Transcript
Page 1: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

1

Ori

gina

l Ann

ex B

ox #

81

Mos

tly in

clud

es fo

lder

s of c

ouns

el S

teve

Sac

her.

1978

. Bill

s, dr

aft b

ills,

som

e co

rres

pond

ence

, and

refe

renc

e m

ater

ial.

Mos

t file

s app

ear t

o co

ncer

n th

e ER

ISA

am

endm

ents

but

som

e ot

her L

abor

topi

cs a

s wel

l. A

lso,

som

e Pa

t Mar

key

“Hea

lth”

topi

c fo

lder

s her

e al

so (s

ee H

ealth

& E

duca

tion/

Dev

elop

men

t mat

eria

l).

Ref

# 10

. Kep

t cop

ies o

f mat

eria

l fro

m v

ario

us fo

lder

s, in

clud

ing

Dea

r Col

leag

ues a

nd b

riefin

g no

tes r

e: H

AW

intro

duct

ory

rem

arks

on

S.30

17 (E

RIS

A Im

prov

emen

ts

Act

). O

rigi

nal A

nnex

Box

# 1

19

Mos

t fol

ders

rela

te to

ER

ISA

am

endm

ents

/issu

es, p

artic

ular

ly S

upre

me

Cou

rt’s D

anie

l dec

isio

n; m

any

of th

ese

fold

ers l

ink

to c

ouns

el S

teve

Sac

her.

Oth

er fo

lder

s are

on

wor

kers

com

pens

atio

n m

atte

rs a

nd a

ppea

r to

be c

ouns

el M

ike

Gol

dber

g’s.

Fenw

ick

Asb

esto

s Bill

19

77

1977

M

ike

Gol

dber

g fo

lder

. Orig

inal

han

dwrit

ten

note

s fro

m m

eetin

g; H

R b

ills i

ntro

duce

d by

Fen

wic

k;

trans

mitt

al to

Gol

dber

g fr

om F

enw

ick

offic

e; re

fere

nce

mat

eria

l. K

ept n

one

Wor

kers

Com

pens

atio

n St

udy

Mat

eria

l 19

78

1979

A

ppea

rs to

be

Gol

dber

g fo

lder

. Ref

eren

ce m

ater

ial o

n w

orke

rs c

omp:

pap

er o

n S.

3060

(HA

W b

ill) b

y a

Dal

e B

irdof

f; U

nite

d St

eelw

orke

rs p

aper

on

subj

ect;

sem

inar

pap

er b

y E.

Lee

Pat

ton;

and

un

attri

bute

d dr

aft r

e: “

prog

ram

off

sets

.”

Kep

t non

e

[Lab

el lo

st]

1977

19

77

Gol

dber

g fo

lder

. Mat

eria

l re:

Dan

iel c

ase.

Orig

inal

not

e fr

om S

ache

r to

Mik

e; o

rigin

al

corr

espo

nden

ce fr

om la

w fi

rm (r

epre

sent

ing

ERIC

) to

Sach

er a

t his

requ

est w

ith a

naly

sis r

e:

poss

ibili

ty o

f und

oing

dec

isio

n vi

a le

gisl

atio

n; re

late

d re

fere

nce

mat

eria

l.

Kep

t non

e

S. 1

865-

Ken

nedy

C

ompe

nsat

ion

for

vict

ims o

f nuc

lear

test

s…

1979

19

79

App

ears

to b

e G

oldb

erg

fold

er. B

ill p

rint o

f S.1

865,

dra

fts o

f bill

, wha

t app

ears

to b

e an

inco

mpl

ete

or

draf

t brie

fing

note

from

Gol

dber

g to

HA

W o

n bi

ll.

Ref

# 17

8. K

ept

dupl

icat

es o

f bill

an

d br

iefin

g no

te

[Loo

se]

1977

19

77

Phot

ocop

y of

man

ual:

Stat

e W

orke

rs C

ompe

nsat

ion,

Issu

es a

nd O

ptio

ns in

Dev

elop

ing

Fede

ral

Stan

dard

s (ap

pear

s to

be a

n in

tern

al d

iscu

ssio

n pa

per d

evel

oped

for S

ecre

tary

of L

abor

) K

ept n

one

Virg

inia

Law

Rev

iew

19

78

1978

Ph

otoc

opy

of a

rticl

e re

: Dan

iel s

ent t

o Sa

cher

by

a Pa

ul M

ason

K

ept n

one

[Lab

el lo

st]

1977

19

78

App

ears

to b

e Sa

cher

file

. Orig

inal

not

es fr

om C

RS

to S

ache

r re:

asp

ects

of D

anie

l cas

e, w

ith c

opie

s of

refe

renc

e m

ater

ial.

Kep

t non

e

[Lab

el lo

st]

1978

19

78

Phot

ocop

y of

HA

W/J

avits

not

e to

Atto

rney

Gen

eral

Grif

fin B

ell r

e: D

anie

l.

Kep

t non

e [L

abel

lost

] 19

77

1978

Sa

cher

fold

er. R

elat

es to

exc

hang

es b

etw

een

HA

W/J

avits

and

SEC

on

Dan

iel.

Orig

inal

resp

onse

s fro

m

SEC

, orig

inal

not

es fr

om o

ther

s sen

ator

s and

repr

esen

tativ

es to

HA

W re

: Dan

iel.

Orig

inal

not

e fr

om

DoL

to S

ache

r.

Kep

t non

e

Pres

s Clip

ping

s 19

77

1979

Sa

cher

fold

er. C

lippi

ngs a

nd a

rticl

es o

n D

anie

l cas

e; d

raft

HA

W p

ress

rele

ase

with

orig

inal

edi

ts.

Kee

p no

ne

[Lab

el lo

st]

1978

19

78

Sach

er fo

lder

. Orig

inal

tran

smitt

al fr

om la

w fi

rm to

Sac

her r

e: N

Y se

curit

ies l

aw a

pplic

atio

n to

pe

nsio

ns (D

anie

l con

nect

ion)

. K

ept n

one

[Lab

el lo

st]

1977

19

77

Phot

ocop

y of

not

e fr

om H

AW

to S

EC re

: She

nker

cas

e, w

ith re

late

d re

fere

nce

mat

eria

l K

ept n

one

[Lab

el lo

st]

ud

ud

Phot

ocop

y of

a p

aper

Impa

ct o

f Fed

Sec

uriti

es L

aw o

n St

ock

Com

pens

atio

n Pr

ogra

ms

Kep

t non

e Sy

llabu

s 19

79

1979

Ph

otoc

opy

of p

rinte

d sy

llabu

s of D

anie

l cas

e K

ept n

one

Page 2: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

2

Ori

gina

l Ann

ex B

ox #

126

C

omm

ittee

cou

nsel

fold

ers,

mos

tly o

f Ste

ve S

ache

r, bu

t als

o so

me

from

Gar

y Fo

rd a

nd P

eter

Tur

za. M

ost o

f the

con

tent

dat

es fr

om 1

978-

1980

and

rela

tes t

o pr

opos

ed

ERIS

A a

men

dmen

ts o

r oth

er p

ensi

on re

form

mat

ters

. Inc

lude

s fol

ders

from

the

“Gen

eral

ER

ISA

File

s” (s

ee b

ox 1

29 fo

r ind

ex).

Bul

k in

clud

es re

fere

nce

mat

eria

l and

or

igin

al c

orre

spon

denc

e/po

sitio

n pa

pers

to S

ache

r fro

m c

ompa

nies

, con

sulta

nts,

atto

rney

s, et

c. S

ome

orig

inal

han

dwrit

ten

note

s (e.

g., n

otes

on

AFL

-CIO

pos

ition

). A

lso,

co

rres

pond

ence

file

from

197

9-19

80 o

n va

rious

Lab

or S

ubco

mm

ittee

mat

ters

(blu

e ca

rbon

s with

atta

ched

orig

inal

s); a

ppea

rs to

be

mos

tly O

SHA

or f

air l

abor

stan

dard

s-re

late

d. A

lso,

incl

udes

fold

er w

ith st

aff w

orkp

aper

s on

votin

g tre

nds i

n re

cent

Con

gres

s and

rela

ted

intra

-sta

ff su

mm

ary/

anal

ysis

. R

ef#

68. K

ept o

r mad

e co

pies

from

fold

er “

AD

P Pe

nsio

n Se

rvic

es A

ltern

ativ

e M

etho

d of

Rep

ortin

g”. P

art o

f ER

ISA

fold

ers.

Ref

# 49

3. M

ade

copi

es o

f sta

ff n

otes

from

fold

er “

Ana

lysi

s of V

otes

– 9

6th C

ongr

ess”

(not

pen

sion

-rel

ated

). O

rigi

nal A

nnex

Box

# 1

29

Com

mitt

ee c

ouns

el fo

lder

s of S

teve

Sac

her,

197

7-19

79. B

ulk

is re

fere

nce

mat

eria

l rel

ated

to S

upre

me

Cou

rt’s D

anie

l dec

isio

n, m

ostly

prin

ts a

nd p

hoto

copi

es o

f Cou

rt fil

ings

, etc

. Als

o, fo

lder

s of e

arly

out

line

and

draf

ts (1

978-

79) o

f wha

t app

ears

to b

ecom

e S.

209

(ER

ISA

am

endm

ents

). Fo

lder

of p

hoto

copi

es o

f gov

ernm

ent a

nd in

dust

ry

resp

onse

s to

com

mitt

ee te

stim

ony

follo

w-u

p qu

estio

ns. B

ox a

lso

incl

udes

an

18 p

age

inde

x as

of J

une

1, 1

979

of “

Gen

eral

ER

ISA

File

s”; m

any,

per

haps

all,

of t

he re

late

d fo

lder

s can

be

foun

d in

box

126

and

thos

e be

low

. R

ef#

79. K

ept c

opie

s fro

m a

n un

labe

led

fold

er. M

y na

me:

“Ex

chan

ge w

ith S

EC re

: sal

es li

tera

ture

regs

” in

re: E

RIS

A a

men

ds 1

979.

R

ef#

13-1

7: A

ccco

rdio

n fo

lder

: “R

espo

nses

to P

ost-H

earin

g Q

uest

ions

: DoL

, SEC

, DO

T, A

uerb

ach

(ER

IC),

Grif

fes/

Rom

ig (C

HA

MB

ER),

Mar

tin (A

PPW

P); I

nclu

des o

ur

outg

oing

lette

r”

Ref

# 13

. Kep

t cop

ies f

rom

an

unla

bele

d su

b-fo

lder

. My

nam

e: “

Exch

ange

with

DoL

re: S

.209

ER

ISA

am

ends

” 19

79

Ref

# 14

. Kep

t cop

ies f

rom

sub-

fold

er la

bele

d “T

reas

ury”

197

9 re

: ER

ISA

am

ends

S.2

09

Ref

# 15

. Kep

t cop

ies f

rom

sub-

fold

er la

bele

d “G

riffe

s-R

omig

/Cha

mbe

r Res

pons

e” 1

979

re: E

RIS

A a

men

ds S

.209

R

ef#

16. K

ept c

opie

s fro

m su

b-fo

lder

labe

led

“Mar

tin/A

PPW

P-R

espo

nse”

197

9 re

: ER

ISA

am

ends

S.2

09

Ref

# 17

. Kep

t cop

ies f

rom

sub-

fold

er la

bele

d “A

uerb

ach/

ERIC

-Res

pons

e” 1

979

re: E

RIS

A a

men

ds S

.209

R

ef#

73. I

ndex

of G

ener

al E

RIS

A a

nd D

anie

l file

s O

rigi

nal A

nnex

Box

# 1

97

Indi

catio

ns th

at th

ese

wer

e fil

es o

f com

mitt

ee c

ouns

els G

ary

Ford

and

Ste

ve S

ache

r.

Lim

ited

Empl

oyee

R

etire

men

t Acc

ount

(L

ERA

)

1979

19

80

Phot

ocop

ies o

f var

ious

HR

and

Sen

ate

bills

rela

ted

to re

tirem

ent a

ccou

nts (

appe

ars t

o be

on

dedu

ctib

ility

) (H

R 6

28, S

.75,

S.1

209,

S.1

428)

. Pho

toco

py o

f Sen

ior V

P of

Con

nect

icut

Gen

eral

Li

fe In

sura

nce

Co

rem

arks

to P

resi

dent

ial C

omm

issi

on o

n Pe

nsio

n Po

licy,

with

rela

ted

pres

s re

leas

e fr

om C

onn

Gen

eral

.

Kep

t non

e

Page 3: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

3

PBG

C P

rem

ium

In

crea

se-S

ingl

e Em

ploy

er P

lans

-197

7-95

:1- S

.Con

.Res

.49

1977

19

77

Phot

ocop

ies o

f PB

GC

requ

est t

o H

AW

for p

rem

ium

incr

ease

, rel

ated

Sen

ate

and

HR

reso

lutio

ns

(S.4

9 an

d H

R 3

69),

and

draf

ts o

f Rep

ort t

o ac

com

pany

S.4

9.

Ref

# 57

. Kep

t ext

ra

copi

es.

GA

O 7

/6/7

7 R

epor

t on

DO

L ER

ISA

Adm

in

1977

19

77

One

cle

an o

rigin

al c

opy

of a

repo

rt fr

om C

ompt

rolle

r Gen

eral

to th

e H

uman

Res

ourc

es

Com

mitt

ee, p

repa

red

at th

eir r

eque

st, r

e: E

ffor

ts to

Impl

emen

t the

ER

ISA

of 1

974

by th

e D

oL.

Rep

ort c

over

stam

ped

“Res

trict

ed. T

his i

s a re

port

on th

e re

sults

of w

ork

perf

orm

ed p

ursu

ant t

o a

requ

est o

f the

add

ress

ee [C

omm

ittee

] who

se a

utho

rizat

ion

shou

ld b

e ob

tain

ed b

efor

e fu

rther

re

leas

e of

this

repo

rt.”

Kep

t non

e

Arb

itrat

ors a

s Fid

ucia

ries

1979

19

79

Stev

e Sa

cher

fold

er. O

rigin

al n

ote

from

Fed

Med

iatio

n &

Con

cilia

tion

Serv

ice

(FM

CS)

to S

ache

r re

: arb

itrat

ors f

iduc

iary

liab

ility

und

er E

RIS

A, w

ith a

ttach

ed re

fere

nce

docu

men

ts o

n th

e su

bjec

t. C

opy

to S

ache

r of F

MC

S no

te o

n su

bjec

t to

Hou

se P

ensi

on T

ask

Forc

e co

unse

l on

subj

ect.

Kep

t non

e

[Fol

der n

umbe

rs 2

4 an

d 25

re: C

hurc

h Pl

ans t

ax

treat

men

t]

1979

19

80

Orig

inal

ann

otat

ions

/und

erlin

ing

of C

ongr

ess R

ecor

d pa

ges r

e: c

hurc

h pl

ans;

per

tinen

t bill

prin

ts

of 1

979

(S.1

090,

S.1

091,

HR

517

1, H

R 5

173,

HR

157

6, H

R 1

578,

HR

523

9, H

R 5

314,

S.1

092,

H

R 1

577,

HR

517

2, H

R 5

238,

HR

531

5). A

lso,

unr

elat

ed e

nvel

ope

from

Arn

old

& P

orte

r to

Gar

y Fo

rd (L

abor

Sub

com

mitt

ee C

ouns

el) w

ith o

rigin

al m

ater

ial r

e: 1

980

posi

tions

of N

atio

nal

Coo

rdin

atin

g C

omm

ittee

for M

ultie

mpl

oyer

Pla

ns (N

CC

MP)

on

limita

tion

of w

ithdr

awal

liab

ility

up

on a

sset

sale

and

cer

tain

suns

et p

rovi

sion

s.

Kep

t non

e

Loos

e 19

80

1980

Ph

otoc

opy

of d

raft

com

mitt

ee p

rint o

f S. 1

076

Mul

tiem

ploy

er P

ensi

on P

lan

Am

endm

ents

Act

of

1980

: Sum

mar

y an

d A

naly

sis o

f Con

side

ratio

ns. P

hoto

copy

of “

Effe

ct o

f S. 1

076

and

S. 2

09 o

n Li

tigat

ion:

Out

line

of R

emar

ks”

by S

ache

r and

For

d (u

ndat

ed a

nd u

nkno

wn

audi

ence

). Ph

otoc

opy

with

orig

inal

ann

otat

ions

of a

n ou

tline

“Ti

tle IV

Leg

isla

tion:

IFEB

P H

igh

Inte

nsity

Inst

itute

s, 5/

7-8/

80”

(Pet

er T

urza

’s n

ame

(Jav

its c

ouns

el) i

s on

the

fron

t). P

hoto

copy

of c

orre

spon

denc

e fr

om

law

firm

repr

esen

ting

a m

ortg

age

loan

com

pany

to S

en. C

arl L

evin

requ

estin

g ER

ISA

am

endm

ent.

Cop

y of

una

ttrib

uted

list

of p

ensi

on is

sues

and

reco

mm

ende

d le

gisl

ativ

e ac

tion.

Kep

t non

e

ESO

Ps

1980

19

80

Fina

nce

Com

mitt

ee p

rint

“ESO

PS: A

n Em

ploy

er H

andb

ook”

forw

arde

d to

For

d. O

rigin

al n

ote

from

Sen

. Rus

sell

Long

to H

AW

requ

estin

g su

ppor

t for

S. 2

982

(ESO

P Im

prov

emen

t Act

of

1980

). S.

2982

bill

prin

t. Ph

otoc

opy

of d

raft

unat

tribu

ted

floor

stat

emen

t re:

S.3

151

with

orig

inal

ed

its. O

rigin

al h

andw

ritte

n no

tes.

Orig

inal

cop

y of

Com

ptro

ller G

ener

al re

port

to F

inan

ce

Com

mitt

ee re

: ESO

Ps, f

orw

arde

d to

For

d. C

opie

s of s

tate

men

t opp

osin

g a

tax

amen

dmen

t, bu

t no

indi

catio

n on

spec

ifics

.

Kep

t non

e

[Lab

el lo

st, b

ut m

arki

ngs

on c

onte

nt im

ply

it w

as

“IR

As”

]

1976

19

79

Orig

inal

s and

pho

toco

pies

of r

efer

ence

mat

eria

l on

IRA

s: P

ublic

law

prin

t re:

ban

k de

posi

t in

tere

st; F

TC b

ookl

ets o

n IR

As;

pho

toco

py o

f cor

resp

onde

nce

from

law

firm

to S

en. L

ong

(with

co

py to

Sac

her)

iden

tifyi

ng ta

x co

ncer

n; p

ensi

on in

dust

ry c

lippi

ngs;

cop

y of

Sen

. DeC

onci

ni

cons

titue

nt c

orre

spon

denc

e fo

rwar

ded

to S

ache

r; PB

GC

pam

phle

t on

IRA

s (m

ultip

le c

opie

s); I

RS

publ

icat

ion;

Rep

. Gib

bons

pre

ss re

leas

es; o

utlin

e of

com

men

ts fr

om a

sem

inar

des

crib

ing

IRA

fe

atur

es; c

opy

of T

reas

ury

offic

ial s

tate

men

t bef

ore

Hou

se C

omm

ittee

; orig

inal

edi

t of H

R

com

mitt

ee p

rint t

o re

flect

Sen

ate

nam

es; p

hoto

copi

es o

f con

stitu

ent l

ette

rs; p

hoto

copy

of C

RS

repo

rt to

Sac

her r

e: e

stim

ated

reve

nue

effe

ct o

f HR

464

9; c

opy

of D

ear C

olle

ague

lette

r re:

HR

46

49 a

nd re

late

d do

cum

ents

; cop

y of

indu

stry

(IC

I) n

ote

to m

embe

rs w

ith IR

A/K

eoug

h st

atis

tics.

Kep

t non

e

Page 4: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

4

[Brie

fing

book

] 19

80

1980

Po

cket

fold

er fr

om F

ord

to H

AW

dat

ed 9

/23/

80 la

bele

d ER

ISA

Inte

rage

ncy

Empl

oyee

Ben

efits

C

ounc

il, h

owev

er c

onte

nt is

no

long

er th

e “m

emor

andu

m”

indi

cate

d on

the

labe

l. O

rigin

al

hand

writ

ten

note

s ref

lect

ing

a 9/

23 m

eetin

g w

ith a

n O

MB

off

icia

l; 9/

29 n

ote

to S

ache

r fro

m a

law

fir

m, f

orw

arde

d to

For

d; c

opy

of E

SOP

docu

men

t fro

m F

inan

ce.

