U.S. Department of Labor Office of Labor-Management Standards (OLMS)

1
Filing Revised Form LM-30 An Overview of Union
Officer and Employee Reporting
U.S. Department of LaborOffice of
Labor-Management Standards(OLMS)
2
NOTE

• This presentation is about revised Form LM-30,
  Labor Organization Officer and Employee Report,
  which is the required form for reports covering a
  labor organization officials fiscal year
  beginning August 16, 2007 and thereafter. Reports
  covering fiscal years beginning before that date
  may be filed on the current Form LM-30.
• This presentation, with very minor editorial
  changes, is the same as the presentation at an
  October 9, 2007 public seminar at the Department
  of Labor.

3
Introduction
The Labor-Management Reporting and Disclosure Act
(LMRDA) requires union officers and certain
employees to file a report annually with the
Department of Labors Office of Labor-Management
Standards (OLMS) if during the year, they, their
spouse, or their minor child (under age 21)
received gifts or payments from, engaged in
certain activities with, or had certain financial
interests involving

• Employers whose employees their union represents
• Certain other employers
• A business that deals in substantial part with
  employers whose employees their union represents
• A business that deals with their union or with a
  trust in which their union is interested

4
Clerical or Custodial Employees

• Employees who perform exclusively clerical or
  custodial functions do not have to file a Form
  LM-30.
• Clerical functions are those involving typing,
  filing, data entry, note-taking, or similar
  duties lacking decision-making authority.
• Custodial functions are those associated with
  janitorial or routine maintenance tasks.

5
Payments from Represented Employers

• 1. Union officers or employees must file a Form
  LM-30
• if they or their spouse or minor child had any of
  the following
• interests or dealings related to an employer
  whose employees
• their union represents or is actively seeking to
  represent

- Held any stock, bond, security or other
interest in such an employer
6
Payments (cont.)

- Derived any income or any other benefit with
monetary value (including reimbursed expenses)
from such an employer (except for payments and
benefits as a bona fide employee of the employer)
- Received a loan from, or made a loan to, such
an employer
- Engaged in any other business transaction or
arrangement with such an employer that was not a
purchase or sale of goods or services in the
regular course of business at prices generally
available to any employee of the employer.
7
Exceptions to Reporting

• Exceptions to the Reporting Requirements Relating
  to a
• Represented Employer
• Holdings of, transactions in, or income from,
  bona fide
• investments in (1) securities traded on a
  securities exchange
• registered as a national securities exchange
  under the
• Securities Exchange Act of 1934 (e.g. the New
  York Stock Exchange,
• NASDAQ, etc.), (2) shares in an investment
  company registered
• under the Investment Company Act of 1940, or (3)
  securities of
• a public utility holding company registered under
  the Public Utility
• Holding Company Act of 1935 do not have to be
  reported.

8
Exceptions to Reporting

• Holdings of, transactions in, or income from,
  bona fide
• investments in other securities that are of
  insubstantial value or
• amount and occur under terms unrelated to the
  officials status
• in a labor organization do not have to be
  reported. Holdings or
• transactions involving 1,000 or less and receipt
  of income of
• 100 or less in any one security are considered
  insubstantial.

9
De Minimis Exception

• Payments or gifts totaling 250 or less from any
  one source do not have to be reported (payments
  or gifts valued at 20 or less do not need to be
  included in determining whether the 250
  threshold has been met).

10
Widely Attended Gatherings

• You do not have to report the benefits, such as
  food and entertainment, that you receive while in
  attendance at one or two widely attended
  gatherings in a single fiscal year for which an
  employer or business has spent 125 or less per
  attendee per gathering.
• A gathering is widely attended if a large number
  of people are in attendance and the attendees
  include union officials and a substantial number
  of individuals with no relationship to a union or
  to a section 3(l) trust of the union.

