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Management and Welfare-Pension Re- otherwise subject to such reporting reports, may require from employers sub- quirements, are required to be reported ject to the Act the submission of special if they have been engaged in during the reports on pertinent information, includ. course of the reporting fiscal year. Howing but not necessarily confined to re- ever, the information required to be reports with respect to specifically iden- ported in Part D of Form LM-10 does not tified personnel on the matters referred include matters protected by section to in the second box in Part B of Form 8(c) of the National Labor Relations Act, LM-10.

as amended, because the definition in

section 203(g) of the term "interfere § 405.6 Exceptions from the filing re

with, restrain, or coerce", which is used quirements of $ 405.2.

in Part D, does not cover such matters. Nothing contained in this part shall be construed to require:

§ 405.8 Personal responsibility of signa

tories of reports. (a) An employer to file a report unless said employer has made an expenditure, Each individual required to sign a repayment, loan, agreement, or arrange- port under section 203(a) of the Act and ment of the kind described in section under this part shall be personally re203(a) of the Act;

sponsible for the filing of such report (b) Any employer to file a report cov- and for any statement contained therein ering the services of any person by rea- which he knows to be false. son of his (1) giving or agreeing to give

§ 405.9 Maintenance and retention of advice to such employer or (2) represent

records. ing or agreeing to represent such employer before any court, administrative Every person required to file any reagency, or tribunal of arbitration or (3) port under this part shall maintain engaging or agreeing to engage in col

records on the matters required to be lective bargaining on behalf of such em. reported which will provide in sufficient ployer with respect to wages, hours, or

detail the necessary basic information other terms or conditions of employment

and data from which the documents or the negotiation of an agreement or

filed with the Office of Labor-Manageany question arising thereunder;

ment and Welfare-Pension Reports may (c) Any employer to file a report cov

be verified, explained or clarified, and ering expenditures made to any regular

checked for accuracy and completeness, officer, supervisor, or employee of an em

and shall include vouchers, worksheets, ployer as compensation for service as a

receipts, and applicable resolutions, and regular officer, supervisor, or employee

shall keep such records available for exof such employer;

amination for a period of not less than (d) An attorney who is a member in

five years after the filing of the docugood standing of the bar of any State,

ments based on the information which to include in any report required to be

they contain. filed pursuant to the provisions of this § 405.10 Publication of reports required part any information which was law

by this part. fully communicated to such attorney by

Inspection and examination of any reany of his clients in the course of a legitimate attorney-client relationship.

port or other document filed as required

by this part, and the furnishing by the § 405.7 Relation of section 8(c) of the Office of Labor-Management and Wel

National Labor Relations Act, as fare-Pension Reports of copies thereof to amended, to the reporting require. any person requesting them, shall be ments of 8 405.2.

governed by $ 2.4 of this title. While nothing contained in section 203 of the Act shall be construed as an PART 406_REPORTING BY LABOR amendment to, or modification of the

RELATIONS CONSULTANTS AND rights protected by, section 8(c) of the National

OTHER PERSONS, CERTAIN AGREELabor Relations Act, as amended, activities protected by such

MENTS WITH EMPLOYERS section of the said Act are not for that Sec. reason exempted from the reporting re

406.1 Definitions.

406.2 Agreement and activities report. quirements of section 203(a) of the

406.3 Receipts and disbursements report. Labor-Management Reporting and Dis

406.4 Terminal report. closure Act of 1959 and § 405.2, and, if 406.5 Persons excepted from filing reports.

Sec.

persons who have undertaken activities 406.6 Relation of section 8(c) of the Na- at the behest of another or of others tional Labor Relations Act to this

with knowledge or reason to believe that part.

they are undertaken as a result of an 406.7 Personal responsibility of signatories of reports.

agreement or arrangement between an 406.8 Maintenance and retention of records.

employer and any other person, except 406.9 Publication of reports required by

bona fide regular officers, supervisors or this part.

employees of their employer to the exAUTHORITY: The provisions of this part 406

tent to which they undertook to perform issued under secs. 203, 207, 208, 73 Stat. 526,

services as such bona fide regular officers, 529; 29 U.S.C. 433, 437, 438; Secretary's Order supervisors or employees of their emNo. 24-63 (28 F.R. 9172), and Secretary's ployer. Order No. 25–63 (28 F.R. 9173).

