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Printed for the use of the Committee on Education and Labor

CARL D. PERKINS, Chairman

U.S. GOVERNMENT PRINTING OFFICE

30-779 O

WASHINGTON : 1978

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COMMITTEE ON EDUCATION AND LABOR

CARL D. PERKINS, Kentucky, Chairman
FRANK THOMPSON, JR., New Jersey ALBERT H. QUIE, Minnesota
JOHN H. DENT, Pennsylvania

JOHN M, ASHBROOK, Ohio
JOHN BRADEMAS, Indiana

JOHN N. ERLENBORN, Mlinois
AUGUSTUS F. HAWKINS, California

RONALD A. SARASIN, Connecticut
WILLIAM D. FORD, Michigan

JOHN BUCHANAN, Alabama
PHILLIP BURTON, California

JAMES M JEFFORDS, Vermont.
JOSEPH M. GAYDOS, Pennsylvania

LARRY PRESSLER, South Dakota
WILLIAM "BILL" CLAY, Missouri

WILLIAM F. GOODLING, Pennsylvania
MARIO BIAGGI, New York

BUD SHUSTER, Pennsylvania
IKE ANDREWS, North Carolina

SHIRLEY N. PETTIS, California
MICHAEL T. BLOUIN, Iowa

CARL D. PURSELL, Michigan
ROBERT J. CORNELL, Wisconsin

MICKEY EDWARDS, Oklahoma
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

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SUBCOMMITTEE ON LABOR STANDARDS

JOHN H. DENT, Pennsylvania, Chairman
PHILLIP BURTON, California

JOHN N. ERLENBORN, Mlinois
JOSEPH M. GAYDOS, Pennsylvania

JOHN M. ASHBROOK, Ohio
WILLIAM “BILL" CLAY, Missouri

RONALD A. SARASIN, Connecticut
MARIO BIAGGI, New York

MICKEY EDWARDS, Oklahoma
LEO C. ZEFERETTI, New York

ALBERT H. QUIE, Minnesota
MICHAEL O. MYERS, Pennsylvania

Ex Officio
AUSTIN J. MURPHY, Pennsylvania
BALTASAR CORRADA, Puerto Rico
PAUL SIMON, Illinois
GEORGE MILLER, California
CARL D. PERKINS, Kentucky

Ex Officio

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79-620570

CONTENTS

Hearings held in Washington, D.C.:

Page

May 17, 1978.

1

June 1, 1978

521

Text of Public Law 93-406

2

Joint explanatory statement of the committee of conference

210

& 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

649
Barnes, Willie R., Commissioner of Corporations, State of California

599
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

587
Halperin, Daniel I., Tax Legislative Counsel, Department of the Treasury,
accompanied by Dianne Bennett and Tom McSweeny

392
Lind, Matthew, Executive Director, Pension Benefit Guaranty Corporation,
accompanied by Emerson Beier and Henry Rose

488

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 346

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

Washington, D.C......

526

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

533

Pantos, George J., attorney, Vedder, Price, Kaufman, Kammholz & Day,

Washington, D.C.

522

Stone, Robert S., senior counsel, International Business Machines Corp.,

Armonk, N.Y.

523

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

450

Statements of (by organization):

ERISA Industry Committee (ERIC)

535

Internal Revenue Service

457

National Association of Insurance Commissioners

650

Pension Benefit Guaranty Corp

501

State of California...

606

State of Hawaii .....

590

U.S. Department of Labor

353

U.S. Department of Treasury

441

Prepared statements, supplemental materials, etc.:
Anderson, Herbert, Commissioner of Insurance, State of Iowa, and Chair-
man, NAIC Preemption Task Force, statement of

650

Barnes, Willie R., Commissioner of Corporations, State of California,

statement of

606

ERISA Industry Committee (ERIC), statement of

535

Gilkey, Bob, Deputy Director, Hawaii State Department of Labor, state-

ment of

590

Halperin, Daniel I., Tax Legislative Counsel, Department of Treasury,

statement of

.... 398, 441

Lind, Matthew, Executive Director, Pension Benefit Guaranty Corporation,

statement of

501

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Prepared statements, supplemental materials, etc. Continutu

Page

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

353

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

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.

1131

U.S. Department of Labor, materials submitted for the record

353

Winborne, S. A., Acting Assistant Commissioner, Internal Revenue Serv.

ice, Employee Plans and Exempt Organizations, statement of .

457

APPENDIX

American Academy of Actuaries, statement of

687

American Bankers Association, statement of

697

American Bar Association, statement of..

708

American Council of Life Insurance, statement of

740

American Institute of Certified Public Accountants, statement of.

754

American Society of Pension Actuaries, statement of...

781

Associated General Contractors of America, statement of

808

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

813

Church Alliance for Clarification of ERISA, statement of

833

Council on Employee Benefits, statement of

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, state-

ment of

1024

National Association of Pension Consultants and Administrators, Inc., state-

ment of

National Employee Benefits Institute, statement of

1097

National Food Processors Association, statement of

1105

Na nal enior Citizens Law Center, statement of .....

1108

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

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.

1131

Securities Industry Association, statement of.

1190

Senator Daniel K. Inouye, statement of

1265

Society of Professional Benefit Administrators

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: 1272

Spielman, Phyllis, Administrator, Pension Protection Division, Minnesota De

partment of Labor and Industry, letter to Chairman John H. Dent, dated

June 8, 1978

1277

Tolley International Corp

1280

Senate Joint Resolution 43 of the California General Assembly

1303

XUYUNL.

KARY OF CONS

ERARY OF CON

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