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CHAPTER IV-OFFICE OF LABOR-MANAGEMENT

AND WELFARE-PENSION REPORTS,

DEPARTMENT OF LABOR

SUBCHAPTER A-LABOR-MANAGEMENT REPORTS

Part 401 402 403 404 405 406

408 417 451

Meaning of terms used in this subchapter.
Labor organization information reports.
Labor organization annual financial reports.
Labor organization officers and employees report.
Employer reports.
Reporting by labor relations consultants and other persons, certain agree-

ments with employers.
Labor organization trusteeship reports.
Procedure for removal of local labor organization officers.
Labor organizations as defined in the Labor-Management Reporting and

Disclosure Act of 1959.
General statement concerning the election provisions of the Labor-Manage-

ment Reporting and Disclosure Act of 1959.
General statement concerning the bonding requirements of the Labor-Man-

agement Reporting and Disclosure Act of 1959.

452

453

SUBCHAPTER B-WELFARE-PENSION REPORTS

460 Filing of description of employee welfare or pension benefit plans—annual

reports. 461 Certification of information by insurance carriers or service or other

organizations. 462 Variation from publication requirements. 463 Welfare and pension plans with less than 100 participants. 464 Basic bonding requirements. 465 Exemption from bonding requirements. 485 Prohibition against bonding by parties interested in the plan. 486 General statement concerning the retention of records provisions of the Wel

fare and Pension Plans Disclosure Act. 487-499 [Reserved]

SUBCHAPTER A-LABOR-MANAGEMENT REPORTS

PART 401-MEANING OF TERMS

USED IN THIS SUBCHAPTER Sec. 401.1 Commerce. 401.2 State. 401.3 Industry affecting commerce. 401.4 Person. 401.5 Employer. 401.6 Employee. 401.7 Labor dispute. 401.8 Trusteeship. 401.9 Labor organization. 401.10 Labor organization engaged in an

industry affecting commerce. 401.11 Secret ballot. 401.12 Trust in which a labor organization

is interested. 401.13 Labor relations consultant. 401.14 Officer. 401.15 Member or member in good standing. 401.16 Secretary. 401.17 Act. 401.18 Office.

AUTHORITY: The provisions of this part 401 issued under secs. 3, 208, 301, 401, 402, 73 Stat. 520, 529, 530, 532, 534; 29 U.S.C. 402, 438, 461, 481, 482; Secretary's Order No. 24–63 (28 F.R. 9172).

SOURCE: The provisions of this part 401 appear at 28 F.R. 14380, Dec. 27, 1963, unless otherwise noted. § 401.1 Commerce.

“Commerce" means trade, traffic, commerce, transportation, transmission, or communication among the several States or between any State and any place outside thereof. § 401.2 State.

“State" includes any State of the United States, the District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, Guam, Wake Island, the Canal Zone, and Outer Continental Shelf lands defined in the Outer Continental Shelf Lands Act (43 U.S.C. 1331-1343). $ 401.3 Industry affecting commerce.

"Industry affecting commerce" means any activity, business, or industry in commerce or in which a labor dispute would hinder or obstruct commerce or the free flow of commerce and includes any activity or industry “affecting commerce” within the meaning of the Labor Management Relations Act, 1947, as amended, or the Railway Labor Act, as amended. § 401.4 Person.

“Person” includes one or more individuals, labor organizations, partnerships,

associations, corporations, legal representatives, mutual companies, jointstock companies, trusts, unincorporated organizations, trustees, trustees in bank ruptcy, or receivers. $ 401.5 Employer.

"Employer" means any employer or any group or association of employers engaged in an industry affecting commerce (a) which is, with respect to employees engaged in an industry affecting commerce, an employer within the meaning of any law of the United States relating to the employment of any employees or (b) which may deal with any labor organization concerning grievances, labor disputes, wages, rates of pay, hours of employment, or conditions of work, and includes any person acting directly or indirectly as an employer or as an agent of an employer in relation to an employee but does not include the United States or any corporation wholly owned by the Government of the United States or any State or political subdivision thereof. § 401.6 Employee.

