LM30_FormInstructions

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. 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 orany other aspect of this information collection, including
suggestions for reducing this burden, please send them to the U.S. Departmentof Labor, Office of Labor-Management 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

received a reportable payment, or engaged in a reportable
transaction or arrangement during the reporting period.
As discussed in Part X, you are not required to report
insubstantial payments or gifts, as there defined.

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.

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.dol.gov/olms. 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,

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.

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NOTE: Upon registering with OLMS, the signatory 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
signatory and any preparers to contact the union official
concerning LMRDA compliance.

LABOR ORGANIZATION EMPLOYEE – means any
individual (other than an individual performing exclusively
clerical or custodial services) employed by a labor
organization within the meaning of any law of the United
States relating to the employment of employees.
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.

TEMPORARY HARDSHIP EXEMPTION: If a labor
organization official experiences unanticipated technical
difficulties that prevent the timely preparation and submission
of an electronic filing, the organization may assert a temporary
hardship exemption to prepare and submit Form LM-30 in
paper format by the required due date. An electronic format
copy of the filed paper format document shall be submitted to
the Department within ten business days after the required due
date. Unanticipated technical difficulties that may result in
additional delays should be brought to the attention of OLMS
which can be reached by email at [email protected] or by
phone at (202) 693-0123. NOTE: If either the paper filing or
the electronic filing is not received in the timeframe specified
above, the report will be considered delinquent.

LABOR ORGANIZATION OFFICER – 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.
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.

VII. Public Disclosure

MINOR CHILD – means a son, daughter, stepson, or
stepdaughter less than 21 years of age.

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.

NOTE: Selected definitions from the LMRDA follow these
instructions.

VIII. Officer and Employee Responsibilities and
Penalties

III. What Must Be Reported

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.

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.

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

V. When to File

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.”
The officers and employees responsible for filing Form LM30 are also subject to criminal penalties for false reporting
and under perjury Sections 1001 of Title 18, 1746 of title 28,
and 1621 of Title 18 of the United States Code. You, your

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).

VI. How to File
Form LM-30 must be submitted electronically to the
Department, via the OLMS Electronic Forms System (EFS)
linked from the OLMS website at www.dol.gov/olms.

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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.

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.
3. AMENDED REPORT — Check the box if you are filing an
amended report.

IX. Recordkeeping

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.

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.

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).

X. Completing Form LM-30
Read the instructions carefully before completing Form LM30.
The Form LM-30 must be completed and submitted
electronically. You may click on the “Validate” 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.

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 LM-30,
please contact the OLMS National Office at 202-693-0123 or
the nearest OLMS field office listed at the end of these
instructions.

Information Items Parts A, B, and C

Information Items 1–5

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

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 — The software will
automatically enter the five-digit file number (U-XXXXX)
assigned to you by OLMS as a reporting officer or
employee. This item is “pre-filled” and cannot be edited.
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 12- month 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

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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.

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.

DIRECTLY OR INDIRECTLY – 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.

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).

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 widely- attended
receptions, meetings or gatherings in a single fiscal year for
The following are examples of reporting direct and indirect
which an employer or business has spent $125 or less per
payments or benefits:
attendee per gathering. You do not have to include the
value of those gatherings in determining whether the $250
• You are employed by XYZ Widgets and also serve as
threshold has been met for the employer or business
the president of the local union representing XYZ Widgets
providing the meeting or gathering. However, if you attend
employees. In a recent conversation with the XYZ Widgets
human resources manager, you mention that you are placing three or more such widely-attended gatherings provided by
your 15-year-old daughter in a private school. XYZ Widgets an employer or business, you must count the value of all
sends you a check for $1,000 with a note saying “Good luck such events.
with the new school!” You have received a direct benefit.
A gathering is widely attended if a large number of persons
• You are employed by XYZ Widgets and also serve as the are in attendance and the attendees include union officers
and employees and a substantial number of individuals with
president of the local union representing XYZ Widgets
no relationship to a union or a trust in which a labor
employees. In a recent conversation with the XYZ Widgets
organization is interested. For a gathering to qualify as widely
human resources manager, you mention that you are
attended, those individuals with a relationship to a union must
placing your 15-year-old daughter in a private school. You
receive a letter from your daughter’s new school stating that be treated the same as others when the employer or business
advertises or distributes invitations for the event and must be
she has received a $1,000 scholarship through a donation
treated alike at the event. If you attend three or more such
from XYZ Widgets. You have received an indirect benefit.
widely-attended gatherings provided by an employer or
Complete a separate Part A, B, and/or C if reporting
business, you must count the value of all such events.
more than one entity or transaction. For example, if you
A gathering is widely attended if a large number of persons
(or your spouse or minor child) held stock in three (3)
are in attendance and the attendees include union officers
businesses that have lease agreements with your labor
organization, then you must complete and submit a separate and employees and a substantial number of individuals with
no relationship to a union or a trust in which a labor
Part B for each business.
organization is interested. For a gathering to qualify as widely
Additionally, if, for example, you received both income and
attended, those individuals with a relationship to a union must
a gift from a business that has a lease agreement with
be treated the same as others when the employer or business
your labor organization, then you must submit a separate
advertises or distributes invitations for the event and must be
Part B for each transaction with this report.
treated alike at the event.
Do not submit more than one Form LM-30 report for the
Report payments received as director’s fees, including
same fiscal year. If filing in electronic format, click on the
reimbursed expenses.
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.

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PART A (ITEMS 6 and 7) –
REPRESENTED EMPLOYER

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.

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:

BONA FIDE INVESTMENT – 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.

• 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;

(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.

• Circulating a petition for representation among employees;
• 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
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.

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 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.

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

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

(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

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seeking to represent, including any building and room
number. Also enter the name and telephone number of a
contact person at the employer.

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:

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

ARRANGEMENT –

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.

• The net worth of a business partnership or business
venture

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.

• 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).
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.).

BENEFIT WITH MONETARY VALUE –

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.

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 an
endowment contracts, capital gains, discharge or
indebtedness, share of partnership income, bequests or
other forms of inheritance, and gifts, prizes or awards.

LEGAL OR EQUITABLE INTEREST – 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.)

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.

For example:

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

• 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.

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SUBSTANTIAL PART – 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).

• 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.
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.).

DEALING –

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.

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:

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.

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.);
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.);

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 a primary purpose of which is to
provide benefits for the members of such labor
organization or their beneficiaries.

5)
names and addresses of intermediate parties involved
in any indirect transactions (for example, loans made to you
in the name of another, etc.).
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.

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 B (Items 8 - 12) – BUSINESS
(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.

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

7

based upon the credit institution’s own criteria and are
made on terms unrelated to your status in the labor
organization.

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

(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 EXCLUSIONS

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

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.
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.

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

8

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.
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.

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

NOTE: Upon registering with OLMS, the signatory 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 signatory and any preparers to contact the
union official concerning LMRDA compliance.

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.

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 obtain on the OLMS website at
https://www.dol.gov/olms.

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 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. 1331-1343).
(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.

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 there from.
(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.

(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 non- supervisory professional
staff, stenographic, and service personnel.
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
employer
whose
employees
such
labor
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

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.”

SECTION 302(c) OF THE LABOR MANAGEMENT
RELATIONS ACT, 1947, AS AMENDED
“(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 field
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
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.dol.gov/olms.
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.
For questions on Form LM-30 and/or the instructions,
call OLMS at (202) 693-0123 or the Department of
Labor’s toll-free number at: 866-4-USA-DOL (866-4872365) 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.dol.gov/olms.

Revised 01/2022
(Technical Revisions 02/2022)

13