§ 406.2 Agreement and activities report. SOURCE: The provisions of this part 406 appear at 28 F.R. 14385, Dec. 27, 1963, unless (a) Every person who as a direct or otherwise noted.

indirect party to any agreement or ar

rangement with an employer undertakes, § 406.1 Definitions.

pursuant to such agreement or arrangeAs used in this part, the term:

ment, any activities where an object (a) “Corresponding principal officers"

thereof is, directly or indirectly, (1) to means any person or persons perform- persuade employees to exercise or not ing or authorized to perform, principal to exercise, or persuade employees as to executive functions corresponding to

the manner of exercising, the right to those of president and treasurer of any

organize and bargain collectively entity engaged in whole or in part in the

through representatives of their own performance of the activities described choosing; or, (2) to supply an employer in section 203(b) of the Labor-Manage

with information concerning the activiment Reporting and Disclosure Act

ties of employees or a labor organization of 1959.

in connection with a labor dispute in(b) (1) "Fiscal year” means the calen

volving such employer, except informadar year or other period of 12 consecu

tion for use solely in conjunction with tive calendar months, on the basis of

an administrative or arbitral proceeding which financial accounts are kept by a

or a criminal or civil judicial proceedperson. Where a person designated a

ing; shall, as prescribed by the regulanew fiscal year prior to the expiration of

tions in this part, file a report with the a previously established fiscal year pe

Director, Office of Labor-Management riod, the resultant period of less than 12

and Welfare-Pension Reports, United consecutive calendar months, and there

States Department of Labor, Washingafter the newly established fiscal year,

ton, D.C., 20210, and one copy thereof,

on Form LM-20' entitled “Agreement shall in that order constitute the fiscal

and Activities Report (required of peryears.

sons, including labor relations consul(2) A person who is subject to section

tants and other individuals and organi203(b) of the Act for only a portion of

zations)” in the detail required by such his fiscal year because the date of en

form and the instructions accompanying actment of the Act (September 14, 1959) occurred during such fiscal year or be

such form and constituting a part therecause such person otherwise first be

of. The report shall be filed within 30 comes subject to the Act during such

days after entering into an agreement or fiscal year, may consider such portion arrangement of the type described in this as the entire fiscal year in making his section. If there is any change in the report under this part.

information reported (other than that (c) “Undertake" means not only the required by Item C, 10, (c) of the Form), performing of activities, but also the it must be filed in a report clearly marked agreeing to perform them or to have "Amended Report” within 30 days of the them performed.

change. (d) “A direct or indirect party to an (b) The report shall be signed by the agreement or arrangement” includes president and treasurer or corresponding persons who have secured the services principal officers of the reporting person. of another or of others in connection If the report is filed by an individual in with an agreement or arrangement of his own behalf, it need only bear his the type referred to in § 406.2 as well as signature.

§ 406.3 Receipts and disbursements re

port. (a) Every person who, as a direct or indirect party to any agreement or arrangement, undertakes any activities of the type described in § 406.2 pursuant to such agreement or arrangement and who, as a result of such agreement or arrangement made or received any payment during his fiscal year, shall, as prescribed by the regulations in this part, file a report and one copy thereof, with the said Director, Office of Labor-Management and Welfare-Pension Reports, on Form LM-211 entitled “Receipts and Disbursements Report (required of persons, including labor relations consultants, other individuals and organizations)”, in the detail required by such form and the instructions accompanying such form and constituting a part thereof. The report shall be filed within 90 days after the end of such person's fiscal year during which payments were made or received as a result of such an agreement or arrangement.

(b) The report shall be signed by the president and treasurer or corresponding principal officers of the reporting person. If the report is filed by an individual in his own behalf, it need only bear his signature. 8 406.4 Terminal report.

