Home of Guiding HandsDownload PDFNational Labor Relations Board - Board DecisionsJun 30, 1975218 N.L.R.B. 1278 (N.L.R.B. 1975) Copy Citation 1278 DECISIONS OF NATIONAL LABOR RELATIONS BOARD Lutheran Association for Retarded Children, A California Non-Profit Corporation d/b/a Home of Guiding Hands ' and Office and Professional Employees International Union , Local 443, AFL, CIO, Petitioner . Case 21-RC-13969 June 30, 1975 DECISION AND DIRECTION OF ELECTION Upon a petition duly filed under Section 9(c) of the National Labor Relations Act, as amended, a hearing was held before Hearing Officer Steven J. Sorensen. Following the hearing and pursuant to Section 102.67 of the National Labor Relations Board's Rules and Regulations and Statements of Procedure, Series 8, as amended, the Regional Director for Region 21 issued an order transferring this case to the Board for decision. Thereafter, the Employer and the Petitioner filed briefs in support of their respective positions, and briefs amici curiae were filed by interested parties. The Board has reviewed the Hearing Officer's rulings made at the hearing and finds that they are free from prejudicial error. They are hereby affirmed. Upon the entire record in this case, the Board finds: 1. The Employer 2 is a nonprofit California corporation engaged in providing residential care and training for mentally retarded children and adults. The Employer has under its care approxi- mately 200 resident mentally retarded individuals who, in terms of their disability, range from the severely or profoundly retarded to the mildly retarded. Approximately 4 percent are also deaf and blind, but the number suffering from other physical disabilities is not set forth in the record. Some 50 percent of the residents attend classes conducted by the public schools, while the remaining 50 percent- not being eligible for public school programs3 - receive instruction and training in programs conduct- ed by the Employer. Residents of the Home are assigned to one of eight residential cottage units in accordance with the severity of their disability and the particular type of training or environment deemed appropriate for them .4 It appears from the record that the more i The names of the Employer and the Petitioner appear as amended at the hearing 2 Also referred to hereinafter as the Home. 3 Their lack of eligibility is due to such factors as being too profoundly retarded, exhibiting behavior not acceptable in public schools , the presence of certain physical disabilities , not being toilet trained, or being in an age group not serviced by public school programs. 4 The populations and characteristics of the cottages are as follows: Units I and 2 are for mentally retarded adults, Unit 3 is for the severely or profoundly retarded ; Unit 4 stresses vocational education , Unit 5 applies behavior modification techniques to young retarded persons, Unit 6 is a 218 NLRB No. 195 capable retarded persons, who reside in Unit 8, are the only ones whose program is designed with the ultimate objective of providing training sufficient to allow them to live in society by themselves. The Home, situated on a 13.7-acre site in Lakeside, California, comprises 13 buildings, including the residential cottages, a health care dispensary, and an education and training center. It is licensed under California law as a community care facility. Limited medical services are provided in the Home's dispensary where local physicians and dentists, not on the Employer's staff, examine and treat the residents. It contains an examining table, sterilizer, dental chair, and dental x-ray equipment. In addition, three staff nurses are employed to care for the health and medication needs of the residents, with one or more of them being on duty from 8 a.m. to 10 p.m. on weekdays, and from 8 a.m. to 4:30 p.m. on weekends. The Employer's operations are under the direction and control of the Home's administrator and chief executive officer who has responsibility for the entire staff and all programs. The staff under him consists of 144 employees, including 86 nonsupervisory house parents, 2 licensed vocational nurses (LVN's), 1 registered nurse (RN),5 a therapist's aide, teachers, instructors, social workers, clerical employees, and maintenance employees. In addition, the Home, as required by California law, has a medical director who works as an unpaid consultant I day per week, a physical therapist who works 3 days per week, but is paid and under the control of an outside agency, and a consulting psychologist who works 3 hours per month giving tests and advising on behavioral problems .6 The Home's employees are distributed among its various departments which are denominated as follows: residential care, education and training, support services, religious, social service, and admin- istrative. The employees sought in the petition herein-house parents and nurses-are all employed within the residential care department. House parents work on a three-shift basis and are on duty 24 hours a day, 7 days a week. They are responsible for, inter alia, physical care of the residents of their respective units; administering oral medications pursuant to directions prepared by the socialization unit for the trainable retarded ; Unit 7 emphasizes the teaching of toilet training and self-feeding to the young; and Unit 8 provides a sent- independent environment for the more capable retarded persons. 