§ 1111. Persons prohibited from holding certain positions

Footnotes

1. 1 So in original. Probably should be “of”.
2. 2 So in original. Probably should be “section”.

Legislative history

Reconstructed from this section’s Code source credit and amendment notes, resolved against the local Statutes at Large. Editorial notes are evidence, not the law that made the change.

1. 1974

   Employee Retirement Income Security Act of 1974

   Pub. L. 93–406 title I § 411 · 88 Stat. 829

   Enacted · 29 U.S.C. § 1111

   Pub. L. 93–406, title I, § 411, Sept. 2, 1974, 88 Stat. 887

   Source evidence

   Code source credit
   Pub. L. 93–406, title I, § 411, Sept. 2, 1974, 88 Stat. 887

   Enacted provision · exact public law section
   Sec. 411. prohibition against certain persons holding certain positions (a) No person who has been convicted of, or has been 29 USC 1111. imprisoned as a result of his conviction of, robbery, bribery, extortion, embezzlement, fraud, grand larceny, burglary, arson, a felony violation of Federal or State law involving substances defined in section 102(6) of the Comprehensive Drug Abuse Prevention and Control Act of 1970, murder, rape, kidnaping, perjury, assault with intent to kill, 21 USC 802. any crime described in section 9(a)(1) of the Investment Company Act of 1940 (15 U.S.C. 80a–9(a)(1)), a violation of any provision of this Act, a violation of section 302 of the Labor-Management Relations Act, 1947 (29 U.S.C. 186), a violation of chapter 63 of title 18, United States Code, a violation of section 874, 1027, 1503, 1505, 1506, 1510, 1951, 18 USC 1341. or 1954 of title 18, United States Code, a violation of the Labor-Management Reporting and Disclosure Act of 1959 (29 U.S.C. 401), or conspiracy 29 USC 401 note. to commit any such crimes or attempt to commit any such crimes, or a crime in which any of the foregoing crimes is an element, shall serve or be permitted to serve— (1) as an administrator, fiduciary, officer, trustee, custodian, counsel, agent, or employee of any employee benefit plan, or (2) as a consultant to any employee benefit plan, during or for five years after such conviction or after the end of such imprisonment, whichever is the later, unless prior to the end of such five-year period, in the case of a person so convicted or imprisoned, (A) his citizenship rights, having been revoked as a result of such conviction, have been fully restored, or (B) the Board of Parole of the United States Department of Justice determines that such person’s service in any capacity referred to in paragraph (1) or (2) would not be contrary to the purposes of this title. Prior to making any such determination the Board shall hold an administrative hearing and shall give notice of such proceeding by certified mail to the State, county, and Federal prosecuting officials in the jurisdiction or jurisdictions in which such person was convicted. The Board’s determination in any such proceeding shall be final. No person shall knowingly permit any other person to serve in any capacity referred to in paragraph (1) or (2) in violation of this subsection. Notwithstanding the preceding provisions of this subsection, no corporation or partnership will be precluded from acting as an administrator, fiduciary, officer, trustee, custodian, counsel, agent, or employee, of any employee benefit plan or as a consultant to any employee benefit plan without a notice, hearing, and determination by such Board of Parole that such service would be inconsistent with the intention of this section. (b) Any person who intentionally violates this section shall be fined Penalty. not more than $10,000 or imprisoned for not more than one year, or both. (c) For the purposes of this section: Definitions. (1) A person shall be deemed to have been “convicted” and under the disability of “conviction” from the date of the judgment of the trial court or the date of the final sustaining of such judgment on appeal, whichever is the later event. (2) The term “consultant” means any person who, for compensation, advises or represents an employee benefit plan or who provides other assistance to such plan, concerning the establishment or operation of such plan. (3) A period of parole shall not be considered as part of a period of imprisonment.

2. 1984

   Sentencing Reform Act of 1984

   Pub. L. 98–473 § 229 · 98 Stat. 1837

   1. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 98–473, § 229, which directed substitution of “if the offense is a Federal offense, the sentencing judge or, if the offense is a State or local offense, on motion of the United States Department of Justice, the district court of the United States for the district in which the offense was committed, pursuant to sentencing guidelines and policy statements issued pursuant to section 994(a) of title 28,” for “the Board of Parole of the United States Justice Department” was (except for the last substitution) incapable of execution in view of the previous amendment by section 802 of Pub. L. 98–473 which became effective prior to the effective date of the amendment by section 229. See note below

   2. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 98–473, § 229, which directed substitution of “court’s” for “Board” was (except for the last substitution) incapable of execution in view of the previous amendment by section 802 of Pub. L. 98–473 which became effective prior to the effective date of the amendment by section 229. See note below

