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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. 8 402.4 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 ofice 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 oficers, 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-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 ful-. fills 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

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

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. § 402.9 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. § 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 re

quired 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

PART 403–LABOR ORGANIZATION

ANNUAL FINANCIAL REPORTS Sec. 403.1 Fiscal year for reports required by

this part. 403.2 Annual financial report. 403.3 Form of annual financial report

detailed report. 403.4 Simplified annual report form for

smaller labor organizations. 403.5 Terminal financial report. 403.6 Personal responsibility of signatories

of reports. 403.7 Maintenance and retention of rec

ords. 403.8 Dissemination and verification of

reports. 403.9 Attorney-client communications ex

empted. 403.10 Publication of reports required by

this part. AUTHORITY: The provisions of this part 403 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: The provisions of this Part 403 appear at 28 F.R. 14383, Dec. 27, 1963, unless otherwise noted. § 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.

§ 403.2
Annual financial report.

with the instructions accompanying such (a) Every labor organization shall, as

form and constituting a part thereof. prescribed by the regulations in this part, § 403.5 Terminal financial report. file with the Director, Office of Labor

(a) Any labor organization required Management and Welfare-Pension Re

to file a report under the provisions of ports, United States Department of

this part, which during its fiscal year Labor, Washington, D.C., 20210, within

loses its identity as a reporting labor 90 days after the end of each of its fiscal

organization through merger, consolidayears, a financial report signed by its

tion, or otherwise, shall, within 30 days president and treasurer, or correspond

after such loss, file a terminal financial ing principal officers, together with a

report, and one copy, with the Director, true copy thereof.

Office of Labor-Management and Wel(b) Every labor organization shall

fare-Pension Reports, United States Deinclude in its annual financial report filed

partment of Labor, Washington, D.C., as provided in paragraph (a) of this

20210, on Form LM-2 (Revised) or Form section, in such detail as may be neces

LM-3 (Revised), as may be appropriate, sary accurately to disclose its financial condition and operations for its preced

signed by the president and treasurer

or corresponding principal offices of the ing fiscal year and in such categories as

labor organization immediately prior to prescribed by the Labor-Management Services Administrator under the pro

the time of its loss of reporting identity. visions of this part, *he information

(b) Every labor organization which required by section 201(b) of the Act and

has assumed trusteeship over a subfound by the Labor-Management Serv

ordinate labor organization shall file ices Administrator under section 208 within 90 days after the termination of thereof to be necessary in such report.

such trusteeship on behalf of the sub(c) If, on the date for filing the an

ordinate labor organization a terminal nual financial report of a labor organi

financial report, and one copy, with the zation required under section 201(b) of

Director, Office of Labor-Management the Act and this section, such labor or

and Welfare-Pension Reports, at the ganization is in trusteeship, the labor

place aforesaid, on Form LM-2 (Reorganization which has assumed trustee

vised) and in conformance with the reship over such labor organization shall

quirements of this part. file such report as provided in § 408.5 of

(c) For purposes of the reports rethis chapter.

quired by paragraphs (a) and (b) of

this section, the period covered thereby & 403.3 Form of annual financial re

shall be the portion of the labor organiport-detailed report.

zation's fiscal year ending on the effecEvery labor organization shall, except tive date of its loss of reporting identity, as expressly provided otherwise in this or the portion of the subordinate labor part, file an annual financial report as organization's fiscal year ending on the required by $ 403.2, prepared on United effective date of the termination of trusStates Department of Labor Form LM-2 teeship over such subordinate labor or(Revised), “Labor Organization Annual

ganization, as the case may be. Report,” in the detail required by the § 403.6 Personal responsibility of signa. instructions accompanying the form and tories of reports. constituting a part thereof.

Each individual required to sign a § 403.4 Simplified annual report form report under section 201(b) of the Act for smaller labor organizations.

and under this part shall be personally If a labor organization, not in trustee

responsible for the filing of such report ship, has gross annual receipts totalling

and for any statement contained therein

which he knows to be false. less than $30,000 for its fiscal year, it may elect, subject to revocation of the § 403.7 Maintenance and retention of privileges as provided in section 208 of

records. the Act, to file the annual financial re- Every person requirel to file any report called for in section 201(b) of the port under this part shall maintain recAct and § 403.3 of this part on United ords on the matters required to be reStates Department of Labor Form LM-3 ported which will provide in sufficient (revised) entitled “Labor Organization detail the necessary basic information Annual Report (Revised),” in accordance and data from wllich 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. $ 403.8 Dissemination and verification

of reports. Every labor organization required to submit a report under section 201(b) of the Act and under this part shall make available to all its members the information required to be contained in such reports, 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. § 403.9 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(b) 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. § 403.10 Publication of reports required

by this part. For provisions related to this subject see $ 2.4 of this title.

