29 C.F.R. Subpart A—General Provisions
Title 29 - Labor
(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)(4). Subpart D establishes procedures governing administrative appeals from initial determinations relating to the matters set forth in paragraphs (b)(5) through (b)(10). (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 that a plan is not covered under section 4021 of ERISA; (6) Determinations under section 4022 (a) or (c) or section 4022A(a) 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; (7) Determinations under section 4022 (b) or (c), section 4022A (b) through (e), or section 4022B of ERISA of the amount of benefits payable to participants and beneficiaries under covered plans; (8) Determinations of the amount of money subject to recapture pursuant to section 4045 of ERISA; (9) Determinations of the amount of liability under section 4062(b)(1), section 4063, or section 4064 of ERISA; (10) Determinations— (i) That the amount of a participant's or beneficiary's benefit under section 4050(a)(3) of ERISA has been correctly computed based on the designated benefit paid to the PBGC under section 4050(b)(2) of ERISA, or (ii) That the designated benefit is correct, but only to the extent that the benefit to be paid does not exceed the participant's or beneficiary's guaranteed benefit. (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. The following terms are defined in §4001.2 of this chapter: Code, contributing sponsor, controlled group, ERISA, multiemployer plan, PBGC, person, plan administrator, and single-employer plan. In addition, for purposes of this part: Aggrieved person means any participant, beneficiary, plan administrator, contributing sponsor of a single-employer plan or member of such a contributing sponsor's controlled group, plan sponsor of a multiemployer plan, or employer that is adversely affected by an initial determination of the PBGC with respect to a pension plan in which such person has an interest. The term “beneficiary” includes an alternate payee (within the meaning of section 206(d)(3)(K) of ERISA) under a qualified domestic relations order (within the meaning of section 206(d)(3)(B) of ERISA). Appeals Board means a board consisting of three PBGC officials. The Executive Director shall appoint a senior PBGC official to serve as Chairperson and three or more other PBGC officials to serve as regular Appeals Board members. The Chairperson shall designate the three officials who will constitute the Appeals Board with respect to a case, provided that a person may not serve on the Appeals Board with respect to a case in which he or she made a decision regarding the merits of the determination being appealed. The Chairperson need not serve on the Appeals Board with respect to all cases. Appellant means any person filing an appeal under subpart D of this part. Director means the Director of any department of the PBGC and includes the Executive Director of the PBGC, Deputy Executive Directors, and the General Counsel. A person who lacks information or documents necessary to file a request for review pursuant to subpart C or D of this part, or necessary to a decision whether to seek review, or necessary to participate in an appeal pursuant to §4003.57 of this part or necessary to a decision whether to participate, may request the PBGC's assistance in obtaining information or documents in the possession of a party other than the PBGC. The request shall state or describe the missing information or documents, the reason why the person needs the information or documents, and the reason why the person needs the assistance of the PBGC in obtaining the information or documents. The request may also include a request for an extension of time to file pursuant to §4003.4 of this part. (a) General rule. When a document is required under this part to be filed within a prescribed period of time, an extension of time to file will be granted only upon good cause shown and only when the request for an extension is made before the expiration of the time prescribed. The request for an extension shall be in writing and state why additional time is needed and the amount of additional time requested. The filing of a request for an extension shall stop the running of the prescribed period of time. When a request for an extension is granted, the PBGC shall notify the person requesting the extension, in writing, of the amount of additional time granted. When a request for an extension is denied, the PBGC shall so notify the requestor in writing, and the prescribed period of time shall resume running from the date of denial. (b) Disaster relief. When the President of the United States declares that, under the Disaster Relief Act of 1974, as amended (42 U.S.C. 5121, 5122(2), 5141(b)), a major disaster exists, the Executive Director of the PBGC (or his or her designee) may, by issuing one or more notices of disaster relief, extend the due date for filing a request for reconsideration under §4003.32 or an appeal under §4003.52 by up to 180 days. (1) The due date extension or extensions shall be available only to an aggrieved person who is residing in, or whose principal place of business is within, a designated disaster area, or with respect to whom the office of the service provider, bank, insurance company, or other person maintaining the information necessary to file the request for reconsideration or appeal is within a designated disaster area; and (2) The request for reconsideration or appeal shall identify the filing as one for which the due date extension is available. The PBGC will process a request for review of an initial determination that was not filed within the prescribed period of time for requesting review (see §§4003.32 and 4003.52) if— (a) The person requesting review demonstrates in his or her request that he or she did not file a timely request for review because he or she neither knew nor, with due diligence, could have known of the initial determination; and (b) The request for review is filed within 30 days after the date the aggrieved person, exercising due diligence at all relevant times, first learned of the initial determination where the requested review is reconsideration, or within 45 days after the date the aggrieved person, exercising due diligence at all relevant times, first learned of the initial determination where the request for review is an appeal. A person may file any document or make any appearance that is required or permitted by this part on his or her own behalf or he or she may designate a representative. When the representative is not an attorney-at-law, a notarized power of attorney, signed by the person making the designation, which authorizes the representation and specifies the scope of representation shall be filed with the PBGC in accordance with §4003.9(b) of this part. Except as provided in §4003.22(b), a person aggrieved by an initial determination of the PBGC covered by this part, other than a determination subject to reconsideration that is issued by a Department Director, has not exhausted his or her administrative remedies until he or she has filed a request for reconsideration under subpart C of this part or an appeal under subpart D of this part, whichever is applicable, and a decision granting or denying the relief requested has been issued. If any person filing a document with the PBGC believes that some or all of the information contained in the document is exempt from the mandatory public disclosure requirements of the Freedom of Information Act, 5 U.S.C. 552, he or she shall specify the information with respect to which confidentiality is claimed and the grounds therefor. (a) Method of filing. The PBGC applies the rules in subpart A of part 4000 of this chapter to determine permissible methods of filing with the PBGC under this part. (b) Date of filing. The PBGC applies the rules in subpart C of part 4000 of this chapter to determine the date that a submission under this part was filed with the PBGC. [68 FR 61352, Oct. 28, 2003] The PBGC applies the rules in subpart D of part 4000 of this chapter to compute any time period under this part. [68 FR 61352, Oct. 28, 2003]
Title 29: Labor
PART 4003—RULES FOR ADMINISTRATIVE REVIEW OF AGENCY DECISIONS
Subpart A—General Provisions
§ 4003.1 Purpose and scope.
§ 4003.2 Definitions.
§ 4003.3 PBGC assistance in obtaining information.
§ 4003.4 Extension of time.
§ 4003.5 Non-timely request for review.
§ 4003.6 Representation.
§ 4003.7 Exhaustion of administrative remedies.
§ 4003.8 Request for confidential treatment.
§ 4003.9 Method and date of filing.
§ 4003.10 Computation of time.