3 There is an additional RN also employed at the Home, but not performing nursing duties She is the director of the residential care department and is a supervisor within the meaning of the Act a There are also a number of outside consulting doctors , practicing various medical specialties , who examine and treat residents either at the Home's dispensary or at their own offices. They are paid for their services directly by the parents of the residents who receive them. HOME OF GUIDING HANDS 1279 nurses from the orders of physicians; charting medications administered; taking record notes on the health conditions of residents; attending to injured residents until a nurse arrives; teaching self-help skills; and maintaining proper nutrition. While they do not have the authority to directly alter the dosage of medicines they administer, they can, and do, make recommendations on these matters to the physicians on the basis of their personal observation of the residents. Although they are not required to have had prior medical experience, it is preferred that they have experience with the mentally retarded. Once employed, however, they are given both formal and informal training in such subjects as retardation syndrome, causes of mental retardation, home-relat- ed nursing procedures, behavior modification tech- niques, teaching self-help skills, nutrition, first aid, and the significance of the various types of medica- tion which they may be called on to administer. They are also issued a 12-page manual covering the procedures to be used in the administration of medication and related recordkeeping requirements and safety precautions. For the year 1973, the Employer had gross revenues of $1,300,000 and, on the basis of an increase in the fees charged for resident care in 1974, it is estimated that gross revenues for that year were somewhat higher. Most of this revenue was derived from monthly fees charged for resident care, said fees being paid from a variety of sources, including direct payments by parents or guardians, and payments from such programs as Social Security Supplementa- ry Income, Veterans' Administration pensions, Aid to Dependent Children, and CHAMPUS, an agency of the Federal Government which pays such fees on behalf of military dependents.? In 1967, when the Home was constructed, Federal Government grants funded one-third of the $2,200,000 cost. In the past year, the Employer received direct grants of $50,000 from the U.S. Department of Health, Education and Welfare for staffing and curriculum development relating to the training of retarded children who are also deaf and blind. As of the date of the hearing, the Employer intended to apply for the renewal of most, or all, of such grants for the coming year. Twenty of the Home's residents come from outside the State of California and, of those, two had their tuition paid directly by their State of origin. In all, fees received on behalf of nonresidents of California appear to have been in excess of $100,000 per annum. Although the Home made no substantial purchases from outside the State of California, it did purchase materials and services of an undetermined amount from the California branches of national corpora- tions and, as a fund raising device, it sold greeting cards produced by its residents directly to persons outside California. The Employer contends, inter alia, that it is not a "health care institution" within the meaning of the new Section 2(14) of the Act8 and that under the jurisdictional standards and guidelines set forth in Ming Quong Children's Center, 210 NLRB 899 (1974),9 the Board should decline to assert jurisdic- tion. For the reasons fully explicated by the Board majority Beverly Farm Foundation, Incorporated, 218 NLRB 1275 issued this day, we find that institutions providing care for the mentally retarded, such as the type of operation maintained by the Employer herein, clearly fall within the definition of a health care institution within the meaning of Section 2(14), and, accordingly, the doctrine of the Ming Quong case, supra, does not apply. Inasmuch as the Employer's gross annual income clearly exceeds the $250,000 jurisdictional standard which we have established for, inter alia, the type of health care institution involved herein,10 we find that the impact of the Employer's operations on com- merce is sufficient to warrant assertion of jurisdiction herein and it will effectuate the purposes of the Act to do so. 2. The parties stipulated and we find that the Petitioner is a labor organization within the meaning of the National Labor Relations Act. 3. A question affecting commerce exists concern- ing the representation of certain employees of the Employer within the meaning of Sections 9(c)(1) and 2(6) and. (7) of the Act. 4. The Petitioner seeks to represent a unit consisting of house parents, LVN's, and RN's. The Employer agrees