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Title 29 — LaborRelease 119-73

§1134 Investigative authority

Title 29 › Chapter CHAPTER 18— - EMPLOYEE RETIREMENT INCOME SECURITY PROGRAM › Subchapter SUBCHAPTER I— - PROTECTION OF EMPLOYEE BENEFIT RIGHTS › Subtitle Subtitle B— - Regulatory Provisions › Part part 5— - administration and enforcement › § 1134

Last updated Apr 6, 2026|Official source

Summary

The Secretary can investigate to find out if anyone broke or is about to break the rules in this part of the law. The Secretary can require plans or people to give reports, books, records, and supporting data. The Secretary can enter places, look at books and records, and question people when there is reasonable cause to suspect a violation or when the plan agrees. The Secretary cannot make a plan turn over its records more than once in any 12-month period unless there is reasonable cause. The Secretary may use the powers in sections 49 and 50 of title 15 to require witnesses and documents. The Secretary may also delegate investigations of insured banks acting as plan fiduciaries to the proper Federal banking agency. The Secretary may make a rule that protects and keeps private certain communications between or among state insurance departments, state attorneys general, the National Association of Insurance Commissioners, the Departments of Labor, Treasury, Justice, Health and Human Services, and any other federal or state authority the Secretary finds appropriate. That protection applies to communications about investigations, audits, exams, or inquiries, and it does not cancel any other legal privilege held by an agency or a person who provided the information.

Full Legal Text

Title 29, §1134

Labor — Source: USLM XML via OLRC

(a)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.
(b)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.
(c)For the purposes of any investigation provided for in this subchapter, the provisions of section 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)The 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)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.

Legislative History

Notes & Related Subsidiaries

Editorial Notes

Amendments

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 Subsidiaries

Effective Date

of 1989 AmendmentAmendment 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.

Reference

Citations & Metadata

Citation

29 U.S.C. § 1134

Title 29 — Labor

Last Updated

Apr 6, 2026

Release point: 119-73