Filing Revised Form

LM-30
An Overview of Union Officer
and Employee Reporting

U.S. Department of Labor

Office of Labor-Management Standards
(OLMS)

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 Introduction
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:

• 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
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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 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:

- 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)

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
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your spouse as a bona fide employee of the theater company.
 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:

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

employer;

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.

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 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:
- 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.

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 7
event. You must report this arrangement.
 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.

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 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.

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 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).

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 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.

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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:

- is in competition with an employer whose employees

their labor organization represents or is actively seeking to
represent;

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.
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 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:
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.

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. 13
 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:
- 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.

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 the14
consumer electronics.
 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
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affiliated with the official’s labor organization.
 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 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 such employer that:

- has interests in actual or potential conflict with the interests

of their labor organization or their duties to their labor
organization.

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. 17
 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 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.”

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 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.

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 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.

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 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:

(1) Not to organize employees;

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

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. 22
 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:
(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;

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 23

employer.
 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:
(5) To influence the outcome of an internal union election.

** There are no exceptions to reporting payments received for

any of these five purposes.**

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 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:
- 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;

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
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received from the business.
 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:
- 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.

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.

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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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 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.

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 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.

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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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 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.

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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 Labor
ESA/OLMS, Room N-5616
200 Constitution Avenue, NW
Washington, 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 Labor
Office of Labor-Management Standards
Room N-1519
200 Constitution Avenue, NW
Washington, 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

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