Labor Organization and Auxiliary Reports

Public reporting burden for this collection of information is estimated to average 22 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 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-20 TO THE ABOVE ADDRESS.

INSTRUCTIONS FOR FORM LM-20
AGREEMENT AND ACTIVITIES REPORT
GENERAL INSTRUCTIONS
A “direct or indirect party” to an agreement or
arrangement includes (1) persons who have secured the
services of another or of others in connection with an
agreement or arrangement of the type referred to in
Section 203(b) of the LMRDA, and (2) persons who have
undertaken activities at the behest of another or of
others with knowledge or reason to believe that they are
undertaken as a result of an agreement or arrangement
between an employer and any other person. However,
bona fide regular officers, supervisors, or employees of
an employer are exempt from this reporting requirement
to the extent that the services they undertook to perform
were undertaken as such bona fide regular officers,
supervisors, or employees of their employer.

I. WHY FILE
The Labor-Management Reporting and Disclosure Act of
1959, as amended (LMRDA), requires public disclosure
of agreements or arrangements made between any
person, including labor relations consultants and other
individuals and organizations, and an employer to
undertake certain activities concerning employees or
labor organizations. Pursuant to Section 203(b) of the
LMRDA, every person who undertakes any such
activities under an agreement or arrangement with an
employer must file a detailed report with the Secretary of
Labor. The Secretary, under the authority of the LMRDA,
has prescribed the filing of the Agreement and Activities
Report, Form LM-20, to satisfy this reporting
requirement.

NOTE: Selected definitions from the LMRDA follow
these instructions.

These reporting requirements of the LMRDA and of the
regulations and forms issued under the Act only relate to
the disclosure of specific agreements, arrangements,
and/or activities. The reporting requirements do not
address whether such agreements, arrangements, or
activities are lawful or unlawful. The fact that a particular
agreement, arrangement or activity is or is not required
to be reported does or does not indicate whether it is or
is not subject to any legal prohibition.

III. WHAT MUST BE REPORTED
The information required to be reported on Form LM-20,
as set forth in the form and the instructions below,
includes (1) the party or parties to the agreement or
arrangement, (2) the object and terms and conditions of
the agreement or arrangement, and (3) the activities
performed or to be performed pursuant to the agreement
or arrangement.

II. WHO MUST FILE

Any person required to file Form LM-20 must also file
Form LM-21, Receipts and Disbursements Report. You
must file Form LM-21 for each fiscal year during which
you made or received payments as a result of any
agreement or arrangement described in Form LM-20.
You must file Form LM-21 within 90 days after the end of
your fiscal year.

Any person who, as a direct or indirect party to any
agreement or arrangement with an employer,
undertakes, pursuant to the agreement or arrangement,
any activity of the type described in Section 203(b) of the
LMRDA must file a Form LM-20. A “person” is defined by
the LMRDA Section 3(d) to include, among others, labor
relations consultants and other individuals and
organizations. A person “undertakes” activities not only
when he/she performs the activity but also when he/she
agrees to perform the activity or to have them
performed.

NOTE: A separate Form LM-20 must be filed for each
agreement or arrangement the filer makes with an
employer to undertake any activity of the type set forth in
LMRDA Section 203(b).

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information required to be contained in it or in any
information required to be submitted with it.

IV. WHO MUST SIGN THE REPORT
Both the president and the treasurer, or the
corresponding principal officers, of the reporting
organization must sign the completed Form LM-20. A
report from a sole proprietor or an individual on his/her
own behalf need only bear one signature.

The reporting individual(s), and the reporting
organization if any, are also subject to civil prosecution
for violations of the filing requirements. According to
Section 210 of the LMRDA, “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.”

V. WHEN TO FILE
Each person who has entered into any agreement or
arrangement to undertake activities described in the
form and instructions must file the report within 30 days
after entering into such agreement or arrangement. You
must file any changes to the information reported in
Form LM-20 (excluding matters related to Item 11.c.) in a
report clearly marked “Amended Report” within 30 days
of the change.

IX. RECORDKEEPING
The individual(s) required to file Form LM-20 are
responsible for maintaining records which will 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
you filed the report. You must retain any record
necessary to verify, explain, or clarify the report,
including, but not limited to vouchers, worksheets,
receipts, and applicable resolutions.

VI. WHERE TO FILE
The completed Form LM-20 and any required
attachments and 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

X. COMPLETING FORM LM-20
Read the instructions carefully before completing Form
LM-20.
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.

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 Form LM-20
reports at, and purchase copies from, the Office of
Labor-Management Standards (OLMS) Public
Disclosure Room at the address listed in Section VI, or
at the OLMS field office in whose jurisdiction the
reporting organization is located. At the end of these
instructions is a list of OLMS field offices.

Additional Pages. If you need additional space to
complete an item, enter 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) the full name of the reporting
individual or organization, (2) the 5-digit file number as
reported in Item 1, if available; and (3) the ending date of
the reporting period as reported in Item 4. All
attachments must be labeled sequentially 1 of __, 2 of
__, etc.

