lm-30_instructions

Paperwork Reduction Act Statement. Public reporting burden for this collection of information is estimated to average 90 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 currently valid OMB control number (1245-0005, with an expiration date of 09-30-2014). Reporting of this information is
mandatory and is required by the Labor-Management Reporting and Disclosure Act of 1959, as amended, 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, Office of Labor-Management Standards, Division of Interpretations and Standards, Room N-5609, 200 Constitution Avenue,
NW, Washington, DC 20210.
DO NOT SEND YOUR COMPLETED FORM LM-30 TO THE ABOVE ADDRESS.

Instructions for Form LM-30
Labor Organization Officer and Employee Report
General Instructions
I. Why File
The Labor-Management Reporting and Disclosure Act of
1959, as amended (LMRDA or Act), requires public
disclosure of certain financial transactions and financial
interests of labor organization officers and employees and
their spouses and minor children. See 29 C.F.R. 404.1404.9 (reports by officers and employees of labor
organizations). The purpose of disclosure, among other
things, is to publicly identify an actual or potential conflict
between the personal financial interests of a union officer
or employee and his or her obligations to the union and its
members.

period. As discussed in Part X, you are not required to
report insubstantial payments or gifts, as there defined.
The Department’s Office of Labor-Management Standards
(OLMS) has developed guidance to assist with LMRDA
compliance. Guidance to assist with completion of the
Form LM-30 is available on the OLMS website:
www.olms.dol.gov. For additional OLMS contact
information, see the final page of these instructions.
The reporting requirements of the LMRDA and of the
regulations and forms issued under the Act relate only to
the public disclosure of specified transactions and
interests. The reporting requirements do not address
whether such transactions and interests are lawful or
unlawful. The fact that a particular transaction or interest
is or is not required to be reported is not indicative of
whether it is or is not subject to any legal restriction; this
must be determined by provisions of law other than those
prescribing the reports. Failure to file a required report
may subject an individual to civil or criminal penalties, or
both. See Part VIII of these instructions.

The LMRDA establishes basic rights of union members,
including equal voting rights, freedom of speech and
assembly, and other essential safeguards for union
democracy, among other protections; establishes financial
reporting and disclosure requirements for unions, union
officers and employees, employers, and labor relations
consultants; regulates union trusteeships; details
procedural requirements for the conduct of union officer
elections; and establishes a fiduciary duty on union
officers, employees, and other representatives.
Pursuant to Section 202 of the LMRDA, and subject to
certain exceptions, if you are a labor organization officer or
employee (other than an employee performing exclusively
clerical or custodial services), who has, directly or
indirectly, held any legal or equitable interest in, received
any payments from, or engaged in any transactions or
arrangements (including loans) with certain employers or
businesses or labor relations consultants during your fiscal
year, you must file a detailed report with the Secretary of
Labor (Secretary). See Part X of these instructions for a
detailed discussion of the types of financial matters that
must be reported. You are not required to file a report
unless you or your spouse or minor child held a reportable
interest, received a reportable payment, or engaged in a
reportable transaction or arrangement during the reporting

II. Who Must File
Any officer or employee of a labor organization (other than
an employee performing clerical or custodial services
exclusively), as defined by the LMRDA and these
instructions, must file Form LM-30 if, during the past fiscal
year, the officer or employee, spouse, or minor child, either
directly or indirectly, held any legal or equitable interest,
received any payments, or engaged in transactions or
arrangements (including loans) of the types described in
these instructions.
LABOR ORGANIZATION EMPLOYEE – means any individual
(other than an individual performing exclusively clerical
or custodial services) employed by a labor organization

1

within the meaning of any law of the United States
relating to the employment of employees.

listed at the end of these instructions, from the
OLMS National Office at 202-693-0123, or by calling the
DOL toll-free help desk at 866-487-2365.

For purposes of the Form LM-30, an individual who
serves the union as a union steward or as a similar
union representative, such as a member of a safety
committee or a bargaining committee, is not
considered to be an employee of the union by virtue of
service in such capacity.

If the Form LM-30 report is prepared in paper format, the
completed Form LM-30 and any additional pages must be
mailed to the following address:
U.S. Department of Labor
Office of Labor-Management Standards
200 Constitution Avenue, NW
Room N-5603
Washington, DC 20210-0001

– means (1) a person
identified as an officer by the constitution and bylaws
of the labor organization; (2) any person authorized to
perform the functions of president, vice president,
secretary, or treasurer; (3) any person who in fact has
executive or policy-making authority or responsibility;
and (4) a member of a group identified as an executive
board or a body which is vested with functions
normally performed by an executive board.

LABOR ORGANIZATION OFFICER

NOTE: If either the paper filing or the electronic filing is
not received in the timeframe specified above, the report
will be considered delinquent.

VII. Public Disclosure
The LMRDA requires that the Department make Form LM30 and other reports required by the LMRDA available for
inspection by the public. Reports may be viewed and
downloaded
from
the
OLMS
website
at
www.unionreports.gov. Copies of reports and union
constitutions and bylaws can also be ordered on the same
website. Reports may also be examined and copies may
be purchased at the OLMS Public Disclosure Room at the
following address:

NOTE: Under this definition, an officer includes a
trustee appointed by the national or international
union to administer a local union in trusteeship. If
you are a trustee elected or appointed by the local
union to audit and/or hold the assets of the union,
you may or may not be a union officer, depending
on your union’s constitution and these four factors.
MINOR CHILD – means a son, daughter, stepson, or
stepdaughter less than 21 years of age.

U.S. Department of Labor
Office of Labor-Management Standards
200 Constitution Avenue, NW
Room N-1519
Washington, DC 20210-0001

NOTE: Selected definitions from the LMRDA follow
these instructions.

III. What Must Be Reported
The types of financial transactions and interests which
must be reported are set forth in Form LM-30 and in Part
A, Part B, and Part C of these instructions.