Kep

t non

e

Unl

abel

ed

1978

19

80

Var

ious

mat

eria

ls re

late

d to

ER

ISA

adm

inis

tratio

n: C

opy

of m

emo

from

For

d to

HA

W o

f 9/

24/8

0 on

inte

rage

ncy

empl

oyee

ben

efits

cou

ncil

(pos

sibl

y th

e no

te m

issi

ng fr

om th

e ab

ove

‘brie

fing

book

”); p

hoto

copi

es o

f rel

ated

not

es fr

om c

omm

ittee

to O

MB

. Pho

toco

py o

f not

e fr

om S

ache

r to

OM

B c

omm

entin

g on

a W

hite

Hou

se E

RIS

A E

valu

atio

n Pl

an D

esig

n in

re: a

R

eorg

aniz

atio

n Pl

an (1

979)

, with

orig

inal

pla

n do

cum

ents

to S

ache

r fro

m O

MB

. Pho

toco

py o

f W

hite

Hou

se p

ress

rele

ase

(197

8) o

n re

orga

niza

tion;

cop

ies o

f HA

W c

omm

ents

on

reor

gani

zatio

n to

Com

mitt

ee o

n G

over

nmen

t Aff

airs

; orig

inal

mem

o to

HA

W fr

om S

aher

re:

reor

gani

zatio

n, w

ith o

rigin

al H

AW

com

men

t ret

urni

ng it

to S

ache

r. C

omm

ittee

Gov

ernm

ent

Aff

airs

prin

t of h

earin

gs a

nd re

port,

and

cop

ies o

f Con

gres

s Rec

ord,

and

Fed

Reg

iste

r on

reor

gani

zatio

n. C

opie

s of S

en. L

ong

pres

s rel

ease

and

taxa

tion

join

t com

mitt

ee. O

rigin

al c

opy

of O

MB

repo

rt to

Con

gres

s on

ERIS

A A

dmin

Stu

dy.

Ref

# 71

. Kep

t/mad

e co

py o

f HA

W re

mar

ks

supp

ortin

g re

orga

niza

tion

with

re

late

d no

tes.

Kep

t cop

y of

OM

B E

RIS

A re

port

(sam

e as

one

foun

d in

bo

x 21

4).

Ori

gina

l Ann

ex B

ox #

198

C

omm

ittee

cou

nsel

fold

ers,

incl

udin

g St

eve

Sach

er.

Rob

ert P

ozen

19

80

1980

R

eprin

t of a

rticl

e re

MPP

AA

of 1

980

in N

Y L

aw Jo

urna

l by

Poze

n (S

EC la

wye

r).

Kep

t non

e Pr

eem

ptio

n-1.

MET

’s

1977

19

80

Sach

er m

ater

ial.

Mos

tly re

fere

nce

mat

eria

l on

Fed

pree

mpt

ion

of st

ate

law

s gen

eral

ly o

r in

conn

ectio

n w

ith E

RIS

A: O

rigin

al c

orre

spon

denc

e fr

om p

rofe

ssor

to S

ache

r re:

impa

ct o

f ER

ISA

on

psyc

holo

gy p

rofe

ssio

n. P

hoto

copy

of a

mic

us m

emo

from

DoL

in c

ourt

case

. Pu

blis

hed

Haw

aii P

repa

id H

ealth

Car

e A

ct (1

977)

. Rep

rint o

f Tur

za (m

inor

ity c

ouns

el) a

rticl

e fr

om p

ensi

on jo

urna

l on

pree

mpt

ion.

Pho

toco

pies

of K

ilber

g ar

ticle

on

pree

mpt

ion,

one

with

or

igin

al h

andw

ritte

n no

tes.

Orig

inal

cor

resp

onde

nce

from

Ohi

o Le

gisl

ativ

e Se

rvic

e C

omm

issi

on to

Sac

her.

Phot

ocop

ies o

f cor

resp

onde

nce

from

trad

e gr

oups

and

stat

e in

sura

nce

dept

s. C

lippi

ngs.

Kep

t non

e

Plum

bing

& P

ipef

ittin

g In

dust

ry o

f the

USA

and

C

anad

a

1980

19

80

Orig

inal

cor

resp

onde

nce

from

atto

rney

for t

rust

ees o

f var

ious

ben

efit

plan

s to

Sen.

Sam

Nun

n

(Cha

ir of

Inve

stig

atio

ns S

ubco

mm

ittee

), w

ith d

etai

led

repo

rt, re

ques

ting

Sena

te a

ctio

n.

Phot

ocop

y of

Nun

n co

unse

l res

pons

e re

ferr

ing

mat

eria

l to

HA

W.

Kep

t non

e

[Lab

el lo

st, b

ut c

onte

nt

impl

ies “

Porta

bilit

y”]

1977

19

79

Orig

inal

cor

resp

onde

nce

and

atta

ched

mat

eria

l fro

m N

orm

an T

arve

r, co

nsul

tant

to S

teve

(S

ache

r?) r

e: p

orta

bilit

y, sp

ecifi

cally

Can

adia

n pr

actic

es. O

utlin

e of

ER

ISA

am

endm

ents

for

porta

bilit

y. O

rigin

al c

orre

spon

denc

e fr

om c

onsu

ltant

to S

ache

r with

dis

cuss

ion

draf

t, re

mar

ks,

etc.

on

porta

bilit

y; c

opy

to S

teve

of n

ote

to T

urza

from

con

sulta

nt o

n ve

stin

g; o

rigin

al

hand

writ

ten

note

s on

“ben

efits

of p

orta

bilit

y.”

Orig

inal

not

e fr

om p

rofe

ssor

to S

teve

.

Kep

t non

e

Pote

ntia

l Am

endm

ents

19

78

1979

O

rigin

al c

orre

spon

denc

e fr

om T

reas

ury

and

indu

stry

to S

ache

r. U

nattr

ibut

ed ta

x pr

opos

als f

or

dedu

ctib

ility

of e

mpl

oyee

con

tribu

tions

to p

ensi

on. S

. 209

bill

prin

t. K

ept n

one

Page 5: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

5

Pens

ion

Stat

istic

s 19

78

1979

V

ario

us re

fere

nce

mat

eria

ls, i

nclu

ding

DoL

pub

licat

ions

. Mer

cer I

nc p

ublic

atio

n, a

cade

mic

pa

pers

, clip

ping

s, ar

ticle

repr

ints

, Pric

e W

ater

hous

e st

udy

abst

ract

, Int

erna

tiona

l Fou

ndat

ion

opin

ion

poll.

Pho

toco

py o

f uns

igne

d le

tter t

o W

ashi

ngto

n Po

st e

dito

r fro

m H

AW

in re

actio

n to

a

9/25

/78

artic

le b

y Sp

ence

r Ric

h (w

ith c

opy

of a

rticl

e).

Ref

# 76

. Mad

e co

py o

f H

AW

lette

r. K

ept c

opie

s of

any

dup

licat

e m

ater

ials

. Pe

nsio

n Te

rmin

olog

y 19

77

1977

Ph

otoc

opy

of a

dra

ft re

port

from

an

actu

aria

l adv

isor

y gr

oup

on p

ensi

on te

rms

Kep

t non

e Pe

rman

ent

Subc

omm

ittee

on

Inve

stig

atio

ns

1977

19

77

Phot

ocop

y of

mem

o fr

om S

en. N

unn

to L

abor

Sec

reta

ry M

arsh

all a

nd M

arsh

all’s

resp

onse

in

re: i

nves

tigat

ion

into

pen

sion

fund

em

bezz

ling.

K

ept n

one

Pipe

fitte

rs C

ase

1977

19

77

One

clip

ping

K

ept n

one

Plan

Adm

inis

tratio

n 19

78

1978

O

rigin

al c

orre

spon

denc

e fr

om c

onsu

lting

firm

to c

ouns

el S

teve

Par

adis

e, w

ith b

lue

carb

on o

f Sa

cher

-pre

pare

d re

spon

se.

Kep

t non

e

Plan

Ass

ets

1979

19

79

Phot

ocop

y of

NY

Law

Jour

nal a

rticl

e K

ept n

one

Plan

Des

ign

1979

19

79

Cop

ies o

f pap

ers o

n de

sign

ing

pens

ion

plan

s. K

ept n

one

Plan

Ter

min

atio

ns

1978

19

78

Orig

inal

cop

y of

Com

ptro

ller G

ener

al re

port

re: E

ffec

t of E

RIS

A o

n Te

rmin

atio

n of

Sin

gle

Empl

oyer

Def

ined

Ben

efit

Pens

ion

Plan

s K

ept n

one

Plan

t Rel

ocat

ion

1979

19

79

Phot

ocop

y of

dra

ft bi

ll re

: eco

nom

ic a

djus

tmen

t in

case

of p

lant

clo

sing

s K

ept n

one

[Lab

el lo

st]

1979

19

79

Orig

inal

cop

y of

Com

ptro

ller G

ener

al re

port

re: P

BG

C fi

nanc

ial s

tate

men

t exa

m

Kep

t non

e Pe

ndin

g Le

gisl

atio

n 19

80

1980

C

opy

of “

Impo

rtant

Pro

pose

d Le

gisl

atio

n” b

y Li

eber

, Meh

lsac

k, R

ose,

Don

Ale

xand

er (C

hair)

(P

BG

C?. C

ongr

ess R

ecor

d.

Kep

t non

e

1. E

SOPs

and

ESO

Ps

Var

iant

s 19

77

1977

B

ill p

rint o

f S.1

987

and

Con

gres

s Rec

ord

Kep

t non

e

2. In

divi

dual

Ret

irem

ent

Acc

ount

s 19

77

1977

D

ear C

olle

ague

lette

r fro

m S

en. D

ole

(uns

igne

d) re

: S. 1

981.

Dea

r Col

leag

ue fr

om S

en.

Wen

dell

And

erso

n re

: S. 1

783.

Bill

prin

t of S

. 200

4. C

opy

of D

ear C

olle

ague

from

Hou

se re

: H

R 4

649.

Kep

t non

e

3. P

reem

ptio

n 19

77

1977

B

ill p

rint o

f S.2

018

with

Con

gres

s Rec

ord.

Bill

prin

t of S

. 201

19

Kep

t non

e 4.

Pru

dent

Man

Rul

e 19

77

1977

B

ill p

rints

of S

. 174

5 an

d S.

181

5.

Kep

t non

e [R

epor

ts]

1979

19

79

Orig

inal

bou

nd c

opie

s of P

rice

Wat

erho

use

revi

ews o

f PB

GC

fina

ncia

l ope

ratio

ns (T

ask

2 R

epor

t and

Tas

k 3

Rep

ort)

Kep

t non

e

[PB

GC

] 19

77

1980

M

isce

llane

ous m

ater

ials

rela

ted

to P

BG

C: O

rigin

al c

orre

spon

denc

e fr

om P

BG

C to

HA

W re

: S.

1076

pas

sage

. Cop

ies o

f not

e fr

om S

ache

r to

HA

W tr

ansm

ittin

g ex

chan

ges w

ith a

law

firm

re:

a Ja

ck A

nder

son

colu

mn

on b

onus

es. P

hoto

copi

es o

f var

ious

cor

resp

onde

nce,

pre

ss re

leas

es,

regu

latio

ns, e

tc re

late

d to

pot

entia

lly u

neth

ical

pay

men

ts a

t PB

GC

. PB

GC

Qua

rterly

Rep

ort t

o B

oard

of D

irect

ors f

or 4

Q ’7

7. C

ompt

rolle

r Gen

eral

repo

rt on

PB

GC

fina

ncia

ls a

s of 9

/30/

77.

PBG

C a

nnua

l rep

ort f

or 1

977.

Rep

rint o

f arti

cle

from

pen

sion

jour

nal o

n ER

ISA

refo

rm.

Clip

ping

s, ne

wsl

ette

rs. C

opy

of o

ffic

ial n

otifi

catio

n un

der E

RIS

A fr

om P

BG

C to

HA

W re

: be

nefit

pay

men

ts. O

rigin

al n

ote

from

Sac

her t

o st

aff c

ircul

atin

g PB

GC

not

ice.

Ref

# 58

. Kep

t cop

y of

G

AO

repo

rt (a

lso

foun

d in

fold

er b

elow

in th

is

box)

and

a m

emo.

Way

s & M

eans

O/S

ight

H

rg –

7/25

/79

1979

19

79

Age

nda

and

stat

emen

ts fr

om H

ouse

Way

s & M

eans

Com

mitt

ee h

earin

g re

: Mul

tiem

ploy

er

Pens

ion

Plan

Ter

min

atio

n In

sura

nce.

K

ept n

one

PBG

C-A

lan

Woo

d St

eel

Rec

oupm

ent

1980

19

80

Clip

ping

s K

ept n

one

Page 6: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

6

PBG

C 1

. Inv

estm

ent

Polic

y 19

77

1977

D

ocum

ents

rela

ted

to P

BG

C in

tent

ion

to c

hang

e in

vest

men

t pol

icy:

PB

GC

pre

ss re

leas

e; d

raft

note

from

Sac

her t

o Tu

rza;

dra

ft le

tter t

o Pr

esid

ent,

pres

umab

ly fr

om H

AW

; HA

W re

mar

ks o

n pl

anne

d ch

ange

.

Kep

t non

e

PBG

C 2

. Pre

miu

ms

1977

19

77

Sach

er’s

mat

eria

ls re

late

d to

PB

GC

requ

est f

or p

rem

ium

incr

ease

: orig

inal

han

dwrit

ten

note

s fr

om a

mee

ting

with

the

GA

O, w

hat a

ppea

r to

be G

AO

est

imat

es, o

rigin

al n

ote

from

cou

nsel

Fo

rsce

y to

Sac

her o

n G

AO

pos

ition

, PB

GC

dra

ft ca

se fo

r inc

reas

e, P

BG

C se

cond

ann

ual r

epor

t.

Kep

t non

e

Pens

ion

Fund

Cor

rupt

ion

1980

19

80

Orig

inal

cop

y of

US

New

s & W

orld

Rep

ort w

ith c

over

stor

y on

uni

on c

orru

ptio

n K

ept n

one

PBG

C 6

. Con

nolly

Cas

e 19

78

1978

Ph

otoc

opy

of P

BG

C c

ivil

actio

n. O

rigin

al c

orre

spon

denc

e to

Sac

her f

rom

law

firm

with

thei

r po

sitio

n pa

per o

n Fe

d re

gula

tion

of m

ultie

mpl

oyer

pla

ns.

Kep

t non

e

Pens

ion

Rig

hts C

ente

r 19

79

1980

O

rigin

al c

orre

spon

denc

e (2

) to

Sach

er fr

om P

ensi

on R

ight

s Cen

ter (

PRC

) with

thei

r pos

ition

pa

pers

and

his

resp

onse

on

one.

Orig

inal

han

dwrit

ten

note

s rel

ated

to a

mee

ting

with

PR

C. A

PR

C p

ublic

atio

n on

retir

emen

t inc

ome

(som

e qu

otes

/app

eara

nces

in it

by

HA

W).

Kep

t non

e

PBG

C 3

. Reg

ulat

ions

19

75

1977

C

opie

s of F

eder

al R

egis

ter

Kep

t non

e PB

GC

4. R

epor

ts &

N

ews R

elea

ses

1976

19

79

Mos

tly re

ports

/pub

licat

ions

: PB

GC

pub

licat

ions

, PB

GC

pre

ss re

leas

es, P

BG

C a

nnua

l rep

orts

. C

opy

of c

onsu

lting

firm

pos

ition

pap

er to

PB

GC

. Cop

y of

Sac

her’

s 197

9 re

com

men

datio

n to

H

AW

to su

ppor

t Bob

Nag

le (f

orm

er C

omm

ittee

cou

nsel

) for

PB

GC

exe

c di

rect

or, a

nd H

AW

’s

lette

r to

Mar

shal

l doi

ng so

. PB

GC

197

9 le

tter t

o H

AW

tran

smitt

ing

legi

slat

ive

reco

mm

enda

tions

(fol

low

s on

PBG

C’s

7/1

/78

repo

rt id

entif

ying

pro

blem

s)

Ref

# 59

. Mad

e co

py o

f H

AW

/Sac

her d

ocum

ents

re

: Nag

le. K

ept c

arbo

n of

PB

GC

tran

smitt

al (s

ee

Ref

# 58

). O

rigi

nal A

nnex

Box

# 1

99

Com

mitt

ee c

ouns

el fo

lder

s, m

ostly

thos

e of

Ste

ve S

ache

r. B

ulk

rela

tes t

o th

e D

anie

l cas

e, w

hich

app

ears

to h

ave

invo

lved

a d

eter

min

atio

n th

at e

mpl

oyee

ben

efit

plan

s co

uld

be v

iew

ed a

s a se

curit

ies s

ale.

Lab

or (D

oL) a

nd S

EC in

volv

ed, a

s wel

l as H

AW

Com

mitt

ee. M

uch

orig

inal

and

cop

ies o

f mat

eria

l sho

win

g in

tera

ctio

n of

Sac

her

with

Lab

or a

nd o

ther

s on

amic

us a

nd o

ther

filin

gs/re

spon

ses.

Som

e re

fere

nce

mat

eria

l rel

evan

t to

Dan

iel.

Som

e ot

her o

rigin

al m

ater

ial o

n S.

1076

. B

ents

en P

ensi

on

Hea

rings

-12/

4-5/

79

1979

19

79

Sach

er fo

lder

. Ref

eren

ce m

ater

ial c

over

ing

Fina

nce

Com

mitt

ee/P

rivat

e Pe

nsio

n Pl

ans &

Em

ploy

ee F

ringe

Ben

efits

Sub

com

mitt

ee h

earin

g m

ater

ial r

e: v

ario

us p

endi

ng b

ills,

incl

udin

g S.

209

intro

duce

d by

HA

W a

nd Ja

vits

. Age

nda

and

stat

emen

ts o

f witn

esse

s, in

clud

ing

thos

e of

H

AW

and

Javi

ts, w

ith p

hoto

copy

of S

ache

r brie

fing

note

to H

AW

.

Ref

# 18

. Mad

e co

py o

f ag

enda

and

not

e fr

om

Sach

er to

HA

W. K

ept

copy

of H

AW

stat

emen

t. K

ept a

ny d

uplic

ates

of

othe

r sta

tem

ents

. H

AW

Spe

ech

befo

re th

e A

BA

/JLG

Sho

reha

m

Am

eric

ana,

9/2

0/79

1979

19

79

Cop

y of

HA

W sp

eech

re: p

ropo

sed

ERIS

A a

men

dmen

ts.

Ref

# 51

. Mad

e co

py

[Lab

el lo

st]

ud

ud

Phot

ocop

y of

Fed

eral

Rep

orte

r cas

es.

Kep

t non

e D

onal

d G

rubb

s 19

78

1978

Ph

otoc

opy

of re

port

from

Gru

bbs (

actu

aria

l con

sulta

nt) t

o Se

cret

ary

of L

abor

re: E

ffec

ts o

f Su

prem

e C

ourt

John

Dan

iel v

. Tea

mst

ers c

ase.

K

ept n

one

Filin

g of

Brie

fs

1978

19

78

Sach

er fo

lder

. Orig

inal

cor

resp

onde

nce

(lega

l gui

danc

e) fr

om o

utsi

de c

ouns

el to

Sac

her.

Kep

t non

e H

owar

d La

w Jo

urna

l 19

71

1971

Ph

otoc

opy

of so

me

page

s fro

m a

n ar

ticle

re: s

ecur

ities

law

s K

ept n

one

[Lab

el lo

st]

1978

19

78

Sach

er fo

lder

. Pho

toco

py w

ith o

rigin

al e

dits

(app

ears

to b

e Sa

cher

’s) o

f a d

raft

note

from

an

Alic

ia K

ersh

aw to

Sac

her a

nd T

urza

, with

orig

inal

han

dwrit

ten

note

s re:

“D

anie

l Leg

isla

tion.

” K

ept n

one

Page 7: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

7

[Lab

el lo

st]

1978

19

78

Sach

er fo

lder

. Orig

inal

cor

resp

onde

nce

from

out

side

law

firm

to S

ache

r, w

ith a

ttach

ed p

aper

w

ritte

n by

the

law

yer r

e: a

ccom

mod

atin

g se

curit

ies l

aws t

o em

ploy

ee b

enef

it pl

ans (

them

e se

ems t

o re

late

to D

anie

l cas

e).

