U.S. Department of Labor Office of Labor-Management StandardsWashington, DC 20210

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DearL j:

This letter is to inform you of reporting obligations that you may have pursuant to section203 of the Labor-Management Reporting and Disclosure Act (LMRDA), 29 U.S.C. 433.LMRDA Section 203 requires employers and consultants to file reports with theDepartment of Labor concerning agreements or arrangements to persuade employeesconcerning their rights to organize and bargain collectively or to supply the employerwith certain information concerning the activities of employees or a labor organization inconnection with a labor dispute involving the employer. These reporting requirementsare subject to certain exceptions, which provide, in part, that no report is requiredcovering the services of a consultant or other person by reason of his giving or agreeingto give advice to such employer, or supplying the employer information solely foradministrative, arbitral, or court proceedings. These reports are filed on forms providedby the Department of Labors Office of Labor-Management Standards (OLMS), theagency charged with enforcing the LMKDA. The reports are made available to thepublic on the OLMS website at www.dol.gov/olms.

A Form LM-20, Agreement and Activities Report, must be filed by any person whoenters into a persuader or information-supplying agreement with an employer. The reportmust be filed within thirty (30) days after entering into the agreement or arrangement.Additionally, every person required to file a Form LM-20 must file a Form LM-21,Receipts and Disbursement Report, for any fiscal year during which payments were madeor received pursuant to a reportable agreement or arrangement. The Form LM-2 1 is duewithin ninety (90) days after the close of the consultants fiscal year. Employers mustfile a Form LM- 10, Employer Report, detailing a reportable persuader or information-supplying agreement or arrangement with a consultant within 90 days after the close ofthe employers fiscal year. The LMRDA provides for both civil and criminalenforcement for violations of the reporting requirements.

Information obtained by OLMS from the National Labor Relations Board (NLRB)indicates that you have identified yourself as the representative of anemployer who is a party to a petition for a representation election to be conducted by theNLRB O1-RD-129760. As such, you may have Form LM-20 and Form LM-21 reportingobligations if you have engaged or will engage in persuader or information-supplyingactivities pursuant to your agreement or arrangement with the employer. OLMS has senta similar letter informing the employer of its potential Form LM-l0 reporting obligations.

Information on the reporting requirements and their exceptions, blank reporting fonnsand instructions, and access to reports on file may he obtained from the OLMS websiteat: www.dol . gov/olrns/regs/compliance/ecr.htrn. Additionally, a fact sheet concerningemployer and consultant reporting is enclosed. Completed reports should be submittedto:

U. S. Department of LaborOffice of Labor-Management Standards200 Constitution Avenue, NW, Room N-5616Washington, DC 20210

If you require additional information or if you have any questions about potentialreporting obligations under the LMRDA, you may contact OLMS at (202) 693-0123 orOLMS-Public@dol .gov.

Sincerely,

Andrew R. DavisChief, Division of Interpretations and Standards

Enclosure

(L -

EmpIoyer-Consutant AgreementsForms LM-1O, LM-20, and LM-21Employers and labor relations consultants must file reports with the U.S. Department of Labors Officeof Labor-Management Standards (OLMS) whenever they enter into an agreement or arrangementwhereby the consultant will undertake activities with either of the following objectives: To persuade employees about exercising their rights to organize and bargain collectively or

To supply an employer with certain Information concerning the activities of employees or a labor organization in connection with a labor dispute involving the employer

These reports are required under Section 203 of the Labor-Management Reporting and Disclosure Act(LMRDA). This fact sheet includes general information about the requirements for reporting suchagreements on Employer Report Form LM-10, Agreement and Activities Report Form LM-20, and Receipts and Disbursements Form LM-21. Specific reporting information and detailed instructions areincluded with the forms on the OLMS Web site at www.olms.dol.gov.

Employer Report: Form LM-1OSection 203(a) of the LMRDA requires employersto file a report, Form LM-10, with OLMS if theymake certain expenditures or engage in certain activities, including entering into agreements orarrangements with any third party consultant, topersuade employees concerning their collectivebargaining or organizing rights or to obtain certaininformation, as detailed above. The report must besigned by the president and the treasurer or corresponding principal officers of the reportingemployer, or by the sole proprietor, as appropriate.

