Court Imposes Penalty against ERISA Fiduciary for Failure to Provide Plan Documents

A few months ago, we wrote about the case of McDonough v. Aetna, 783 F.3d 374 (1st Cir. 2015) wherein the First Circuit upheld a penalty award against Aetna for failing to provide plan documents to an ERISA participant. This week, in the case of Harris-Frye v. United of Omaha, (E.D. Tenn. 2015), the plaintiff sought a penalty under ERISA for the Plan Fiduciary’s failure to provide documents relating to an ERISA life insurance policy. The Court upheld a Magistrate Judge’s recommendation to impose a penalty of $12,760 for failure to provide the life insurance policy; importantly, the Court further an additional sanction of $61,380.oo for the Plan’s failure to provide the “plan document.”