Source: https://www.casemine.com/act/us/591975e7add7b05bd4dd2eb6
Timestamp: 2019-08-23 10:12:01
Document Index: 434361410

Matched Legal Cases: ['§ 1132', '§ 1132', 'art 4', 'arts 2', '§\u202f502', '§\u202f306', '§\u202f10002', '§\u202f9342', '§\u202f2101', '§\u202f7881', '§\u202f12012', '§\u202f4301', '§\u202f2', '§\u202f761', '§\u202f101', '§\u202f603', '§\u202f1503', '§\u202f306', '§\u202f102', '§\u202f103', '§\u202f202', '§\u202f502', '§\u202f902', '§\u202f101', '§\u202f101', '§\u202f311', '§\u202f102', '§\u202f111', '§\u202f491', '§\u202f7891', '§\u202f101', '§\u202f1', '§\u202f1', '§\u202f911', '§\u202f311', '§\u202f101', '§\u202f311', '§\u202f101', '§\u202f101', '§\u202f102', '§\u202f101', '§\u202f102', '§\u202f101', '§\u202f202', '§\u202f202', '§\u202f508', '§\u202f902', '§\u202f502', '§\u202f502', '§\u202f103', '§\u202f507', '§\u202f202', '§\u202f103', '§\u202f102', '§\u202f104', '§\u202f306', '§\u202f306', '§\u202f1503', '§\u202f1503', '§\u202f101', '§\u202f101', '§\u202f101', '§\u202f101', '§\u202f2', '§\u202f3', '§\u202f4301', '§\u202f4301', '§\u202f4301', '§\u202f12012', '§\u202f12012', '§\u202f7881', '§\u202f2101', '§\u202f7894', '§\u202f7881', '§\u202f7881', '§\u202f7891', '§\u202f2101', '§\u202f9342', '§\u202f9344', '§\u202f306', '§\u202f306', '§\u202f101', '§\u202f5', '§\u202f2101', '§\u202f9302', '§\u202f9342', '§\u202f101', '§\u202f4']

29 U.S.C. § 1132 : Labor — Regulatory Provisions — Employee Retirement Income Security Program — Protection Of Employee Benefit Rights — Administration And Enforcement — Civil Enforcement | CaseMine
29 U.S.C. § 1132 : Labor — Regulatory Provisions — Employee Retirement Income Security Program — Protection Of Employee Benefit Rights — Administration And Enforcement — Civil Enforcement
(9) in the event that the purchase of an insurance contract or insurance annuity in connection with termination of an individual’s status as a participant covered under a pension plan with respect to all or any portion of the participant’s pension benefit under such plan constitutes a violation of part 4 of this title  or the terms of the plan, by the Secretary, by any individual who was a participant or beneficiary at the time of the alleged violation, or by a fiduciary, to obtain appropriate relief, including the posting of security if necessary, to assure receipt by the participant or beneficiary of the amounts provided or to be provided by such insurance contract or annuity, plus reasonable prejudgment interest on such amounts;
In the case of a plan which is qualified under section 401(a), 403(a), or 405(a)  of title 26 (or with respect to which an application to so qualify has been filed and has not been finally determined) the Secretary may exercise his authority under subsection (a)(5) with respect to a violation of, or the enforcement of, parts 2 and 3 of this subtitle (relating to participation, vesting, and funding), only if—
(1) Any administrator (A) who fails to meet the requirements of paragraph (1) or (4) of section 1166 2 of this title, section 1021(e)(1) of this title, section 1021(f) of this title, or section 1025(a) of this title with respect to a participant or beneficiary, or (B) who fails or refuses to comply with a request for any information which such administrator is required by this subchapter to furnish to a participant or beneficiary (unless such failure or refusal results from matters reasonably beyond the control of the administrator) by mailing the material requested to the last known address of the requesting participant or beneficiary within 30 days after such request may in the court’s discretion be personally liable to such participant or beneficiary in the amount of up to $100 a day from the date of such failure or refusal, and the court may in its discretion order such other relief as it deems proper. For purposes of this paragraph, each violation described in subparagraph (A) with respect to any single participant, and each violation described in subparagraph (B) with respect to any single participant or beneficiary, shall be treated as a separate violation.
