Labor Organization Officer and Employee Report - LM-30

Public reporting burden for this collection of information is estimated to average 35 minutes per response, including the time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing
the collection of information. Persons are not required to respond to the collection of information unless it displays a currently valid
OMB control number. Reporting of this information is mandatory and is required by the Labor-Management Reporting and
Disclosure Act of 1959, as amended (LMRDA), for the purpose of public disclosure. As this is public information, there are no
assurances of confidentiality. If you have any comments regarding this estimate or any other aspect of this information collection,
including suggestions for reducing this burden, please send them to the U.S. Department of Labor, Employment Standards
Administration, Office of Labor-Management Standards, Division of Interpretations and Standards, Room N-5605, 200 Constitution
Avenue, NW, Washington, DC 20210.

DO NOT SEND YOUR COMPLETED FORM LM-30 TO THE ABOVE ADDRESS.

INSTRUCTIONS FOR FORM LM-30
LABOR ORGANIZATION OFFICER AND EMPLOYEE REPORT
GENERAL INSTRUCTIONS
I. WHY FILE
The Labor-Management Reporting and Disclosure Act
of 1959, as amended (LMRDA), requires public
disclosure of certain financial transactions and financial
interests of labor organization officers and employees
and their spouses and minor children. Pursuant to
section 202 of the LMRDA, every labor organization
officer or employee (other than an employee performing
clerical or custodial services exclusively) who has
engaged in any such transaction or has any such
interest during the fiscal year must file a detailed report
with the Secretary of Labor. The Secretary, under the
authority of the LMRDA, has prescribed the filing of the
Labor Organization Officer and Employee Report, Form
LM-30, for officers and employees of labor organizations
to satisfy this reporting requirement.
The reporting requirements of the LMRDA and of the
regulations and forms issued under the Act only relate to
the disclosure of specified financial transactions and
interests. The reporting requirements do not address
whether such economic interests are lawful or unlawful.
The fact that a particular financial transaction or interest
is or is not required to be reported is not indicative of
whether it is or is not subject to any legal prohibition; this
must be tested by provisions of law other than those
prescribing the reports.
II. WHO MUST FILE
Any officer or employee of a labor organization (other
than an employee performing clerical or custodial
services exclusively), as defined by the LMRDA, must
file Form LM-30 if, during the past fiscal year, the officer
or employee, or his/her spouse or minor child, either
directly or indirectly, held any legal or equitable interest
or engaged in any transactions (including loans) of the
type described in Section 202 of the LMRDA.

NOTE: Selected definitions from the LMRDA follow
these instructions.

III. WHAT MUST BE REPORTED
The types of financial transactions and interests which
must be reported are set forth in Form LM-30. The
LMRDA states that every officer or employee of a labor
organization must file a detailed report with the
Secretary of Labor listing and describing certain financial
transactions engaged in, and interests held by, the
officer or employee or his/her spouse or minor child: (1)
legal and equitable interests in, transactions with, and
economic benefits from an employer whose employees
his/her union represents or seeks to represent: (2) legal
and equitable interests in, transactions with, and
economic benefits from certain businesses which deal
with the business of the employer whose employees the
union represents or seeks to represent, or which deals
with the union or a trust in which the labor organization is
interested; and (3) certain income and other economic
benefits received from any employer or labor relations
consultant.
Special Reports. In addition to this report, the Secretary
may require officers and employees subject to the
LMRDA to submit special reports on relevant
information, including but not necessarily confined to
reports on the matters referred to under the exclusions in
Part A, subsections ii and iv, and Part C, subsections ii
and iii.
IV. WHO MUST SIGN THE REPORT
The labor organization officer or employee must sign the
completed Form LM-30.
V. WHEN TO FILE