When must the LM-1O report be filed?

A Form LM-l0 report is required within 90 daysafter the end of the employers fiscal year. Employers are required to file only one Form LM-l0 eachfiscal year that covers alL instances of reportableactivity even if, for example, activity occurs at multiple locations or the employer enters into more thanone consultant agreement. There are exceptions tofiling, and these are noted in Item 8 of the FormLM-1 0 instructions.

Note: Employers are required to report on FormLM-l 0 concerning other matters not related to persuader expenditures or agreements. Pursuant toLMRDA Section 203(a), employers must also filethe Form LM-l0 to report certain payments to unions and individuals affiliated with unions,including any officer, employee, shop steward, oragent of a labor organization. There are exceptions

to filing, and these are noted in Item 8 of the FormLM-l0 instructions.

Consultant Reports: Forms LM-20 and 21

Form LM-20: Agreement and Activity ReportSection 203(b) of the LMRDA requires any person,including a labor relations consultant, to file a report, Form LM-20, to disclose agreements orarrangements with any employer to undertake certain activities to persuade employees concerningtheir collective bargaining or organizing rights or toobtain certain information, as detailed above. Theseindividuals or organizations must file a separateForm LM-20 for each agreement or arrangementthey make with an employer. The report must besigned by the president and the treasurer or corresponding principal officers of the consultant firmor, if the filer is self-employed, by the individualconsultant.

When must the Form LM-20 report be filed?Anyone required to file a Form LM-20 must do sowithin 30 days after entering into a reportableagreement. There are exceptions to filing, and theseare noted in the Form LM-20 instructions.

Form LM-21: Receipts and DisbursementsReportAny person required to file a Form LM-20 alsomust file a Form LM-21 Receipts and Disbursements Report for any year in which payments weremade or received as a result of arrangements of thekind requiring the Form LM-20 report.

When must the Form LM-21 report be filed?

Consultants (individuals or organizations) requiredto file a Form LM-21 must do so within 90 daysafier the end of the consultants fiscal year. Thereport must be signed by the president and thetreasurer, or corresponding principal officers, of theconsultant firm or, if the filer is self-employed, bythe individual consultant.

The LM-21 report must include financial information, not only about payments and arrangementsrelated to activities reportable on the Form LM-20,

but also about other receipts and disbursements related to labor relations advice or services foremployers. There are exceptions to filing, and theseare noted in the Form LM-21 instructions.

Recordkeeping RequirementsSection 206 of the LMRDA requires that Form LM10, LM-20, and LM-21 filers must maintain for aperiod of five years records to verify, explain orclarify items required to be reported on Forms LM10, LM-20, and LM-21. Title VI, Section 601, givesOLMS the authority to inspect the records.

Office of Labor-Management Standards Field Offices

Atlanta, GABirmingham, ALBoston, MABuffalo, NYChicago, ILCincinnati, OHCleveland, OH

Dallas, TXDenver, CODetroit, MIGrand Rapids, MlGuaynabo, PRHonolulu, HIHouston, TX

Kansas City, MOLos Angeles, CAMiami, FLMilwaukee, WIMinneapolis, MNNashville, TNNew Haven, CT

New Orleans, LANew York, NYNewark, NJPhiladelphia, PAPhoenix, AZPittsburgh, PASt. Louis, MO

San Francisco, CASeattle, WATampa, FLWashington, DC

For the address and telephone number of our field offices, please consult local telephone directory listings under United StatesGovernment, Labor Department, Office of Labor-Management Standards, or view our online organizational listing athttp://www.dol.gov/olms/contactsllmskeyp.htm.

OLMSOffice of Labor-Management Standards

U.S. Department of Labor

April 2010

Visit us at www.olms.doLgovE-mail us at olms-pub licdol.gov

Call the DCL Toll-Free Help Line at 1.866.487.2365