(2) The Secretary may assess a civil penalty against any plan administrator of up to $1,000 a day from the date of such plan administrator’s failure or refusal to file the annual report required to be filed with the Secretary under section 1021(b)(1) of this title. For purposes of this paragraph, an annual report that has been rejected under section 1024(a)(4) of this title for failure to provide material information shall not be treated as having been filed with the Secretary.
(3) Any employer maintaining a plan who fails to meet the notice requirement of section 1021(d) of this title with respect to any participant or beneficiary or who fails to meet the requirements of section 1021(e)(2) of this title with respect to any person or who fails to meet the requirements of section 1082(d)(12)(E) 2 of this title with respect to any person may in the court’s discretion be liable to such participant or beneficiary or to such person in the amount of up to $100 a day from the date of such failure, and the court may in its discretion order such other relief as it deems proper.
(A) The Secretary may assess a civil penalty against any employer of up to $100 a day from the date of the employer’s failure to meet the notice requirement of section 1181(f)(3)(B)(i)(I) of this title. For purposes of this subparagraph, each violation with respect to any single employee shall be treated as a separate violation.
(B) The Secretary may assess a civil penalty against any plan administrator of up to $100 a day from the date of the plan administrator’s failure to timely provide to any State the information required to be disclosed under section 1181(f)(3)(B)(ii) of this title. For purposes of this subparagraph, each violation with respect to any single participant or beneficiary shall be treated as a separate violation.
(A) General rule.— The Secretary may impose a penalty against any plan sponsor of a group health plan, or any health insurance issuer offering health insurance coverage in connection with the plan, for any failure by such sponsor or issuer to meet the requirements of subsection (a)(1)(F), (b)(3), (c), or (d) of section 1182 of this title or section 1181 or 1182(b)(1) of this title with respect to genetic information, in connection with the plan.
(i) In general.— The amount of the penalty imposed by subparagraph (A) shall be $100 for each day in the noncompliance period with respect to each participant or beneficiary to whom such failure relates.
(ii) Noncompliance period.—
For purposes of this paragraph, the term “noncompliance period” means, with respect to any failure, the period—
(C) Minimum penalties where failure discovered.—
(ii) Higher minimum penalty where violations are more than de minimis.— To the extent violations for which any person is liable under this paragraph for any year are more than de minimis, clause (i) shall be applied by substituting “$15,000” for “$2,500” with respect to such person.
(i) Penalty not to apply where failure not discovered exercising reasonable diligence.— No penalty shall be imposed by subparagraph (A) on any failure during any period for which it is established to the satisfaction of the Secretary that the person otherwise liable for such penalty did not know, and exercising reasonable diligence would not have known, that such failure existed.
(ii) Penalty not to apply to failures corrected within certain periods.—
(iii) Overall limitation for unintentional failures.—
(E) Waiver by secretary.— In the case of a failure which is due to reasonable cause and not to willful neglect, the Secretary may waive part or all of the penalty imposed by subparagraph (A) to the extent that the payment of such penalty would be excessive relative to the failure involved.
(F) Definitions.— Terms used in this paragraph which are defined in section 1191b of this title shall have the meanings provided such terms in such section.
(11) The Secretary and the Secretary of Health and Human Services shall maintain such ongoing consultation as may be necessary and appropriate to coordinate enforcement under this subsection with enforcement under section 1320b–14(c)(8) 2 of title 42.
(12) The Secretary may assess a civil penalty against any sponsor of a CSEC plan of up to $100 a day from the date of the plan sponsor’s failure to comply with the requirements of section 1085a(j)(3) of this title to establish or update a funding restoration plan.
