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Auto Workers v. Scofield (full text) :: 382 U.S. 205 (1965) :: Justia U.S. Supreme Court Center Log In
› Auto Workers v. Scofield
Auto Workers v. Scofield 382 U.S. 205 (1965)
U.S. Supreme CourtAuto Workers v. Scofield, 382 U.S. 205 (1965)International Union, United Automobile, Aerospace & AgriculturalImplement Workers of America, AFL-CIO, Local 283 v. ScofieldNo. 18Argued October 20, 1965Decided December 7, 1965*382 U.S. 205CERTIORARI TO THE UNITED STATES COURT OF APPEALS
1. Although, under 28 U.S. C. §1254(1), only a "party" to a case in the Court of Appeals (which does not include an amicus curiae) may seek review here, our decision makes clear that the petitioners had a right to obtain review of the orders denying intervention. Pp. 382 U. S. 208-209.
2. The successful charged party in NLRB proceedings has the right to intervene in appellate proceedings brought by the unsuccessful charging party. Pp. 382 U. S. 209-217.
(a) While the Act does not specifically provide for intervention at the appellate level, most courts have recognized the right of the successful charged party to intervene. P. 382 U. S. 211. Page 382 U. S. 206
(b) To permit such intervention in the initial appellate review proceedings will avoid duplication of proceedings, adhere to the goal of obtaining just results with a minimum of technical requirements, accomplish the objective of prompt determination of labor disputes, insure fairness to the would-be intervenor, and will not affect this Court's discretionary review powers nor delay or complicate appellate procedures. Pp. 382 U. S. 212-216.
(c) The element of fortuity, whereby the unsuccessful charged party has a right to review but the successful charged party does not, is removed. Pp. 382 U. S. 216-217.
(d) Analogies in the Judicial Review Act of 1950, and the Federal Rules of Civil Procedure manifest congressional concern that interested private parties be given a right to intervene and participate in agency review proceedings. Pp. 382 U. S. 216-217.
3. The successful charging party in NLRB proceedings also has the right to intervene in the appellate review. Pp. 382 U. S. 217-222.
(a) A successful charging party, being not only a member of the general public whose interests are protected by the NLRB but also one with vital private interests which are involved and protected by the Act in its blending of both interests, is entitled to recognition as a party in appellate proceedings. Amalgamated Util. Workers v. Consolidated Edison Co., 309 U. S. 261, distinguished. Pp. 382 U. S. 219-221.
(b) When the court rules on the merits of an NLRB order, the Act supports the view that the court, and not the agency, defines the public interest. P. 382 U. S. 221.
(c) This Court, and not the Labor Board, is the body having discretion to decide which cases are suitable vehicles to raise important issues on certiorari. P. 382 U. S. 221.
(d) As in the case of the charged party, the successful charging party should have the same right as an unsuccessful party in appearing before an appellate court. P. 382 U. S. 222.
No. 53, 339 F.2d 801, and No. 18, reversed and remanded. Page 382 U. S. 207
In No. 18 (Scofield), the Union Local was charged by four individual employees with violations of the National Labor Relations Act, as amended, 61 Stat. 136, 73 Stat. 519, 29 U.S.C. § 151 et seq. (1964 ed.), for fining certain Union members for exceeding incentive pay ceilings set by the Union. The General Counsel of the Board issued a complaint. After a full hearing, the Board dismissed the complaint, 145 N.L.R.B. 1097. The individual employees then sought review in the Seventh Circuit. The General Counsel filed an answer supporting the decision. At this point, the Union filed a timely motion of intervention, alleging that it would be directly affected should the appellate court set aside the Board's decision and direct the entry of a remedial order against it. Neither the individual employees nor the Board opposed intervention. A division of the Seventh Circuit denied the motion to intervene, but authorized the Union to file a brief as amicus curiae without leave to participate in oral argument. The Union sought review here, and we granted certiorari to review the denial of intervention because of the importance of the issue and the conflict among the courts of appeals, 379 U.S. 959. Further proceedings were stayed pending the completion of our review.
