Olms interpretative Manual

REPORTINGANDDISCLOSUREINGENERAL

200.001SEELMRDA,TITLEIIANDSECTION301OFTITLEIII

200.101REPEALOFTAFT-HARTLEYREPORTINGPROVISIONS

LMRDA,SECTION201

4. 
   Subsections(f),(g),and(h)ofsection9oftheNationalLaborRelationsAct,asamended,are hereby repealed.
   
5. 
   Clause (i) of section 8 (a) (3) of the National Labor Relations Act, as amended, is amendedby striking out the following: "and has at the time the agreement was made or within thepreceding twelve months received from the Board a notice of compliance with section 9 (f), (g),(h)".
   

200.105PREVIOUSREQUIREMENTS

Sections 9 (f), (g), and (h) of the National Labor Relations Act, 1947, (Taft-Hartley) providedthat any labor organization wishing to use the services of the NLRB file annually certainregistration and financial reports, as well as non-Communist affidavits executed by each of itsofficers. These requirements of the National Labor Relations Act have been repealed by section201(d)of theLabor-ManagementReportingandDisclosureAct.

200.201REGULATORYAUTHORITY

LMRDA,SECTION208

The Secretary shall have authority to issue, amend, and rescind rules and regulationsprescribing the form and publication of reports required to be filed under this title and such otherreasonable rules and regulations (including rules prescribing reports concerning trusts in which alabor organization is interested) as he may find necessary to prevent the circumvention orevasion of such reporting requirements. In exercising his power under this section the Secretaryshall prescribe by general rule simplified reports for labor organizations or employers for whomhe finds that by virtue of their size a detailed report would be unduly burdensome, but theSecretary may revoke such provision for simplified forms of any labor organization or employerif he determines, after such investigation as he deems proper and due notice and opportunity forahearing, that thepurposes of thissectionwouldbeservedthereby.
SeespecificRegulationspublishedin29CFR402,403,404,405,406and408.

200.400EFFECTIVEDATE-GENERALAPPLICATION

Sections 201, 202, and 203 became effective immediately upon the date of enactment,September 14, 1959. Section 207, which is titled "Effective Date", merely specifies the periodwithinwhichreports required under thosesections must be filed.

200.450 LATE REPORTING

The mandatory language of section 207 allows no extension of reporting dates. The reportshould be submitted as completely as possible on or before the reporting date, indicating whatinformation has not been furnished, why it has not been furnished, and when it will be submitted.Thisincludessituationswhereconstitutionorbylawsareintheprocessofrevision.

200.501 CIVIL ENFORCEMENT

LMRDA,SECTION210

Whenever it shall appear that any person has violated or is about to violate any of theprovisions of this title, the Secretary may bring a civil action for such relief (includinginjunctions) as may be appropriate. Any such action may be brought in the district court of theUnited States where the violation occurred or, at the option of the parties, in the United StatesDistrictCourt for the District of Columbia.

200.550CIVILVENUE

For purposes of venue, failure to file a report is not a violation that "occurs" in the District ofColumbia. Section 210 provides that civil actions may be brought in the District Court where theviolation occurred, or, at the option of the parties, in the District of Columbia. The Congressionalpolicy that it is fairer to require the Government to bear the cost of litigation in localitiesthroughout the country rather than to force unions and employers, many of them obviously small,to come to the District of Columbia, applies to all types of Title II violations, failure to file, filingmisinformation,orthedestructionofrecords.

Wirtzv.CascadeEmployer’sAssociation,Inc.ofPacificNorthwest,219F.Supp.84,87(D.D.C1963)

(Technical Revisions: Dec. 2016)200.610CRIMINALPROVISIONS

LMRDA,SECTION209

1. 
   Any person who willfully violates this title shall be fined not more than $10,000 orimprisonedfor not more than one year, or both.
   
2. 
   Any person who makes a false statement or representation of a material fact, knowing it tobe false, or who knowingly fails to disclose a material fact, in any document, report, or otherinformation required under the provisions of this title shall be fined not more than $10,000 orimprisonedfor not more than one year, or both.
   
3. 
   Any person who willfully makes a false entry in or willfully conceals, withholds, ordestroys any books, records, reports, or statements required to be kept by any provision of thistitleshall be finednot more than$10,000 or imprisoned fornot more thanone year, or both.
   
4. 
   Each individual required to sign reports under sections 201 and 203 shall be personallyresponsible for the filing of such reports and for any statement contained therein which he knowsto be false.
   

200.650CONSTITUTIONALITYOFCRIMINALPROVISIONS

An officer of a local union was convicted in the U. S. District Court of willfully concealing,withholding and destroying certain books and financial records of his union, in violation ofsection209(c)ofLMRDA.

On appeal, the convicted officer alleged that the District Court lacked jurisdiction to try himbecause (1) LMRDA is unconstitutional, and (2) the evidence did not establish that the activitiesofhis union affected commerce within the meaning of LMRDA.
In affirming the conviction the Court of Appeals recognized the constitutional power vested inCongresstoregulatelabormanagementmattersaffectingcommercein themanner describedin
section 2(c) of LMRDA, and concluded that the criminal remedies provided in section 209(c)bear a reasonable relation to the nefarious conditions which Congress found to exist and soughtto correct.
Lawsonv.UnitedStates300F.2d252,49LRRM2557(10thCir.1962).

(TechnicalRevisions:Dec.2016)

200.660FALSEORINCOMPLETESTATEMENTS

Where the actual practice of a union in disciplining or removing its officers is different fromthe provision for such discipline or removal in the union's constitution, a report on the LM-1which does not indicate the difference between the practice and the constitutional requirement isnotin compliance with the law.