   3. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 98–473, § 229, which directed substitution of “a” for “an administrative” was (except for the last substitution) incapable of execution in view of the previous amendment by section 802 of Pub. L. 98–473 which became effective prior to the effective date of the amendment by section 229. See note below

   Source evidence

   Code amendment note
   Subsec. (a). Pub. L. 98–473, § 229, which directed substitution of “if the offense is a Federal offense, the sentencing judge or, if the offense is a State or local offense, on motion of the United States Department of Justice, the district court of the United States for the district in which the offense was committed, pursuant to sentencing guidelines and policy statements issued pursuant to section 994(a) of title 28,” for “the Board of Parole of the United States Justice Department”, “court” and “court’s” for “Board” and “Board’s”, respectively, and “a” for “an administrative”, was (except for the last substitution) incapable of execution in view of the previous amendment by section 802 of Pub. L. 98–473 which became effective prior to the effective date of the amendment by section 229. See note below.

   Enacted provision · exact public law section
   Sec. 229. Section 504(a) of the Labor Management Reporting and Disclosure Act of 1959 (29 U.S.C. 504(a)) and section 411(a) of the Post, p. 2131. Employee Retirement Income Security Act of 1974 (29 U.S.C. 1111(a)) are amended— (a) by deleting “the Board of Parole of the United States Department of Justice” and substituting “if the offense is a Federal offense, the sentencing judge or, if the offense is a State or local offense, on motion of the United States Department of Justice, the district court of the United States for the district in which the offense was committed, pursuant to sentencing guidelines and policy statements issued pursuant to 28 U.S.C. 994(a),”; Ante, p. 2019. (b) by deleting “Board” and “Board’s” and substituting “court” and “court’s”, respectively; and (c) by deleting “an administrative” and substituting “a”.

3. 1984

   Comprehensive Crime Control Act of 1984

   Pub. L. 98–473 § 802(a) · 98 Stat. 1837

   1. Changed · 29 U.S.C. § 1111(a)

      Pub. L. 98–473, § 802(a), in amending provisions after “the Labor-Management Reporting and Disclosure Act of 1959 (29 U.S.C. 401),” generally

   2. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 98–473, § 802(a), in inserted provisions relating to abuse or misuse of employment in a labor organization or employee benefit plan, in cl. (1) substituted “employee, or representative in any capacity” for “or employee”

   3. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 98–473, § 802(a), in inserted provisions relating to abuse or misuse of employment in a labor organization or employee benefit plan, in cl. (1) substituted “consultant or adviser to an” for “consultant to any”

   4. Added · 29 U.S.C. § 1111(a)

      Pub. L. 98–473, § 802(a), in added cl. (3)

   5. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 98–473, § 802(a), in substituted “the period of thirteen years” for “five years” “Board’s”, respectively

   6. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 98–473, § 802(a), in substituted “unless the sentencing court on the motion of the person convicted sets a lesser period of at least three years after such conviction or after the end of such imprisonment, whichever is later, or unless prior to the end of such period,” for “unless prior to the end of such five-year period,” “Board’s”, respectively

   7. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 98–473, § 802(a), in substituted “the United States Parole Commission” for “the Board of Parole of the United States Department of Justice” “Board’s”, respectively

   8. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 98–473, § 802(a), in substituted “paragraphs (1) through (3)” for “paragraph (1) or (2)” “Board’s”, respectively

   9. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 98–473, § 802(a), in substituted “Commission’s” for “Board” “Board’s”, respectively

   10. Inserted · 29 U.S.C. § 1111(a)

       Pub. L. 98–473, § 802(a), in inserted provision of notice to the Secretary of Labor

   11. Substituted · 29 U.S.C. § 1111(a)

       Pub. L. 98–473, § 802(a), in substituted “hire, retain, employ, or otherwise place any other person to serve in any capacity” for “permit any other person to serve in any capacity referred to in paragraph (1) or (2)”

   12. Substituted · 29 U.S.C. § 1111(a)

       Pub. L. 98–473, § 802(a), in substituted “Parole Commission” for “Board of Parole”

   Target inherited from the preceding amendment note.

