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SUBCHAPTER A-LABOR-MANAGEMENT REPORTS
PART 401-MEANING OF TERMS associations, corporations, legal repreUSED IN THIS SUBCHAPTER sentatives, mutual companies, joint
stock companies, trusts, unincorporated Sec. 401.1 Commerce.
organizations, trustees, trustees in banks 401.2 State.
ruptcy, or receivers. 401.3 Industry affecting commerce.
$ 401.5 Employer. 401.4 Person. 401.5 Employer.
"Employer" means any employer or 401.6 Employee.
any group or association of employers 401.7 Labor dispute.
engaged in an industry affecting com401.8 Trusteeship.
merce (a) which is, with respect to em401.9 Labor organization. 401.10 Labor organization engaged in
ployees engaged in an industry affecting
an industry affecting commerce.
commerce, an employer within the 401.11 Secret ballot.
meaning of any law of the United States 401.12 Trust in which a labor organization relating to the employment of any emis interested.
ployees or (b) which may deal with any 401.13 Labor relations consultant.
labor organization concerning griev401.14 Officer.
ances, labor disputes, wages, rates of 401.15 Member or member in good standing. 401.16 Secretary.
pay, hours of employment, or conditions 401.17 Act.
of work, and includes any person acting 401.18 Office.
directly or indirectly as an employer or AUTHORITY: The provisions of this part 401
as an agent of an employer in relation issued under secs. 3, 208, 301, 401, 402, 73
to an employee but does not include the Stat. 520, 529, 530, 532, 534; 29 U.S.C. 402,
United States or any corporation wholly 438, 461, 481, 482; Secretary's Order No. 24–63 owned by the Government of the United (28 F.R. 9172).
States or any State or political subdiviSOURCE: The provisions of this Part 401
sion thereof. appear at 28 F.R. 14380, Dec. 27, 1963, unless
8 401.6 Employee. otherwise noted. § 401.1 Commerce.
"Employee” means any individual em
ployed by an employer, and includes any "Commerce” means trade, traffic, com- individual whose work has ceased as a merce, transportation, transmission, or
consequence of, or in connection with, communication among the several States any current labor dispute or because of or between any State and any place out
any unfair labor practice or because of side thereof.
exclusion or expulsion from a labor or§ 401.2 State.
ganization in any manner or for any
reason inconsistent with the require"State" includes any State of the
ments of this Act. United States, the District of Columbia, Puerto Rico, the Virgin Islands, Ameri- $ 401.7 Labor dispute. can Samoa, Guam, Wake Island, the
"Labor dispute" includes any controCanal Zone, and Outer Continental Shelf
versy concerning terms, tenure, or conlands defined in the Outer Continental
ditions of employment, or concerning the Shelf Lands Act (43 U.S.C. 1331-1343).
association or representation of persons § 401.3 Industry affecting commerce. in negotiating, fixing, maintaining,
"Industry affecting commerce" means changing, or seeking to arrange terms any activity, business, or industry in or conditions of employment, regardless commerce or in which a labor dispute of whether the disputants stand in the would hinder or obstruct commerce or
proximate relation of employer and the free flow of commerce and includes
eriployee. any activity or industry "affecting commerce” within the meaning of the Labor
$ 101.8 Trusteeship. Management Relations Act, 1947, as “Trusteeship" meares any receivership, amended, or the Railway Labor Act, as
trusteeship, or other. method of superamended.
vision or control whereby a labor organi§ 401.4 Person.
zation suspends the autonomy otherwise "Person” includes one or more individ- available to a subordinate body under its uals, labor organizations, partnerships, 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 & 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 than a State or local central body.
one or more members of the governing
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 local labor organization
§ 401.14 Officer. recognized or acting as the representa
"Oficer" means tive of employees of an employer or em
any constitutional ployers engaged in an industry affecting oficer, 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 or 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.
$ 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
section 208 thereof by the Labor-ManManagement and Welfare-Pension Reports, United States Department of
agement Services Administrator, on the Labor.
following United States Department of 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 Filing of initial reports.
(a) Every labor organization shall file 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 of Labor-Management the provisions of paragraph (b) of this
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
(b) A labor organization subject to this part.
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, 629,
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
national organization is required to file otherwise noted.
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, Ofice of Labor-Managebasic written rules governing the orga
ment and Welfare-Pension
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.
