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DOL/EBSA

RIN: 1210-AA68

Publication ID: Spring 1999

Title: Civil Penalty for Failure to Furnish Certain Plan Documents
Abstract: This rulemaking will implement the enforcement aspects of amendments to title I of ERISA made by section 1503 of the Taxpayer Relief Act of 1997 (Public Law 105-34) which, while eliminating the requirement that plan administrators file summary plan descriptions (SPDs), summaries of material modifications (SMMs) and updated SPDs with the Department of Labor, also provided that administrators must furnish copies of any documents relating to the plan, including but not limited to SPDs, to the Department on request. In particular, this rulemaking will implement the amendments that authorize the Secretary of Labor to assess a civil penalty of up to $100 a day, up to a maximum of $1,000 per request, against a plan administrator who fails to furnish the requested documents on a timely basis.
Agency: Department of Labor(DOL)	Priority: Substantive, Nonsignificant
RIN Status: Previously published in the Unified Agenda	Agenda Stage of Rulemaking: Proposed Rule Stage
Major: Undetermined	Unfunded Mandates: Undetermined
CFR Citation: 29 CFR 2560    29 CFR 2570
Legal Authority: PL 105-34, section 1503    29 USC 1135    29 USC 1132

Timetable: Action Date FR Cite NPRM  05/00/1999

Regulatory Flexibility Analysis Required: Undetermined	Government Levels Affected: None
Included in the Regulatory Plan: No
Agency Contact: Susan M. Halliday Pension Law Specialist Department of Labor Employee Benefits Security Administration Room N5668, 200 Constitution Avenue NW, FP Building, Washington, DC 20210 Phone:202 219-7222