Kep

t non

e

Mis

cella

neou

s 19

76

1978

Sa

cher

fold

er. V

ario

us m

ater

ials

rela

ted

to D

anie

l cas

e. O

rigin

al h

andw

ritte

n dr

afts

(app

ears

to

be S

ache

r) o

f a fi

ling;

car

bon

to S

ache

r of D

oL’s

pro

pose

d am

icus

as s

ent t

o So

licito

r Gen

eral

B

ork;

orig

inal

cor

resp

onde

nce/

lega

l adv

ice

from

out

side

law

firm

to S

ache

r; ph

otoc

opy

of le

gal

advi

ce to

Sac

her a

nd F

ed re

gula

tions

, w

ith o

rigin

al h

andw

ritte

n an

nota

tions

; orig

inal

co

rres

pond

ence

to H

AW

re: D

anie

l fro

m la

w fi

rm, f

orw

arde

d to

Sac

her.

Kep

t non

e

[Lab

el lo

st]

1978

19

78

Cop

y of

com

men

ts m

ade

by a

n at

torn

ey re

: Dan

iel a

t an

NY

U-s

pons

ored

inst

itute

K

ept n

one

Fina

nce

Com

mitt

ee P

ress

R

elea

se o

n S.

1076

6/

12/8

0

1980

19

80

Mul

tiple

cop

ies o

f Fin

ance

’s p

ress

rele

ase

anno

unci

ng a

ctio

n on

HA

W’s

S. 1

076

(am

ende

d by

su

bstit

ute)

, and

rela

ted

HR

390

4. D

etai

led

com

paris

on o

f the

2 b

ills.

Ref

# 22

. Kep

t one

cop

y.

Con

gres

sion

al R

ecor

d St

atem

ent o

n D

emog

raph

ic T

rend

s, 5/

28/8

0

1980

19

80

Gar

y Fo

rd fo

lder

. Orig

inal

tran

smitt

al to

For

d fr

om th

e Pr

esid

ent’s

Com

mis

sion

on

Pens

ion

Polic

y of

its f

irst i

nter

im re

port;

the

publ

ishe

d re

port

itsel

f; a

copy

of t

he re

port

as re

prod

uced

in

a Pr

entic

e H

all R

epor

t Bul

letin

; glu

ed c

lips o

f new

spap

er c

over

age

of th

e R

epor

t (N

YT

and

Was

hing

ton

Pos

t); c

opy

of th

e C

ongr

ess R

ecor

d pa

ges w

ith H

AW

rem

arks

on

the

repo

rt an

d th

e re

cord

ing

of th

e fu

ll re

port

in th

e R

ecor

d an

d th

e ne

ws a

rticl

es.

Ref

# 64

. Kep

t cop

y of

H

AW

rem

arks

and

Pr

entic

e-H

all r

eprin

t of

pens

ion

repo

rt

Com

mitt

ee R

epor

t on

S.21

25

1977

19

77

Mul

tiple

cop

ies o

f the

com

mitt

ee p

rint o

f the

Rep

ort t

o ac

com

pany

S.2

125

(ER

ISA

am

endm

ent

to e

xten

d be

ginn

ing

date

of P

BG

C b

enef

it pa

ymen

ts).

Ref

# 60

. Kep

t cop

ies

[Lab

el lo

st]

1976

19

77

Sach

er fo

lder

. Dan

iel m

ater

ial.

Orig

inal

han

dwrit

ten

note

(pos

sibl

y fr

om D

oL) t

o Sa

cher

re:

stra

tegy

in D

anie

l fili

ng; c

arbo

ns o

f DoL

/Sac

her c

orre

spon

denc

e re

: Dan

iel f

iling

; orig

inal

re

spon

se fr

om D

oL to

HA

W’s

requ

est f

or in

fo re

: DoL

/SEC

and

Dan

iel;

phot

ocop

ies o

f Dan

iel

filin

gs a

nd o

ther

pie

ces,

som

e w

ith o

rigin

al a

nnot

atio

ns.

Ref

# 49

. Kep

t car

bon

of

DoL

lette

r to

HA

W.

Mad

e co

py o

f H

AW

/Jav

its n

ote

to

DoL

. [L

abel

lost

] 19

78

1978

Sa

cher

fold

er. P

hoto

copi

es o

f dra

fts a

nd o

ther

mat

eria

l rel

ated

to D

oL a

mic

us fi

ling

in D

anie

l. O

rigin

al c

orre

spon

denc

e fr

om D

oL to

HA

W, f

orw

arde

d to

Sac

her,

with

cop

y of

a fi

ling.

K

ept n

one

[Lab

el lo

st]

1978

19

78

Sach

er fo

lder

. Orig

inal

tran

smitt

als f

rom

a la

w fi

rm to

Sac

her o

f inf

orm

atio

n re

late

d to

Dan

iel

(arti

cles

and

dra

ft fil

ings

). K

ept n

one

[Lab

el lo

st]

1977

19

78

Sach

er fo

lder

. Pho

toco

py o

f cor

resp

onde

nce

from

AFL

-CIO

(Mea

ny) t

o H

AW

re: D

anie

l cas

e,

with

AFL

-CIO

’s d

etai

led

anal

ysis

of S

EC C

hairm

an’s

test

imon

y be

fore

HA

W’s

Sub

com

mitt

ee.

Orig

inal

ana

lysi

s of t

he A

FL-C

IO a

naly

sis,

pres

umab

ly b

y Sa

cher

or o

ther

subc

omm

ittee

co

unse

l. Ph

otoc

opie

s of H

AW

resp

onse

to M

eany

. Orig

inal

ack

now

ledg

emen

t fro

m S

EC to

H

AW

of M

eany

not

e fo

rwar

ded

to th

em. P

hoto

copy

of S

EC fi

nal r

espo

nse.

Ref

# 48

. Mad

e or

kep

t co

py o

f AFL

-CIO

co

rres

pond

ence

and

H

AW

exc

hang

e

[Lab

el lo

st]

1979

19

79

Sach

er fo

lder

. Pho

toco

py o

f CC

H p

ages

re: K

irshn

er v

US

case

. K

ept n

one

[Lab

el lo

st]

1978

19

78

Sach

er fo

lder

. Orig

inal

tran

smitt

al to

Sac

her o

f a c

opy

of a

pos

ition

stat

emen

t sen

t to

Trea

sury

by

an

ERIS

A in

dust

ry g

roup

re: D

anie

l. K

ept n

one

[S.1

076

draf

ts]

ud

ud

Phot

ocop

y of

ER

ISA

prin

t with

han

dwrit

ten

anno

tatio

ns sh

owin

g S.

1076

cha

nges

. Orig

inal

cut

an

d pa

ste

S.10

76 d

raft

for c

omm

ittee

prin

t. K

ept n

one

Page 8: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

8

Ori

gina

l Ann

ex B

ox #

200

C

onte

xt a

nd la

y-ou

t sug

gest

s the

y ar

e co

mm

ittee

cou

nsel

s. C

over

s Jul

-Sep

t 198

0 pe

riod

and

is re

late

d to

HA

W’s

S. 1

076

ERIS

A a

men

dmen

ts (w

hich

bec

omes

HR

390

4).

Tran

scrip

t of C

omm

ittee

Se

ssio

n on

Com

prom

ise

Ver

sion

of S

.107

6 6/

27/8

0

1980

19

80

Phot

ocop

y of

tran

scrip

t R

ef#

23. M

ade

copy

Floo

r Am

endm

ents

Off

ered

on

S.1

076

7/26

/80

1980

19

80

Phot

ocop

ies,

with

som

e or

igin

al a

nnot

atio

ns, o

f prin

ted

and

unpr

inte

d am

endm

ents

off

ered

by

var

ious

Sen

ator

s. N

otes

on

amen

dmen

t pas

s/fa

il.

Kep

t non

e

Floo

r Mat

eria

l on

S. 1

076

7/29

/80

1980

19

80

July

24,

198

0 co

mm

ittee

prin

t of S

. 107

6; In

dex

of m

ater

ials

for f

loor

act

ion;

fold

ers

cont

aini

ng m

ost o

f tho

se in

dexe

d m

ater

ials

(sta

tem

ents

and

col

loqu

ys to

be

mad

e du

ring

deba

te).

Ref

# 24

and

25.

Kep

t or

mad

e co

pies

of i

ndex

and

re

late

d ite

ms.

Enro

lled

Bill

on

HR

390

4 7/

29/8

0 19

80

1980

C

omm

ittee

prin

t of H

R 3

904

(the

Hou

se v

ersi

on o

f S. 1

076)

K

ept n

one

Floo

r Act

ion

on S

. 107

6 7/

30/8

0 19

80

1980

O

rigin

al a

nd c

opie

s of J

uly

29 C

ongr

essi

onal

Rec

ord

with

S. 1

076

floor

deb

ate.

July

29

Con

gres

s Rec

ord

with

fina

l HR

390

4 as

pas

sed

(with

S. 1

076

lang

uage

subs

titut

e).

Ref

# 26

. Kep

t one

cop

y.

Off

ice

Cop

ies o

f Flo

or

Mat

eria

l on

S. 1

076

1980

19

80

Two

fold

ers o

f pho

toco

pies

of v

ario

us re

mar

ks to

be

mad

e on

the

floor

dur

ing

the

late

July

de

bate

s; o

rigin

al h

andw

ritte

n dr

afts

and

not

es; o

rigin

al c

ompa

rison

of L

abor

vs F

inan

ce

com

mitt

ees’

pos

ition

s on

vario

us p

rovi

sion

s, w

ith p

ropo

sed

join

t pos

ition

.

Ref

# 2

4. M

ade

copy

of

sum

mar

y co

mpa

rison

. K

ept i

tem

s tha

t had

du

plic

ates

fou

nd in

fo

lder

s abo

ve

[Lab

el lo

st]

1980

19

80

Phot

ocop

ies o

f dra

ft am

endm

ents

(circ

a la

te Ju

ly) t

o S.

107

6 an

d H

R 3

904.

K

ept n

one

Legi

slat

ive

Dra

ft of

HR

39

04, 8

/21/

80

1980

19

80

Two

phot

ocop

ies o

f dra

ft am

endm

ent t

o th

e Se

nate

am

endm

ent t

o H

R 3

904.

K

ept n

one

Hou

se F

loor

Act

ion

on H

R

3904

, 8/2

5/80

19

80

1980

O

rigin

al a

nd 2

pho

toco

pies

of C

ongr

ess R

ecor

d H

R d

ebat

e on

HR

390

4 as

am

ende

d by

Se

nate

on

July

29.

R

ef#

37. K

ept o

ne c

opy.

Off

ice

Cop

ies o

f Mat

eria

l on

HR

390

4 Fl

oor A

ctio

n 8/

26/8

0

1980

19

80

Phot

ocop

ies o

f var

ious

mat

eria

ls fr

om A

ugus

t rel

ated

to S

. 107

6/H

R 3

904

(Con

gres

s Rec

ord

8/6

stat

emen

ts, d

raft

floor

rem

arks

, Bus

ines

s Wee

k ar

ticle

). R

ef#

38. K

ept c

opy

of

Con

gres

sion

al R

ecor

d

Sena

te F

loor

Act

ion

on H

R

3904

, 8/2

6/80

19

80

1980

O

rigin

al C

ongr

ess R

ecor

d of

floo

r deb

ate.

R

ef#

38. M

ade

copy

.

Hou

se A

men

dmen

ts to

HR

39

04, 8

/27/

80

1980

19

80

Phot

ocop

y of

dra

ft am

endm

ent t

o th

e Se

nate

am

endm

ent t

o H

R 3

904.

K

ept n

one

Brie

fing

book

mat

eria

ls

and

hand

outs

; Con

fere

nce

on H

R 3

904,

9/1

7/80

1980

19

80

Han

dwrit

ten

note

s on

conf

eren

ce m

embe

rs a

nd a

dmin

istra

tive

mat

ters

. Cop

y fr

om G

ary

Ford

to

HA

W id

entif

ying

ano

ther

HR

am

endm

ent.

A su

mm

ary

com

paris

on o

f the

com

petin

g bi

lls’

unem

ploy

men

t com

pens

atio

n pr

ovis

ions

; Haw

aii-r

elat

ed re

fere

nce

mat

eria

ls; m

ultip

le c

opie

s of

the

unem

ploy

men

t com

pens

atio

n pr

ovis

ions

from

the

Con

gres

s Rec

ord.

Kep

t non

e

Con

fere

nce

Rep

ort o

n H

R

3904

, 9/1

8/80

19

80

1980

M

ultip

le p

rints

of C

onfe

renc

e R

epor

t R

ef#

39. K

ept c

opie

s

Page 9: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

9

Floo

r Mat

eria

l on

HR

39

04, 9

/18/

80

1980

19

80

Cop

ies o

f flo

or st

atem

ent (

pres

umab

ly b

y H

AW

) rep

ortin

g on

con

fere

nce

Ref

# 39

. Kep

t one

cop

y

Dis

cuss

ion

draf

t on

HR

39

04, 9

/19/

80

1980

19

80

Phot

ocop

y of

tech

nica

l am

endm

ents

to th

e H

ouse

am

endm

ent t

o th

e Se

nate

am

endm

ent t

o H

R 3

904.

K

ept n

one

Ori

gina

l Ann

ex B

ox #

201

C

omm

ittee

cou

nsel

fold

ers o

f Sac

her o

r For

d.

Dra

fts 1

076

Cha

nges

19

80

1980

O

rigin

al h

andw

ritte

n dr

afts

of a

men

dmen

ts.

Kep

t non

e A

GC

19

80

1980

Fo

rd fo

lder

. Orig

inal

tran

smitt

al to

“G

ary”

of p

ropo

sed

HR

390

4 bi

ll la

ngua

ge fr

om

cons

truct

ion

empl

oyer

cou

ncil.

K

ept n

one

Food

19

80

1980

O

rigin

al n

ote

to S

ache

r and

Tur

za fr

om C

umm

ings

and

Sei

fman

(out

side

cou

nsel

) re:

HR

390

4 la

ngua

ge c

hang

es. P

hoto

copi

es o

f una

ttrib

uted

am

endm

ents

with

orig

inal

han

dwrit

ten

anno

tatio

ns. D

ellw

ood

Food

s sta

tem

ent o

n H

R 3

904.

Kep

t non

e

Gor

don

Sale

; Com

m

Lang

19

80

1980

O

rigin

al tr

ansm

ittal

of p

ropo

sed

lang

uage

for c

omm

ittee

repo

rt fr

om a

Mik

e G

ordo

n to

Gar

y (F

ord)

and

Pet

er (T

urza

). K

ept n

one

Leg.

His

tory

19

80

1980

Fo

rd fo

lder

. Sev

eral

orig

inal

cor

resp

onde

nce

with

pro

pose

d H

R 3

904

lang

uage

and

col

loqu

y fr

om c

ouns

el a

nd in

dust

ry re

ps to

For

d/Tu

rza/

Sach

er (i

ncl o

ne n

ote

from

form

er c

ouns

el F

eder

, no

w a

lobb

yist

app

aren

tly).

Una

ttrib

uted

“pr

opos

ed le

gisl

ativ

e hi

stor

y” d

irect

ed to

For

d.

Kep

t non

e

[Rep

ort]

ud

ud

Pric

e W

ater

hous

e’s “

Prop

osal

to d

efin

e in

tegr

ated

info

rmat

ion

requ

irem

ents

to m

eet E

RIS

A

repo

rting

and

dis

clos

ure

prov

isio

ns”

Kep

t non

e

Tech

nica

l Am

endm

ents

to

HR

390

4.

1980

19

80

Ford

fold

er. D

raft

amen

dmen

ts to

HR

390

4 fr

om S

epte

mbe

r. O

rigin

al h

andw

ritte

n an

d ty

ped

note

s to

Ford

. K

ept n

one

Prop

osed

IRS

Ves

ting

Reg

; 411

(d)

1980

19

80

Ford

fold

er. C

orre

spon

denc

e (p

hoto

copi

es o

r orig

inal

s) a

nd p

ositi

on p

aper

s fro

m in

dust

ry in

re

spon

se to

pro

pose

d Tr

eaur

y re

gula

tions

on

vest

ing.

Som

e or

igin

al to

HA

W, f

orw

arde

d to

co

mm

ittee

, oth

er o

rigin

als d

irect

to S

ache

r or F

ord.

Pho

toco

pies

of c

orre

spon

denc

e se

nt to

Tr

easu

ry o

r to

othe

r Sen

ator

s. So

me

refe

renc

e m

ater

ial (

clip

ping

s) o

n th

e re

gula

tions

.

Kep

t non

e

[Lab

el lo

st]

1979

19

79

Phot

ocop

y of

not

e fr

om M

ajor

ity L

eade

r Byr

d w

ith p

roce

dure

s for

repo

rting

bill

s to

Dem

ocra

tic

Polic

y C

omm

ittee

, with

atta

ched

pho

toco

py o

f Par

adis

e fo

llow

-on

to h

is c

omm

ittee

staf

f. K

ept n

one

1. S

. 209

ER

ISA

Im

prov

emen

ts A

ct

1979

19

79

Prin

ts o

f S. 2

09 a

nd H

R 5

337

Kep

t non

e

2. S

.107

6 M

ultie

mpl

oyer

Pe

nsio

n Pl

an

Am

endm

ents

Act

1979

19

79

Prin

ts o

f HR

390

4 (5

/43/

79 a

nd 1

2/31

/79)

, HR

615

1, re

mar

ks fr

om H

R m

ark-

up se

ssio

n on

HR

39

04, o

rigin

al h

andw

ritte

n no

tes o

n H

R 1

2/13

/79

sess

ion

on 3

904.

K

ept n

one

3. H

R 6

053

Ret

irem

ent

Inco

me

Ince

ntiv

e an

d A

dmin

istra

tive

Sim

plifi

catio

n A

ct

1979

19

79

Bill

prin

t of H

R 6

053,

rela

ted

Con

gres

s Rec

ord,

and

cop

y of

a re

late

d ne

ws a

rticl

e.

Kep

t non

e

Page 10: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

10

II. O

ther

Bill

s, by

Su

bjec

t, Pe

ndin

g 19

80

1980

Ph

otoc

opy

of su

mm

ary

by S

ache

r of E

mpl

oyee

Ben

efit

Plan

Leg

isla

tion

pend

ing

in 9

6th

Con

gres

s. (I

ndex

to a

bove

3 fo

lder

s and

follo

win

g nu

mbe

red

fold

ers.

Som

e fo

lder

s app

ear t

o be

m

issi

ng h

ere

base

d on

Sac

her’

s lis

t). (S

ee b

ox 2

07 fo

r wha

t app

ears

to b

e co

ntin

uatio

n of

this

ru

n of

fold

ers f

rom

#16

-31)

Ref

# 70

. Mad

e a

copy

1. L

ERA

19

79

1979

B

ill p

rints

and

rela

ted

Con

gres

s Rec

ord

page

s (H

R 6

28, S

.557

, S.7

5, S

.120

9, S

.142

8, H

R 2

049,

H

R 3

523,

HR

548

0, H

R 5

693,

HR

575

4, H

R 5

828,

HR

604

9). A

ll re

late

d to

em

ploy

ee ta

x de

duct

ions

for I

RA

s; n

one

intro

duce

d by

HA

W.

Kep

t non

e

2. IR

A

1979

19

79

Bill

prin

ts a

nd re

late

d C

ongr

ess R

ecor

d pa

ges (

S. 1

925,

S.9

4, S

.124

2, H

R 1

311,

HR

154

2, H

R

2914

, HR

308

2, H

R 3

250,

HR

4547

, HR

566

5, H

R 5

754,

HR

610

). A

ll re

late

d to

retir

emen

t sa

ving

s; o

nly

S. 1

925

intro

duce

d by

HA

W.

Kep

t non

e

3. S

IRA

19

79

1979

B

ill p

rints

and

rela

ted

Con

gres

s Rec

ord

page

s (S.

192

5 an

d H

R 6

190)

. Bot

h re

late

d to

re

tirem

ent s

avin

gs; S

. 192

5 in

trodu

ced

by H

AW

. K

ept n

one

4. H

R 1

0 C

ontri

butio

n Li

mit

Incr

ease

19

79

1979

B

ill p

rint o

f HR

575

4 K

ept n

one

5. S

ex D

iscr

imin

atio

n 19

79

1979

B

ill p

rint o

f HR

179

3 an

d H

R 1

794.

