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Office of Labor-Management Standards (OLMS)

OLMS Interpretative Manual

TABLE OF CONTENTS

INTRODUCTION

This Manual has been prepared for the use of employees of the Office of Labor-Management Standards (OLMS), whose responsibilities relate to administration of the Labor-Management Reporting and Disclosure Act of 1959.  It is also made available to the public via the OLMS website.

Each Manual item is keyed to a specific subject of the law.  Appropriate court decisions and other administrative materials which affect or relate to provisions of the Act are also keyed into the codification scheme.

The Manual may be used by authorized office personnel as a basis for dealing with situations similar to those in the entries.  Care should be taken, however, in attempting to apply an interpretation to a given fact situation, to assure that the facts justify such application.  In answering inquiries, orally or (where authorized) in writing, office personnel should follow the language used in the Manual as closely as possible.  Doubtful situations should be referred, through appropriate channels, to the Division of Interpretations and Standards.

Please note that, in the December 2016 updates, OLMS deleted Manual sections 214.940, 241.710, 253.323, 285.201, 515.110, 552.250, 552.300, and 552.400, as obsolete, while it has added sections 030.655, 253.960, and 515.301.  Also, OLMS has reissued Manual section 310 entries, and 510.005, which had been removed from prior editions.  Additionally, please see the below list of revised Manual sections, including those in section 310 and 510.005.

Technical Revisions: 030.205, 030.230, 030.305, 030.403, 030.410, 030.430, 030.505, 030.605, 030.622, 030.627, 030.650, 030.690, 040.901, 041.301, 041.305, 041.420, 110.600, 120.200, 200.550, 200.650, 204.005, 205.120, 205.201, 205.601, 206.705, 206.802, 208.001, 208.002, 208.100, 211.001, 212.005, 212.200, 213.200, 214.001, 214.102, 214.210, 214.215, 214.310, 214.320, 214.505, 214.520, 214.571-77, 214.580, 214.585, 214.590-93, 214.605, 214.610, 214.705, 214.720, 214.810, 214.816, 214.820, 214.840, 214.850, 214.901, 214.920, 214.930, 215.003, 215.005, 215.400, 215.500, 214.600, 214.700, 219.005, 219.010, 220.001, 240.100, 243.400, 243.511, 246.500, 253.007, 253.061, 253.082, 253.305, 253.320, 253.322, 253.350, 253.360, 253.370, 255.100, 255.110, 255.505, 256.005, 257.005, 257.200, 260.002, 263.005, 264.100, 269.001, 270.003, 270.005, 272.500, 274.005, 274.100, 275.006, 281.002, 282.005, 285.100, 290.001, 290.005, 290.100, 305.200, 306.200, 310.200, 313.007, 314.005, 321.100, 350.006, 352.100, 352.105, 352.200, 470.300, 471.005, 471.100, 471.200, 471.201, 473.102, 473.200, 473.300, 473.310, 474.100, 474.101, 474.102, 474.530, 475.005, 475.007, 475.300, 476.001, 476.110, 476.200, 476.210, 476.400, 477.005, 478.100, 490.005, 490.100, 492.005, 510,002, 512.810, 514.005, 517.005, 518.100, Special Note – Bonding, 531.140, 531.435, 531.505, 531.615, 531.640, 532.005, 532.100, 532.605, 534.020, 541.005, 541.100, 550.100, 550.600, 550.710, 550.800, 551.005, 552.100, 552.150, 553.310, 553.505, 580.100, 580.250, 580.405, 580.500, 580.600, 605.005, 610.001, 610.005, 610.015, 610.100, 610.105, 610.110, 610.360, 610.400, 610.405, 630.005, 640.005, 640.100, 660.001, and 685.001.

