J.-RETENTION OF RECORDS. The law provides that every person required to file this report shall maintain records ...the matters required to be reported which will provide in sufficient detail the necessary basic informa tion and data from which the documents filed with the Secretary of Labor 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.

K-PENALTIES. The law provides penalties for a willful failure to file a required report and for making any false statement or representations of a material fact, knowing it to be false, or for knowingly failing to disclose a malerial fact in this report or in the information required to be contained in it or any document required to be submitted with it. Penalties are also provided for willfully making any false entry in or concealing. withholding, or destroying any books, records, reports, or statements required to be kept.

L-OTHER REPORTS.

Every person, including labor relations consultants and other individuals and organizations, who is required to file the attached Agreements and Activities Report. Form LM-20, is also required to file annually with the Secretary of Labor a Receipts and Disbursements Report, Form LM-21, for each fiscal year during which payments were made or received as a result of any such agreement or arrangement. Form LM-21 must be fled within 90 days after the end of your fiscal year, copies of this form may be obtained from the Office of Labor-Management Standards Enforcement, U.S. Department of Labor, Washington, D.C. 20216, or from any area office of the Office of Labor-Management Standards Enforcement.

Selected Definitions and Related Provisions of the Labor-Management Reporting and Disclosure Act of 1959

"Section 3.

(a) 'Commerce' means trade, traffic, commerce, transportation, transmission, or communication among the several States or between any State and any place outside thereof.

(b) '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 Art (43 U.S.C. 1331-1243).

(c) Industry affecting commerce' means any activity, business or industry in commerce or in which a labor dispute could hinder or obstruct conumerce or the free flow of commerce and includes any activity or industry affecting cummerce within the meaning of the Labor-Management Relations Act, 1947, na amended, or the Railway Labor Act, as amended.

(d) 'Person' includes one or more individuals, labor organizations, partnerships, associations, corporations, legal representatives, mutual companies. joint-stock companies, trusts, unincorporated organizations, trusters, trustees in bankruptcy or receivers.

(e) '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 say employees or (2) which may deal with any labor organization concerning grievances, labor disputer, wages, rates of pay, hours of employment, or conditions of work, and includes any person acting directly or indirectly as an em ployer 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.

(f) Employer' means any individual employed by an employer, and includes any individual whose wo, has ceased as a consequence of, or in connection with, any current labor dispute or because of any unfair labor practice or be cause of exclusion or expulsion from a labor organization in any manner or for any reason inconsistent with the requirements of this Act.

(g) 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 the employer and employer.

(i) Labor organization' means a labor organisation 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 exista 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.

(3) A labor organization shall be deemed to be engaged in an industry affecting commerce if it

(1) 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

(2) although not certified, is a national or international labor organization er a local labor organization recognized or acting as the representative of employees of an employer or employers engaged in an industry affecting com

Read these instructions and Form LM-21 carefully before completing any part of this report Lettered and numbered instructions are keyed to items on the form.

WHY FILE. The Labor-Management Reporting and Disclosure Act of 1959 requires every person, including labor relations consultants and other individ. uals and organizations, who pursuant to any agreement or arrangement with any employer undertakes certain activities concerning employees or labor organizations to file annually with the Secretary of Labor a detailed report of receipts and disbursements for each fiscal year during which payments were made as a result of any such agreement or arrangement. To facilitate such reporting the Secretary as authorized by the Act has prescribed the attached Receipts and Disbursements Report Form LM-21.

These reporting requirements of the Act and of the regulations and forms issued under the Act are concerned only with the disclosure of specified payments or Arrangements and activities undertaken pursuant thereto, and not with whether such payments, arrangements or activities are lawful or unlaw ful. The fact that a particular payment, arrangement or activity is required or is not required to be reported does not indicate whether it is or is not subject to any legal prohibition; this must be tested by provisions of law other than those prescribing the reports.

