29 U.S.C. § 433 — Report of employers

Page 124 TITLE 29—LABOR § 433 8, 2005, 119 Stat. 974. For complete classification of this Act to the Code, see Tables. § 433. Report of employers (a) Filing and contents of report of payments, loans, promises, agreements, or arrange- ments Every employer who in any fiscal year made— (1) any payment or loan, direct or indirect, of money or other thing of value (including re- imbursed expenses), or any promise or agree- ment therefor, to any labor organization or of- ficer, agent, shop steward, or other representa- tive of a labor organization, or employee of any labor organization, except (A) payments or loans made by any national or State bank, credit union, insurance company, savings and loan association or other credit institution and (B) payments of the kind referred to in section 186(c) of this title; (2) any payment (including reimbursed ex- penses) to any of his employees, or any group or committee of such employees, for the pur- pose of causing such employee or group or committee of employees to persuade other em- ployees to exercise or not to exercise, or as the manner of exercising, the right to organize and bargain collectively through representa- tives of their own choosing unless such pay- ments were contemporaneously or previously disclosed to such other employees; (3) any expenditure, during the fiscal year, where an object thereof, directly or indirectly, is to interfere with, restrain, or coerce em- ployees in the exercise of the right to organize and bargain collectively through representa- tives of their own choosing, or is to obtain in- formation concerning the activities of employ- ees or a labor organization in connection with a labor dispute involving such employer, ex- cept for use solely in conjunction with an ad- ministrative or arbitral proceeding or a crimi- nal or civil judicial proceeding; (4) any agreement or arrangement with a labor relations consultant or other inde- pendent contractor or organization pursuant to which such person undertakes activities where an object thereof, directly or indirectly, is to persuade employees to exercise or not to exercise, or persuade employees as to the man- ner of exercising, the right to organize and bargain collectively through representatives of their own choosing, or undertakes to supply such employer with information concerning the activities of employees or a labor organi- zation in connection with a labor dispute in- volving such employer, except information for use solely in conjunction with an administra- tive or arbitral proceeding or a criminal or civil judicial proceeding; or (5) any payment (including reimbursed ex- penses) pursuant to an agreement or arrange- ment described in subdivision (4); shall file with the Secretary a report, in a form prescribed by him, signed by its president and treasurer or corresponding principal officers showing in detail the date and amount of each such payment, loan, promise, agreement, or ar- rangement and the name, address, and position, if any, in any firm or labor organization of the person to whom it was made and a full expla- nation of the circumstances of all such pay- ments, including the terms of any agreement or understanding pursuant to which they were made. (b) Persuasive activities relating to the right to organize and bargain collectively; supplying information of activities in connection with labor disputes; filing and contents of report of agreement or arrangement Every person who pursuant to any agreement or arrangement with an employer undertakes activities where an object thereof is, directly or indirectly— (1) to persuade employees to exercise or not to exercise, or persuade employees as to the manner of exercising, the right to organize and bargain collectively through representa- tives of their own choosing; or (2) to supply an employer with information concerning the activities of employees or a labor organization in connection with a labor dispute involving such employer, except infor- mation for use solely in conjunction with an administrative or arbitral proceeding or a criminal or civil judicial proceeding; shall file within thirty days after entering into such agreement or arrangement a report with the Secretary, signed by its president and treas- urer or corresponding principal officers, con- taining the name under which such person is en- gaged in doing business and the address of its principal office, and a detailed statement of the terms and conditions of such agreement or ar- rangement. Every such person shall file annu- ally, with respect to each fiscal year during which payments were made as a result of such an agreement or arrangement, a report with the Secretary, signed by its president and treasurer or corresponding principal officers, containing a statement (A) of its receipts of any kind from employers on account of labor relations advice or services, designating the sources thereof, and (B) of its disbursements of any kind, in connec- tion with such services and the purposes thereof. In each such case such information shall be set forth in such categories as the Secretary may prescribe. (c) Advisory or representative services exempt from filing requirements Nothing in this section shall be construed to require any employer or other person to file a report covering the services of such person by reason of his giving or agreeing to give advice to such employer or representing or agreeing to represent such employer before any court, ad- ministrative agency, or tribunal of arbitration or engaging or agreeing to engage in collective bargaining on behalf of such employer with re- spect to wages, hours, or other terms or condi- tions of employment or the negotiation of an agreement or any question arising thereunder. (d) Exemption from filing requirements gen- erally Nothing contained