In No. 53 (Fafnir), the Local filed unfair labor practice charges against the Fafnir Bearing Company. The Page 382 U. S. 208 charging party alleged that the company had violated its statutory bargaining obligation by refusing to permit the contracting Union to conduct its own time studies of job operations in the plant. The Union allegedly needed to conduct these studies to ascertain whether it should proceed to arbitration. The General Counsel issued a complaint, a hearing was held, and the Board entered a cease and desist order against the company, 146 N.L.R.B. 1582. The company petitioned for review in the Second Circuit, and the Board filed a cross-petition for enforcement. The Union -- the successful party before the Board -- moved to intervene, alleging numerous grounds in support. Both the company and the Board opposed intervention. The Second Circuit denied the motion, although cognizant of the difficulties of the problem, and authorized the Union to file an amicus brief. Fafnir Bearing Co. v. NLRB, 339 F.2d 801. We granted certiorari, 380 U.S. 950, and consolidated Fafnir with Scofield in order to consider both facets of the intervention problem.
A threshold question concerns our jurisdiction to grant certiorari. Under § 1254(1) of the Judicial Code, [Footnote 1] only Page 382 U. S. 209 a "party" to a case in the Court of Appeals may seek review here. In both these cases, the Union seeking certiorari was denied intervention and relegated to the status of an amicus curiae. Because an amicus is not a "party" to the case, it would not have been entitled to file a petition to review a judgment on the merits by the Court of Appeals, Ex parte Leaf Tobacco Board, 222 U. S. 578, 222 U. S. 581; Ex parte Cutting, 94 U. S. 14, 94 U. S. 20-22. In view of our decision herein, we think that § 1254(1) permits us to review the orders denying intervention. See Railroad Trainmen v. Baltimore & O. R. Co., 331 U. S. 519.
"A person desiring to intervene in a case where the applicable Page 382 U. S. 210 statute does not provide for intervention shall file with the court and serve upon all parties a motion for leave to intervene. [Footnote 2]"
Lacking a clear directive on the subject, we look to the statutory design of the Act. Cf. Scripps-Howard Radio v. Commission, 316 U. S. 4, 316 U. S. 11. Of course, in considering the propriety of intervention in the courts of appeals, our discussion is limited to Labor Board review proceedings. Federal agencies are not fungibles for intervention purposes -- Congress has treated the matter with attention to the particular statutory scheme and agency.
In some instances, the words of the statute themselves elicit an answer. When the Board enters a final order against the charged party, it is clear that the phrase "[a]ny person aggrieved" in § 10(f) enables him to seek immediate review in the appropriate Court of Appeals. Alternatively, if the Board determines that a complaint should be dismissed, the charging party has a statutory right to review as a "person aggrieved." A hybrid situation occurs when the Board dismisses certain portions of the complaint and issues an order on others. As to that portion which results in a remedial order against him, the charged party is aggrieved; likewise, the charging party is aggrieved with respect to the portion of the decision dismissing the complaint. Each one is a "party" in a consolidated appeal, and has invariably been granted leave to intervene with regard to the portion of the order on which the Board found in his favor. [Footnote 3] Page 382 U. S. 211
Scofield serves as an example of another variant in review proceedings. The unsuccessful charging party to the Board proceedings petitioned for review, and the successful charged party wished to intervene. The vast majority of the courts have recognized his right to do so. [Footnote 4] Recognition of intervention rights in this instance is in complete accord with the statements in Ford Motor Co. v. Labor Board, 305 U. S. 364, 305 U. S. 369, 305 U. S. 373, that:
"* * * *" ". . . The jurisdiction to review the orders of the Labor Relations Board is vested in a court with equity powers, and while the court must act within the bounds of the statute and without intruding upon the administrative province, it may adjust its Page 382 U. S. 212 relief to the exigencies of the case in accordance with the equitable principles governing judicial action. The purpose of the judicial review is consonant with that of the administrative proceeding itself -- to secure a just result with a minimum of technical requirements. . . ."