Each labor organization officer or employee, as defined
in the LMRDA, if he/she or his/her spouse or minor child
has held any of the interests or engaged in any of the
transactions set forth in this form and the instructions
must file Form LM-30 within 90 days after the end of
his/or her fiscal year. If, however, you were an officer or
employee for only a portion of the fiscal year, you may
limit this report to that portion of the fiscal year.
VI. WHERE TO FILE
The completed Form LM-30 and any additional
pages must be mailed to the following address:
U.S. Department of Labor
Employment Standards Administration
Office of Labor-Management Standards
200 Constitution Avenue, NW, Room N-5616
Washington, DC 20210
VII. PUBLIC DISCLOSURE
Pursuant to the LMRDA, the U.S. Department of Labor is
required to make all submitted reports available for
public inspection. You may examine the Form LM-30
reports at, and purchase copies from, the OLMS Public
Disclosure Room at the address listed in Section VI, or
at the OLMS field office in whose jurisdiction the
reporting officer or employee is located. At the end of
these instructions is a list of OLMS field offices.
VIII. OFFICER AND EMPLOYEE RESPONSIBILITIES
AND PENALTIES
The labor organization officer or employee required to
sign Form LM-30 is personally responsible for its filing
and accuracy. Under the LMRDA, this individual is
subject to criminal penalties for willful failure to file a
required report and/or for false reporting. False
reporting includes making any false statement or
misrepresentation of a material fact while knowing it to
be false, or for knowingly failing to disclose a material
fact in a required report or in the information required to
be contained in it or in any information required to be
submitted with it.
The reporting labor organization officer or employee
required to sign Form LM-30 is also subject to civil
prosecution for violations of filing requirements. Section
210 of the LMRDA provides that, “whenever it shall
appear that any person has violated or is about to violate
any of the provisions of this title, the Secretary may bring
a civil action for such relief (including injunctions) as may
be appropriate.”
IX. RECORDKEEPING
The individual required to file Form LM-30 is responsible
for maintaining records which must provide in sufficient

detail the information and data necessary to verify the
accuracy and completeness of the report. You must
retain the records for at least 5 years after the date the
report is filed. You must retain any record necessary to
verify, explain, or clarify the report including, but not
limited to, vouchers, worksheets, receipts, and
applicable resolutions.
X. COMPLETING FORM LM-30
Read the instructions carefully before completing Form
LM-30.
Information Entry. Entries on the report should be
typed or clearly printed in black ink. Do not use a pencil
or any other color ink.
Entering Dollars. In all Items dealing with monetary
values, report amounts in dollars only; do not enter
cents. Round cents to the nearest dollar. Enter a single
“0” in the boxes for reporting dollars if you have nothing
to report.
Additional Pages. If you need additional space to
complete an Item, include the additional information on a
separate letter-size (8.5 x 11) page(s), indicating the
number of the item to which the information applies.
Print clearly at the top of each attached page the
following information: (1) full name of the reporting labor
organization officer or employee, (2) his/her 5-digit file
number as reported in Item 1, if available; and (3) the
ending date of the reporting period as reported in Item 2.
All attachments must be labeled sequentially 1 of __, 2
of __, etc.

INFORMATION ITEMS 1 - 5
1. FILE NUMBER—Enter the five-digit file number
assigned by OLMS for the reporting officer or
employee. Officers or employees who filed an LM-30
prior to October 2003 received four-digit file numbers.
OLMS has now expanded file numbers to five digits.
Place a zero in front of your old four-digit file number to
meet the new format requirement. For example, if your
old file number was 1234, enter 01234 in Item 1 of this
year’s report. If you have never previously filed the
Form LM-30, leave Item 1 blank.
2. FISCAL YEAR— Enter the beginning and ending
dates of the fiscal year covered in this report. This will
normally be the same date as the end of the year for
which the person filing this report files his/her Federal
income tax return. This LM-30 must not cover more
than a 12-month period. For example, if the reporting
person’s 12-month fiscal year begins on January 1 and
ends on December 31, do not enter a date beyond the
12-month period, such as January 1 to January 1; this
is an invalid date entry.

