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after the end of its fiscal year with the its own, and is not authorized to adopt Office of Labor-Management and Wel- such rules; fare-Pension Reports, U.S. Department (2) Its members are subject to uniform of Labor, Washington, D.C. 20210, on fees and dues applicable to all members Form G-2 entitled "Federal Labor Orga- of the local labor organizations for nization Annual Report” ? in the detail which exemption is claimed; and required by the instructions accompany- (3) The national organization with ing such form and constituting a part which it is affiliated assumes responsithereof.

bility for the accuracy of, and submits $ 204.10 Labor organizations filing

with its annual report, Form G-2, a stateunder the LMRDA.

ment with as many copies as the Office

of Labor-Management and WelfareIf a labor organization is also subject Pension Reports shall request, that the to the LMRDA, and is filing annual re

conditions of the exemption have been ports pursuant to section 201 of the Act, met for the specified local organizations it is not required to file the report re- for which exemption is claimed. This quired by $ 204.9.

statement must be signed by the presi§ 204.11 Labor organizations under

dent and treasurer of the national labor trusteeship.

organization and must contain the fol

lowing additional information: If a labor organization is in trusteeship

(i) If the national labor organization on the date for filing the annual report,

reports its dues in section B of Item 12 the organization which has assumed the

of its annual report, Form G-2, a statetrusteeship shall file the report required

ment of the required dues and fees of in $ 204.9.

such exempt organizations, set forth in § 204.12 Small labor organizations. the same manner as prescribed in Item

12 of the Form G-2; and (a) If a labor organization, not in

(ii) With respect to each local labor trusteeship, has gross annual receipts totaling less than $30,000 but $2,000 or

organization for which exemption is

claimed; more for its fiscal year, it may file the annual report required by $ 204.9 in du

(a) The name and designation numplicate on Form G-3 entitled “Federal

ber or other identifying information,

(b) The file number (G-number) Labor Organization Simplified Annual

which the Office of Labor-Management Report” 3 in accordance with the instruc

and Welfare-Pension Reports has astions accompanying such form and con

signed to it. stituting a part thereof.

(c) The mailing address. (b) If a labor organization, not in

(d) The city, county, and State where trusteeship, has gross annual receipts of less than $2,000 for its fiscal year, it may

it is chartered to operate, if these have file the annual report required by $ 204.9

changed since last reported to the Office

of Labor-Management and Welfarein duplicate on Form G-4 entitled “Fed

Pension Reports. eral Labor Organization Abbreviated An

(e) The names and titles of the offinual Report" . in accordance with the

cers as of the end of the reporting period. instructions accompanying such form and constituting a part thereof.

REPORTING OF TRUSTEESHIPS (c) A local labor organization, not in & 204.13 Labor organizations filing trusteeship, which has no assets, no lia

under the LMRDA. bilities, no receipts and no disbursements during the period covered by the annual

A labor organization subject to the report of the national organization with

LMRDA which has or assumes trusteewhich it is affiliated need not file the

ship over any subordinate labor organiannual report required by $ 204.9 if the

zation subject to that Act as well as the following conditions are met:

order is not required to file reports under (1) It is governed by a uniform consti

$ $ 204.14–204.17, but must file the retution and bylaws filed on its behalf pur

ports required under section 301 of the suant to $ 204.7(b) and the proviso in

LMRDA and Part 408 of this title. $ 204.8, does not have governing rules of 8 204.14 Initial trusteeship report. 2 Filed as part of the original document.

Except as provided in § 204.13, every 3 Filed as part of the original document.

labor organization which has or assumes * Filed as part of the original document. trusteeship over any subordinate labor

organization subject to the order shall file with the Office of Labor-Management and Welfare-Pension Reports, U.S. Department of Labor, Washington, D.C. 20210, within 30 days after the imposition of any such trusteeship, a trusteeship report, signed by its president and treasurer or corresponding principal officers, as well as by the trustees of the subordinate labor organization. Such report shall be filed in duplicate on Form G-15 entitled "Federal Labor Organization Trusteeship Report” 5 in the detail required by the instructions accompanying such form and constituting a part thereof. $ 204.15 Semiannual trusteeship report.