(Pub. L. 93–406, title I, § 502, Sept. 2, 1974, 88 Stat. 891; Pub. L. 96–364, title III, § 306(b), Sept. 26, 1980, 94 Stat. 1295; Pub. L. 99–272, title X, § 10002(b), Apr. 7, 1986, 100 Stat. 231; Pub. L. 100–203, title IX, §§ 9342(c), 9344, Dec. 22, 1987, 101 Stat. 1330–372, 1330–373; Pub. L. 101–239, title II, § 2101(a), (b), title VII, §§ 7881(b)(5)(B), (j)(2), (3), 7891(a)(1), 7894(f)(1), Dec. 19, 1989, 103 Stat. 2123, 2438, 2442, 2445, 2450; Pub. L. 101–508, title XII, § 12012(d)(2), Nov. 5, 1990, 104 Stat. 1388–573; Pub. L. 103–66, title IV, § 4301(c)(1)–(3), Aug. 10, 1993, 107 Stat. 376; Pub. L. 103–401, §§ 2, 3, Oct. 22, 1994, 108 Stat. 4172; Pub. L. 103–465, title VII, § 761(a)(9)(B)(ii), Dec. 8, 1994, 108 Stat. 5033; Pub. L. 104–191, title I, § 101(b), (e)(2), Aug. 21, 1996, 110 Stat. 1951, 1952; Pub. L. 104–204, title VI, § 603(b)(3)(E), Sept. 26, 1996, 110 Stat. 2938; Pub. L. 105–34, title XV, § 1503(c)(2)(B), (d)(7), Aug. 5, 1997, 111 Stat. 1062; Pub. L. 107–204, title III, § 306(b)(3), July 30, 2002, 116 Stat. 783; Pub. L. 108–218, title I, §§ 102(d), 103(b), 104(a)(2), Apr. 10, 2004, 118 Stat. 602, 603, 606; Pub. L. 109–280, title I, § 103(b)(2), title II, § 202(b), (c), title V, §§ 502(a)(2), (b)(2), 507(b), 508(a)(2)(C), title IX, § 902(f)(2), Aug. 17, 2006, 120 Stat. 816, 884, 885, 940, 941, 949, 951, 1039; Pub. L. 110–233, title I, § 101(e), May 21, 2008, 122 Stat. 886; Pub. L. 110–458, title I, §§ 101(c)(1)(H), 102(b)(1)(H), (I), Dec. 23, 2008, 122 Stat. 5097, 5101; Pub. L. 111–3, title III, § 311(b)(1)(E), Feb. 4, 2009, 123 Stat. 70; Pub. L. 113–97, title I, § 102(b)(6), Apr. 7, 2014, 128 Stat. 1117; Pub. L. 113–235, div. O, title I, § 111(d), Dec. 16, 2014, 128 Stat. 2793.)
Section 405(a) of title 26, referred to in subsec. (b)(1), was repealed by Pub. L. 98–369, div. A, title IV, § 491(a), July 18, 1984, 98 Stat. 848.
Paragraphs (1) and (4) of section 1166 of this title, referred to in subsec. (c)(1), were redesignated as pars. (1) and (4) of section 1166(a) of this title by Pub. L. 101–239, title VII, § 7891(d)(1)(A)(ii)(I), Dec. 19, 1989, 103 Stat. 2445.
Section 1082 of this title, referred to in subsec. (c)(3), was repealed and a new section 1082 was enacted by Pub. L. 109–280, title I, § 101(a), (b), Aug. 17, 2006, 120 Stat. 784, and, as so enacted, section 1082 of this title no longer contains a subsec. (d)(12)(E).
Section 1320b–14 of title 42, referred to in subsec. (c)(11), was repealed by Pub. L. 104–226, § 1(a), Oct. 2, 1996, 110 Stat. 3033, and a new section 1320b–14 of title 42, which does not contain a subsec. (c)(8), was enacted by Pub. L. 106–554, § 1(a)(6) [title IX, § 911(a)(1)], Dec. 21, 2000, 114 Stat. 2763, 2763A–583.
2009—Subsec. (a)(6). Pub. L. 111–3, § 311(b)(1)(E)(i), which directed the substitution of “(8), or (9)” for “or (8)”, could not be executed because the words “or (8)” did not appear after the amendment by Pub. L. 110–233, § 101(e)(1). See 2008 Amendment note below.