VIII. Officer and Employee Responsibilities and
Penalties
The labor organization officer or employee required to sign
the Form LM-30 is personally responsible for its filing and
accuracy. Under the LMRDA, this individual is 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
information required to be contained in it or in any
information required to be submitted with it.

IV. Who Must Sign the Report
You (the labor organization officer or employee) must sign
the completed Form LM-30.

V. When to File
A Form LM-30 report must be filed within 90 days after the
end of your fiscal year. Fiscal year usually means the
calendar year, but if you serve as an officer or employee
for only a portion of the fiscal year, you may limit this
report to that portion of the fiscal year. For more
clarification, see instructions for Item 2 (Fiscal Year
Covered).

The reporting labor organization officer or employee
required to sign Form LM-30 is also subject to civil
prosecution for violations of filing requirements. Section
210 of the LMRDA provides that “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.”

VI. How to File
Form LM-30 is available on the OLMS website at
www.olms.dol.gov. You can complete and submit the
form electronically or print a copy and complete it
manually. If you do not have access to the Internet, you
can obtain a blank form from the nearest OLMS field office

The officers and employees responsible for filing Form LM30 are also subject to criminal penalties for false reporting

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and perjury under Sections 1001 of Title 18, 1746 of Title
28, and 1621 of Title 18 of the United States Code.

Information Items 1–5

You, your spouse, and minor child and any individuals or
entities associated with the reportable interests and
transactions may be required to provide additional
information to the Department concerning reported or
reportable interests.

Select the appropriate box for those questions requiring a
“Yes” or “No” answer; do not leave both boxes blank. Enter
a single “0” in the boxes for items requiring a number or
dollar amount if there is nothing to report.
1. LM-30 FILE NUMBER — Enter the five-digit file number
(U-XXXXX) assigned to you by OLMS as a reporting
officer or employee. If you have never previously filed the
Form LM-30, leave Item 1 blank. OLMS will notify you of
your assigned file number, which should be used on all
future reports.

IX. Recordkeeping
The labor organization officer or employee required to file
Form LM-30 is responsible for maintaining records on the
matters required to be reported that will provide in
sufficient detail the necessary basic information and data
from which the Form LM-30 may be verified, explained or
clarified, and checked for accuracy and completeness.
These records shall include vouchers, worksheets,
receipts, financial and investment statements, contracts,
correspondence, and applicable resolutions, in their
original electronic and paper formats, and any electronic
programs by which they are maintained. Records must be
kept available for examination for a period of not less than
five years after the filing of the Form LM-30.

2. FISCAL YEAR COVERED — Enter the beginning and
ending dates of the fiscal year covered in this report. Your
fiscal year will normally be the calendar year. Note that
your fiscal year may differ from the fiscal year utilized by
your union for filing its annual financial report, Form LM-2,
LM-3, or LM-4. This Form LM-30 report must not cover
more than a 12-month period. For example, if your 12month fiscal year begins on January 1 and ends on
December 31, do not enter a date beyond the 12-month
period, such as January 1 to January 1; this is an invalid
date entry. Note that if you served as a union officer or
employee for only part of the fiscal year, you may consider
that portion of the year as the entire fiscal year for the
purposes of completing this report.

X. Completing Form LM-30
While OLMS encourages you to complete Form LM-30
electronically, the Form LM-30 is available for use in both
paper and electronic formats. If you are using the
electronic Form LM-30, you may click on the “Validate
Form” button at any time to check for errors. This action
will generate an “Errors Page” listing any errors that will
need to be corrected before you will be able to sign the
form. Clicking on the signature lines will also perform the
validation function.

3. AMENDED REPORT — Check the box if you are filing
an amended report.
4. YOUR CONTACT INFORMATION —Enter your full
name and the complete address where mail should be
sent and received, including any building and room
number. Enter your email address in the space provided.
If you do not have an email address or choose not to
provide it, leave this space blank.

If filing in paper format, submit entries that are typed or
clearly printed in black ink. Do not use a pencil or any
other color ink.

5. LABOR ORGANIZATION IDENTIFYING
INFORMATION – Enter the name of the labor
organization (including the local number, if any) of which
you are an officer or employee. Enter the complete
business address of the labor organization where mail
should be sent, including any building and room number.
Enter the labor organization’s OLMS file number. If you
cannot obtain the file number of the labor organization, go
to www.unionreports.gov to locate it or contact the nearest
OLMS field office listed at the end of these instructions.
Specify your status in the labor organization by checking
the appropriate box indicating whether you are an officer
or an employee. List your official position or title with the
labor organization. If you serve as an officer or employee
to multiple labor organizations, click on the Continuation
Button to attach an additional Item 5 (if you are filing in
electronic format). If you are filing in paper format, see the
“How to Provide Additional Information” section on page 3.

How to Provide Additional Information. If you are filing
in electronic format, the form will permit you to add
additional space to each entry.
If you are filing in paper format and need additional space
to complete an item, or to attach an additional item,
include the additional information on a separate letter-size
(8.5 x 11) page, indicating the number of the item to which
the information applies. Type or print clearly at the top of
each page the following information: (1) your full name, (2)
your 5-digit file number as reported in Item 1, if available;
and (3) the ending date of the reporting period as reported
in Item 2. All attachments must be labeled sequentially 1
of __, 2 of __, etc.

Officer titles include, but are not limited to, president, vice
president, secretary, treasurer. Job titles include, but are not
limited to, business agent, organizer, attorney.

If you need further guidance for completing the Form LM30, please contact the OLMS National Office at 202-6930123 or the nearest OLMS field office listed at the end of
these instructions.

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luck with the new school!” You have received a
direct benefit.