Every labor organization required to file a report under $ 204.14 shall thereafter during the continuance of a trustee. ship over the subordinate labor organization, file with the Office of LaborManagement and Welfare-Pension Reports a semiannual trusteeship report on Form G–15 in duplicate containing the information required by that form in accordance with the instructions therein relating to the semiannual trusteeship report. If during the period covered by the semiannual trusteeship report there was (a) a convention or other policy determining body to which the subordinate organization under trusteeship sent delegates or would have sent delegates if not in trusteeship, or (b) an election of officers of the labor organization assuming trusteeship, a report on Form G-15A entitled “Federal Labor Organization Schedule on Selection of Delegates and Officers” • shall be filed in duplicate with the Form G-15. $ 204.16 Annual report.

During the continuance of a trusteeship, the organization which has assumed trusteeship over a subordinate labor organization subject to the order shall file with the Office of LaborManagement and Welfare-Pension Reports on behalf of the subordinate labor organization the annual report required by $ 204.9 on Form G-2 in duplicate signed by the president and treasurer or corresponding principal officers of the labor organization which has assumed such trusteeship. In addition, such labor organization shall file Form G-6, "Information and Signature Sheet for Financial Report of Federal Labor Organiza

tion Under Trusteeship,”? in duplicate signed by the trustees of the subordinate labor organization. 8 204.17 Terminal trusteeship informa

tion and financial reports. Each labor organization which has assumed trusteeship over a subordinate labor organization subject to the order shall file within 90 days after the termination of such trusteeship a report in duplicate on Form G-16 entitled “Federal Labor Organization Terminal Trusteeship Information Report” 8 in the detail required by the instructions accompanying such form and constituting a part thereof. The organization submitting the terminal trusteeship information report must also file at the same time on behalf of the subordinate labor organization a final financial report in duplicate for the organization under trusteeship on Forms G-2 and G-6, in conformance with the requirements of $ $ 204,9 and 204.16, covering the period from the beginning of the fiscal year through the termination date of the trusteeship. MISCELLANEOUS PROVISIONS RELATING TO

REPORTING REQUIREMENTS $ 204.18 Fiscal year.

As used in this subpart 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 subpart. Where a labor organization designates a new fiscal year prior to the expiration of previously established fiscal year, the resultant period of less than 12consecutive-calendar months, and thereafter the newly established fiscal year, shall in that order each constitute a fiscal year for purposes of the reports required by this subpart. § 204.19 Initial annual report.

(a) The initial annual report of any labor organization whose current fiscal year ends prior to August 1, 1970, shall be filed within 90 days after the end of its next fiscal year.

(b) A labor organization which is subject to the order for only a portion of its fiscal year because the effective date of the order occurred during such fiscal year or because the labor organization otherwise first becomes subject to the

a

5 Filed as part of the original document. e Filed as part of the original document,

7 Filed as part of the original document. 8 Filed as part of the original document.

order during such fiscal year, may at its furnish or otherwise make available to option consider such portion as the en- all its members the information required tire fiscal year in filing the annual report to be contained in such report and shall required under $ 204.9 or § 204.12.

furnish or otherwise make available to 8 204.20 Terminal report.

every member a copy of its constitution

and bylaws. Every labor organization Any labor organization required to file and its officers shall be under a duty to a report under the provisions of this

permit any member for just cause to exsubpart, which during its fiscal year loses amine any books, records, and accounts its identity as a reporting labor organi- necessary to verify such report and conzation through merger, consolidation, or stitution and bylaws. otherwise, shall within 30 days after such loss, file a terminal report in duplicate

$ 204.24 Maintenance and retention of

records. with the Office of Labor-Management and Welfare-Pension Reports on Form Every labor organization required to G-2, Form G-3, or Form G-4, as may be file any report under this subpart shall appropriate under $ 204.9 or $ 204.12, maintain records on the matters required signed by the persons who were the to be reported which will provide in president and treasurer or correspond

sufficient detail the necessary basic ing principal officers of the labor or- information and data from which the ganization immediately prior to its loss documents filed with the Office of of reporting identity. For the purpose Labor-Management and Welfare-Penof such terminal report the fiscal year sion Reports may be verified, explained shall be considered to be the period or clarified, and checked for accuracy from the beginning of the labor organi- and completeness. This includes vouchzation's fiscal year to the date of its loss ers, worksheets, receipts, and applicable of reporting identity.

resolutions (including any such records $ 204.21 Effect of acknowledgment and

in existence on the date the order befiling by the Office of Labor-Manage. came effective). Every labor organization

ment and Welfare-Pension Reports. shall keep such records available for Acknowledgment by the Office of

examination for a period of not less than Labor-Management and Welfare

5 years after the filing of the report. Pension Reports of the receipt of the re- 8 204.25 Examination and copying of ports and documents submitted for filing

reports required by this subpart. under this subpart is intended solely to inform the sender of the receipt thereof.