K

ept n

one

6. A

limon

y &

Chi

ld

Supp

ort O

rder

s 19

79

1979

B

ill p

rint o

f S. 8

46 a

nd H

R 1

884

(no

HA

W).

Kep

t non

e

7. S

urvi

ving

Spo

uses

’ B

enef

its

1979

19

79

Bill

prin

ts o

f HR

204

9, H

R 3

340,

HR

516

7 K

ept n

one

8. S

pous

al R

ight

s Und

er

Soci

al S

ecur

ity, U

S C

ivil

& M

ilita

ry P

lans

1979

19

79

Bill

prin

ts H

R 1

851,

HR

281

7, H

R 3

594

Kep

t non

e

9. T

ax E

xem

ptio

n fo

r R

etire

men

t Ben

efits

19

79

1979

B

ill p

rints

HR

193

7, H

R 2

284,

HR

617

2 K

ept n

one

10. A

ggre

gatio

n of

Pla

ns

for R

ollo

ver P

urpo

ses

1979

19

79

Bill

prin

ts S

. 989

, HR

429

8, H

R 5

973

(no

HA

W)

Kep

t non

e

11. F

avor

able

Tax

Tr

eatm

ent f

or D

efer

red

Com

pens

atio

n Pl

an

1979

19

79

Bill

prin

ts S

. 511

and

HR

604

1 (n

o H

AW

). K

ept n

one

12. P

ayro

ll C

redi

t ESO

P;

Oth

er E

SOP

chan

ges

1979

19

79

Bill

prin

ts S

.124

0, S

. 193

7, H

R 1

589,

HR

587

8 (n

o H

AW

) K

ept n

one

13. S

mal

l Em

ploy

er P

lan

Stim

ulan

ts

1979

19

79

Bill

prin

t HR

355

K

ept n

one

14. M

isce

llane

ous P

BG

C

1979

19

79

Bill

prin

t HR

156

9, H

R 1

570

Kep

t non

e 15

. ER

ISA

Rep

ortin

g,

Dis

clos

ure,

&

Adm

inis

tratio

n

1979

19

79

Bill

prin

t S. 1

089,

HR

200

(no

HA

W)

Kep

t non

e

NY

Tim

es A

rticl

e ud

ud

M

ultip

le c

opie

s of d

raft

of a

n ar

ticle

on

mul

tiem

ploy

er p

ensi

on p

lans

for t

he T

imes

aut

hore

d by

H

AW

and

Javi

ts.

Ref

# 52

. Kep

t cop

y of

an

nota

ted

draf

t (id

entic

al

to re

sulti

ng c

lean

ver

sion

in

fold

er)

Page 11: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

11

Evan

s 19

80

1980

O

rigin

al c

orre

spon

denc

e fr

om a

law

firm

to S

ache

r re:

thei

r vie

w o

f ine

quity

in p

ropo

sed

HR

39

04, w

ith p

ropo

sed

lang

uage

. Orig

inal

han

dwrit

ten

note

s on

copy

of r

elat

ed b

ill se

ctio

n.

Kep

t non

e

A&

P 19

80

1980

A

ppea

rs to

be

Ford

fold

er. O

rigin

al b

riefin

g m

emo

from

Sac

her t

o H

AW

re: p

robl

em

conc

erni

ng A

&P/

pens

ion

that

is a

“R

oste

nkow

ski p

robl

em”

(HA

W a

ppar

ently

retu

rned

mem

o to

Sac

her/F

ord)

. Ext

ra c

opy

of n

ote

has a

nnot

atio

n th

at H

AW

follo

wed

the

sugg

este

d ac

tion.

O

rigin

al h

andw

ritte

n no

tes s

umm

ariz

ing

mee

ting

of H

AW

and

com

mitt

ee c

ouns

els w

ith A

&P.

Ref

# 67

. Mad

e co

pies

Coa

l 19

80

1980

A

ppea

rs to

be

Ford

fold

er. O

rigin

al h

andw

ritte

n no

tes o

f com

mitt

ee c

ouns

el m

eetin

g w

ith

BC

OA

and

UM

W re

: S. 1

076.

Not

es a

nd e

xpla

natio

ns o

f S.1

076

BC

OA

/UM

W p

ropo

sals

. Cop

y of

sum

mar

y of

PB

GC

/UM

W/B

CO

A m

eetin

g.

Ref

# 27

. Kep

t or m

ade

copi

es.

PBG

C

ud

ud

Mul

tiple

cop

ies o

f dra

ft la

ngua

ge a

men

ding

sect

ion

4063

(d) a

nd o

ther

s (of

ER

ISA

?)

Kep

t non

e D

ef. B

ill

1980

19

80

Mat

eria

ls re

late

d to

HR

714

0, p

ostp

onin

g by

a m

onth

the

date

PB

GC

requ

ired

to p

ay c

erta

in

bene

fits (

hold

ing

actio

n w

hile

larg

er d

elib

erat

ions

wen

t on)

. Bill

prin

t, or

igin

al h

andw

ritte

n no

tes,

floor

stat

emen

ts b

y H

AW

and

by

Javi

ts, s

umm

ary

of b

ill p

repa

red

by Jo

int C

omm

ittee

on

Taxa

tion,

pho

toco

py o

f a m

emo

from

Par

adis

e to

the

Maj

ority

Lea

der r

elat

ed to

an

earli

er

post

pone

men

t bill

(HR

391

5).

Ref

# 61

. Mad

e co

py o

f Pa

radi

se n

ote.

Kep

t any

du

plic

ates

.

Kam

ber b

ill

1980

19

80

Phot

ocop

y of

dra

ft ar

ticle

by

HA

W fo

r unk

now

n pa

per (

likel

y N

CC

MP

new

slet

ter)

re: e

nact

ed

MPP

AA

198

0. N

CC

MP

new

slet

ter w

ith Ja

vits

arti

cle

on th

e m

atte

r. R

ef#

53. K

ept c

opy

of

HA

W d

raft.

FL

CR

A

1980

19

80

Ford

fold

er re

: Far

m L

abor

Con

tract

or R

egis

tratio

n A

ct (F

LCR

A) a

men

dmen

ts. P

hoto

copy

of

HA

W/J

avits

Dea

r Col

leag

ue le

tter r

e: S

. 278

9 (H

AW

co-

spon

sor)

, Con

gres

s Rec

ord

prin

t of

Javi

ts re

mar

ks, c

ompa

rison

of J

avits

to B

oren

pro

pose

d am

endm

ents

.

Ref

# 19

6. M

ade

or k

ept

copi

es

Mat

suna

ga/S

eago

ing

1980

19

80

Phot

ocop

y of

lette

r fro

m c

ompa

ny to

Sen

. Pac

kwoo

d ta

king

pos

ition

on

HR

390

4/S1

076.

Ph

otoc

opy

of F

ed R

epor

ter a

nd o

ther

refe

renc

e m

ater

ial.

Kep

t non

e

NJ T

rans

it 19

80

1980

Fo

rd fo

lder

. Orig

inal

and

cop

y of

not

e fr

om la

w fi

rm to

Sac

her r

e: c

once

rn o

ver H

R 3

904

impa

ct o

n PS

E&G

/Tra

nspo

rt of

NJ.

Prop

osed

am

endm

ent t

o ad

dres

s. R

ef#

40. K

ept c

opy

of

corr

espo

nden

ce a

nd

prop

osed

am

endm

ent.

Frito

-Lay

ud

ud

Ph

otoc

opy

of c

ompa

ny’s

“St

atem

ent o

n S.

1076

” K

ept n

one

[Bin

der]

ud

ud

Ph

otoc

opie

s of d

ocum

ents

rela

ted

to E

vans

Pro

duct

Co

pens

ion

plan

, mos

tly F

orm

550

0 fo

r 19

75-7

8 K

ept n

one

S.55

7 19

79

1979

B

ill p

rint o

f S.5

57 (n

ot H

AW

) K

ept n

one

[Lab

el lo

st b

ut a

ppea

rs to

be

“C

onra

il ES

OP”

] 19

80

1980

M

ultip

le c

opie

s of C

ongr

ess R

ecor

d, o

rigin

al c

orre

spon

denc

e an

d po

sitio

ns fr

om C

onra

il’s

atto

rney

s to

Sach

er (p

ropo

sed

amen

dmen

ts to

Rai

l Act

), m

eetin

g co

nfirm

atio

n of

var

ious

in

dust

ry, c

omm

ittee

cou

nsel

, and

gov

ernm

ent a

genc

y re

pres

enta

tives

(no

HA

W),

phot

ocop

ies

of re

late

d co

rres

pond

ence

bet

wee

n in

dust

ry a

nd U

S R

ailw

ay A

ssoc

iatio

n.

Kep

t non

e

Reo

rg P

lan

#4

1977

19

79

Sach

er fo

lder

re: W

hite

Hou

se re

orga

niza

tion

prop

osal

s for

ER

ISA

juris

dict

ion.

Orig

inal

ha

ndw

ritte

n no

tes f

rom

staf

f brie

fings

by

OM

B re

ps; p

lan

eval

uatio

n de

sign

; orig

inal

and

ph

otoc

opie

d co

rres

pond

ence

cop

ied

to S

ache

r; cl

ippi

ngs,

Whi

te H

ouse

pre

ss re

leas

es, a

nd o

ther

re

fere

nce

mat

eria

l; or

igin

al c

orre

spon

denc

e/po

sitio

n st

atem

ents

on

reor

gani

zatio

n se

nt to

HA

W,

forw

arde

d to

Sac

her;

phot

ocop

ies a

nd o

rigin

als o

f doc

umen

ts re

late

d to

197

7 D

oL/T

reas

ury

juris

dict

ion

agre

emen

ts (s

ome

mul

tiple

cop

ies)

. See

fold

er in

box

197

for m

ore

on th

is su

bjec

t.

Ref

# 71

. Kep

t any

du

plic

ate

mat

eria

l fro

m

this

fold

er o

r tha

t was

al

so fo

und

in b

ox 1

97.

Page 12: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

12

Ori

gina

l Ann

ex B

ox #

202

B

ox o

f S.1

076

mat

eria

ls, m

ostly

from

Apr

il-Ju

ly 1

980

perio

d, m

ostly

gal

leys

and

dra

fts o

f com

mitt

ee p

rints

. Mos

tly c

opie

s, bu

t som

e or

igin

als o

r cop

ies w

ith o

rigin

al

anno

tatio

ns. A

few

indu

stry

pos

ition

pap

ers.

S.

107

6/H

R 3

904:

Gal

ley

[of c

omm

ittee

prin

t] on

Sum

mar

y &

Ana

lysi

s of

Con

side

ratio

n 4/

18/8

0 19

80

1980

Ph

otoc

opy

Kep

t non

e

S. 1

076/

HR

390

4:H

ouse

bill

Way

s & M

eans

Com

mitt

ee p

rint 4

/18/

80

1980

19

80

Phot

ocop

y K

ept n

one

S. 1

076

Cop

y of

Sum

mar

y &

Ana

lysi

s sen

t to

Prin

ter 4

/80

1980

19

80

Phot

ocop

y K

ept n

one

S. 1

076

Mar

kup,

LH

R C

omm

, 3/1

3/80

19

80

1980

Ph

otoc

opy

with

som

e or

igin

al a

nnot

atio

ns

Kep

t non

e S.

107

6/H

R 3

904:

Exp

lana

tion

by F

inan

ce &

Join

t Com

m S

taff

6/6

/80

1980

19

80

Phot

ocop

y w

ith so

me

orig

inal

ann

otat

ions

K

ept n

one

S. 1

076

NC

CM

P re

spon

se to

S.1

076/

HR

390

4, 6

/9/8

0 19

80

1980

Ph

otoc

opy

of p

ositi

on p

aper

K

ept n

one

S. 1

076

Dra

fts o

f Joi

nt L

abor

/Fin

ance

Bill

7/7

/80

1980

19

80

Phot

ocop

y w

ith so

me

orig

inal

ann

otat

ions

K

ept n

one

S. 1

076

Gra

phic

Arts

Let

ter r

e: D

efin

ition

of B

enef

it En

title

men

ts

6/6/

80

1980

19

80

Posi

tion

pape

r and

cop

ies t

o Fo

rd o

f let

ters

to

vario

us se

nato

rs

Kep

t non

e

S. 1

076

Enro

lled

Bill

, 7/2

9/80

19

80

1980

Ph

otoc

opy

Kep

t non

e S.

107

6 C

ompa

rison

of S

enat

e La

bor C

omm

ittee

Bill

with

5/8

0 H

ouse

B

ill

1980

19

80

Phot

ocop

y K

ept n

one

S. 1

076

Dra

fts o

f Joi

nt L

abor

/Fin

ance

Exp

lana

tion

1980

19

80

Phot

ocop

y K

eep

none

S.

107

6 D

rafts

of C

omm

ittee

Vie

ws-

Lab

or C

omm

Sum

mar

y &

A

naly

sis &

Con

side

ratio

n 19

80

1980

Ph

otoc

opie

s with

orig

inal

ann

otat

ions

and

not

es

(Apr

il 19

80)

Kep

t non

e

S.10

76 Jo

int L

abor

/Fin

ance

Bill

of 7

/24/

80

1980

19

80

Bill

prin

t of S

1076

K

ept n

one

S. 1

076

as Jo

intly

Rep

orte

d 7/

24/8

0 19

80

1980

Ph

otoc

opy

of m

arke

d up

dra

ft.

Kep

t non

e G

alle

ys o

f 4/8

0 Su

mm

ary

& A

naly

sis o

f Con

side

ratio

n of

S.1

076

1980

19

80

Orig

inal

with

orig

inal

edi

ts

Kep

t non

e O

rigi

nal A

nnex

Box

# 2

03

Com

mitt

ee c

ouns

el m

ater

ial,

prob

ably

Sac

her f

or m

ost p

art.

Mos

tly b

ill p

rints

and

refe

renc

e m

ater

ials

on

vario

us b

ills.

A h

andf

ul o

f S.

107

6 m

ater

ials

. S.

1089

19

79

1979

Sa

cher

file

. Brie

fing

note

s fro

m S

ache

r to

HA

W o

n bi

ll he

arin

gs (B

ents

en b

ill re

: ER

ISA

am

endm

ents

), co

mm

ittee

prin

t of b

ill a

nd h

earin

g, C

ongr

ess R

ecor

d.

Ref

# 43

. Mad

e co

py o

f Sa

cher

/HA

W n

otes

. Kep

t co

py o

f bill

prin

t. S.

109

0 19

79

1979

B

ill p

rint (

not H

AW

) K

ept n

one

S.14

73

1979

19

79

Bill

prin

t (no

t HA

W)

Kep

t non

e S.

1648

19

79

1979

B

ill p

rint (

not H

AW

) K

ept n

one

S.19

25

1979

19

79

Bill

prin

ts (H

AW

bill

), or

igin

al D

ear C

olle

ague

from

HA

W, b

riefin

g no

te fr

om S

ache

r to

HA

W re

: spe

ech

on IR

As.

Ref

# 44

. Kep

t cop

y of

bill

. M

ade

copy

of D

ear

Col

leag

ue a

nd S

ache

r not

e.

Page 13: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

13

S.19

91

ud

ud

Phot

ocop

y of

a p

ropo

sed

amen

dmen

t to

1991

K

ept n

one

S.20

81

1979

19

79

Bill

prin

t (no

t HA

W)

Kep

t non

e S.

2530

19

80

1980

Fo

rd fi

le (l

abel

ing

of fi

le is

con

sist

ent w

ith o

ther

s in

this

box

, so

sugg

ests

that

man

y of

thes

e ar

e hi

s). O

rigin

al tr

ansm

ittal

from

a M

arci

a W

olf t

o Fo

rd w

ith d

raft

resp

onse

to ra

il em

ploy

ees o

ppos

ing

S.25

30 (n

ot H

AW

bill

).

Ref

# 45

. Mad

e co

py o

f re

spon

se a

nd W

olf’

s not

e.

S.30

12

1980

19

80

Bill

prin

t (H

AW

co-

spon

sor)

R

ef#

47. K

ept c

opy

S.28

87

1980

19

80

Bill

prin

t (H

AW

bill

) K

ept n

one

S.29

79

1980

19

80

Bill

prin

t of S

2979

and

HR

7793

(not

HA

W).

(Bill

to a

men

d R

ailro

ad R

etire

men

t Act

) K

ept n

one

S.31

37

1978

19

78

Bill

prin

t (no

t HA

W)

Kep

t non

e S.

3017

Pre

ss

ud

ud

Phot

ocop

y of

arti

cle

from

Bar

ron’

s K

ept n

one

S.31

37

1978

19

78

Bill

prin

t (no

t HA

W)

Kep

t non

e El

mer

Say

re

ud

ud

Dra

ft pa

ragr

aph

for C

omm

ittee

repo

rt re

: PB

GC

K

ept n

one

[Lab

el lo

st]

1978

19

78

Orig

inal

cor

resp

onde

nce

to S

ache

r and

Tur

za fr

om S

chan

es A

ssoc

iate

s, su

mm

ariz

ing

thei

r m

eetin

g re

: ER

ISA

am

endm

ents

. K

ept n

one

Secu

ritie

s & E

xcha

nge

Com

mis

sion

19

79

1980

C

lippi

ngs

Kep

t non

e

SEC

1. R

ule

154

1979

19

79

Orig

inal

tran

smitt

al fr

om S

EC to

Sac

her o

f a S

EC st

aff r

epor

t. Ph

otoc

opie

s of F

ed R

egis

ter,

SEC

regi

stra

tion

docu

men

t, an

d in

dust

ry p

aper

, with

orig

inal

han

dwrit

ten

note

s. K

ept n

one

SEC

2. R

egis

tratio

n 19

80

1980

C

lippi

ngs a

nd o

ther

refe

renc

e m

ater

ial

Kep

t non

e SE

C 1

. Fin

anci

al

Dis

clos

ure

1980

19

80

Has

kins

& S

ells

-gen

erat

ed re

fere

nce

mat

eria

l K

ept n

one

S. R

es 3

0 19

79

1979

C

ongr

ess R

ecor

d cl

ip

Kep

t non

e 19

34 S

ecur

ities

Ex

chan

ge A

ct

1978

19

78

Two

copi

es o

f Ban

king

Com

mitt

ee R

epor

t to

acco

mpa

ny H

R 8

331,

Sec

uriti

es In

vest

or

Prot

ectio

n A

ct o

f 197

8 (H

AW

supp

orte

d). C

opy

of a

n in

dust

ry b

ulle

tin.

Ref

# 47

. Kep

t cop

y of

R

epor

t. Sm

all B

usin

ess

1978

19

78

Bill

prin

t of H

R 1

1445

. App

ears

to h

ave

Sach

er’s

writ

ing

on it

. K

ept n

one

Secu

ritie

s Law

s A

pplic

atio

n to

ER

ISA

Pl

ans

1979

19

79

Orig

inal

tran

smitt

al to

Sac

her f

rom

law

firm

with

dra

ft ch

apte

r of b

ook

on p

ensi

ons.

Kep

t non

e

Sena

te R

ules

19

80

1980

C

opy

of S

ache

r not

e to

com

mitt

ee st

aff

(look

s lik

e Fo

rd’s

cop

y) tr

ansm

ittin

g M

ajor

ity

Lead

er n

ote

re: c

omm

ittee

refe

rral

s. R

ef#

80. M

ade

a co

py.

Sena

tor I

nouy

e 19

77

1977

O

rigin

al n

ote

from

Sen

ator

to H

AW

requ

estin

g tim

e to

test

ify a

t S. 1

383

hear

ing,

with

te

leph

one

slip

to S

ache

r fro

m In

ouye

’s o

ffic

e.

Ref

# 74

. Mad

e co

py o

f In

ouye

-HA

W n

ote

Sena

tor J

avits

19

78

1978

C

ongr

ess R

ecor

d ex

tract

. K

ept n

one

Seve

ranc

e Pa

y Pl

ans

1978

19

78

Fed

Reg

iste

r ext

ract

K

ept n

one

Sim

plifi

ed E

mpl

oyee

Pe

nsio

n Pl

an

1980

19

80

Ref

eren

ce m

ater

ial

Kep

t non

e

Sing

le A

genc

y 19

79

1979

D

raft

and

edite

d dr

aft o

f arti

cle

by S

ache

r re:

ER

ISA

juris

dict

ion.

Rel

ates

to re

orga

niza

tion

issu

e.