Information Items
Parts A, B, and C

• You are employed by XYZ Widgets and also serve
as the president of the local union representing XYZ
Widgets employees. In a recent conversation with
the XYZ Widgets human resources manager, you
mention that you are placing your 15-year-old
daughter in a private school. You receive a letter
from your daughter’s new school stating that she
has received a $1,000 scholarship through a
donation from XYZ Widgets. You have received an
indirect benefit.

GENERAL
INSTRUCTIONS
FOR
REPORTABLE
TRANSACTIONS AND INTERESTS — You must report
if, during the past fiscal year, you or your spouse or minor
child, directly or indirectly: (1) held an interest; (2) engaged
in a transaction or arrangements (including loans); or (3)
received income, payment or other benefit with monetary
value covered by the Act.
When applying the Form LM-30 reporting requirements,
you are required to look at employers and businesses that
have specified relationships with the level of the union in
which you serve as an officer or employee. However, if
you are an officer of a national, international, or
intermediate union, you must also look at employers and
businesses that have specified relationships with
subordinate affiliates (e.g., a local union or other
subordinate body), as well as your own level of the union.
These relationships are identified below in the instructions
for completing Parts A, B, and C of the form. If you are an
employee of a national, international, or intermediate union
and possess significant authority or influence (whether or
not exercised) over a subordinate affiliate’s activities (e.g.,
its organizing, collective bargaining, contract enforcement,
spending or investment decisions, or union administration),
you are also required to look at employers and businesses
that have specified relationships with such affiliate, as well
as your own level of the union. See instructions below.

Complete a separate Part A, B, and/or C if reporting
more than one entity or transaction. For example, if you
(or your spouse or minor child) held stock in three (3)
businesses that have lease agreements with your labor
organization, then you must complete and submit a
separate Part B for each business.
Additionally, if, for example, you received both income and
a gift from a business that has a lease agreement with
your labor organization, then you must submit a separate
Part B for each transaction with this report.
Do not submit more than one Form LM-30 report for the
same fiscal year. If filing in electronic format, click on the
Continuation Button to generate the needed separate
Parts A, B, or C.
If filing in paper format, attach a
separate Part A, B, or C.

– means by any course, avenue,
or method. Directly encompasses holdings and
transactions in which you, your spouse, or minor child
receive a payment or other benefit without the
intervention or involvement of another party. Indirectly
includes any payment or benefit which is intended for
you, your spouse, or minor child or on whose behalf a
transaction or arrangement is undertaken, even though
the interest is held by a third party, or was received
through a third party.
DIRECTLY OR INDIRECTLY

General Exclusions
Insubstantial payments and gifts. You do not have to
report any payments or gifts totaling $250 or less from any
one source, and payments or gifts valued at $20 or less do
not need to be included in determining whether the $250
threshold has been met. For example, if you receive from
an employer two gifts worth $20 each and two restaurant
meals worth $150 each, you need only keep records of the
restaurant meals, and report your receipt of this $300
value. However, you may not use the exception to hide the
receipt of a series of payments or gifts purposely set at
$20 or less to avoid reaching the $250 reporting threshold.
For example, you would have to report your receipt of
individual tickets worth $20 or less to all of a professional
baseball team’s home games even if they are provided
before each game rather than given as a complete
package at the start of the season.

NOTE: You must disclose any benefits that you have
received (or your spouse or minor child has received)
from a third party where the third party is acting on
behalf, or at the behest, of an employer or business
that would have to report the benefit if they provided it
directly to you (or your spouse or minor child).
The following are examples of reporting direct and
indirect payments or benefits:

Widely-attended gatherings. You also do not have to
report the benefits, such as food and entertainment, that
you received while in attendance at one or two widelyattended receptions, meetings or gatherings in a single
fiscal year for which an employer or business has spent
$125 or less per attendee per gathering. You do not have
to include the value of those gatherings in determining
whether the $250 threshold has been met for the employer
or business providing the meeting or gathering. However,

• You are employed by XYZ Widgets and also serve
as the president of the local union representing XYZ
Widgets employees. In a recent conversation with
the XYZ Widgets human resources manager, you
mention that you are placing your 15-year-old
daughter in a private school. XYZ Widgets sends
you a check for $1,000 with a note saying “Good

4

if you attend three or more such widely-attended
gatherings provided by an employer or business, you must
count the value of all such events.

obligation. For example, if a union pickets a sporting
goods retailer solely for the purpose of alerting the
public that the retailer is selling goods that are made
by children working in oppressive conditions in
violation of accepted international standards, the
picketing would not meet the “actively seeking to
represent” standard.

A gathering is widely attended if a large number of persons
are in attendance and the attendees include union officers
and employees and a substantial number of individuals
with no relationship to a union or a trust in which a labor
organization is interested. For a gathering to qualify as
widely attended, those individuals with a relationship to a
union must be treated the same as others when the
employer or business advertises or distributes invitations
for the event and must be treated alike at the event.

PART A EXCLUSIONS
Part A excludes reporting with respect to the
following:

Report payments received as director’s fees, including
reimbursed expenses.

(i) 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 (including
the American Stock Exchange, Boston Stock
Exchange, Chicago Board Options Exchange, Chicago
Stock Exchange, International Securities Exchange,
NASDAQ, National Stock Exchange, New York Stock
Exchange, Pacific Exchange, and Philadelphia Stock
Exchange); (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.

PART A (ITEMS 6 and 7) –
REPRESENTED EMPLOYER

Complete Part A if you, your spouse, or your minor child
(1) held an interest in, (2) engaged in transactions or
arrangements (including loans) with, or (3) derived
income or other benefit of monetary value from, an
employer whose employees your labor organization
represents or is actively seeking to represent.
Report payments received as director’s fees, including
reimbursed expenses.
ACTIVELY SEEKING TO REPRESENT – means that a labor
organization has taken concrete steps during your fiscal
year to become the bargaining representative of the
employees of an employer, including but not limited to:

– means personal assets of
an individual held to generate profit that were not
acquired by improper means or as a gift from any of
the following: (1) an employer, (2) a business that
deals with your union or a trust in which your union
is interested, (3) a business a substantial part of
which consists of dealing with an employer whose
employees your union represents or is actively
seeking to represent, or (4) a labor relations
consultant to an employer.

