LM-1_instructions_2021_edits

Public reporting burden for this collection of information is estimated to average 55 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. 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, Office of Labor-Management Standards,
Room N-5609, 200 Constitution Avenue, NW, Washington, DC 20210.

DO NOT SEND YOUR COMPLETED FORM LM-1 TO THE ABOVE ADDRESS.

INSTRUCTIONS FOR FORM LM-1 LABOR
ORGANIZATION INFORMATION REPORT
GENERAL INSTRUCTIONS

OLMS. The initial Form LM-1 must report certain
information concerning the structure, practices, and
procedures of the labor organization.

I. WHY FILE
The Labor-Management Reporting and Disclosure Act,
as amended (LMRDA), requires public disclosure of
information concerning the structure, practices, and
procedures of labor organizations. The Secretary, under
the authority of the LMRDA, has prescribed the filing of
the Labor Organization Information Report, Form LM-1,
for labor organizations to satisfy this reporting
requirement.

OLMS will electronically acknowledge receipt of your
organization’s initial Form LM-1 and advise you of the 6digit identifying file number that has been assigned to
your organization. This file number must be entered on
the annual financial reports (Form LM-2, LM-3, or LM-4)
which your labor organization is also required to file with
the Department of Labor. (See Section V below for
information about annual financial reports.)

II. WHO MUST FILE

Amended Form LM-1

Every labor organization subject to the LMRDA, the Civil
Service Reform Act (CSRA), or the Foreign Service Act
(FSA) must file Form LM-1 with the Office of LaborManagement Standards (OLMS) of the U.S. Department
of Labor. These laws cover labor organizations that
represent employees who work in private industry,
employees of the U.S. Postal Service, and most Federal
government employees.

A labor organization is required to file an amended Form
LM-1 to update the information on file with OLMS if there
are any changes in the practices and procedures listed in
Item 18, Column (2) of its most recent Form LM-1. These
are changes in practices and procedures which are not
contained in the labor organization’s constitution and
bylaws.
The amended Form LM-1 must be filed electronically at
the same time your organization files electronically its
annual financial report (Form LM-2, LM-3, or LM-4) for
the reporting period in which the change occurred.
Please note the amended Form LM-1, like the initial
report, is not filed as part of the annual financial form but
is filed separately through the Form LM-1 portion of the
OLMS Electronic Forms System (EFS). See Part VI –
How to File.

Labor organizations that represent only state, county,
or municipal government employees are not covered by
these laws and, therefore, are not required to file Form
LM-1.
If you have a question about whether your organization
is required to file, contact the nearest OLMS field office
listed at the end of these instructions.
NOTE: Selected definitions from the LMRDA and CSRA
concerning labor organizations, members, and officers
follow these instructions. These definitions may be
helpful in determining whether your organization is
subject to the LMRDA or CSRA.

If your organization changes its affiliation or organization
name or its designation (Items 4-7), then submit the
amended Form LM-1 before you begin work on the
annual Form LM-2, LM-3, or LM-4 report.
NOTE: Federal employee labor organizations subject
solely to the CSRA or FSA are not required to submit an
amended Form LM-1 to describe changes in their
practices and procedures.

III. WHAT FORMS TO FILE
Initial Form LM-1
Every labor organization subject to the LMRDA, CSRA,
or FSA is required to adopt a constitution and bylaws
and attach a copy with an initial Form LM-1 filed with

IV. WHO MUST SIGN THE REPORT
1

The completed Form LM-1 must be signed electronically

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.

by the president and the secretary or corresponding
officers of the reporting labor organization.
V. WHEN TO FILE

The reporting labor organization and the officers
required to sign Form LM-1 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.”

You must electronically file Form LM-1 within 90 days
after the date on which your labor organization
becomes subject to the LMRDA, CSRA, or FSA. Also,
subsequent to filing Form LM-1, you must file annual
financial reports (Forms LM- 2, LM-3, or LM-4) within
90 days after the end of your organization’s fiscal year.
Labor organizations with total annual receipts of
$250,000 or more must file the detailed Form LM-2
annual report. Labor organizations with total annual
receipts of less than $250,000, may file the simplified
4-page annual report, Form LM-3. Labor organizations
with less than $10,000 in total annual receipts may file
the abbreviated 2-page annual report, Form LM-4.

The reporting labor organization and the officers
required to sign Form LM-1 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.”

