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9-136.000
LABOR AND PENSION/WELFARE
REPORTING AND RECORD KEEPING --
29 U.S.C. § 439 AND 18 U.S.C. § 1027

9-136.010 Introduction
9-136.030 Investigative and Supervisory Jurisdiction

9-136.010 Introduction

This chapter addresses violations of 29 U.S.C. § 439, and 18 U.S.C. § 1027. Section 439(a) prohibits any person from willfully failing to comply with the reporting and disclosure provisions imposed by the Labor-Management Reporting and Disclosure Act (LMRDA) (29 U.S.C. § 401, et seq.) on labor unions, labor union officials, employers, and labor relations consultants in the private sector. Section 439(b) generally applies to the making of false statements in reports filed by such persons with the Department of Labor. Section 439(c) proscribes the willful falsification or destruction of documents which the LMRDA requires such persons to maintain.

Section 1027 prohibits any person from knowingly making false statements or failing to disclose required information in documents required by title I of Employee Retirement Income Security Act (ERISA). These documents include reports which ERISA requires employee pension and welfare benefit plans to publish and file with the Department of Labor (29 U.S.C. § 1024), records which ERISA requires such employee benefit plans and others to maintain (29 U.S.C. § 1027), and information which must be certified to the administrator of such employee benefit plans (29 U.S.C. § 1023).

See the Criminal Resource Manual for form indictments and a list of cases involving these statutes



Form Indictment -- Falsification of Annual Financial Report Filed by Labor Union in the Private Sector (29 U.S.C. § 439(b)) Criminal Resource Manual at 2436
Form Indictment -- Falsification, Concealment or Destruction of Financial Records Required to be Kept by Labor Union in the Private Sector (29 U.S.C. § 439(c)) Criminal Resource Manual at 2437
Form Indictment -- False Statements and Concealment of Facts in Employee Benefit Plan Records or Reports Criminal Resource Manual at 2438
Decisions Related to 18 U.S.C. § 1027 Criminal Resource Manual at 2439


9-136.030 Investigative and Supervisory Jurisdiction

Information on investigative jurisdiction over the statutes discussed in this chapter is in the Criminal Resource Manual at 2434 (29 U.S.C. § 439) and 2435 (18 U.S.C. § 1027). The Labor Management Unit of the Organized Crime and Racketeering Section, Criminal Division has supervisory authority.

October 1997 USAM Chapter 9-136