9. CHANGES IN CONSTITUTION AND BYLAWS OR PRACTICES/PROCEDURES — If the labor organization answered “Yes” to Item 9 because the labor organization’s constitution and bylaws were changed during the reporting period (other than rates of dues and fees), a dated copy of the new constitution and bylaws must either be submitted as an electronic attachment to the Form LM-4 the labor organization submits to OLMS, or the labor organization may submit a dated copy of the new constitution and bylaws to:
Office of Labor-Management Standards
200 Constitution Ave., NW, Room N-1519
Washington, DC 20210-0001
If the labor organization is governed by a uniform constitution and bylaws prescribed by the labor organization’s parent national or international body, the labor organization’s parent body may file the constitution and bylaws on the labor organization’s behalf. If the parent body files a constitution and bylaws on the labor organization’s behalf, answer Item 9 “Yes” and state that fact in Item 19 (Additional Information).
If Item 9 is answered “Yes” because the labor organization changed any of the practices/procedures listed below during the reporting period and the practices/ procedures are not described in the labor organization’s constitution and bylaws, the labor organization must file an amended Form LM-1 (Labor Organization Information Report) with its Form LM-4 to update information on file with OLMS:
- qualifications for or restrictions on membership;
- levying assessments;
- participating in insurance or other benefit plans;
- authorizing disbursement of labor organization funds;
- auditing financial transactions of the labor organization;
- calling regular and special meetings;
- authorizing bargaining demands;
- ratifying contract terms;
- authorizing strikes;
- disciplining or removing officers or agents for breaches of their trust;
- imposing fines and suspending or expelling members including the grounds for such action and any provision made for notice, hearing, judgment on the evidence, and appeal procedures;
- selecting officers and stewards and any representatives to other bodies composed of labor organizations’ representatives;
- invoking procedures by which a member may protest a defect in the election of officers (including not only procedures for initiating an election protest but also all procedures for subsequently appealing an adverse decision, e.g., procedures for appeals to superior or parent bodies, if any); and
- issuing work permits.
Form LM-1 can be downloaded from the OLMS Web site at www.olms.dol.gov. If you are unable to download the form, contact any of the offices listed at the end of these instructions to obtain a copy.
NOTE: Federal employee labor organizations subject solely to the Civil Service Reform Act or Foreign Service Act are not required to submit an amended Form LM-1 to describe revised or changed practices/procedures.
10. CHANGES IN RATES OF DUES AND FEES — Answer Item 10 “Yes” if the labor organization changed its rates of dues and fees during the reporting period. If Item 10 is answered “Yes,” report the rates of dues and fees in Item 19 (Additional Information). If more than one rate applies, report the minimum and maximum rates. Also report the calendar basis for payment (per month, per year, etc.).
Dues and fees include initiation fees charged to new members, fees (other than dues) from transferred members, fees for work permits, and regular dues or fees. Include only the dues and fees of regular members and not the dues and fees of members with special rates, such as apprentices, retirees, or unemployed members.
Answer “No” if the labor organization did not change its rates of dues and fees during the reporting period.
11. LOSSES OR SHORTAGES — Answer Item 11 “Yes” if any loss or shortage of funds or other property of the labor organization was discovered during the reporting period whether or not there has been repayment or an agreement to make restitution. If Item 11 is answered “Yes,” describe the loss or shortage in detail in Item 19 (Additional Information) including such information as the amount of the loss or shortage of funds or a description of the property that was lost, how it was lost, and to what extent, if any, there has been an agreement to make restitution or any recovery by means of repayment, fidelity bond, insurance, or other means. Answer “No” if no losses or shortages were discovered.
12. FIDELITY BOND — Answer Item 12 “Yes” if the labor organization was insured by a fidelity bond against losses through fraud or dishonesty during the reporting period. If Item 12 is answered “Yes,” enter the maximum amount recoverable for a loss caused by any officer, employee, or agent of the labor organization who handled the labor organization’s funds. Answer “No” if the labor organization was not insured by a fidelity bond during the reporting period.
NOTE: Section 502(a) of the LMRDA requires every officer, employee, or agent of a labor organization (which has property and annual financial receipts over $5,000 in value) who handles funds or other property of the organization to be bonded. The amount of the bond must be at least 10% of the value of the funds handled by the individual during the last reporting period. The bond must be obtained from a surety company approved by the Secretary of the Treasury. If you have any questions or need more information about bonding requirements, contact the nearest OLMS field office listed at the end of these instructions.
13. NUMBER OF MEMBERS — Enter the number of members in the labor organization at the end of the reporting period. Include all categories of members who pay dues. Do not include nonmember employees who make payments in lieu of dues as a condition of employment under a union security provision in a collective bargaining agreement.
14. ASSETS — Enter the total value of all the labor organization’s assets at the end of the reporting period including, for example, cash on hand and in banks, property, loans owed to the labor organization, investments, office furniture, automobiles, and anything else owned by the labor organization. Enter “0” if the labor organization had no assets at the end of the reporting period.
15. LIABILITIES — Enter the total amount of all the labor organization’s liabilities at the end of the reporting period including, for example, unpaid bills, loans owed, total amount of mortgages owed, and other debts of your organization. Enter “0” if the labor organization had no liabilities at the end of the reporting period.
16. RECEIPTS — Enter the total amount of all receipts of the labor organization during the reporting period including, for example, dues, fees, fines, assessments, interest, dividends, rent, money from the sale of assets, and loans received by the labor organization. Also include payments in lieu of dues received from any nonmember employees as a condition of employment under a union security provision in a collective bargaining agreement. Enter “0” if the labor organization had no receipts during the reporting period.
NOTE: If the labor organization’s annual receipts were $10,000 or more, the labor organization is not eligible to file Form LM-4 and must report on Form LM-2 or Form LM-3 as explained in Section Il of these instructions.
17. DISBURSEMENTS — Enter the total amount of all disbursements made by the labor organization during the reporting period including, for example, net payments to officers and employees, per capita tax and any other fees or assessments which the labor organization paid to any other organization, payments for administrative expenses, loans made by the labor organization, and taxes paid. Enter “0” if the labor organization made no disbursements during the reporting period.
18. PAYMENTS TO OFFICERS AND EMPLOYEES — Enter the total amount of all payments to officers and employees made by the labor organization during the reporting period. The amount should include, for example, gross salaries (before tax withholdings and other payroll deductions); lost time pay; monthly, weekly, or daily allowances; and disbursements for conducting official business of the labor organization as well as disbursements which were essentially for the personal benefit of the officer or employee. Enter “0” if the labor organization made no payments to officers or employees during the reporting period.
NOTE: Section 503(a) of the LMRDA prohibits labor organizations from making direct or indirect loans to any officer or employee of the labor organization which results in a total indebtedness on the part of such officer or employee to the labor organization in excess of $2,000 at any time.
Last Updated: 10-10-12