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29 U.S.C. § 1134 — Investigative authority

Federal law — U.S. Code and appendices · legal_authorities

29 U.S.C. § 1134 — Investigative authority

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Stable record: federal_law:legal_authorities:record_usc_8d1d42a52eb2b0b01fc097fe
Source file: Laws/federal/codes/united-states-code/title-29/section-1134-investigative-authority--98c45700e5.md
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Source location: Title 29, Chapter 18, § 1134; chapter-018-employee-retirement-income-security-program.md

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**(a) Investigation and submission of reports, books, etc.** The Secretary shall have the power, in order to determine whether any person has violated or is about to violate any provision of this subchapter or any regulation or order thereunder— (1) to make an investigation, and in connection therewith to require the submission of reports, books, and records, and the filing of data in support of any information required to be filed with the Secretary under this subchapter, and (2) to enter such places, inspect such books and records and question such persons as he may deem necessary to enable him to determine the facts relative to such investigation, if he has reasonable cause to believe there may exist a violation of this subchapter or any rule or regulation issued thereunder or if the entry is pursuant to an agreement with the plan. The Secretary may make available to any person actually affected by any matter which is the subject of an investigation under this section, and to any department or agency of the United States, information concerning any matter which may be the subject of such investigation; except that any information obtained by the Secretary pursuant to [section 6103(g) of title 26](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title26-section6103/g&num=0&edition=prelim) shall be made available only in accordance with regulations prescribed by the Secretary of the Treasury. **(b) Frequency of submission of books and records** The Secretary may not under the authority of this section require any plan to submit to the Secretary any books or records of the plan more than once in any 12 month period, unless the Secretary has reasonable cause to believe there may exist a violation of this subchapter or any regulation or order thereunder. **(c) Other provisions applicable relating to attendance of witnesses and production of books, records, etc.** For the purposes of any investigation provided for in this subchapter, the provisions of sections 49 and 50 of title 15 (relating to the attendance of witnesses and the production of books, records, and documents) are hereby made applicable (without regard to any limitation in such sections respecting persons, partnerships, banks, or common carriers) to the jurisdiction, powers, and duties of the Secretary or any officers designated by him. To the extent he considers appropriate, the Secretary may delegate his investigative functions under this section with respect to insured banks acting as fiduciaries of employee benefit plans to the appropriate Federal banking agency (as defined in [section 1813(q) of title 12](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title12-section1813/q&num=0&edition=prelim)). **(d) Evidentiary privilege; confidentiality of communications** The Secretary may promulgate a regulation that provides an evidentiary privilege for, and provides for the confidentiality of communications between or among, any of the following entities or their agents, consultants, or employees: (1) A State insurance department. (2) A State attorney general. (3) The National Association of Insurance Commissioners. (4) The Department of Labor. (5) The Department of the Treasury. (6) The Department of Justice. (7) The Department of Health and Human Services. (8) Any other Federal or State authority that the Secretary determines is appropriate for the purposes of enforcing the provisions of this subchapter. **(e) Application of privilege** The privilege established under subsection (d) shall apply to communications related to any investigation, audit, examination, or inquiry conducted or coordinated by any of the agencies. A communication that is privileged under subsection (d) shall not waive any privilege otherwise available to the communicating agency or to any person who provided the information that is communicated.

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Federal law — U.S. Code and appendices · legal_authorities

29 U.S.C. § 1031 — Repeal and effective date

**(a)** (1) The Welfare and Pension Plans Disclosure Act [[29 U.S.C. 301](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section301&num=0&edition=prelim) et seq.] is repealed except that such Act shall continue to apply to any conduct and events which occurred before the effective date of this part. (2) (A) [Section 664 of title 18](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title18-section664&num=0&edition=prelim) is amended by striking out “any such plan subject to the provisions of the Welfare and Pension Plans Disclosure Act” and inserting in lieu thereof “any employee benefit plan subject to any provisions of title I of the Employee Retirement Income Security Act of 1974”. (B) (i) Section 1027 of such title 18 is amended by striking out “Welfare and Pension Plans Disclosure Act” and inserting in lieu thereof “title I of the Employee Retirement Income Security Act of 1974”, and by striking out “Act” each place it appears and inserting in lieu thereof “title”. (ii) The heading for such section is amended by striking out “welfare and pension plans disclosure act” and inserting in lieu thereof “employee retirement income security act of 1974”. (iii) The table of sections of chapter 47 of such title 18 is amended by striking out “Welfare and Pension Plans Disclosure Act” in the item relating to section 1027 and inserting in lieu thereof “Employee Retirement Income Security Act of 1974”. (C) Section 1954 of such title 18 is amended by striking out “any plan subject to the provisions of the Welfare and Pension Plans Disclosure Act as amended” and inserting in lieu thereof “any employee welfare benefit plan or employee pension benefit plan, respectively, subject to any provision of title I of the Employee Re

