29 U.S.C. § 1134

Investigative authority

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(a) Investigation and submission of reports, books, etc.The Secretary shall have the power, in order to determine whether any person has violated or is about to violate any provision of this subchapter or any regulation or order thereunder—(1) to make an investigation, and in connection therewith to require the submission of reports, books, and records, and the filing of data in support of any information required to be filed with the Secretary under this subchapter, and(2) to enter such places, inspect such books and records and question such persons as he may deem necessary to enable him to determine the facts relative to such investigation, if he has reasonable cause to believe there may exist a violation of this subchapter or any rule or regulation issued thereunder or if the entry is pursuant to an agreement with the plan.The Secretary may make available to any person actually affected by any matter which is the subject of an investigation under this section, and to any department or agency of the United States, information concerning any matter which may be the subject of such investigation; except that any information obtained by the Secretary pursuant to section 6103(g) of title 26 shall be made available only in accordance with regulations prescribed by the Secretary of the Treasury.(b) Frequency of submission of books and records

The Secretary may not under the authority of this section require any plan to submit to the Secretary any books or records of the plan more than once in any 12 month period, unless the Secretary has reasonable cause to believe there may exist a violation of this subchapter or any regulation or order thereunder.

For the purposes of any investigation provided for in this subchapter, the provisions of sections 49 and 50 of title 15 (relating to the attendance of witnesses and the production of books, records, and documents) are hereby made applicable (without regard to any limitation in such sections respecting persons, partnerships, banks, or common carriers) to the jurisdiction, powers, and duties of the Secretary or any officers designated by him. To the extent he considers appropriate, the Secretary may delegate his investigative functions under this section with respect to insured banks acting as fiduciaries of employee benefit plans to the appropriate Federal banking agency (as defined in section 1813(q) of title 12).

(d) Evidentiary privilege; confidentiality of communicationsThe Secretary may promulgate a regulation that provides an evidentiary privilege for, and provides for the confidentiality of communications between or among, any of the following entities or their agents, consultants, or employees:(1) A State insurance department.(2) A State attorney general.(3) The National Association of Insurance Commissioners.(4) The Department of Labor.(5) The Department of the Treasury.(6) The Department of Justice.(7) The Department of Health and Human Services.(8) Any other Federal or State authority that the Secretary determines is appropriate for the purposes of enforcing the provisions of this subchapter.(e) Application of privilege

The privilege established under subsection (d) shall apply to communications related to any investigation, audit, examination, or inquiry conducted or coordinated by any of the agencies. A communication that is privileged under subsection (d) shall not waive any privilege otherwise available to the communicating agency or to any person who provided the information that is communicated.

(Pub. L. 93–406, title I, § 504, Sept. 2, 1974, 88 Stat. 893; Pub. L. 101–239, title VII, § 7891(a)(1), Dec. 19, 1989, 103 Stat. 2445; Pub. L. 111–148, title VI, § 6607, Mar. 23, 2010, 124 Stat. 781.)Editorial NotesAmendments

2010—Subsecs. (d), (e). Pub. L. 111–148 added subsecs. (d) and (e).

1989—Subsec. (a). Pub. L. 101–239 substituted “Internal Revenue Code of 1986” for “Internal Revenue Code of 1954”, which for purposes of codification was translated as “title 26” thus requiring no change in text.

Statutory Notes and Related SubsidiariesEffective Date of 1989 Amendment

Amendment by Pub. L. 101–239 effective, except as otherwise provided, as if included in the provision of the Tax Reform Act of 1986, Pub. L. 99–514, to which such amendment relates, see section 7891(f) of Pub. L. 101–239, set out as a note under section 1002 of this title.

Regulations

Secretary authorized, effective Sept. 2, 1974, to promulgate regulations wherever provisions of this subchapter call for the promulgation of regulations, see section 1031 of this title.

Notes of Decisions

Cited in 39 cases (5 in the last 5 years), 1976–2025 · leading case: Cent. States, Se. & Sw. Areas Pension Fund v. Cent. Transp., Inc., 472 U.S. 559 (1985).