11
Widely Attended Gatherings (cont.)

• You do not have to include the value of these
  gatherings in determining whether the 250
  threshold has been met for the employer or
  business providing the event.
• If you attend more than two such events provided
  by an employer or business, you must count the
  value of each event.
• If the benefit for a single event exceeds 125,
  you must include the value of the event in
  determining whether the 250 threshold has been
  met.

12
Financial Institutions That Are Represented
Employers

• Credit card transactions (including unpaid
  balances) and
• Interest and dividends paid on savings accounts,
  checking accounts, and certificates of deposit
• Do not have to be reported if the payments and
  transactions are based upon the institutions own
  criteria and made on terms unrelated to the
  officials status in the labor organization

13
Bona Fide Employee

• Payments and benefits received as a bona fide
  employee of
• the employer do not have to be reported.

14
Are Union Stewards Considered to be Union
Employees?

• For purposes of Form LM-30, stewards receiving
  union
• leave/no-docking payments from an employer or
  lost time
• payments from a union are considered to be
  employees of
• the union.

15
Must Such Stewards File Form LM-30?

• No report is required if they receive 250 hours
  or less of
• union leave/no-docking or lost time payments
• Unless the union leave/no docking payments are
  not made
• pursuant to a collective bargaining agreement.

16
Payments Not Made Under a Collective Bargaining
Agreement

• Union leave/no-docking payments must be reported
  if they
• are not made under a collective bargaining
  agreement, but if
• they are for 250 hours or less, the steward does
  not have to
• report anything else on Form LM-30.

17
Payments for More Than 250 Hours

• A steward who receives more than a total of 250
  hours of
• union leave/no-docking and/or lost time payments
  is subject to all the Form LM-30 reporting
  requirements. (Lost time payments from the union
  are not required to be reported.)

18
Other Employers

• 2. Union officers or employees must file a Form
  LM-30 if they or their spouse or minor child
  received any payment of money or other thing of
  value from an employer or a labor relations
  consultant for an employer that

- is in competition with an employer whose
employees their labor organization represents or
is actively seeking to represent
19
Trusts

• Union officials must file a Form LM-30 if they
  or their spouse or minor child received any
  payment of money or other thing of value from an
  employer that is a trust in which a labor
  organization is interested which is defined as a
  trust or other fund or organization that

Either was created by the labor organization or
one or more of its trustees or governing board
members were selected by the labor organization,
and Has as a primary purpose providing benefits
for the labor organization members or their
beneficiaries.
20
Not-For-Profit Organizations

• Union officials must file a Form LM-30 if they
  or their spouse or minor child received any
  payment of money or other thing of value from an
  employer or a labor relations consultant for an
  employer that

- is a not-for-profit organization that receives
or is actively and directly soliciting (other
than by mass mail, telephone bank, or mass
media) money, donations, or contributions from
their labor organization.
21
Certain Labor Organizations

• Union officers or employees must file a Form
  LM-30 if they or
• their spouse or minor child received any payment
  of money
• or other thing of value from an employer or a
  labor relations
• consultant to an employer that

• - is a labor organization that
• has employees their union represents or is
  actively seeking to represent,
• has employees in the same occupation as those
  represented by their union,
• claims jurisdiction over work that is also
  claimed by their union,

22
Labor Organizations (cont.)

• - is a labor organization that
• is a party to or will be affected by any
  proceeding in which they have voting or
  policy-influencing authority, or
• has made a payment to them for the purpose of
  influencing the outcome of an internal union
  election
• However, a report is not required for any payment
  from the
• officials labor organization or from a labor
  organization
• affiliated with the officials labor
  organization.

23
Conflicting Interests

• Union officials must file a Form LM-30 if they or
• their spouse or minor child received any payment
  of
• money or other thing of value from an employer or
  a labor
• relations consultant to such an employer that
• Example You are a union officer. An employer
  provides you with an
• all-expenses paid weekend ski trip for the
  purpose of discussing the
• unions potential endorsement of a political
  candidate. You must report
• the value of this ski trip.