3. NAME AND MAILING ADDRESS OF PERSON
FILING—Enter the full name of the reporting officer or
employee and the complete address where mail should
be sent and received, including any building and room
number.

then you must submit two Part Bs (one part B for each
transaction) with this report. Do not submit separate
LM-30 reports; only attach separate Part As, Bs, or Cs
to this report.
PART A (ITEMS 6 AND 7)

4. NAME AND ADDRESS OF LABOR
ORGANIZATION—Enter the full name of the labor
organization (including local number, if any) of which
the reporting individual is an officer or employee, the
labor organization’s file number, and the complete
business address of the labor organization where mail
should be sent and received, including any building and
room number. If you can not obtain the file number of
the labor organization, contact the nearest OLMS field
office listed at the end of these instructions.
5. POSITION IN LABOR ORGANIZATION—Enter
your position in the labor organization. For example, if
you are an officer of the labor organization, state your
official title.
GENERAL INSTRUCTIONS FOR REPORTABLE
TRANSACTIONS AND INTERESTS
PARTS A, B, AND C
NOTE: The union officer or employee must report only
if, during the past fiscal year, he/she or his spouse or
minor child, directly or indirectly: (1) held an interest;
(2) engaged in a transaction; or (3) received income,
payment or other economic benefit with monetary value
covered by the Act. You do not have to report any
sporadic or occasional gifts, gratuities, or loans of
insubstantial value, given under circumstances or terms
unrelated to the recipient’s status in a labor
organization, or anything excluded in the specific
instructions in Parts A, B, or C below.
If more than one employer, business, trust in which
your labor organization is interested, or labor relations
consultant is involved in the answers to the same Part
A, B, and/or C of Form LM-30, complete a separate
Part A, B, or C for each employer, business, trust,
and/or labor relations consultant. For example, if you
(or your spouse or minor child) held stock in three (3)
businesses which have lease agreements with your
labor organization, then you must submit three Part Bs
(one part B for each business) with this report. Do not
submit separate LM-30 reports; only attach separate
part As, Bs, or Cs to this report.
Similarly, if more than one interest, transaction, or
income or other benefit is involved in the answers to
the same Part A, B, and/or C of Form LM-30, complete
a separate Part A, B, or C for each such interest,
transaction, or income or other benefit. For example, if
you received income and a loan from a business which
has a lease agreement with your labor organization,

Complete Part A if you (1) held an interest in, (2)
engaged in transactions (including loans) with, or (3)
derived income or other economic benefit of monetary
value from, an employer whose employees your
organization represents or is actively seeking to
represent. Complete a separate Part A for each such
employer and for each such interest, transaction, or
item of income or other economic benefit connected
with that employer.
However, Part A excludes, and you are not required to
answer Items 6 or 7, with respect to the following:
(i) Holdings of, transactions in, or income
from, bona fide investments in securities
traded on a securities exchanged registered as
a national securities exchange under the
Securities Exchange Act of 1934, in shares in
an investment company registered under the
Investment Company Act of 1940, or in
securities of a public utility holding company
registered under the Public Utility Holding
Company Act of 1935;
(ii) Holding of, transactions in, or income from,
securities not listed or registered as described
under the exclusion above, provided any such
holding, or transaction, or receipt of income is
of insubstantial value or amount and occurs
under terms unrelated to your status in a labor
organization. For purposes of this exclusion,
holdings or transactions involving $1,000 or
less and receipt of income of $100 or less in
any one security shall be considered
insubstantial;
(iii) Transactions involving purchases and sales of
goods and services in the regular course of
business at prices generally available to any
employee of the employer. This does not apply
to transactions involving stocks, bonds,
securities or loans, for example;
(iv) Payments and benefits received as a bona
fide employee of the employer for past or
present services, including wages, payments or
benefits received under a bona fide health,
welfare, pension, vacation, training or other
benefit plan; and payments for periods in which
such employee engaged in activities other than
productive work, if the payments for such
period of time are: (a) required by law or a