To allow intervention to the charged party in the first appellate review proceeding is to avoid "unnecessary duplication of proceedings," and to adhere to the goal of obtaining "a just result with a minimum of technical requirements." Analysis of the Act's machinery in practice so indicates. A decision of the reviewing court to set aside a Board order dismissing a complaint has the effect of returning the case to the Board for further proceedings. This normally results in the Board's entering an order against the charged party. From this remedial order, as noted, the charged party is aggrieved, and may seek review. Judicial time and energy is then expended in pursuit of issues already resolved in the first appeal. [Footnote 5] Moreover, the second appeal could lead to undesirable Page 382 U. S. 213 "circuit shopping" and useless proliferation of judicial effort. Under § 10(f), an aggrieved person has the option of obtaining review either in the circuit in which he maintains his residence or place of business or in the Court of Appeals for the District of Columbia Circuit. In the second appellate proceeding, he could obtain a hearing in the circuit which did not originally decide the validity of the Board's dismissal of the complaint. Permitting intervention in the first review thus centralizes the controversy and limits it to a single decision, accelerating final resolution. This is in accord with one of the objectives of the Labor Act -- the prompt determination of labor disputes.
Permitting intervention also insures fairness to the would-be intervenor. If intervention is permitted, the parties to the Board proceedings are able to present their arguments on the issues to a reviewing court which has not crystallized its views. To be sure, if intervention is denied in the initial review proceeding, the charged party would not be bound by the decision under technical res judicata rules. Still, the salient facts having been resolved and the legal problems answered in this initial review, subsequent litigation serves little practical value to the potential intervenor. In the second appellate proceeding, the Court of Appeals would almost invariably defer to the initial decision as a matter of stare decisis or of comity. [Footnote 6] See, e.g., Henry I. Siegel Co., Inc. v. Labor Board, 340 Page 382 U. S. 214 F.2d 309; Zdanok v. Glidden Co., 327 F.2d 944, 949-950, cert. denied, 377 U.S. 934.
Allowing intervention does not affect the discretionary review powers of this Court. One occupying the status of intervenor in the Court of Appeals proceeding may seek certiorari from the decision there, Steelworkers v. Labor Board, 373 U.S. 908; 376 U. S. 492; International Union of Mine Workers v. Eagle-Picher Co., 325 U. S. 335, 325 U. S. 338-339. Denial of intervention in the initial review proceedings -- and the attendant remand to the Board and second appeal to the Court of Appeals -- only results in a delay of the time when the disaffected party may seek review here. Should we decide to grant certiorari, the first review would seem the more propitious time, since all the parties are then before the Court and the dispute has been fully developed without inconvenience to either private party. Steelworkers v. Labor Board, 376 U. S. 492, affords an apt illustration. The Court of Appeals had permitted intervention to the charged party, who sought review from the adverse decision there. We reversed unanimously. The Board itself had not sought certiorari, because
Memorandum for the NLRB, p. 2, filed in connection with the petition for certiorari, No. 89, October Term, 1963. Had the charged party been denied intervention in the Court of Appeals, the decision of the Government not to apply for certiorari -- unrelated to the merits of the cause -- would have unnecessarily postponed resolution on that important issue. [Footnote 7] Page 382 U. S. 215
In fact, the Labor Board itself agrees that intervention by charged parties will not impair effective discharge of its duties, and may well promote the public interest. The rights typically secured to an intervenor in a reviewing court -- to participate in designating the record, to participate in prehearing conferences preparatory to simplification of the issues, to file a brief, to engage in oral argument, to petition for rehearing in the appellate court or to this Court for certiorari -- are not productive of delay, nor do they cause complications in the appellate courts. Appellate records in Labor Board cases are generally complete, and whatever material the charged party may see fit to add to the appendix will not affect the burden in preparation. Participation in defining the issues before the court guarantees that all relevant material is brought to its attention, and makes the briefs on the merits more meaningful. The charged party is usually accorded the right as an amicus to file a brief on the merits even if denied intervention. Participation in oral argument does not necessarily enlarge the total time allocated, since parties aligned on the same side are usually required to share the time. [Footnote 8] And, as noted, petitioning for certiorari at this time has the salutary effect of insuring prompt adjudication. Further, if a charged party permitted to intervene decides to acquiesce in the Page 382 U. S. 216 decision or if certiorari is denied by this Court, it is likely that he will then stipulate to the entry of an order against him. This would obviate the need for supplemental agency or court proceedings. On the other hand, an amicus -- with the exception of the right to file a brief -- might be unable adequately to present all the relevant data to the court.
Additionally, helpful analogies may be found in the Judicial Review Act of 1950, governing intervention in the Courts of Appeals by private parties directly affected by agency orders, [Footnote 9] and in the Federal Rules of Civil Procedure. [Footnote 10] Page 382 U. S. 217 We take these provisions to mean that Congress has exhibited a concern that interested private parties be given a right to intervene and participate in the review proceedings involving the specified agency and its orders.