that such a unit is appropriate, but would exclude RN's therefrom on the ground that they are professional employees. Further, the parties stipulated that the following employee classifications should be excluded from any unit found appropriate herein: all other employees, including office and clerical employees, drivers, maintenance employees, physical therapists, teaching aides, and supervisors as defined in the Act. Petitioner concedes the profes- sional status of RN's and requests that, in accord 7 It appears from the record that CHAMPUS is currently paying all, or he viewed the business aspects of that facility as akin to those of nursing part, of the fees charged for 25 of the Home 's 200 residents . homes and other related facilities over which the Board has in the past 8 P.L. 93-360 (effective August 25 , 1974) asserted jurisdiction. 9 Member Fanning would have asserted jurisdiction in Ming Quong, a 10 See East Oakland Community Health Alliance, Inc., 218 NLRB 1270 California nonprofit corporation to help emotionally troubled children , as (1975). 1280 DECISIONS OF NATIONAL LABOR RELATIONS BOARD with the provisions of Section 9(b)(1) of the Act, the single nonsupervisory RN currently employed by the Employer be permitted to ballot separately on the question of her inclusion within a unit of nonprofes- sional employees, as well as on the question of whether she desires to be represented by the Union. The uncontroverted record testimony shows as follows. The Employer maintains only one classifica- tion for nurses-"staff nurse"-and the job descrip- tion for that position requires that employees in the classification may be either RN's or LVN's. Further, the actual functions and job duties of the RN and the LVN's are,identical in every respect, except for the fact that the RN takes a more formal role in the teaching of house parents with respect to their nursing-related duties. Otherwise, all nurses share the same responsibilities, such as making daily rounds to check on the health and welfare of residents, being alert to infectious diseases, maintaining health records, supervising the administration of oral medications, and administering injectable medica- tions and immunizations. The record also shows that the nurses and house parents work in close coopera- tion with one another on a daily basis, supplement one another in the areas of resident health care, medical recordkeeping, and the administration of oral medications, and work under the common supervision of the director of the residential care department. In view of the above facts and circumstances, the stipulations of the parties, and the provisions of Section 9(b)(1) of the Act, we find as follows. A unit of all house parents, RN's, and LVN's, excluding all other employees, office and clerical employees, drivers, maintenance employees, physical therapists, teaching aides , and supervisors as defined in the Act, may constitute a unit appropriate for the purposes of collective bargaining within the meaning of Section 9(b) of the Act.11 However, as this unit includes professional and nonprofessional employees, whom the Board cannot join in a single unit without the desires of the professional employee being deter- mined in a separate vote,12 we shall direct that a separate ballot be used for recording the vote of the RN, which will ask two questions: 1. Do you wish to be included in the same unit as the house parents and licensed vocational nurses employed by the Employer at its Lakeside, California, facility for the purposes of collective bargaining? 2. Do you desire to be represented for the purposes of collective bargaining by Office and Professional Employees International Union, Local 443, AFL-CIO? If the professional employee votes yes to the first question, indicating her desire to be included in the unit with the nonprofessional employees, she will be so included. Her vote on the second question will then be counted with the votes of the nonprofession- al employees to decide the representative for that bargaining unit. If, on the other hand, she does not vote for inclusion, her vote on the second question will not be counted, as a one-person unit is not appropriate. Accordingly, we find the following unit to be appropriate for the purposes of collective bargaining within the meaning of Section 9(b) of the Act: All house parents, registered nurses,13 and li- censed vocational nurses employed at the Em- ployer's Lakeside, California, facility, but exclud- ing all other employees, office and clerical employees, drivers, maintenance employees, physical therapists, teaching aides, and supervi- sors as defined in the Act. [Direction of Election omitted from publication.]14 CHAIRMAN MURPHY and MEMBER KENNEDY, dissent- mg: The majority has decided to assert jurisdiction over the Employer on the ground it is a "health care institution" as defined in recent amendments to the Act 15 and therefore jurisdiction is mandatory if it meets certain annual minimum income standards established by the majority as $250,000. Because we do not believe that the Employer is a "health care institution," we would apply the rationale of Ming Quong Children's Center, 210 NLRB 899 (1974), to this nonprofit home for retarded children and dismiss the petition. Accordingly, we dissent. The Employer is a California nonprofit corporation operating a residential and educational facility for mentally retarded children and adults. It is located on 13.7 acres of land at Lakeside, California, and has 13 buildings, of which 8 are living units housing mentally retarded residents. It is departmentalized as follows: residential care, education and training, support services, religious, social services, and administrative. 