"Employee” means any individual employed by an employer, and includes any individual whose work has ceased as a consequence of, or in connection with, any current labor dispute or because of any unfair labor practice or because of exclusion or expulsion from a labor organization in any manner or for any reason inconsistent with the requirements of this Act. § 401.7 Labor dispute.

“Labor dispute” includes any controversy concerning terms, tenure, or conditions of employment, or concerning the association or representation of persons in negotiating fixing, maintaining, changing, or seeking to arrange terms or conditions of employment, regardless of whether the disputants stand in the proximate relation of employer and employee. $ 401.8 Trusteeship.

“Trusteeship” means any receivership, trusteeship, or other method of supervision or control whereby a labor organization suspends the autonomy otherwise available to a subordinate body under its constitution or bylaws.

& 401.9 Labor organization.

§ 401.11 Secret ballot. “Labor organization" means a labor "Secret ballot” means the expression organization engaged in an industry af- by ballot, voting machine, or otherwise, fecting commerce and includes any but in no event by proxy, of a choice with organization of any kind, any agency, respect to any election or vote taken upon or employee representation committee, any matter, which is cast in such a group, association, or plan so engaged manner that the person expressing such in which employees participate and choice cannot be identified with the which exists for the purpose, in whole choice expressed. or in part, of dealing with employers

§ 401.12 Trust in which a labor organi. concerning grievances, labor disputes,

zation is interested. wages, rates of pay, hours, or other terms or conditions of employment, and any

“Trust in which a labor organization conference, general committee, joint or

is interested” means a trust or other system board, or joint council so engaged

fund or organization (a) which was which is subordinate to a national or

created or established by a labor orgainternational labor organization, other

nization, or one or more of the trustees or

one or more members of the governing than a State or local central body.

body of which is selected or appointed § 401.10 Labor organization engaged in by a labor organization, and (b) a prian industry affecting commerce. mary purpose of which is to provide

benefits for the members of such labor A labor organization shall be deemed

organization or their beneficiaries. to be engaged in an industry affecting commerce if it

§ 401.13 Labor relations consultant. (a) Is the certified representative of "Labor relations consultant” means employees under the provisions of the

any person who, for compensation, adNational Labor Relations Act, as

vises or represents an employer, emamended, or the Railway Labor Act, as

ployer organization, or labor organizaamended; or

tion concerning employee organizing, (b) Although not certified, is a na

concerted activities, or collective bartional or international labor organiza- gaining activities. tion or a local labor organization

§ 401.14 Officer. recognized or acting as the representative of employees of an employer or em

“Officer" means

any constitutional ployers engaged in an industry affecting officer, any person authorized to perform

the functions of president, vice president, commerce; or (c) Has chartered a local labor orga

secretary, treasurer, or other executive

functions of a labor organization, and nization or subsidiary body which is

any member of its executive board or representing actively seeking to

similar governing body. represent employees of employers within

$ 401.15 Member or member in good the meaning of paragraph (a) or (b)

standing. of this section; or

(d) Has been chartered by a labor "Member" or "member in good standorganization representing or actively ing”, when used in reference to a labor

organization, includes any person who seeking to represent employees within

has fulfilled the requirements for memthe meaning of paragraph (a) or (b) of

bership in such organization, and who this section as the local or subordinate

neither has voluntarily withdrawn from body through which such employees may

membership nor has been expelled or enjoy membership or become affiliated

suspended from membership after apwith such labor organization; or

propriate proceedings consistent with (e) Is a conference, general commit

lawful provisions of the constitution and tee, joint or system board, or joint coun

bylaws of such organization. cil, subordinate to a national or inter

§ 401.16 Secretary, national labor organization, which includes a labor organization engaged in

“Secretary" means the Secretary of

Labor. an industry affecting commerce within the meaning of any of the preceding § 401.17 Act. paragraphs of this section, other than a "Act” means the Labor-Management State or local central body.