(a) Every person required to file a report pursuant to the provisions of this part who during his fiscal year loses his identity as a reporting entity through merger, consolidation, dissolution, or otherwise shall within 30 days of the effective date thereof or of the effective date of this section, whichever is later, file a terminal report, and one copy thereof, with the said Director, Office of Labor-Management and Welfare-Pension Reports, on Form LM-21 signed by the president and treasurer or corresponding principal officers immediately prior to the time of the person's loss of reporting identity (or by the person himself if he is an individual), together with a statement of the effective date of termination or loss of reporting identity, and if the latter, the name and mailing address of the entity into which the person reporting has been merged, consolidated or otherwise absorbed.

(b) For purposes of the report referred to in paragraph (a) of this sec

tion, the period covered thereby shall be the portion of the reporting person's fiscal year ending on the effective date of the termination or loss of identity. § 406.5 Persons excepted from filing

reports. Nothing contained in this part shall be construed to reguire:

(a) Any person to file a report under this part unless he was a direct or indirect party to an agreement or arrangement of the kind described in $ 406.2;

(b) Any person to file a report covering the services of such person by reason of his (1) giving or agreeing to give advice to an employer; or (2) representing or agreeing to represent an employer before any court, administrative agency, or tribunal of arbitration; or (3) engaging or agreeing to engage in collective bargaining on behalf of an employer with respect to wages, hours, or other terms or conditions of employment or the negotiation of an agreement or any question arising thereunder;

(c) Any regular officer, or employee of an employer to file a report in connection with services rendered as such regular officer, superv or or employee to such employer;

(d) 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 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. § 406.6 Relation of section 8(c) of the

National Labor Relations Act to this

part. While nothing contained in section 203 of the Act shall be construed as an amendment to, or modification of the rights protected by, section 8(c) of the National Labor Relations Act, as amended (61 Stat. 142; 29 U.S.C. 158 (c)), activities protected by such section of the said Act are not for that reason exempted from the reporting requirements of this part and, if otherwise subject to such reporting requirements, are required to be reported. Consequently, information required to be included in Forms LM-20 and 21 must be reported regardless of whether that information relates to activities which are protected by section 8(c) of the National Labor Relations Act, as amended.

1 Filed as part of the original document.

$ 406.7 Personal responsibility of signa

tories of reports. Each individual required to file a report 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. $ 406.8 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 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. $ 406.9 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 Welfare-Pension Reports of copies thereof to any person requesting them, shall be governed by $ 2.4 of this title.

29 U.S.C. 438, 461; Secretary's Order No. 24 63 (28 F.R. 9172), and Secretary's Order No. 25-63 (28 F.R. 9173).

SOURCE: The provisions of this part 408 appear at 28 F.R. 14387, Dec. 27, 1963, unless otherwise noted. § 408.1 Definitions.

(a) “Corresponding principal officers" shall include any person or persons performing or authorized to perform principal executive functions corresponding to those of president and treasurer, of any labor organization which has assumed or imposed a trusteeship over a labor organization within the meaning of section 301(a) of the Labor-Management Reporting and Disclosure Act of 1959.

(b) “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.

(c) “Policy determining body" means any body which is convened by the parent labor organization or other labor organization which is composed of delegates from labor organizations and which formulates policy on such matters as wages, hours, or other conditions of employment or recommends or takes any action in the name of the participating labor organizations. Such a body includes, for example, a district council, area conference or joint board. § 408.2 Initial Trusteeship report.

Every labor organization which has or assumes trusteeship over any subordinate labor organization shall file with the Director, Office of Labor-Management and Welfare-Pension Reports, United States Department of Labor, Washington, D.C., 20210, within 30 days after the imposition of any such trustee. ship, a trusteeship report, pursuant to § 408.3, together with a true copy thereof, signed by its president and treasurer, or corresponding principal officers, as well as by the trustees of such subordinate labor organization. § 408.3

Form of initial report. On and after the effective date of this section, every labor organization required to file an initial report under § 408.2 shall file such report on United States Department of Labor Form LM-15 entitled “Trusteeship Report” in the detail required by the instructions accompanying such form and constituting a part thereof. The Statement of As