Kep

t non

e

SIR

As

1979

19

79

Savi

ngs f

or R

etire

men

t Act

(SIR

A) (

S. 1

925)

. Brie

fing

note

from

Sac

her t

o H

AW

on

bill

intro

duct

ion.

Cop

y of

Dea

r Col

leag

ue. G

ener

al re

fere

nce

mat

eria

l on

retir

emen

t acc

ount

s. R

ef#

44. M

ade

copy

of

Sach

er n

ote

Page 14: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

14

S. 1

076

Fact

She

et

1980

19

80

Mul

tiple

cop

ies o

f an

unat

tribu

ted

S.1

076

fact

shee

t. C

opy

of A

FL-C

IO N

ews.

Ref

# 28

. Kep

t cop

y of

fact

sh

eet

S. 1

543

1979

19

79

Bill

prin

t (no

t HA

W)

Kep

t non

e S.

107

6 19

79

1979

C

opy

of u

nattr

ibut

ed p

ropo

sed

amen

dmen

ts to

S. 1

076

Kep

t non

e S.

107

6 Fo

rm L

ette

rs-

Opp

ositi

on

1979

19

80

Orig

inal

s of n

otes

(abo

ut 2

0) to

HA

W fr

om c

ompa

nies

and

a u

nion

opp

osin

g H

AW

’s b

ill

Kep

t non

e

Supp

ort f

or S

. 107

6 Le

tters

19

79

1980

Th

ree

orig

inal

com

pany

and

uni

on le

tters

to H

AW

. K

ept n

one

S. 1

076

PBG

C P

ropo

sal

ud

ud

No

attri

butio

n on

doc

umen

ts th

emse

lves

, but

app

ears

to b

e pa

ckag

e of

PB

GC

pro

posa

l of

1979

that

bec

omes

S. 1

076.

R

ef#

28. M

ade

copy

of

sum

mar

y do

cum

ent

S.10

76/H

R 3

904

Way

s & M

eans

Wor

king

D

raft

2/28

/80

1980

19

80

Phot

ocop

y. A

ppea

rs to

be

part

of b

ill d

raft

fold

ers f

ound

in b

ox 2

02.

Kep

t non

e

S. 1

076/

HR

390

4 C

omm

ittee

Prin

t, 3/

24/8

0 19

80

1980

B

ill p

rint o

f HR

390

4. A

ppea

rs to

be

part

of b

ill d

raft

fold

ers f

ound

in b

ox 2

02.

Kep

t non

e

Ori

gina

l Ann

ex B

ox #

204

C

omm

ittee

cou

nsel

fold

ers,

mos

tly th

ose

of S

ache

r on

vario

us to

pics

rela

ted

to p

ensi

on m

atte

rs. S

ome

Chr

ysle

r bai

l-out

mat

eria

l, m

ostly

as i

t con

nect

s to

the

com

pany

’s

pens

ion

plan

. C

entra

l Sta

tes H

&W

Fu

nd

1978

19

78

Phot

ocop

y of

aff

idav

it of

a L

abor

inve

stig

ator

in a

cas

e in

volv

ing

the

pens

ion

fund

with

co

pies

of e

xhib

its su

bmitt

ed b

y th

e in

vest

igat

or to

the

cour

t acq

uire

d un

der s

ubpo

ena.

K

ept n

one

HR

390

4 19

80

1980

Fo

rd fi

le. V

ario

us m

ater

ials

rela

ted

this

bill

. Mos

t im

porta

nt a

re c

opie

s of S

ache

r/For

d no

tes

to H

AW

, orig

inal

cor

resp

onde

nce

from

Mat

suna

ga to

HA

W o

n H

awai

i exe

mpt

ion,

orig

inal

co

rres

pond

ence

from

law

firm

to F

ord/

Turz

a w

ith a

men

dmen

t. Pr

ess r

elea

ses a

nd o

ther

re

fere

nce

mat

eria

l.

Ref

# 41

. Mad

e co

pies

of

HA

W m

ater

ials

(sta

ff

note

s, M

atsu

naga

mat

eria

l, et

c).

Chi

cago

Ele

ctro

type

rs

Pens

ion

Plan

19

78

1978

Tw

o co

pies

of o

rigin

al c

orre

spon

denc

e fr

om P

BG

C to

HA

W w

ith le

gally

requ

ired

notif

icat

ion

of p

aym

ents

. K

ept n

one

Expl

anat

ion

of H

R 3

904

1979

19

80

Ford

fold

er. M

arch

198

0 H

ouse

com

mitt

ee p

rint;

unat

tribu

ted

MPP

AA

sect

ion

by se

ctio

n an

alys

is;

PBG

C re

port

with

reco

mm

enda

tions

re: m

ultie

mpl

oyer

pen

sion

s; d

raft

Sen.

Hat

ch

amen

dmen

t to

S. 1

076

Ref

# 59

. Kep

t PB

GC

repo

rt (s

ame

as o

ne in

box

198

). R

ef#

41. K

ept c

opy

of H

R

3904

Exp

lana

tion

Fund

ing

1. B

ook

Res

erve

19

78

1979

Sa

cher

fold

er. O

rigin

al tr

ansm

ittal

from

PB

GC

to S

ache

r of m

ater

ial o

n re

serv

es. O

ther

re

fere

nce

mat

eria

l fro

m P

BG

C o

n su

bjec

t. K

ept n

one

Gen

eral

Sto

ck

Ow

ners

hip

Plan

s (G

SOPs

)

1978

19

78

Con

gres

s Rec

ord

page

s K

ept n

one

Gift

s 19

80

1980

O

ne b

usin

ess c

ard

with

not

atio

ns o

f gift

. K

ept n

one

Mik

e G

ordo

n ud

ud

Ph

otoc

opy

of Ja

vits

lette

r to

Pres

iden

t rec

omm

endi

ng G

ordo

n ap

poin

tmen

t to

Pres

iden

tial

Ret

irem

ent C

omm

issi

on.

Kep

t non

e

Gov

ernm

enta

l Pla

ns

1979

19

80

Ford

/Sac

her.

Ref

eren

ce m

ater

ial o

n go

vern

men

t pla

ns u

nder

ER

ISA

. K

ept n

one

Page 15: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

15

Gra

tefu

l Let

ters

19

77

1980

O

rigin

al th

ank

you

lette

rs fr

om c

ompa

nies

, uni

ons,

trade

ass

ocia

tions

, and

indi

vidu

als t

o H

AW

(som

e to

Sac

her)

re: v

ario

us p

ensi

on re

late

d le

gisl

atio

n.

Kep

t non

e

Bill

Gre

enou

gh

1979

19

79

Cor

resp

onde

nce

exch

ange

, inc

ludi

ng o

rigin

al, b

etw

een

Sach

er a

nd T

IAA

-CR

EF C

hair

Kep

t non

e D

onal

d G

rubb

s 19

77

1978

O

rigin

al c

orre

spon

denc

e/an

alys

es fr

om a

ctua

rial c

onsu

ltant

to S

ache

r; co

pies

of G

rubb

m

ater

ial t

o Tu

rza;

Gru

bb re

sear

ch p

aper

on

ERIS

A.

Kep

t non

e

HR

654

19

79

1979

B

ill p

rint

Kep

t non

e H

R 1

145

1979

19

79

Bill

prin

t K

ept n

one

HR

154

3 19

79

1979

B

ill p

rint

Kep

t non

e H

R 1

576-

78

1979

19

79

Bill

prin

ts

Kep

t non

e H

R 2

797

1979

19

79

Bill

prin

t K

ept n

one

HR

323

6 19

79

1979

B

ill p

rint

Kep

t non

e C

ivil

Serv

ice

Reo

rgan

izat

ion

1978

19

78

Sach

er fo

lder

. Pho

toco

pies

of t

wo

mem

os fr

om D

arry

l And

erso

n to

HA

W b

riefin

g hi

m o

n w

hist

lebl

ower

impa

ct o

f pro

pose

d S.

2640

(not

HA

W) C

ivil

Serv

ice

Ref

orm

Act

. App

ear t

o be

Sac

her’

s cop

ies.

Ref

# 46

. Mad

e co

pies

.

Civ

il Se

rvic

e R

etire

men

t 19

78

1978

C

lippi

ng, p

ublis

hed

law

. K

ept n

one

Cla

ims P

roce

dure

s 19

77

1979

M

ultip

le c

opie

s of p

aper

writ

ten

(app

aren

tly fo

r per

sona

l pur

pose

s) b

y Sa

cher

re: T

he E

RIS

A

Cla

ims P

roce

dure

and

Arb

itrat

ion.

Res

t of m

ater

ial i

n fo

lder

app

ears

to b

e re

fere

nce

mat

eria

l: C

opie

s of p

ositi

on st

atem

ents

by

the

Pens

ion

Rig

hts C

ente

r re:

cla

ims p

roce

dure

s; o

rigin

al

trans

mitt

al to

HA

W fr

om D

oL o

f a p

amph

let o

n cl

aim

s pro

cedu

re; P

ensi

on W

orld

arti

cle

on

subj

ect.

Ref

# 81

. Kep

t cop

y of

Sa

cher

pap

er.

Col

lect

ive

Fund

ing

Veh

icle

s 19

79

1979

Ph

otoc

opy

of c

orre

spon

denc

e to

HA

W fr

om W

ells

Far

go c

ouns

el st

atin

g po

sitio

n re

: ban

k tru

sts;

refe

renc

e m

ater

ial m

ostly

from

ICI o

n ba

nk tr

ust p

ools

. K

ept n

one

Citi

zen’

s Com

mis

sion

on

Pens

ion

Polic

y 19

78

1978

Sa

cher

fold

er. P

hoto

copy

of p

ositi

on fr

om th

is g

roup

, with

han

dwrit

ten

trans

mitt

al fr

om a

K

aren

to S

ache

r end

orsi

ng th

e gr

oup’

s act

iviti

es.

Kep

t non

e

Fore

ign

Cou

ntrie

s Pe

nsio

n Sy

stem

s 19

78

1979

Sa

cher

fold

er. T

wo

book

lets

as r

efer

ence

mat

eria

l on

subj

ect

Kep

t non

e

Fore

ign

Inve

stmen

ts

1979

19

79

Sach

er fo

lder

. One

clip

ping

from

Wal

l St J

ourn

al

Kep

t non

e Fo

rm 5

500

1977

19

80

Sach

er fo

lder

. Orig

inal

tran

smitt

al to

Sac

her f

rom

Am

eric

an B

anke

rs A

ssoc

iatio

n. O

rigin

al

trans

mitt

al to

HA

W w

ith p

ositi

on p

aper

s fro

m a

ctua

rial c

onsu

ltant

s re:

For

m 5

500

chan

ges.

Fed

Reg

iste

r ext

ract

.

Kep

t non

e

Chr

ysle

r Cor

pora

tion

1979

19

79

Phot

ocop

y of

brie

fing

mat

eria

l fro

m P

hilip

Cor

win

(HA

W’s

Leg

isla

tive

Ass

ista

nt) t

o “S

enat

or”

re: N

ov 7

9 he

arin

gs in

Ban

king

Com

mitt

ee o

n C

hrys

ler l

oan

guar

ante

e bi

lls. C

opy

of st

atem

ent b

y Se

n. S

teve

nson

. Cop

ies o

f arti

cle

from

P&

I on

subj

ect.

Ref

# 69

. Mad

e co

py o

f br

iefin

g m

ater

ials

.

Chr

ysle

r Ass

ista

nce

1979

19

80

App

ears

to b

e Sa

cher

fold

er. I

ssue

was

a B

anki

ng C

omm

ittee

one

, but

ther

e w

ere

conn

ectio

ns

to p

ensi

on/E

SOP

issu

es th

at w

ere

refe

rred

to S

ache

r for

con

side

ratio

n. F

olde

r inc

lude

s mos

tly

bill

prin

ts a

nd C

ongr

ess R

ecor

ds. A

lso,

pho

toco

py o

f not

e fr

om T

reas

ury

to P

hilip

Cor

win

w

hich

Cor

win

refe

rred

to S

teve

for c

omm

ent;

bill

draf

ts fo

rwar

ded

to S

ache

r, w

ith o

rigin

al

anno

tatio

ns; P

BG

C n

ote

to S

ache

r with

info

they

pro

vide

d Se

n. P

roxm

ire.

Kep

t non

e

Page 16: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

16

Bill

Cha

dwic

k 19

78

1978

C

RS

pape

r “M

ajor

Issu

es F

acin

g th

e Pr

ivat

e Pe

nsio

n Sy

stem

” w

ith e

xcha

nge

betw

een

Cha

dwic

k (f

rom

a la

w fi

rm) a

nd th

e C

RS

with

Cha

dwic

k ob

ject

ing

to th

e ex

tent

to w

hich

a

pape

r of h

is w

as p

lagi

ariz

ed (o

ne c

opy

of th

is e

xcha

nge

wen

t to

Sach

er, w

hich

is in

this

fo

lder

). A

lso,

a tr

ansm

ittal

from

Cha

dwic

k to

Sac

her o

f a b

ook

he w

rote

on

ERIS

A; t

hat i

s lik

ely

the

loos

e m

ater

ials

of c

hapt

ers f

ound

in a

cou

ple

plac

es in

this

box

and

pul

led

toge

ther

(d

urin

g th

e ar

chiv

al su

rvey

) with

this

not

e.

Kep

t non

e

Tam

ar F

rank

el

ud

ud

Res

ume

Kep

t non

e Fu

ndin

g 19

77

1978

R

efer

ence

mat

eria

ls o

n pe

nsio

n pl

an fu

ndin

g, so

me

dire

cted

to S

ache

r by

cons

ulta

nts l

ike

Gru

bbs.

Orig

inal

cor

resp

onde

nce

from

Con

nect

icut

Gen

eral

Life

Com

pany

to S

ache

r with

th

eir p

lan

expe

nse

estim

ates

. Cor

resp

onde

nce

from

an

actu

ary

to IR

S, w

ith o

rigin

al c

opy

to

HA

W.

Kep

t non

e

Chu

rch

Plan

s 19

77

1980

Sa

cher

fold

er. E

xten

sive

and

ong

oing

orig

inal

cor

resp

onde

nce

to S

ache

r fro

m la

w fi

rm

repr

esen

ting

Chu

rch

Alli

ance

for C

larif

icat

ion

of E

RIS

A, w

ith m

any

asso

ciat

ed d

ocum

ents

fr

om th

e gr

oup,

incl

udin

g po

sitio

n pa

pers

, cop

ies o

f cor

resp

onde

nce

to g

over

nmen

t age

ncie

s, et

c. S

ome

1980

indi

catio

ns th

at H

AW

met

with

NJ b

ranc

h.

Kep

t non

e

Ori

gina

l Ann

ex B

ox #

205

C

omm

ittee

cou

nsel

fold

ers,

mos

tly S

ache

r and

For

d. G

ener

ally

are

refe

renc

e m

ater

ials

. C

ongr

essi

onal

Bud

get

Act

19

78

1978

Ph

otoc

opy

of st

aff n

otes

re: p

repa

ring

com

mitt

ee b

udge

t K

ept n

one

Def

initi

ons

1977

19

77

Phot

ocop

y of

Fed

Reg

iste

r pag

e re

: cer

tain

ER

ISA

term

s K

ept n

one

[Lab

el lo

st b

ut li

kely

“E

mpl

oyee

Ben

efit

Plan

St

atis

tics”

]

1978

19

80

Sach

er fo

lder

. Ref

eren

ce m

ater

ials

from

DoL

and

a pe

nsio

n co

nsul

tant

. K

ept n

one

Col

lect

ivel

y B

arga

ined

Pe

nsio

ns

1980

19

80

Sach

er fo

lder

. Sac

her’

s cop

y of

AFL

-CIO

Am

eric

an F

eder

atio

nist

mag

azin

e op

en to

an

artic

le o

n su

bjec

t. K

ept n

one

[Lab

el lo

st, b

ut li

kely

“C

ost o

f Liv

ing

Incr

ease

s”]

1979

19

80

Ref

eren

ce m

ater

ials

and

orig

inal

han

dwrit

ten

note

s K

ept n

one

[Lab

el lo

st b

ut li

kely

“C

redi

ting

of S

ervi

ce”]

19

78

1978

Ph

otoc

opy

of n

ote

from

DoL

to S

ache

r res

pond

ing

to a

Sac

her r

eque

st.

Kep

t non

e

Crim

inal

Pro

visi

ons

1979

19

79

Orig

inal

cor

resp

onde

nce

from

DoL

Insp

ecto

r Gen

eral

to H

AW

in re

spon

se to

his

requ

est a

t a

hear

ing

Kep

t non

e

Edw

ard

Cro

ss

1978

19

78

Phot

ocop

y of

cor

resp

onde

nce

from

a A

FL-C

IO lo

cal S

ecre

tary

-Tre

asur

er re

: a d

ispu

te o

ver

retir

emen

t ben

efits

, with

cop

y of

Loc

al’s

retir

emen

t fun

d ru

les.

Kep

t non

e

Jack

Cur

tis

1980

19

80

Ford

fold

er. D

rafts

of a

rticl

e co

-writ

ten

by F

ord

abou

t MPP

AA

. K

ept n

one

Col

lect

ive

Inve

stm

ent

Med

ia

1978

19

79

Sach

er/F

ord

fold

er. M

uch

refe

renc

e m

ater

ial o

n su

bjec

t, in

clud

ing

som

e se

nt d

irect

ly to

Sa

cher

with

orig

inal

tran

smitt

als (

mos

tly IC

I).

Kep

t non

e

Page 17: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

17

Dem

ocra

tic P

latfo

rm

1980

19

80

Phot

ocop

y of

an

FYI n

ote

from

Sac

her t

o ot

her c

omm

ittee

cou

nsel

of a

HA

W D

emoc

ratic

po

licy

stat

emen

t. N

ot re

late

d to

com

mitt

ee b

usin

ess.

Ref

# 48

2. M

ade

copy

.

[Lab

el lo

st b

ut li

kely

“D

OL

Adm

inis

tratio

n”]

1977

19

79

Sach

er fo

lder

. Cop

ies o

f arti

cles

re: E

RIS

A a

dmin

istra

tion,

stat

emen

t by

Adm

inis

trato

r bef

ore

Sena

te Ju

dici

ary

Com

mitt

ee; t

rans

crip

ts o

f pro

ceed

ings

for s

ome

Adv

isor

y C

ounc

il (L

abor

) m

eetin

gs; c

arbo

n of

Lab

or n

ote

to H

AW

resp

ondi

ng to

his

requ

est a

t a h

earin

g fo

r inf

o.

Kep

t non

e

[Lab

el lo

st b

ut li

kely

“D

anie

l Cas

e”]

1978

19

79

Mos

tly p

ublis

hed

refe

renc

e m

ater

ial o

n D

anie

l, m

ostly

clip

ping

s. Ph

otoc

opy

of p

aper

au

thor

ed b

y Sa

cher

on

“Cer

tain

Sec

uriti

es L

aw A

pplic

atio

ns to

Em

ploy

ee B

enef

it Pl

ans”

and

ou

tline

of S

ache

r rem

arks

for a

n SM

U sy

mpo

sium

on

bene

fits.

Kep

t non

e

Dav

is-B

acon

Act

19

79

1979

C

ongr

ess R

ecor

d K

ept n

one

Daw

son

v. W

hala

nd

1977

19

77

Cop

y of

an

amic

us fi

led

in c

ase

Kep

t non

e [L

abel

lost

but

like

ly

“Ded

uctio

n fo

r Em

ploy

ee

Con

tribu

tions

”]

1978

19

78

Phot

ocop

y of

not

e fr

om M

icha

el G

ordo

n (o

utsi

de la

w fi

rm li

kely

repr

esen

ting

a tru

st fu

nd) t

o co

unse

l of H

R su

bcom

mitt

ee re

: IR

As.

Kep

t non

e

[Lab

el lo

st b

ut li

kely

“D

efer

red

Com

pens

atio

n”]

1978

19

78

Ref

eren

ce m

ater

ials

on

subj

ect

Kep

t non

e

Def

ined

Con

tribu

tion

[DC

] Pla

ns

1978

19

78

Phot

ocop

y of

cor

resp

onde

nce

from

AD

P (D

C se

rvic

e pr

ovid

er) t

o C

umm

ings

and

Ker

shaw

id

entif

ying

DC

adv

anta

ges.

