Number: 17-06

December 22, 2006

Compliance Audit (CAP) Closing Letters and FAQs Posted on the OLMS Web site

In April 2006, in order to make LMRDA compliance more transparent for union members, officers, interested parties, and the public, OLMS began posting International Compliance Audit Program (I-CAP) closing letters on its web site. To further the stated goal of transparency, OLMS is now posting CAP closing letters on the web site as well. The web site now includes CAP closing letters issued since June 1, 2006.

OLMS conducts compliance audits of unions covered by the Labor-Management Reporting and Disclosure Act of 1959 (LMRDA), and of Federal sector unions under the standards of conduct provisions of the Civil Service Reform Act (CSRA). Compliance audits are designed to verify LMRDA or CSRA compliance, investigate potential violations of the law, and provide compliance assistance to help unions meet statutory requirements. The audits are based on a streamlined approach, using specialized records review and investigative techniques. At the conclusion of an OLMS audit, a closing letter is sent to the union describing any reporting deficiencies, recordkeeping violations, and internal control problems identified during the audit. The closing letters do not purport to be an exhaustive list of all possible problem areas since the audits are limited in scope.

Audits of local unions and intermediate bodies are conducted under the Compliance Audit Program by investigators in OLMS district offices throughout the country. Audits of national and international unions are conducted under the International Compliance Audit Program by the Division of International Union Audits, a division of the OLMS National Office.

Links to the closing letters are available on the OLMS Web site. The letters are posted in both HTML and PDF format. They are listed in alphabetical order by union, and then in chronological order under the union name. You can find a particular union quickly by using your browser's "find" function.

A series of Frequently Asked Questions (FAQs) about both the CAP and I-CAP programs have also been posted on the OLMS web site.

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Last Updated: 01/03/07