BONA FIDE INVESTMENT

• Sending organizers to an employer’s facility;
• Placing an individual in a position as an employee of
an employer that is the subject of an organizing drive
and paying that individual subsidies to assist in the
union’s organizing activities;
• Circulating a
employees;

petition

for

representation

among

(ii) Holding of, transactions in, or income from
securities not listed or registered as described in (i)
above, provided any such holding, or transaction, or
receipt of income is of insubstantial value or amount
and occurs under terms unrelated to your status in a
labor organization. For purposes of this exclusion,
holdings or transactions involving $1,000 or less and
receipt of income of $100 or less in any one security
shall be considered insubstantial.

• Soliciting employees to sign membership cards;
• Handing out leaflets;
• Picketing; or
• Demanding recognition or bargaining rights or
obtaining or requesting an employer to enter into a
neutrality agreement (whereby the employer agrees
not to take a position for or against union
representation of its employees), or otherwise
committing labor or financial resources to seek
representation of employees working for the employer.

(iii) Transactions involving purchases and sales of goods
and services in the regular course of business at
prices generally available to any employee of the
employer.
This does not apply to loans or to
transactions involving interests in the employer.

Where your union has taken any of the foregoing steps,
you are required to report a payment or interest
received, or transaction conducted, during that reporting
period.

(iv) Payments and benefits received as a bona fide
employee of the employer for past or present services,
including wages, payments or benefits received under
a bona fide health, welfare, pension, vacation, training
or other benefit plan; and payments for periods in
which such employee engaged in activities other than

NOTE: Leafleting or picketing, such as purely
“informational” or “area standards” picketing, that is
wholly without the object of organizing the employees
of a targeted employer will not alone trigger a reporting

5

productive work, if the payments for such period of
time are: (a) required by law or a bona fide collective
bargaining agreement, or (b) made pursuant to a
custom or practice under such a collective bargaining
agreement, or (c) made pursuant to a policy, custom,
or practice with respect to employment in the
establishment which the employer has adopted without
regard to such employee’s position within a labor
organization.

indebtedness, share of partnership income, bequests or
other forms of inheritance, and gifts, prizes or awards.
Enter in Item 7.a. the nature of the legal or equitable
interest, transaction, benefit, arrangement, income, or
loan, such as the continuing use of an automobile for
personal purposes, gift of a computer, payments for
services) in the detail set forth below.
Enter in Item 7.b. the amount or value of each legal or
equitable interest, transaction, benefit, arrangement, or
item of income, or loan, in the detail set forth below, and
the date(s) any income or other benefit was received.
Report amounts in dollars only; do not enter cents. Round
cents to the nearest dollar. Enter a single “0” in the space
for reporting dollars if you have nothing to report. Enter the
exact value if known or easily obtainable; otherwise, enter
a good faith estimate of the fair market value and explain
the basis for the estimate (for information on where to
provide this explanation, see the “How to Provide
Additional Information” section on page 3). The fair market
value may be determined by:

6. CONTACT INFORMATION FOR REPRESENTED
EMPLOYER — Enter the name (including trade or
commercial name, if applicable, such as a d/b/a or “doing
business as” name) and address of the employer whose
employees your labor organization represents or is actively
seeking to represent, including any building and room
number. Also enter the name and telephone number of a
contact person at the employer.
7. NATURE AND AMOUNT OF INTEREST,
TRANSACTION, BENEFIT, ARRANGEMENT, INCOME,
OR LOAN — Provide full information as to the nature and
amount of each interest, transaction, arrangement, item of
income, benefit, or loan. However, do not include account
or social security numbers. Your report will be deficient if
you provide unclear or nonspecific descriptions. If you
need additional space, see the “How to Provide Additional
Information” section on page 3. If an interest in real
property is reported, identify the location of the property.

• The purchase price
• Recent appraisal
• Assessed value for tax purposes, adjusted to reflect
market value if the assessed value is computed at less
than 100% of the market value
• The year-end book value of stock that is not publicly
traded, the year-end exchange rate of corporate stock,
or the face value of corporate bonds or comparable
securities

–
means
any
agreement
or
understanding, tacit or express, or any plan or
undertaking, commercial or personal, by which you, your
spouse, or minor child will obtain a benefit, directly or
indirectly, with an actual or potential monetary value.

ARRANGEMENT

• The net worth of a business partnership or business
venture
• The equity value of an individually-owned business or
any other recognized indication of value (such as the
sale price on the stock exchange at the time of the report
or, for transactions, the sale price on the stock exchange
at the time of the sale).

NOTE: The term “arrangement” is very broad and
covers both personal and business transactions,
including an unwritten understanding. For example, if
during the reporting period an employer’s
representative offered you a job with the employer,
you must report the offer unless you rejected it. A
standing job offer must be reported, because it carries
the potential of monetary value.

If the exact value is not known and cannot be estimated,
enter “N/A” and explain the situation. (See the “How to
Provide Additional Information” section on page 3.).

– means anything of
value, tangible or intangible. It includes any interest in
personal or real property, gift, insurance, retirement,
pension, license, copyright, forbearance, bequest or
other form of inheritance, office, options, agreement for
employment or property, or property of any kind. You do
not need to report pension, health, or other benefit
payments from a trust to you, your spouse, or minor
child that are provided pursuant to a written specific
agreement covering such payments.