A-PERSONS FILING-WHO MUST FILE. The attached report is required to be filed by any person who, as a direct or indirect party to any agreement or arrangement with an employer subject to the Act, undertakes any activities of the type described in Section 203 (b) of the Act pursuant to such an agree ment or arrangement and who as a result of such agreement or arrangement, lade or received any payment during the fiscal year. The term "person" is Jefined in Section 3(d) of the Act and includes, among others, labor relations consultants as well as other individuals and organizations. Persons who are considered direct or indirect parties to an agreement or arrangement with an employer include persons who have secured the services of another or of others in connection with an agreement or arrangement referred to in Section 203(b) of the Act, as well as persons who have undertaken activities at the behest of another or of others with knowledge or reason son to believe that they are undertaken as a result of an agreement or arrangement between an employer and any other person, except bona fide regular officers. and employees supervisors

of any employer to the extent to which they undertook to perform services as such bona fide regular officers, supervisors or employees of their employer. Note that a person is considered to have "undertaken" activities not only when be performs such activities but also when he agrees to perform them or to have them performed.

1. Name and Address: Enter the full name and address of the reporting "person" (individual or organization). Also enter the trade name, if any. under which the person is performing the reported services. Include ZIP code In address.

2. Addresses Where Records Available: Enter addresses where records which are necessary to verify this report are or will be available for examination. (See part K below.)

3. File No.: Enter the File No. appearing on the Department of Labor's acknowledgement of the receipt of the Agreements and Activities Report. Form LM-20. (See part M below.) If no Form LM-20 has been filed, attach a sheet explaining the reasons.

4. Fiscal Period Covered by This Report: Enter the month, day, and year of the beginning and end of the fiscal period covered by this report. (See part G below.)

of any kind received directly or indirectly from employers on secount of labor relations advice or services, and disbursements of any kind made directly or indirectly in connection with such services, must be reported with respect to each fiscal year during which payments were made or received as a result of any agreement or arrangement with an employer to undertake activities where an object thereof, directly or indirectly, is one or both of the following:

To persuade employees to exercise or not to exercise, or as to the
manner of exercising, the right to organize and bargain collec
tively through representatives of their own choosing. (Excluded.
bowever, are agreements or arrangements covering services re-
lating exclusively to: (1) advising the employer, (2) represent-
ing the employer before any court, administrative agency, or
tribunal of arbitration, or (3) engaging in collective bargaining
on the employer's behalf with respect to wages, hours, or other
terms or conditions of employment or the negotiation of an agree
ment or any questiona arising therunder.) or

To supply the employer with information concerning activities of
employees or of a labor organization in connection with a labor
dispute in which such employer la involved. (Excluded, however,
are agreements or arrangements to supply information exclu-
sively for use in conjunction with an administrative, arbitral, or
judicial proceeding.)

NOTE: If an agreement or arrangement movering the excluded service also covers reportable activities, the exclusion does not apply and the information required for the entire agreement must be reported.

NOTE ALSO: If payments were made or received under any agreement or arrangement of the type described above, all receipts from employers on account of labor relations advice or services must be listed in Part B, and all disbursements in connection with such services must be listed in Part C.

While Section 203 of the Act does not amend, or modify the rights protected by. Section (c) of the National Labor Relations Act, as amended, the Act contains no provision exempting the activities protected by that section from the reporting requirementa Therefore, the information required by this report must be reported regardless of whether it relates to activities which are protected by Section 8 (c) of the National Labor Relations Act, as amended. (For text of 8 (c) of the NLRA are Selected Definitions and Related Provisions at the end of the Instructions.)

B-STATEMENTS OF RECEIPTS. (ALSO SEE SPECIAL INSTRUCTIONS IN BOX BELOW.)

5. Name and Address of Employer. Enter the name and address of all employers from whom receipts were received directly or indirectly on account of labor relations advice or service. Include ZIP code in address.

6. Termination Date: Entries at this item will only be made with respect to employers with whom an agreement or arrangement existed to undertake activities of the kind described in the general instructions above. If such an Agreement was terminated during the fiscal year covered by this report, enter the termination date opposite the name of the employer.

7. Amount: Enter the amount of receipta from each employer on account of or in connection with labor relations advice or services during the fiscal year If receipt was not in cash, indicate its nature or kind, and list its each value On the last line of this column enter the total receipta from employers.

If the reporting organization has receipts and disbursements both for "labor relations advice and services" and for other services, and if the amounts attributable to labor relations advice and services and the other services are not separately shown on ita records, it should report as follows:

(1) The reporting organization may allocate, on any reasonable basis, that portion of the receipt or disbursement which is attributable to labor relations advice or services and attach an explanation of the method of allocation used.

