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

Filing Form LM-30 An Overview of Union Officer and Employee Reporting Note: This Power Point applies to the new Form LM-30. If you choose to file the old Form LM-30, please visit the PowerPointfor that form. U.S. Department of LaborOffice of Labor-Management Standards(OLMS)

Introduction The Labor-Management Reporting and Disclosure Act (LMRDA) requires union officers and certainemployees to file a report annually with the Department of Labor’s 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 • 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 • Certain other employers

NOTE • This presentation is about Form LM-30, Labor Organization Officer and Employee Report, which is the required form for reports covering a labor organization official’s fiscal year beginning August 16, 2007 and thereafter.

Who Must File 1. Union officers or employees (except employees performing exclusively clerical or custodial services) must file a Form LM-30 (Labor Organization Officer and Employee Annual Report) if they or their spouse or minor children 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; Example: You are an officer of a union that represents Widget Company employees. You own $20,000 of Widget Company stock which is traded over the counter. You must report your holdings.

Who Must File Union officers or employees must file a Form LM-30 if they or their spouse or minor children had any of the following interests or dealings related to an employer whose employees their union represents or is actively seeking to represent: Example: You are an employee of a union and your spouse works as a producer for a dinner theater that employs actors represented by your union. Your spouse works 40 to 50 hours a week producing shows and is paid a yearly salary. You do not have to report this salary because the payments are received by your spouse as a bona fide employee of the theater company. - 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)

Who Must File Union officers or employees must file a Form LM-30 if they or their spouse or minor children had any of the following interests or dealings related to an employer whose employees their union represents or is actively seeking to represent: Example: You are a union employee. Your spouse owns a medical transcription company. The medical transcription company owned by your spouse receives a loan from an employer whose employees your union is actively seeking to represent. The loan must be reported. - Received a loan from, or made a loan to, such an employer;

Who Must File Union officers or employees must file a Form LM-30 if they or their spouse or minor children had any of the following interests or dealings related to an employer whose employees their union represents or is actively seeking to represent: Example: You are an employee of a union that represents employees at Acme Warehouse. At your request, Acme allows your neighbor to store his company’s inventory at a rate below the customary storage rate. Your neighbor, in turn, shows his gratitude by allowing you to use his luxury box at a sporting event. You must report this arrangement. - 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.

Exceptions to Reporting Exceptions to the Above Reporting Requirements Relating to an Employer Whose Employees a Union Official’s Labor Organization Represents or is Actively Seeking to Represent: 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.

Exception to Reporting Exceptions to the Above Reporting Requirements Relating to an Employer Whose Employees a Union Official’s Labor Organization Represents or is Actively Seeking to Represent: 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 official’s 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.

Exception to Reporting Exceptions to the Above Reporting Requirements Relating to an Employer Whose Employees a Union Official’s Labor Organization Represents or is Actively Seeking to Represent: 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).

Exception to Reporting Exceptions to the Above Reporting Requirements Relating to an Employer Whose Employees a Union Official’s Labor Organization Represents or is Actively Seeking to Represent: Payments and benefits received as a bona fide employee of the employer do not have to be reported. This exception does not apply to loans or to transactions involving interests in the employer. For example, if the employer has a program in which bona fide employees may sell their stock in the company, this exception would not apply.

Who Must File 2. Union officers or employees must file a Form LM-30 if they or their spouse or minor children received any payment of money or other thing of value from an employer or a labor relations consultant for an employer that: Example: You are a union officer representing employees of TriWireFire, Inc., an employer in the telecommunications industry. An employer, WhyWire, Inc., which markets services in competition with TriWireFire, gives you a gift of a ski trip worth more than $250. You must report the trip and its value. - is in competition with an employer whose employees their labor organization represents or is actively seeking to represent;

Who Must File Union officers or employees must file a Form LM-30 if they or their spouse or minor children received any payment of money or other thing of value from an employer or a labor relations consultant for an employer that: Example: You are a local union president and a trustee of a Taft-Hartley pension fund in which your labor organization is interested. You must reports payments from the trust, including reimbursed expenses, for your service as a trustee. A trust in which a labor organization is interested is 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.

Who Must File Union officers or employees must file a Form LM-30 if they or their spouse or minor children received any payment of money or other thing of value from an employer or a labor relations consultant for an employer that: Example: You are an officer of Local ABC. You receive a gift of high-end consumer electronics from a sales representative of HealthCare PrePaid, Inc., a not-for-profit health insurance company. Local ABC pays $125,000 annually in premiums to this health insurance company. You must report the value of the consumer electronics. - 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.

Who Must File Union officers or employees must file a Form LM-30 if they or their spouse or minor children 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: (1) has employees their union represents or is actively seeking to represent, (2) has employees in the same occupation as those represented by their union, (3) claims jurisdiction over work that is also claimed by their union, (4) is a party to or will be affected by any proceeding in which they have voting or policy-influencing authority, or (5) 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 official’s labor organization or from a labor organization affiliated with the official’s labor organization.

Who Must File Example: You are an employeeof a staff union that represents the employees of a national labor organization. The national labor organization provides you with free parking at their headquarters that is worth $400 annually. You must report this benefit.