Kep

t non

e

[Lab

el lo

st]

1977

19

79

Phot

ocop

y of

not

e fr

om D

oL to

Com

ptro

ller G

ener

al, v

ario

us c

lippi

ngs.

Kep

t non

e ER

ISA

5. L

itiga

tion

Invo

lvin

g ER

ISA

19

78

1979

Sa

cher

fold

er. P

hoto

copi

es o

f var

ious

cas

es a

nd a

rticl

es re

: cas

es. A

lso

here

(lik

ely

mis

filed

) is

orig

inal

not

e fr

om S

ache

r to

HA

W (r

etur

ned

to S

ache

r) re

: pro

gres

s on

ERIS

A

impr

ovem

ents

act

of 1

978

(S. 3

017)

.

Ref

# 11

. Mad

e co

py o

f Sa

cher

not

e to

HA

W

ERIS

A 6

. Inv

estig

atio

ns

1978

19

78

Sach

er fo

lder

. Orig

inal

tran

smitt

al fr

om N

atio

nal P

ensi

on F

und

to S

ache

r of a

not

e se

nt to

D

oL re

subp

oena

s. K

ept n

one

[Lab

el lo

st]

1977

19

77

Phot

ocop

y of

a re

port

from

DoL

to C

ongr

ess i

n co

mpl

ianc

e w

ith E

RIS

A

Kep

t non

e O

rigi

nal A

nnex

Box

# 2

05a

Com

mitt

ee c

ouns

el fo

lder

s (Sa

cher

and

For

d). M

ostly

refe

renc

e m

ater

ials

or e

xcha

nges

on

tech

nica

l pen

sion

mat

ters

. EE

OC

19

80

1980

O

rigin

al c

orre

spon

denc

e fr

om la

w fi

rm to

HA

W re

: EEO

C c

hang

e to

ben

efits

cal

cula

tion

Kep

t non

e Eq

ual P

ay-C

ompa

rabl

e V

alue

Jobs

19

79

1980

Sa

cher

fold

er. O

rigin

al tr

ansm

ittal

from

the

Lega

l Tim

es to

Sac

her o

f var

ious

arti

cles

on

gend

er p

ay e

quity

; pho

toco

py o

f EEO

C fi

ndin

g in

sex

disc

rimin

atio

n ca

se.

Kep

t non

e

ERIC

19

79

1979

O

rigin

al c

orre

spon

denc

e fr

om la

w fi

rm to

Sac

her r

e: ta

x de

duct

ions

K

ept n

one

[Lab

el lo

st b

ut li

kely

“E

RIS

A A

dvis

ory

Cou

ncil”

]

1977

19

80

Sach

er fo

lder

. Tra

nscr

ipts

of m

eetin

gs a

nd o

ther

mat

eria

l fro

m C

ounc

il (E

RIC

), so

me

with

Sa

cher

’s o

rigin

al h

andw

ritte

n no

tes.

Kep

t non

e

[Lab

el lo

st]

1977

19

77

Bill

prin

t of S

. 181

5 (n

ot H

AW

) K

ept n

one

ERIS

A 3

. Adv

isor

y C

ounc

il 19

78

1978

C

opy

of p

roce

edin

gs o

f a c

ounc

il m

eetin

g se

nt to

Sac

her.

Kep

t non

e

Page 18: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

18

Dep

t of L

abor

5.

Adv

isor

y C

ounc

il 19

79

1979

C

opy

of p

roce

edin

gs o

f a c

ounc

il m

eetin

g K

ept n

one

Labo

r Dep

t Stu

dies

on

S.

209

1978

19

79

Cop

y of

3 D

oL re

ports

on

pens

ion

plan

fund

ing

cost

s re

S.20

9 (H

AW

bill

) K

ept n

one

Empl

oyee

Ben

efit

Res

earc

h In

stitu

te

1978

19

78

Ref

eren

ce m

ater

ial:

pam

phle

ts a

nd o

ther

doc

umen

ts p

ublis

hed

by E

BR

I K

ept n

one

[Lab

el lo

st]

1978

19

78

Wal

l St J

ourn

al c

lippi

ng

Kep

t non

e [L

abel

lost

but

like

ly

“Dis

abili

ty R

educ

tions

”]

1978

19

78

Orig

inal

CR

S re

spon

se to

Sac

her r

eque

st fo

r inf

o an

d m

ater

ials

re: r

elat

ion

of p

rivat

e vs

So

cial

Sec

urity

ben

efit

paym

ents

K

ept n

one

Dis

crim

inat

ion

1977

19

77

Orig

inal

cop

y to

HA

W o

f cor

resp

onde

nce

re: c

harg

e of

dis

crim

inat

ion

in p

ensi

on p

aym

ents

. K

ept n

one

[Lab

el lo

st b

ut li

kely

“D

isqu

alifi

catio

n”]

1978

19

78

Phot

ocop

y of

arti

cle

Kep

t non

e

Dua

l Jur

isdi

ctio

n 19

78

1978

Ph

otoc

opy

of a

rticl

e K

ept n

one

Phili

p D

oria

n 19

78

1978

Ph

otoc

opy

of c

orre

spon

denc

e fr

om in

sura

nce

agen

t to

Sach

er re

: the

ir m

eetin

g on

ER

ISA

ru

les

Kep

t non

e

Duk

e La

w Jo

urna

l 19

78

1978

Ph

otoc

opy

of n

ote

from

Jour

nal i

nviti

ng H

AW

to p

artic

ipat

e in

a sy

mpo

sium

, Sac

her’

s not

e to

HA

W su

gges

ting

they

co-

auth

or, a

nd o

rigin

al n

ote

from

Jour

nal t

o Sa

cher

whi

ch su

gges

ts

Sach

er is

pur

suin

g th

is a

lone

.

Kep

t non

e

EBP

Inve

stm

ent M

edia

19

77

1977

W

all S

t Jou

rnal

clip

ping

K

ept n

one

EBS-

1 19

78

1978

C

opy

of n

ote

from

con

sulta

nts t

o D

oL

Kep

t non

e Em

ploy

ee B

enef

it C

ounc

il 19

80

1980

Fo

rd fo

lder

. Exc

hang

es b

etw

een

HA

W a

nd O

MB

on

a pr

opos

al, w

ith b

riefin

g no

tes t

o H

AW

fr

om F

ord.

Inte

rage

ncy

Empl

oyee

Ben

efits

Cou

ncil

(IEB

C).

Ref

eren

ce m

ater

ial i

nclu

ding

Pr

esid

entia

l Com

mis

sion

on

Pens

ion

Polic

y re

port

(with

han

dwrit

ten

anno

tatio

ns) a

nd

Adv

isor

y co

unci

l mee

ting

trans

crip

t.

Ref

# 50

. Mad

e co

py o

f Fo

rd/H

AW

/OM

B

exch

ange

s.

2. In

vest

igat

ions

19

77

1978

C

lippi

ng; o

rigin

al c

opy

of C

ompt

rolle

r Gen

eral

repo

rt “L

aws P

rote

ctin

g U

nion

Mem

bers

&

Thei

r Pen

sion

& W

elfa

re B

enef

its S

houl

d be

Bet

ter E

nfor

ced”

K

ept n

one

Dep

t of L

abor

3.

Enfo

rcem

ent

1979

19

79

Cop

y of

DoL

pro

gres

s rep

ort f

rom

Adv

isor

y co

unci

l mee

ting

Kep

t non

e

[Lab

el lo

st b

ut li

kely

“D

OL

Stat

us R

epor

t R

egs”

]

1979

19

79

Cop

y to

HA

W o

f cor

resp

onde

nce

from

act

uary

to D

oL re

: ben

efit

reco

rdke

epin

g re

gula

tions

K

ept n

one

DO

L 19

79 B

udge

t 19

78

1978

Ph

otoc

opie

s of D

oL p

ress

rele

ases

and

det

aile

d bu

dget

requ

est;

copy

of d

raft

HA

W/J

avits

no

te to

App

ropr

iatio

ns C

omm

ittee

re: e

nfor

cem

ent f

unds

. K

ept n

one

[Lab

el lo

st]

1977

19

77

Orig

inal

cor

resp

onde

nce

to H

AW

from

Cos

t Acc

ount

ing

Stan

dard

s Boa

rd tr

ansm

ittin

g pr

opos

ed re

gula

tions

for p

ensi

on c

osts

(with

regu

latio

ns to

be

publ

ishe

d in

Reg

iste

r)

Kep

t non

e

[Lab

el lo

st b

ut li

kely

“D

irect

ed T

rust

s”]

1977

19

77

Phot

ocop

y of

a st

udy

from

John

Han

cock

Insu

ranc

e re

: ER

ISA

impa

ct o

n di

rect

ed tr

usts

. K

ept n

one

Page 19: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

19

Ori

gina

l Ann

ex B

ox #

206

C

omm

ittee

cou

nsel

Gar

y Fo

rd w

orki

ng fi

les d

atin

g fr

om Ju

ne-J

uly

1980

. All

rela

ted

to S

.107

6 co

nsid

erat

ions

. Mat

eria

ls in

clud

es d

raft

lang

uage

for b

ills a

nd a

men

dmen

ts

with

orig

inal

ann

otat

ions

and

edi

ts (t

his i

s the

bul

k), c

heck

lists

of i

tem

s to

incl

ude

or w

atch

for;

back

grou

nd d

ocum

ents

from

DoL

, oth

er C

omm

ittee

s, et

c. fo

und

else

whe

re in

oth

er b

oxes

but

her

e m

arke

d-up

with

ann

otat

ions

; orig

inal

not

es a

nd c

orre

spon

denc

e di

rect

to F

ord

from

law

firm

s pro

posi

ng sp

ecifi

c la

ngua

ge fo

r var

ious

pa

rts o

f the

bill

. All

mat

eria

l loo

se o

r loo

sely

fold

ered

, and

ver

y he

avily

ann

otat

ed. F

ord’

s red

pen

and

not

eboo

ks a

re in

clud

ed. T

here

are

cop

ies o

f 4 b

riefin

g pa

pers

from

Fo

rd o

r Dar

ryl A

nder

son

to H

AW

for t

he Ju

ly 2

8-29

floo

r deb

ate.

R

ef#

27: K

ept c

opie

s of B

CO

A/U

MW

A m

atte

r, re

late

d to

mat

eria

l fou

nd in

box

201

. R

ef#

29: M

ade

copy

of b

riefin

g m

ater

ials

. Kep

t cop

y of

not

e to

Sen

ator

s Lon

g an

d B

ents

en. K

ept c

opy

of S

.107

6 Su

mm

ary

and

Ana

lysi

s of C

onsi

dera

tions

by

Sect

ion

(sam

e as

in b

ox 2

12).

Ori

gina

l Ann

ex B

ox #

207

C

omm

ittee

cou

nsel

fold

ers,

likel

y Fo

rd’s

. [B

ill p

rints

] 19

79

1980

A

serie

s of f

olde

rs c

onta

inin

g bi

ll pr

ints

and

som

e re

late

d C

ongr

ess R

ecor

ds re

: ret

irem

ent-

rela

ted

bills

. Fol

ders

con

tain

ing

bills

are

num

bere

d 16

-23,

26-

31, p

lus a

Mis

cella

neou

s fol

der

and

enac

ted

bills

in fo

lder

s III

. 1 a

nd 2

. The

se a

re a

ll lik

ely

the

cont

inua

tion

of th

e ru

n fo

und

in b

ox 2

00. O

nly

one

is a

HA

W b

ill. S

ome

orig

inal

han

dwrit

ten

note

s in

the

Mis

c fo

lder

.

Kep

t non

e

[Loo

se]

1979

19

79

Uno

pene

d up

date

of P

ensi

on &

Pro

fit S

harin

g R

epor

t sub

scrip

tion

mai

led

to F

ord.

Rep

rint o

f H

AW

and

Javi

ts C

ongr

ess R

ecor

d st

atem

ents

intro

duci

ng S

.209

(ER

ISA

Impr

ovem

ent A

ct,

succ

esso

r to

unpa

ssed

S.3

017

of 1

978.

)

Kep

t non

e

Stat

emen

t for

[…]

1980

19

80

Cop

ies o

f flo

or re

mar

ks fo

r cal

ling

up H

R 7

685

(30

day

PBG

C p

aym

ent d

elay

). H

andw

ritte

n no

tes a

nd w

hat a

ppea

rs to

be

draf

t rem

arks

for a

rela

ted

topi

c.

Ref

# 62

. Kep

t cop

y of

re

mar

ks.

Dis

cuss

ion

draf

t #4

1979

19

79

Phot

ocop

y of

June

26,

197

9 dr

aft o

f S.1

076.

(app

ears

to b

e pa

rt of

run

foun

d in

box

202

) K

ept n

one

Sum

mar

y of

S.1

076

for

the

Dem

ocra

tic P

olic

y C

omm

ittee

1980

19

80

Phot

ocop

y of

the

com

mitt

ee p

rint o

f S. 1

076

sum

mar

y &

ana

lysi

s of c

onsi

dera

tion

(app

ears

to

be

part

of ru

n fo

und

in b

ox 2

02)

Kep

t non

e

S. 1

076

as in

trodu

ced

May

3, 1

979

1979

19

79

Phot

ocop

y of

orig

inal

S.1

076

bill

prin

t (ap

pear

s to

be p

art o

f run

foun

d in

box

202

) K

ept n

one

[Lab

el lo

st]

1980

19

80

App

ears

to b

e an

othe

r cop

y of

the

disc

ussi

on d

raft

#4 o

f S10

76 o

f Jun

e 26

, 198

0 (a

ppea

rs to

be

par

t of r

un fo

und

in b

ox 2

02)

Kep

t non

e

Com

mitt

ee p

rint o

n S1

076,

S&

AC

19

80

1980

Ph

otoc

opy

of th

e co

mm

ittee

prin

t of S

. 107

6 su

mm

ary

& a

naly

sis o

f con

side

ratio

n. A

ppea

rs

to b

e th

e sa

me

as d

ocum

ent a

bove

. (ap

pear

s to

be p

art o

f run

foun

d in

box

202

) K

ept n

one

Com

mitt

ee p

rint o

n S.

10

76

1980

19

80

Prin

t of a

men

ded

S. 1

076

circ

a A

pril

1980

(app

ears

to b

e pa

rt of

run

foun

d in

box

202

) K

ept n

one

Page 20: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

20

Cha

nges

in E

xist

ing

Law

M

ade

by th

e bi

ll as

re

porte

d (R

amse

yer

vers

ion)

ud

ud

Phot

ocop

y of

ER

ISA

with

prin

ted

anno

tatio

ns o

f cha

nges

(pre

sum

ably

S.1

076

chan

ges)

(a

ppea

rs to

be

part

of ru

n fo

und

in b

ox 2

02)

Kep

t non

e

[Unl

abel

ed]

1980

19

80

Ford

fold

er. E

dite

d co

py o

f HR

390

4 bi

ll pr

int (

July

29)

. Pho

toco

py o

f HR

390

4 am

endm

ent

with

som

e or

igin

al a

nnot

atio

ns. D

raft

lang

uage

of r

emar

ks. O

rigin

al h

andw

ritte

n no

tes.

Cop

y of

Wal

lop,

et a

l Dea

r Col

leag

ue re

: sup

porti

ng H

R 3

904

amen

ds. I

ntra

-sta

ff n

otes

(one

or

igin

al) f

rom

Aug

re: H

R 3

904

chan

ges.

Ref

# 62

. Mad

e co

py o

f tw

o st

aff n

otes

. Mad

e co

py o

f W

allo

p D

ear C

olle

ague

le

tter.

Ori

gina

l Ann

ex B

ox #

208

C

omm

ittee

cou

nsel

fold

ers (

incl

udin

g m

ore

Gen

eral

ER

ISA

fold

ers)

, inc

ludi

ng S

ache

r. G

ener

ally

thes

e fo

lder

s are

refe

renc

e m

ater

ial.

Mor

gan

Gua

rant

y Tr

ust

Co

(MG

TC)

1977

19

77

Doc

umen

ts re

late

d to

S. 2

85 w

hich

app

aren

tly a

imed

to re

duce

con

cent

ratio

n of

equ

ity

hold

ings

in p

ensi

on fu

nds.

Som

e re

latio

n to

ER

ISA

rule

s. Is

sue

dire

ctly

invo

lved

B

ents

en/F

inan

ce C

omm

ittee

. Mor

gan

cite

d as

spec

ific

case

of m

anag

er in

fluen

cing

stoc

k pr

ices

thro

ugh

exce

ssiv

e ho

ldin

gs. M

ater

ial i

s fro

m M

orga

n, in

clud

ing

Mor

gan

stat

emen

t to

Fina

nce,

pre

ss re

leas

e, re

sear

ch st

udie

s con

duct

ed fo

r Mor

gan,

sam

ples

of M

orga

n tra

nsac

tions

/repo

rts/in

vest

men

t man

agem

ent m

eetin

gs.

Kep

t non

e

[Lab

el lo

st b

ut li

kely

“P

artic

ipat

ion”

] 19

77

1977

Ph

otoc

opy

of re

mar

ks o

utlin

e fr

om a

n at

torn

ey p

rese

nted

at S

MU

sem

inar

. Fed

Reg

iste

r rul

es

Kep

t non

e

[Lab

el lo

st]

1978

19

79

Sach

er fo

lder

. Pho

toco

pies

of s

ever

al n

otes

with

atta

chm

ents

from

Sac

her t

o H

AW

. Orig

inal

co

rres

pond

ence

and

pos

ition

stat

emen

t sen

t to

Sach

er b

y Te

amst

ers l

aw fi

rm re

: PB

GC

fu

ndin

g. O

rigin

al h

andw

ritte

n no

tes.

Ano

ther

SM

U se

min

ar re

mar

ks o

utlin

e.

Ref

# 63

. Mad

e co

pies

of

Sach

er/H

AW

not

es.

P.L

95-2

14-T

itle

IX

ERIS

A: P

BG

C P

rem

ium

In

crea

se S

tudy

1977

19

77

Car

bon

of S

ept 2

9 no

te fr

om P

BG

C to

HA

W tr

ansm

ittin

g th

eir a

naly

sis P

rem

ium

R

equi

rem

ent f

or th

e Si

ngle

Em

ploy

er B

asic

Ben

efits

Insu

ranc

e Pr

ogra

m, p

arts

I an

d II

(f

ollo

w-u

p on

thei

r 9/2

3 re

ques

t for

pre

miu

m in

crea

se),

with

pho

toco

py o

f ana

lysi

s.

Kep

t non

e

Mul

tiem

ploy

er P

lans

as

Def

ined

Con

tribu

tion

Plan

s

ud

ud

Bou

nd re

sear

ch re

port

“Inv

estm

ent R

egul

atio

n of

Mul

tiem

ploy

er P

lans

: An

Alte

rnat

ive

to

ERIS

A’s

Titl

e IV

” by

a C

ase

Wes

tern

law

pro

f (re

fere

nce

mat

eria

l) K

ept n

one

Nat

iona

l Ret

irem

ent

Polic

y 19

79

1979

Ph

otoc

opy

of d

raft

of re

sear

ch re

port

prep

ared

for C

omm

ittee

for E

cono

mic

Dev

elop

men

t (r

efer

ence

mat

eria

l) K

ept n

one

New

Jers

ey B

anks

19

77

1977

C

lippi

ngs f

rom

Wal

l St J

ourn

al re

mob

/uni

ons/

bank

s K

ept n

one

New

Jers

ey M

ilk

Indu

stry

Fun

d 19

77

1977

O

rigin

al c

orre

spon

denc

e fr

om P

BG

C to

HA

W w

ith le

gal n

otifi

catio

n of

pay

men

ts b

egun

to

milk

loca

l fun

d. R

elat

ed n

ews c

lippi

ngs a

nd P

BG

C p

ress

rele

ase.

Orig

inal

not

e fr

om S

ache

r to

HA

W, r

etur

ned

to S

ache

r with

HA

W c

omm

ent,

re: r

esol

utio

n of

mat

ter.