- has interests in actual or potential conflict
with the interests of their labor organization or
their duties to their labor organization.
24
Exceptions to Reporting

• Exceptions to the Requirements Just Discussed
  Relating to
• Certain Employers
• Union officials are not required to report
• Payments of the kinds referred to in Labor
  Management Relations Act (LMRA) Section 302(c),
  and payments their spouse or minor child receive
  by reason of their service to such an employer.
  For example, these payments are not reportable
• Any money or other thing of value payable by an
  employer to
• an employee acting openly for the employer in
  matters of labor relations or personnel
  administration
• Any union official who also is an employee or
  former employee of the employer, as compensation
  for or by reason of, his service as an employee
  of the employer
• Any money or other thing of value payable in
  satisfaction of a judgment, arbitral award,
  settlement or release of any claim in the absence
  of fraud or duress
• The sale or purchase of an article or commodity
  at the prevailing market price in the regular
  course of business

25
Financial Institutions

• Exceptions to the Reporting Requirements Relating
  to Certain
• Employers
• Union officials are not required to report
• Bona fide loans, credit card transactions,
  interest or dividends from banks, credit unions,
  etc., if they are based upon the financial
  institutions own criteria and made on terms
  unrelated to the individuals status in a labor
  organization. The exception does not apply to
  financial institutions that constitute a trust
  in which your labor organization is interested.

26
Trust Fund Payments

• Exceptions to the Reporting Requirements Relating
  to
• Certain Other Employers or a Labor Relations
• Consultant to Such an Employer
• Union officials are not required to report
• Pension, health, or other benefit payments to
  them, their
• spouse, or minor child from any trust that are
  provided pursuant
• to a written specific agreement covering such
  payments.

27
De Minimis Exception

• Union officials are not required to report
• Payments or gifts totaling 250 or less from any
  one source
• (payments or gifts valued at 20 or less do not
  need to be
• included in determining whether the 250
  threshold has been
• met.)
• One or two widely attended gatherings where they
  received benefits of 125 or less per gathering.

28
Payments for Improper Purposes

• 3. Union officers or employees must file a Form
  LM-30 if they or their spouse or minor children
  received any payments for the following purposes
  from any employer or a labor relations consultant
  for any employer

• Not to organize employees
• To influence employees with respect to their
  right to
• organize
• To take any action with respect to the status of
  employees or others as members of a labor
  organization

29
Improper Purposes (cont.)

• To take any action with respect to bargaining or
  dealing with employers whose employees their
  labor organization represents or is actively
  seeking to represent
• To influence the outcome of an internal union
  election.
• There are no exceptions to reporting payments
  received for any of these five purposes.

30
Businesses

• 4. Union officers or employees must file a Form
  LM-30 if they
• or their spouse or minor children held an
  interest in, or received
• any income or other benefit from a business that
  meets any of the
• following conditions

- 10 or more of its business consists of buying
or selling or otherwise dealing with an employer
whose employees their labor organization
represents or is actively seeking to represent or
- any part of its business consists of buying or
selling or otherwise dealing with their labor
organization or a trust in which their labor
organization is interested.
31
Exceptions to Reporting

• Holdings of, transactions in, or income from,
  bona fide
• investments in (1) securities traded on a
  securities exchange
• registered as a national securities exchange
  under the
• Securities Exchange Act of 1934 (e.g. the New
  York Stock
• Exchange, NASDAQ, etc.), (2) shares in an
  investment
• company registered under the Investment Company
  Act of
• 1940, or (3) securities of a public utility
  holding company
• registered under the Public Utility Holding
  Company Act of
• 1935 do not have to be reported.

32
Exceptions to Reporting

• Holdings of, transactions in, or income from,
  bona
• fide investments in other securities that are of
• insubstantial value or amount and occur under
  terms
• unrelated to the officials status in a labor
• organization do not have to be reported.
  Holdings
• or transactions involving 1,000 or less and
  receipt of
• income of 100 or less in any one security are
• considered insubstantial.

