(a)(1) If a labor organization, not in trusteeship, has gross annual
receipts totaling less than $200,000 for its fiscal year, it may elect,
subject to revocation of the privileges as provided in section 208 of
the Act, to file the annual financial report called for in section
201(b) of the Act and Sec. 403.3 of this part on United States
Department of Labor Form LM-3 entitled ``Labor Organization Annual
Report,'' in accordance with the instructions accompanying such form and
constituting a part thereof.
(2) If a labor organization, not in trusteeship, has gross annual
receipts totaling less than $10,000 for its fiscal year, it may elect,
subject to revocation of the privileges as provided in section 208 of
the Act, to file the annual financial report called for in section
201(b) of the Act and Sec. 403.3 on United States Department of Labor
Form LM-4 entitled ``Labor Organization Annual Report'' in accordance
with the instructions accompanying such form and constituting a part
thereof.
(b) A local labor organization not in trusteeship, which has no
assets, no liabilities, no receipts and no disbursements during the
period covered by the annual report of the national organization with
which it is affiliated need not file the annual report required by
Sec. 403.2 if the following conditions are met:
(1) It is governed by a uniform constitution and bylaws filed on its
behalf pursuant to Sec. 402.3(b) of this chapter, and does not have
governing rules of its own;
(2) Its members are subject to uniform fees and dues applicable to
all members of the local labor organizations for which such simplified
reports are submitted;
(3) The national organization with which it is affiliated assumes
responsibility for the accuracy of, and submits with its annual report,
a separate letter-size sheet for each local labor organization
containing the following information with respect to each local
organization in the format illustrated below as part of this regulation:
(i) The name and designation number or other identifying
information;
(ii) The file number which the Office of Labor-Management Standards
has assigned to it;
(iii) The mailing address;
(iv) The beginning and ending date of the reporting period which
must be the same as that of the report for the national organization;
(v) The names and titles of the president and treasurer or
corresponding principal officers as of the end of the reporting period;
(4) At least thirty days prior to first submitting simplified annual
reports in accordance with this section, the national organization
notifies the Office of Labor-Management Standards in writing of its
intent to begin submitting simplified annual reports for affiliated
local labor organizations;
(5) The national organization files the terminal report required by
29 CFR 403.5(a) on Form LM-3 or LM-4, as may be appropriate, clearly
labeled on the form as a terminal report, for any local labor
organization which has lost its identity through merger, consolidation,
or otherwise if the national organization filed a simplified annual
report on behalf of the local labor organization for its last reporting
period; and
(6) The national organization with which it is affiliated assumes
responsibility for the accuracy of, and submits with its annual report
and the simplified annual reports for the affiliated local labor
organizations, the following certification properly completed and signed
by the president and treasurer of the national organization:
Certification
We, the undersigned, duly authorized officers of [name of national
organization], hereby certify that the local labor organizations
individually listed on the attached documents come within the purview of
29 CFR 403.4(b) for the reporting period from [beginning date of
national organization's fiscal year] through [ending date of national
organization's fiscal year], namely:
(1) they are local labor organizations; (2) they are not in
trusteeship; (3) they have no assets, liabilities, receipts, or
disbursements; (4) they are governed by a uniform constitution and
bylaws, and fifty copies of the most recent uniform constitution and
bylaws have been filed with the Office of Labor-Management Standards;
(5) they have no governing rules of their own; and (6) they are subject
to the following uniform schedule of fees and dues: [specify schedule
for dues, initiation fees, fees required from transfer members, and work
permit fees, as applicable].
Each document attached contains the specific information called for
in 29 CFR 403.4(b)(3)(i)-(v), namely: (i) the local labor organization's
name and designation number; (ii) the file number assigned the
organization by the Office of Labor-Management Standards; (iii) the
local labor organization's mailing address; (iv) the beginning and
ending date of the reporting period; and (v) the names and titles of the
president and treasurer or corresponding principal officers of the local
labor organization as of [the ending date of the national organization's
fiscal year].
Furthermore, we certify that the terminal reports required by 29 CFR
403.4(b)(5) and 29 CFR 403.5(a) have been filed for any local labor
organizations which have lost their identity through merger,
consolidation, or otherwise on whose behalf a simplified annual report
was filed for the last reporting period.
(Format for Simplified Annual Reporting)
simplified annual report
Affiliation name:
_______________________________________________________________________
Designation name and number:
_______________________________________________________________________
Unit name:
_______________________________________________________________________
Mailing address:
_______________________________________________________________________
Name of person:
_______________________________________________________________________
Number and street:
_______________________________________________________________________
City, State and zip:
_______________________________________________________________________
File number:
_______________________________________________________________________
Period covered:
_______________________________________________________________________
From Through
_______________________________________________________________________
Names and Titles of president and treasurer or corresponding principal
officers
_______________________________________________________________________
For certification see NHQ file folder file number:
President_______________________________________________________________
Where signed____________________________________________________________
Date____________________________________________________________________
Treasurer_______________________________________________________________
Where signed____________________________________________________________
Date____________________________________________________________________
[28 FR 14383, Dec. 27, 1963, as amended at 37 FR 10669, May 26, 1972; 41
FR 27318, July 2, 1976; 45 FR 7525, Feb. 1, 1980; 50 FR 31309, Aug. 1,
1985; 50 FR 31310, Aug. 1, 1985; 57 FR 49290, 49357, Oct. 30, 1992; 62
FR 6092, Feb. 10, 1997; 64 FR 71623, Dec. 21, 1999; 65 FR 21141, Apr.
20, 2000] 
