§ 1028 TITLE 29—LABOR Page 378

AMENDMENTS

1997—Pub. L. 105–34 struck out ‘‘description or’’ after

‘‘requirement to file any’’.

§ 1028. Reliance on administrative interpretations

In any criminal proceeding under section 1131

of this title, based on any act or omission in alleged violation of this part or section 1112 of this

title, no person shall be subject to any liability

or punishment for or on account of the failure of

such person to (1) comply with this part or section 1112 of this title, if he pleads and proves

that the act or omission complained of was in

good faith, in conformity with, and in reliance

on any regulation or written ruling of the Secretary, or (2) publish and file any information

required by any provision of this part if he

pleads and proves that he published and filed

such information in good faith, and in conformity with any regulation or written ruling of the

Secretary issued under this part regarding the

filing of such reports. Such a defense, if established, shall be a bar to the action or proceeding, notwithstanding that (A) after such act or

omission, such interpretation or opinion is

modified or rescinded or is determined by judicial authority to be invalid or of no legal effect,

or (B) after publishing or filing the annual reports and other reports required by this subchapter, such publication or filing is determined

by judicial authority not to be in conformity

with the requirements of this part.

(Pub. L. 93–406, title I, §108, Sept. 2, 1974, 88 Stat.

850; Pub. L. 101–239, title VII, §7894(b)(7), Dec. 19,

1989, 103 Stat. 2448; Pub. L. 105–34, title XV,

§1503(d)(6), Aug. 5, 1997, 111 Stat. 1062.)

AMENDMENTS

1997—Pub. L. 105–34, which directed the amendment of

cl. (2)(B) by substituting ‘‘annual reports’’ for ‘‘plan descriptions, annual reports,’’, was executed by making

the substitution for ‘‘plan description, annual reports,’’

to reflect the probable intent of Congress.

1989—Pub. L. 101–239 substituted ‘‘act or omission’’

for ‘‘act of omission’’ before ‘‘complained of’’.

EFFECTIVE DATE OF 1989 AMENDMENT

Amendment by Pub. L. 101–239 effective, except as

otherwise provided, as if originally included in the provision of the Employee Retirement Income Security

Act of 1974, Pub. L. 93–406, to which such amendment

relates, see section 7894(i) of Pub. L. 101–239, set out as

a note under section 1002 of this title.

REGULATIONS

Secretary authorized, effective Sept. 2, 1974, to promulgate regulations wherever provisions of this subchapter call for the promulgation of regulations, see

section 1031 of this title.

§ 1029. Forms

(a) Information required on forms

Except as provided in subsection (b) of this

section, the Secretary may require that any information required under this subchapter to be

submitted to him, including but not limited to

the information required to be filed by the administrator pursuant to section 1023(b)(3) and (c)

of this title, must be submitted on such forms as

he may prescribe.

(b) Information not required on forms

The financial statement and opinion required

to be prepared by an independent qualified public accountant pursuant to section 1023(a)(3)(A)

of this title, the actuarial statement required to

be prepared by an enrolled actuary pursuant to

section 1023(a)(4)(A) of this title and the summary plan description required by section

1022(a) of this title shall not be required to be

submitted on forms.

(c) Format and content of summary plan description, annual report, etc., required to be furnished to plan participants and beneficiaries

The Secretary may prescribe the format and

content of the summary plan description, the

summary of the annual report described in section 1024(b)(3) of this title and any other report,

statements or documents (other than the bargaining agreement, trust agreement, contract,

or other instrument under which the plan is established or operated), which are required to be

furnished or made available to plan participants

and beneficiaries receiving benefits under the

plan.

(Pub. L. 93–406, title I, §109, Sept. 2, 1974, 88 Stat.

850.)

REGULATIONS

Secretary authorized, effective Sept. 2, 1974, to promulgate regulations wherever provisions of this subchapter call for the promulgation of regulations, see

section 1031 of this title.

SECTION REFERRED TO IN OTHER SECTIONS

This section is referred to in section 1135 of this title.

§ 1030. Alternative methods of compliance

(a) The Secretary on his own motion or after

having received the petition of an administrator

may prescribe an alternative method for satisfying any requirement of this part with respect to

any pension plan, or class of pension plans, subject to such requirement if he determines—

(1) that the use of such alternative method is

consistent with the purposes of this subchapter and that it provides adequate disclosure to the participants and beneficiaries in

the plan, and adequate reporting to the Secretary,

(2) that the application of such requirement

of this part would—

(A) increase the costs to the plan, or

(B) impose unreasonable administrative

burdens with respect to the operation of the

plan, having regard to the particular characteristics of the plan or the type of plan involved; and

(3) that the application of this part would be

adverse to the interests of plan participants in

the aggregate.

(b) An alternative method may be prescribed

under subsection (a) of this section by regulation or otherwise. If an alternative method is

prescribed other than by regulation, the Secretary shall provide notice and an opportunity

for interested persons to present their views,

and shall publish in the Federal Register the

provisions of such alternative method.

(Pub. L. 93–406, title I, §110, Sept. 2, 1974, 88 Stat.

851.)