Other Revisions: 020.005, 030.210, 030.220, 030.652, 041.330, 120.300, 208.005, 210.005, 213.100, 214.115, 214.220, 214.430, 214.560, 214.730, 214.806, 215.200, 241.005, 241.400, 241.700, 244.120, 245.200, 246.700, 248.100, 250.010, 253.020, 253.050, 253.70, 253.71, 253.80, 253.91, 253.710, 255.120, 260.300, 269.510, 272.300, 275.005, 276.005, 280.003, 285.200, 285.400, 305.500, 307.005, 310.005, 310.300, 315.005, 315.100, 354.100, 355.005, 471.210, 472.200, 473.105, 474.202, 474.520, 475.400, 476.005, 476.100, 476.500, 512.800, 515.100, 515.201, 517.100, 517.200, 518.005, 531.405, 531.423, 532.400, 534.002, 536.005, 536.100, 536.300, 537.005, 550.001, 550.005, 550.200, 550.400, 550.700, 552.001, 552.005, 552.205, 552.208, 552.220, 552.500, 552.600, 553.305, 553.400, 580.002, 580.150, 580.200, 580.710, 601.005, 601.100, 605.100, 610.200, 610.305, 610.330, 610.350, 610.365, and 630.002.

These revisions, whether technical or non-technical, do not articulate or establish new policy.  Many of the changes are to add and clarify legal citations and to update the manual to be consistent with more recent regulatory and other actions. 

TABLE OF CONTENTS

 

001-029                Introduction

030-099                Definitions

100-199                Members’ Rights

200-299                Reporting and Disclosure

300-399                Trusteeship

400-499                Elections and Removal

500-599                Union Safeguards; Bonding

600-699                Enforcement; Miscellaneous Provisions

                              Index

 

INTRODUCTION

001                        
003                        
015                        
020                        

Introduction
Table of Contents
Use of the Manual
Purposes of the Act

 

 

DEFINITIONS

030                         Definitions Relating to Jurisdiction
030.100                  Definitions Relating to Jurisdiction:        Commerce
030.200                  Definitions Relating to Jurisdiction:        Industry Affecting Commerce
030.300                  Definitions Relating to Jurisdiction:        Labor Organization Engaged in an Industry
                                                                Affecting Commerce
030.400                  Definitions Relating to Jurisdiction:        Employer
030.500                  Definitions Relating to Jurisdiction:        Employee
030.600                  Definitions Relating to Jurisdiction:        Labor Organization
031.039                  (Numbers Reserved)
040                         Statutory Definitions
040.101                  LMRDA, Section 3(a) – “Commerce”
040.201                  LMRDA, Section 3(b) –“State”
040.301                  LMRDA, Section 3(c) – “Industry Affecting Commerce”
040.401                  LMRDA, Section 3(d) – “Person”
040.501                  LMRDA, Section 3(e) – “Employer”
040.601                  LMRDA, Section 3(f) – “Employee”
040.701                  LMRDA, Section 3(g) – “Labor Dispute”
040.801                  LMRDA, Section 3(h) – “Trusteeship”
040.901                  LMRDA, Section 3(i) – “Labor Organization”
041.101                  LMRDA, Section 3(j) – “Labor Organization Engaged in an Industry Affecting
                                                                      Commerce”
041.201                   LMRDA, Section 3(k) – “Secret Ballot”

041.301                   LMRDA, Section 3(l) – “Trust in which a Labor Organization is Interested”
041.401                   LMRDA, Section 3(m) – “Labor Relations Consultant”
041.501                   LMRDA, Section 3(n) – “Officer”
041-601                   LMRDA, Section 3(o) – “Member” or “Member in Good Standing”
041.701                   LMRDA, Section 3(p) – “Secretary”
041.801                   LMRDA, Section 3(q) – “Officer, Agent, Shop Steward or Other Representative”
041.801                   LMRDA, Section 3(r) – “District Court of the United States”
042.049                   (Numbers Reserved)

MEMBERS’ RIGHTS

100                         Bill of Rights of Members of Labor Organizations
101-109                  (Numbers Reserved)
110                         Right to Copy of Collective Bargaining Agreement
111-119                  (Numbers Reserved)
120                         Right to be Free from Violence and Threats
121-199                  (Numbers Reserved)

