Electronic Forms Welcome to the Electronic Form LM-4 (Adobe Reader Version)

1. U.S. Department of LaborOffice of Labor-Management Standards(OLMS) Electronic Forms Welcome to the Electronic Form LM-4 (Adobe Reader Version)

2. The OLMS Mission • Administer the LMRDA • Ensuring union democracy • Safeguarding union assets • Financial recordkeeping and reporting

3. Labor Organization Reports • Required by LMRDA Title II • Public Disclosure on the Internet at: • http://www.union-reports.dol.gov • Deadlines: • 90 days after fiscal year ends • 30 days after termination

4. Types of Reports • LM-4: Receipts less than $10,000 • LM-3: Receipts $10,000 to $249,999 • LM-2: • Receipts $250,000 or more • Unions in trusteeship

5. Layout of Report • Page 1: • Identification information: • Your union • Period covered • Additional information • Signatures of responsible officers • Other Pages: • Information items: • “Yes” or “No” • Financial details

6. Electronic Form LM-4 Using the electronic Form LM-4, you can: • Enter information directly into an electronic version of the form and have your labor organization’s president and treasurer sign the report electronically and submit the signed form electronically to OLMS • or • Print a copy of the completed report and have your labor organization’s president and treasurer sign the paper copy and mail the signed copy to OLMS

7. Electronic Form LM-4 Process • Download the electronic Form LM-4 from the OLMS Web site • Navigate and enter information directly into the form • Add digital signatures

8. Electronic Form LM-4 HARDWARE REQUIREMENTS Processor: Intel® Pentium III® (or equivalent) Operating System options: Microsoft® Windows 98, Second Edition Microsoft® Windows, Millennium Edition Microsoft® Windows NT® 4.0 with Service Pack 6 Microsoft® Windows 2000 with Service Pack 2 Microsoft® XP Professional Microsoft® XP Home Edition Memory: 64MB of RAM Available hard disk space: 60MB Note: For optimum performance, OLMS recommends using an Intel Pentium 4® (or equivalent) processor running at a minimum speed of 2.4 GHz with 1GB of memory.

9. Electronic Form LM-4 SOFTWARE REQUIRMENTS Adobe® Reader®, Version 6.x or 7 Internet Browser options: Internet Explorer, Version 5.5 or higher Netscape, Version 4.7 or higher Mozilla, Version 1.3 or higher Using Adobe® Reader® 6.x You will need Adobe® Reader® version 6.x or 7 to use the electronic Form LM-4. If you do not have Adobe® Reader® installed on your system, you can download a free copy from the Adobe Web site (www.adobe.com).

10. Navigation Tips

11. Other Tips • Save your work frequently. • Enter dates in the format: mm/dd/yyyy. • You must use the drop-down list to enter states. • Include Area Codes with telephone numbers. • 50 characters is the maximum field length (Other than Item 19). • Zip Codes must be five or nine digits.

12. DOWNLOADING AND PREFILLING THE LM-4 • Go to the OLMS home page www.olms.dol.gov. • Select Form LM-4 (Adobe Reader Version) from the blue menu bar on the right. (Left-click) After you click on the above link, you will be taken to a link that displays the following information below: Left-click on Form LM-4 PDF form http://www.dol.gov/esa/regs/compliance/olms/lm4_downloadpg.htm

13. Using the Electronic Form LM-4 Enter the first three digits of your labor organization’s file number in the Union ID # field’s first segment. Enter the second three digits of your labor organization’s file number in the Union ID # field’s second segment. Select the Fiscal Year for which you are submitting the Form LM-4. Click the continue button.

14. Using the Electronic Form LM-4 Notice that the Begin and End dates are pre-populated with the Begin and End dates of your union's fiscal year. Click the Generate Form button. The Click Below to Start Downloading window will display.

15. Using the Electronic Form LM-4 The following table lists the fields containing pre-fill information and indicates whether or not those fields are editable.

16. Using the Electronic Form LM-4 If you need to change information that can’t be edited, call OLMS at 202-693-0124.

17. LM-4 Identification Items Answer Items 9-18 according to the instructions. If the answer is “Yes”, provide additional information in Item 19 as required by the instructions.