bona fide collective bargaining agreement, or
(b) made pursuant to a custom or practice
under such a collective bargaining agreement,
or (c) made pursuant to a policy, custom, or
practice with respect to employment in the
establishment which the employer has adopted
without regard to any holding by such
employee of a position with a labor
organization.
6. NAME AND ADDRESS OF EMPLOYER—Enter the
name and address of the employer (including trade or
commercial name, if any, such as d/b/a or “doing
business as” name) with whom the interest,
transaction, or economic benefit was connected.
7. NATURE AND AMOUNT OF INTEREST,
TRANSACTION OR INCOME— Provide full
information as to the nature and amount of each
interest, transaction, or item of income or other
economic benefit which is not excluded from reporting.
Enter in Item 7.a. the nature of the interest, transaction,
or item of income or other economic benefit in the detail
set forth below. Enter in Item 7.b. the amount involved
in each interest, transaction, or item of income or other
economic benefit in the detail set forth below, and the
date(s) any income or other economic benefit was
received.
(a) Interests held or transactions in stocks,
bonds, securities, or other equitable or legal
interests:
For each such interest and transaction, identify the
nature of the interest held (for example, common
stock, preferred stock, bonds, options, etc.) and
give the total number of shares or other units held
during the fiscal year. If the interest was acquired
during the fiscal year or if this is your first report,
give an approximate date or dates of acquisition,
total cost to you, and manner of acquisition (for
example, employee stock purchase plan, purchase
on market, gift, etc.). If the interest was disposed of
during the fiscal year, give an approximate date,
total amount received by you and the manner of
disposition (for example, sale on market, gift,
exchange, etc.). In each case, identify the other
party or parties to the transaction.
(b) Other transactions involving (1) any loan to
or from the employer; (2) any business
transaction or arrangement (for example,
purchases and sales of goods and services
not excluded under (iii) above; rentals, credit
arrangements, franchises, or contracts, etc.):
For each such transaction, identify the nature of the
transaction and the property involved (for example,
loan of money from employer, rental of loft building,

located at X street, Y City, Z State, to employer,
etc.) and state:
(1) the total dollar amount you paid or received
during the fiscal year (for example, amount of a
loan, rent, sale, etc.);
(2) the dollar value of remaining obligation, if any,
by the end of the fiscal year (for example,
unpaid balance of a loan, rentals due pursuant
to a lease, amount due under a contract, etc.);
(3) the date transaction was entered into and the
date it was terminated, if any;
(4) the terms and conditions of the transaction (for
example, unsecured loan under employer loan
plan payable over one year, discount
purchases of goods, sale and lease back one
year, etc.);
(5) names and addresses of intermediate parties
involved in any indirect transactions (for
example, loans made to you in the name of
another, etc.).
(c) income or payment or other economic benefit
with monetary value (including reimbursed
expenses).
For each such item of income or other economic
benefit, identify the nature of the income or benefit
(for example, continuing use of automobile for
personal purposes, gift of refrigerator, payment for
services not excluded above, etc.). State the
amount or value of the income or benefit and the
date you, your spouse, or minor child derived it.
PART B (ITEMS 8 – 12)
Complete Part B if you held an interest in or derived
income or other economic benefit with monetary value,
including reimbursed expenses, from a business (1) a
substantial part of which consists of buying from,
selling or leasing to, or otherwise dealing with the
business of an employer whose employees your labor
organization represents or is actively seeking to
represent, or (2) any part of which consists of buying
from or selling or leasing directly or indirectly to, or
otherwise dealing with your labor organization or with a
trust in which your labor organization is interested.
Complete a separate Part B for each such business
and for each such interest or item of income or benefit
connected with that business.
However, Part B excludes, and you are not required to
answer Items 8 - 12, with respect to the exclusions set
forth in (i) and (ii) in the instruction under Part A above.

8. NAME AND ADDRESS OF BUSINESS—Enter the
name and address of the business (including trade or
commercial name, if any, such as “d/b/a” or doing
business as name ) the interest, transaction or
economic benefit was connected.
9 AND 10. WITH WHOM THE BUSINESS DEALS—
Select the appropriate box describing the type of
organization with which the business (referred to in Item
8) dealt. If you select 9.b. or c, enter the full name of
each employer or trust in Item 10.
11.a. NATURE OF DEALINGS—Enter the nature of
the dealing(s), during the fiscal year covered in this
report, between the business and the organization
indicated in Items 9 and 10, if this information is
ascertainable by you.
11.b. VALUE OF DEALINGS—Enter the approximate
dollar value of the dealing(s), during the fiscal year
covered in this report, between the business and the
organization indicated in Items 9 and 10, if this
information is ascertainable by you.
12.a. NATURE OF INTEREST HELD OR INCOME
RECEIVED—Enter the nature of each interest held or
income or other economic benefit covered by Part B,
including the applicable information set forth in the
instructions to Item 7(a) and (c) above.
12.b. AMOUNT OF INTEREST HELD OR INCOME
RECEIVED--Enter the approximate dollar amount of
each interest held or income or other economic benefit
covered by Part B, including the applicable information
set forth in the instructions to Item 7(a) and (c) above.
PART C (ITEMS 13 AND 14)
Complete Part C if you received from any employer
(other than an employer covered under Parts A and B
above), or from any labor relations consultant to an
employer, any payment of money or other thing of
value. Complete a separate Part C for each such
employer and labor relations consultant and for each
such payment.
However, Part C excludes, and you are not required to
answer Items 13 and 14, with respect to:

(ii)

Bona fide loans, interest or dividends from
national or state banks, credit unions,
savings or loan associations, insurance
companies, or other bona fide credit
institutions.