Reporting and Disclosure Act of 1959.

51-058—66 - 11

or

& 401.18 Office.

be filed by section 201(a) of the Act, and Ofice" means the Office of Labor

found necessary to be reported under Management and Welfare-Pension Re

section 208 thereof by the Labor-Manports, United States Department of

agement Services Administrator, on the

following United States Department of Labor.

Labor Form LM-1' entitled, “Labor Or

ganization Information Report”. There PART 402_LABOR ORGANIZATION

shall be attached to such report and INFORMATION REPORTS

made a part thereof a copy of the conSec.

stitution and bylaws adopted by the re402.1 Labor organization constitution and

porting labor organization. bylaws. 402.2 Labor organization initial informa- $ 402.3 Filing of initial reports.

tion report. 402.3

(a) Every labor organization shall file Filing of initial reports. 402.4 Subsequent reports.

with the Director, Office of Labor-Man402.5 Terminal reports.

agement and Welfare-Pension Reports, 402.6 Receipt of reports and documents. U.S. Department of Labor, Washington, 402.7 Effect of acknowledgment and filing D.C., 20210, the report and (subject to

by the Office Labor-Management the provisions of paragraph (b) of this and Welfare-Pension Reports.

section, where applicable) a copy of its 402.8 Personal responsibility of signatories

constitution and bylaws required by secof reports. 402.9 Maintenance and retention of rec

tion 201(a) of the Act and § 402.2, toords.

gether with one additional copy of each, 402.10 Dissemination and verification of

not later than December 14, 1959, or reports.

within 90 days after the date on which 402.11 Attorney-client communications ex- it first becomes subject to the Act, whichempted.

ever is later. 402.12 Publication of reports required by this part.

(b) A labor organization subject to

paragraph (a) of this section may adopt AUTHORITY: The provisions of this part 402 or may have adopted as its constitution issued under secs. 201, 208, 73 Stat. 524, 529,

and bylaws (whether by formal action or 29 U.S.C. 431, 438; Secretary's Order No. 2463 (28 F.R. 9172), and Secretary's Order No.

by virtue of affiliation with a parent 25-63 (28 F.R. 9173).

organization) a constitution and bylaws

of a national or international labor orSOURCE: The provisions of this part 402

ganization which the national or interappear at 28 F.R. 14381, Dec. 27, 1963, unless otherwise noted.

national organization is required to file

under section 201(a) of the Act and this § 402.1 Labor organization constitution part. In such a case, a filing by the and bylaws.

national or international labor organiEvery labor organization shall adopt a

zation of copies of such constitution and constitution and bylaws consistent with

bylaws will be accepted as a filing of such the provisions of the Act applicable

documents by each such adopting labor thereto, not later than December 14,

organization within the meaning of sec1959, or within 90 days after the date the

tion 201(a) of the Act and this part, if labor organization first becomes subject

the following conditions are met: (1) The to the Act, whichever is later. This shall

national or international labor organizanot, however, require the formal readop

tions shows in its report filed under tion by a labor organization of such a

paragraph (a) of this section that copies constitution and bylaws which it has

of its constitution and bylaws are being previously adopted and under which it is

filed on behalf of such adopting organioperating when the report prescribed by

zations as well as on its own behalf, and $ 402.2 is filed. As used in this part

files such number of additional copies as “constitution and bylaws" means the

the Director, Office of Labor-Managebasic written rules governing the orga

ment and Welfare-Pension Reports, may nization.

request for publication in accordance

with $ 2.4 of this title; and (2) the adopt§ 402.2 Labor organization initial infor- ing labor organization shows in its report mation report.