   Source evidence

   Code amendment note
   Pub. L. 98–473, § 802(a), in amending provisions after “the Labor-Management Reporting and Disclosure Act of 1959 (29 U.S.C. 401),” generally, inserted provisions relating to abuse or misuse of employment in a labor organization or employee benefit plan, in cl. (1) substituted “employee, or representative in any capacity” for “or employee”, in cl. (2) substituted “consultant or adviser to an” for “consultant to any”, added cl. (3), substituted “the period of thirteen years” for “five years”, “unless the sentencing court on the motion of the person convicted sets a lesser period of at least three years after such conviction or after the end of such imprisonment, whichever is later, or unless prior to the end of such period,” for “unless prior to the end of such five-year period,”, in cl. (B) substituted “the United States Parole Commission” for “the Board of Parole of the United States Department of Justice” and “paragraphs (1) through (3)” for “paragraph (1) or (2)”, and in provisions following cl. (B) substituted “Commission” and “Commission’s” for “Board” and “Board’s”, respectively, inserted provision of notice to the Secretary of Labor, and substituted “hire, retain, employ, or otherwise place any other person to serve in any capacity” for “permit any other person to serve in any capacity referred to in paragraph (1) or (2)” and “Parole Commission” for “Board of Parole”.

   Enacted provision · exact public law section
   (a) So much of subsection (a) of section 411 of title I of the Employee Retirement Income Security Act of 1974 (29 U.S.C. 1111) as follows “the Labor-Management Reporting and Disclosure Act of 1959 (29 U.S.C. 401),” is amended to read as follows: “any felony involving abuse or misuse of such person’s position or employment in a labor organization or employee benefit plan to seek or obtain an illegal gain at the expense of the members of the labor organization or the beneficiaries of the employee benefit plan, or conspiracy to commit any such crimes or attempt to commit any such crimes, or a crime in which any of the foregoing crimes is an element, shall serve or be permitted to serve— “(1) as an administrator, fiduciary, officer, trustee, custodian, counsel, agent, employee, or representative in any capacity of any employee benefit plan, “(2) as a consultant or adviser to an employee benefit plan, including but not limited to any entity whose activities are in whole or substantial part devoted to providing goods or services to any employee benefit plan, or “(3) in any capacity that involves decision ma king authority or custody or control of the moneys, funds, assets, or property of any employee benefit plan, during or for the period of thirteen years after such conviction or after the end of such imprisonment, whichever is later, unless the sentencing court on the motion of the person convicted sets a lesser period of at least three years after such conviction or after the end of such imprisonment, whichever is later, or unless prior to the end of such period, in the case of a person so convicted or imprisoned (A) his citizenship rights, having been revoked as a result of such conviction, have been fully restored, or (B) the United States Parole Commission determines that such person’s service in any capacity referred to in paragraphs (1) through (3) would not be contrary to the purposes of this title. Prior to making any such determination the Commission shall hold an administrative hearing and shall give notice to such proceeding by certified mail to the Secretary of Labor and to State, county, and Federal prosecuting officials in the jurisdiction or jurisdictions in which such person was convicted. The Commission’s determination in any such proceeding shall be final. No person shall knowingly hire, retain, employ, or otherwise place any other person to serve in any capacity in violation of this subsection. Notwithstanding the preceding provisions of this subsection, no corporation or partnership will be precluded from acting as an administrator, fiduciary, officer, trustee, custodian, counsel, agent, or employee of any employee benefit plan or as a consultant to any employee benefit plan without a notice, hearing, and determination by such Parole Commission that such service would be inconsistent with the intention of this section.”.

4. 1984

   Comprehensive Crime Control Act of 1984

   Pub. L. 98–473 § 802(b) · 98 Stat. 1837

   Substituted · 29 U.S.C. § 1111(b)

   Pub. L. 98–473, § 802(b), substituted “five years” for “one year”

   Source evidence

   Code amendment note
   Subsec. (b). Pub. L. 98–473, § 802(b), substituted “five years” for “one year”.

   Enacted provision · exact public law section
   (b) Subsection (b) of such section is amended to read as follows: “(b) Any person who intentionally violates this section shall be fined not more than $1(1,000 or imprisoned for not more than five years, or both.”.

5. 1984

   Comprehensive Crime Control Act of 1984

   Pub. L. 98–473 § 802(c) · 98 Stat. 1837

   Substituted · 29 U.S.C. § 1111(c)(1)

   Pub. L. 98–473, § 802(c), substituted “, regardless of whether that judgment remains under appeal” for “or the date of the final sustaining of such judgment on appeal, whichever is the later event”

   Source evidence

   Code amendment note
   Subsec. (c)(1). Pub. L. 98–473, § 802(c), substituted “, regardless of whether that judgment remains under appeal” for “or the date of the final sustaining of such judgment on appeal, whichever is the later event”.

