§ 401.9 Labor organization.

"Labor organization” means a labor organization engaged in an industry affecting commerce and includes any organization of any kind, any agency, or employee representation committee, group, association, or plan so engaged in which employees participate and which exists for the purpose, in whole or in part, of dealing with employers concerning grievances, labor disputes, wages, rates of pay, hours, or other terms or conditions of employment, and any conference, general committee, joint or system board, or joint council so engaged which is subordinate to a national or international labor organization, other than a State or local central body.

§ 401.10 Labor organization engaged in an industry affecting commerce.

A labor organization shall be deemed to be engaged in an industry affecting commerce if it

(a) Is the certified representative of employees under the provisions of the National Labor Relations Act, as amended, or the Railway Labor Act, as amended; or

(b) Although not certified, is a national or international labor organization or a local labor organization recognized or acting as the representative of employees of an employer or employers engaged in an industry affecting commerce; or

(c) Has chartered a local labor organization or subsidiary body which is representing or actively seeking to represent employees of employers within the meaning of paragraph (a) or (b) of this section; or

(d) Has been chartered by a labor organization representing or actively seeking to represent employees within the meaning of paragraph (a) or (b) of this section as the local or subordinate body through which such employees may enjoy membership or become affiliated with such labor organization; or

(e) Is a conference, general committee, joint or system board, or joint council, subordinate to a national or international labor organization, which includes a labor organization engaged in an industry affecting commerce within the meaning of any of the preceding paragraphs of this section, other than a State or local central body.

§ 401.12

Trust in which a labor organization is interested.

"Trust in which a labor organization is interested" means a trust or other fund or organization (a) which was created or established by a labor organization, or one or more of the trustees or one or more members of the governing body of which is selected or appointed by a labor organization, and (b) a primary purpose of which is to provide benefits for the members of such labor organization or their beneficiaries.

§ 401.13 Labor relations consultant.

"Labor relations consultant" means any person who, for compensation, advises or represents an employer, employer organization, or labor organization concerning employee organizing, concerted activities, or collective bargaining activities.

§ 401.14 Officer.

"Officer" means any constitutional officer, any person authorized to perform the functions of president, vice president, secretary, treasurer, or other executive functions of a labor organization, and any member of its executive board or similar governing body.

§ 401.15 Member or member in good standing.

"Member" or "member in good standing", when used in reference to a labor organization, includes any person who has fulfilled the requirements for membership in such organization, and who neither has voluntarily withdrawn from membership nor has been expelled or suspended from membership after appropriate proceedings consistent with lawful provisions of the constitution and bylaws of such organization.

§ 402.1

Labor organization constitution and bylaws.

Every labor organization shall adopt a constitution and bylaws consistent with the provisions of the Act applicable thereto, not later than December 14, 1959, or within 90 days after the date the labor organization first becomes subject to the Act, whichever is later. This shall not, however, require the formal readoption by a labor organization of such a constitution and bylaws which it has previously adopted and under which it is operating when the report prescribed by § 402.2 is filed. As used in this part "constitution and bylaws" means the basic written rules governing the organization.

§ 402.2 Labor organization initial information report.

Every labor organization shall file a report signed by its president and secretary or corresponding principal officers containing the information required to

be filed by section 201(a) of the Act, and found necessary to be reported under section 208 thereof by the Labor-Management Services Administrator, on the following United States Department of Labor Form LM-11 entitled, "Labor Organization Information Report". There shall be attached to such report and made a part thereof a copy of the constitution and bylaws adopted by the reporting labor organization.

§ 402.3 Filing of initial reports.

(a) Every labor organization shall file with the Director, Office of Labor-Management and Welfare-Pension Reports, U.S. Department of Labor, Washington, D.C., 20210, the report and (subject to the provisions of paragraph (b) of this section, where applicable) a copy of its constitution and bylaws required by section 201(a) of the Act and § 402.2, togetl er with one additional copy of each, not later than December 14, 1959, or within 90 days after the date on which it first becomes subject to the Act, whichever is later.

(b) A labor organization subject to paragraph (a) of this section may adopt or may have adopted as its constitution and bylaws (whether by formal action or by virtue of affiliation with a parent organization) a constitution and bylaws of a national or international labor organization which the national or international organization is required to file under section 201(a) of the Act and this part. In such a case, a filing by the national or international labor organization of copies of such constitution and bylaws will be accepted as a filing of such documents by each such adopting labor organization within the meaning of section 201(a) of the Act and this part, if the following conditions are met: (1) The national or international labor organizations shows in its report filed under paragraph (a) of this section that copies of its constitution and bylaws are being filed on behalf of such adopting organizations as well as on its own behalf, and files such number of additional copies as the Director, Office of Labor-Management and Welfare-Pension Reports, may request for publication in accordance with § 2.4 of this title; and (2) the adopting labor organization shows in its report filed under paragraph (a) of this section that the national or international constitution and bylaws are also its constitu

1 Filed as part of the original document.

tion and bylaws and that copies are filed on its behalf by the national or international labor organization. If the constitution and bylaws of the adopting labor organization include other documents, this shall be shown in such report and copies shall be filed as provided in paragraph (a) of this section.

