29 C.F.R. PART 402—LABOR ORGANIZATION INFORMATION REPORTS
Title 29 - Labor
Authority: Secs. 201, 207, 208, 73 Stat. 524, 529 (29 U.S.C. 431, 437, 438); Secretary's Order No. 5–96, 62 FR 107, January 2, 1997.
Source: 28 FR 14381, Dec. 27, 1963, unless otherwise noted.
Every labor organization shall adopt a constitution and bylaws consistent with the provisions of the Act applicable thereto, within 90 days after the date the labor organization first becomes subject to the Act. This shall not, however, require the formal readoption by a labor organization of such a constitution and bylaws which it has previously adopted and under which it is operating when the report prescribed by §402.2 is filed. As used in this part constitution and bylaws means the basic written rules governing the organization. [28 FR 14381, Dec. 27, 1963, as amended at 40 FR 58856, Dec. 19, 1975] Every labor organization shall file a report signed by its president and secretary or corresponding principal officers containing the information required to be filed by section 201(a) of the Act, and found necessary to be reported under section 208 thereof by the Assistant Secretary, on United States Department of Labor Form LM–11 1 Filed as part of the original document. [28 FR 14381, Dec. 27, 1963, as amended at 50 FR 31309, Aug. 1, 1985] (a) Every labor organization shall file with the Office of Labor-Management Standards the report and (subject to the provisions of paragraph (b) of this section, where applicable) a copy of its constitution and bylaws required by section 201(a) of the Act and §402.2, together with one additional copy of each, within 90 days after the date on which it first becomes subject to the Act. (b) A labor organization subject to paragraph (a) of this section may adopt or may have adopted as its constitution and bylaws (whether by formal action or by virtue of affiliation with a parent organization) a constitution and bylaws of a national or international labor organization which the national or international organization is required to file under section 201(a) of the Act and this part. In such a case, a filing by the national or international labor organization of copies of such constitution and bylaws will be accepted as a filing of such documents by each such adopting labor organization within the meaning of section 201(a) of the Act and this part, if the following conditions are met: (1) The national or international labor organizations shows in its report filed under paragraph (a) of this section that copies of its constitution and bylaws are being filed on behalf of such adopting organizations as well as on its own behalf, and files such number of additional copies as the Office of Labor-Management Standards may request, and (2) The adopting labor organization shows in its report filed under paragraph (a) of this section that the national or international constitution and bylaws are also its constitution and bylaws and that copies are filed on its behalf by the national or international labor organization. If the constitution and bylaws of the adopting labor organization include other documents, this shall be shown in such report and copies shall be filed as provided in paragraph (a) of this section. [28 FR 14381, Dec. 27, 1963, as amended at 35 FR 2990, Feb. 13, 1970; 40 FR 58856, Dec. 19, 1975; 50 FR 31309, Aug. 1, 1985] (a) Except as noted elsewhere in this paragraph, every labor organization which revises the most recent constitution and bylaws it has filed with the Office of Labor-Management Standards shall file two dated copies of its revised constitution and bylaws at the time it files its annual financial report as provided in part 403 of this chapter. However, a labor organization which has as its constitution and bylaws a uniform constitution and bylaws prescribed by the reporting labor organization's parent national or international labor organization in accordance with §402.3(b) is not required to file copies of a revised uniform constitution and bylaws if the parent national or international labor organization files as many copies of the revised constitution and bylaws with the Office of Labor-Management Standards as the Office may request. (b) Every labor organization which changes the practices and procedures for which separate statements must be filed pursuant to subsection 201(a)(5) (A) through (M) of the Act shall file with the Office of Labor-Management Standards two copies of an amended Form LM–1, signed by its president and secretary or corresponding principal officers. The amended Form LM–1 shall be filed when the labor organization files its annual financial report as provided in part 403 of this chapter. [58 FR 67604, Dec. 21, 1993] (a) Any labor organization required to file reports under the provisions of this part, which ceases to exist by virtue of dissolution or any other form of termination of its existence as a labor organization, or which loses its identity as a reporting labor organization through merger, consolidation or otherwise, shall file a report containing a detailed statement of the circumstances and effective date of such termination or loss of reporting identity, and if the latter, such report shall also state the name and mailing address of the labor organization into which it has been consolidated, merged, or otherwise absorbed. Such report shall be submitted on Form LM–2 in connection with the terminal financial report required by §403.5 of this chapter and shall be signed by the president and treasurer, or corresponding principal officers, of the labor organization at the time of its termination or loss of reporting identity and, together with a copy thereof, shall be filed with the Office of Labor-Management Standards within 30 days of the effective