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Title 29 — LaborRelease 119-73not60

§1028 Reliance on Administrative Interpretations

Title 29 › Chapter 18— EMPLOYEE RETIREMENT INCOME SECURITY PROGRAM › Subchapter I— PROTECTION OF EMPLOYEE BENEFIT RIGHTS › Subtitle Subtitle B— Regulatory Provisions › Part 1— reporting and disclosure › § 1028

Last updated Apr 5, 2026|Official source

Summary

If someone is charged under section 1131 for doing or not doing something covered by this part or section 1112, they cannot be punished for failing to follow the rule if they honestly relied on a written regulation or ruling from the Secretary and can prove it. The same protection applies if they failed to publish or file required reports but did so in good faith under a Secretary ruling about filing. If they prove this defense, the criminal case is blocked even if the Secretary’s rule is later changed, withdrawn, or found invalid, or if the filings are later ruled not to meet the requirements.

Full Legal Text

Title 29, §1028

Labor — Source: USLM XML via OLRC

In any criminal proceeding under section 1131 of this title, based on any act or omission in alleged violation of this part or section 1112 of this title, no person shall be subject to any liability or punishment for or on account of the failure of such person to (1) comply with this part or section 1112 of this title, if he pleads and proves that the act or omission complained of was in good faith, in conformity with, and in reliance on any regulation or written ruling of the Secretary, or (2) publish and file any information required by any provision of this part if he pleads and proves that he published and filed such information in good faith, and in conformity with any regulation or written ruling of the Secretary issued under this part regarding the filing of such reports. Such a defense, if established, shall be a bar to the action or proceeding, notwithstanding that (A) after such act or omission, such interpretation or opinion is modified or rescinded or is determined by judicial authority to be invalid or of no legal effect, or (B) after publishing or filing the annual reports and other reports required by this subchapter, such publication or filing is determined by judicial authority not to be in conformity with the requirements of this part.

Legislative History

Notes & Related Subsidiaries

Editorial Notes

Amendments

1997—Pub. L. 105–34, which directed the amendment of cl. (2)(B) by substituting “annual reports” for “plan descriptions, annual reports,”, was executed by making the substitution for “plan description, annual reports,” to reflect the probable intent of Congress. 1989—Pub. L. 101–239 substituted “act or omission” for “act of omission” before “complained of”.

Statutory Notes and Related Subsidiaries

Effective Date

of 1989 AmendmentAmendment by Pub. L. 101–239 effective, except as otherwise provided, as if originally included in the provision of the Employee Retirement Income Security Act of 1974, Pub. L. 93–406, to which such amendment relates, see section 7894(i) 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. § 1028

Title 29 — Labor

Last Updated

Apr 5, 2026

Release point: 119-73not60