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Cent. States, Se. & Sw. Areas Pension Fund v. Cent. Transp., Inc., 472 U.S. 559 (1985). · cites it 2× “, 29 U. S. C. § 1134 , neither the structure of the Act nor the legislative history shows any congressional intent that plans should rely primarily on centralized federal monitoring of employer contribution requirements.”

Solis v. Food Employers Labor Relations Ass'n, 644 F.3d 221 (4th Cir. 2011). · cites it 3× “r Relations Association and United Food and Commercial Workers Pension Fund (“Pension Fund”) and the Food Employers Labor Relations Association and United Food and Commercial Workers Health and Welfare Fund (“Health Fund”) (collectively the “Funds”), as part of an investigation…”

Raymond J. Donovan, Sec'y of the United States Dep't of Labor v. Nat'l Bank of Alaska, 696 F.2d 678 (9th Cir. 1983). · cites it 5× “There are no restrictions placed on the Secretary’s right to delegate investigative authority and, with regard to issuing subpoenas, ERISA § 504, 29 U.S.C. § 1134 (c) (1976), expressly makes available to the Secretary “or any officers designated by him” those provisions of the…”

Elizabeth Hanford DOLE, Sec'y of Labor, Petitioner-Appellee, v. John MILONAS, Respondent-Appellant, 889 F.2d 885 (9th Cir. 1989). · cites it 3× “29 U.S.C. § 1134 (a). Section 1134(c) of that title also makes §§ 9 and 10 of the Federal Trade Commission Act (“FTC Act”), 15 U.”

Lloyd Marks v. Newcourt Credit Grp., Inc., 342 F.3d 444 (6th Cir. 2003). “§ 1133 ; 504, 29 U.S.C. § 1134 ; 510, 29 U.S.C. § 1140 ; and 404, 29 U.”

Donovan v. Shaw, 668 F.2d 985 (8th Cir. 1982). · cites it 8× “1 In May, 1980 the Department of Labor (DOL), the other agency charged with ERI-SA’s administration and enforcement, issued the subpoena in question pursuant to its authority under ERISA § 504, 29 U.S.C. § 1134 . The subpoena ordered the trustee to produce “[f]or the period…”

Harold West, Trs. of the S. Labor Union Welfare Fund & Pension Fund v. James Butler, 621 F.2d 240 (6th Cir. 1980). “Instead, § 504, 29 U.S.C. § 1134 , charges the Secretary of Labor to investigate alleged ERISA violations, and § 506, 29 U.”

In Re Komet, 104 B.R. 799 (Bankr. W.D. Tex. 1989). “The Employee Benefit Committee of the State Bar of Texas correctly notes in its brief that ERISA Section 501 [ 29 USC § 1134 ] imposes criminal liability for any person who willfully violates Part 1 of ERISA (where ERISA Section 206(d)(1) is found); and ERISA Section 502 [ 29…”

Martin J. Walsh v. Alight Solutions, LLC, 44 F.4th 716 (7th Cir. 2022). · cites it 2× “The Department’s authority to issue subpoenas under ERISA is codiﬁed at 29 U.S.C. § 1134 (a)(1): The Secretary shall have the power, in order to determine whether any person has violated or is about to violate any provision of this sub- chapter or any regulation or order…”

Elec. Workers, Local No. 1 Credit Union v. IBEW-NECA Holiday Trust Fund, 583 S.W.2d 154 (Mo. 1979). “§ 1025 ) and placing investigatory power in the Secretary of Labor ( 29 U.S.C. § 1134 ). The case stands for the proposition that states may not continue to regulate and investigate pension plans when ERISA provides its own regulatory scheme.”

Elaine L. Chao, Sec'y of Labor, United States Dep't of Labor v. Cmty. Trust Co., 474 F.3d 75 (3rd Cir. 2007). “29 U.S.C. § 1134 . 5 . The District Court found that the GLBA explicitly exempted CTC because the disclosure was required "to comply with a properly authorized civil, criminal, or regulatory investigation or subpoena or summons by Federal, State, or local authorities.”

Azzaro v. Harnett, 414 F. Supp. 473 (S.D.N.Y. 1976). “29 U.S.C. § 1134 . Section 1144(b)(1) is obviously not intended to permit continuing state regulation and investigation based solely upon the fact that pension credits were accumulated prior to January 1,1975.”

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