29 U.S.C. 1132. Civil enforcement
(ERISA sec. 502)
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(a) Persons empowered to bring a civil action
A civil action may be brought -
- (1) by a participant or beneficiary -
- (A) for the relief provided for in subsection (c)
of this section, or
- (B) to recover benefits due to him under the terms of his plan,
to enforce his rights under the terms of the plan, or
to clarify his rights to future benefits under the terms of the
plan;
- (2) by the Secretary, or by a participant, beneficiary or
fiduciary for appropriate relief under
section 1109 of this title;
- (3) by a participant, beneficiary, or fiduciary
- (A) to enjoin any act or practice which violates any provision
of this subchapter or the terms of the plan, or
- (B) to obtain other appropriate equitable relief
- (i) to redress such violations or
- (ii) to enforce any provisions of this subchapter or the terms
of the plan;
- (4) by the Secretary, or by a participant, or beneficiary for
appropriate relief in the case of a violation of
1025(c) of this title;
- (5) except as otherwise provided in subsection (b) of this
section, by the Secretary
- (A) to enjoin any act or practice which
violates any provision of this subchapter, or
- (B) to obtain other appropriate equitable relief
- (i) to redress such violation or
- (ii) to enforce any provision of this subchapter; or
- (6) by the Secretary to collect any civil penalty under
subsection (c)(2) or (i) or (l) of this section.
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(b) Plans qualified under Internal Revenue Code; maintenance of
actions involving delinquent contributions
- (1) In the case of a plan which is qualified under section
401(a), 403(a), or 405(a) (FOOTNOTE 1) 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) of this section 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 -
- (A) requested by the Secretary of the Treasury, or
- (B) one or more participants, beneficiaries, or fiduciaries, of
such plan request in writing (in such manner as the Secretary
shall prescribe by regulation) that he exercise such authority on
their behalf. In the case of such a request under this paragraph
he may exercise such authority only if he determines that such
violation affects, or such enforcement is necessary to protect,
claims of participants or beneficiaries to benefits under the
plan.
- (2) The Secretary shall not initiate an action to enforce
section 1145 of this title.
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(c) Administrator's refusal to supply requested information;
penalty for failure to provide annual report in complete form
- (1) Any administrator
- (A) who fails to meet the requirements of paragraph (1) or (4)
of
section 1166(FOOTNOTE 1) of this title or
section 1021(e)(1) 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.
- (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)(4) 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 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.
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(d) Status of employee benefit plan as entity
- (1) An employee benefit plan may sue or be sued under this
subchapter as an entity. Service of summons, subpena, or other
legal process of a court upon a trustee or an administrator of an
employee benefit plan in his capacity as such shall constitute
service upon the employee benefit plan. In a case where a plan has
not designated in the summary plan description of the plan an
individual as agent for the service of legal process, service upon
the Secretary shall constitute such service. The Secretary, not
later than 15 days after receipt of service under the preceding
sentence, shall notify the administrator or any trustee of the plan
of receipt of such service.
- (2) Any money judgment under this subchapter against an employee
benefit plan shall be enforceable only against the plan as an
entity and shall not be enforceable against any other person unless
liability against such person is established in his individual
capacity under this subchapter.
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(e) Jurisdiction
- (1) Except for actions under subsection (a)(1)(B)
of this
section, the district courts of the United States shall have
exclusive jurisdiction of civil actions under this subchapter
brought by the Secretary or by a participant, beneficiary, or
fiduciary. State courts of competent jurisdiction and district
courts of the United States shall have concurrent jurisdiction of
actions under subsection (a)(1)(B)
of this section.
- (2) Where an action under this subchapter is brought in a
district court of the United States, it may be brought in the
district where the plan is administered, where the breach took
place, or where a defendant resides or may be found, and process
may be served in any other district where a defendant resides or
may be found.
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(f) Amount in controversy; citizenship of parties
- The district courts of the United States shall have jurisdiction,
without respect to the amount in controversy or the citizenship of
the parties, to grant the relief provided for in
subsection (a) of this section in any action.
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(g) Attorney's fees and costs; awards in actions involving
delinquent contributions
- (1) In any action under this subchapter (other than an action
described in paragraph (2)) by a participant, beneficiary, or
fiduciary, the court in its discretion may allow a reasonable
attorney's fee and costs of action to either party.