REPORTING AND DISCLOSURE

200                         Reporting in General
201                         Labor Organization Information Report in General
202                         Who Must File
203                         Time and Place to File Initial Reports and Terminal Information Reports
204                         Requirements to Adopt a Constitution and Bylaws
205.100                  Contents of LM-1 Report:  Constitution and Bylaws
205.200                  Contents of LM-1 Report:  Name, Address, Office of Union, Names and Titles of Union Officers
205.300                  Contents of LM-1 Report:  Dues, Fees, Work Permits, Assessments
205.400                  Contents of LM-1 Report:  Qualification and Restrictions on Membership
205.500                  Contents of LM-1 Report:  Levying of Assessments
205.600                  Contents of LM-1 Report:  Insurance or Benefit Plan
205.700                  Contents of LM-1 Report:  Disbursement of Funds
205.800                  Contents of LM-1 Report:  Audit of Finances
205.900                  Contents of LM-1 Report:  Calling of Meetings
206.100                  Contents of LM-1 Report:  Selection of Officers
206.200                  Contents of LM-1 Report:  Removal of Officers
206.300                  Contents of LM-1 Report:  Fines and Appeals
206.400                  Contents of LM-1 Report:  Bargaining
206.500                  Contents of LM-1 Report:  Ratification of Contract
206.600                  Contents of LM-1 Report:  Authorization of Strikes
206.700                  Contents of LM-1 Report:  Issuance of Work Permits
206.800                  Contents of LM-1 Report:  Signatures
207                         (Number Reserved)
208                         Changes in Information on LM-1 Report
209                         (Number Reserved)
210                         Labor Organization Annual Reports LM-2, LM-3 In General
211                         Who Must File
212                         Time and Place to File Initial and Terminal Reports
213                         Combined or Consolidated Reporting
214                         Information Required by Law
214.100                  Contents of Annual Report:  Fiscal Year
214.200                  Contents of Annual Report:  Assets
214.300                  Contents of Annual Report:  Liabilities
214.400                  Contents of Annual Report:  Receipts
214.500                  Contents of Annual Report:  Salary and Disbursements to Officers and Employees
214.600                  Contents of Annual Report:  Loans to Officers, Members and Employees
214.700                  Contents of Annual Report:  Loans to Business Enterprises
214.800                  Contents of Annual Report:  Other Disbursements
214.900                  Contents of Annual Report:  Signatures, Names and Addresses of Organization
215                         Subsidiary Organization
216                         Methods of Accounting
217-218                  (Numbers Reserved)
219                         Labor Organization Financial Report, LM-3
220                         Trust in Which a Labor Organization is Interested
221-229                  (Numbers Reserved)
230                         Trusteeship Reports; Who Must Report
231                         When and Where Reports Must be Filed
232                         Initial Trusteeship Report, LM-15
233                         Semiannual Trusteeship Report, LM-15
234                         (Number Reserved)
235                         Information and Financial Reports for Trusteed Union, LM-2
236                         Terminal Trusteeship Report, LM-16
237-239                  (Numbers Reserved)
240                         Union Officer and Employee Reports in General
241                         Who Must File
242                         Time and Place to File Union Officer and Employee Reports
243                         Benefit from Business which Deals with Employer of Union Members
244                         Transaction with Employer of Union Members
245                         Benefit from Business which Deals with Employer of Union Members
246                         Benefit from Business which Deals with Union
247                         Business Transaction with Employer of Union Members