VI. HOW TO FILE
The Form LM-1 and any required attachments and
additional pages must be completed and submitted
electronically, via the Office of Labor-Management
Standards (OLMS) Electronic Forms System (EFS),
available on the OLMS website at www.dol.gov/olms.

Under the CSRA and FSA and implementing
regulations, false reporting and failure to report may
result in administrative enforcement action and
litigation. The officers responsible for signing Form
LM-1 are also subject to criminal penalties for false
reporting under section 1001 of Title 18 of the
United States Code.

NOTE: Upon registering with OLMS, the signatories
and preparers must enter the email addresses they use
to conduct union business, in order to file the form via
the OLMS Electronic Forms System. While the email
addresses will not appear on the report, OLMS may use
the email address of the signatories and any preparers
to contact the union concerning LMRDA compliance.

IX. RECORDKEEPING
The individuals required to file Form LM-1 are
responsible for maintaining records which must
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 the report is filed. You must
retain any record necessary to verify, explain, or
clarify the report including, but not limited to,
vouchers, worksheets, receipts, and applicable
resolutions.

If you have difficulty navigating the software, or have
questions about its functions and features, call the
OLMS Help Desk at: (866) 401-1109. For questions
concerning the reporting requirements, please send
an email to [email protected] or call (202) 6930123.
VII. PUBLIC DISCLOSURE

Individuals are subject to penalties for willfully
making any false entry in or concealing, withholding,
or destroying any books, records, or statements
required to be kept.

Pursuant to the LMRDA, the U.S. Department of Labor
isrequired to make all submitted reports available for
public inspection. You may examine the Form LM-1
reports at, and purchase copies from, the OLMS Public
Disclosure Room at www.unionreports.gov. If you have
any questions, please email [email protected] or
call (202) 693-0123.

X. COMPLETING FORM LM-1
Read these instructions carefully before completing
Form LM-1.

VIII. OFFICER RESPONSIBILITIES AND PENALTIES

IDENTIFICATION ITEMS 1 -9
(To be completed by all filers)

The president and secretary or the corresponding
principal officers of the labor organization required to
sign Form LM-1 are personally responsible for its filing
and accuracy. Under the LMRDA, these individuals
aresubject to criminal penalties for willful failure to file
a required report and 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

Answer Items 1 through 9 as instructed. Enter “None”
or “Not Applicable”, where appropriate. Select the
appropriate box for those questions which require a
YESor NO answer; do not leave both boxes blank.
1. FILE NUMBER—If this is an initial Form LM-1,
leave Item 1 blank. If this is an amended Form LM-1,
enter the 6-digit file number, which OLMS has
2

CHARTERED TO OPERATE—Enter the city, county,
and state in which your organization is chartered or
authorized to operate. If there is no city named in your
organization’s charter, or if there is no city in which the
national or international organization has authorized
your organization to operate, then enter the city,
county, and state where your organization’s main office
is located. Do not list a private residence. If your
organization has no main office, enter the city,county,
and state where most of the members work.

assigned to your organization. If you cannot obtain
the number from previous reports filed by your
organization, contact the nearest OLMS field office
listed at the end of these instructions to obtain your
organization’s file number.
2. FISCAL YEAR ENDING DATE—If this is an
initial Form LM-1 enter the month and day on which
the fiscal year of your organization ends. If this is
an amended Form LM-1, which must be submitted
with your organization’s annual financial report,
enter the last date covered by the financial report,
including the month, day, and year. This date should
be the same as the last date entered in Item 2 of
your organization’s annual financial report (Forms
LM-2, LM-3, or LM-4).

11. NEXT REGULAR ELECTION— Enter the month
and year of your organization’s next regular election of
general officers (president, vice president, treasurer,
secretary, etc.). Do not report the date ofany interim
election to fill vacancies.

A. INITIAL OR AMENDED REPORT—Select YES if
this is the first Form LM-1 filed by your organization.
Select NO if this is an amended Form LM-1 filed by
your organization due to changes in the practices and
procedures listed in Item 18, Column (2) of your
organization’s most recent Form LM-1. These are
changes in practices and procedures, which are not
contained in your organization’s constitution and
bylaws.

12. TYPE OF MEMBERSHIP—Select each applicable
box to indicate if any of the members of your
organization are:
• Employees of private industry.
• Employees of the U.S. Postal Service. (Section
1209(b) of the Postal Reorganization Act makes
theLMRDA applicable to labor organizations
composedof such employees.)
• Employees of the Federal government subject to
Title VII of the CSRA or Chapter 10 of the FSA.

