MU Labor Education Program

Internal union regulation

Accountability of Union Officers and Agents, Titles III, II and V


  1. 29 USC Sec. 461-66.
  2. 29 CFR Sec. 402(h).
  3. Union Democracy, pp. 127-38.
  4. 29 USC Sec. 462
  5. See Industrial Workers, AIW v. Local 589, 693 F.2d 666, 111 LRRM 3106 (7th Cir. 1982).
  6. See Higgins v. Harden, 644 F.2d 1348, 107 LRRM 2438 (9th Cir. 1981).
  7. E.g., Local 48, Carpernters v. Carpenters, 920 F.2d 1047 (1st Cir. 1990).
  8. Carpenters v. Brown, 343 F.2d 872, 59 LRRM 2140 (10th Cir. 1965).
  9. See, e.g., Vestal v. Hoffa, 452 F.2d 706, 78 LRRM 2996 (6th Cir. 1971).
  10. Donatello v. McKenzie, 826 F.Supp. ___ (S.D. N.Y. 1993), but also see Painters, Local 1983 v. Painters, 598 F.Supp. 1056 (D.N.J. 1984) where the court determined this section was not intended for internationals to use for collecting dues.
  11. Letter Carriers v. Sombrotto, 449 F.2d 915, 78 LRRM 2550 (2nd Cir. 1971).
  12. See Benda v. Machinists, 584 F.2d 308, 79 LRRM 2935 (9th Cir. 1971).
  13. Hodgson v. Machinists, Local 50, 79 LRRM 2687 (S.D. Cal. 1971).
  14. Sawyers v. Machinists, 279 F.Supp. 747, 67 LRRM 2375 (E.D. Mo. 1967).
  15. Teamsters, Local 406 v. Crane, 848 F.2d 709, 128 LRRM 2544 (6th Cir. 1988).
  16. Compare Carpenters v. Brown, supra note 8, with Gordon v. Laborers, 490 F.2d 133, 84 LRRM 2952 (10th Cir. 1973).
  17. Individual Rights, p. 188.
  18. The forms, due dates and other requirements are contained in the DOL regulations. See 29 CFR Sec 408.2-12.
  19. 29 USC Sec. 461(c) and (e).
  20. See Moody v. Longshoremen, ILA, 112 LRRM 2338 (N.D. Ohio ____), aff'g mem. 708 F.2d 726, 112 LRRM 2369 (_ Cir. ____).
  21. 29 USC Sec. 464(c).
  22. See Baily v. Dixon, 314 F.Supp. 452, 74 LRRM 2712 (E.D. La. 1970).
  23. See, e.g., Hotel & Restaurant Employees v. Rollison, 615 F.2d 788, 104 LRRM 3038 (9th Cir. 1980).
  24. See, Jolly v. Gorman, 428 F.2d 960, 74 LRRM 2706 (5th Cir. 1970).
  25. The hearing's validity will be determined by the trusteeship's purpose. Compare Jolly v. Gorman, supra note 24, where the trusteeship was imposed to end an illegal strike to Mine Workers, Local 13410 v. Mine Workers, 475 F.2d 906, 82 LRRM 2206(D.C. Cir. 1973) where a trusteeship was imposed to halt disaffiliation.
  26. See, e.g., Service Employees, Local 554 v. Service Employees, 441 F.2d 1115, 77 LRRM 2458 (5th Cir. 1971).
  27. Dol regulations covering union informational reporting are found in 29 CFR Sec. 402.1--13, annual reports are covered in Sec 403.1--11.
  28. Union Democracy, p. 161.
  29. 29 USC Sec. 431(a) "adoption and filing of constitution and bylaws; contents of report," which states:
    (1) the name of the labor organization, its mailing address, and any other addresses at which it maintains its principal office or at which it keeps the reocrds referred to in this subchapter;
    (2) the name and title of each of its officers;
    (3) the initiation fee or fees required from a new or transfered member and fees for work permits required by the reporting lanor organization;
    (4) the regular dues or fees or other periodic paymnets required to remian a member of the reporting labor organization; and
    (5) detailed statements, or references to specific provisions of documents filed under this subsection which contain such statements, showing the provision made and procedures followed with respect to each of the following:
    (A) qualifications for or restrictions on membership,
    (B)levying of assessments,
    (C) participation in insurance or other benefit plans,
    (D) authorization for disbursement of funds of the labor organization,
    (E) audit of financial transactions of the labor organization,
    (F) the calling of regular and special meetings,
    (G) the selection of officers and stewards and of any representatives to other bodies composed of labor organizations'representives, with a specific statement of the manner in which each officer was elected, appointed, or otherwise selected,
    (H) discipline or removal of officers or agents for breaches of their trust,
    (I) imposition of infes, suspensions, and expulsions of members, including the grounds for such actions and any provisions made for notice, hearing, judgement on the evidence, and appeal procedures,
    (J) authorization for bargaining demands,
    (K) ratification of contract terms,
    (L) authorization for strikes, and
    (M) issuance of work permits.
