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

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

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

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Stable record: federal_law:legal_authorities:usc2024-788838ca6faa9c03820a03ef
Source file: Laws/federal/codes/united-states-code-2024/title-5/section-8478a-investigative-authority--6ca4522951.md
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Source location: USCODE-2024-title5-partIII-subpartG-chap84-subchapVII-sec8478a.pdf

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Page 1200 TITLE 5—GOVERNMENT ORGANIZATION AND EMPLOYEES § 8478a the part of the bonded person directly or through connivance with others; (2) shall have as surety thereon a corporate surety company which is an acceptable surety on Federal bonds under authority granted by the Secretary of the Treasury pursuant to sec- tions 9304 through 9308 of title 31; and (3) shall be in a form or of a type approved by the Secretary of Labor, including indi- vidual bonds or schedule or blanket forms of bonds which cover a group or class. (d)(1) It shall be unlawful for any person to whom subsection (a) applies, to receive, handle, disburse, or otherwise exercise custody or con- trol of any of the funds or other property of the Thrift Savings Fund without being bonded as re- quired by this section. (2) It shall be unlawful for any fiduciary, or any other person having authority to direct the performance of functions described in paragraph (1), to permit any such function to be performed by any person to whom subsection (a) applies unless such person has met the requirements of such subsection. (e) Notwithstanding any other provision of law, any person who is required to be bonded as provided in subsection (a) shall be exempt from any other provision of law which would, but for this subsection, require such person to be bond- ed for the handling of the funds or other prop- erty of the Thrift Savings Fund. (f) The Secretary of Labor shall prescribe such regulations as may be necessary to carry out the provisions of this section, including exempting a person or class of persons from the requirements of this section. (Added Pub. L. 99–335, title I, § 101(a), June 6, 1986, 100 Stat. 586; amended Pub. L. 99–556, title I, §§ 108, 115, Oct. 27, 1986, 100 Stat. 3132, 3134; Pub. L. 102–378, § 2(72), Oct. 2, 1992, 106 Stat. 1355.) Editorial Notes AMENDMENTS 1992—Subsec. (a)(2)(B)(iii). Pub. L. 102–378 struck out ‘‘Corporation or the Federal Savings and Loan Insur- ance’’ before ‘‘Corporation’’. 1986—Subsec. (a)(1). Pub. L. 99–556, § 108, struck out ‘‘(other than a member of the Employee Thrift Advi- sory Council with respect to his duties as a member)’’ after ‘‘each fiduciary’’. Subsec. (c)(2). Pub. L. 99–556, § 115, substituted ‘‘sec- tions 9304 through 9308 of title 31’’ for ‘‘sections 6 through 13 of title 6’’. Statutory Notes and Related Subsidiaries INTERIM BONDING REGULATIONS Pub. L. 99–556, title I, § 113, Oct. 27, 1986, 100 Stat. 3133, provided that: ‘‘(a) IN GENERAL.—Subject to subsection (b), until such time as the Secretary of Labor promulgates final regulations under section 8478 of title 5, United States Code, the Secretary of Labor may, with respect to the Thrift Savings Fund, apply the temporary regulations under section 412 of the Employee Retirement Income Security Act of 1974 [29 U.S.C. 1112] that are set forth in section 2550.412–1, and subchapter I of chapter XXV, of title 29 of the Code of Federal Regulations, as in ef- fect on September 23, 1986. ‘‘(b) TERMINATION OF INTERIM AUTHORITY.—The au- thority to apply the temporary regulations referred to in subsection (a) with respect to the Thrift Savings Fund shall expire not later than December 31, 1989.’’ § 8478a. Investigative authority Any authority available to the Secretary of Labor under section 504 of the Employee Retire- ment 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 vio- lated, or is about to violate, any provision of section 8477 or 8478. (Added Pub. L. 99–556, title I, § 110(a), Oct. 27, 1986, 100 Stat. 3132.) Editorial Notes REFERENCES IN TEXT Section 504 of the Employee Retirement Income Se- curity Act of 1974, referred to in text, is classified to section 1134 of Title 29, Labor. § 8479. Exculpatory provisions; insurance (a) Any provision in an agreement or instru- ment which purports to relieve a fiduciary from responsibility or liability for any responsibility, obligation, or duty under this subchapter shall be void. (b)(1) The Executive Director may require em- ploying agencies to contribute an amount not to exceed 1 percent of the amount such agencies are required to contribute in accordance with section 8432(c) of this title to the Thrift Savings Fund. (2) The sums credited to the Thrift Savings Fund under paragraph (1) shall be available and may be used at the discretion of the Executive Director to purchase insurance to cover poten- tial liability of persons who serve in a fiduciary capacity with respect to the Thrift Savings Fund, without regard to whether a policy of in- surance permits recourse by the insurer against the fiduciary in the case of a breach of a fidu- ciary obligation. (Added Pub. L. 99–335, title I, § 101(a), June 6, 1986, 100 Stat. 588.) § 8480. Subpoena authority (a) In order to carry out the responsibilities specified in this subchapter and subchapter III of this chapter, the Executive Director may issue subpoenas commanding each person to whom the subpoena is directed to produce des- ignated books, documents, records, electroni- cally stored information, or tangible materials in the possession or control of that individual. (b) Notwithstanding any Federal, State, or local law, any person, including officers, agents, and employees, receiving a subpoena under this section, who complies in good faith with the subpoena and thus produces the materials sought, shall not be liable in any court of any State or the United States to any individual, do- mestic or foreign corporation or upon a partner- ship or other unincorporated association for such production. (c) When a person fails to obey a subpoena issued under this section, the district court of the United States for the district in which the investigation is conducted or in which the per- son failing to obey is found, shall on proper ap- plication issue an order directing that person to