date of such termination or loss of reporting identity, as the case may be. (b) Labor organizations which qualify to use Form LM–3, the Labor Organization Annual Report, pursuant to §§403.4 and 403.5 of this chapter may file the terminal report called for in this section on Form LM–3. This report must be signed by the president and treasurer, or corresponding principal officers, of the labor organization. (c) Labor organizations which qualify to use Form LM–4, the Labor Organization Annual Report, pursuant to §§403.4 and 403.5 of this chapter may file the terminal report called for in this section on Form LM–4. The report must be signed by the president and treasurer, or corresponding principal officers, of the labor organization. [28 FR 14381, Dec. 27, 1963, as amended at 62 FR 6092, Feb. 10, 1997] Upon receipt of all reports and documents submitted for filing under the provisions of this part, the Office of Labor-Management Standards shall assign to the initial information report filed by each labor organization, an identifying number. This number thereafter shall be entered by the reporting labor organization on all subsequent or terminal reports and all other documents which it thereafter submits for filing under this part, as well as on all communications directed to the Office concerning such reports and documents. Acknowledgment by the Office of Labor-Management Standards of the receipt of reports and documents submitted for filing under this part, is intended solely to inform the sender of the receipt thereof by the Office, and neither such acknowledgment nor the filing of such reports and documents by the Office constitutes express or implied approval thereof, or in any manner indicates that the content of any such report or document fulfills the reporting or other requirements of the Act, or of the regulations in this chapter, applicable thereto. Each individual required to sign any report under section 201(a) of the Act and under this part shall be personally responsible for the filing of such report and for any statement contained therein which he knows to be false. Every person required to file any report under this part 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 Office of Labor-Management Standards 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. Every labor organization required to submit a report under section 201(a) of the Act and under this part shall make available to all its members the information required to be contained in such report, including the copy of the constitution and bylaws required to be filed therewith, and every such labor organization and its officers shall be under a duty to permit such member for just cause to examine any books, records, and accounts necessary to verify such report and constitution and bylaws. [28 FR 14381, Dec. 27, 1963, as amended at 50 FR 31309, Aug. 1, 1985] Nothing contained in this part shall be construed to require an attorney who is a member in good standing of the bar of any State, to include in any report required to be filed pursuant to the provisions of section 201(a) of the Act, and of this part, any information which was lawfully communicated to such attorney by any of his clients in the course of a legitimate attorney-client relationship. Inspection and examination of any report or other document filed as required by this part, and the furnishing by the Office of Labor-Management Standards of copies thereof to any person requesting them, shall be governed by part 70 of this title. [35 FR 2990, Feb. 13, 1970] The collecting of information requirements in this part have been approved by the Office of Management and Budget and assigned OMB control number 1215–0188. [59 FR 15115, Mar. 31, 1994, as amended at 63 FR 33779, June 19, 1998]
Title 29: Labor
PART 402—LABOR ORGANIZATION INFORMATION REPORTS
Section Contents
§ 402.1 Labor organization constitution and bylaws.
§ 402.2 Labor organization initial information report.
§ 402.3 Filing of initial reports.
§ 402.4 Subsequent reports.
§ 402.5 Terminal reports.
§ 402.6 Receipt of reports and documents.
§ 402.7 Effect of acknowledgment and filing by the Office of Labor-Management Standards.
§ 402.8 Personal responsibility of signatories of reports.
§ 402.9 Maintenance and retention of records.
§ 402.10 Dissemination and verification of reports.
§ 402.11 Attorney-client communications exempted.
§ 402.12 Publication of reports required by this part.
§ 402.13 OMB control number.
§ 402.1 Labor organization constitution and bylaws.
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§ 402.2 Labor organization initial information report.
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§ 402.3 Filing of initial reports.
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§ 402.4 Subsequent reports.
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§ 402.5 Terminal reports.
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§ 402.6 Receipt of reports and documents.
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§ 402.7 Effect of acknowledgment and filing by the Office of Labor-Management Standards.
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§ 402.8 Personal responsibility of signatories of reports.
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§ 402.9 Maintenance and retention of records.
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§ 402.10 Dissemination and verification of reports.
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§ 402.11 Attorney-client communications exempted.
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§ 402.12 Publication of reports required by this part.
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§ 402.13 OMB control number.
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