[Code of Federal Regulations]
[Title 29, Volume 9]
[Revised as of July 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 29CFR4000.14]

[Page 725-726]
 
                             TITLE 29--LABOR
 
            CHAPTER XL--PENSION BENEFIT GUARANTY CORPORATION
 
PART 4000_FILING, ISSUANCE, COMPUTATION OF TIME, AND RECORD RETENTION
--Table of Contents
 
                        Subpart B_Issuance Rules
 
Sec. 4000.14  What is the safe-harbor method for providing an issuance 
by electronic media?

    (a) In general. Except as otherwise provided by applicable law, rule 
or regulation, you satisfy the requirements of Sec. 4000.13 if you 
follow the methods described at paragraph (b) of this section when 
providing an issuance by electronic media to any person described in 
paragraph (c) or (d) of this section.
    (b) Issuance requirements. (1) You must take appropriate and 
necessary measures reasonably calculated to ensure that the system for 
furnishing documents--
    (i) Results in actual receipt of transmitted information (e.g., 
using return-receipt or notice of undelivered electronic mail features, 
conducting periodic reviews or surveys to confirm receipt of the 
transmitted information); and
    (ii) Protects confidential information relating to the intended 
recipient (e.g., incorporating into the system measures designed to 
preclude unauthorized receipt of or access to such information by anyone 
other than the intended recipient);
    (2) You prepare and furnish electronically delivered documents in a 
manner that is consistent with the style, format and content 
requirements applicable to the particular document;
    (3) You provide each intended recipient with a notice, in electronic 
or non-electronic form, at the time a document is furnished 
electronically, that apprises the intended recipient of--
    (i) The significance of the document when it is not otherwise 
reasonably evident as transmitted (e.g., ``The attached participant 
notice contains information on the funding level of your defined benefit 
pension plan and the benefits guaranteed by the Pension Benefit Guaranty 
Corporation.''); and
    (ii) The intended recipient's right to request and obtain a paper 
version of such document; and
    (4) You give the intended recipient, upon request, a paper version 
of the electronically furnished documents.
    (c) Employees with electronic access. This section applies to a 
participant who--
    (1) Has the ability to effectively access the document furnished in 
electronic form at any location where the participant is reasonably 
expected to perform duties as an employee; and
    (2) With respect to whom access to the employer's electronic 
information system is an integral part of those duties.
    (d) Any person. This section applies to any person who--
    (1) Except as provided in paragraph (d)(2) of this section, has 
affirmatively consented, in electronic or non-electronic form, to 
receiving documents through electronic media and has not withdrawn such 
consent;
    (2) In the case of documents to be furnished through the Internet or 
other electronic communication network, has affirmatively consented or 
confirmed consent electronically, in a manner that reasonably 
demonstrates the person's ability to access information in the 
electronic form that will be used to provide the information that is the 
subject of the consent, and has provided an address for the receipt of 
electronically furnished documents;
    (3) Prior to consenting, is provided, in electronic or non-
electronic form, a clear and conspicuous statement indicating:
    (i) The types of documents to which the consent would apply;
    (ii) That consent can be withdrawn at any time without charge;
    (iii) The procedures for withdrawing consent and for updating the 
participant's, beneficiary's or other person's address for receipt of 
electronically furnished documents or other information;
    (iv) The right to request and obtain a paper version of an 
electronically furnished document, including whether the paper version 
will be provided free of charge;
    (v) Any hardware and software requirements for accessing and 
retaining the documents; and
    (4) Following consent, if a change in hardware or software 
requirements needed to access or retain electronic documents creates a 
material risk that the person will be unable to access or

[[Page 726]]

retain electronically furnished documents,
    (i) Is provided with a statement of the revised hardware or software 
requirements for access to and retention of electronically furnished 
documents;
    (ii) Is given the right to withdraw consent without charge and 
without the imposition of any condition or consequence that was not 
disclosed at the time of the initial consent; and
    (iii) Again consents, in accordance with the requirements of 
paragraph (d)(1) or paragraph (d)(2) of this section, as applicable, to 
the receipt of documents through electronic media.