Subsec. (c)(9), (10). Pub. L. 111–3, § 311(b)(1)(E)(ii), added par. (9) and redesignated former par. (9) as (10) relating to Secretarial enforcement authority relating to use of genetic information.
2008—Subsec. (a)(6). Pub. L. 110–233, § 101(e)(1), substituted “(7), (8), or (9)” for “(7), or (8)”.
Subsec. (b)(3). Pub. L. 110–233, § 101(e)(2), substituted “Except as provided in subsections (c)(9) and (a)(6) (with respect to collecting civil penalties under subsection (c)(9)), the Secretary” for “The Secretary”.
Subsec. (c)(2). Pub. L. 110–458, § 102(b)(1)(H), substituted “1021(b)(1)” for “1021(b)(4)”.
Subsec. (c)(4). Pub. L. 110–458, § 101(c)(1)(H), substituted “by any person of subsection (j), (k), or (l) of section 1021 of this title or section 1144(e)(3) of this title.” for “by any person of subsection (j), (k), or (l) of section 1021 of this title, section 1082(b)(7)(F)(vi) of this title, or section 1144(e)(3) of this title.”
Subsec. (c)(8)(A). Pub. L. 110–458, § 102(b)(1)(I), inserted “plan” after “multiemployer”.
Subsec. (c)(9), (10). Pub. L. 110–233, § 101(e)(3), added par. (9) and redesignated former par. (9) as (10).
2006—Subsec. (a)(6). Pub. L. 109–280, § 202(b)(1), substituted “(6), (7), or (8)” for “(6), or (7)”.
Subsec. (a)(8) to (10). Pub. L. 109–280, § 202(c), amended subsec. (a) by striking out “or” at end of par. (8), substituting “; or” for period at end of par. (9), and adding par. (10).
Subsec. (c)(1). Pub. L. 109–280, § 508(a)(2)(C), substituted “section 1021(f) of this title, or section 1025(a) of this title” for “or section 1021(f) of this title”.
Subsec. (c)(4). Pub. L. 109–280, § 902(f)(2), which directed amendment of par. (4) by substituting “, section 1082(b)(7)(F)(vi) of this title, or section 1144(e)(3) of this title” for “or section 1082(b)(7)(F)(vi) of this title”, was executed by making the substitution for “or 1082(b)(7)(F)(iv) of this title”, to reflect the probable intent of Congress.
Pub. L. 109–280, § 502(b)(2), which directed amendment of par. (4) by substituting “subsection (j), (k), or (l) of section 1021 of this title” for “section 1021(j) or (k) of this title”, was executed by making the substitution for “subsection (j) or (k) of section 1021 of this title”, to reflect the probable intent of Congress.
Pub. L. 109–280, § 502(a)(2), substituted “subsection (j) or (k) of section 1021 of this title” for “section 1021(j)”.
Pub. L. 109–280, § 103(b)(2), which directed amendment of par. (4) by substituting “section 1021(j) or 1082(b)(7)(F)(iv) of this title” for “section 1082(b)(7)(F)(iv) of this title”, was executed by making the substitution for “section 1082(b)(7)(F)(vi) of this title”, to reflect the probable intent of Congress.
Subsec. (c)(7). Pub. L. 109–280, § 507(b), substituted “subsection (i) or (m) of section 1021” for “section 1021(i)”.
Subsec. (c)(8), (9). Pub. L. 109–280, § 202(b)(2), (3), added par. (8) and redesignated former par. (8) as (9).
2004—Subsec. (c)(1). Pub. L. 108–218, § 103(b), substituted “, section 1021(e)(1) of this title, or section 1021(f) of this title” for “or section 1021(e)(1) of this title”.
Subsec. (c)(3). Pub. L. 108–218, § 102(d), inserted “or who fails to meet the requirements of section 1082(d)(12)(E) of this title with respect to any person” after “1021(e)(2) of this title with respect to any person”.
Subsec. (c)(4). Pub. L. 108–218, § 104(a)(2), amended par. (4) generally. Prior to amendment, par. (4) read as follows: “The Secretary may assess a civil penalty of not more than $1,000 for each violation by any person of section 1021(f)(1) of this title.”