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

29 U.S.C. § 1112 — Bonding

**(a) Requisite bonding of plan officials** Every fiduciary of an employee benefit plan and every person who handles funds or other property of such a plan (hereafter in this section referred to as “plan official”) shall be bonded as provided in this section; except that— (1) where such plan is one under which the only assets from which benefits are paid are the general assets of a union or of an employer, the administrator, officers, and employees of such plan shall be exempt from the bonding requirements of this section, (2) no bond shall be required of any entity which is registered as a broker or a dealer under section 78o(b) of title 15 if the broker or dealer is subject to the fidelity bond requirements of a self-regulatory organization (within the meaning of [section 78c(a)(26) of title 15](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section78c/a/26&num=0&edition=prelim)).11 So in original. The period probably should be “, and”. (3) no bond shall be required of a fiduciary (or of any director, officer, or employee of such fiduciary) if such fiduciary— (A) is a corporation organized and doing business under the laws of the United States or of any State; (B) is authorized under such laws to exercise trust powers or to conduct an insurance business; (C) is subject to supervision or examination by Federal or State authority; and (D) has at all times a combined capital and surplus in excess of such a minimum amount as may be established by regulations issued by the Secretary, which amount shall be at least $1,000,000. Paragraph (2) shall apply to a bank or other financial institution which is authorized to exercise trust powers and the deposits of which are not insured by the Federal Deposit Insurance Corporation, only if such b

Source: Supplied U.S. Code snapshot — release unconfirmed · 29 U.S.C. § 1112

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

29 U.S.C. § 1112 — Bonding

Page 531 TITLE 29—LABOR § 1112 2 So in original. Probably should be ‘‘section’’. 1 So in original. The period probably should be ‘‘, and’’. that person’s conviction on appeal, the amounts in escrow shall be returned to the individual or organization responsible for payments of those amounts. Upon final reversal of such person’s conviction, such person shall no longer be barred by this statute 2 from assuming any posi- tion from which such person was previously barred. (Pub. L. 93–406, title I, § 411, Sept. 2, 1974, 88 Stat. 887; Pub. L. 98–473, title II, §§ 229, 230, 802, Oct. 12, 1984, 98 Stat. 2031, 2131; Pub. L. 100–182, § 15(b), Dec. 7, 1987, 101 Stat. 1269.) Editorial Notes REFERENCES IN TEXT This chapter, referred to in subsec. (a), was in the original ‘‘this Act’’, meaning Pub. L. 93–406, known as the Employee Retirement Income Security Act of 1974. Titles I, III, and IV of such Act are classified prin- cipally to this chapter. For complete classification of this Act to the Code, see Short Title note set out under section 1001 of this title and Tables. The Labor-Management Reporting and Disclosure Act of 1959, referred to in subsec. (a), is Pub. L. 86–257, Sept. 14, 1959, 73 Stat. 519, which is classified prin- cipally to chapter 11 (§ 401 et seq.) of this title. For complete classification of this Act to the Code, see Short Title note set out under section 401 of this title, and Tables. AMENDMENTS 1987—Subsec. (a). Pub. L. 100–182, in concluding provi- sions, substituted ‘‘if the offense is a Federal offense, the sentencing judge or, if the offense is a State or local offense, the United States district court for the district in which the offense was committed, pursuant to sentencing guidelines and policy statements under section

Source: Supplied 2024 U.S. Code historical extraction · 29 U.S.C. § 1112

Stored review status: historical_2024_not_currentness_verified. The source passage cites 29 U.S.C. § 1112. This identifies an authority to review, not proof of applicability.

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.

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