(iii)

Interest on bonds or dividends on stock,
provided such interest or dividends are
received, and such bonds or stock have
been acquired, under circumstances and
terms unrelated to the recipient’s status in
a labor organization and the issuer of such
securities is not an enterprise in
competition with the employer whose
employees your labor organization
represents or actively seeks to represent.

Regardless of the exclusions above, information that
must be reported under Part C includes the following
payments (from any employer not covered by Parts A
or B or from any labor relations consultant to an
employer): (1) not to organize employees; (2) to
influence employees in any way with respect to their
rights to organize; (3) to take any action with respect to
the status of employees or others as members of a
labor organization; and (4) to take any action with
respect to bargaining or dealing with employers whose
employees your organization represents or seeks to
represent.
13.a. NAME AND ADDRESS OF BUSINESS—Enter
the name and address of the employer or labor
relations consultant (including trade or commercial
name, if any, such as d/b/a or “doing business as”
name), from whom the payment in Part C was received.
13.b. TYPE OF BUSINESS—Select the appropriate
box indicating whether the entity which made the
payment is an employer or labor relations consultant.
14.a. NATURE OF PAYMENT—For each payment
under Part C not excluded above, identify the nature of
the income or benefit (for example, continuing use of
automobile for personal purposes, gift of refrigerator,
payment for services not excluded above, etc.). List
the date you received the income or benefit.
14.b. AMOUNT OF PAYMENT—State the amount or
value of the income or benefit.
SIGNATURE

(i)

Payments of the kind referred to in Section
302(c) of the Labor Management Relations
Act of 1947, as amended (LMRA). The text
of Section 302 (c) of the LMRA is set forth
below.

15. SIGNATURE—The completed Form LM-30 which
is filed with OLMS must be signed by the reporting
person (officer or employee of the labor organization).
Enter the telephone number used by the signatory to
conduct official business. You do not have to report a
private unlisted telephone number.

SELECTED DEFINITIONS FROM THE LABOR-MANAGEMENT REPORTING AND DISCLOSURE
ACT OF 1959, AS AMENDED (LMRDA)
SEC. 3. For the purposes of titles I, II, III, IV, V
(except section 505), and VI of this Act(g)
(a) "Commerce" means trade, traffic, commerce,
transportation, transmission, or communication
among the several States or between any State and
any place outside thereof.
(b) "State" includes any State of the United States, the
District of Columbia, Puerto Rico, the Virgin Islands,
American Samoa, Guam, Wake Island, the Canal
Zone, and Outer Continental Shelf lands defined in
the Outer Continental Shelf Lands Act (43 U.S.C.
1331-1343).
(c) "Industry affecting commerce" means any activity,
business, or industry in commerce or in which a
labor dispute would hinder or obstruct commerce or
the free flow of commerce and includes any activity
or industry "affecting commerce" within the meaning
of the Labor Management Relations Act, 1947, as
amended, or the Railway Labor Act, as amended.
(d) "Person" includes one or more individuals, labor
organizations, partnerships, associations,
corporations, legal representatives, mutual
companies, joint-stock companies, trusts,
unincorporated organizations, trustees, trustees in
cases under Title 11 of the United States Code, or
receivers.
(e) "Employer" means any employer or any group or
association of employers engaged in an industry
affecting commerce
(1) which is, with respect to employees engaged in
an industry affecting commerce, an employer
within the meaning of any law of the United
States relating to the employment of any
employees or
(2) which may deal with any labor organization
concerning grievances, labor disputes, wages,
rates of pay, hours of employment, or conditions
of work, and includes any person acting directly
or indirectly as an employer or as an agent of an
employer in relation to an employee but does
not include the United States or any corporation
wholly owned by the Government of the United
States or any State or political subdivision
thereof.
(f) "Employee" means any individual employed by an
employer, and includes any individual whose work
has ceased as a consequence of, or in connection
with, any current labor dispute or because of any
unfair labor practice or because of exclusion or
expulsion from a labor organization in any manner or

