For inflation adjustment of certain items in this section, see Internal Revenue Notices listed in a table under section 401 of this title.
The Employee Retirement Income Security Act of 1974, referred to in text, is Pub. L. 93–406,
The enactment of the Pension Protection Act of 2006, referred to in subsec. (e)(4)(B)(i)(II), means the enactment of Pub. L. 109–280, which was approved
The date of enactment of the Multiemployer Pension Reform Act of 2014, referred to in subsec. (e)(9)(D)(vii)(III), is the date of enactment of div. O of Pub. L. 113–235, which was approved
Section 230 of the Social Security Act, referred to in subsec. (e)(9)(H)(v)(III)(bb), is classified to section 430 of Title 42, The Public Health and Welfare.
The date of enactment of this subsection, referred to in subsec. (k)(3)(A)(ii), (iv), is the date of enactment of Pub. L. 117–2, which was approved
2021—Subsec. (a)(4). Pub. L. 117–2, § 9704(d)(1), added par. (4).
Subsec. (b)(7). Pub. L. 117–2, § 9704(d)(2), added par. (7).
Subsec. (k). Pub. L. 117–2, § 9704(d)(3), added subsec. (k).
2018—Subsec. (b)(3)(A)(i). Pub. L. 115–141, § 401(a)(102), substituted “in endangered status for such plan year, or would be in endangered status for such plan year but for paragraph (5), whether or not” for “in endangered status for such plan year, whether or not”.
Subsec. (b)(3)(B)(iv), (v). Pub. L. 115–141, § 401(a)(103), redesignated cl. (iv), relating to projections of critical and declining status, as (v).
Subsec. (b)(3)(D)(iv). Pub. L. 115–141, § 401(a)(104), inserted comma after “Labor”.
Subsec. (e)(8)(C)(iii). Pub. L. 115–141, § 401(a)(105), substituted “The Secretary shall” for “the Secretary shall” in concluding provisions.
Subsec. (f)(3). Pub. L. 115–141, § 401(a)(106), amended introductory provisions generally. Prior to amendment, text read as follows: “During the rehabilitation plan adoption period—”.
Subsec. (g)(1). Pub. L. 115–141, § 401(a)(107), substituted “subsection (e)(9)” for “subsection (e)(9))”.
2014—Subsec. (a)(3). Pub. L. 113–235, § 201(b)(1), added par. (3).
Subsec. (b)(1). Pub. L. 113–235, § 104(b)(1)(A), substituted “the plan is not in critical status for the plan year and is not described in paragraph (5),” for “the plan is not in critical status for the plan year”.
Subsec. (b)(3)(A)(i). Pub. L. 113–235, § 201(b)(3), substituted “, whether” for “and whether” and inserted “, and whether or not the plan is or will be in critical and declining status for such plan year” before “, and” at end.
Pub. L. 113–235, § 104(b)(3), which directed insertion of “, or would be in endangered status for such plan year but for paragraph (5),” after “endangered status for a plan year”, could not be executed because the phrase “endangered status for a plan year” did not appear in cl. (i).
Pub. L. 113–235, § 102(b)(2)(A), substituted “or for any of the succeeding 5 plan years, and” for “, and” at end.
Subsec. (b)(3)(B)(i). Pub. L. 113–235, § 102(b)(2)(B)(i), substituted “Except as provided in clause (iv), in making the determinations” for “In making the determinations”.
Subsec. (b)(3)(B)(iv). Pub. L. 113–235, § 201(b)(4), added cl. (iv) relating to projections of critical and declining status.
Pub. L. 113–235, § 102(b)(2)(B)(ii), added cl. (iv) relating to projections relating to critical status in succeeding plan years.
Subsec. (b)(3)(D)(i). Pub. L. 113–235, § 102(b)(3)(A)(ii), inserted at end “In any case in which a plan sponsor elects to be in critical status for a plan year under paragraph (4), the plan sponsor shall notify the Secretary of the Treasury of such election not later than 30 days after the date of such certification or such other time as the Secretary of the Treasury may prescribe by regulations or other guidance.”
Pub. L. 113–235, § 102(b)(3)(A)(i), inserted “or in which a plan sponsor elects to be in critical status for a plan year under paragraph (4)” after “endangered or critical status for a plan year”.
Subsec. (b)(3)(D)(iii). Pub. L. 113–235, § 104(b)(2)(B), added cl. (iii). Former cl. (iii) redesignated (iv).
Subsec. (b)(3)(D)(iv). Pub. L. 113–235, § 104(b)(2)(A), (C), redesignated cl. (iii) as (iv) and substituted “clauses (ii) and (iii)” for “clause (ii)”.
Pub. L. 113–235, § 102(b)(3)(B), added cl. (iv).
