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U.S. Department of LaborOffice of Labor-Management Standards

(OLMS)

Filing Revised Form LM-30

An Overview of Union Officer

and Employee Reporting

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Introduction

• 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

The Labor-Management Reporting and Disclosure Act (LMRDA) requires union officers and certain employees 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:

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NOTE

• This presentation is about revised 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. Reports covering fiscal years beginning before that date may be filed on the current Form LM-30.

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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.

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Who Must FileUnion officers or employees must file a Form LM-30 if they ortheir spouse or minor children had any of the followinginterests or dealings related to an employer whose employeestheir union represents or is actively seeking to represent:

Example: You are an employee of a union and your spouseworks as a producer for a dinner theater that employs actorsrepresented by your union. Your spouse works 40 to 50 hours aweek producing shows and is paid a yearly salary. You do nothave to report this salary because the payments are received byyour 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)

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Who Must FileUnion officers or employees must file a Form LM-30 if theyor their spouse or minor children had any of the followinginterests or dealings related to an employer whoseemployees their union represents or is actively seeking torepresent:

Example: You are a union employee. Your spouse owns amedical transcription company. The medical transcriptioncompany owned by your spouse receives a loan from anemployer whose employees your union is actively seeking torepresent. The loan must be reported.

- Received a loan from, or made a loan to, such an

employer;

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Who Must FileUnion officers or employees must file a Form LM-30 if they ortheir spouse or minor children had any of the followinginterests or dealings related to an employer whoseemployees their union represents or is actively seeking torepresent:

Example: You are an employee of a union that representsemployees at Acme Warehouse. At your request, Acme allowsyour neighbor to store his company’s inventory at a rate belowthe customary storage rate. Your neighbor, in turn, shows hisgratitude by allowing you to use his luxury box at a sportingevent. 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.

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Exceptions to ReportingExceptions to the Above Reporting Requirements Relating to anEmployer Whose Employees a Union Official’s LaborOrganization Represents or is Actively Seeking to Represent:

Holdings of, transactions in, or income from, bona fideinvestments in (1) securities traded on a securities exchangeregistered as a national securities exchange under theSecurities Exchange Act of 1934 (e.g. the New York Stock

Exchange,NASDAQ, etc.), (2) shares in an investment company registeredunder the Investment Company Act of 1940, or (3) securities ofa public utility holding company registered under the Public UtilityHolding Company Act of 1935 do not have to be reported.

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Exception to ReportingExceptions to the Above Reporting RequirementsRelating to an Employer Whose Employees a UnionOfficial’s Labor Organization Represents or isActively Seeking to Represent:

Holdings of, transactions in, or income from, bona fideinvestments in other securities that are of insubstantialvalue or amount and occur under terms unrelated tothe official’s status in a labor organization do not haveto be reported. Holdings or transactions involving$1,000 or less and receipt of income of $100 or less inany one security are considered insubstantial.

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Exception to ReportingExceptions to the Above Reporting Requirements Relatingto an Employer Whose Employees a Union Official’s LaborOrganization Represents or is Actively Seeking toRepresent:

Payments or gifts totaling $250 or less from any one source donot have to be reported (payments or gifts valued at $20 or lessdo not need to be included in determining whether the $250threshold has been met).

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Exception to ReportingExceptions to the Above Reporting Requirements Relatingto an Employer Whose Employees a Union Official’s LaborOrganization Represents or is Actively Seeking toRepresent:

Payments and benefits received as a bona fide employee of theemployer do not have to be reported. This exception does notapply to loans or to transactions involving interests in theemployer. For example, if the employer has a program in whichbona fide employees may sell their stock in the company, thisexception would not apply.

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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 ofTriWireFire, Inc., an employer in the telecommunicationsindustry. An employer, WhyWire, Inc., which marketsservices in competition with TriWireFire, gives you a gift of aski trip worth more than $250. You must report the trip andits value.

- is in competition with an employer whose employees

their labor organization represents or is actively seeking to

represent;

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Who Must FileUnion officers or employees must file a Form LM-30 if theyor their spouse or minor children received any payment ofmoney or other thing of value from an employer or a laborrelations consultant for an employer that:

Example: You are a local union president and a trustee of aTaft-Hartley pension fund in which your labor organization isinterested. You must reports payments from the trust, includingreimbursed 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.

