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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

408 409 417 451

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.
Reports by surety companies.
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 ppear 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 inore individuals, labor organizations, partnerships,

associations, corporations, legal representatives, mutual companies, jointstock companies, trusts, unincorporated organizations, trustees, trustees in bankruptcy, 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 super vision or control whereby a labor organization suspends the autonomy otherwise available to a subordinate body under its constitution or bylaws.

$ 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

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 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.

§ 401.11 Secret ballot.

“Secret ballot” means the expression by ballot, voting machine, or otherwise, but in no event by proxy, of a choice with respect to any election or vote taken upon any matter, which is cast in such a manner that the person expressing such choice cannot be identified with the choice expressed. § 401.12 Trust in which a labor organi.

zation 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 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. § 401.16 Secretary.

“Secretary" means the Secretary of Labor. § 401.17 Act.

“Act" means the Labor-Management Reporting and Disclosure Act of 1959.

or

a

or

§ 401.18 Office.

"Office" means the Office of LaborManagement and Welfare-Pension Reports, United States Department of Labor.

PART -LABOR ORGANIZATION

INFORMATION REPORTS Sec. 402.1 Labor organization constitution and

bylaws. 402.2 Labor organization initial informa

tion report. 402.3 Filing of initial reports. 402.4 Subsequent reports. 402.5 Terminal reports. 402.6 Receipt of reports and documents. 402.7 Effect of acknowledgment and filing

by the Ofice of Labor-Management

and Welfare-Pension Reports. 402.8 Personal responsibility of signatories

of reports. 402.9 Maintenance and retention of rec

ords. 402.10 Dissemination and verification of

reports. 402.11 Attorney-client communications ex

empted. 402.12 Publication of reports required by

this part. AUTHORITY: The provisions of this part 402 issued under se 201, 208, 73 Stat. 524, 529, 29 U.S.C. 431, 438; Secretary's Order No. 2463 (28 F.R. 9172), and Secretary's Order No. 25–63 (28 F.R. 9173).

SOURCE: The provisions of this part 402 appear at 28 F.R. 14381, Dec. 27, 1963, unless otherwise noted.

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-1° 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, together 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

$ 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 infor.

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

1 Filed as part of the original document.

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