18. LM-4 Informational Items • Item 9: answer “Yes” if there were changes to your constitution and bylaws and provide two copies. • Item 10: answer “Yes” if there were changes in your union’s dues rate. • Item 11: answer “Yes” if your organization discovered a loss of funds or property.

19. LM-4 Informational Items • Item 12: answer “Yes” if your organization was insured by a fidelity bond. Provide the maximum amount recoverable in the box below Item 12. • Item 13: provide the number of members in you union.

20. LM-4 Financial Items • Item 14: enter the total value of your union’s assets at the end of the reporting period -- including cash, bank accounts, and equipment. • Item 15: enter the total liabilities of your union at the end of the reporting period, including loans and unpaid bills.

21. LM-4 Financial Items • Item 16: enter the total receipts for your union during the reporting period, including dues, fees, and interest. • Item 17: enter the total amount of all disbursements made by your union including payments to officers, per capita, administrative expenses and taxes paid. Enter “0” if no disbursements were made by your organization during the reporting period.

22. LM-4 Financial Items Item 18: enter the total payments to officers and employees during the reporting period, including gross salaries, lost time, and expenses.

23. Item 19 - Additional Information Using the electronic Form LM-4, you add required and optional additional information in Item 19 (Page 1 of Form LM-4) in the following instances: • When prompted by the form to enter required additional information into an item • When prompted by the form to enter required additional information when the form is validated • When you want to add general comments or additional information about information you are reporting on Form LM-4 (optional additional information).

24. Additional Information The following table identifies the Form LM-4 items that prompt you to enter information in Item 19. After you enter data in a field that requires additional information or when the system validates that field (see Validating the Form), a message identifying the additional information that you must enter will display.

25. 1. Click the OK button to close the message window. The form takes you to Item 19—Additional Information. Enter the information according to the instructions in the message window that prompted you to enter additional information. Click the Save button in the upper right corner of Item 19—Additional Information. The additional information will display on the Additional Information Summary page that is automatically added to the end of the form. Adding Required Information

26. Deleting Additional Information • To delete additional information go to the page and field that prompted you to enter the additional information and change or delete the entry in the field. • Example 1: If you entered an amount in a field, delete the amount. • Example 2: If you selected a check box that prompted the message to enter additional information, change the check box selection—for example, from “yes” to “no.” The additional information you entered is automatically deleted from the Additional Information page.

27. Adding Optional Information • Go to the first page of Form LM-4. 2. Click the General Additional Information button. A message window stating that you can enter general comments will display. 3. Click the OK button to close the message window. The cursor is now in Item 19—Additional Information. • Enter a comment in Item 19—Additional Information. 5. Click the Save button in the upper right corner of Item 19—Additional Information.

28. Viewing Form Attachments • Select “File Attachments” from the “Document” menu on the menu bar. • The File Attachments window opens. • 3. Click the Open button. • The Attachment Viewer • opens displaying the file • you selected. • Close the Attachment • Viewer by clicking the • Close button in the • upper right corner of the • window. To view data imported as an attachment

29. Validating the Form • To validate the form: • Go to page 1 of Form LM-4 and click the validate form button. • Before signing and submitting your form, you must check it for errors. This is called the validation process. • Once you click the Validate Form button, the Automatic Error Summary identifies errors in your form and tells you where they are.

30. Validating the Form • Correct each error listed and run the Error Summary again to confirm that the report is ready for signing and submitting to OLMS. • Once the form has been validated, a box will show when the report is ready for signature and submission.

31. Filing your Electronic LM-4 Report • Obtain an electronic signature and file the form electronically. or • Print your report and sign and mail the report. Information on obtaining a digital signature is available on the OLMS Web site www.olms.dol.gov.

32. Items 20 and 21 - Signatures • Items 20 and 21: both the President and Treasurer or corresponding principal officers must sign the report.

33. Adding Signatures • In order to file Form LM-4 electronically, you are required to add digital signatures to the signature block on the bottom of page one. Before being able to do so, the following must be completed: • You must obtain an Access Certificate for Electronic Services (ACES) digital certificate. For information on obtaining an ACES certificate see the OLMS Website: www.dol.gov/esa/regs/compliance/olms/digital-signatures.htm • Once you receive your digital signature, you must install it based on the instructions provided by the digital certificate vendor.