Examination of any report or other Neither such acknowledgment nor the

document filed as required by this subfiling of such reports and documents by part, and the furnishing by the Office of the Office of Labor-Management and Labor-Management and Welfare-PenWelfare-Pension Reports constitutes ex- sion Reports of copies thereof to any press or implied approval thereof or in person requesting them, shall be govany manner indicates that the content erned by Part 70 of this title. of any such report or document fulfills

TRUSTEESHIPS the reporting or other requirements of the order, or of the regulations in this

$ 204.26 Purposes for which a trusteesubpart applicable thereto.

ship may be established. & 204.22 Personal responsibility of sig.

Trusteeships shall be established and natories of reports.

administered by a labor organization Each individual required to sign any

over a subordinate body only in accordreport under this subpart shall be per

ance with the constitution and bylaws sonally responsible for the filing of such

of the organization which has assumed report and for any statement contained

trusteeship over the subordinate body therein which he knows to be false.

and for the purpose of (a) correcting Penalties for filing false reports are

corruption or financial malpractice, (b) provided in 18 U.S.C. 1001.

assuring the performance of negotiated

agreements or other duties of a repre$ 204.23 Dissemination and verification sentative of employees, (c) restoring of reports.

democratic procedures, or (d) otherwise Every labor organization required to carrying out the legitimate objects of submit a report under this subpart shall such labor organization.

204.27 Prohibited acts relating to sub- such standards are relevant to elections

ordinate body under trusteeship. held pursuant to the order. During any period when a subordinate ADDITIONAL PROVISIONS APPLICABLE body of a labor organization is in trusteeship, (a) the votes of delegates or

$ 204.30 Removal of elected officers. other representatives from such body in When an elected officer of a local labor any convention or election of officers of organization is charged with serious the labor organization shall not be misconduct and the constitution and bycounted unless the representatives have laws of such organization do not provide been chosen by secret ballot in an elec- an adequate procedure meeting the tion in which all the members in good standards of $ 417.2(e) of this title for standing of such subordinate body were removal of such officer, the labor organieligible to participate; and (b) no cur- zation shall follow a procedure which rent receipts or other funds of the sub- meets those standards. A labor organizaordinate body except the normal per tion which has adequate procedures in capita tax and assessments payable by its constitution and bylaws shall follow subordinate bodies not in trusteeship

those procedures. shall be transferred directly or indirectly

§ 204.31 Maintenance of fiscal integrity to the labor organization which has im

in the conduct of the affairs of labor posed the trusteeship: Provided, how

organizations. ever, That nothing contained in this section shall prevent the distribution of the

The standards of fiduciary responsiassets of a labor organization in accord

bility prescribed in section 501(a) of the ance with its constitution and bylaws

LMRDA are incorporated into this subupon the bona fide dissolution thereof.

part by reference and made a part

hereof. 8 204.28 Presumption of validity.

$ 204.32 Provision for accounting and In any proceeding involving § 204.26,

financial controls. a trusteeship established by a labor organization in conformity with the pro

Every labor organization shall provide cedural requirements of its constitution

accounting and financial controls necesand bylaws and authorized or ratified

sary to assure the maintenance of fiscal after a fair hearing either before the ex

integrity. ecutive board or before such other body $ 204.33 Prohibition of conflicts of as may be provided in accordance with interest. its constitution and bylaws shall be pre

(a) No officer or agent of a labor orsumed valid for a period of 18 months from the date of its establishment and

ganization shall, directly or indirectly shall not be subject to attack during

through his spouse, minor child, or othersuch period except upon clear and con

wise (1) have or acquire any pecuniary

or personal interest which would conflict vincing proof that the trusteeship was

with his fiduciary obligation to such not established or maintained in good

labor organization, or (2) engage in any faith for purposes allowable under

business or financial transaction which $ 204.26. After the expiration of 18 conflicts with his fiduciary obligation. months the trusteeship shall be pre- (b) Actions prohibited by paragraph sumed invalid in any such proceeding, (a) of this section include, but are not unless the labor organization shall show limited to, buying from, selling, or leasby clear and convincing proof that the ing directly or indirectly to, or otherwise continuation of the trusteeship is neces- dealing with the labor organization, its sary for a purpose allowable under affiliates, subsidiaries, or trusts in which $ 204.26.

