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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 bank. 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.

ployees engaged in an industry affecting 401.10 Labor organization engaged in 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

of work, and includes any person acting 401.17

Act. 401.18 Office.

directly or indirectly as an employer or

as an agent of an employer in relation AUTHORITY: The provisions of this part 401 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

$ 401.6 Employee. otherwise noted. & 401.1 Commerce.

"Employee” means any individual em

ployed by an employer, and includes any Commerce” means trade, trafic, 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 fiow of commerce and includes

eniployee. any activity or industry "affecting commerce” within the meaning of the Labor

§ 101.8 Trusteeship. Management Relations Act, 1947, as “Trusteeship” mear.s any receivership amended, or the Railway Labor Act, as trusteeship, or other method of super amended.

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 a 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 representative of employees of an employer or em

“Oficer" means any constitutional ployers engaged in an industry affecting

officer, any person authorized to perform

the functions of president, vice president, commerce; or

secretary, treasurer, or other executive (c) Has chartered a local labor orga

functions of a labor organization, and nization or subsidiary body which is

any member of its executive board or representing actively seeking to

similar governing body. represent employees of employers within the meaning of paragraph (a) or (b)

§ 401.15 Member or member in good

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 “Office" means the Office of Labor

found necessary to be reported under Management and Welfare-Pension Re

section 208 thereof by the Labor-Manports, United States Department of

agement Services Administrator, on the

following United States Department of Labor.

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 and Welfare-Pension Reports.

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 this part.

(b) A labor organization subject to

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, 529,

and bylaws (whether by formal action or 29 U.S.C. 431, 438; Secretary's Order No. 24

by virtue of affiliation with a parent or63 (28 F.R. 9172), and Secretary's Order No. 25-63 (28 F.R. 9173).

ganization) 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 otherwise noted.

national organization is required to file

under section 201(a) of the Act and this $ 402.1 Labor organization constitution part. In such a case, a filing by the naand bylaws.

tional or international labor organization Every labor organization shall adopt &

of copies of such constitution and bylaws constitution and bylaws consistent with

will be accepted as a filing of such docuthe provisions of the Act applicable

ments by each such adopting labor orthereto, not later than December 14,

ganization 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)

or to the Act, whichever is later. This shall

The national international labor not, however, require the formal readop

organizations shows in its report filed tion by a labor organization of such a

under paragraph (a) of this section that constitution and bylaws which it has

copies of its constitution and bylaws are previously adopted and under which it is

being filed on behalf of such adopting operating when the report prescribed by

organizations as well as on its own be$ 402.2 is filed. As used in this part

half, and files such number of additional “constitution and bylaws" means the

copies as the Director, Office of Laborbasic written rules governing the orga

Management and Welfare-Pension Renization.

ports, may request, and (2) the adopting

labor organization shows in its report S 402.2 Labor organization initial infor. filed under paragraph (a) of this section mation report.

that the national or international conEvery labor organization shall file a stitution and bylaws are also its constireport signed by its president and secre- tution and bylaws and that copies are tary or corresponding principal officers containing the information required to ? Filed as part of the original document.

filed on its behalf by the national or terminal financial report required by international labor organization. If the 8 403.5 of this chapter and shall be constitution and bylaws of the adopting signed by the president and treasurer, labor organization include other docu- or corresponding principal officers, of the ments, this shall be shown in such report labor organization at the time of its and copies shall be filed as provided in termination or loss of reporting identity paragraph (a) of this section.

and, together with a copy thereof, shall (28 F.R. 14381, De 27, 1963, as amended at be filed with the Director, Office of 35 F.R. 2990, Feb. 13, 1970)

Labor-Management and Welfare-Pen§ 402.4 Subsequent reports.

sion Reports, at the place aforesaid,

within 30 days of the effective date of (a) Any change in the information or

such termination or loss of reporting the content of the documents, or both,

identity, as the case may be. required to be filed initially by every labor organization under section 201(a)

(b) Labor organizations which qualify of the Act which has not previously been

to use Form LM-3 (Revised), the Labor reported, shall be reported to the Direc

Organization Annual Report, pursuant tor, Ofice of Labor-Management and

to $$ 403.4 and 403.5 of this chapter may Welfare-Pension Reports, U.S. Depart- file the terminal report called for in this ment of Labor, Washington, D.C., 20210, section on Form LM-3 (Revised). This in Items 13, 14, 15, Schedule 8, and where report must be signed by the president necessary Item 18 of United States De

and treasurer, or corresponding principartment of Labor Form LM-2 (Re

pal officers, of the labor organization. vised), entitled “Labor Organization Annual Report,” at the same time that the