BENEFIT WITH MONETARY VALUE

For each such interest and transaction, identify the nature
of the interest held (for example, common stock, preferred
stock, bonds, options, etc.) and give the total number of
shares or other units held during the fiscal year. If the
interest was acquired during the fiscal year or if this is your
first report of the interest, give an approximate date or
dates of acquisition, total cost to you, and manner of
acquisition (for example, employee stock purchase plan,
purchase on market, gift, etc.). If the interest was disposed
of during the fiscal year, give an approximate date, total
amount received by you and the manner of disposition (for
example, sale on market, gift, exchange, etc.). In each
case, identify the other party or parties to the transaction.

INCOME – means all income from whatever source
derived, including, but not limited to, compensation for
services, fees, commissions, wages, salaries, interest,
rents, royalties, copyrights, licenses, dividends,
annuities, honoraria, income and interest from insurance
and endowment contracts, capital gains, discharge or

6

– means any property or
benefit, tangible or intangible, which has an actual or
potential monetary value for you, your spouse, or minor
child without regard to whether you, your spouse, or
minor child holds possession or title to the interest. (See
the definitions of income and benefit with monetary value
above in Item 7.)

PART B (Items 8 - 12) – BUSINESS

LEGAL OR EQUITABLE INTEREST

(a) Complete Part B if you, your spouse, or your minor
child held an interest in or derived income or other
benefit with monetary value, including reimbursed
expenses, from a business (1) a substantial
part of which consists of buying from, selling or
leasing to, or otherwise dealing with the business
of an employer whose employees your labor
organization represents or is actively seeking to
represent, or (2) any part of which consists of
buying from or selling or leasing directly or
indirectly to, or otherwise dealing with your labor
organization or with a trust in which your labor
organization is interested. Report payments received
as director’s fees, including reimbursed expenses.

For example:
• You are an officer of a union. You and your spouse
jointly own an accounting business that provides tax
services to a number of clients, including your union.
You hold a legal interest in the company providing
services to your union.
• You are an officer of a union. You form a tax
preparation business with two partners and put your
share of the business in your wife’s name. The business
prepares tax returns and LM reports for your union. You
hold an equitable interest in a business that deals with
your union.

– means 10% or more. Where a
business’s receipts from an employer(s) whose
employees your labor organization represents or is
actively seeking to represent constitute 10% or more
of its annual receipts, a substantial part of the
business consists of dealing with this employer(s).

SUBSTANTIAL PART

Other transactions or arrangements involving (1) any
loan to or from the employer; (2) any business transaction
or arrangement (for example, purchases and sales of
goods and services not excluded under Part A Exclusion
(iii) above; rentals, credit arrangements, franchises, or
contracts, etc.).

– means to engage in a transaction
(bargain, sell, purchase, agree, contract) or to in any
way traffic or trade, including solicitation for
business. The term “traffic or trade” includes not only
financial transactions that have occurred but also the
act of soliciting such business. Thus, for example,
potential vendors or service providers attempting to
win business with a union will be considered to be
“dealing” with the union to the same extent as
vendors who are already doing business with the
union.

DEALING

For each transaction, identify the nature of the transaction
and the property involved (for example, loan of money
from employer, rental of loft building, located at X street, Y
City, Z State, etc.) and state:
1) the total dollar amount you paid or received during the
fiscal year (for example, amount of a loan, rent, sale,
etc.);
2) the dollar value of existing obligation, if any, at the end
of the fiscal year (for example, unpaid balance of a
loan, rentals due pursuant to a lease, amount due
under a contract, etc.);

Potential vendors must engage in the active and
direct solicitation of business (other than by mass
mail, telephone bank, or mass media). A business
that passively advertises its services generally and
would provide services consumed by, for example, a
union would not meet this test. The potential vendor
must be actively seeking the commercial
relationship. Under certain circumstances, the
payment itself will be evidence of the solicitation of
business, such as a potential vendor who treats a
union official to a golf outing and dinner to discuss
the vendor’s products.

3) the date transaction was entered into and the date it
was terminated, if any;
4) the terms and conditions of the transaction (for
example, unsecured loan under employer loan plan
payable over one year, discount purchases of goods,
sale and lease back one year, etc.);
5) names and addresses of intermediate parties involved
in any indirect transactions (for example, loans made
to you in the name of another, etc.).

TRUST IN WHICH A LABOR ORGANIZATION IS INTERESTED

– means a trust or other fund or organization (1)

For each arrangement, identify its nature and provide
sufficient detail to identify the date, persons involved, and
information as to conditions, if any, of the arrangement and
the anticipated date on which the benefit will be obtained.

which was created or established by a labor
organization, or one or more of the trustees or one
or more members of the governing body of which is
selected or appointed by a labor organization, and
(2) a primary purpose of which is to provide benefits
for the members of such labor organization or their
beneficiaries.

7

income covered by Part B, including the applicable
information set forth in the instructions to Item 7.

PART B EXCLUSIONS
You do NOT need to report in Part B the items
identified in the Part A exclusions set forth in (i) and
(ii). (See the “Part A Exclusions” section in the
instructions for Part A above.)

PART C (Items 13 and 14) – OTHER
EMPLOYER OR LABOR RELATIONS
CONSULTANT

Bona Fide Loans. Do not report bona fide loans,
including mortgages, received from national or state
banks, credit unions, savings or loan associations,
insurance companies, or other bona fide credit institutions,
if the loans are based upon the credit institution’s own
criteria and made on terms unrelated to your status in the
labor organization.
Additionally, do not report other
marketplace transactions with such bona fide credit
institutions, such as credit card transactions (including
unpaid balances) and interest and dividends paid on
savings accounts, checking accounts or certificates of
deposit if the payments and transactions are based upon
the credit institution’s own criteria and are made on terms
unrelated to your status in the labor organization.

