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offices of the Wage and Hour and Public Contracts Divisions pending establishment of Bureau offices.

An appropriation of $3,025,000 was available to the Bureau for fiscal year 1960. The Bureau was allocated and has obligated about 90 percent of the appropriated funds. A similar portion of the 1961 appropriation estimate of $5,500,000 will be allocated to the Bureau. Plans for 1961 call for early completion of staffing of the Bureau within the limit of funds available and vigorous pursuit of all programs of the Bureau, with particular emphasis on those aspects calculated to produce widespread understanding and acceptance of the law and a maximum of voluntary compliance.

Technical Assistance

In the evolution of the Bureau, the need developed for a concentrated program to assist organizations and persons who had acquired reporting or other obligations under the law. The Technical Assistance Division was established to inensify efforts to obtain compliance by education.

This Division inaugurated its program in December 1959, with the development of "how to do it” pamphlets on financial reporting by trade unions.

To further the objective of voluntary compliance with the act, the Bureau has emphasized its readiness to assist those covered by the act. A special effort has been made by the Division of Technical Assistance to see that unions with education departments and universities with worker education and industrial relations programs are aware of the availability of Bureau materials which might be useful in their various training programs.

The Technical Assistance Division has directed its attention to the needs of local unions, by far the largest group affected by the reporting and other provisions of the law. It has encouraged those union officials needing help to visit the BLMR area offices or to write to the national office.

The staff of the Division of Technical Assistance is available to participate in union or university programs which train union members in reportmaking and other provisions of the law affecting internal union functioning. Upon invitations from a variety of unions and educational institutions, there has been participation by Bureau representatives in their activities.

Compliance and Enforcement The Labor-Management Reporting and Disclosure Act vests in the Secretary of Labor broad powers to make investigations which he considers necessary to determine whether any person has violated or is about to violate any provision of the act. Excluded from this statutory jurisdiction are the provisions of section 505 and all of title VII which amend the Labor Management Relations Act, 1947. All of title I except section 104 is also excluded from his statutory jurisdiction. The Bureau conducts investigative activity for the Secretary. In the first few months after passage of the act, the Bureau received by mail, telephone, and personal visit hundreds of complaints. All of these required preliminary investigation to determine whether the complaints alleged violations falling within the scope of the Secretary's enforcement responsibility.

The compliance and enforcement portion of the field program was formally activated January 4, 1960, with the opening of area offices in 22 principal metropolitan cities in the United States. Initially, these offices were staffed with one compliance officer whose purpose was to receive and service complaints of alleged violations of the act and to answer inquiries about the act directed to that office. By the end of February, an average of four compliance officers were assigned to each of these offices, and staff responsibilities had been established. At that time, complaints of alleged violations were being received by the BLMR at the rate of 200 a month, a volume far in excess of that anticipated following enactment of the law.

Compliance officers in the field perform two major functions: One is furnishing assistance to labor unions, employers, and others unfamiliar with the requirements of the law and advising them in the preparation of required reports. The other is to investigate alleged violations.

An Office of Compliance and Enforcement was established in the Bureau in Washington immediately after the effective date of the legislation. To review, coordinate, and control field investigative activities within the scope of uniform legal, procedural, and interpretative principles, this office is charged with these principal functions: (1) the development of uniform internal operating procedures and professional operating standards, (2) the supervision of area office investigations, and (3) the conduct of investigations which are multi-area in scope.

Under authority of section 607 of the act, the Secretary of Labor on February 16, 1960, delegated to the U.S. Attorney General the responsibility for the investigation of certain criminal violations of the act. The violations affected by this agreement were:

1. Section 501(c) (embezzlement of union funds) of title V. 2. That part of section 503(b) of title V which refers to a payment of a

labor official's or employee's fine by an employer. 3. Section 504 (prohibition against certain persons from holding office) of

title V.

4. Section 505 (containing an amendment to section 302, Labor Manage

ment Relations Act of 1947, as amended) of title V. 5. Section 602 (extortionate picketing) of title VI.

6. Section 610 (deprivation of rights by force and violence) of title VI. This delegation was made to avoid duplication of effort and in recognition of the fact that the Department of Justice, in its Federal Bureau of Investigation, had a trained corps of investigators which could handle complaints under these sections of the act more expeditiously than BLMR during its organizational stages.

Accordingly, complaints of violations falling within the delegated areas are immediately transmitted to the Department of Justice for investigation. There is continuous consultation between the two Departments to assure coordination of the programs.

The BLMR investigates all civil violations of the act and all criminal allegations arising from the reporting provisions of the act, union trusteeships, bonding of all persons handling funds or property of labor organizations or of trusts in which labor organizations are interested, making of loans by labor organizations to officers and employees of the labor organizations, and the payment of courtimposed fines by a labor union for a union official or employee. It also conducts investigations for presentation by the Office of the Solicitor of Labor of the issues involving the grant of an exemption by the Federal Parole Board for individuals convicted of certain crimes who seek relief from the provision of section 504 of the act barring them from holding office in labor organizations or from serving as labor relations consultants or in similar capacities.

In the absence of substantial evidence that a violation of the law has been willfully committed, the Bureau strives to obtain compliance without instituting legal proceedings. Where technical violations have been found, evidence of willfulness has been lacking in most cases and the offending parties have corrected their practices or supplied the deficiences in their reports when derelictions were called to their attention. As an example, violations of section 104 of the act were alleged; this section requires the furnishing of copies of collective bargaining agreements to all affected by that agreement. When this was brought to the attention of union officials, complete compliance with the law was obtained.