$ 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 quality to use Form LM-3 (Revised), the Labor Organization Annual Report, pursuant to $$ 403.4 and 403.5 of this chapter may file the terminal report called for in this section on Form LM-3 (Revised). This report must be signed by the president and treasurer, or corresponding principal officers, of the labor organization. § 402.6 Receipt of reports and docu.
tion and bylaws and that copies are filed on its behalf by the national or international labor organization. If the constitution and bylaws of the adopting labor organization include other documents, this shall be shown in such report and copies shall be filed as provided in paragraph (a) of this section. § 402.4 Subsequent reports.
(a) Any change in the information or the content of the documents, or both, required to be filed initially by every labor organization under section 201(a) of the Act which has not previously been reported, shall be reported to the Director, Ofice of Labor-Management and Welfare-Pension Reports, U.S. Department of Labor, Washington, D.C., 20210, in Items 13, 14, 15, Schedule 8, and where necessary Item 18 of United States Department of Labor Form LM-2 (Revised), entitled “Labor Organization Annual Report,” at the same time that the reporting labor organization files with such office its annual financial report required by section 201(b) of the Act and $$ 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
Upon receipt of all reports and documents submitted for filing under the provisions of this part, the Office of 1.2bor-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-Manage
ment 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 signa
tories of reports. Each individual required to sign any report under section 201(a) of the Act
and under this part shall be personally fare-Pension Reports of copies thereof to responsible for the filing of such report any person requesting them, shall be and for any statement contained therein governed by $ 2.4 of this title. which he knows to be false.
PART 403–LABOR ORGANIZATION & 402.9 Maintenance and retention of records.
ANNUAL FINANCIAL REPORTS Every person required to file any re- Sec. port under this part shall maintain rec
403.1 Fiscal year for reports required by
this part. ords on the matters required to be
403.2 Annual financial report. reported which will provide in sufficient
403.3 Form of annual financial report detail the necessary basic information
detailed report. and data from which the documents filed
403.4 Simplified annual report form for with the Ofice of Labor-Management
smaller labor organizations. and Welfare-Pension Reports may be 403.5
Terminal financial report. verified, explained or clarified, and 403.6 Personal responsibility of signatories
of reports. checked for accuracy and completeness,
403.7 Maintenance and retention of recand shall include vouchers, worksheets,
ords. receipts, and applicable resolutions, and
403.8 Dissemination and verification of shall keep such records available for ex
reports. amination for a period of not less than 403.9 Attorney-client communications ex. five years after the filing of the docu
empted. ments based on the information which
403.10 Publication of reports required by
this part. they contain
AUTHORITY: The provisions of this part 403 8 402.10 Dissemination and verification
issued under secs. 201, 208, 301, 73 Stat. 524 of reports.
529, 530; 29 U.S.C. 431, 438, 461; Secretary's Every labor organization required to
Order No. 24–63 (28 F.R. 9172) and Secretary's submit a report under section 201(a) of
Order No. 25–63 (28 F.R. 9173). the Act and under this part shall make SOURCE: The provisions of this part 403 available to all its members the informa- appear at 28 F.R. 14383, Dec. 27, 1963, unless
otherwise noted. tion required to be contained in such report, including the copy of the con- $ 403.1 Fiscal year for reports required stitution and bylaws required to be filed
by this part. therewith, and every such labor organi- (a) As used in this part, unless otherzation and its officers shall be under a
wise defined, the term "fiscal year" duty to permit such member for just means the calendar year or other period cause to examine any books, records, and of 12 consecutive calendar months, on accounts necessary to verify such report the basis of which financial accounts are and constitution and bylaws.
kept by a labor organization reporting
under this part. Where a labor organi§ 402.11 Attorney-client communications zation designates a new fiscal year period exempted.
prior to the expiration of a previously Nothing contained in this part shall be established fiscal year period, the reconstrued to require an attorney who sultant period of less than 12 consecutive is a member in good standing of the bar calendar months, and thereafter the of any State, to include in any report
newly established fiscal year, shall in
that order each constitute a fiscal year required to be filed pursuant to the provisions of section 201(a) of the Act,
for purposes of the report required to be
filed by section 201(b) of the Act, and and of this part, any information which
of the regulations in this part. was lawfully communicated to such at
(b) A labor organization which is subtorney by any of his clients in the course
ject to section 201(b) of the Act for only of a legitimate attorney-client relation
a portion of its fiscal year because the ship.
date of enactment of the Act (Septem$ 402.12 Publication of reports re- ber 14, 1959) occurred during such fiscal quired by this part.
year or because the labor organization Inspection and examination of any re- otherwise first becomes subject to the port or other document filed as required Act during such fiscal year, may conby this part, and the furnishing by the sider such portion as the entire fiscal Office of Labor-Management and Wel- year in making its report under this part.