(2) If allocation is not feasible, the reporting organization may report the entire receipt or disbursement with an explanation that the receipt or disbursement in question includes matters not connected with labor relations advice or services

In

Column (c) List any allowance or direct or indirect disbursement for ex penses (including reimbursed expenses) paid to each officer or employee. clude all disbursements for travel, hotels, meals, and similar expenses for goods, services, or other items of value paid in connection with labor relations advice or service rendered to an employer. Do not include expenses for hotel roam or for tr transportation of the officer or employee of the reporting organisation by public carrier for which payment was made to the botel or public carrier or its agents by the reporting organization either directly or through its credit arrangements rather than to the officer or employee designated in Column (a). Also do not include disbursements for expenses incurred by the officer or employee for goods or services or other things of value furnished to the reporting organization or its clients, e.g.. rent for a ball in which a speech on behalf of the employer-client is to be given. The excluded items should be reported under other appropriate categories.

Column (d)-Enter the total salary, allowance, and other disbursements to each officer and employee. On the last line of this column, total all salaries allowances, and disbursements paid to all officers and employees listed in column (a).

9. Office and Administrative Expense: Enter disbursements made for all office and administrative expenses in connection with labor relations advice and services except salaries, allowances, etc. to affoers and employees (which are reported in Item 8). Include such expenses an heat, light, rent, telephone, and office supplies.

10. Publicity. Enter total disbursements made for purposes of publicity in connection with labor relations advice or services. Include bere such expenses as fees charged by newspapers, radio and television stations, magasines, etc. Also include the cost of printed or duplicated matter, where such matter is used in connection with labor relations advice or services.

11. Fees for Professional Services: Enter the total fees paid for profes sional services provided by persons other than officers and employees of the reporting organization. Include fees for such services as auditing, economic research, legal services, and investigating. Report only services procured in connection with labor relations advice or services rendered an employer.

12. Loans Made: Enter or total of all loans made by the reporting organi. sation In conperties with Inter relations advice or services rendered an

employer.

13. Other Disbursements: Enter the total of all other disbursements made by the reporting organization in connection with labor relations advice or services rendered an employer. Specify and show separately any items of significant amount on a separate sheet attached to the Form LM-21.

14. Total Disbursements: Enter the sum of items 8 through 13.

D.-SCHEDULE OF DISBURSEMENTS.

General. The schedule of disbursements is to be completed only for those disbursements to persons other than officers and employees of the reporting organization, where an object of the disbursement, directly or indirectly, is one or both of the following:

To persuade employees to exercise or not to exercise, or persuade
employees as to the manner of exercising, the right to organise
and bargain collectively through representatives of their own
choosing, or

To supply an employer with information concerning the activities
of employees of a labor organization in connection with a labor
dispute involving such employer, except information for use solely
in conjunction with an administrative or arbitral proceeding or a
eriminal or civil judicial proceeding.

Do not report on the schedule disbursements which were in connection with labor relations advice or services, but were not for the purposes described above.

15. Employer: Enter in this column the name of the employer for whom the disbursement was made.

Enter in this column the name and address of the 16. To Whom Paid: person to whom the disbursement was made.

17. Amount: Enter in this column the amount of the disbursement.

18. Purpose of Disbursement: Enter in this column the purpose of the disbursement. The purpone must be described in sufficient detail to reveal the relationship between the disbursement and the service which was or will be furnished to the employer. Thus, if a disbursement was made to a printing Arm to print a pamphlet, it is not sufferent to state in column 18, to print Damphlets The answer should indicate the reason for printing the pam

phlets: for example. "to print pamphlets to be distributed to employees of X Company The pamphlets are intended to persuade employees not to join

a union."

In a similar manner, if a disbursement was made to acquire the services of a public relations company, it is not sufficient to state. "to hire representatives of public relations firm." A proper answer might be, "to employ public rela tions Arm to persuade employees of X Company that their union's wage de mands are unreasonable.”*

E-VERIFICATION AND SIGNATURE This report is to be signed by the president and treasurer, or corresponding principal officers of the reporting organization. If the report is not signed by a person having the title of president or treasurer. cross out the inapplicable title and insert the correct one If this report is filed by an individual in his own behalf, it need only bear his signature. The city and State, and month, day, and year where and when the report is signed will also be entered.