Complete Part C if you, your spouse, or your minor child
received, directly or indirectly, any payment of money or
other thing of value (including reimbursed expenses) from
any employer (other than an employer covered under Part
A or a business covered under Part B above) from whom a
payment would create an actual or potential conflict
between these financial interests and the interest of your
labor organization or your duties to your labor
organization. Such employers include, but are not limited
to, an employer in competition with an employer whose
employees your labor organization represents or whose
employees your union is actively seeking to represent, if
you are involved with the organizing, collective bargaining,
or contract administration activities, or possess significant
authority or influence over such activities. You are
deemed to have such authority and influence if you
possess authority by virtue of your position, even if you did
not become involved in these activities. Additionally,
complete Part C if you received a payment of money or
other thing of value from a labor relations consultant to a
Part C employer, or from a labor relations consultant to a
Part A employer.

8. CONTACT INFORMATION FOR BUSINESS — Enter
the name (including trade or commercial name, if any,
such as “d/b/a” or “doing business as” name) and address
of the business to which the interest, transaction, or benefit
was connected. Also enter the name and telephone
number of a contact person at the business.
9. and 10. BUSINESS DEALS WITH —Select the
appropriate box describing the type of organization with
which the business (referred to in Item 8) dealt. If you
select 9.b. (trust) or 9.c. (employer), enter the name and
address of each trust or employer in Item 10. Include the
name and telephone number of a contact person.

Employers under Part C also include, but are not limited
to, 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 your labor organization.
Report payments received as director’s fees, including
reimbursed expenses.

11.a. NATURE OF DEALINGS — Describe in detail the
nature of the purchases, sales, leases, or other dealings
between the business and the organization specified in
Items 9 and 10. For example, if the business and Union A
arranged a payroll service in the amount of $45,000 for
union members, the dealing could be described as follows:
“One payment for payroll services for Union A members.”
Do not include account or social security numbers. Your
report will be deficient if you provide unclear or nonspecific
descriptions. If an interest in real property is reported,
identify the location of the property.

Information that must also be reported under Part C
includes any payments from an employer (not covered by
Parts A or B), or from any labor relations consultant to an
employer, for the following purposes:

11.b. VALUE OF DEALINGS — Enter the value of the
purchases, sales, leases, or other dealings between the
business and the organization specified in Items 9 and 10.
12.a.
NATURE
OF
INTEREST,
BENEFIT,
ARRANGEMENT, OR INCOME — Enter the nature of
each interest, benefit, arrangement, or income covered by
Part B, including the applicable information set forth in the
instructions to Item 7.
12.b. AMOUNT OR VALUE OF INTEREST, BENEFIT,
ARRANGEMENT, OR INCOME — Enter the approximate
dollar amount or value of interest, benefit, arrangement, or

8

(1)

not to organize employees;

(2)

to influence employees in any way with respect to
their rights to organize;

(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 your
organization represents or seeks to represent; and

(5)

to influence the outcome of an internal union
election.

Part C was received. Also enter the name and telephone
number of a contact person.

PART C EXCLUSIONS
The items listed below do not need to be reported in
Part C. Please note that these exceptions do not apply
to the five types of payments enumerated above.

13.b. TYPE OF ENTITY — Select the appropriate box to
indicate whether the entity that made the payment is an
employer or labor relations consultant.

i. Payments of the kinds referred to in Section 302(c) of
the Labor Management Relations Act (LMRA), as set
forth on page 12 below, and payments your spouse or
minor children receive as compensation for, or by
reason of, their service to their employer.

14.a. NATURE OF PAYMENT — For each payment or
benefit reportable under Part C, identify the nature of the
payment or benefit (for example, continuing use of
automobile for personal purposes, gift of refrigerator, gift of
a computer, payment for services not excluded above).
List the date you received the payment or benefit. For
each payment or benefit reported, provide a detailed
description of the relationship between the employer or
labor relations consultant and your labor organization. For
example, if the payment was received from an employer in
competition with a represented employer, indicate the
name of the employer whose employees your union
represents or whose employees it is actively seeking to
represent and the industry or activities in which they
compete. Do not include account or social security
numbers. If an interest in real property is reported, identify
the location of the property. Your report will be deficient if
you provide unclear or nonspecific descriptions.

ii. Bona fide loans (including mortgages), interest or
dividends from national or state banks, credit unions,
savings or loan associations, insurance companies, or
other bona fide credit institutions, if such loans,
interest, or dividends are based upon the credit
institution’s own criteria and made on terms unrelated
to your status in a labor organization. Additionally, do
not report other marketplace transactions with such
bona fide credit institutions, such as credit card
transactions (including unpaid balances) and interest
and dividends paid on savings accounts, checking
accounts, or certificates of deposit if the payments and
transactions are based upon the credit institution’s
own criteria and are made on terms unrelated to your
status in the labor organization.

14.b. AMOUNT OR VALUE OF PAYMENT — Enter the
amount or value of each payment, including the applicable
information set forth in the instructions to Item 7.

iii. Interest on bonds or dividends on stock, provided such
interest or dividends are received, and such bonds or
stock have been acquired, under circumstances and
terms unrelated to your status in a labor organization
and the issuer of such securities is not an enterprise in
competition with the employer whose employees your
labor organization represents or actively seeks to
represent.

15. SIGNATURE AND VERIFICATION (Bottom of Page
1) — The completed Form LM-30, which is filed with
OLMS, must be signed by you (officer or employee of the
labor organization). Enter the telephone number you use
to conduct official business. You do not have to report a
private unlisted telephone number.

iv. Payments from trusts or other labor organizations.

Electronically submitted forms must be signed using a PIN
password combination.
The date of signature will
automatically be entered. Information about the electronic
signature process can be obtained on the OLMS website
at www.olms.dol.gov.

