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DOL/EBSA RIN: 1210-AA68 Publication ID: Spring 2000 
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: Final Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 29 CFR 2560    29 CFR 2570   
Legal Authority: PL 105-34, sec 1503    29 USC 1135    29 USC 1132   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  08/05/1999  64 FR 42797   
NPRM Comment Period End  10/04/1999    
Final Action  08/00/2000    
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
Agency Contact:
Lisa M. Fields
Pension Law Specialist
Department of Labor
Employee Benefits Security Administration
Room N5625, 200 Constitution Avenue NW., FP Building,
Washington, DC 20210
Phone:202 693-8500