(h)
(i)

(j)

for any reason inconsistent with the requirements of
this Act.
"Labor dispute" includes any controversy concerning
terms, tenure, or conditions of employment, or
concerning the association or representation of
persons in negotiating, fixing, maintaining, changing,
or seeking to arrange terms or conditions of
employment, regardless of whether the disputants
stand in the proximate relation of employer and
employee.
Not applicable.
"Labor organization" means a labor organization
engaged in an industry affecting commerce and
includes any organization of any kind, any agency,
or employee representation committee, group,
association, or plan so engaged in which employees
participate and which exists for the purpose, in
whole or in part, of dealing with employers
concerning grievances, labor disputes, wages, rates
of pay, hours, or other terms or conditions of
employment, and any conference, general
committee, joint or system board, or joint council so
engaged which is subordinate to a national or
international labor organization, other than a State or
local central body.
A labor organization shall be deemed to be engaged
in an industry affecting commerce if it--:
(1) is the certified representative of employees
under the provisions of the National Labor
Relations Act, as amended, or the Railway
Labor Act, as amended; or
(2) although not certified, is a national or
international labor organization or a local labor
organization recognized or acting as the
representative of employees or an employer or
employers engaged in an industry affecting
commerce; or
(3) has chartered a local labor organization or
subsidiary body which is representing or actively
seeking to represent employees of employers
within the meaning of paragraph (1) or (2) ; or
(4) has been chartered by a labor organization
representing or actively seeking to represent
employees within the meaning of paragraph (1)
or (2) as the local or subordinate body through
which such employees may enjoy membership
or become affiliated with such labor
organization; or
(5) is a conference, general committee, joint or
system board, or joint council, subordinate to a
national or international labor organization,

which includes a labor organization engaged in
an industry affecting commerce within the
meaning of any of the preceding paragraphs of
this subsection, other than a State or local
central body.
(k) Not applicable.
(l) Not applicable.
(m) "Labor relations consultant" means any person who,
for compensation, advises or represents an
employer, employer organization, or labor
organization concerning employee organizing,
concerted activities, or collective bargaining
activities.
(n) "Officer" means any constitutional officer, any
person authorized to perform the functions of
president, vice president, secretary, treasurer, or
other executive functions of a labor organization,
and any member of its executive board or similar
governing body.
(o) Not applicable.
(p) Not applicable.
(q) "Officer, agent, shop steward, or other
representative," when used with respect to a labor
organization, includes elected officials and key
administrative personnel, whether elected or
appointed (such as business agents, heads of
departments or major units, and organizers who
exercise substantial independent authority), but
does not include salaried non-supervisory
professional staff, stenographic, and service
personnel.
NATIONAL LABOR RELATIONS ACT, AS
AMENDED
Section 8. "(c) The expressing of any views, argument,
or opinion or the dissemination thereof, whether in
written, printed, graphic, or visual form, shall not
constitute or be evidence of an unfair labor practice
under any of the provisions of this Act, if such
expression contains no threat of reprisal or force or
promise of benefit.”
RELATED PROVISIONS OF THE LABORMANAGEMENT REPORTING AND DISCLOSURE
ACT OF 1959, AS AMENDED (LMRDA)
Report of Officers and Employees of Labor
Organizations
SEC. 202. (a) Every officer of a labor organization and
every employee of a labor organization (other than an
employee performing exclusively clerical or custodial
services) shall file with the Secretary a signed report
listing and describing for his preceding fiscal year--