§ 402.4 Subsequent reports.

(a) Any change in the information or the content of the documents, or both, required to be filed initially by every labor organization under section 201(a) of the Act which has not previously been reported, shall be reported to the Director, Office of Labor-Management and Welfare-Pension Reports, U.S. Department of Labor, Washington, D.C., 20210, in Items 13, 14, 15, Schedule 8, and where necessary Item 18 of United States Department of Labor Form LM-2 (Revised), entitled "Labor Organization Annual Report," at the same time that the reporting labor organization files with such office its annual financial report required by section 201(b) of the Act and §§ 403.2 and 403.3 of this chapter, for the fiscal year during which the said change occurred. This report shall be signed by the president and treasurer or corresponding principal officers of the labor organization filing the report.

(b) Labor organizations which qualify to use Form LM-3 (Revised) and file their annual financial report on that form shall file the report required by paragraph (a) of this section by submitting the information called for in Items 13, 14, 15, 40, and, where necessary, Item 41 of Form LM-3 (Revised).

§ 402.5 Terminal reports.

(a) Any labor organization required to file reports under the provisions of this part, which ceases to exist by virtue of dissolution or any other form of termination of its existence as a labor organization, or which loses its identity as a reporting labor organization through merger, consolidation or otherwise, shall file a report containing a detailed statement of the circumstances and effective date of such termination or loss of reporting identity, and if the latter, such report shall also state the name and mailing address of the labor organization into which it has been consolidated, merged, or otherwise absorbed. Such report shall be submitted on Form LM2 (Revised) in connection with the terminal financial report required by

§ 403.5 of this chapter and shall be signed by the president and treasurer, or corresponding principal officers, of the labor organization at the time of its termination or loss of reporting identity and, together with a copy thereof, shall be filed with the Director, Office of Labor-Management and Welfare-Pension Reports, at the place aforesaid, within 30 days of the effective date of such termination or loss of reporting identity, as the case may be.

(b) Labor organizations which qualify to use Form LM-3 (Revised), the Labor Organization Annual Report, pursuant to §§ 403.4 and 403.5 of this chapter may file the terminal report called for in this section on Form LM-3 (Revised). This report must be signed by the president and treasurer, or corresponding principal officers, of the labor organization. § 402.6 Receipt of reports and docu

ments.

Upon receipt of all reports and documents submitted for filing under the provisions of this part, the Office of Labor-Management and Welfare-Pension Reports shall assign to the initial information report filed by each labor organization, an identifying number. This number thereafter shall be entered by the reporting labor organization on all subsequent or terminal reports and all other documents which it thereafter submits for filing under this part, as well as on all communications directed to the Office concerning such reports and documents.

§ 402.7 Effect of acknowledgment and filing by the Office of Labor-Management and Welfare-Pension Reports. Acknowledgment by the Office of Labor-Management and Welfare-Pension Reports of the receipt of reports and documents submitted for filing under this part, is intended solely to inform the sender of the receipt thereof by the Office, and neither such acknowledgment nor the filing of such reports and documents by the Office constitutes express or implied approval thereof, or in any manner indicates that the content of any such report or document fulfills the reporting or other requirements of the Act, or of the regulations in this chapter, applicable thereto. § 402.8

Personal responsibility of signatories of reports.

Each individual required to sign any report under section 201(a) of the Act

Every person required to file any report under this part shall maintain records on the matters required to be reported which will provide in sufficient detail the necessary basic information and data from which the documents filed with the Office of Labor-Management and Welfare-Pension Reports may be verified,

explained or clarified, and checked for accuracy and completeness, and shall include vouchers, worksheets, receipts, and applicable resolutions, and shall keep such records available for examination for a period of not less than five years after the filing of the documents based on the information which they contain. § 402.10

Dissemination and verification

of reports.

Every labor organization required to submit a report under section 201(a) of the Act and under this part shall make available to all its members the information required to be contained in such report, including the copy of the constitution and bylaws required to be filed therewith, and every such labor organization and its officers shall be under a duty to permit such member for just cause to examine any books, records, and accounts necessary to verify such report and constitution and bylaws.

§ 402.11 Attorney-client communications

exempted.

Nothing contained in this part shall be construed to require an attorney who is a member in good standing of the bar of any State, to include in any report required to be filed pursuant to the provisions of section 201(a) of the Act, and of this part, any information which was lawfully communicated to such attorney by any of his clients in the course of a legitimate attorney-client relationship.

§ 402.12 Publication of reports required by this part.

Inspection and examination of any report or other document filed as required by this part, and the furnishing by the Office of Labor-Management and Wel

fare-Pension Reports of copies thereof to any person requesting them, shall be governed by § 2.4 of this title.