the labor organization is interested, or ELECTIONS

having an interest in a business any part

of which consists of such dealings, ex$ 204.29 Election of officers.

cept bona fide investments of the kind Every labor organization subject to the exempted from reporting under section order shall conduct periodic elections of 202(b) of the LMRDA. The receipt of officers in a fair and democratic man- salaries and reimbursed expenses for ner. All elections of officers shall be gov- services actually performed or expenses erned by the standards prescribed in sec- actually incurred in carrying out the tions 401 (a), (b), (c), (d), (e), (f) and duties of the officer or agent is not (g) of the LMRDA to the extent that prohibited.

& 204.34 Loans to officers or employees. $ 204.38 Deprivation of rights under the No labor organization shall directly or

order by violence, or threat of

violence. indirectly make any loan to any officer or employee of such organization which No labor organization or any officer, results in a total indebtedness on the agent, shop steward, or other representpart of such oficer or employee to the ative or any employee thereof shall use, labor organization in excess of $2,000. conspire to use, or threaten to use force $ 204.35 Bonding requirements.

or violence to restrain, coerce, or intimi

date, or attempt to restrain, coerce, or Every oficer, agent, shop steward,

intimidate any member of a labor orgaor other representative of any labor or

nization for the purpose of interfering ganization subject to the order (other

with or preventing the exercise of any than a labor organization whose property and annual financial receipts do not ex

right to which he is entitled under the ceed $5,000 in value), or of a trust in

provisions of the order or this chapter. which a labor organization is interested,

Subpart B— Proceedings for Enforcing who handles funds or other property thereof shall be bonded in accordance

Standards of Conduct with the principles of section 502(a) of § 204.50 Investigations. the LMRDA. In enforcing this require

When he believes it necessary in order ment the Assistant Secretary will be

to determine whether any person has guided by the interpretations and policies followed by the Department of

violated or is about to violate any proLabor in applying the provisions of sec

visions of this part (other than $ 204.2, tion 502(a) of the LMRDA.

Bill of Rights of members of labor orga

nizations) the Director shall cause an 8 204.36 Prohibitions against certain persons holding office or employ

investigation to be conducted. The aument.

thority to investigate possible violations The prohibitions against holding office

of this part (other than $ 204.2) shall or employment in a labor organization

not be contingent upon receipt of a contained in section 504 (a) of the complaint. LMRDA are incorporated into this sub

§ 204.51 Inspection of records and part by reference and made a part

questioning. hereof. The prohibitions shall also be applicable to any person who has been

In connection with such investigation convicted of, or who has served any part

an Area Administrator or his representaof a prison term resulting from his con- tive may inspect such records and quesviction of, violating 18 U.S.C. 1001 by tion such persons as he may deem making a false statement in any report necessary to enable him to determine required to be filed pursuant to this sub- the relevant facts. Every labor organizapart: Provided, however, That the duties

tion, its officers, employees, agents, or and responsibilities of the Board of Pa

representatives shall cooperate fully in role of the U.S. Department of Justice

any investigation and shall testify and under section 504(a) of the LMRDA shall be assumed under this section by

produce the records or other documents the Assistant Secretary or such other

requested in connection with the invesperson as he may designate for the pur

tigation. This section shall be enforced pose of determining whether it would in accordance with the procedures in not be contrary to the order and this $ $ 204.66 through 204.73. section to permit a person barred from

$ 204.52 Report of investigation. holding office or employment to hold such office or employment.

The Area Administrator's report of § 204.37 Prohibition of certain disci.

investigation (except those relating to pline.

complaints under $ 204.2, Bill of Rights No labor organization or any officer,

of members of labor organizations) shall agent, shop steward, or other representa

be submitted through the Regional Adtive or any employee thereof shall fine,

ministrator to the Director, who may suspend, expel, or otherwise discipline report to interested persons concernany of its members for exercising any ing any matter which he deems to be right to which he is entitled under the appropriate as a result of such an provisions of the order or of this chapter. investigation.

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