§ 402.6 Receipt of reports and docu.

ments. reporting labor organization files with such office its annual financial report

Upon receipt of all reports and docurequired by section 201(b) of the Act and ments submitted for filing under the $$ 403.2 and 403.3 of this chapter, for provisions of this part, the Office of Lathe fiscal year during which the said bor-Management and Welfare-Pension change occurred. This report shall be Reports shall assign to the initial insigned by the president and treasurer

formation report filed by each labor oror corresponding principal officers of the

ganization, an identifying number. This labor organization filing the report.

number thereafter shall be entered by (b) Labor organizations which qualify to use Form LM-3 (Revised) and file

the reporting labor organization on all their annual financial report on that

subsequent or terminal reports and all form shall file the report required by

other documents which it thereafter subparagraph (a) of this section by sub- mits for filing under this part, as well mitting the information called for in as on all communications directed to the Items 13, 14, 15, 40, and, where neces- Office concerning such reports and docusary, Item 41 of Form LM-3 (Revised). ments. $ 402.5 Terminal reports.

§ 402.7 Effect of acknowledgment and (a) Any labor organization required to

filing by the Office of Labor-Managefile reports under the provisions of this

ment and Welfare-Pension Reports. part, which ceases to exist by virtue of Acknowledgment by the Office of dissolution or any other form of termi- Labor-Management and Welfare-Pennation of its existence as a labor organi- sion Reports of the receipt of reports zation, or which loses its identity as a and documents submitted for filing unreporting labor organization through

der this part, is intended solely to inmerger, consolidation or otherwise, shall

form the sender of the receipt thereof file a report containing a detailed state

by the Office, and neither such acknowlment of the circumstances and effective date of such termination or loss of re

edgment nor the filing of such reports porting identity, and if the latter, such

and documents by the Office constitutes report shall also state the name and express or implied approval thereof, or mailing address of the labor organiza- in any manner indicates that the contion into which it has been consolidated, tent of any such report or document fulmerged, or otherwise absorbed. Such fills the reporting or other requirements report shall be submitted on Form LM- of the Act, or of the regulations in this 2 (Revised) in connection with the chapter, applicable thereto.

$ 402.8 Personal responsibility of signa- quired by this part, and the furnishing tories of reports.

by the Office of Labor-Management and Each individual required to sign any

Welfare-Pension Reports of copies report under section 201(a) of the Act

thereof to any person requesting them, and under this part shall be personally

shall be governed by Part 70 of this responsible for the filing of such report

title. and for any statement contained therein [35 F.R. 2990, Feb. 13, 1970) which he knows to be false. $ 402.9 Maintenance and retention of


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 Office 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 exfive years after the filing of the docu

empted. ments based on the information which

403.10 Publication of reports required by they contain.

this part. § 402.10 Dissemination and verification

AUTHORITY: The provisions of this part 403

issued under secs. 201, 208, 301, 73 Stat. 524 of reports.

529, 530; 29 U.E.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 tion required to be contained in such otherwise noted. 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 organization and its officers shall be under a

(a) As used in this part, unless otherduty to permit such member for just

wise defined, the term "fiscal year" cause to examine any books, records, and

means the calendar year or other period accounts necessary to verify such report

of 12 consecutive calendar months, on and constitution and bylaws.

the basis of which financial accounts are

kept by a labor organization reporting § 402.11 Attorney-client communications

under this part. Where a labor organiexempted.

zation designates a new fiscal year period Nothing contained in this part shall be prior to the expiration of a previously construed to require an attorney who established fiscal year period, the reis a member in good standing of the bar sultant period of less than 12 consecutive of any State, to include in any report calendar months, and thereafter the required to be filed pursuant to the pro- newly established fiscal year, shall in visions of section 201(a) of the Act, that order each constitute a fiscal year and of this part, any information which for purposes of the report required to be was lawfully communicated to such at- filed by section 201(b) of the Act, and torney by any of his clients in the course of the regulations in this part. of a legitimate attorney-client relation

(b) A labor organization which is subship.

ject to section 201(b) of the Act for only § 402.12 Publication of reporis required a portion of its fiscal year because the by this part.

date of enactment of the Act (SeptemInspection and examination of any ber 14, 1959) occurred during such fiscal report or other document filed as re- year or because the labor organization

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