4. AFFILIATION OR ORGANIZATION NAME—Enter
the name of the national or international labor
organization which granted your organization a charter.
if your organization has no such affiliation, enter the
name of your organization as currently identified in your
constitution and bylaws or other organizational
documents.

13. TYPE OF LABOR ORGANIZATION— Select the
appropriate box to indicate whether your organization
is a local labor organization of any kind, an
intermediate body of any kind, or a national or
international labor organization. The selected box
should indicate the type oflabor organization rather
than its official name.

5. DESIGNATION—Enter the designation that
specifically identifies your organization, such as Local,
Lodge, Branch, Joint Board, Joint Council, District
Council, etc.

14. EXPECTED ANNUAL RECEIPTS—Select the
appropriate box to indicate the expected total annual
receipts of your labor organization. The term “total
annual receipts” means all financial receipts of the
labor organization during its fiscal year, regardless of
the source, including receipts of any subsidiaries and
any special funds. (A subsidiary is any separate
organization of which the ownership is wholly vested
in the reporting labor organization or its officers or its
membership, which is governed or controlled by the
officers, employees, or members of the reporting labor
organization, and which is wholly financed by the
reporting labor organization.)

6. DESIGNATION NUMBER—Enter the number or
other identifier, if any, by which your organization is
known.
7. UNIT NAME—Enter any additional or alternate
nameby which your organization is known, such as
“Chicago Area Local.”
8. MAILING ADDRESS— Enter 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.

15. OFFICERS—List the names and titles of all the
officers of your organization (including the officers
who sign this report). “Officer” is defined in section
3(n) of the LMRDA as “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.”

9. PLACE WHERE RECORDS ARE KEPT - If you
maintain any of the records required to be kept by your
organization to verify this report at the address reported
in Item 8, select YES. If not, select NO and provide in
Item 19 the address where your organization’s records
are kept.
INFORMATION ITEMS 10-17
(To be completed by initial filers only)
10.

If any officer listed in Item 15 was not elected in a

CITY, COUNTY, AND STATE WHERE
3

regular election in accordance with the provisions of
your organization’s constitution and bylaws or other
governing documents, explain in Item 19 the manner
in which the officer was chosen.

select NO; list the governing documents that you are
filing with this report in the space provided in Item 17;
and attach a dated copy of the governing documents to
this report. Be sure the documents contain the name of
your organization.

16. DUES AND FEES—Enter the dues and fees
established by your organization. If more than one
rate applies, enter the minimum and maximum rates.

PRACTICES AND PROCEDURES ITEM 18
(To be completed by all filers except Federal
employee labor organizations subject solely to
theCSRA or the FSA).
18. PRACTICES AND PROCEDURES—For each of
Lines (a) through (m), indicate in Column (1) the page
number and section or paragraph where each practice
or procedure is described in your organization’s
constitution and bylaws or other governing rules filed
with OLMS. If the practices and procedures specified in
Lines (a) through (m) are not described in the
constitution and bylaws or other governing rules filed
with OLMS, select the box in Column (2) and provide a
detailed statement in Item 19, explaining your
organization’s practice or procedure for such matters.

Line (a): Enter the regular dues or fees or other
periodic payments which a member must pay to be in
good standing in your organization and enter the
calendar basis for the payment (per month, per year,
etc.). If your organization requires members to pay
“working” dues as a part of regular dues, also report
the amount or percent of “working” dues and enter
the basis for the payment (per hour, per month, etc.).
Include only the dues or fees of regular members and
not dues or fees of members with special rates, such
as apprentices, retirees, or unemployed members.
Line (b): Enter the working dues required from
members.

In Item 18(g)(1), the reference to “representatives to
other bodies composed of labor organizations’
representatives” is meant to include representatives to
other labor organization bodies, such as delegates to
the conventions of the national or international,
delegates to a joint board, joint council, or other
intermediate body, delegates to state or local central
bodies, etc. It is not meant to include representatives
to community or public bodies such as the Red Cross,
the United Way, government committees, etc.

Line (c): Enter the initiation fees required from new
members.
Line (d): Enter the fees other than dues required from
transferred members. Such fees are those charged to
persons applying for a transfer of membership to your
organization from another labor organization with the
same affiliation. Do not report fees charged to members
transferring from one class of membership to another
within your organization.