The problem of whether intervention should be granted to the successful charging party to the Labor Board proceedings presents considerations somewhat distinct from the case of the intervening charged party. Resolution of the problem is no easy matter, and it is understandable that the courts have divided on the issue. [Footnote 11] Still, we believe that Congress intended intervention rights to obtain.
The Board opposes intervention in Fafnir. A charged party may incur a liability on account of an order being entered against him. Fairness to him thus requires that Page 382 U. S. 218 he be allowed to intervene to preclude that possibility. On the other hand, the Board reasons, the charging party stands only to become a beneficiary of an order entered. [Footnote 12] As such, he is but another member of the public whose interests the Board is designed to serve. The Labor Board is said to be the custodian of the "public interest," to the exclusion of the so-called "private interests" at stake. Support for this view is claimed to be found in our decision in Amalgamated Utility Workers v. Consolidated Edison Co., 309 U. S. 261 (1940). Also, the Board fears that enabling the intervenor to petition for certiorari from an adverse circuit decision will be inimical to the public interest. We disagree.
In prior decisions, this Court has observed that the Labor Act recognizes the existence of private rights within the statutory scheme. [Footnote 13] These cases have, to be sure, emphasized the "public interest" factor. To employ the rhetoric of "public interest," however, is not to imply that the public right excludes recognition of parochial private interests. A perusal of the statutory scheme and of the Board's Rules and Regulations is illustrative. Page 382 U. S. 219
The statutory machinery begins with the filing of an unfair labor practice charge by a private person, § 10(b), 61 Stat. 146; see also 24 Fed.Reg. 9102 (1959), 29 CFR § 102.9 (1965). When the General Counsel issues a complaint and the proceeding reaches the adjudicative stage, the course the hearing will take is in the agency's control, but the charging party is accorded formal recognition: he participates in the hearings as a "party"; [Footnote 14] he may call witnesses and cross-examine others, may file exceptions to any order of the trial examiner, and may file a petition for reconsideration to a Board order, 28 Fed.Reg. 7973 (1963), as amended, 29 CFR § 102.46 (1965). Of course, if the Board dismisses the complaint, he can obtain review as a person aggrieved, which serves the "public interest" by guaranteeing that the Board interpretation of the relevant provisions accords with the intent of Congress. [Footnote 15] Page 382 U. S. 220
And that the charging party may have vital "private rights" in the Board proceeding is clear in this very case, which also involves, potentially, a breach of the parties' collective bargaining agreement. [Footnote 16] Under our decisions in the Steelworkers trilogy, 363 U. S. 564, 363 U. S. 574, 363 U. S. 593, and Carey v. Westinghouse Corp., 375 U. S. 261, the Union could take whatever contractual claim it had to arbitration and from there to a federal court. And while it is true that the rights and duties under § 301(a) of the Labor Act, 61 Stat. 156, are not coextensive with those redressed in Labor Board proceedings, a determination by an appellate court that the Union has no statutory right to conduct its own time studies will surely have an impact upon a later decision by an arbitrator or an appellate court under § 301(a) on the contractual issue.
In short, we think that the statutory pattern of the Labor Act does not dichotomize "public," as opposed to "private," interests. Rather, the two interblend in the intricate statutory scheme. [Footnote 17] Nor do we think that our holding in Amalgamated Utility Workers v. Consolidated Edison Co., 309 U. S. 261, casts doubt on these notions. The Court there held that private parties who initiated unfair labor practice charges may not prosecute a contempt action against the charged Page 382 U. S. 221 party in the court which enforces the Labor Board order. [Footnote 18] In the same case, the private parties had been permitted to intervene in the Court of Appeals when the merits of the Board's decision were at stake, 309 U.S. at 309 U. S. 263. We find nothing inconsistent in denying the right of a private party to institute a contempt proceeding -- where the Board's expertness in achieving compliance with orders is challenged -- and, on the other hand, in permitting intervention in a proceeding already in the court for decision. When the court is to rule on the merits of the Board's order, the Act supports the view that it is the court, and not the agency, which will define the public interest, see § 10(d), 49 Stat. 454, Ford Motor Co. v. Labor Board, 305 U. S. 364.