13.a. CONTACT INFORMATION FOR EMPLOYER OR
LABOR RELATIONS CONSULTANT — Enter the name,
and address of the employer or labor relations consultant
(including trade or commercial name, if any, such as d/b/a
or “doing business as” name) from whom the payment in

9

SELECTED DEFINITIONS FROM THE LABOR-MANAGEMENT REPORTING AND DISCLOSURE ACT
OF 1959, AS AMENDED (LMRDA)
SEC. 3. For the purposes of titles I, II, III, IV, V (except
section 505), and VI of this Act
(a) “Commerce” means trade, traffic, commerce,
transportation, transmission, or communication among the
several States or between any State and any place outside
thereof.
(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. 13311343).
(c) “Industry affecting commerce” means any activity,
business, or industry in commerce or in which a labor
dispute would hinder or obstruct commerce or the free
flow of commerce and includes any activity or industry
“affecting commerce” within the meaning of the Labor
Management Relations Act, 1947, as amended, or the
Railway Labor Act, as amended.
(d) “Persons” 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.
(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.
(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.
(g) “Labor dispute” includes any controversy concerning
terms, tenure, or conditions of employment, 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

(h)
(i)

(j)

(k)

(l)

10

stand in the proximate relation of employer and
employee.
Not applicable.
“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 exists for the purpose, in whole
or in part, of 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.
A labor organization shall be deemed to be engaged in
an 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 or 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
(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
is a conference, general committee, 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.
“Trust in which a labor organization is interested”
means a trust or other fund or organization (1) which
was created or established by a labor organization, or
one or more of the trustees or one or more members
of the governing body of which is selected or
appointed by a labor organization, and (2) a primary
purpose of which is to provide benefits for the
members of such labor organization or their
beneficiaries.

(m) “Labor relations consultant” means any person who,
for compensation, advises or represents an employer,
employer organization, or labor organization
concerning employee organizing, concerted activities,
or collective bargaining activities.
(n) “Officer” means any constitutional officer, any person
authorized to perform the functions of president, vice
president, secretary, treasurer, or other executive
functions of a labor organization, and any member of
its executive board or similar governing body.
(o) Not applicable.
(p) Not applicable.
(q) “Officer, agent, shop steward, or other representative,”
when used with respect to a labor organization,
includes elected officials and key administrative
personnel, whether elected or appointed (such as
business agents, heads of departments or major units,
and organizers who exercise substantial independent
authority), but does not include salaried nonsupervisory professional staff, stenographic, and
service personnel.

organization represents or is actively seeking to
represent;
(3) any stock, bond, security, or other interest, legal or
equitable, which he or his spouse or minor child
directly or indirectly held in, and any income or any
other benefit with monetary value (including
reimbursed expenses) which he or his spouse or
minor child directly or indirectly derived from, any
business a substantial part of which consists of
buying from, selling or leasing to, or otherwise
dealing with, the business of an employer whose
employees such labor organization represents or
is actively seeking to represent;
(4) any stock, bond, security, or other interest, legal or
equitable, which he or his spouse or minor child
directly or indirectly held in, and any income or any
other benefit with monetary value (including
reimbursed expenses) which he or his spouse or
minor child directly or indirectly derived from, a
business any part of which consists of buying
from, or selling or leasing directly or indirectly to,
or otherwise dealing with such labor organization;
(5) any direct or indirect business transaction or
arrangement between him or his spouse or minor
child and any employer whose employees his
organization represents or is actively seeking to
represent, except work performed and payments
and benefits received as a bona fide employee of
such employer and except purchases and sales of
goods or services in the regular course of
business at prices generally available to any
employee of such employer; and
(6) any payment of money or other thing of value
(including reimbursed expenses) which he or his
spouse or minor child received directly or indirectly
from any employer or any person who acts as a
labor relations consultant to an employer, except
payments of the kinds referred to in section 302(c)
of the Labor Management Relations Act, 1947, as
amended.
(b) The provisions of paragraphs (1), (2), (3), (4), and (5)
of subsection (a) shall not be construed to require any
such officer or employee to report his bona fide
investments in securities traded on a securities exchange
registered as a national securities exchange under the
Securities Exchange Act of 1934, in shares in an
investment company registered under the Investment
Company Act or in securities of a public utility holding
company registered under the Public Utility Holding
Company Act of 1935, or to report any income derived
therefrom.
(c) Nothing contained in this section shall be construed to
require any officer or employee of a labor organization to
file a report under subsection (a) unless he or his spouse
or minor child holds or has held an interest, has received
income or any other benefit with monetary value or a loan,
or has engaged in a transaction described therein.

NATIONAL LABOR RELATIONS ACT, AS AMENDED
Section 8. “(c) The expressing of any views, argument, or
opinion or the dissemination 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.”
RELATED
PROVISIONS
OF
THE
LABORMANAGEMENT REPORTING AND DISCLOSURE ACT
OF 1959, AS AMENDED (LMRDA)
Report of Officers and Employees of Labor
Organizations
Sec. 202. (a) Every officer of a labor organization and
every employee of a labor organization (other than an
employee performing exclusively clerical or custodial
services) shall file with the Secretary a signed report listing
and describing for his preceding fiscal year(1) any stock, bond, security, or other interest, legal or
equitable, which he or his spouse or minor child
directly or indirectly held in, and any income or any
other benefit with monetary value (including
reimbursed expenses) which he or his spouse or
minor child derived directly or indirectly from, an
whose
employees
such
labor
employer
organization represents or is actively seeking to
represent, except payments and other benefits
received as a bona fide employee of such
employer;
(2) any transaction in which he or his spouse or minor
child engaged, directly or indirectly, involving any
stock, bond, security, or loan to or from, or other
legal or equitable interest in the business of an
employer
whose
employees
such
labor