PART 408–LABOR ORGANIZATION

TRUSTEESHIP REPORTS Sec. 408.1 Definitions. 408.2 Initial Trusteeship report. 408.3 Form of initial report. 408.4 Semiannual trusteeship report. 408.5 Annual financial report. 408.6 Amendments to the Labor Organiza

tion Information Report filed by or on behalf of the subordinate

labor organization. 408.7 Terminal trusteeship financial re

port. 408.8 Terminal trusteeship information

report. 408.9 Personal responsibility of signatories

of reports. 408.10 Maintenance and retention of rec

ords. 408.11 Dissemination and verification of re

ports. 408.12 Publication of reports required by

this part. AUTHORITY: The provisions of this part 408 issued under secs. 208, 301, 73 Stat. 529, 530;

sets and Liabilities of Form LM-2 (Re- assumed trusteeship over a subordinate vised), Labor Organization Annual Re- labor organization, shall file with the port, issued pursuant to Part 403 of this Office of Labor-Management and Welchapter shall be utilized by the labor fare-Pension Reports on behalf of the organization assuming the trusteeship in subordinate labor organization any the manner set forth in Form LM-15, change in the information required by and the instructions accompanying that Part 402 of this chapter by furnishing form, to report the financial condition the information called for in Items 13, of the subordinate labor organization as 14, 15, Schedule 8, and where necessary, of the time the trusteeship was imposed. Item 18 of Form LM-2 (Revised), to

gether with one true copy thereof at the § 408.4 Semiannual trusteeship report.

same time it files the annual financial Every labor organization required to report referred to in § 408.5. Where the file an initial report under $ 408.2 shall trustee is the principal executive officer thereafter during the continuance of of the subordinate labor organization, he trusteeship over the subordinate labor shall sign the report as the officer cororganization, file with the said Office of responding to the president. If the subLabor-Management and Welfare-Pen- ordinate labor organization has no sion Reports semiannually, and not later treasurer or corresponding principal ofthan six months after the due date of the ficer, the report shall so state and shall initial trusteeship report, a semiannual in that case be signed only by the trustee. trusteeship report on Form LM-15 con- If there is more than one trustee, all taining the information required by that shall sign the report. form except for the information required

§ 408.7 Terminal trusteeship financial by Item 10 thereof relating to the financial condition of the subordinate orga

report. nization as of the time trusteeship was Each labor organization which has assumed over it. If in answer to Item 9 assumed trusteeship over a subordinate of Form LM-15, there was (a) a con- labor organization shall file within 90 vention or other policy determining body days after the termination of such trustto which the subordinate organization eeship on behalf of the subordinate sent delegates or would have sent dele- labor organization a terminal financial gates if not in trusteeship or (b) an report, and one copy, with the Director, election of officers of the labor organiza- Office of Labor-Management and Weltion assuming trusteeship, Form LM-15A fare Pension Reports, at the place aforeshould be used to report the required said, on Form LM-2 (Revised) and in information with respect thereto.

coniormance with the requirements of

Part 403 of this chapter. $ 408.5 Annual financial report.

$ 408.8 Terminal trusteeship informaDuring the continuance of a trustee

tion report. ship, the labor organization which has assumed trusteeship over a subordinate There shall be filed at the same time labor organization, shall file with the that the terminal trusteeship financial Office of Labor-Management and Wel- report is filed a terminal trusteeship fare-Pension Reports on behalf of the information report on Form LM-16 consubordinate labor organization the an

taining the details set forth in the innual financial report required by Part

structions accompanying such form and 403 of this chapter, signed by the presi

constituting a part thereof. Where a dent and treasurer or corresponding

Form LM-16 is filed, it is not necessary

that Items 13, 14, and 15 of Form LM-2 principal officers of the labor organization which has assumed such trusteeship,

(Revised), filed pursuant to $ 408.7 be and the trustees of the subordinate labor

answered. If in answer to Item 6 of organization on Form LM-2 (Revised),

Form LM-16, there was (a) a convention

or other policy determining body to together with one true copy thereof.

which the subordinate organization sent 8 408.6 Amendments to the Labor Or

delegates or would have sent delegates ganization Information Report filed

if not in trusteeship or (b) an election by or on behalf of the subordinate

of officers of the labor organization aslabor organization.

suming trusteeship, Form LM-15A During the continuance of a trustee- should be used to report the required ship, the labor organization which has information with respect thereto.

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