PART 403-LABOR ORGANIZATION ANNUAL FINANCIAL REPORTS

Sec.

403.1

403.2

403.3

403.4

403.5

403.6

403.7

403.8

403.9

Fiscal year for reports required by this part.

Annual financial report.

Form of annual financial reportdetailed report.

Simplified annual report form for smaller labor organizations. Terminal financial report.

Personal responsibility of signatories of reports.

Maintenance and retention of records.

Dissemination and verification of reports.

Attorney-client communications exempted.

403.10 Publication of reports required by this part.

AUTHORITY: §§ 403.1 to 403.10 issued under secs. 201, 208, 301, 73 Stat. 524, 529, 530; 29 U.S.C. 431, 438, 461; Secretary's Order No. 24-63 (28 F.R. 9172) and Secretary's Order No. 25-63 (28 F.R. 9173).

SOURCE: $ 403.1 to 403.10 appear at 28 F.R. 14383, Dec. 27, 1963.

§ 403.1 Fiscal year for reports required by this part.

(a) As used in this part, unless otherwise defined, the term "fiscal year" means the calendar year or other period of 12 consecutive calendar months, on the basis of which financial accounts are kept by a labor organization reporting under this part. Where a labor organization designates a new fiscal year period prior to the expiration of a previously established fiscal year period, the resultant period of less than 12 consecutive calendar months, and thereafter the newly established fiscal year, shall in that order each constitute a fiscal year for purposes of the report required to be filed by section 201(b) of the Act, and of the regulations in this part.

(b) A labor organization which is subject to section 201(b) of the Act for only a portion of its fiscal year because the date of enactment of the Act (September 14, 1959) occurred during such fiscal year or because the labor organization otherwise first becomes subject to the Act during such fiscal year, may consider such portion as the entire fiscal year in making its report under this part.

(a) Every labor organization shall, as prescribed by the regulations in this part, file with the Director, Office of LaborManagement and Welfare-Pension Reports, United States Department of Labor, Washington, D.C., 20210, within 90 days after the end of each of its fiscal years, a financial report signed by its president and treasurer, or corresponding principal officers, together with a true copy thereof.

(b) Every labor organization shall include in its annual financial report filed as provided in paragraph (a) of this section, in such detail as may be necessary accurately to disclose its financial condition and operations for its preceding fiscal year and in such categories as prescribed by the Labor-Management Services Administrator under the provisions of this part, the information required by section 201(b) of the Act and found by the Labor-Management Services Administrator under section 208 thereof to be necessary in such report.

(c) If, on the date for filing the annual financial report of a labor organization required under section 201(b) of the Act and this section, such labor organization is in trusteeship, the labor organization which has assumed trusteeship over such labor organization shall file such report as provided in § 408.5 of this chapter.

§ 403.4

Simplified annual report form for smaller labor organizations.

If a labor organization, not in trusteeship, has gross annual receipts totalling less than $30,000 for its fiscal year, it may elect, subject to revocation of the privileges as provided in section 208 of the Act, to file the annual financial report called for in section 201(b) of the Act and § 403.3 of this part on United States Department of Labor Form LM-3 (revised) entitled "Labor Organization Annual Report (Revised)," in accordance

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with the instructions accompanying such form and constituting a part thereof. § 403.5 Terminal financial report.

(a) Any labor organization required to file a report under the provisions of this part, which during its fiscal year loses its identity as a reporting labor organization through merger, consolidation, or otherwise, shall, within 30 days after such loss, file a terminal financial report, and one copy, with the Director, Office of Labor-Management and Welfare-Pension Reports, United States Department of Labor, Washington, D.C., 20210, on Form LM-2 (Revised) or Form LM-3 (Revised), as may be appropriate, signed by the president and treasurer or corresponding principal offices of the labor organization immediately prior to the time of its loss of reporting identity.

(b) Every labor organization which has assumed trusteeship over a subordinate labor organization shall file within 90 days after the termination of such trusteeship on behalf of the subordinate labor organization a terminal financial report, and one copy, with the Director, Office of Labor-Management and Welfare-Pension Reports, at the place aforesaid, on Form LM-2 (Revised) and in conformance with the requirements of this part.

(c) For purposes of the reports required by paragraphs (a) and (b) of this section, the period covered thereby shall be the portion of the labor organization's fiscal year ending on the effective date of its loss of reporting identity, or the portion of the subordinate labor organization's fiscal year ending on the effective date of the termination of trusteeship over such subordinate labor organization, as the case may be.

§ 403.6 Personal responsibility of signa. tories of reports.

Each individual required to sign a report under section 201(b) of the Act and under this part shall be personally responsible for the filing of such report and for any statement contained therein which he knows to be false.

§ 403.7 Maintenance and retention of

records.

Every person required to file any report under this part shall maintain records on the matters required to be reported which will provide in sufficient detail the necessary basic information and data from which the documents filed