Ref

# 75

. Mad

e co

pies

New

Jers

ey T

eam

ster

s 19

77

1977

C

lippi

ngs f

rom

Wal

l St J

ourn

al o

n m

ob/u

nion

K

ept n

one

New

Yor

k C

ity P

ensi

on

Plan

s 19

78

1978

W

all S

t Jou

rnal

clip

ping

K

ept n

one

1978

Bill

19

78

1978

W

ashi

ngto

n P

ost c

lippi

ng

Kep

t non

e

Page 21: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

21

Nat

iona

l Pla

nnin

g A

ssoc

iatio

n ud

ud

Fl

yer w

ith in

form

atio

n on

this

org

aniz

atio

n K

ept n

one

Nom

inat

ion

Hea

ring

on

Will

iam

Hob

good

19

79

1979

Ph

otoc

opy

of n

omin

atio

n fo

rm (A

sst S

ecre

tary

of L

abor

) and

pub

licly

-dis

clos

ed p

ortio

n of

pe

rson

al d

iscl

osur

e fo

rm. P

hoto

copi

es o

f HA

W re

mar

ks, q

uest

ions

, Sac

her c

omm

ents

to

HA

W.

Ref

# 56

. Mad

e co

py o

f H

AW

que

stio

ns a

nd

rem

arks

. N

orm

al R

etire

men

t Age

19

78

1978

C

opy

of a

rticl

e fr

om P

ensi

on P

lann

ing

& C

ompl

ianc

e K

ept n

one

Mul

tinat

iona

l Pla

ns

1979

19

79

Clip

ping

from

Nat

iona

l Law

Jour

nal;

cons

ulta

nt p

ublic

atio

n K

ept n

one

Mul

tiple

Em

ploy

er

Trus

ts

1977

19

77

Cop

ies o

f ind

ustry

ass

ocia

tion

lette

r to

DoL

and

ope

n le

tter t

o C

ongr

ess;

clip

ping

K

ept n

one

Mut

ual F

unds

19

76

1979

C

opie

s of v

ario

us IC

I mem

ber n

otic

es; r

eprin

t of D

uke

Law

Jour

nal a

rticl

e on

mut

ual

fund

s/ER

ISA

K

ept n

one

Nac

hman

Cas

e 19

79

1980

Pr

int o

f a b

rief o

f Sup

rem

e C

ourt

case

(inv

olve

d PB

GC

); re

late

d cl

ippi

ng

Kep

t non

e [L

abel

lost

] 19

78

1978

Li

st o

f atte

ndee

s at S

MU

sym

posi

um o

n em

ploy

ee b

enef

its (i

nclu

ding

Sac

her)

. K

ept n

one

[Lab

el lo

st]

ud

ud

Phot

ocop

y of

mem

bers

hip

broc

hure

for N

atio

nal A

ssoc

iatio

n of

Sm

all R

etire

men

t Pla

ns

Kep

t non

e N

CC

MP

1977

19

80

Nat

iona

l Coo

rdin

atin

g C

omm

ittee

for M

ultie

mpl

oyer

Pla

ns n

ewsl

ette

r (Sa

cher

’s o

rigin

als)

; ph

otoc

opie

s of N

CC

MP

prop

osed

ER

ISA

am

endm

ents

and

circ

ular

mem

os to

thei

r mem

bers

K

ept n

one

[Lab

el lo

st]

1978

19

78

Orig

inal

not

e fr

om S

en. F

rank

Chu

rch

to H

AW

requ

estin

g co

ordi

natio

n w

ith C

hurc

h’s

upco

min

g he

arin

gs b

y Sp

ecia

l Com

mitt

ee o

n A

ging

. Pho

toco

pies

of m

ater

ial e

nclo

sed

as

back

grou

nd fo

r the

hea

ring.

Kep

t non

e

Com

mun

icat

ions

W

orke

rs

ud

ud

Han

dwrit

ten

note

(loo

ks li

ke S

ache

r) o

f con

vers

atio

n w

ith L

ou G

erbe

r of C

W

Kep

t non

e

Com

mun

ity P

rope

rty

1978

19

78

Phot

ocop

y of

a c

ourt

deci

sion

K

ept n

one

Mog

lia

ud

ud

Phot

ocop

y of

Fed

Rep

orte

r pag

es o

f a c

ourt

case

and

194

7 la

bor r

elat

ions

act

; orig

inal

ha

ndw

ritte

n no

tes

Kep

t non

e

[Lab

el lo

st b

ut li

kely

“M

anas

sas P

ark

Expa

nsio

n”]

1979

19

79

Sach

er fo

lder

. Tra

nsm

ittal

of i

nfor

mat

ion

on b

ill to

Sac

her f

rom

Rep

. Har

ris o

ffic

e. C

ongr

ess

Rec

ord

info

rmat

ion.

K

ept n

one

Man

dato

ry P

rivat

e Pe

nsio

n Sy

stem

19

80

1980

Ph

otoc

opy

of re

port

from

Gru

bbs t

o H

R C

omm

ittee

on

Agi

ng; o

rigin

al tr

ansm

ittal

from

law

fir

m o

f ER

IC (E

RIS

A In

dust

ry C

omm

ittee

) to

Ford

of s

tate

men

ts g

iven

to P

resi

dent

ial

Com

mis

sion

on

Pens

ion

Polic

y; st

atem

ents

hav

e or

igin

al a

nnot

atio

ns

Kep

t non

e

Mar

kup

on S

. 209

19

79

1979

Ph

otoc

opie

s of m

ater

ial t

hat a

ppea

r to

be b

riefin

g bo

ok fo

r S. 2

09 c

omm

ittee

mar

k-up

se

ssio

n. C

opie

s of H

AW

pre

ss re

leas

e on

com

mitt

ee a

ppro

val.

Orig

inal

not

e fr

om S

ache

r to

HA

W fo

llow

ing

up a

fter m

eetin

g. O

rigin

al S

ache

r cop

y of

a n

ote

from

con

sulta

nts t

o B

ents

en

aide

. Pho

toco

py o

f sec

tion

by se

ctio

n an

alys

is (o

f 209

?) o

f whi

ch p

artie

s opp

ose/

favo

r.

Ref

# 19

. Mad

e co

py o

f m

ost m

ater

ials

.

Mat

suna

ga R

eal P

rope

rty

Inve

stm

ent A

men

dmen

t-S.

1958

1980

19

80

App

ears

to b

e H

AW

cop

y of

a n

ote

from

Ark

ansa

s com

pany

to th

eir s

enat

ors r

e: M

atsu

naga

bi

ll.

Kep

t non

e

Not

eabl

e bi

ll 95

:2

1977

19

78

Sach

er fo

lder

. Mos

tly p

rints

of v

ario

us b

ills,

mos

tly fr

om 9

5th, 2

nd se

ssio

n an

d m

ostly

rela

ted

to IR

C. N

one

appe

ar to

be

HA

W b

ills.

Con

gres

s Rec

ords

and

cop

ies o

f som

e re

late

d do

cum

ents

. Som

e in

tra-s

taff

not

es o

n so

me

bills

or o

rigin

al a

nnot

atio

ns.

Kep

t non

e

Jose

phin

e M

atth

ews

1980

19

80

Orig

inal

cor

resp

onde

nce

from

Pre

ntic

e-H

all p

ublis

her t

o Fo

rd se

ekin

g to

stay

info

rmed

of

pens

ion

law

dev

elop

men

ts.

Kep

t non

e

Page 22: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

22

Tom

McC

ord

1979

19

79

Orig

inal

s and

cop

ies/

carb

ons o

f not

es to

Sac

her a

nd H

AW

re: s

emin

ars

Kep

t non

e M

erge

rs &

C

onso

lidat

ions

19

77

1977

C

lippi

ngs.

Writ

e-up

with

atta

ched

mat

eria

l on

Sect

ion

208

of E

RIS

A

Kep

t non

e

[Lab

el lo

st b

ut li

kely

“M

erril

l Lyn

ch”]

19

77

1978

Sa

cher

fold

er. O

rig c

orre

spon

denc

e fr

om sa

lesm

an to

HA

W o

bjec

ting

to a

n ER

ISA

pr

ovis

ion;

orig

inal

han

dwrit

ten

note

s; b

ackg

roun

d m

emo

from

Mer

rill f

or te

leph

one

call.

K

ept n

one

[Lab

el lo

st b

ut li

kely

“M

ETS”

] 19

79

1979

C

lippi

ngs;

Am

eric

an F

eder

atio

n fo

r Lab

or &

Bus

ines

s pub

licat

ion;

cop

y of

cou

rt ca

se

findi

ngs.

Kep

t non

e

Mili

tary

Pen

sion

s 19

77

1978

C

opy

of c

onst

ituen

t cor

resp

onde

nce

to H

AW

, clip

ping

K

ept n

one

[Lab

el lo

st]

1977

19

78

Orig

inal

han

dwrit

ten

note

s of c

onve

rsat

ion

with

mill

iner

y un

ion

and

phot

ocop

y of

rela

ted

docu

men

t K

ept n

one

Mis

cella

neou

s ER

ISA

R

elat

ed

1977

19

79

A fe

w c

lippi

ngs

Kep

t non

e

[Lab

el lo

st]

1977

19

77

Sach

er fo

lder

. Orig

inal

cor

resp

onde

nce

and

supp

ortin

g m

ater

ial f

rom

Boy

s Clu

bs o

f Am

eric

a to

Sac

her r

egar

ding

thei

r pen

sion

pla

n; o

rigin

al h

andw

ritte

n no

tes o

f mee

ting.

K

ept n

one

Mul

tiem

ploy

er P

lans

-Fi

nanc

ial D

ata

1980

19

80

Phot

ocop

y of

ana

lysi

s for

war

ded

to F

ord

by P

BG

C.

Kep

t non

e

Joe

Pogg

i-GA

I ud

ud

Ph

otoc

opy

of re

gula

tions

, han

dwrit

ten

note

s K

ept n

one

Pape

rwor

k B

urde

n-C

oord

inat

ion

1978

19

79

Phot

ocop

ies a

nd o

ther

mat

eria

ls re

late

d to

gen

eral

con

cern

s ove

r reg

ulat

ory

pape

rwor

k, a

nd

som

e re

latio

n to

ER

ISA

repo

rting

. K

ept n

one

[Lab

el lo

st]

1977

19

78

Sach

er’s

cop

y of

intra

-sta

ff n

otes

on

adm

inis

trativ

e to

pics

(e.g

., Pa

radi

se to

all

staf

f on

polic

ies a

bout

Sen

ate

floor

acc

ess)

K

ept n

one

Ori

gina

l Ann

ex B

ox #

209

C

omm

ittee

cou

nsel

mat

eria

l. H

alf o

f box

is a

rich

set o

f fol

ders

with

indu

stry

cor

resp

onde

nce

and

posi

tion

pape

rs fr

om S

ache

r’s f

iles.

[Unl

abel

ed]

1979

19

80

App

ears

to b

e m

ater

ials

rela

ted

to a

pan

el d

iscu

ssio

n he

ld in

Haw

aii t

hat F

ord

(like

ly)

and/

or S

ache

r par

ticip

ated

in. C

orre

spon

denc

e fr

om a

law

firm

ass

ocia

ted

with

the

pane

l w

ith h

ypot

hetic

al c

ases

, orig

inal

han

dwrit

ten

note

s on

them

, bill

prin

ts (S

.209

and

HR

39

04),

type

d ou

tline

s, C

ongr

ess R

ecor

d. H

onol

ulu/

Haw

aii s

treet

map

, saf

e de

posi

t rec

eipt

(F

ord)

Ref

# 19

and

36.

Kep

t the

se

copi

es o

f S.2

09 su

mm

ary

&

anal

ysis

(sam

e as

in b

ox 2

12)

and

HR

390

4 (s

ame

as in

box

21

3).

S. 1

076

(HR

390

4)

Car

eful

Pre

ss D

raft

1980

19

80

Phot

ocop

y of

ann

otat

ed M

arch

198

0 ve

rsio

n st

ampe

d “C

aref

ul P

RES

S”

Kep

t non

e

Cur

rent

19

80

1980

C

ongr

ess R

ecor

d fo

r Aug

ust 2

1. P

ocke

t fol

ders

for H

R 3

904

8/26

floo

r act

ion

(sev

eral

em

pty)

, oth

ers w

ith c

opie

s of r

emar

ks (g

ener

ally

inco

mpl

ete)

. R

ef#

42. K

ept o

r mad

e co

pies

.

Page 23: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

23

[Chr

ono

inco

min

g co

rres

pond

ence

re: 1

076]

19

79

1980

Sa

cher

’s fo

lder

s. 5”

of f

olde

rs in

chr

onol

ogic

al o

rder

from

Janu

ary

1979

to F

ebru

ary

1980

of

cor

resp

onde

nce

and

posi

tion

stat

emen

ts re

late

d to

S. 1

076/

HR

390

4. T

his i

s a v

ery

rich

set o

f doc

umen

ts in

the

exte

nt to

whi

ch th

ey d

ocum

ent c

ompe

ting

view

poin

ts o

r ex

pres

sion

s of i

nter

est g

roup

s. M

any

orig

inal

mem

os to

eith

er H

AW

or S

ache

r with

in

dust

ry/c

ompa

ny/P

BG

C v

iew

s on

aspe

cts o

f the

bill

s. So

me

gene

ral p

ositi

on p

aper

s or

stat

emen

ts se

nt to

com

mitt

ee. P

aper

s are

gen

eral

ly c

opie

s. Le

tters

are

ofte

n or

igin

al, b

ut

man

y ph

otoc

opie

s as w

ell.

Als

o or

igin

als a

nd c

opie

s of l

ette

rs re

ceiv

ed b

y ot

her s

enat

ors

and

forw

arde

d to

com

mitt

ee. C

opie

s of s

ome

brie

fing

note

s fro

m S

ache

r to

HA

W, p

repp

ing

HA

W fo

r hea

rings

and

mee

tings

. Som

e or

igin

al h

andw

ritte

n no

tes f

rom

con

vers

atio

ns a

nd

mee

tings

with

lobb

yist

s.

Ref

# 30

. Mad

e co

pies

of

brie

fing

note

s. K

ept c

opy

of

PBG

C fa

ct sh

eet.

Ori

gina

l Ann

ex B

ox #

210

C

omm

ittee

file

s of i

ncre

men

tal H

R 3

904/

S. 1

076

vers

ions

, with

ann

otat

ions

. All

phot

ocop

ies,

little

orig

inal

doc

umen

ts. A

thic

k fo

lder

of c

orre

spon

denc

e on

ER

ISA

m

atte

rs re

ferr

ed to

the

subc

omm

ittee

cou

nsel

to a

nsw

er fo

r HA

W’s

sign

atur

e as

Cha

ir.

Com

mitt

ee d

raft

on H

R

3904

(S.1

076)

No.

5

6/27

/80

1980

19

80

2 co

pies

of H

R 3

904,

pre

sum

ably

as o

f 6/2

7. T

wo

note

s app

aren

tly re

flect

ing

the

com

mitt

ee m

embe

r vot

es o

n m

ark-

up a

nd to

repo

rt bi

ll ou

t of c

omm

ittee

. K

ept n

one

S.10

76 D

raft

7/1/

80

1980

19

80

Cop

y of

HR

390

4 (v

ersi

on m

uch

like

abov

e)

Kep

t non

e S.

107

6 Le

g dr

aft

7/17

/80

1980

19

80

Cop

y of

HR

390

4 w

ith c

opie

s of a

nnot

atio

ns c

hang

ing

it to

S.1

076

Kep

t non

e

S.10

76 L

egis

lativ

e dr

aft

7/21

/80

1980

19

80

Cop

y of

S.1

076

(app

ears

to b

e ab

ove’

s rev

isio

n)

Kep

t non

e

Legi

slat

ive

draf

t of

S.10

76 7

/24/

80

1980

19

80

Cop

y of

S.1

076

draf

t with

cop

ies o

f ann

otat

ions

/edi

ts

Kep

t non

e

Tech

nica

l Cor

rect

ions

in

S.10

76 7

/29/

80

1980

19

80

Cop

y of

list

of a

men

dmen

ts (t

echn

ical

cor

rect

ions

) to

S.10

76 la

ngua

ge to

be

prop

osed

. K

ept n

one

Enro

lled

Bill

on

S.10

76,

7/29

/80

1980

19

80

Phot

ocop

y of

HR

390

4 w

ith c

opie

s of a

nnot

atio

ns/e

dits

K

ept n

one

[Cor

resp

onde

nce]

19

79

1979

B

lue

carb

ons o

f HA

W c

orre

spon

denc

e fr

om a

few

mon

ths i

n 19

79 re

: var

ious

asp

ects

of

ERIS

A a

nd o

ther

mat

ters

Car

bons

gen

eral

ly a

ttach

ed to

orig

inal

cor

resp

onde

nce

rece

ived

fr

om in

divi

dual

s, co

mpa

nies

, tra

de a

ssoc

iatio

ns, l

aws f

irms.

Man

y ch

urch

es/c

lerg

y re

: ch

urch

pro

visi

ons.

A c

oupl

e ex

chan

ges w

ith o

ther

sena

tors

. A fe

w e

xcha

nges

invo

lve

Sach

er d

irect

ly.

Ref

# 80

. Mad

e co

pies

of

exch

ange

bet

wee

n H

AW

and

Pr

oxm

ire/G

arn.

Page 24: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

24

Ori

gina

l Ann

ex B

ox #

211

C

omm

ittee

cou

nsel

fold

ers,

gene

rally

Sac

her f

olde

rs o

n va

rious

ER

ISA

-rel

ated

asp

ects

. Mos

t im

porta

nt a

nd u

sefu

l is f

olde

r of P

BG

C d

ocum

ents

. [C

orre

spon

denc

e]

1979

19

80

Blu

e ca

rbon

s of H

AW

cor

resp

onde

nce

for a

few

mon

ths i

n 19

80 re

: var

ious

asp

ects

of

ERIS

A. C

arbo

ns g

ener

ally

atta

ched

to o

rigin

al c

orre

spon

denc

e re

ceiv

ed fr

om in

divi

dual

s, co

mpa

nies

, tra

de a

ssoc

iatio

ns, l

aws f

irms.

Man

y ch

urch

es/m

inis

ters

re: c

hurc

h pr

ovis

ions

.

Kep

t non

e

[Unl

abel

ed]

1977

19

78

4 Sa

cher

fold

ers c

onta

inin

g ke

y do

cum

ents

rela

ted

to P

BG

C m

ultie

mpl

oyer

pro

ject

(wha

t be

com

es S

. 107

6). T

able

of c

onte

nts f

or it

ems t

abbe

d A

-X (t

abs F

-S n

ot h

ere)

. Inc

lude

s Sa

cher

’s o

rigin

al h

andw

ritte

n no

tes f

rom

mee

tings

on

the

subj

ect.

Goe

s fro

m D

ec ’7

7 to

Sep

t ’7

9.

Kep

t non

e

Ban

krup

tcy

Prio

ritie

s 19

77

1978

Sa

cher

fold

er. B

ill p

rints

of S

. 226

6 an

d H

R 8

200

(not

HA

W o

r HA

W c

omm

ittee

). O

rigin

al

hand

writ

ten

note

s re:

the

bills

and

mee

ting

on th

em. A

spec

ts o

f the

bill

s con

cern

PB

GC

; ph

otoc

opy

of n

ote

from

PB

GC

to S

en. D

e C

onci

ni fo

rwar

ded

by M

itch

Stric

kler

(PB

GC

?) to

Sa

cher

.

Kep

t non

e

Arti

cles

19

80

1980

C

lippi

ngs (

Sach

er to

For

d) re

: pen

sion

s/ER

ISA

K

ept n

one

Aut

omat

ic D

ata

Proc

essi

ng

1980

19

80

Phot

ocop

ies o

f DoL

exc

hang

es w

ith A

DP

and

copy

of E

RIS

A a

men

dmen

ts w

ith o

rigin

al

unde

rlini

ng/a

nnot

atio

ns

Kep

t non

e

AT&

T R

ecip

roci

ty

1979

19

79

Sach

er fo

lder

. Bin

der w

ith o

rigin

al c

orre

spon

denc

e fr

om A

T&T

to S

ache

r re:

Bel

l sys

tem

pe

nsio

ns in

re: S

. 209

; sev

eral

atta

ched

rela

ted

docu

men

ts.

Kep

t non

e

Chu

rch

1979

19

80

Orig

inal

cor

resp

onde

nce

to S

ache

r or H

AW

re: c

hurc

h im

pact

of E

RIS

A; c

opy

of n

ote

to

HA

W fr

om S

ache

r on

mat

ter.

Phot

ocop

ies o

f bac

kgro

und

on E

EOC

/relig

ious

inst

itutio

n re

latio

n.

Kep

t non

e

Ass

ignm

ent &

A

liena

tion

1978

19

79

Sach

er fo

lder

. Orig

inal

cor

resp

onde

nce

to S

ache

r re:

ER

ISA

/spo

usal

supp

ort.