Also, in the Internet Public Disclosure Room at
http://www.union-reports.dol.gov, you may view and print
copies of agreement and activities reports, beginning
with the year 2000. You may also purchase copies of
agreement and activities reports from the Internet Public
Disclosure Room for 15 cents per page. Requests for 30
or fewer pages are provided free of charge.

FILE NUMBER, PERSON FILING (ITEMS 1 – 5)
1. FILE NUMBER—Enter the five-digit file number
assigned by OLMS for the reporting individual or
organization. Persons who filed an LM-20 prior to
October 2003 were assigned 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
report. If you have never previously filed the Form LM20, leave Item 1 blank.

VIII. RESPONSIBILITIES AND PENALTIES
The individual(s) required to sign Form LM-20, are
personally responsible for its filing and accuracy. Under
the LMRDA, these individuals are 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

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2. NAME AND MAILING ADDRESS— Enter the full
legal name of the reporting individual or organization, a
trade or commercial name, if applicable (such as a d/b/a
or “doing business as” name), the name and title of the
person to whom mail should be directed, and the
complete address where mail should be sent and
received, including any building and room number.

agreement or arrangement provides for any reportable
activity, you must report the information required for the
entire agreement or arrangement.
While Section 203 of the LMRDA does not amend or
modify the rights protected by Section 8(c) of the
National Labor Relations Act, as amended (NLRA), the
LMRDA contains no provision exempting the activities
protected by that section from the reporting
requirements. Therefore, activities of the type set forth in
Section 203(b) of the LMRDA must be reported
regardless of whether they are protected by Section 8(c)
of the National Labor Relations Act, as amended
(NLRA).

3. OTHER ADDRESSES WHERE RECORDS ARE
AVAILABLE—If you maintain any of the records
necessary to verify this report at an address different
from the address listed in Item 2, enter the appropriate
name and address in Item 3.
4. DATE OF FISCAL YEAR END—Enter the month and
day on which the fiscal year ends for the reporting
individual or organization.

NOTE: The text of NLRA Section 8(c) is set forth
following these instructions.

5. TYPE OF PERSON—If the person reporting is an
individual, partnership or corporation, so indicate. If none
of the choices apply, enter OTHER and specify.

NATURE OF AGREEMENT OR ARRANGEMENT
(ITEMS 6 – 10)

GENERAL INSTRUCTIONS FOR AGREEMENTS,
ARRANGEMENTS, AND ACTIVITIES

6. FULL NAME AND ADDRESS OF EMPLOYER—
Enter the full legal name of the employer with whom
you made the agreement or arrangement, a trade or
commercial name, if applicable (such as a d/b/a or
“doing business as” name), the name of the person to
whom mail should be directed, and the complete
address where mail should be sent and received,
including any building and room number.

You must file a separate report for each agreement or
arrangement made with an employer to where the object
is, directly or indirectly:
(1) To persuade employees to exercise or not to
exercise, or to persuade them as to the manner
of exercising, the right to organize and bargain
collectively through representatives of their
choice. (Excluded are agreements or
arrangements that cover services relating
exclusively to: (1) advising the employer; (2)
representing the employer before any court,
administrative agency, or tribunal of arbitration,
and (3) engaging in collective bargaining on the
employer’s behalf with respect to wages, hours,
or other terms or conditions of employment or
the negotiation of any agreement or any
questions arising under the agreement.)

7. DATE OF AGREEMENT OR ARRANGEMENT—
Enter the month, day and year you entered into the
agreement or arrangement.
8. NAMES OF PERSONS THROUGH WHOM MADE—
Enter the name of each person who participated for the
employer in making the arrangement or agreement,
whether that person is an individual employer, partner,
corporate officer, employee, or other person acting for
the employer.
9. OBJECT OF ACTIVITIES—Check the appropriate
box(es) indicating whether the object or purpose of the
agreement or arrangement is to, directly or indirectly,
persuade employees as to exercising their bargaining
rights or to supply an employer with information related
to a labor dispute. You must check either one or both of
the boxes.

or
(2) To supply the employer with information
concerning activities of employees or a labor
organization in connection with a labor dispute
involving such employer. (Excluded are
agreements or arrangements that covers
services relating exclusively to supplying the
employer with information for use only in
conjunction with an administrative, arbitral, or
judicial proceeding.)

10 TERMS AND CONDITIONS—Provide a detailed
explanation of the terms and conditions of the
agreement or arrangement. If any agreement or
arrangement is in whole or in part contained in a written
contract, memorandum, letter, or other written
instrument, or has been otherwise wholly or partially to
writing, you must refer to that document and attach a
copy of the writing to this report.