ADDITIONAL INFORMATION
(To be completed by all filers as necessary)

Line (e): If your organization issues work permits, enter
the fees required and enter the calendar basis for the
payment (per month, per year, etc.). Work permit fees
are fees charged to nonmembers of your organization
who work within its jurisdiction. Do not report as work
permit fees those fees charged to nonmember
applicants for membership pending acceptance of their
membership application, or fees charged to persons
applying for transfer of membership to your
organization pending acceptance of their application for
transfer.

19. ADDITIONAL INFORMATION—Use Item 19 to
provide additional information as indicated on Form
LM-1 and in these instructions. Enter the number of
the item to which the information relates in the Item
Number column.

17. CONSTITUTION AND BYLAWS—A copy of your
organization’s constitution and bylaws must be filed
electronically with OLMS. Attach the copy to the Form
LM-1 submitted electronically. If your organizationis
governed by a uniform constitution and bylaws
prescribed by your organization’s parent national or
international body, your organization’s parent body may
file the constitution and bylaws on your behalf. If your
parent body files a constitution and bylaws on your
behalf, select YES.

SIGNATURES
(To be completed by all filers)
20–21. SIGNATURES—The completed Form LM-1
which is filed with OLMS must be signed electronically
by both the president and secretary or corresponding
principal officers of your organization. This report must
bear two (2) signatures. If the report is signed by an
officer other than the president and/or secretary, so
indicate by entering the correct title in the title field next
tothe signature. Then you must Save and revalidate
the form. Once the form has passed validation, then
you must click to sign the report. Enter the date the
report was signed, email address, and the telephone
number(s) used by signatories to conduct official
business. You do not have to report a private, unlisted
telephone number.

If your parent body does not file a constitution and
bylaws on your behalf, you must complete the following:

NOTE: Upon registering with OLMS, the signatories
and preparers must enter the email addresses they

Enter NONE if your organization does not issue work
permits.

4

use to conduct union business, in order to file the form
via the OLMS Electronic Forms System. While the
email addresses will not appear on the report, OLMS
may use the email address of the signatories and any
preparers to contact the union concerning LMRDA
compliance.

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. (29 U.S.C. 402(j))
“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. (29 U.S.C. 402(n))

SELECTED DEFINITIONS FROM THE LABORMANAGEMENT REPORTING AND DISCLOSURE
ACT OF 1959, AS AMENDED (LMRDA)
“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. (29 U.S.C. 402(c))

“Member” or “member in good standing”, when
used in reference to a labor organization, includes
any person who has fulfilled the requirements for
membership in such organization, and who neither
has voluntarily withdrawn from membership nor has
been expelled or suspended from membership after
appropriate proceedings consistent with lawful
provisions of the constitution and bylaws of such
organization. (29 U.S.C. 402(o))

“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 existsfor 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. (29 U.S.C 402(i))

NOTE: Pursuant to section 1209(b) of the Postal
Reorganization Act, the LMRDA is applicable to labor
organizations composed of U.S. Postal Service
employees.
SELECT DEFINITIONS FROM THE CIVIL
SERVICE REFORM ACT (CSRA)
“Labor organization” means an organization
composed in whole or in part of employees, in which
employees participate and pay dues, and which has as
apurpose the dealing with an agency concerning
grievances and conditions of employment, but does
not include—

A labor organization shall be deemed to be
engaged in an industry affecting commerce if it—
(1) is certified representative of employees
under the provisions of the National Labor
Relations Act, as amended, or the Railway Labor
Act, as amended; or

(A) an organization which, by its constitution,
bylaws, tacit agreement among its
members, or otherwise, denies membership
because of race, color, creed, national
origin, sex, age, preferential or nonpreferential civil service status, political
affiliation, marital status, or handicapping
condition,

(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

(B) an organization which advocates the
overthrow of the constitutional form of
government of the United States;

(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

(C) an organization sponsored by an agency, or
(D) an organization which participates in the
conduct of a strike against the Government
or any agency thereof or imposes a duty or
obligation to conduct, assist,or participate in
such a strike. (5 U.S.C. 7103 (a)(4))

(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

NOTE: The definition of “labor organization” for unions
which represent employees of the Department of State
and the United States Information Agency is contained
in section 4102 of the FSA.

(5) is a conference, general committee, joint
or system board, or joint council, subordinate to a
5

If You Need Assistance
The Office of Labor-Management Standards has
field offices located 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
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.unionreports.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. Additionally, you can call the
OLMS national office at (202) 693-0123 or email
[email protected].

Revised XX/2021

6