    29 USC Sec 431(B), "Annual financial report; filing; contents", states in pertinent part:
    Every labor organziation shall file ... a report signed by its president and treasurer ... to disclose its financial condition and operations for its preceding fiscal year --
    (1) assets and liabilities at the beginning and end of the fiscal year;
    (2) receipts of nay kind and the sources thereof;
    (3) salary, allowances, and other direct or indirect disbursements (including reimbursed expenses) to each officer ... who ... received more than $10,000 in the aggregate from such lanor organization ...
    (4) direct or indirect loans made to any officer, employee, or member, which aggregated more than $250 ...
    (5) direct or indirect loans to any business enterprise ...
  30. 29 USC Sec. 431(c) states what must be made available to the member and the courses of action to be taken when denied such information.
  31. See 29 CFR Sec. 403.4(b) for stipulations required for waiving the financial report.
  32. 29 CFR Sec. 403.5
  33. E.g., Teamsters, Fruit & Vegetable Packers, Local 760 v. Morely, 378 F.2d 738, 65 LRRM 2424 (9th Cir. 1967).
  34. E.g., Antal v. Mine Workers, District 5, 451 F.2d 1187, 78 LRRM 2837 (3rd Cir. 1971).
  35. See 29 CFR Sec. 405.1--11 for DOL regulations.
  36. 29 USC Sec. 433(e).
  37. At one time a split income theory was in practice, whereby portions of a supervisor's pay were reportable if they acted to interfere, coerce or restrain unionization activities. This practice ended in 1982.
  38. 29 USC Sec. 433(a)(4).
  39. 29 USC Sec. 433(b).
  40. 29 USC Sec. 433(c).
  41. 29 USC Sec. 501(a).
  42. See the 2nd Circuit's opinion in Gurton v. Aarons, 339 F.2d 371, 58 LRRM 2080 (2nd Cir. 1964).
  43. THe 3rd, 8th and 9th Circuits follow the broad interpretation of Sec. 501. The D.C. Circuit has vacillated between the two views, while four other courts have refused to adopt one view or the other.
  44. See e.g., Monzillo v. Biller, 735 F.2d 1456, 116 LRRM 2587 (D.C. Cir. 1984).
  45. See Teas v. Teamsters, Local 413, 504 F.Supp. 12 (S.D. Ohio 1978).
  46. Quoting Morrissey v. Curran, 650 F.2d at 1274, 107 LRRM at 2238 (@nd Cir. 1981).
  47. 29 USC Sec. 501(a).
  48. See Filippini v. Austin, 106 FRD 425 (C.D. Cal. 1985).
  49. 29 USC Sec. 501(c).
  50. See United States v. Sullivan, 498 F.2d 146, 86 LRRM 2869 (1st Cir. 1974).
  51. See 29 CFR Sec. 453.8.
  52. 29 CFR Sec. 453.12.
  53. 29 USC Sec. 503.
  54. The Supreme Court decision in United Staes v. Brown, 381 U.S. 437, 59 LRRM 2353 (1964) overturned the ruling that made membership in the Communist Party a crime.
  55. See 29 USC Sec. 504(a) for the list. Crimes of a similar nature will also serve to disqualify an individaul from holding office, see e.g., Postma v. Teamsters, Local 294, 337 F.2d 609, 57 LRRM 2298 (2nd Cir. 1964).

Title III -- Trusteeships1
A trusteeship, as defined in Sec. 402(h), states:
"'Trusteeship' means any receivership, trusteeship, or other method of supervision or control whereby a labor organization suspends the autonomy otherwise available to a subordinate body under its constitution or bylaws."2

Although not universal, certain national and international unions' misuse of trusteeships was a contributing factor in the formulation of Title III. Areas of abuse included imposing trusteeships for no legitimate reason, keeping the trusteeship in place for an inordinate time, imposing the trusteeship against the rank and file's wishes, being used as a means of appropriating local's treasuries and as a means of manipulating votes cast in convention elections.3

When drafted, Title III was designed to also recognize the need and legitimacy of trusteeships to correct instances of corruption or mismanagement. The title covers the legitimate reasons for imposing trusteeships. It also includes the administrative requirements for when trusteeships are instituted. Title III includes actions that will result in violations, the enforcement/recourse mechanisms that are available and the presumption of validity once a trusteeship has been put into place. This final statement allows for a parent body to self-police itself while imposing limits on the length of time it has to accomplish its goals.


Title II -- Reporting Requirements of Labor Organizations, its Officers and Employees, and Employers and their Agents


Title V -- Fiduciary responsibility of union officers


Updated 10/1/08