Title II of the act, which requires reports from labor unions and also requires union officers and employees, employers, labor relations consultants, and others to report certain specified transactions for public disclosure, involved substantial investigative activity of BLMR. Many small unions which did not file reports were contacted, and they immediately complied. Failure to file such reports had apparently resulted from lack of knowledge of the act, unfamiliarity with the reporting requirements, or inability to furnish the requested information because of lack of legal or accounting advice. Full cooperation of these local unions has been obtained, and most of the necessary reports filed. Notices have been mailed to over 900 individuals and organizations believed to be engaged as labor relations consultants, calling to their attention the requirements of the law. A similar program was instituted with respect to employers known to have utilized the services of labor relations consultants before the law was enacted.

Title III investigations involving trusteeships resulted in several cases in the release of these trusteeships to the autonomy of local leadership after it became known that complaints had been filed with BLMR. Also, the Bureau completed several investigations of trusteeships which had been imposed after the enactment of the law, but in every such case it was determined that the parent organization had imposed the trusteeship in accordance with the requirements of the act. In no instance prior to June 30, 1960, was it necessary for the Secretary of Labor to invoke the act to declare the imposition of a trusteeship unlawful; however, a number of cases involving trusteeships were still under investigation at the close of the fiscal year.

Title IV violations involving elections were alleged in many complaints to BLMR. The majority of the complaints were prematurely filed, in that the internal administrative proceedings of the union had not been followed by the complainants as required by the act. It is the policy of the act to avoid premature involvement in election matters. Bureau action will be initiated only upon a written complaint from a union member after an election has been completed and after his remedies within the union have been exhausted. Experience gained thus far indicates that most of the complaints filed with BLMR area offices prior to an election are not refiled after the election. The Bureau has received numerous requests to furnish observers at the polls during elections; however, the act gives to the Bureau no such authority, and therefore such requests have been denied.

Title V violations are primarily within the scope of the agreement with the Department of Justice, except when concerning bonding, loans by unions to officers and employees, payment of fines by union officers, and applications for exemption under section 504.

There were three applications for exemption under section 504 filed with the Board of Parole, U.S. Department of Justice. The BLMR investigates the information set forth in the application, and makes such other background investigation as may be necessary, the results of which are presented by the Solicitor's Office at an administrative hearing before the Board of Parole. The Board of Parole has acted on three applications. In two instances the petitioner was granted an exemption certificate; in the third case the petition for the certificate was denied. In the latter decision the Parole Board reversed the hearing examiner who had recommended the granting of a certificate. In doing so, the Parole Board emphasized the difference between “rehabilitation” from a penological point of view which is sufficient to grant parole to an imprisoned person and the standards required by the LMRDA for the grant of a certificate of exemption under section 504. It said that parole may be granted if there is a reasonable probability that a prisoner will live and remain at liberty without violating the laws and if, in the opinion of the Parole Board, such release is not incompatible with the welfare of society. But it stated that a certificate of exemption under section 504 is to be granted only if the applicant adheres to the “highest standards of responsibility and ethical conduct.”

Title VI violations center principally under section 60g involving prohibition of disciplinary action by labor organizations.

Complaints received under this section generally involve a restraint of rights guaranteed to union members under title I of the act. The Secretary has no enforcement authority under section 609. Therefore, after a preliminary investigation of complaints under this section, the complainant is usually advised of the provisions of the law and the rights guaranteed to him, including the right to bring a private action in a Federal district court.

Statistics relating to investigations are presented in tables 8 through 10. These show investigations opened, by the types of alleged violations, subjects investigated, and the source of the allegations. All the statistics include investigations delegated to the Department of Justice pursuant to an agreement between the Secretary of Labor and the Attorney General.

The 52,278 labor organization reports represent substantial compliance with section 201(a) of the act. Every national or international union known by the Department of Labor to be subject to the law has filed an LM-1 form, but it is likely that there are still several hundred locals or other small labor organizations which have not submitted such reports. To facilitate the compliance program, the Bureau is compiling a roster of all labor organizations which have filed reports. It will list all the unions by location. It will be published and distributed widely to aid the Bureau's staff and others in locating labor organizations which have not filed reports and in checking on their reasons for not doing so.

Early in 1960, compliance officers throughout the country compiled a list of labor relations consultants whose names appear in classified telephone directories and other sources. Approximately a thousand letters were sent to such persons, calling their attention to the filing requirements of section 203(b) of the act. While it is likely that the overwhelming majority of such consultants do not engage in the type of activities which must be reported under the law, the Bureau believes that there are probably some who have a reporting obligation but have failed to file.

Cross-checks are constantly being made of employer reports, consultant reports, and union officer and employee reports. Wherever a consultant's report identifies an employer with whom he has entered into an arrangement to perform certain services, the employer is put on notice of the reporting requirements. Wherever an employer's report identifies a consultant with whom he has entered into an arrangement to perform certain services, the consultant is also put on notice.

The task of locating employers and consultants who should file but have failed to do so will be much more difficult than the task of locating noncomplying unions. To obtain full compliance with section 203 of the act, the Bureau must have the assistance of organized labor, employees, and others who may

be in a position to identify employers and their middlemen or agents who engage in activities on which reports are required by the law.

A more detailed account of the Bureau of Labor-Management Reports may be found in the publication “Report on Fiscal Year 1960,” issued by the Bureau in September 1960.

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