Subsec. (b)(3)(D)(v). Pub. L. 113–235, § 104(b)(2)(A), redesignated cl. (iv) as (v).
Subsec. (b)(4). Pub. L. 113–235, § 102(b)(1), added par. (4).
Subsec. (b)(5). Pub. L. 113–235, § 104(b)(1)(B), added par. (5).
Subsec. (b)(6). Pub. L. 113–235, § 201(b)(2), added par. (6).
Subsec. (c)(3)(A)(i)(I). Pub. L. 113–235, § 105(b)(1), substituted “of the first plan year for which the plan is certified to be in endangered status pursuant to paragraph (b)(3)” for “of such period”.
Subsec. (c)(3)(A)(ii). Pub. L. 113–235, § 105(b)(2), substituted “the last plan year” for “any plan year”.
Subsec. (c)(7). Pub. L. 113–235, § 107(b)(1), amended par. (7) generally. Prior to amendment, par. (7) related to imposition of default schedule where failure to adopt funding improvement plan.
Subsec. (d). Pub. L. 113–235, § 106(b), amended subsec. (d) generally. Prior to amendment, subsec. (d) related to rules for operation of plan during adoption and improvement periods.
Subsec. (e)(3)(C). Pub. L. 113–235, § 107(b)(2), amended subpar. (C) generally. Prior to amendment, subpar. (C) related to imposition of default schedule where failure to adopt rehabilitation plan.
Subsec. (e)(4)(B). Pub. L. 113–235, § 103(b), amended subpar. (B) generally. Prior to amendment, subpar. (B) related to emergence of a plan from critical status.
Subsec. (e)(9). Pub. L. 113–235, § 201(b)(5), added par. (9).
Pub. L. 113–235, § 109(b)(1), struck out par. (9) which related to adjustments disregarded in withdrawal liability determination.
Subsec. (f)(3). Pub. L. 113–235, § 109(b)(2)(A), redesignated par. (4) as (3) and struck out former par. (3). Prior to amendment, text of par. (3) read as follows “Any benefit reductions under this subsection shall be disregarded in determining a plan’s unfunded vested benefits for purposes of determining an employer’s withdrawal liability under section 4201 of the Employee Retirement Income Security Act of 1974.”
Subsec. (f)(4). Pub. L. 113–235, § 109(b)(2)(B), which directed amendment of par. (4) as redesignated by section 109(b)(2)(A) of Pub. L. 113–235 by substituting “During the period beginning on the date of the certification under subsection (b)(3)(A) for the initial critical year and ending on the date of the adoption of a rehabilitation plan—” for “During the rehabilitation plan adoption period—”, could not be executed because there was no par. (4) after the amendment by Pub. L. 113–295, § 109(b)(2)(A). See below.
Pub. L. 113–235, § 109(b)(2)(A), redesignated par. (4) as (3).
Subsec. (g). Pub. L. 113–235, § 109(b)(4), added subsec. (g). Former subsec. (g) redesignated (h).
Subsec. (g)(1). Pub. L. 113–235, § 201(b)(6), inserted “, or benefit reductions or suspensions while in critical and declining status under subsection (e)(9)), unless the withdrawal occurs more than ten years after the effective date of a benefit suspension by a plan in critical and declining status,” after “benefit reductions under subsection (e)(8) or (f)”.
Subsecs. (h) to (j). Pub. L. 113–235, § 109(b)(3), redesignated subsecs. (g) to (i) as (h) to (j), respectively.
2008—Subsec. (b)(3)(C). Pub. L. 110–458, § 102(b)(2)(A), substituted “section 101(b)(1)” for “section 101(b)(4)”.
Subsec. (b)(3)(D)(iii). Pub. L. 110–458, § 102(b)(2)(B), substituted “The Secretary, in consultation with the Secretary of Labor” for “The Secretary of Labor”.
Subsec. (c)(3)(A)(ii). Pub. L. 110–458, § 102(b)(2)(C)(i), substituted “section 431(d)” for “section 304(d)”.
Subsec. (c)(7)(A)(ii). Pub. L. 110–458, § 102(b)(2)(C)(ii)(I), substituted “to adopt a contribution schedule with terms consistent with the funding improvement plan and a schedule from the plan sponsor,” for “to agree on changes to contribution or benefit schedules necessary to meet the applicable benchmarks in accordance with the funding improvement plan,”.
Subsec. (c)(7)(B). Pub. L. 110–458, § 102(b)(2)(C)(ii)(II), added subpar. (B), and struck out former subpar. (B). Prior to amendment, text read as follows: “The date specified in this subparagraph is the earlier of the date—
“(i) on which the Secretary of Labor certifies that the parties are at an impasse, or
“(ii) which is 180 days after the date on which the collective bargaining agreement described in subparagraph (A) expires.”