(1) any stock, bond, security, or other interest, legal or
equitable, which he or his spouse or minor child directly
or indirectly held in, and any income or any other benefit
with monetary value (including reimbursed expenses)
which he or his spouse or minor child derived directly or
indirectly from, an employer whose employees such
labor organization represents or is actively seeking to
represent, except payments and other benefits received
as a bona fide employee of such employer;
(2) any transaction in which he or his spouse or minor
child engaged, directly or indirectly, involving any stock,
bond, security, or loan to or from, or other legal or
equitable interest in the business of an employer whose
employees such labor organization represents or is
actively seeking to represent;
(3) any stock, bond, security, or other interest, legal or
equitable, which he or his spouse or minor child directly
or indirectly held in, and any income or any other benefit
with monetary value (including reimbursed expenses)
which he or his spouse or minor child directly or
indirectly derived from, any business a substantial part of
which consists of buying from, selling or leasing to, or
otherwise dealing with, the business of an employer
whose employees such labor organization represents or
is actively seeking to represent;
(4) any stock, bond, security, or other interest, legal or
equitable, which he or his spouse or minor child directly
or indirectly held in, and any income or any other benefit
with monetary value (including reimbursed expenses)
which he or his spouse or minor child directly or
indirectly derived from, a business any part of which
consists of buying from, or selling or leasing directly or
indirectly to, or otherwise dealing with such labor
organization;
(5) any direct or indirect business transaction or
arrangement between him or his spouse or minor child
and any employer whose employees his organization
represents or is actively seeking to represent, except
work performed and payments and benefits received as
a bona fide employee of such employer and except
purchases and sales of goods or services in the regular
course of business at prices generally available to any
employee of such employer; and
(6) any payment of money or other thing of value
(including reimbursed expenses) which he or his spouse
or minor child received directly or indirectly from any
employer or any person who acts as a labor relations
consultant to an employer, except payments of the kinds
referred to in section 302(c) of the Labor Management
Relations Act, 1947, as amended.

(b) The provisions of paragraphs (1), (2), (3), (4), and (5)
of subsection (a) shall not be construed to require any
such officer or employee to report his bona fide
investments in securities traded on a securities
exchange registered as a national securities exchange
under the Securities Exchange Act of 1934, in shares in
an investment company registered under the Investment
Company Act or in securities of a public utility holding
company registered under the Public Utility Holding
Company Act of 1935, or to report any income derived
therefrom.
(c) Nothing contained in this section shall be construed
to require any officer or employee of a labor organization
to file a report under subsection (a) unless he or his
spouse or minor child holds or has held an interest, has
received income or any other benefit with monetary
value or a loan, or has engaged in a transaction
described therein.
SECTION 302(c) OF THE LABOR MANAGEMENT
RELATIONS ACT, 1947, AS AMENDED
"(c) The provisions of this section shall not be applicable
(1) in respect to any money or other thing of value
payable by an employer to any of his employees whose
established duties include acting openly for such
employer in matters of labor relations or personnel
administration or to any representative of his employees,
or to any officer or employee of a labor organization,
who is also an employee or former employee of such
employer, as compensation for, or by reason of, his
service as an employee of such employer; (2) with
respect to the payment or delivery of any money or other
thing of value in satisfaction of a judgment of any court
or a decision or award of an arbitrator or impartial
chairman or in compromise, adjustment, settlement, or
release of any claim, complaint, grievance, or dispute in
the absence of fraud or duress; (3) with respect to the
sale or purchase of an article or commodity at the
prevailing market price in the regular course of business;
(4) with respect to money deducted from the wages of
employees in payment of membership dues in a labor
organization: Provided, That the employer has received
from each employee, on whose account such deductions
are made, a written assignment which shall not be
irrevocable for a period of more than one year, or
beyond the termination date of the applicable collective
agreement, which-ever occurs sooner; (5) with respect
to money or other thing of value paid to a trust fund
established by such representative, for the sole and
exclusive benefit of the employees of such employer,
and their families and dependents (or of such
employees, families, and dependents jointly with the
employees of other employers making similar payments,
and their families and dependents) Provided, That (A)
such payments are held in trust for the purpose of