33
De Minimis Exemption

• Union officials are not required to report
• Payments or gifts totaling 250 or less from any
  one source
• (payments or gifts valued at 20 or less do not
  need to be
• included in determining whether the 250
  threshold has been
• met.)
• One or two widely attended gatherings where they
  received benefits of 125 or less per gathering.

34
Financial Institutions as Businesses

• Credit card transactions (including unpaid
  balances) and
• Interest and dividends paid on savings accounts,
  checking accounts, and certificates of deposit
• Do not have to be reported if the payments and
  transactions
• are based upon the institutions own criteria and
  made on
• terms unrelated to the officials status in the
  labor
• organization

35
Selected Definitions

• Actively seeking to represent means that a labor
  organization has taken steps during the labor
  organization officers or employees fiscal year
  to become the bargaining representative of the
  employees of an employer, including but not
  limited to
• Sending organizers to an employers facility
• Placing an individual in a position as an
  employee of an employer that is the subject of an
  organizing drive and paying that individual
  subsidies to assist in the labor organizations
  organizing activities
• Handing out leaflets

36
Actively Seeking to Represent (cont.)

• Circulating a petition for representation among
  employees
• Soliciting employees to sign membership cards
• Demanding recognition or bargaining rights or
  obtaining or requesting an employer to enter into
  a neutrality agreement (whereby the employer
  agrees not to take a position for or against
  union representation of its employees), or
  otherwise committing labor or financial resources
  to seek representation of employees working for
  the employer.

37
Selected Definitions

• Labor organization means the local, intermediate,
  or national or international labor organization
  that employed the official, or in which the
  official held office, during the reporting
  period, and, in the case of a national or
  international labor organization officer or an
  intermediate labor organization officer, any
  subordinate labor organization of the officers
  labor organization. The terms your labor
  organization and your union mean
• a. For officers and employees of a local labor
  organization
• The local labor organization.

38
Labor Organization (cont.)

• b. For officers of an international or national
  labor organization
• The national or international labor organization
  and all of its affiliated intermediate bodies and
  all of its affiliated local labor organizations
• But note A national or international union
  officer does not have to report payments from or
  interests in businesses that deal with employers
  represented by, or actively being organized by,
  any lower level of the officers labor
  organization. Such officers are also not
  required to report payments and other financial
  benefits received by their spouse or minor child
  as bona fide employees of a business or employer
  involved with a lower level of the officers
  labor organization.

39
Labor Organization(cont.)

• For employees of a national or international
  labor organization
• The national or international labor organization.

40
Labor Organization (cont.)

• d. For officers of intermediate bodies
• The intermediate body and all of its affiliated
  local labor organizations.
• But note An officer of an intermediate body
  does not have to report payments from or
  interests in businesses that deal with employers
  represented by, or actively being organized by,
  any lower level of the officers labor
  organization. Such officers are also not
  required to report payments and other financial
  benefits received by their spouses or minor
  children as bona fide employees of a business or
  employer involved with a lower level of the
  officers labor organization.

41
Labor Organization (cont.)

• For employees of an intermediate body
• The intermediate body.

42
Completing Form LM-30

• Part A
• The first five items on the form and Item 8
  (signature
• and verification) must be completed by all
  filers.

43
Completing Form LM-30

• Part A
• The summary (Item 5) must be completed after you
  have
• completed each Part B (Schedules 1 4 of the
  form) that you
• are required to file.

44
Completing Form LM-30

• Part A
• Page 2 (Items 6 and 7) must be completed by all
  filers.
• Item 6 lists the seven types of employers that
  the filer must report payments from or dealings
  with as discussed earlier. The filer indicates
  the number of employers that he or she had
  reported relationships with.
• Item 7 lists the three types of businesses that
  the filer must report payments from or dealings
  with as discussed earlier. The filer indicates
  the number of businesses that he or she has
  reportable relationships with.
• You are only required to file Form LM-30 if you
  answer Yes to Item 6a or Item 7a.