11

SECTION 302(c) OF THE LABOR MANAGEMENT
RELATIONS ACT, 1947, AS AMENDED

fund, a statement of the results of which shall be available
for inspection by interested persons at the principal office
of the trust fund and at such other places as may be
designated in such written agreement; and (C) such
payments as are intended to be used for the purpose of
pro-viding pensions or annuities for employees are made
to a separate trust which provides that the funds held
therein cannot be used for any purpose other than paying
such pensions or annuities; or (6) with respect to money or
other thing of value paid by any employer to a trust fund
established by such a representative for the purpose of
pooled vacation, holiday, severance or similar benefits, or
defraying costs of apprenticeship or other training
programs: Provided, That the requirements of clause (B) of
the proviso to clause (5) of this subsection shall apply to
such trust funds; (7) with respect to money or other thing
of value paid by any employer to a pooled or individual
trust fund established by such representative for the
purpose of (A) scholarships for the benefit of employees,
their families, and dependents for study at educational
institutions, or (B) child care centers for preschool and
school age dependents of employees: Provided, That no
labor organization or employer shall be required to bargain
on the establishment of any such trust fund, and refusal to
do so shall not constitute an unfair labor practice: Provided
further, That the requirements of clause (B) of the proviso
to clause (5) of this subsection shall apply to such trust
funds; (8) with respect to money or any other thing of value
paid by any employer to a trust fund established by such
representative for the purpose of defraying the costs of
legal services for employees, their families, and
dependents for counsel or plan of their choice: Provided,
That the requirements of clause (B) of the proviso to
clause (5) of this subsection shall apply to such trust
funds: Provided further, That no such legal services shall
be furnished: (A) to initiate any proceeding directed (i)
against any such employer or its officers or agents except
in workman’s compensation cases, or (ii) against such
labor organization, or its parent or subordinate bodies, or
their officers or agents, or (iii) against any other employer
or labor organization, or their officers or agents, in any
matter arising under the National Labor Relations Act, as
amended, or this Act; and (B) in any proceeding where a
labor organization would be prohibited from defraying the
costs of legal services by the provisions of the LaborManagement Reporting and Disclosure Act of 1959; or (9)
with respect to money or other things of value paid by an
employer to a plant, area or industry-wide labor
management committee established for one or more of the
purposes set forth in section 5(b) of the Labor
Management Cooperation Act of 1978.”

“(c) The provisions of this section shall not be applicable
(1) in respect to any money or other thing of value payable
by an employer to any of his employees whose
established duties include acting openly for such employer
in matters of labor relations or personnel administration or
to any representative of his employees, or to any officer or
employee of a labor organization, who is also an employee
or former employee of such employer, as compensation
for, or by reason of, his service as an employee of such
employer; (2) with respect to the payment or delivery of
any money or other thing of value in satisfaction of a
judgment of any court or a decision or award of an
arbitrator or impartial chairman or in compromise,
adjustment, settlement, or release of any claim, complaint,
grievance, or dispute in the absence of fraud or duress; (3)
with respect to the sale or purchase of an article or
commodity at the prevailing market price in the regular
course of business; (4) with respect to money deducted
from the wages of employees in payment of membership
dues in a labor organization: Provided, That the employer
has received from each employee, on whose account such
deductions are made, a written assignment which shall not
be irrevocable for a period of more than one year, or
beyond the termination date of the applicable collective
agreement, which-ever occurs sooner; (5) with respect to
money or other thing of value paid to a trust fund
established by such representative, for the sole and
exclusive benefit of the employees of such employer, and
their families and dependents (or of such employees,
families, and dependents jointly with the employees of
other employers making similar payments, and their
families and dependents) Provided, That (A) such
payments are held in trust for the purpose of paying, either
from principal or income or both, for the benefit of
employees, their families and dependents, for medical or
hospital care, pensions on retirement or death of
employees, compensation for injuries or illness resulting
from occupational activity or insurance to provide any of
the foregoing, or unemployment benefits or life insurance,
disability and sickness insurance, or accident insurance;
(B) the detailed basis on which such payments are to be
made is specified in a written agreement with the
employer, and employees and employers are equally
represented in the administration of such fund together
with such neutral persons as the representatives of the
employers and the representatives of employees may
agree upon and in the event of the employer and
employee groups deadlock on the administration of such
fund and there are no neutral persons empowered to
break such dead-lock, such agreement provides that the
two groups shall agree on an impartial umpire to decide
such dispute, or in event of their failure to agree within a
reasonable length of time, an impartial umpire to decide
such dispute shall, on petition of either group, be
appointed by the district court of the United States for the
district where the trust fund has its principal office, and
shall also contain provisions for an annual audit of the trust

12

If You Need Assistance
The Office of Labor-Management Standards has
district offices in the following cities to assist you if you
have any questions concerning LMRDA and CSRA
reporting requirements.

Atlanta-Nashville
Boston-Buffalo
Chicago
Cincinnati-Cleveland
Dallas-New Orleans
Denver-St. Louis
Detroit-Milwaukee
Los Angeles
Philadelphia-Pittsburgh
New York
San Francisco-Seattle
Washington
Consult local telephone directory listings under United
States Government, Labor Department, Office of
Labor-Management Standards, for the address and
phone number of your nearest field office.
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 available on the OLMS website at
www.olms.dol.gov.
Copies of labor organization annual financial reports,
employer reports, labor relations consultant reports,
and union officer and employee reports filed for the
year 2000 and after can be viewed and printed at
www.unionreports.gov. Copies of reports for the
year 1999 and earlier can be ordered through the
website.
For questions on Form LM-30 and/or the instructions,
call the Department of Labor’s toll-free number at:
866-4-USA-DOL (866-487-2365) or email [email protected].
If you would like to receive via email periodic updates
from the Office of Labor-Management Standards,
including information about the LM forms,
enforcement results, and compliance assistance
programs, you may subscribe to the OLMS Mailing
List from the OLMS website: www.olms.dol.gov.

Revised 10/2011
(Technical Revisions 05/2016; 06/2016; 11/2016;
04/2020)
13