4011.1—Purpose and scope.

This part prescribes rules and procedures for complying with the requirements of section 4011 of ERISA. This part applies for any plan year beginning on or after January 1, 1995, and on or before December 31, 2006, with respect to any single-employer plan that is covered by section 4021 of ERISA.

Code of Federal Regulations

[61 FR 34026, July 1, 1996, as amended at 72 FR 2616, Jan. 22, 2007]

Commerce means trade, traffic, commerce, transportation, transmission, or communication among the several States or between any State and any place outside thereof.

A labor organization shall be deemed to be engaged in an industry affecting commerce if it:

(a) 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

(b) Although not certified, is a national or international labor organization or a local labor organization recognized or acting as the representative of employees of an employer or employers engaged in an industry affecting commerce; or

(c) 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 (a) or (b) of this section; or

(d) Has been chartered by a labor organization representing or actively seeking to represent employees within the meaning of paragraph (a) or (b) of this section as the local or subordinate body through which such employees may enjoy membership or become affiliated with such labor organization; or

(e) 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 section, other than a State or local central body.

Secret ballot means the expression by ballot, voting machine, or otherwise, but in no event by proxy, of a choice with respect to any election or vote taken upon any matter, which is cast in such a manner that the person expressing such choice cannot be identified with the choice expressed.

Trust in which a labor organization is interested means a trust or other fund or organization (a) 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 (b) a primary purpose of which is to provide benefits for the members of such labor organization or their beneficiaries.

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.

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.

Member or member in good standing, when used in reference to a labor organization, includes any person who has fulfilled the requirements for membership in such organization, and who neither has voluntarily withdrawn from membership nor has been expelled or suspended from membership after appropriate proceedings consistent with lawful provisions of the constitution and bylaws of such organization.

Secretary means the Secretary of Labor.

Act means the Labor-Management Reporting and Disclosure Act of 1959.

Office means the Office of Labor-Management Standards, Employment Standards Administration, United States Department of Labor.

Code of Federal Regulations

[62 FR 6092, Feb. 10, 1997]

Assistant Secretary means the Assistant Secretary of Labor for Employment Standards, head of the Employment Standards Administration.

Code of Federal Regulations

[62 FR 6092, Feb. 10, 1997]

CFR

4011.1—Purpose and scope.

Code of Federal Regulations

Code of Federal Regulations

Code of Federal Regulations