63 (28 F.R. 9172), and Secretary's Order No. 25–63 (28 F.R. 9173).

SOURCE: The provisions of this part 404 appear at 28 F.R. 14384, Dec. 27, 1963, unless otherwise noted. § 404.1 Definitions.

As used in this part the term:

(a) (1) "Fiscal year” means the calendar year or other period of 12 consecutive calendar months, on the basis of which financial accounts of the labor organization officer or employee are kept. Where a labor organization officer or employee 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 constitute the fiscal year for purposes of the reports required to be filed by section 202(a) of the Act and the regulations in this part.

(2) A labor organization officer or employee who is subject to section 202(a) of the Act for only a portion of his fiscal year because the labor organization officer or employee first becomes subject to the Act during such fiscal year, may consider such portion as the entire fiscal year in making this report under this part.

(b) "Labor organization 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.

(c) "Labor organization employee" means any individual (other than an individual performing exclusively custodial or clerical services) employed by a labor organization.

(d) “Employer" means any employer or any group or association of employers engaged in an industry affecting commerce (1) 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 (2) 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

PART 404-LABOR ORGANIZATION

OFFICERS AND EMPLOYEES RE-
PORT

Sec. 404.1 Definitions. 404.2 Annual report. 404.3 Form of annual report. 404.4 Special report. 404.5 Attorney-client communications ex

empted. 404.6 Personal responsibility of signatories

of reports. 404.7 Maintenance and retention of records. 104.8 Publication of reports required by this

part. AUTHORITY: The provisions of this part 404 Issued under secs. 202, 208, 73 Stat. 525, 529; 29 U.S.C. 432, 438; Secretary's Order No. 24

owned by the Government of the United States or any State or political subdivision thereof. $ 404.2

Annual report. Every labor organization officer and employee who in any fiscal year has been involved in transactions of the type described in section 202(a) of the Act, or who holds or has held any interest in an employer or a business of the type referred to therein, or who has received any payments of the type referred to in that section, or who holds or has held an interest in or derived income or economic benefit with monetary value from a business any part of which consists of dealing with a trust in which his labor organization is interested, or whose spouse or minor child has been involved in such transacticns, holds or has held any such interests, or has received such payments, is required to file with the Director, Office of Labor-Management and Welfare-Pension Reports, United States Department of Labor, Washington, D.C., 20210, within 90 days after the end of his fiscal year, a signed report containing the detailed information required therein by section 202(a) of the Act, and found by the Labor-Management Services Administrator under section 208 thereof to be necessary in such report. $ 404.3 Form of annual report.

On and after the effective date of this section, every labor organization officer and employee required to file an annual report under $ 404.2 shall file such report on United States Department of Labor Form LM-30 entitled “Labor Organization Officer and Employee Report,” together with a true copy thereof, in the detail required by the instructions accompanying such form and constituting a part thereof. § 404.4 Special report.

In addition to the report on Form LM-30, the Director, Office of LaborManagement and Welfare-Pension Reports, may require from union officers and employees subject to the Act the submission of special reports of pertinent information including, but not necessarily confined to, reports with respect to matters referred to in items (ii) and (iv) of the Instructions relating to Part A of the form and items (ii) and (iii) of the Instructions relating to part C of the form.

§ 404.5 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 th provisions of section 202(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. § 404.6 Personal responsibility of signa

tories of reports. Every labor organization officer or employee required to file a report under section 202(a) 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. § 404.7 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 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. § 404.8 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.

PART 405—EMPLOYER REPORTS

Sec. 405.1 405.2 405.3 405.4 405.5 405.6

Definitions.
Annual report.
Form of annual report.
Terminal report.
Special reports.
Exceptions from the filing require-

ments of $ 405.2.

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