- rector for Region 29 (Brooklyn, New York), shall, after being signed by its authorized representative, be posted by Respondent immediately upon receipt thereof, and be maintained by Respondent for 60 consecutive days there- after, in conspicuous places, including all places where no- tices to employees are customarily posted. Reasonable steps shall be taken by Respondent to insure that said no- tices are not altered, defaced, or covered by any other ma- terial. (e) Notify said Regional Director, in writing, within 20 days from the date of this Order, what steps it has taken to comply herewith. 21 In the event that the Board 's 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." Copy with citationCopy as parenthetical citation