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Who Must File

Union officers or employees must file a Form LM-30 if theyor their spouse or minor children received any payment ofmoney or other thing of value from an employer or a laborrelations consultant for an employer that:

Example: You are an officer of Local ABC. You receive a gift ofhigh-end consumer electronics from a sales representativeof HealthCare PrePaid, Inc., a not-for-profit health insurancecompany. Local ABC pays $125,000 annually in premiums tothis health insurance company. You must report the value of theconsumer 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.

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Who Must File Union officers or employees must file a Form LM-30 if they ortheir spouse or minor children received any payment of moneyor other thing of value from an employer or a labor relationsconsultant 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.

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Who Must File

Example: You are an employee of 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.

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Who Must FileUnion officers or employees must file a Form LM-30 if they ortheir spouse or minor children received any payment ofmoney or other thing of value from an employer or a laborrelations consultant to such employer that:

Example: You are a union officer. An employer provides you with anall-expenses paid weekend ski trip for the purpose of discussing theunion’s potential endorsement of a political candidate. You must reportthe 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.

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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___)

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Reporting ExceptionsExceptions to the Reporting Requirements Relating to CertainEmployers or a Labor Relations Consultant to Such anEmployer 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 criteriaand made on terms unrelated to the individual’s status in a labororganization. The exception does not apply to financial institutionsthat constitute a “trust in which your labor organization is interested.”

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Reporting Exceptions

Exceptions to the Reporting Requirements Relating toCertain 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, theirspouse, or minor child from any trust that are provided pursuant

toa written specific agreement covering such payments.

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Reporting Exceptions

Exceptions to the Reporting Requirements Relatingto Certain Other Employers or a Labor RelationsConsultant 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 beincluded in determining whether the $250 threshold has beenmet.

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Who Must File3. 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 spouseis hired as a senior executive of an employer on theunderstanding that your union will not seek to organize thatemployer. Your spouse receives a salary, medical, disability,and life insurance, use of a company car, and a paidmembership to a private club. You must report the salary andthe monetary value of the other benefits your spouse receivesfrom the employer.

(1) Not to organize employees;

(2) To influence employees with respect to their right to

organize:

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Who Must FileUnion officers or employees must file a Form LM-30 if they or theirspouse or minor children received any payments for the followingpurposes from any employer or a labor relations consultant for anyemployer:

Example: You are a local union president. An employeroutside of the jurisdiction of your local hires your 20-yearold daughter for a summer job on the understanding thatyou will seek to have your members go on strike againstan employer who is one of the employer’s competitors. You must report the payments your daughter receives from thisemployer.

(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;

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Who Must FileUnion officers or employees must file a Form LM-30 if they ortheir spouse or minor children received any payments for thefollowing purpose from any employer or a labor relationsconsultant 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.

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Who Must File 4. Union officers or employees must file a Form LM-30 if theyor their spouse or minor children held an interest in, or receivedany income or other benefit from a business that meets any of thefollowing conditions:

Example: You are a union officer. You own a small machineparts business from which you receive $50,000 in annual income. The employer of the employees your union represents purchaseda large quantity of machine parts from your business. Theemployer’s purchases represented 10% of the total receipts ofyour machine parts business that year. You must report yourinterest in the machine parts business and the $50,000 in income youreceived 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;

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Who Must FileUnion officers or employees must file a Form LM-30 if theyor their spouse or minor children held an interest in, orreceived any income or other benefit from a business thatmeets any of the following conditions:

Example: You are an employee of a national union. Your wifeworks for a travel agency that handles all the travel arrangementsfor the union. You must report your wife’s income from the travelagency 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.

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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.

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Completing Form LM-30

The first five items on the form and Item 8 (signature

and verification) must be completed by all filers.

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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.

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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.

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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.

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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).

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ExamplesExamples 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.

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Completing Schedule 3You 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.

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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.

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ExamplesExamples 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.

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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.

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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 LaborESA/OLMS, Room N-5616200 Constitution Avenue, NWWashington, DC 20210-0001

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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 LaborOffice of Labor-Management StandardsRoom N-1519200 Constitution Avenue, NWWashington, DC 20210

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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.

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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