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Pension Resource

29 C.F.R. § 4003.1

Purpose and scope.
eCFR amendment effective 2020-02-24 · superseded Mar 25, 2020 · last amended by 82 FR 60818, Dec. 22, 2017
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Link to an amendment published at 85 FR 10283, Feb. 24, 2020.
Link to an amendment published at 85 FR 10284, Feb. 24, 2020.
(a) Purpose. This part sets forth the rules governing the issuance of all initial determinations by the PBGC on cases pending before it involving the matters set forth in paragraph (b) of this section and the procedures for requesting and obtaining administrative review by the PBGC of those determinations. Subpart A contains general provisions. Subpart B sets forth rules governing the issuance of all initial determinations of the PBGC on matters covered by this part. Subpart C establishes procedures governing the reconsideration by the PBGC of initial determinations relating to the matters set forth in paragraphs (b)(1) through (b)(5). Subpart D establishes procedures governing administrative appeals from initial determinations relating to the matters set forth in paragraphs (b)(6) through (b)(11).
(b) Scope. This part applies to the following determinations made by the PBGC in cases pending before it and to the review of those determinations:
(1) Determinations that a plan is covered under section 4021 of ERISA;
(2) Determinations with respect to premiums, interest and late payment penalties pursuant to section 4007 of ERISA;
(3) Determinations with respect to voluntary terminations under section 4041 of ERISA, including -
(i) A determination that a notice requirement or a certification requirement under section 4041 of ERISA has not been met,
(ii) A determination that the requirements for demonstrating distress under section 4041(c)(2)(B) of ERISA have not been met, and
(iii) A determination with respect to the sufficiency of plan assets for benefit liabilities or for guaranteed benefits;
(4) Determinations with respect to allocation of assets under section 4044 of ERISA, including distribution of excess assets under section 4044(d);
(5) Determinations with respect to penalties under section 4071 of ERISA;
(6) Determinations that a plan is not covered under section 4021 of ERISA;
(7) Determinations under section 4022 (a) or (c) of ERISA with respect to benefit entitlement of participants and beneficiaries under covered plans and determinations that a domestic relations order is or is not a qualified domestic relations order under section 206(d)(3) of ERISA and section 414(p) of the Code;
(8) Determinations under section 4022 (b) or (c) or section 4022B of ERISA of the amount of benefits payable to participants and beneficiaries under covered plans;
(9) Determinations of the amount of money subject to recapture pursuant to section 4045 of ERISA;
(10) Determinations of the amount of liability under section 4062(b)(1), section 4063, or section 4064 of ERISA;
(11) Determinations with respect to benefits payable by PBGC under section 4050 of ERISA and part 4050 of this chapter.
(c) Matters not covered by this part. Nothing in this part limits -
(1) The authority of the PBGC to review, either upon request or on its own initiative, a determination to which this part does not apply when, in its discretion, the PBGC determines that it would be appropriate to do so, or
(2) The procedure that the PBGC may utilize in reviewing any determination to which this part does not apply.
Source credit, amendments & notes

[61 FR 34012, July 1, 1996, as amended at 73 FR 38120, July 3, 2008; 77 FR 22489, Apr. 16, 2012; 82 FR 60818, Dec. 22, 2017]

29 C.F.R. § 4003.1 — Purpose and scope. · eCFR amendment effective 2020-02-24 · https://pensionresource.website/EAMain?content=EAMain.Law&id=cfr29-4003.1&asof=2020-02-24 · printed Oct 20, 2026
On this page
  • (a) Purpose.
  • (b) Scope.
  • (c) Matters not covered by this part.
Cited by (code & regs)
Guidance addressing this section
PBGC
Final Rules
Proposed Rules
Also cited in 3 other documents
PBGC
Proposed Rules
  • 91 FR 45739Proposed Jul 21, 2026 — Penalties for Failure To Provide Certain Notices or Other Material Information Comments due Sep 21, 2026 (c)(1)
Final Rules
  • 77 FR 22488 Apr 16, 2012 — Rules for Administrative Review of Agency Decisions; Section 4071 Penalty Assessments
  • 76 FR 34590 Jun 14, 2011 — Bankruptcy Filing Date Treated as Plan Termination Date for Certain Purposes; Guaranteed Benefits; Allocation of Plan Assets; Pension Protection Act of 2006

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Each row is a version of the text as published by the official source. Code dates are the edition/release point that first reflected the change; regulation dates are eCFR effective dates. The library checks the official sources automatically, so new versions appear here on their own; “run” opens the sync that recorded a version.

EffectiveThroughSourceAmended by
Jul 1, 1997Jun 30, 2009CFR 2008 annual edition (revised as of 2008-07-01) run 127View
Jul 1, 2009Jun 30, 2012CFR 2011 annual edition (revised as of 2011-07-01) run 12773 FR 38120, July 3, 2008View · Redline (sign in)
Jul 1, 2012Dec 21, 2017eCFR amendment effective 2017-01-01 run 2677 FR 22489, Apr. 16, 2012View · Redline (sign in)
Dec 22, 2017Jan 21, 2018eCFR amendment effective 2017-12-22 run 2677 FR 22489, Apr. 16, 2012View · Redline (sign in)
Jan 22, 2018Feb 23, 2020eCFR amendment effective 2018-01-22 run 2682 FR 60818, Dec. 22, 2017View · Redline (sign in)
Feb 24, 2020Mar 24, 2020eCFR amendment effective 2020-02-24 run 2682 FR 60818, Dec. 22, 2017View · Redline (sign in)
Mar 25, 2020currenteCFR editorial change effective 2020-03-25 run 285 FR 10283View · Redline (sign in)
Provision-level history (blame)