Source: Supplied U.S. Code snapshot — release unconfirmed · 29 U.S.C. § 1031

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Federal law — U.S. Code and appendices · legal_authorities

29 U.S.C. § 1002 — Definitions

For purposes of this subchapter: (1) The terms “employee welfare benefit plan” and “welfare plan” mean any plan, fund, or program which was heretofore or is hereafter established or maintained by an employer or by an employee organization, or by both, to the extent that such plan, fund, or program was established or is maintained for the purpose of providing for its participants or their beneficiaries, through the purchase of insurance or otherwise, (A) medical, surgical, or hospital care or benefits, or benefits in the event of sickness, accident, disability, death or unemployment, or vacation benefits, apprenticeship or other training programs, or day care centers, scholarship funds, or prepaid legal services, or (B) any benefit described in [section 186(c) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section186/c&num=0&edition=prelim) (other than pensions on retirement or death, and insurance to provide such pensions). (2) (A) Except as provided in subparagraph (B), the terms “employee pension benefit plan” and “pension plan” mean any plan, fund, or program which was heretofore or is hereafter established or maintained by an employer or by an employee organization, or by both, to the extent that by its express terms or as a result of surrounding circumstances such plan, fund, or program— (i) provides retirement income to employees, or (ii) results in a deferral of income by employees for periods extending to the termination of covered employment or beyond, regardless of the method of calculating the contributions made to the plan, the method of calculating the benefits under the plan or the method of distributing benefits from the plan. A distribution from a plan, fund, or program shall not be treated as made

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Federal law — U.S. Code and appendices · legal_authorities

29 U.S.C. § 1152 — Coordination of enforcement regarding violations of certain health care provider requirements; complaint process

**(a) Investigating violations** Upon receiving a notice from a State or the Secretary of Health and Human Services of violations of sections 300gg–131, 300gg–132, or 300gg–135 of title 42, the Secretary of Labor shall identify patterns of such violations with respect to participants or beneficiaries under a group health plan or group health insurance coverage offered by a health insurance issuer and conduct an investigation pursuant to [section 1134 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section1134&num=0&edition=prelim) where appropriate, as determined by the Secretary. The Secretary shall coordinate with States and the Secretary of Health and Human Services, in accordance with [section 1136 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title29-section1136&num=0&edition=prelim) and with section 104 of Health Insurance Portability and Accountability Act of 1996, where appropriate, as determined by the Secretary, to ensure that appropriate measures have been taken to correct such violations retrospectively and prospectively with respect to participants or beneficiaries under a group health plan or group health insurance coverage offered by a health insurance issuer. **(b) Complaint process** Not later than January 1, 2022, the Secretary shall ensure a process under which the Secretary— (1) may receive complaints from participants and beneficiaries of group health plans or group health insurance coverage offered by a health insurance issuer relating to alleged violations of the sections specified in subsection (a); and (2) transmits such complaints to States or the Secretary of Health and Human Services (as determined appropriate by the Secretary) for potential enforcement actions.

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Federal law — U.S. Code and appendices · legal_authorities

5 U.S.C. § 8478a — Investigative authority

Any authority available to the Secretary of Labor under section 504 of the Employee Retirement Income Security Act of 1974 is hereby made available to the Secretary of Labor, and any officer designated by the Secretary of Labor, to determine whether any person has violated, or is about to violate, any provision of section 8477 or 8478.

Source: Supplied U.S. Code snapshot — release unconfirmed · 5 U.S.C. § 8478a

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Federal law — U.S. Code and appendices · legal_authorities

29 U.S.C. § 1134 — Investigative authority

Page 541 TITLE 29—LABOR § 1134 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 amend- ment relates, see section 7882 of Pub. L. 101–239, set out as a note under section 401 of Title 26, Internal Revenue Code. Amendment by section 7891(a)(1) of Pub. L. 101–239 ef- fective, except as otherwise provided, as if included in the provision of the Tax Reform Act of 1986, Pub. L. 99–514, to which such amendment relates, see section 7891(f) of Pub. L. 101–239, set out as a note under section 1002 of this title. Amendment by section 7894(f)(1) of Pub. L. 101–239 ef- fective, 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. EFFECTIVE DATE OF 1987 AMENDMENT 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 sec- tion [amending this section and sections 1023, 1024, and 1113 of this title] shall apply with respect to reports re- quired to be filed after December 31, 1987. ‘‘(2) REGULATIONS.—The Secretary of Labor shall issue the regulations required to carry out the amend- ments made by subsection (c) [amending this section] not later than January 1, 1989.’’ EFFECTIVE DATE OF 1986 AMENDMENT Amendment by Pub. L. 99–272 applicable to plan years beginning on or after July 1, 1986, with special rule for collective bargaining agreements, see section 10002(d) of Pub. L. 99–272, set out as an Effective

Source: Supplied 2024 U.S. Code historical extraction · 29 U.S.C. § 1134

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