34. Adding Signatures • Note: If your organization’s Form LM-4 is prepared by a third party (for example, an accounting firm), the preparer will need to save the completed form to a CD or other removable media and send it to the officers of your organization who will be signing the form. • Once the completed form is loaded on an officer’s computer, the officer will use his/her digital signature to sign the form. After the first officer digitally signs the form, he/she must send the form using removable media to the other officer who will then load the form on his/her computer and digitally sign the form.

35. Adding Signatures • Before you can digitally sign the Form LM-4, the form must pass validation. See the section on validation for more information about errors in the Form LM-4. All errors must be resolved before the form may be signed. • If an officer other than the President or Treasurer is signing the form, the title field next to the signature can be changed. Changing the title field to a different value prompts you to enter an explanation as to why the President or Treasurer is not signing the form.

36. Adding Signatures Click the signature line. 2. A pop-up will appear with a paragraph of text stating “This form has passed the validation check and is able to be signed and submitted to the Department of Labor.” 3. Click OK. 4. Another pop-up will indicate “The form is ready for signing. Click the signature again to sign.” 5. Click OK and a red arrow should appear in the signature block.

37. Adding Signatures 6. Click the arrow to apply the signature. The following pop-up will appear: 7. Click Continue Signing button in the pop-up alert. A pop-up with a list of possible digital signatures is displayed. 8. Select the digital ID previously installed, and click OK. Once you do, the following pop-up is displayed.

38. Adding Signatures 9. Click Sign and Save As to complete the form and save it with signature.

39. Adding Signatures Once you have successfully signed the form, a green checkmark should appear next to the red arrow. The green checkmark indicates that the form has been signed, and there have been no changes to the form since the signature was applied. If any data in the form is changed after the signature is applied, the signature will disappear, and must be re-applied.

40. Completing & Filing Non-Electronic Forms If you do not use the electronic Form LM-4: • File one original copy with OLMS. • Do not file photocopies. • Type or print your entries with black ink. • Use CAPITAL letters. • Enter only one letter or number per box.

41. LM-4 Identification Items • Item 1 - File Number: enter your union’s six-digit File Number. • Item 2 - Period Covered: enter the period covered by the report - cannot be more than one year.

42. LM-4 Identification Items • Item 3: check the appropriate box if the form is “Amended” or “Terminal.” Leave blank if none apply. • Item 3 – Terminating unions must also report in Item 19 (Additional Information): • the reason for termination, • plans for disposition of the union’s assets, • who will retain the terminal union’s financial records, • in case of a merger, report the name, address and LM file number of the union the terminating organization is merging into.

43. LM-4 Identification Items • If pre-filled label information is correct, leave Items 4 - 8 blank. • If any label information is incorrect, complete Items 4 - 8.

44. Reminders for Completing Form LM-4

45. Completing & Filing Preprinted Forms • Type or print inside the boxes. • Leave blank boxes between words or numbers. • Enter whole dollar amounts only. Do not enter cents or “.00.” • Enter a single zero in boxes for financial items when you have nothing to report. • Use an “X” to mark “Yes” or “No” items. Do not use check marks or any marks other than an “X.”

46. Where to File Paper Reports U.S. Department of Labor Employment Standards Administration Office of Labor-Management Standards Room N-1519 200 Constitution Avenue, NW Washington, DC 20210

47. Contact OLMS • Online: http://www.olms.dol.gov • The Department of Labor Call Center at: • 1-866-4-USA-DOL (1-866-487-2365) • You can call the OLMS Help Desk directly at • (202) 693-0423 (not a toll free number). • You may also send questions via e-mail to: • olms-public@dol.gov • Be sure to sign up for the OLMS List Serve mailing list to • receive all the latest information delivered right to your Inbox. • http://www.dol.gov/esa/aboutesa/org/olms/olms-mailinglist.htm

48. Getting Help • Completing Form LM-4: • Form instructions • OLMS field offices • Using the Electronic Form: • User Guide • DOL Help Line: 1-866-487-2365 (toll free) 202-693-0423 (not a toll-free number)