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OVERSIGHT ON ERISA, 1978

U.S. Congress. House.)

HEARINGS

BEFORE THE

SUBCOMMITTEE ON LABOR STANDARDS.)

OF THE

COMMITTEE ON EDUCATION AND LABOR.
HOUSE OF REPRESENTATIVES

NINETY-FIFTH CONGRESS

SECOND SESSION

ON

PUBLIC LAW 93-406

THE EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974

HEARINGS HELD IN WASHINGTON, D.C.,
MAY 17 AND JUNE 1, 1978

Printed for the use of the Committee on Education and Labor
CARL D. PERKINS, Chairman

30-779 O

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1978

KF27
E348

19784

COMMITTEE ON EDUCATION AND LABOR

CARL D. PERKINS, Kentucky, Chairman

FRANK THOMPSON, JR., New Jersey
JOHN H. DENT, Pennsylvania
JOHN BRADEMAS, Indiana
AUGUSTUS F. HAWKINS, California
WILLIAM D. FORD, Michigan
PHILLIP BURTON, California
JOSEPH M. GAYDOS, Pennsylvania
WILLIAM "BILL" CLAY, Missouri
MARIO BIAGGI, New York
IKE ANDREWS, North Carolina
MICHAEL T. BLOUIN, Iowa
ROBERT J. CORNELL, Wisconsin
PAUL SIMON, Illinois

EDWARD P. BEARD, Rhode Island
LEO C. ZEFERETTI, New York
GEORGE MILLER, California
RONALD M. MOTTL, Ohio

MICHAEL O. MYERS, Pennsylvania
AUSTIN J. MURPHY, Pennsylvania
JOSEPH A. LE FANTE, New Jersey
TED WEISS, New York

CECIL HEFTEL, Hawaii

BALTASAR CORRADA, Puerto Rico DALE E. KILDEE, Michigan

ALBERT H. QUIE, Minnesota
JOHN M, ASHBROOK, Ohio
JOHN N. ERLENBORN, Illinois
RONALD A. SARASIN, Connecticut
JOHN BUCHANAN, Alabama
JAMES M. JEFFORDS, Vermont.
LARRY PRESSLER, South Dakota
WILLIAM F. GOODLING, Pennsylvania
BUD SHUSTER, Pennsylvania
SHIRLEY N. PETTIS, California
CARL D. PURSELL, Michigan

MICKEY EDWARDS, Oklahoma

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BESS 25 Jan 19

CONTENTS

Joint explanatory statement of the committee of conference

Statements of (by witness name):

Anderson, Herbert, Commissioner of Insurance, State of Iowa, and chair-
man, NAIC Preemption Task Force, accompanied by David J. Brum-
mond, counsel, National Association of Insurance Commissioners.
Barnes, Willie R., Commissioner of Corporations, State of California
Gilkey, Bob, Deputy Director, Hawaii State Department of Labor, accompa-
nied by Mario Ramil, Deputy Attorney General, State of Hawaii, Tomio
Anzai, program specialist, Disability Compensation Division, Hawaii
Department of Labor, and Stefan A. Riesenfeld, professor of law, Univer-
sity of California at Berkeley

Halperin, Daniel I., Tax Legislative Counsel, Department of the Treasury,
accompanied by Dianne Bennett and Tom McSweeny

Lind, Matthew, Executive Director, Pension Benefit Guaranty Corporation,
accompanied by Emerson Beier and Henry Rose

Marshall, Ray, Secretary of Labor, accompanied by Francis X. Burkhardt,

Assistant Secretary, Labor-Management Services Administration, Ian D.

Lanoff, Administrator, Office of Pension and Welfare Benefit Plans; and

Monica Gallagher, Associate Solicitor of Labor for Plan Benefit Security ....

Nash, Peter G., attorney, Vedder, Price, Kaufman, Kammholz & Day,

Washington, D.C...

521

2

210

649

599

346

526

Winborne, S. A., Acting Assistant Commissioner, Internal Revenue Serv-
ice, Employee Plans and Exempt Organizations, accompanied by Fred
Ochs, Director, Employee Plans Division, and Ira Cohen, Director, Actu-
arial Division

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Anderson, Herbert, Commissioner of Insurance, State of Iowa, and Chair-
man, NAIC Preemption Task Force, statement of

650

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Prepared statements, supplemental materials, etc.—Continueủ

Marshall, Ray, Secretary of Labor, statement of..

Oppenheimer, Jerry L., Mayer, Brown & Platt:

Statement on behalf of ERIC before the Committee on Ways and

Means, March 13, 1978.

Letter to Hon. Sam M. Gibbons, dated March 17, 1978.
U.S. Department of Labor, materials submitted for the record
Winborne, S. A., Acting Assistant Commissioner, Internal Revenue Serv-
ice, Employee Plans and Exempt Organizations, statement of....

APPENDIX

American Academy of Actuaries, statement of
American Bankers Association, statement of....
American Bar Association, statement of....

American Council of Life Insurance, statement of

................

Page

353

1133

1131

353

457

687

697

708

740

American Institute of Certified Public Accountants, statement of..

American Society of Pension Actuaries, statement of...

Associated General Contractors of America, statement of

Association of Private Pension and Welfare Plans, Inc., statement of

Church Alliance for Clarification of ERISA, statement of.

Council on Employee Benefits, statement of

754

781

808

813

833

917

Hubbard-Bert, Inc., letter of G. Allan Balla to Chairman John H. Dent, dated
May 1, 1978

936

Institute of Electrical and Electronics Engineers, Inc., statement of

940

International Union, United Automobile, Aerospace & Agricultural Implement
Workers of America, U.A.W., statement of

988

Investment Company Institute, statement of..

996

Knox, John, Speaker Pro Tempore, California Legislature, Assembly, statement of

1024

National Association of Pension Consultants and Administrators, Inc., statement of

1072

National Employee Benefits Institute, statement of
National Food Processors Association, statement of.
National Senior Citizens Law Center, statement of.
Oppenheimer, Jerry L., Mayer, Brown & Platt:

1097

1105

1108

Statement on behalf of ERIC before the Committee on Ways and Means,
March 13, 1978.....

1133

Letter to Hon. Sam M. Gibbons, dated March 17, 1978.

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Spielman, Phyllis, Administrator, Pension Protection Division, Minnesota Department of Labor and Industry, letter to Chairman John H. Dent, dated June 8, 1978

1277

Tolley International Corp

Senate Joint Resolution 43 of the California General Assembly

1280

1303

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