paying, either from principal or income or both, for the
benefit of employees, their families and dependents, for
medical or hospital care, pensions on retirement or
death of employees, compensation for injuries or illness
resulting from occupational activity or insurance to
provide any of the foregoing, or unemployment benefits
or life insurance, disability and sickness insurance, or
accident insurance; (B) the detailed basis on which such
payments are to be made is specified in a written
agreement with the employer, and employees and
employers are equally represented in the administration
of such fund together with such neutral persons as the
representatives of the employers and the
representatives of employees may agree upon and in
the event of the employer and employee groups
deadlock on the administration of such fund and there
are no neutral persons empowered to break such deadlock, such agreement provides that the two groups shall
agree on an impartial umpire to decide such dispute, or
in event of their failure to agree within a reasonable
length of time, an impartial umpire to decide such
dispute shall, on petition of either group, be appointed by
the district court of the United States for the district
where the trust fund has its principal office, and shall
also contain provisions for an annual audit of the trust
fund, a statement of the results of which shall be
available for inspection by interested persons at the
principal office of the trust fund and at such other places
as may be designated in such written agreement; and
(C) such payments as are intended to be used for the
purpose of pro-viding pensions or annuities for
employees are made to a separate trust which provides
that the funds held therein cannot be used for any
purpose other than paying such pensions or annuities; or
(6) with respect to money or other thing of value paid by
any employer to a trust fund established by such a
representative for the purpose of pooled vacation,
holiday, severance or similar benefits, or defraying costs
of apprenticeship or other training programs: Provided,
That the requirements of clause (B) of the proviso to
clause (5) of this subsection shall apply to such trust
funds; (7) with respect to money or other thing of value
paid by any employer to a pooled or individual trust fund
established by such representative for the purpose of (A)
scholarships for the benefit of employees, their families,
and dependents for study at educational institutions, or
(B) child care centers for preschool and school age
dependents of employees: Provided, That no labor
organization or employer shall be required to bargain on
the establishment of any such trust fund, and refusal to
do so shall not constitute an unfair labor practice:
Provided further, That the requirements of clause (B) of
the proviso to clause (5) of this subsection shall apply to
such trust funds; (8) with respect to money or any other
thing of value paid by any employer to a trust fund
established by such representative for the purpose of
defraying the costs of legal services for employees, their

families, and dependents for counsel or plan of their
choice: Provided, That the requirements of clause (B) of
the proviso to clause (5) of this subsection shall apply to
such trust funds: Provided further, That no such legal
services shall be furnished: (A) to initiate any proceeding
directed (i) against any such employer or its officers or
agents except in workman's compensation cases, or (ii)
against such labor organization, or its parent or
subordinate bodies, or their officers or agents, or (iii)
against any other employer or labor organization, or their
officers or agents, in any matter arising under the
National Labor Relations Act, as amended, or this Act;
and (B) in any proceeding where a labor organization
would be prohibited from defraying the costs of legal
services by the provisions of the Labor-Management
Reporting and Disclosure Act of 1959; or (9) with respect
to money or other things of value paid by an employer to
a plant, area or industry-wide labor management
committee established for one or more of the purposes
set forth in section 5(b) of the Labor Management
Cooperation Act of 1978."
If You Need Assistance
The Office of Labor-Management Standards has field
offices located in the following cities to assist you if you
have any questions concerning LMRDA and CSRA
reporting requirements.
Atlanta, GA
Birmingham, AL
Boston, MA
Buffalo, NY
Chicago, IL
Cincinnati, OH
Cleveland, OH
Dallas, TX
Denver, CO
Detroit, MI
Grand Rapids, MI
Guaynabo, PR
Honolulu, HI
Houston, TX
Kansas City, MO
Los Angeles, CA
Miami (Ft. Lauderdale), FL
Milwaukee, WI
Minneapolis, MN
Nashville, TN
New Haven, CT
New Orleans, LA
New York, NY
Newark (Iselin), NJ
Philadelphia, PA
Pittsburgh, PA
St. Louis, MO
San Francisco, CA
Seattle, WA
Tampa, FL

Washington, DC
Consult local telephone directory listings under United
States Government, Labor Department, Office of LaborManagement Standards, for the address and telephone
number of the nearest field office.
Copies of labor organization annual financial reports,
employer reports, and labor relations consultant reports
filed for the year 2000 and after can be viewed and
printed at http://www.union-reports.dol.gov. Copies of
reports for the year 1999 and earlier can be ordered
through the website.
Information about OLMS, including key personnel and
telephone numbers, compliance assistance materials,
the text of the LMRDA, and related Federal Register and
Code of Federal Regulations (CFR) documents, is also
available on the Internet at:
http://www.olms.dol.gov