11 In finding that a unit confined to house parents, RN's, and LVN's may be appropriate herein , we rely in large part on the parties' stipulation that all other employees should be excluded therefrom. At this time, we make no determination as to whether we would find such a unit appropriate absent the stipulation. 12 Sonotone Corporation, 90 NLRB 1236 (1950). 13 If, however, the professional employee does not vote for inclusion in the unit with nonprofessional employees , we find a unit confined to house parents and licensed vocational nurses, excluding registered nurses, to be appropriate herein for purposes of collective bargaining. 14 [Excelsior In. omitted from publication.] is P.L. 93-360, effective August 25, 1974. HOME OF GUIDING HANDS 1281 To be admitted to the Home, a person must be at least 3 years old, be classified as mentally retarded, and not be an extreme behavioral problem or a threat to himself or any other person. He cannot require 24-hour medical care. If, after admission, it develops that he requires such care, he is transferred to a facility licensed as a health care facility under California law; the Employer is licensed only as a community care facility. The Home has about 200 residents and 144 employees. Of the latter, the largest number are house parents.16 In addition, there are two licensed vocational nurses (LVN's), one therapist's aide, two registered nurses , teachers, instructors, social work- ers, various clerical employees, and maintenance employees. The Employer does not have a physician on its staff to provide medical services to the residents nor does it pay for any physician's services. It does have a medical director, as required by state law, who acts as a consultant. However, he receives no pay, does not perform any medical services for the residents in his capacity as medical director, and does not supervise the nurses. If a resident requires a physi- cian's care, the resident is either seen by a doctor at the Home or taken to a physician's office. The Home does not pay for such services and is not involved in the billing. The Employer does have a dispensary where local physicians examine the residents. The dispensary contains minimal medical equipment, including an examining table, sterilizer, and a dental chair with dental x-ray equipment. It does not have an operating room or medical x-ray equipment. The Home does not provide 24-hour nursing service to the residents. There are two registered nurses and two LVN's. One registered nurse is the director of residential care and does not function in a registered nurse's capacity. The other nurse works a shift of either 8 a.m. to 4:30 p.m. or 10 a.m. to 6 p.m. The LVN's work in two shifts: one works from 6 a.m. to 2 p.m., and the other works from 2 p.m. to 10 p.m. There is a consulting psychologist who works 3 hours a month giving tests and consulting with the Employer concerning behavioral problems. The Home also furnishes space to a physical therapist who is at the Home 3 days a week. He is not an employee of the Home and is not under its control. The space is furnished so as to avoid the necessity of transporting handicapped children to another loca- 16 A house parent must have a high school education and preferably some experience with retarded persons . He is not required to have any medical experience . He is involved with the resident 's daily living situation and teaches self-help skills as well as being responsible for ensuring that the resident has proper nutrition. 17 Accord. West Oakland Home, Inc., d/b/a Lincoln Child Center, 211 NLRB 755 (1974) (Member Fanning dissenting), Crotched Mountain tion. The Home does not have an ongoing physical therapy program. The Employer's gross income in 1973 was approxi- mately $1,300,000. Practically all its revenue was received from sources within the State of California, It did receive approximately $50,000 from the Federal Government as a grant for staffing a program to educate deaf and blind children. All its purchases are made from businesses within the State. In Ming Quong Children's Center, supra (Member Fanning dissenting), the Board decided that it would not effectuate the policies of the Act to assert jurisdiction over a nonprofit charitable corporation which operated a residential facility for the treatment of emotionally disturbed children.17 The majority members do not overrule the Ming Quong decision, but they say it is no longer applicable to a nonprofit home for the mentally retarded because of the "health care institution" amendment to the Act.18 Section 2(14) of the Act provides: The term "health care institution" shall include any hospital, convalescent hospital, health main- tenance organization, health clinic, nursing home, extended care facility, or other institution devoted to the care of sick, infirm, or aged person. Apparently, the majority regards a home for the mentally retarded as included within the clause "other institution devoted to the care of sick, infirm, or aged person." As support for this interpretation, they refer to an explanation offered by Congressman Thompson during the House debate on the bill. Congressman Thompson stated that "commercially operated muscle-building organizations, or those that provide only health services for weight loss, outside of any patient care function, would not come within our definition of health care organization." 19 He then added: When we use that term we are looking to real patient care and health service delivery, whether inpatient or outpatient. In addition, we do not mean it just as to the sick or aged. We mean it also to apply to specialty health services, to private institutions caring for the mentally retarded and the like.20 [Emphasis supplied.] Nowhere else in the legislative history is there any reference to institutions caring for the mentally retarded. The majority has construed the under- Foundation, 212 NLRB 420 ( 1974) (Member Jenkins concurring ; Member Fanning dissenting); Mission of Our Lady of Mercy, 212 NLRB 855 (1974). is For a fuller explanation of the majority position see Beverly Farm Foundation, Incorporated 218 NLRB 1275 (Chairman Murphy and Member Kennedy dissenting), issued this day. 19 120 Cong Rec 44594 (May 30, 1974). 1o Ibid 1282 DECISIONS OF NATIONAL LABOR RELATIONS BOARD scored sentence as meaning that Congress intended specifically to include all kinds of facilities providing care for the mentally retarded within the definition of "health care institution ." 21 Fortunately in this case we have received amicus briefs from several nonprof- it associations which are concerned with the problems of the mentally retarded . 22 We also have the benefit of very perceptive state legislation relating to the mentally retarded . We believe that both these sources cast considerable light on what Congressman Thompson meant by the underscored sentence. The amici stress that the modern approach to the mentally retarded is based on the premise that they are not sick people and do not require "treatment" or "hospitalization ." Mentally retarded persons are now regarded as having abilities , talents , needs, and wishes which differ little in kind from those of most so-called normal people. Hence, they are now viewed developmentally , that is, they are capable of growth and learning regardless of level of retardation or age. Mental retardation is a broad category. Generally, it is agreed that a diagnosis of mental retardation is based on multiple criteria, including measured intelligence (IQ), adaptive behavior , and medical classification . The American Association on Mental Deficiency , an organization of mental retardation professionals , recognizes four levels of mental retar- dation based on the degree of deviation from the average functioning level: mild (IQ 52-67); moderate (IQ 36-51); severe (IQ 20-35); and profound (IQ 20 or below). Approximately 89 percent of retarded individuals are mildly retarded , 6 percent are moderately retarded , and only 5 percent are severely and profoundly retarded . It is generally accepted that the mildly retarded are capable of economic self- sufficiency , and the moderately retarded can be economically productive in a sheltered employment. Chapter 2 of the California Health and Safety Code deals with the licensing of "Health Facilities." Section 1250 defines a "health facility" as: [A)ny facility, place or building which is organ- ized, maintained and operated for the diagnosis, care and treatment of human illness , physical or mental , including convalescence and rehabilita- tion and including care during and after pregnan- cy, or for any one or more of these purposes for one or more persons , to which such persons are admitted for a 24-hour stay or longer, and includes the following types: 21 See Beverly Farm Foundation, Incorporate4 supra 22 Amicus briefs have been received from, inter alia, the following: California Association for the Retarded; National Association for Retarded Citizens; and National Center for Law and the Handicapped, Inc. 23 "In the construction of laws, wills, and other instruments, the 'elusdem generis rule' is, that where general words follow an enumeration of persons (a) "General acute care hospital" ... . (b) "Acute psychiatric hospital" ... (c) "Skilled nursing facility" ... (d) "Intermediate care facility" ... . The California Community Care Facilities Act enacted in 1973 has a separate licensing provision for "community care facilities." California Health and Safety Code Section 1502 defines "community care facility" as: [A]ny facility, place or building which is main- tained and operated to provide non-medical residential care, day care, or homefrlding agency services for children and adults, including but not limited