- (2) In any action under this subchapter by a fiduciary for or on
behalf of a plan to enforce section 1145 of this title in which a
judgment in favor of the plan is awarded, the court shall award the
plan -
- (A) the unpaid contributions,
- (B) interest on the unpaid contributions,
- (C) an amount equal to the greater of -
- (i) interest on the unpaid contributions, or
- (ii) liquidated damages provided for under the plan in an
amount not in excess of 20 percent (or such higher percentage
as may be permitted under Federal or State law) of the amount
determined by the court under subparagraph (A),
- (D) reasonable attorney's fees and costs of the action, to be
paid by the defendant, and
- (E) such other legal or equitable relief as the court deems
appropriate.
For purposes of this paragraph, interest on unpaid contributions
shall be determined by using the rate provided under the plan, or,
if none, the rate prescribed under section 6621 of title 26.
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(h) Service upon Secretary of Labor and Secretary of the Treasury
A copy of the complaint in any action under this subchapter by a
participant, beneficiary, or fiduciary (other than an action
brought by one or more participants or beneficiaries under
subsection (a)(1)(B) of this section which is solely for the
purpose of recovering benefits due such participants under the
terms of the plan) shall be served upon the Secretary and the
Secretary of the Treasury by certified mail. Either Secretary
shall have the right in his discretion to intervene in any action,
except that the Secretary of the Treasury may not intervene in any
action under part 4 of this subtitle. If the Secretary brings an
action under subsection (a) of this section on behalf of a
participant or beneficiary, he shall notify the Secretary of the
Treasury.
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(i) Administrative assessment of civil penalty
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In the case of a transaction prohibited by
section 1106 of this
title by a party in interest with respect to a plan to which this
part applies, the Secretary may assess a civil penalty against such
party in interest. The amount of such penalty may not exceed 5
percent of the amount involved in each such transaction (as defined
in
section 4975(f)(4) of title 26)for each year or part thereof
during which the prohibited transaction continues, except that, if
the transaction is not corrected (in such manner as the Secretary
shall prescribe in regulations which 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. This subsection shall not apply to a transaction
with respect to a plan described in section 4975(e)(1) of title 26.
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(j) Direction and control of litigation by Attorney General
In all civil actions under this subchapter, attorneys appointed
by the Secretary may represent the Secretary (except as provided in
section 518(a) of title 28), but all such litigation shall be
subject to the direction and control of the Attorney General.
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(k) Jurisdiction of actions against the Secretary of Labor
Suits by an administrator, fiduciary, participant, or beneficiary
of an employee benefit plan to review a final order of the
Secretary, to restrain the Secretary from taking any action
contrary to the provisions of this chapter, or to compel him to
take action required under this subchapter, may be brought in the
district court of the United States for the district where the plan
has its principal office, or in the United States District Court
for the District of Columbia.
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(l) Civil penalties on violations by fiduciaries
- (1) In the case of -
- (A) any breach of fiduciary responsibility under (or other
violation of) part 4 of this subtitle by a fiduciary, or
- (B) any knowing participation in such a breach or violation by
any other person,
the Secretary shall assess a civil penalty against such fiduciary
or other person in an amount equal to 20 percent of the applicable
recovery amount.
- (2) For purposes of paragraph (1), the term 'applicable recovery
amount' means any amount which is recovered from a fiduciary or
other person with respect to a breach or violation described in
paragraph (1) -
- (A) pursuant to any settlement agreement with the Secretary, or
- (B) ordered by a court to be paid by such fiduciary or other
person to a plan or its participants and beneficiaries in a
judicial proceeding instituted by the Secretary under subsection
(a)(2) or (a)(5) of this section.
- (3) The Secretary may, in the Secretary's sole discretion, waive
or reduce the penalty under paragraph (1) if the Secretary
determines in writing that -
- (A) the fiduciary or other person acted reasonably and in good
faith, or
- (B) it is reasonable to expect that the fiduciary or other
person will not be able to restore all losses to the plan without
severe financial hardship unless such waiver or reduction is
granted.
- (4) The penalty imposed on a fiduciary or other person under this
subsection with respect to any transaction shall be reduced by the
amount of any penalty or tax imposed on such fiduciary or other
person with respect to such transaction under
subsection (i) of
this section and
section 4975 of title 26.