248                         Payment Received from Any Employer or Consultant
249                         (Number Reserved)
250                         Employer Reporting in General
251                         Employer Reports; Who Must Report
252                         When and Where to File Employer Reports
253                         Payments to Unions, Officers, etc.
253.100                  Payments Accepted under Taft-Hartley in General
253.200                  Payments Accepted under Taft-Hartley:  Payments to Employee-Consultant Acting Openly
253.300                  Payments Accepted under Taft-Hartley:  Regular Wage Exemption
253.400                  Payments Accepted under Taft-Hartley:  Payments of Disputed Claims
253.500                  Payments Accepted under Taft-Hartley:  Sales and Purchases at Market Prices
253.600                  Payments Accepted under Taft-Hartley:  Dues Deducted from Wages
253.700                  Payments Accepted under Taft-Hartley:  Payments to Welfare and Pension Trust
253.800                  Payments Accepted under Taft-Hartley:  Payments to Fringe Benefit Trust
253.900                  Payments Accepted under Taft-Hartley:  Scholarship or Child Care Center Trust
253.950                  Payments Accepted under Taft-Hartley:  Legal Services Trust Fund
254                         Payments to Employees
255                         Expenditure to Interfere with Restrain or Coerce Employees
255.500                  “Free Speech” Right of Employer
256                         Expenditures to Obtain Information
257                         Agreement with Consultant
258                         Payment to Consultant
259                         Employer Report, Form LM-10
260                         Consultant Reporting In General
261                         Who Must Report
262                         When and Where to File Consultant Reports
263                         Persuasion by Consultant
264                         Supplying of Information by Consultant
265                         “Advice” Exemption
265.500                  Attorney-Client Exemption
266                         Supervisors and Employees
267-268                  (Numbers Reserved)
269                         Consultant:  Agreement and Activities Report, LM-20
269.500                  Consultant:  Receipts and Disbursements Report, LM-21
270                         Private Disclosure:  Unions to Members and Employees
271                         (Number Reserved)
272                         What Union Must Make Available to Members
273                         (Number Reserved)
274                         Member Must Make Demand
275                         Requirement of “Just Cause” to Examine Union Books
276                         When Member Can Sue to Enforce Right
277-279                  (Numbers Reserved)
280                         Public Disclosure in General
281                         Effect of Acknowledgement and Filing of Reports by OLMS
282                         Cancellation and Removal of Reports from OLMS Files
283-284                  (Numbers Reserved)
285                         Retention of Reporting Records
286-289                  (Numbers Reserved)
290                         Surety Company Reporting
291-299                  (Numbers Reserved)

TRUSTEESHIP

300                         Trusteeship in General
301-304                  (Numbers Reserved)
305                         Determining Existence of Trusteeship
306                         Merger as Trusteeship
307                         Revocation and Reissuance of Charter as Trusteeship
308                         Restraint on Disaffiliation as Trusteeship
309                         Absence of Autonomy Otherwise Available
310                         Purposes of Trusteeship in General
311                         Correcting Corruption
312                         Financial Malpractice
313                         Assuring Performance of Collective Bargaining Agreement
314                         Restoring Democratic Procedures
315                         Other Legitimate Objects
316-319                  (Numbers Reserved)
320                         Activities of a Trusteed Union
321                         The Trustee
322                         Participation in Elections of Superior Bodies
323                         Elections Within the Trusteed Local
324                         Management of Funds
325                         Distribution of Assets
326                         Reporting Obligation
327                         Remedy of Abuses During Trusteeship
328-349                  (Numbers Reserved)
350                         Termination of Trusteeship in General
351                         Voluntary Termination
352                         Suit by Member to Terminate Trusteeship
353                         Complaint by Member to Secretary
354                         Action by Secretary of Labor
355                         Presumption of Validity
356                         Presumption of Invalidity
357                         Suit to Correct Abuses During Trusteeship Now Terminated
358-399                  (Numbers Reserved)

ELECTIONS AND REMOVAL

                               (Old Entries 400-469 had been withdrawn in a prior release, see 29 CFR 452; OLMS is considering re-issuance of some of these Manual sections in a later release)
470                         Protesting Elections:  In General
471                         Who May Sue; When Suit May be Brought
472                         Initiating Available Union Remedies
473                         Union Remedies Must Be Invoked
474                         Complaint to Secretary
475                         Investigation by Secretary
476                         Suit by Secretary
477                         Outcome May Have Been Affected
478                         Rerun Elections
479-489                  (Numbers Reserved)
490                         Removal of Officers in General
491                         (Number Reserved)
492                         Adequacy of Removal Procedure
493                         Complaint – Where Removal Procedures Adequate but Violated

UNION SAFEGUARDS

500-509                  (Numbers Reserved)
510                         Fiduciary Responsibility of Officers and Others
511                         (Numbers Reserved)
512                         Propriety of Expenditures
513                         (Numbers Reserved)
514                         Exculpatory Provisions
515                         Suit for Accounting or Relief
516                         (Number Reserved)
517                         Court Must Grant Leave to Sue
518                         Counsel Fees and Expenses
519-529                  (Numbers Reserved)