in this section shall be con- strued to require an employer to file a report under subsection (a) unless he has made an ex- penditure, payment, loan, agreement, or ar- rangement of the kind described therein. Noth- Page 125 TITLE 29—LABOR § 437 ing contained in this section shall be construed to require any other person to file a report under subsection (b) unless he was a party to an agreement or arrangement of the kind described therein. (e) Services by and payments to regular officers, supervisors, and employees of employer Nothing contained in this section shall be con- strued to require any regular officer, supervisor, or employee of an employer to file a report in connection with services rendered to such em- ployer nor shall any employer be required to file a report covering expenditures made to any reg- ular officer, supervisor, or employee of an em- ployer as compensation for service as a regular officer, supervisor, or employee of such em- ployer. (f) Rights protected by section 158(c) of this title Nothing contained in this section shall be con- strued as an amendment to, or modification of the rights protected by, section 158(c) of this title. (g) ‘‘Interfere with, restrain, or coerce’’ defined The term ‘‘interfere with, restrain, or coerce’’ as used in this section means interference, re- straint, and coercion which, if done with respect to the exercise of rights guaranteed in section 157 of this title, would, under section 158(a) of this title, constitute an unfair labor practice. (Pub. L. 86–257, title II, § 203, Sept. 14, 1959, 73 Stat. 526.) § 434. Exemption of attorney-client communica- tions Nothing contained in this chapter shall be construed to require an attorney who is a mem- ber in good standing of the bar of any State, to include in any report required to be filed pursu- ant to the provisions of this chapter any infor- mation which was lawfully communicated to such attorney by any of his clients in the course of a legitimate attorney-client relationship. (Pub. L. 86–257, title II, § 204, Sept. 14, 1959, 73 Stat. 528.) § 435. Reports and documents as public informa- tion (a) Publication; statistical and research purposes The contents of the reports and documents filed with the Secretary pursuant to sections 431, 432, 433, and 441 of this title shall be public information, and the Secretary may publish any information and data which he obtains pursuant to the provisions of this subchapter. The Sec- retary may use the information and data for sta- tistical and research purposes, and compile and publish such studies, analyses, reports, and sur- veys based thereon as he may deem appropriate. (b) Inspection and examination of information and data The Secretary shall by regulation make rea- sonable provision for the inspection and exam- ination, on the request of any person, of the in- formation and data contained in any report or other document filed with him pursuant to sec- tion 431, 432, 433, or 441 of this title. (c) Copies of reports or documents; availability to State agencies The Secretary shall by regulation provide for the furnishing by the Department of Labor of copies of reports or other documents filed with the Secretary pursuant to this subchapter, upon payment of a charge based upon the cost of the service. The Secretary shall make available without payment of a charge, or require any per- son to furnish, to such State agency as is des- ignated by law or by the Governor of the State in which such person has his principal place of business or headquarters, upon request of the Governor of such State, copies of any reports and documents filed by such person with the Secretary pursuant to section 431, 432, 433, or 441 of this title, or of information and data con- tained therein. No person shall be required by reason of any law of any State to furnish to any officer or agency of such State any information included in a report filed by such person with the Secretary pursuant to the provisions of this subchapter, if a copy of such report, or of the portion thereof containing such information, is furnished to such officer or agency. All moneys received in payment of such charges fixed by the Secretary pursuant to this subsection shall be deposited in the general fund of the Treasury. (Pub. L. 86–257, title II, § 205, Sept. 14, 1959, 73 Stat. 528; Pub. L. 89–216, § 2(a)–(c), Sept. 29, 1965, 79 Stat. 888.) Editorial Notes AMENDMENTS 1965—Pub. L. 89–216 inserted references to section 441 of this title. § 436. Retention of records Every person required to file any report under this subchapter shall maintain records on the matters required to be reported which will pro- vide in sufficient detail the necessary basic in- formation and data from which the documents filed with the Secretary may be verified, ex- plained, or clarified, and checked for accuracy and completeness, and shall include vouchers, worksheets, receipts, and applicable resolutions, and shall keep such records available for exam- ination for a period of not less than five years after the filing of the documents based on the information which they contain. (Pub. L. 86–257, title II, § 206, Sept. 14, 1959, 73 Stat. 529.) § 437. Time for making reports (a) Each labor organization shall file the ini- tial report required under section 431(a) of this title within ninety days after the date on which it first becomes subject to this chapter. (b) Each person required to file a report under section 431(b), 432, 433(a), the second sentence of 433(b), or section 441 of this title shall file such report within ninety days after the end of each of its fiscal years; except that where such person is subject to section 431(b), 432, 433(a), the second sentence of 433(b), or section 441 of this title, as the case may be, for only a portion of such a fis- cal year (because September 14, 1959, occurs dur-