45
Completing Form LM-30

• Part B (Schedules 1-4)
• The filer must complete a separate Part B for
  every employer or business that he or she had a
  reportable relationship with.
• Schedule 1 - Employer or Business Identifying
  Information.

46
Completing Form LM-30

• Part B (Schedules 1- 4)
• Schedule 2 - Filers Interest In, Payments From,
  or Arrangements with the Employer or Business
  Identified in Schedule 1 (all filers must
  complete)

47
Examples

• Examples of situations that must be reported in
  Schedule 2
• You are a union officer and your spouse receives
  a loan from an employer whose employees your
  union represents. The loan must be reported.
• You are an officer of a district council. Your
  spouse owns and operates a small catering
  business. The council purchases catering
  services from your spouses business. You must
  report your spouses ownership interest in the
  catering business and the salary and reimbursed
  expenses that she received from the business.

48
Completing Form LM-30

• Part B (Schedules 1- 4)
• Schedule 3 - Employers Relationship with the
  Filers Labor Organization
• This schedule must be completed if the entity
  listed in Schedule 1 is an employer.
• Check the box in Part A of Schedule 3 that
  describes the relationship of the employer listed
  in Schedule 1 to your labor organization.
• Provide details in Part B of the employers
  relationship with your labor organization.

49
Completing Form LM-30

• Part B (Schedules 1-4)
• Schedule 4 - Businesss Dealings with Filers
  Union, Trust, or an Employer Whose Employees the
  Filers Union Represents or Actively Seeks to
  Represent.
• This schedule must be completed if the entity
  listed in
• Schedule 1 is a business.
• Enter the requested information describing the
  dealings between the business listed in Schedule
  1 and your labor organization, any trust in which
  your labor organization is interested, and any
  employer whose employees your labor organization
  represents or actively seeks to represent.

50
Examples

• Examples of situations that must be reported in
  Schedule 4
• You are the president of a local union and own a
  building, which has numerous tenants, including
  your local. The rental agreement between you and
  the union, ands its value, must be reported.
• You are a union employee and your spouse owns a
  vending machine business a substantial part of
  which consists of revenue from machines placed in
  employee break rooms and public areas controlled
  by the employer. The vending agreement, and its
  terms, must be reported.

51
Signing Form LM-30

• Sign and date the Form LM-30 after you have
  completed the required number of Part B.
• Form LM-30 must be signed by the union officer or
  employee required to file it.

52
Filing Form LM-30

• Labor organization officers and employees must
  file
• Form LM-30 within 90 days after the end of
  their fiscal year.
• The completed Form LM-30 must be mailed to
• U.S. Department of Labor ESA/OLMS, Room
  N-5616 200 Constitution Avenue,
  NW Washington, DC 20210-0001

53
Obtaining Copies of Completed Reports

• All reports required to be filed under the LMRDA
  are public information.
• You can view and print Form LM-30 reports for the
  year 2000 and later at www.unionreports.gov
• You can order earlier reports at this Web site.
  Form LM-30 reports may also be examined, and
  copies purchased, at the OLMS Public Disclosure
  Room at
• U.S. Department of Labor
• Office of Labor-Management Standards
• Room N-1519
• 200 Constitution Avenue, NW
• Washington, DC 20210

54
Additional Information

• More information regarding Form LM-30 is
  available on the Internet at www.olms.dol.gov.
  You can also contact your nearest OLMS field
  office at
• http//www.dol.gov/esa/contacts/olms/lmskeyp
• You may email us at olms-public_at_dol.gov
• If you would like to receive periodic email
  updates from OLMS, you may subscribe to the OLMS
  Mailing List via the OLMS Web site or by sending
  an email directly to OLMS-NewsList_at_dol.gov.