BONDING

530                         Bonding in General
531                         Who Must Be Bonded in General
531.100                  Who Must Be Bonded:  “Person”
531.200                  Who Must Be Bonded:  “Duties”
531.300                  Who Must Be Bonded:   “Labor Organization”
531.400                  Who Must Be Bonded:  “Trust in Which a Labor Organization is Interested”
531.500                  Who Must Be Bonded:  “Funds”
531.600                  Who Must Be Bonded:  “Handled”
531.700                  Who Must Be Bonded:  “Exclusions”
532                         Amount of Bond – Term of Bond
533                         Type of Bond:  Honesty
534                         Form of Bond:  Individual or Schedule Designation of Insured
535                         Approved Surety
536                         Conflict of Interest – Bonding
537                         Payment of Premium
538-539                  (Numbers Reserved) 
540                         Prohibitions Against Certain Financial Aid to Officers

541                         Union Loans, Direct or Indirect
542-549                  (Numbers Reserved)
550                         Prohibition Against Holding Office or Employment
551                         Prohibition Against Communists
552                         Prohibition Against Convicts
553                         Crimes Covered by Section 504
554-579                  (Numbers Reserved)
580                         Embezzlement and Other Criminal Conversions
581-599                  (Numbers Reserved)

ENFORCEMENT

601                         Enforcement In General
602-604                  (Numbers Reserved)
605                         Investigations
606-609                  (Numbers Reserved)

610                         Subpoena Powers
611-629                  (Numbers Reserved)

630                         Cooperation with Other Agencies and Departments
631-639                  (Numbers Reserved)

640                         Service of Process
641-650                  (Numbers Reserved)

MISCELANEOUS PROVISIONS

651-659                  (Numbers Reserved)

660                         Effect of LMRDA on State and Other Federal Laws
661-669                  (Numbers Reserved)

670                         Extortionate Picketing
671-674                  (Numbers Reserved)
675                         Criminal Contempt Limitations
676-679                  (Numbers Reserved)

680                         Applicability of Administrative Procedure Act
681-684                  (Numbers Reserved)
685                         Separability Provisions
686-699                  (Numbers Reserved)

USE OF THE MANUAL

     


To facilitate research, the material in this Manual has been arranged under general subjects, e.g., the 100s related to Members’ Rights, the 200s relate to Reporting, the 300s, to Trusteeship, 400s, to Elections, etc.

While the hundreds generally correspond to the contents of the Titles of the Act, the breakdown within the hundreds does not correspond to the section numbering of the Act.  (This is because the same subject is often treated under different Titles of the Act.  For example, Title II covers reporting, but section 301 covers Trusteeship Reports.  In this Manual all information relating to reporting is contained in the 200s Reporting series.)

Within these “hundreds” series (100, 200, 300, etc.) the numbers are broken down to accommodate general topics and further broken down to indicate subtopics.

For example, the 400 series deals with Elections and Removal of Officers.

      The general topic of Elections and Removal is broken down as follows:

       410   -  Organizations to Which Election Provisions Apply

      420   - Nominations – In General

      430   - Campaigning

      440   - The Election Itself – In General

      460   - Publications of Results and Preservation of Records

      470   - Protesting Elections – In General

      490   -  Removal of Officers – In General

      The particular topic 430 “Campaigning” is subdivided as follows:

      431   -  Distribution of Campaign Literature

      432   - Inspection of Membership Lists

      433   -  Right to Support Candidate

      434   -  Unions May Not Support Candidates

      435   -  Impartial Publication of Election Information

      436   -    (Numbers Reserved)
      

      437   -    (Numbers Reserved)

      438   -  Employer Promotion of Union Candidacy

                                                  Under these subtopics the material is arranged in the following order:

                                                  .001  Section or sections of the Act involved

                                                  .002  Section or sections of Regulations involved

                                                  .005, .007, .009, .011, etc.  Explanatory materials.

                                                  It will be observed that a decimal numbering system indicates each particular entry in the Manual.  Thus, under the subtopic 433, Right to Support Candidate, 433.001 is the pertinent section of the LMRDA (second part of the first sentence of section 401(e)); there is no 433.002 because presently the Regulations contain no statement on this subtopic; and 433.005, 433.090, 433.091 are three entries on this subtopic.  You will note that there are gaps in the decimal numbering, e.g., there are presently no entries numbered 433.002, 433.003, 433.004, 433.006, 433.080, 433.100, etc.; this is to facilitate the placement of new entries in this Manual in the future.

                                                 

                                                  A comprehensive topical index is included in the Manual. 

 

 

 

 

 

Last Updated: 1-5-17