filed under paragraph (a) of this section Every labor organization shall file a that the national or international constireport signed by its president and secre- tution and bylaws are also its constitutary or corresponding principal officers containing the information required to 1 Filed as part of the original document.

tion and bylaws and that copies are filed $ 403.5 of this chapter and shall be on its behalf by the national or interna- signed by the president and treasurer, tional labor organization. If the consti- or corresponding principal officers, of the tution and bylaws of the adopting labor labor organization at the time of its organization include other documents, termination or loss of reporting identity this shall be shown in such report and and, together with a copy thereof, shall copies shall be filed as provided in para- be filed with the Director, Office of graph (a) of this section.

Labor-Management and Welfare-Pen$ 402.4 Subsequent reports.

sion Reports, at the place aforesaid,

within 30 days of the effective date of (a) Any change in the information or such termination or loss of reporting the content of the documents, or both, identity, as the case may be. required to be filed initially by every (b) Labor organizations which qualify labor organization under section 201(a)

to use Form LM-3 (Revised), the Labor of the Act which has not previously been Organization Annual Report, pursuant reported, shall be reported to the Direc- to $ $ 403.4 and 403.5 of this chapter may tor, Office of Labor-Management and file the terminal report called for in this Welfare-Pension Reports, U.S. Depart- section on Form LM-3 (Revised). This ment of Labor, Washington, D.C., 20210,

report must be signed by the president in Items 13, 14, 15, Schedule 8, and where and treasurer, or corresponding princinecessary Item 18 of United States De

pal officers, of the labor organization. partment of Labor Form LM-2 (Revised), entitled “Labor Organization An

§ 402.6 Receipt of reports and docu.

ments. nual Report,” at the same time that the reporting labor organization files with Upon receipt of all reports and docusuch office its annual financial report ments submitted for filing under the required by section 201(b) of the Act and provisions of this part, the Office of La$ $ 403.2 and 403.3 of this chapter, for bor-Management and Welfare-Pension the fiscal year during which the said Reports shall assign to the initial inchange occurred. This report shall be formation report filed by each labor orsigned by the president and treasurer ganization, an identifying number. This or corresponding principal officers of the number thereafter shall be entered by labor organization filing the report. the reporting labor organization on all

(b) Labor organizations which qualify subsequent or terminal reports and all to use Form LM-3 (Revised) and file other documents which it thereafter subtheir annual financial report on that mits for filing under this part, as well form shall file the report required by as on all communications directed to the paragraph (a) of this section by sub- Office concerning such reports and documitting the information called for in ments. Items 13, 14, 15, 40, and, where neces

§ 402.7 Effect of acknowledgment and sary, Item 41 of Form LM-3 (Revised).

filing by the Office of Labor-Manage§ 402.5 Terminal reports.

ment and Welfare-Pension Reports. (a) Any labor organization required to

Acknowledgment by the Office of file reports under the provisions of this

Labor-Management and Welfare-Penpart, which ceases to exist by virtue of

sion Reports of the receipt of reports dissolution or any other form of termi

and documents submitted for filing unnation of its existence as a labor organi

der this part, is intended solely to inzation, or which loses its identity as a

form the sender of the receipt thereof reporting labor organization through

by the Office, and neither such acknowlmerger, consolidation or otherwise, shall

edgment nor the filing of such reports file a report containing a detailed state

and documents by the Office constitutes ment of the circumstances and effective express or implied approval thereof, or date of such termination or loss of re

in any manner indicates that the conporting identity, and if the latter, such

tent of any such report or document fulreport shall also state the name and

fills the reporting or other requirements mailing address of the labor organiza

of the Act, or of the regulations in this tion into which it has been consolidated,

chapter, applicable thereto. merged, or otherwise absorbed. Such $ 402.8 Personal responsibility of signareport shall be submitted on Form LM

tories of reports. 2 (Revised) in connection with the Each individual required to sign any terminal financial report required by report under section 201(a) of the Act

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