to, the physically handicapped, mentally impaired, or incompetent persons. The Employer is licensed by the State of California as a "community care facility" to "operate and maintain a Residential Facility-Resident Facility, Resident School Mentally Retarded" rather than as a "health facility." There are institutions for dealing with mentally retarded persons which are licensed as "health facilities," as opposed to "community care facilities." Those who are placed in "health facilities" have mental and physical handicaps of sufficient severity as to require considerably individualized assistance in feeding, dressing, and personal hygiene. With this background, it is helpful to evaluate the definition of "health care institution" in Section 2(14) of the Act. The Act specifies as such institutions, hospitals, convalescent hospitals, health maintenance organizations, health clinics, nursing homes, and extended care facilities. The Employer is none of these. According to the majority, the Employer does come within the catchall clause "other institution devoted to the care of sick, infirm, or aged person." However, as the amici point out, mentally retarded persons are not, as the result of their condition, "sick, infirm, or aged." Moreover, under the principle of ejusdem generis, the concluding clause in Section 2(14) should be construed as applying only to institutions like those previously enumerated.23 In reaching their determination that the Employer is a "health care institution" the majority members lean most heavily upon Congressman Thompson's remarks during debate referred to above. It should be noted that in none of the committee reports discussing the import of the new legislation is there any reference identical with or similar to those of or things, by words of a particular and specific meaning , such general words are not to be construed in their widest extent, but are to be held as applying only to persons or things of the same general kind or class as those specifically mentioned." Black's Law Dictionary (Revised Fourth Edition), p.608. HOME OF GUIDING HANDS 1283 Representative Thompson. Neither are there any such references in the Senate debate on the bill. On the contrary, Senator Williams, sponsor of the legislation which originated in the Senate, issued the following words of warning as to the interpretation to be given to the new legislation. He said: 24 As chairman of the committee and sponsor of the legislation which originated in the Senate, I wish to note that this legislation is the product of intensive efforts over a long period of time by the Congress and the parties to focus upon adapting general principles of the Taft-Hartley Act to the concrete problems that are encountered on a day- to-day basis in the health care industry. The Senate Committee strove for a balanced solution, and the language of its bill and its report and the explanations thereon by its managers, reflect the precise results of its studied effort to deal specifically and in an even handed manner with these problems. This legislation is the product of compromise, and the National Labor Relations Board in administering the act should understand specifically that this committee understood the issues confronting it, and went as far as it intended to go and no further and the Labor Board should use extreme caution not to read into this act by implication-or general logical reasoning-some- thing that is not contained in the bill, its report and the explanation thereof. Other statements, of course appear in the record and form an integral part of the legislative history, in my judgment, to the extent that the views expressed by an individual Senator or Congressman accord with the language of the bill, and the committee report. [Emphasis supplied.] The whole burden of the committee reports and the debates, except for the remarks of Congressman Thompson, deals with patient care in hospitals, etc.25 Further, Congressman Thompson's remark is itself ambiguous. He said: "We mean it also to apply to specialty health services, to private institutions caring for the mentally retarded, and the like." The Employer argues, and we believe persuasively, that the key words in this sentence are "specialty health services"; that the following reference to institutions caring for the mentally retarded refers to facilities which render "specialty health services" to the mentally retarded, that there are such institutions, and in California they are licensed as health care facilities, whereas the Employer is licensed only as a community care facility. For the foregoing reasons, we believe that the majority has misinterpreted Section 2(14) of the Act so as to include homes for the mentally retarded within the classification "health care institution." Inasmuch as we do not regard the Employer as included within this classification, we would dismiss the petition. 24 120 Cong. Rec. S12104 (July 10, 1974). under the National Labor Relations Act, 1974 (Senate Committee Print) at 25 See , e g., Legislative History of the Coverage of Nonprofit Hospitals 253, 257, 272, 349, 360, 372, 373 Copy with citationCopy as parenthetical citation