2002—Subsec. (a)(6). Pub. L. 107–204, § 306(b)(3)(A), substituted “(5), (6), or (7)” for “(5), or (6)”.
Subsec. (c)(7), (8). Pub. L. 107–204, § 306(b)(3)(B), (C), added par. (7) and redesignated former par. (7) as (8).
1997—Subsec. (a)(6). Pub. L. 105–34, § 1503(d)(7), substituted “(5), or (6)” for “or (5)”.
Subsec. (c)(6), (7). Pub. L. 105–34, § 1503(c)(2)(B), added par. (6) and redesignated former par. (6) as (7).
1996—Subsec. (a)(6). Pub. L. 104–191, § 101(e)(2)(A)(i), substituted “under paragraph (2), (4), or (5) of subsection (c) or under subsection (i) or (l)” for “under subsection (c)(2) or (i) or (l) of this section”.
Pub. L. 104–191, § 101(b), added par. (3).
Subsec. (c)(1). Pub. L. 104–191, § 101(e)(2)(B), inserted at end “For purposes of this paragraph, each violation described in subparagraph (A) with respect to any single participant, and each violation described in subparagraph (B) with respect to any single participant or beneficiary, shall be treated as a separate violation.”
Subsec. (c)(4) to (6). Pub. L. 104–191, § 101(e)(2)(A)(ii), struck out “For purposes of this paragraph, each violation described in subparagraph (A) with respect to any single participant, and each violation described in subparagraph (B) with respect to any single participant or beneficiary, shall be treated as a separate violation. The Secretary and” after “section 1021(f)(1) of this title.”, redesignated “the Secretary of Health and Human Services shall maintain such ongoing consultation as may be necessary and appropriate to coordinate enforcement under this subsection with enforcement under section 1320b–14(c)(8) of title 42.” as par. (6) and inserted “The Secretary and” before “the Secretary of Health and Human Services”, and added par. (5).
1994—Subsec. (a)(9). Pub. L. 103–401, § 2, added par. (9).
Subsec. (l)(3)(B). Pub. L. 103–401, § 3, inserted “(or to provide the relief ordered pursuant to subsection (a)(9))” after “to restore all losses to the plan”.
1993—Subsec. (a)(7), (8). Pub. L. 103–66, § 4301(c)(1), added pars. (7) and (8).
Subsec. (c)(4). Pub. L. 103–66, § 4301(c)(2), added par. (4).
Subsec. (e)(1). Pub. L. 103–66, § 4301(c)(3), substituted in first sentence “fiduciary, or any person referred to in section 1021(f)(1) of this title” for “or fiduciary” and in second sentence “paragraphs (1)(B) and (7) of subsection (a)” for “subsection (a)(1)(B)”.
1990—Subsec. (c)(1). Pub. L. 101–508, § 12012(d)(2)(A), inserted “or section 1021(e)(1) of this title” after “section 1166 of this title”.
Subsec. (c)(3). Pub. L. 101–508, § 12012(d)(2)(B), inserted “or who fails to meet the requirements of section 1021(e)(2) of this title with respect to any person” after first reference to “beneficiary” and “or to such person” after second reference to “beneficiary”.
1989—Subsec. (a)(6). Pub. L. 101–239, § 7881(j)(2), substituted “subsection (c)(2) or (i)” for “subsection (i)”.
Pub. L. 101–239, § 2101(b), inserted “or (l)” after “subsection (i)”.
Subsec. (b)(1). Pub. L. 101–239, § 7894(f)(1), substituted “respect” for “respct” before “to a violation” in introductory provisions.
Subsec. (c)(2). Pub. L. 101–239, § 7881(j)(3), inserted “against any plan administrator” after “civil penalty” and substituted “such plan administrator’s” for “a plan administrator’s”.
Subsec. (c)(3). Pub. L. 101–239, § 7881(b)(5)(B), added par. (3).