Who Must File Union officers or employees must file a Form LM-30 if they or their spouse or minor children received any payment of money or other thing of value from an employer or a labor relations consultant to suchemployer 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 union’s 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.

Reporting Exceptions • Exceptions to the Requirements Just Discussed Relating to Certain Employers or a Labor Relations Consultant to Such an Employer Union officials are not required to report: • Payments of the kinds referred to in Labor Management Relations Act (LMRA) Section 302(c), as summarized below, and payments their spouse or minor children receive by reason of their service to such an employer: • 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 item at the prevailing market price in the regular course of business; • Deductions of union dues from wages with the written approval of the employee; • Payments to a trust fund that meets certain conditions (see Form LM-30 FAQ___)

Reporting Exceptions Exceptions to the Reporting Requirements Relating to Certain Employers or a Labor Relations Consultant to Such an Employer Union officials are not required to report: Bona fide loans, interest or dividends from banks, credit unions, etc., if they are based upon the financial institution’s own criteria and made on terms unrelated to the individual’s status in a labor organization. The exception does not apply to financial institutions that constitute a “trust in which your labor organization is interested.”

Reporting Exceptions 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.

Reporting Exceptions 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: 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.

Who Must File 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: Example: You are an officer of a national union. Your spouse is hired as a senior executive of an employer on the understanding that your union will not seek to organize that employer. Your spouse receives a salary, medical, disability, and life insurance, use of a company car, and a paid membership to a private club. You must report the salary and the monetary value of the other benefits your spouse receives from the employer. (1) Not to organize employees; (2) To influence employees with respect to their right to organize:

Who Must File 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: Example: You are a local union president. An employer outside of the jurisdiction of your local hires your 20-year old daughter for a summer job on the understanding that you will seek to have your members go on strike against an employer who is one of the employer’s competitors. You must report the payments your daughter receives from this employer. (3) To take any action with respect to the status of employees or others as members of a labor organization; (4)To take any action with respect to bargaining or dealing with employers whose employees their labor organization represents or is actively seeking to represent;

Who Must File Union officers or employees must file a Form LM-30 if they or their spouse or minor children received any payments for the following purpose from any employer or a labor relations consultant for any employer: ** There are no exceptions to reporting payments received for any of these five purposes.** (5) To influence the outcome of an internal union election.

Who Must File 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: Example: You are a union officer. You own a small machine parts business from which you receive $50,000 in annual income. The employer of the employees your union represents purchased a large quantity of machine parts from your business. The employer’s purchases represented 10% of the total receipts of your machine parts business that year. You must report your interest in the machine parts business and the $50,000 in income you received from the business. - 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;

Who Must File 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: Example: You are an employee of a national union. Your wife works for a travel agency that handles all the travel arrangements for the union. You must report your wife’s income from the travel agency and the dealings between the travel agency and the union. - 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.

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.

Completing Form LM-30 The first five items on the form and Item 8 (signature and verification) must be completed by all filers.

Completing Form LM-30 The summary (Item 5) must be completed after you have completed each Employer or Business Statement (Schedules 1 –4 of the form) that you are required to file.

Completing Form LM-30 • Employer or Business Relationships- Item 6 & Item 7 • You are only required to file Form LM-30 if you answer “Yes” to Item 6a or Item 7a. • If more than one employer, labor relations consultant to an employer, or business met the conditions identified in Item 6 or Item 7, you must complete a separate Employer or Business Statement for each one.

Completing Schedule 1 • Employer or Business Identifying Information (all filers must complete) • Complete a separate Schedule 1 for each employer, labor relations consultant to an employer, or business that met the conditions identified in Item 6 or Item 7.

Completing Schedule 2 Provide the information required about interests in, payments from, loans to or from, and transactions or arrangements with the employer or labor relations consultant to an employer or the business identified in Schedule 1 (all filers must complete).

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 spouse’s business. You must report your spouse’s ownership interest in the catering business and the salary and reimbursed expenses that she received from the business.

Completing Schedule 3 You must complete Schedule 3 if you answered “yes” to Item 6a. - Check the box in Part A that describes the relationship of the employer listed in Schedule 1 to your labor organization. - Provide details in Part B of the employer’s relationship with your labor organization.

Completing Schedule 4 You must complete Schedule 4 if you answered “yes” to Item 7a. - Enter the requested information in A through E 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.

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. Your ownership interest and income received from the operation of the building and the dealings between you and the union 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. You must report your spouse's ownership of the business and any payments or benefits she received from it.

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

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

Obtaining Copies of Completed Reports • It is not necessary to make a request under the Freedom of Information Act (FOIA) to obtain copies of Form LM-30 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.dol.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

Downloading Form LM-30 • OLMS encourages all filers to complete Form LM-30 electronically. You can complete the form electronically or print a copy and complete it manually. • To download a blank Form LM-30 (Labor Organization Officer and Employee Annual Report), and the instructions for completing the form: 1. Go to the OLMS Web site at www.olms.dol.gov. 2. Find Forms Download in the blue menu bar on the right side of the screen. 3. Click on All Other Forms. 4. Scroll down the page to Form LM-30.

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@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. http://www.dol.gov/esa/aboutesa/org/olms/olms-mailinglist.htm

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