   Enacted provision · exact public law section
   (c) Subsection (c) of such section is amended to read as follows: “(c) For the purpose of this section— “(1) A person shall be deemed to have been ‘convicted’ and under the disability of ‘conviction’ from the date of the judgment of the trial court, regardless of whether that judgment remains under appeal. “(2) The term ‘consultant’ means any person who, for compensation, advises, or represents an employee benefit plan or who provides other assistance to such plan, concerning the establishment or operation of such plan. “(3) A period of parole shall not be considered as part of a period of imprisonment.”.

6. 1984

   Sentencing Reform Act of 1984

   Pub. L. 98–473 § 230 · 98 Stat. 1837

   Inserted · 29 U.S.C. § 1111(c)(3)

   Pub. L. 98–473, § 230, inserted “or supervised release” after “parole”

   Source evidence

   Code amendment note
   Subsec. (c)(3). Pub. L. 98–473, § 230, inserted “or supervised release” after “parole”.

   Enacted provision · exact public law section
   Sec. 230. Section 411(c)(3) of the Employee Retirement Income Security Act of 1974 (29 U.S.C. 1111(c)(3)) is amended by adding “or supervised release” after “parole”.

7. 1984

   Comprehensive Crime Control Act of 1984

   Pub. L. 98–473 § 802(d) · 98 Stat. 1837

   Added · 29 U.S.C. § 1111(d)

   Pub. L. 98–473, § 802(d), added subsec. (d)

   Source evidence

   Code amendment note
   Subsec. (d). Pub. L. 98–473, § 802(d), added subsec. (d).

   Enacted provision · exact public law section
   (d) Such section is amended by adding at the end thereof the following: “(d) Whenever any person— “(1) by operation of this section, has been barred from office or other position in an employee benefit plan as a result of a conviction, and “(2) has filed an appeal of that conviction, any salary which would be otherwise due such person by virtue of such office or position, shall be placed in escrow by the individual or organization responsible for payment of such salary. Payment of such salary into escrow shall continue for the duration of the appeal or for the period of time during which such salary would be otherwise due, whichever period is shorter. Upon the final reversal of such person’s conviction on appeal, the amounts in escrow shall be paid to such person. Upon the final sustaining of that person’s conviction on appeal, the amounts in escrow shall be returned to the individual or organization responsible for payments of those amounts. Upon final reversal of such person’s conviction, such person shall no longer be barred by this statute from assuming any position from which such person was previously barred.”.

8. 1987

   Sentencing Act of 1987

   Pub. L. 100–182 § 15(b) · 101 Stat. 1266

   1. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 100–182, in concluding provisions, substituted “if the offense is a Federal offense, the sentencing judge or, if the offense is a State or local offense, the United States district court for the district in which the offense was committed, pursuant to sentencing guidelines and policy statements under section 994(a) of title 28,” for “the United States Parole Commission”

   2. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 100–182, in concluding provisions, substituted “court shall” for “Commission shall”

   3. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 100–182, in concluding provisions, substituted “court’s” for “Commission’s”

   4. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 100–182, in concluding provisions, substituted “such court” for “such Parole Commission”

   5. Substituted · 29 U.S.C. § 1111(a)

      Pub. L. 100–182, in concluding provisions, substituted “a hearing” for “an administrative hearing”

   Source evidence

   Code amendment note
   Subsec. (a). Pub. L. 100–182, in concluding provisions, substituted “if the offense is a Federal offense, the sentencing judge or, if the offense is a State or local offense, the United States district court for the district in which the offense was committed, pursuant to sentencing guidelines and policy statements under section 994(a) of title 28,” for “the United States Parole Commission”, “court shall” for “Commission shall”, “court’s” for “Commission’s”, “such court” for “such Parole Commission”, and “a hearing” for “an administrative hearing”.

   Enacted provision · exact public law section
   (b) ERISA Amendment.— Section 411(a) of the Employee Retirement Income Security Act of 1974 (29 U.S.C. 1111(a)) is amended— (1) by striking out “the United States Parole Commission” and inserting in lieu thereof “if the offense is a Federal offense, the sentencing judge or, if the offense is a State or local offense, the United States district court for the district in which the offense was committed, pursuant to sentencing guidelines and policy statements under section 994(a) of title 28, United States Code,”; (2) by striking out “Commission shall” and inserting in lieu thereof “court shall”; (3) by striking out “Commission’s” and inserting in lieu thereof “court’s”; (4) by striking out “such Parole Commission” and inserting in lieu thereof “such court”; (5) by striking out “an administrative hearing” and inserting in lieu thereof “a hearing”.

   Effective date note
   Amendment by Pub. L. 100–182 applicable with respect to offenses committed after Dec. 7, 1987, see section 26 of Pub. L. 100–182, set out as a note under section 3006A of Title 18, Crimes and Criminal Procedure.

25 of 25 references resolved to an enrolled provision