NOTE: The exclusions set forth above are applicable
only to an agreement or arrangement which covers no
activities reportable under LMRDA Section 203(b). If the
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SELECTED DEFINITIONS AND RELATED
PROVISIONS OF THE LABOR-MANAGEMENT
REPORTING AND DISCLOSURE ACT OF 1959, AS
AMENDED (LMRDA)

SPECIFIC ACTIVITIES TO BE PERFORMED
(ITEMS 11-12)
11. DESCRIPTION OF ACTIVITIES—For each activity
to be performed, give a detailed explanation of the
following:

Section 3.

11.a. Nature of Activity. Describe the nature of the
activity to be performed. For example, if the object of the
activity is to persuade the employees of Employer X to
vote “no” on a representation election, so state.

(a) ‘Commerce’ means trade, traffic, commerce,
transportation, transmission, or communication among
the several States or between any State and any place
outside thereof.

11.b. Duration of Performance. Describe the period
during which the activity will be performed. For example,
if the performance will begin in June 2003 and terminate
in August 2003, so indicate by stating, “June 2003 –
August 2003”.

(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).

11.c. Extent of Performance Indicate the extent to which
the activity has been performed. For example, you
should indicate whether the activity is pending, ongoing,
or near completion, or has been completed,.

(c) ‘Industry affecting commerce’ means any activity,
business or industry in commerce or in which a labor
dispute could hinder or obstruct commerce or the free
flow of commerce and includes any activity or Industry
‘affecting commerce’ within the meaning of the LaborManagement Relations Act, 1947, as amended, or the
Railway Labor Act, as amended.

11.d. Name(s) and Address(es) of person(s) through
whom the activity was performed. Enter the full legal
name(s) and address(es) of the person(s) through whom
the activity is to be or has been performed.

(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.

12. SUBJECT GROUPS OF EMPLOYEES AND/OR
LABOR ORGANIZATIONS—Identify the subject groups
of employees and/or labor organizations are to be
persuaded or concerning whose activities information is
to be supplied to the employer.

(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.

12.a. Identify the subject groups of employee(s).
12.b. Identify the subject labor organization(s).
SIGNATURES
13-14. SIGNATURES—The completed Form LM-20
which is filed with OLMS must be signed by both the
president and treasurer, or corresponding principal
officers, of the reporting organization. A report from an
individual or a sole proprietor, on his/her own behalf,
need only bear one signature which you should enter in
Item 13. Otherwise, this report must bear two (2)
signatures.
If the report is from an organization and is signed by an
officer other than the president and/or treasurer, so
indicate in Items 13 and/or 14 by (1) crossing out the preprinted officer title(s) and (2) inserting the appropriate
officer title(s). You must have original signatures on the
Form LM-20 filed with OLMS; stamped or mechanical
signatures are unacceptable.

(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 for any reason
inconsistent with the requirements of this Act.

Enter the telephone number used by signatories to
conduct official business. You do not have to report a
private, unlisted telephone number.

(g) ‘Labor dispute’ includes any controversy concerning
terms, tenure, or conditions of employment, or

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(1) to persuade employees to exercise or not to
exercise, or persuade employees as to the
manner of exercising, the right to organize and
bargain collectively through representatives of
their own choosing; 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.
(i) ‘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 exits
for the purpose, in whole or in part, or 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.

(2) to supply an employer with information
concerning the activities of employees or a labor
organization in connection with a labor dispute
involving such employer, except information for
use solely in conjunction with an administrative
or arbitral proceeding or a criminal or civil
judicial proceeding;
shall file within thirty days after entering into such
agreement or arrangement a report with the Secretary,
signed by its president and treasurer or corresponding
principal officers, containing the name under which such
person is engaged in doing business and the address of
its principal office, and a detailed statement of the terms
and conditions of such agreement or arrangement.
Every such person shall file annually, with respect to
each fiscal year during which payments were made as a
result of such an agreement or arrangement, a report
with the Secretary, signed by its president and treasurer
or corresponding principal officers, containing a
statement (A) of its receipts of any kind from employers
on account of labor relations advice or services,
designating the sources thereof, and (B) of its
disbursements of any kind, in connection with such
services and the purposes thereof. In each such case
such information shall be set forth in such categories as
the Secretary may prescribe.

(j) A labor organization shall be deemed to be engaged
in a 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 of 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

Section 204.

(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

Nothing contained In this Act shall be construed to
require an attorney who is a member in good standing of
the bar of any State, to include In any report required to
be filed pursuant to the provisions of this Act any
information which was lawfully communicated to such
attorney by any of his clients in the course of a legitimate
attorney-client relationship.

(5) is a conference, general committee, and 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.

NATIONAL LABOR RELATIONS ACT
Section 8(c).
The expressing of any views, argument, or opinion, or
the discussion 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

Section 203.
(b) Every person who pursuant to any agreement or
arrangement with an employer undertakes activities
where an object thereof is, directly or indirectly-

If You Need Assistance

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The Office of Labor-Management Standards has field
offices located in the following cities to assist you if you
have any questions concerning the LMRDA 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

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