The Board also argues that permitting intervention will adversely affect its tactical or budgetary decision not to bring a case here for review. But the opportunity is open to the Board to advise this Court whether a case that the intervening charging party brings here is an appropriate vehicle to raise important issues. And Congress Page 382 U. S. 222 has entrusted to this Court, rather than the Labor Board, discretionary jurisdiction to review cases decided by the Courts of Appeals. [Footnote 19]
Many of the considerations which favor intervention in Scofield are also pertinent here. [Footnote 20] Of special note is the capriciousness we would have to ascribe to Congress in refusing to afford the successful party to a Labor Board proceeding an opportunity tantamount to that of the unsuccessful party in persuading an appellate court. The charging party, like the charged party, should not be prejudiced by his success before the agency. Accordingly, we reverse both cases and remand them to the respective courts for further proceedings.
Darlington Mfg. Co. v. Labor Board, 325 F.2d 682 (C.A.4th Cir.), vacated and remanded on other grounds sub nom. Textile Workers v. Darlington Co., 380 U. S. 263; Industrial Union of Marine & Shipbuilding Workers v. Labor Board, 320 F.2d 615 (C.A.3d Cir.); Labor Board v. Wooster Div. of Borg-Warner Corp., 236 F.2d 898 (C.A.6th Cir.); see also American Newspaper Publishers Assn. v. Labor Board, 190 F.2d 45 (C.A.7th Cir.).
Carrier Corp. v. Labor Board, 311 F.2d 135 (C.A.2d Cir.), reversed on other grounds sub nom. Steelworkers v. Labor Board, 376 U. S. 492; Local 1441, Retail Clerks International Assn. v. Labor Board, 117 U.S.App.D.C. 120, 326 F.2d 663; Amalgamated Clothing Workers of America v. Labor Board, 324 F.2d 228 (C.A.2d Cir.); Minnesota Milk Co. v. Labor Board, 314 F.2d 761 (C.A.8th Cir.); Great Western Broadcasting Corp. v. Labor Board, 310 F.2d 591 (C.A.9th Cir.); Selby-Battersby & Co. v. Labor Board, 259 F.2d 151 (C.A.4th Cir.); Kovach v. Labor Board, 229 F.2d 138 (C.A.7th Cir.). Contra, Superior Derrick Corp. v. Labor Board, 273 F.2d 891 (C.A.5th Cir.), cert. denied, 364 U.S. 816; Amalgamated Meat Cutters v. Labor Board, 267 F.2d 169 (C.A.1st Cir.), cert. denied, 361 U.S. 863; Haleston Drug Stores, Inc. v. Labor Board, 190 F.2d 1022 (C.A.9th Cir.).
In the rare instance in which the reviewing court does not abide by these principles, an even more aggravated situation could result. In the second review proceeding, if the now-successful charging party is denied intervention and the appellate court takes a different view of the applicable law, the charging party might later have the opportunity to seek review again as a "person aggrieved." Thus, three or even more review proceedings could be engendered out of the failure to permit intervention at the most convenient stage -- the initial review proceeding. Such an incongruous result should not be sanctioned in light of our statement in Ford Motor Co. v. Labor Board, 305 U. S. 364, 305 U. S. 370, that, although
The Federal Rules of Civil Procedure, of course, apply only in the federal district courts. Still, the policies underlying intervention may be applicable in appellate courts. Under Rule 24(a)(2) or Rule 24(b)(2), we think the charged party would be entitled to intervene. See Missouri-Kansas Pipe Line Co. v. United States, 312 U. S. 502, 312 U. S. 505-506; Textile Workers Union of America v. Allendale, 96 U.S.App.D.C. 401, 403-404, 266 F.2d 765, 767-768.
Labor Board v. Fansteel Metallurgical Corp., 306 U. S. 240, 306 U. S. 258; Phelps Dodge Corp. v. Labor Board, 313 U. S. 177, 313 U. S. 194; Nathanson v. Labor Board, 344 U. S. 25, 344 U. S. 27; Smith v. Evening News Assn., 371 U. S. 195. See Jaffe, The Individual Right to Initiate Administrative Process, 25 Iowa L.Rev. 485, 528-531 (1940).