Subsec. (e)(3)(C)(i)(II). Pub. L. 110–458, § 102(b)(2)(D)(i)(I), substituted “to adopt a contribution schedule with terms consistent with the rehabilitation plan and a schedule from the plan sponsor under paragraph (1)(B)(i),” for “contribution or benefit schedules with terms consistent with the rehabilitation plan and the schedule from the plan sponsor under paragraph (1)(B)(i),”.
Subsec. (e)(3)(C)(ii). Pub. L. 110–458, § 102(b)(2)(D)(i)(II), added cl. (ii) and struck out former cl. (ii). Prior to amendment, text read as follows: “The date specified in this clause is the earlier of the date—
“(I) on which the Secretary of Labor certifies that the parties are at an impasse, or
“(II) which is 180 days after the date on which the collective bargaining agreement described in clause (i) expires.”
Subsec. (e)(4)(A)(ii). Pub. L. 110–458, § 102(b)(2)(D)(ii)(I), struck out “the date of” after “in effect on”.
Subsec. (e)(4)(B). Pub. L. 110–458, § 102(b)(2)(D)(ii)(II), substituted “but taking” for “and taking”.
Subsec. (e)(6). Pub. L. 110–458, § 102(b)(2)(D)(iii), substituted “the last sentence of paragraph (1)” for “paragraph (1)(B)(i)” in introductory provisions and “establish” for “established” in concluding provisions.
Subsec. (e)(8)(A)(i). Pub. L. 110–458, § 102(b)(2)(D)(iv)(I), substituted “section 411(d)(6)” for “section 204(g)”.
Subsec. (e)(8)(C)(i)(II). Pub. L. 110–458, § 102(b)(2)(D)(iv)(II), inserted “of the Employee Retirement Income Security Act of 1974” after “section 4212(a)”.
Subsec. (e)(8)(C)(iii). Pub. L. 110–458, § 102(b)(2)(D)(iv)(IV), which directed substitution of “the Secretary” for “the Secretary of Labor” in last sentence, was executed by making the substitution for “The Secretary of Labor”, to reflect the probable intent of Congress.
Subsec. (e)(8)(C)(iii)(I). Pub. L. 110–458, § 102(b)(2)(D)(iv)(III), substituted “the Secretary, in consultation with the Secretary of Labor” for “the Secretary of Labor”.
Subsec. (e)(9)(B). Pub. L. 110–458, § 102(b)(2)(D)(v), substituted “the allocation of unfunded vested benefits to an employer” for “an employer’s withdrawal liability”.
Subsec. (f)(2)(A)(i). Pub. L. 110–458, § 102(b)(2)(E), substituted “section 411(a)(9)” for “411(b)(1)(A)” and inserted at end “to a participant or beneficiary whose annuity starting date (as defined in section 417(f)(2)) occurs after the date such notice is sent,”.
Subsec. (g). Pub. L. 110–458, § 102(b)(2)(F), inserted “under subsection (c)” after “for adoption of a funding improvement plan”.
Subsec. (i)(3). Pub. L. 110–458, § 102(b)(2)(G)(i), substituted “section 431(a)” for “section 412(a)”.
Subsec. (i)(9). Pub. L. 110–458, § 102(b)(2)(G)(ii), added par. (9) and struck out former par. (9). Prior to amendment, text read as follows: “In the case of a plan described under section 404(c), or a continuation of such a plan, the term ‘plan sponsor’ means the bargaining parties described under paragraph (1).”
Pub. L. 113–235, div. O, title I, § 102(c),
Pub. L. 113–235, div. O, title I, § 103(c),
Pub. L. 113–235, div. O, title I, § 104(c),
Pub. L. 113–235, div. O, title I, § 105(c),
Pub. L. 113–235, div. O, title I, § 106(c),
Pub. L. 113–235, div. O, title I, § 107(c),
Pub. L. 113–235, div. O, title I, § 109(c),
Pub. L. 113–235, div. O, title II, § 201(c),
Amendment by Pub. L. 110–458 effective as if included in the provisions of Pub. L. 109–280 to which the amendment relates, except as otherwise provided, see section 112 of Pub. L. 110–458, set out as a note under section 72 of this title.
Section applicable with respect to plan years beginning after 2007, with special rules for certain notices and certain restored benefits, see section 212(e) of Pub. L. 109–280, set out as an Effective Date of 2006 Amendment note under section 412 of this title.
Pub. L. 117–2, title IX, § 9701,
Pub. L. 117–2, title IX, § 9702,
Pub. L. 113–235, div. O, title II, § 201(b)(7),
Pub. L. 110–458, title II, § 204,
Pub. L. 110–458, title II, § 205,
For applicability of this section to a multiemployer plan that is a party to an agreement that was approved by the Pension Benefit Guaranty Corporation prior to