F-PERSONAL RESPONSIBILITY. Under Section 209 (d) of the Act, each individual required to sign this report is personally responsible for the filing of the report and for any statement contained therein which he knows to be false

G-WHEN TO FILE. Every person, including labor relations consultants and other individuals and organizations, subject to the Act who has made or received payments described in the form must submit a report on Form 1.M-21 within 90 days after the close of his fiscal year. If, however, he was subject to the Act for only a portion of his fiscal year (either because the date of enartment of the Act, September 14, 1959, occurred during his fiscal year or be cause he became subject to the Act during the fiscal year) he may consider that portion as the entire fiscal year in making this report.

H.-WHERE TO FILE REPORTS AND COPIES An original and a copy of the completed report, together with an original and copy of all attachments, must be filed with the Office of Labor Management Standards Enforcement. U.S. Department of Labor. Washington, D.C. 20216.

I-LEGIBILITY. The forms should be filled in on a typewriter or printed

in ink.

J-INSUFFICIENT SPACE. Where additional space is needed to answer any item of the form, indicate in the space provided for that item that additional information is given on an attached sheet. Be sure that the attached sheet identifies the item and part to which the attachment applies and that the name and address of the reporting person are clearly shown on the top of each attached sheet.

K-RETENTION OF RECORDS. The law provides that every person re quired to file this report 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 Secretary of Labor may be verified, explained or clarified, and checked for accurary 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 hich they contain.

L-PENALTIES. The law provides penalties for a willful failure to file a required report and for making any false statement or representations of a material fact, knowing it to be false, or for knowingly failing to disclose a material fart in this report or in the information required to be contained in it or any document required to be submitted with it. Penalties are also prowded for willfully making any false entry in or concealing, withholding, or destroying any books, records, reports, or statements required to be kept.

M.-OTHER REPORTS Every person, including labor relations consultants and other individual and organizations, who has entered into any agreement or arrangement with employers subject to the Art to undertake activities of the type described under “Receipts and Disbursements" above is also required by Section 203(b) of the Art to file with the Secretary of Labor an Agreementa and Activities Report. Form LM-20. Form LM-20 must be filed within 30 days after entering into any such agreement or arrangement; copies of that form may be obtained from the Office of Labor Management Standards Enforcement, U.S. Department of Labor. Washington, D.C. 20216, or from any Area office of the Office of Labor-Management Standards Enforcement.

Selected Definitions and Related Provisions of the Labor-Management Reporting and Disclosure Act of 1959 "Section 3.

(a) Commerce' means trade, traffic, commerce, transportation, transmission, or communication among the several States or between any State and any place outside thereof.

(b) 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 143 U.S.C 1331-1343).

(c) Industry affecting commerce' means any activity, business, or industry in commerce or in which a labor dispute could 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 Aet. As amended.

(d) Person includes one or more individuals, labor organizations, partner. ships. Associations corporations. legal representatives, mutual companies, joint-stock companies. trusta, unincorporated organizations, trustees, trustees in bankruptcy, or receivern.

(e) 'Employer' means any employer or any group or association of em players engaged in an industry affecting commerce (1) which in, 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 ons of work, and includes any person arting directly or indirectly as an employer or as an agent of an employer in relation to an employer 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.

(f) 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 be cause of exclusion or expulsion from a labor organization in any manner or for any reason inconsistent with the requirements of this Art.

от

ig) Labor dispute includes any controversy concerning terms, tenure. conditions of employment. of 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.

(1) 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 purpuse, in whole or in part, of dealing with employers concerning grievances, labor disputes, wages, rates of pay. bours, or other terms or conditions of employment, and any conference, general committes, 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

(1) A labor organization shall be deemed to be engaged in an industry affert ing commerce if it

(1) is the certified representative of employees under the provisions of the National Labor Relations Act, as amended, or the Railway Labor Art. as amended or

(2) although not certified, is a national or international labor organization or a local labor organization recognized or arting as the representative of employees of an employer or employers engaged in an industry affecting com

merce: or

(3) has chartered a local labor organization or subsidiary body which is representing or actively seeking to represent employees of employers within the meaning of paragraph (1) or (2); or

(4) has been chartered by a labor organization representing or actively seeking to represent employees within the meaning of paragraph (1) or (2) as the local or subordinate body through which such employees may enjoy membership or become affiliated with such labor organization. or

(5) is a conference, general committee, joint or system board. or joint rouncil, 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 subsection, other than a State or local central body.

GPO 926-202