29 C.F.R. § 4221.3

Initiation of arbitration

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(a) Time limits—in general. Arbitration of a withdrawal liability dispute may be initiated within the time limits described in section 4221(a)(1) of ERISA.

(b) Waiver or extension of time limits. Arbitration shall be initiated in accordance with this section, notwithstanding any inconsistent provision of any agreement entered into by the parties before the date on which the employer received notice of the plan's assessment of withdrawal liability. The parties may, however, agree at any time to waive or extend the time limits for initiating arbitration.

(c) Establishment of timeliness of initiation. A party that unilaterally initiates arbitration is responsible for establishing that the notice of initiation of arbitration was timely received by the other party. If arbitration is initiated by agreement of the parties, the date on which the agreement to arbitrate was executed establishes whether the arbitration was timely initiated.

(d) Contents of agreement or notice. If the employer initiates arbitration, it shall include in the notice of initiation a statement that it disputes the plan sponsor's determination of its withdrawal liability and is initiating arbitration. A copy of the demand for withdrawal liability and any request for reconsideration, and the response thereto, shall be attached to the notice. If a party other than an employer initiates arbitration, it shall include in the notice a statement that it is initiating arbitration and a brief description of the questions on which arbitration is sought. If arbitration is initiated by agreement, the agreement shall include a brief description of the questions submitted to arbitration. In no case is compliance with formal rules of pleading required.

(e) Effect of deficient agreement or notice. If a party fails to object promptly in writing to deficiencies in an initiation agreement or a notice of initiation of arbitration, it waives its right to object.

Notes of Decisions

Cited in 11 cases (3 in the last 5 years), 2011–2025 · leading case: Div. 1181 Amalgamated Transit Union-N.Y. Emps. Pension Fund v. Logan Transp. Sys., Inc., 293 F. Supp. 3d 336 (E.D.N.Y 2018).

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Div. 1181 Amalgamated Transit Union-N.Y. Emps. Pension Fund v. Logan Transp. Sys., Inc., 293 F. Supp. 3d 336 (E.D.N.Y 2018). · cites it 3× “29 CFR § 4221.3 (d). Thus, in order to initiate arbitration under the PBGC regulations, the employer need only include in a notice to the plan sponsor that it disputes the plan sponsor's determination of withdrawal liability and is initiating arbitration, and attach a copy of…”

Pension Plan for Pension Trust Fund for Operating Engineers v. Weldway Constr., Inc., 920 F. Supp. 2d 1034 (N.D. Cal. 2013). · cites it 2× “(citing 29 C.F.R. § 4221.3 (b) (“[t]he parties may, however, agree at any time to waive or extend the time limits for initiating arbitration”)).”

Pavers & Road Builders Dist. Council Pension Fund ex rel. Montelle v. Nico Asphalt Paving, Inc., 248 F. Supp. 3d 374 (E.D.N.Y 2017). · cites it 2× “2 29 C.F.R. § 4221.3 (d). If arbitration is not commenced within the statutory time-frame, the plan’s determination of the employer’s withdrawal liability becomes final and must be paid in accordance with the schedule set forth in the initial notice.”

Pace Indus. Union-Mgmt. Pension Fund v. Troy Rubber Engraving Co., 805 F. Supp. 2d 451 (M.D. Tenn. 2011). · cites it 2× “29 C.F.R. §§ 4221.3 (d), 4221.4(a). At some time in 2002, Defendant and Local 1-107 came to an agreement that Defendant would be allowed to withdraw from the CBA in place at the time because the company was downsizing, moving to a smaller building, and laying off all of its…”

Cent. States, Se. & Sw. Areas Pension Fund v. Allega Concrete Corp., 19 F. Supp. 3d 792 (N.D. Ill. 2014). · cites it 2× “See 29 C.F.R. § 4221.3 (c). The PBGC rules impose some limited requirements as to the contents of the notice of arbitration — see 29 C.”

Am. Fed'n of Musicians v. Neshoma, 974 F.3d 117 (2d Cir. 2020). “In support of its position, Neshoma also points to 29 C.F.R. § 4221.3 , a 11 Labor Department regulation interpreting ERISA.”

Div. 1181 Amalgamated Transit Union - New York Employees Pension Fund v. Canal Escorts, Inc. (E.D.N.Y 2020). · cites it 6× “Specifically, plaintiffs assert that Canal’s attempt to initiate arbitration at the AAA was ineffective because (1) Canal failed to attach the Notice and Demand, Request for Review, and Response Letter to the purported arbitration initiation as required by 29 C.F.R. § 4221.3…”

Groden v. J. Tartaglia Trucking, Inc., 235 F. Supp. 3d 326 (D. Mass. 2017). “The defendants claim that they never signed the Fund’s Rules and Regulations so all that they were legally required to do under 29 C.F.R. § 4221.3 (d) was to send a notice of arbitration to the Fund.”

New Orleans Employers Int'l Longshoremen's Ass'n, AFL-CIO Pension Fund v. United Stevedoring of Am., Inc. (E.D. La. 2023). “29 C.F.R. § 4221.3 . Parties may agree to additional arbitration details, but the ERISA initiation requirements otherwise bind.”

Resilient Floor Covering Pension Fund v. TD Sports Grp., LLC (N.D. Cal. 2025). “payments, and then 23 receive a refund and interest if it prevails in its defenses; (2) it can bring an action for declaratory 24 judgment and request that the period to initiate arbitration be tolled; or (3) it can request that the 25 pension fund agree to voluntarily toll the…”

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