Subsec. (g)(2). Pub. L. 101–239, § 7891(a)(1), substituted “Internal Revenue Code of 1986” for “Internal Revenue Code of 1954”, which for purposes of codification was translated as “title 26” thus requiring no change in text.
Subsec. (l). Pub. L. 101–239, § 2101(a), added subsec. (l).
1987—Subsec. (c). Pub. L. 100–203, § 9342(c), designated existing provision as par. (1), redesignated as cls. (A) and (B) former cls. (1) and (2), and added par. (2).
Subsec. (i). Pub. L. 100–203, § 9344, amended second sentence generally. Prior to amendment, second sentence read as follows: “The amount of such penalty may not exceed 5 percent of the amount involved (as defined in section 4975(f)(4) of title 26); except that if the transaction is not corrected (in such manner as the Secretary shall prescribe by regulation, which regulations shall be consistent with section 4975(f)(5) of title 26) within 90 days after notice from the Secretary (or such longer period as the Secretary may permit), such penalty may be in an amount not more than 100 percent of the amount involved.”
1986—Subsec. (c). Pub. L. 99–272 inserted “(1) who fails to meet the requirements of paragraph (1) or (4) of section 1166 of this title with respect to a participant or beneficiary, or (2)”.
1980—Subsec. (b). Pub. L. 96–364, § 306(b)(1), redesignated existing provisions as par. (1)(A) and (B) and added par. (2).
Subsec. (g). Pub. L. 96–364, § 306(b)(2), redesignated existing provisions as par. (1), inserted exception for actions under paragraph (2), and added par. (2).
Pub. L. 110–233, title I, § 101(f)(2), May 21, 2008, 122 Stat. 888, provided that:
“The amendments made by this section [amending this section and sections 1182 and 1191b of this title] shall apply with respect to group health plans for plan years beginning after the date that is 1 year after the date of enactment of this Act [May 21, 2008].”
Pub. L. 103–401, § 5, Oct. 22, 1994, 108 Stat. 4173, provided that:
“The amendments made by this Act [amending this section] shall apply to any legal proceeding pending, or brought, on or after May 31, 1993.”
Pub. L. 101–239, title II, § 2101(c), Dec. 19, 1989, 103 Stat. 2123, provided that:
“The amendments made by this section [amending this section] shall apply to any breach of fiduciary responsibility or other violation occurring on or after the date of the enactment of this Act [Dec. 19, 1989].”
Amendment by section 7881(b)(5)(B), (j)(2), (3) of Pub. L. 101–239 effective, except as otherwise provided, as if included in the provision of the Pension Protection Act, Pub. L. 100–203, §§ 9302–9346, to which such amendment relates, see section 7882 of Pub. L. 101–239, set out as a note under section 401 of Title 26, Internal Revenue Code.
Pub. L. 100–203, title IX, § 9342(d), Dec. 22, 1987, 101 Stat. 1330–372, provided that:
“(1) In general.— The amendments made by this section [amending this section and sections 1023, 1024, and 1113 of this title] shall apply with respect to reports required to be filed after December 31, 1987.
“(2) Regulations.— The Secretary of Labor shall issue the regulations required to carry out the amendments made by subsection (c) [amending this section] not later than January 1, 1989.”
Pub. L. 110–233, title I, § 101(f)(1), May 21, 2008, 122 Stat. 888, provided that:
“The Secretary of Labor shall issue final regulations not later than 12 months after the date of enactment of this Act [May 21, 2008] to carry out the amendments made by this section [amending this section and sections 1182 and 1191b of this title].”
Pub. L. 103–401, § 4, Oct. 22, 1994, 108 Stat. 4172, provided that:
“Nothing in this Act [amending this section and enacting provisions set out as notes under this section and section 1001 of this title] shall be construed to limit the legal standing of individuals to bring a civil action as participants or beneficiaries under section 502(a) of the Employee Retirement Income Security Act of 1974 ( 29 U.S.C. 1132(a)), and nothing in this Act shall affect the responsibilities, obligations, or duties imposed upon fiduciaries by title I of the Employee Retirement Income Security Act of 1974 [this subchapter].”