---
kind: "section"
citation: "29 C.F.R. § 4003.1"
title: "29"
number: "4003.1"
heading: "Purpose and scope."
url: "https://uscodex.org/cfr/29/4003.1"
---

# §4003.1. Purpose and scope.

- (a) **Purpose.** This part sets forth the rules governing the issuance of all initial determinations by PBGC on cases pending before it involving the matters set forth in paragraphs [(d)](#d) and [(e)](#e) of this section and the procedures for requesting and obtaining administrative review by PBGC of those determinations. [Subpart A](/cfr/29/subpartA.md) contains general provisions. [Subpart B](/cfr/29/subpartB.md) sets forth rules governing the issuance of all initial determinations of PBGC on matters covered by this part. [Subpart C](/cfr/29/subpartC.md) establishes procedures governing the reconsideration by PBGC of initial determinations relating to the matters set forth in [paragraph (d)](#d). [Subpart D](/cfr/29/subpartD.md) establishes procedures governing administrative appeals from initial determinations relating to the matters set forth in [paragraph (e)](#e).
- (b) **Scope.** This part applies to the initial determinations made by PBGC that are listed in paragraphs [(d)](#d) and [(e)](#e) of this section.
- (c) **Matters not covered by this part.** Nothing in this part limits—
  - (1) The authority of PBGC to review, either upon request or on its own initiative, a determination to which this part does not apply when, in its discretion, PBGC determines that it would be appropriate to do so, or
  - (2) The procedure that PBGC may utilize in reviewing any determination to which this part does not apply.
- (d) **Determinations subject to reconsideration.** Any person aggrieved by an initial determination of PBGC listed in this [paragraph (d)](#d) may request reconsideration, subject to the terms of this part.
  - (1) Determinations with respect to premiums, interest and late payment penalties pursuant to [section 4007](/cfr/29/4007.md) of ERISA;
  - (2) Determinations with respect to voluntary terminations under [section 4041](/cfr/29/4041.md) of ERISA, including any of the following:
    - (i) A determination that a notice requirement or a certification requirement under [section 4041](/cfr/29/4041.md) of ERISA has not been met;
    - (ii) A determination that the requirements for demonstrating distress under [section 4041(c)(2)(B)](/cfr/29/4041.md?p=c-2-B) of ERISA have not been met;
    - (iii) A determination with respect to the sufficiency of plan assets for benefit liabilities or for guaranteed benefits; and
    - (iv) A determination with respect to a plan terminating under [section 4041(b)](/cfr/29/4041.md?p=b) of ERISA or with respect to the distribution of residual assets under [section 4044(d)](/cfr/29/4044.md?p=d) of ERISA; and
  - (3) **Determinations with respect to penalties under section 4071 of ERISA.**
- (e) **Determinations subject to appeal.** Any person aggrieved by an initial determination of PBGC listed in this [paragraph (e)](#e) may file an appeal, subject to the terms of this part.
  - (1) Determinations that a plan is or is not covered under [section 4021](/cfr/29/4021.md) of ERISA;
  - (2) Determinations of a participant's or beneficiary's benefit entitlement and the amount of benefit payable under a covered plan under sections [4022](/cfr/29/4022.md), [4022B](/cfr/29/4022B.md), and [4044](/cfr/29/4044.md) of ERISA (other than a determination described in [paragraph (d)(2)(iv)](#d-2-iv) of this section);
  - (3) Determinations that a domestic relations order is or is not a qualified domestic relations order under [section 206(d)(3)](/cfr/29/206.md?p=d-3) of ERISA and section 414(p) of the Code;
  - (4) Determinations of the amount of money subject to recapture pursuant to [section 4045](/cfr/29/4045.md) of ERISA;
  - (5) Determinations of the amount of liability under sections [4062(b)(1)](/cfr/29/4062.md?p=b-1), [4063](/cfr/29/4063.md), or [4064](/cfr/29/4064.md) of ERISA; and
  - (6) Determinations with respect to benefits payable by PBGC under [section 4050](/cfr/29/4050.md) of ERISA and [part 4050](/cfr/29/part4050.md) of this chapter.

## Notes

### Amendments

[61 FR 34012, July 1, 1996, as amended at 73 FR 38120, July 3, 2008; 77 FR 22489, Apr. 16, 2012; 82 FR 60818, Dec. 22, 2017; 85 FR 10283, 10284, Feb. 24, 2020]

### Authority

Authority: 29 U.S.C. 1302(b)(3).

### Source

Source: 61 FR 34012, July 1, 1996, unless otherwise noted.

### Amendments

[61 FR 34012, July 1, 1996, as amended at 73 FR 38120, July 3, 2008; 77 FR 22489, Apr. 16, 2012; 82 FR 60818, Dec. 22, 2017; 85 FR 10283, 10284, Feb. 24, 2020]