Bac

kgro

und

artic

les a

nd p

aper

s on

subj

ect.

Kep

t non

e

Ass

oc o

f Priv

ate

Pens

ion

& W

elfa

re

Plan

s

1979

19

80

Orig

inal

trad

e as

soci

atio

n pa

per f

orw

arde

d to

HA

W/S

ache

r.

Kep

t non

e

[Clip

ping

s]

1978

19

78

Cop

ies o

f clip

ping

s fro

m W

ashi

ngto

n Po

st o

f 11/

12/7

8 re

: pen

sion

s & re

tirem

ent

Kep

t non

e [L

abel

lost

but

like

ly “

Cen

tral

Stat

es T

eam

ster

s Pen

sion

Fun

d”]

1978

19

79

Phot

ocop

ies o

f DoL

cou

rt fil

ings

and

oth

er d

ocum

ents

aga

inst

Cen

tral S

tate

s. C

opie

s of

cor

resp

onde

nce

to H

AW

. K

ept n

one

Bro

ker-

Dea

ler

Exem

ptio

n 19

78

1978

Ph

otoc

opy

of A

CLI

pos

ition

pap

er a

nd re

late

d D

oL p

ropo

sal.

Kep

t non

e

Bud

get

1980

19

80

Phot

ocop

ies o

f com

mitt

ee in

tra-s

taff

note

s re:

pro

gram

bud

get p

lann

ing

Kep

t non

e C

afet

eria

Pla

ns

1978

19

78

Ref

eren

ce m

ater

ial o

n su

bjec

t K

ept n

one

Cap

tive

Insu

rers

19

79

1979

R

efer

ence

mat

eria

l on

subj

ect

Kep

t non

e C

ELI

1977

19

77

Ref

eren

ce m

ater

ial o

n lia

bilit

y in

sura

nce

sent

to H

AW

by

an in

sura

nce

com

pany

K

ept n

one

Page 25: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

25

Ben

efit

Stat

us R

epor

ts

1979

19

79

Orig

inal

cor

resp

onde

nce

to S

ache

r and

atta

ched

mat

eria

ls fr

om c

ompa

ny re

: pen

sion

pla

n re

porti

ng

Kep

t non

e

Ori

gina

l Ann

ex B

ox #

212

C

omm

ittee

cou

nsel

fold

ers (

Ford

).

Cha

nges

for F

inal

Sen

ate

Bill

19

80

1980

Fo

rd fo

lder

. Orig

inal

cor

resp

onde

nce

from

var

ious

law

firm

s and

ass

ocia

tions

to F

ord

with

po

sitio

ns a

nd sp

ecifi

c la

ngua

ge fo

r S. 1

076/

HR

390

4. R

elat

ed b

ill p

rints

. Orig

inal

ha

ndw

ritte

n no

tes.

Ref

# 36

. Kep

t S.1

076

prin

t (s

ame

as b

ox 2

13) a

nd H

R

3904

. D

iscu

ssio

ns fo

r Min

i-C

onfe

renc

e be

twee

n Se

nate

Lab

or H

R C

om &

Se

n Fi

nanc

e C

om

1980

19

80

An

unus

ual f

olde

r. M

arki

ngs i

ndic

ate

that

it b

elon

gs to

eith

er F

eder

or W

alsh

e, b

ut th

ey a

re in

ou

tsid

e fir

m. I

nclu

des c

opie

s of d

raft

and

final

NC

CM

P po

sitio

ns, P

BG

C-p

repa

red

3904

/107

6 co

mpa

rison

(at J

une)

; and

orig

inal

han

dwrit

ten

note

s of m

eetin

g be

twee

n co

mm

ittee

cou

nsel

s and

out

side

law

firm

s.

Kep

t non

e

[Loo

se]

1980

19

80

Ford

. Mar

ch 1

980

anno

tate

d ve

rsio

n of

HR

390

4.

Kep

t non

e D

OL

Stud

y on

Pen

sion

&

wel

fare

Pla

ns U

nder

ER

ISA

1978

19

80

Ford

fold

er. 1

980

trans

mitt

al to

For

d fr

om D

oL o

f 2 re

ports

pre

pare

d fo

r DoL

re: E

RIS

A.

Kep

t non

e

1st d

raft

of re

port

1980

19

80

Ford

fold

er. D

raft

com

mitt

ee re

port

on S

. 107

6 (J

une)

for F

ord

com

men

ts, w

ith h

is o

rigin

al

anno

tatio

ns.

Kep

t non

e

Cha

nges

in P

rint

1980

19

80

Ford

fold

er. D

rafts

of S

. 107

6 la

ngua

ge. O

rigin

al h

andw

ritte

n no

tes r

e: N

CC

MP

posi

tion.

K

ept n

one

[Lab

el lo

st]

1979

19

79

Ford

fold

er. P

hoto

copi

es o

f a se

ries o

f “dr

afte

rs n

otes

” fr

om a

n ou

tsid

e co

unse

l (Ju

dy M

azo)

to

Hen

ry R

ose,

PB

GC

cou

nsel

re: H

R 3

904.

The

ear

liest

from

May

was

cop

ied

dire

ctly

to

Ford

and

his

hea

vily

ann

otat

ed c

opy

is h

ere.

Kep

t non

e

Ori

gina

l Ann

ex B

ox #

213

G

ener

ally

look

s lik

e Fo

rd w

orki

ng fi

les,

mos

tly m

ultip

le c

opie

s of d

raft

lang

uage

and

bill

prin

ts. S

ome

mat

ter r

elat

ed to

Mar

ch m

ark-

up se

ssio

ns. K

eep

brie

fing

note

s, bu

t lit

tle e

lse

is c

lean

. [P

rints

] 19

80

1980

S.

107

6 bi

ll pr

int,

HR

390

4 bi

ll pr

int,

phot

ocop

y of

S. 1

076

sum

mar

y &

ana

lysi

s (al

l as o

f A

pril

1980

) R

ef#

36. K

ept S

.107

6 fr

om

box

212.

Kep

t HR

390

4 fr

om

box

209.

S.

1076

Com

mitt

ee

Rep

ort

1980

19

80

Apr

il 19

80 v

ario

us d

rafts

of s

umm

ary

& c

onsi

dera

tions

. Cop

ies o

f brie

fing

note

s fro

m F

ord

to H

AW

from

June

re: c

ompr

omis

es fo

r S. 1

076

to a

dvan

ce b

ill.

Ref

# 31

. Mad

e co

py o

f br

iefin

g no

tes t

o H

AW

. M

ark-

up o

n S.

107

6 (2

nd),

3/24

/80

1980

19

80

Mat

eria

ls fr

om se

cond

day

of s

essi

on (M

arch

24)

. Orig

inal

cor

resp

onde

nce

from

PB

GC

to

HA

W re

spon

ding

to h

is re

ques

t for

HR

390

4 co

st e

stim

ates

. Oth

erw

ise,

mul

tiple

ph

otoc

opie

s of v

ario

us a

men

dmen

ts, b

ill la

ngua

ge, r

emar

ks, e

tc.

Ref

# 32

. Kep

t cop

y of

PB

GC

co

rres

pond

ence

to H

AW

, re

mar

ks, a

nd o

ther

mat

eria

l. S.

107

6 C

omm

ittee

Prin

t 19

80

1980

M

ultip

le p

hoto

copi

es o

f am

endm

ents

, bill

lang

uage

, etc

. fro

m M

arch

mar

k-up

mee

tings

. C

opie

s of b

riefin

g no

tes f

rom

Sac

her t

o H

AW

for m

ark-

up a

nd c

opie

s of P

BG

C

corr

espo

nden

ce.

Ref

# 33

. Mad

e co

pies

of

Sach

er/H

AW

not

es a

nd so

me

othe

r mat

eria

l.

Page 26: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

26

Staf

f con

tact

s on

HR

39

04

ud

ud

Orig

inal

han

dwrit

ten

list o

f som

e se

nato

rs a

nd a

ssoc

iate

d st

aff (

look

s lik

e Fo

rd’s

writ

ing)

, w

ith so

me

note

s as t

o w

hich

sena

tors

wer

e fo

r/aga

inst

. K

ept n

one

[Prin

ts]

1980

19

80

Phot

ocop

ies o

f dra

ft S.

107

6 bi

ll pr

ints

from

Mar

ch.

Kep

t non

e O

rigi

nal A

nnex

Box

# 2

14

Com

mitt

ee c

ouns

el fo

lder

s, ge

nera

lly S

ache

r. M

ostly

refe

renc

e m

ater

ial,

but a

lso

corr

espo

nden

ce o

n sp

ecifi

c ER

ISA

issu

es o

r ite

ms l

eft o

utsi

de E

RIS

A.

Reo

rgan

izat

ion

plan

#4

1980

19

80

Cop

y of

Janu

ary

OM

B re

port

to C

ongr

ess o

n ER

ISA

adm

inis

tratio

n, o

rigin

al o

f Sac

her’

s no

te to

HA

W c

omm

entin

g on

repo

rt, p

hoto

copy

of H

AW

not

e to

OM

B, o

rigin

al n

ote

from

O

MB

to H

AW

resp

ondi

ng.

Ref

# 71

. Mad

e co

pies

of

HA

W c

orre

spon

denc

e

Rec

ipro

city

19

78

1978

C

arbo

n to

Sac

her o

f not

e be

twee

n 3rd

par

ties o

n ER

ISA

asp

ect

Kep

t non

e Q

uarte

rly R

epor

t, 8/

80

1980

19

80

Cop

y of

US

Rai

lroad

Ret

irem

ent B

oard

pub

licat

ion

Kep

t non

e Pu

blic

Pla

ns-G

AO

Stu

dy

1976

19

78

Cop

y of

197

6 re

ques

t fro

m H

AW

/Jav

its to

GA

O to

con

duct

a st

udy

of p

ublic

pla

ns, w

ith

phot

ocop

y of

resu

lting

GA

O re

port,

and

orig

inal

/cop

ies o

f sta

ff n

ote

to H

AW

urg

ing

stud

y.

Als

o or

igin

al h

andw

ritte

n st

aff n

otes

on

the

mat

ter a

nd d

rafts

of a

HA

W/J

avits

sum

mar

y to

th

e Se

nate

. Som

e no

tes o

n a

follo

w-u

p 19

76 re

ques

t. 19

78 m

ater

ial i

s gen

eral

ly re

fere

nce

mat

eria

ls (b

ookl

ets,

bill

prin

ts, c

lippi

ngs)

of p

ublic

pla

ns.

Kep

t non

e

Publ

ic P

ensi

on P

lans

19

77

1979

Sa

cher

fold

er. 1

977

clip

ping

s, D

oL p

ublis

hed

bibl

iogr

aphy

on

plan

s, G

AO

Aug

197

7 re

port

(not

HA

W re

ques

t-rel

ated

), H

AW

pre

ss re

leas

e (g

ener

ally

refe

renc

e m

ater

ial).

Tw

o 19

79

cons

ulta

nt re

ports

on

publ

ic p

lans

. 197

8 re

sear

ch fr

om K

ersh

aw to

Sac

her/T

urza

don

e at

thei

r re

ques

t re:

Fed

Gov

t ret

irem

ent s

yste

m, w

ith a

nnot

atio

ns; o

rigin

al n

ote

from

Sac

her t

o H

AW

w

ith u

pdat

e on

pub

lic se

ctor

pen

sion

legi

slat

ion.

Ref

# 78

. Mad

e co

py o

f Sa

cher

not

e to

HA

W a

nd

pres

s rel

ease

.

Prud

ent M

an R

ule

1977

19

79

Sach

er fo

lder

. Orig

inal

cor

resp

onde

nce

to S

ache

r fro

m th

ird p

artie

s. M

ostly

clip

ping

s, ar

ticle

s, an

d ot

her r

ef m

ater

ial o

n ru

le.

Kep

t non

e

PER

ISA

19

80

1980

C

opie

s of w

itnes

s lis

t and

stat

emen

ts fo

r Sep

t 30

& O

ct 1

198

0 he

arin

gs in

the

HR

re:

PER

ISA

(HR

652

5).

Kep

t non

e

Pric

e-W

ater

hous

e 19

79

1979

O

utlin

e of

a P

-W p

rese

ntat

ion

on d

evel

opm

ent o

f an

ERIS

A re

porti

ng st

ruct

ure

with

orig

inal

at

tach

ed b

rief h

andw

ritte

n no

tes p

resu

mab

ly fr

om st

aff m

eetin

g w

ith th

em.

Kep

t non

e

Priv

ate

Pens

ion

Plan

In

vest

men

t Sta

tistic

s 19

72

1979

O

rigin

al in

fo fr

om C

RS

to S

ache

r re:

cor

pora

te st

ock

owne

d by

pen

sion

s, us

ing

atta

ched

pu

blic

sour

ces (

1979

); 19

72 C

orne

ll La

w R

evie

w a

rticl

e re

prin

t) K

ept n

one

PRO

D

1978

19

78

Cop

y of

a a

rticl

e re

: Tea

mst

er p

ensi

on c

orru

ptio

n K

ept n

one

[Lab

el lo

st b

ut li

kely

“P

rohi

bite

d Tr

ansa

ctio

ns”]

1977

19

80

Sach

er fo

lder

. Orig

inal

cor

resp

onde

nce

to S

ache

r and

to H

AW

from

law

firm

s, in

dust

ry, S

en.

Wal

lop

re: s

ubje

ct re

gula

tions

. Fed

Reg

iste

r reg

ulat

ions

. K

ept n

one

Pre-

ERIS

A P

lan

Doc

umen

ts

1960

19

72

Phot

ocop

ies o

f Gre

ater

NY

Box

Com

pany

retir

emen

t pla

n, 1

960

and

1972

ver

sion

s. A

ppea

rs

to b

e in

tend

ed a

s exa

mpl

e of

type

of r

esta

tem

ent t

hat c

ould

occ

ur p

re-E

RIS

A.

Kep

t non

e

Prud

entia

l Ins

uran

ce C

o 19

79

1979

Sa

cher

fold

er. C

opie

s of m

ater

ial r

elat

ed to

HA

W/S

ache

r mee

ting

with

Pru

on

Pru

ERIS

A

conc

erns

, inc

ludi

ng b

riefin

g no

te fr

om S

ache

r to

HA

W o

n Pr

u/in

sura

nce

indu

stry

issu

es.

Ref

# 77

. Kep

t or m

ade

copi

es

Pre-

paid

Leg

al S

ervi

ce

Plan

s 19

77

1978

R

efer

ence

mat

eria

l on

subj

ect,

incl

udin

g or

igin

al tr

ansm

ittal

from

a le

gal p

lan

spon

sor t

o Sa

cher

with

det

aile

d ca

se in

form

atio

n K

ept n

one

Page 27: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

27

Pres

iden

t’s C

omm

issi

on

on P

ensi

on P

olic

y 19

77

1980

O

rigin

al n

ote

from

Sac

her t

o H

AW

, with

subs

eque

nt S

ache

r ann

otat

ions

re: i

ndiv

idua

ls

look

ing

for j

obs o

n Pr

esid

entia

l Com

mis

sion

; orig

inal

cor

resp

onde

nce/

mat

eria

l to

Sach

er

from

Com

mis

sion

; brie

fing

note

to H

AW

from

Sac

her o

n H

AW

/Sac

her m

eetin

g w

ith C

hair

of C

omm

issi

on; s

taff

not

e to

Sac

her w

ith a

sses

smen

t of C

omm

issi

on m

atte

rs; c

lippi

ngs a

nd

othe

r ref

eren

ce m

ater

ial o

n co

mm

issi

on.

Ref

# 65

. Mad

e co

py o

f H

AW

/Sac

her n

ote

and

atta

chm

ent

[Cor

resp

onde

nce]

19

79

1980

B

lue

carb

ons o

f HA

W c

orre

spon

denc

e re

: S. 2

09, S

. 107

6, a

nd o

ther

ER

ISA

-rel

ated

bill

s and

is

sues

. Cov

ers S

ept-D

ec 1

979,

with

a h

andf

ul o

f 198

0. C

arbo

ns g

ener

ally

atta

ched

to o

rigin

al

corr

espo

nden

ce re

ceiv

ed fr

om in

divi

dual

s, co

mpa

nies

, tra

de a

ssoc

iatio

ns, l

aws f

irms.

Man

y ch

urch

es/m

inis

ters

re: c

hurc

h pr

ovis

ions

. Som

e co

rres

pond

ence

to/fr

om H

AW

and

oth

er

sena

tors

. Han

dful

are

Sac

her c

orre

spon

denc

e.

Kep

t non

e

Ori

gina

l Ann

ex B

ox #

215

C

omm

ittee

cou

nsel

fold

ers,

incl

udin

g Sa

cher

and

For

d. M

uch

refe

renc

e m

ater

ial a

nd b

ill p

rints

.

[Lab

el lo

st b

ut li

kely

“O

vers

ight

Hea

rings

”]

1977

19

77

Sach

er fo

lder

. Not

es, e

tc. r

elat

ed to

wha

t app

ears

to h

ave

been

a p

anel

pre

sent

atio

n by

Sac

her

to C

onne

ctic

ut G

ener

al In

sura

nce

Co;

orig

inal

not

e to

Sac

her f

rom

Con

n G

enl C

lippi

ngs.

Kep

t non

e

Pape

rwor

k 19

80

1980

Ph

otoc

opie

s of r

efer

ence

mat

eria

l on

pens

ion

repo

rting

. K

ept n

one

PL 9

6-24

, 6/1

9/79

, 10

mo

dela

y bi

ll,

Mul

tiem

ploy

er P

lan

Term

Ins.

1979

19

79

Orig

inal

of n

ote

from

Sac

her t

o st

aff r

e: p

assa

ge o

f HR

391

5 (1

0 m

onth

ER

ISA

title

IV d

elay

in

mul

tiem

ploy

er te

rm in

sura

nce)

with

ord

erly

pac

kage

of r

elat

ed m

ater

ials

(clip

ping

s, C

ongr

ess R

ecor

d, b

ills,

brie

fing

note

s to

HA

W, e

tc.)

Ref

# 63

. Mad

e co

pies

of

item

s not

pre

viou

sly

foun

d in

box

208

.

S.10

76

1979

19

80

Ford

fold

er. T

his i

s a p

artic

ular

ly ri

ch fo

lder

re: S

. 107

6. C

opie

s or o

rigin

als o

f int

ra-s

taff

no

tes,

brie

fing

note

s to

HA

W, i

ndus

try c

orre

spon

denc

e/po

sitio

n pa

pers

mos

t to

Ford

/Sac

her

but s

ome

to H

AW

, cop

ies o

f inv

itatio

ns to

con

tact

s for

hea

rings

, orig

inal

acc

epta

nces

, cl

ippi

ngs/

artic

les,

bill

prin

ts.

Ref

# 34

. Mad

e co

pies

of

HA

W b

riefin

g no

tes a

nd

staf

f not

es.

S.10

57

1979

19

79

S.10

57 is

the

HA

W v

ersi

on o

f HR

391

5, th

e 10

mon

th d

elay

bill

. Bill

prin

ts, c

opie

s of

artic

les,

Con

gres

s Rec

ord

Ref

# 63

. Kep

t ite

ms t

hat

had

dupl

icat

es in

the

PL

96-2

4 fo

lder

abo

ve.

[Lab

el lo

st]

1980

19

80

Cop

y of

HR

714

0 su

mm

ary

re: d

elay

of P

BG

C g

uara

ntee

s on

mul

tiem

ploy

ees p

repa

red

by

Com

mitt

ee o

n Ta

xatio

n K

ept n

one

S.20

9 1

977

1980

Th

ick

and

som

ewha

t ric

h fo

lder

of S

. 209

mat

eria

l. O

rigin

al c

orre

spon

denc

e to

Sac

her,

copi

es

of b

riefin

g/st

atus

not

es to

HA

W, d

rafts

and

cop

ies o

f ana

lyse

s, in

dust

ry p

ositi

on st

atem

ents

, dr

afts

of H

AW

intro

duct

ory

rem

arks

on

S.20

9 an

d to

Act

uaria

l Ass

n., b

ill d

rafts

.

Ref

# 20

. Mad

e co

pies

or

kept

dup

licat

es o

f HA

W

brie

fing

note

s and

st

atem

ents

. Kep

t S.2

09 b

ill

prin

t (sa

me

as b

ox 2

01).

PL 9

5-21

4…

1977

19

77

App

ears

to b

e co

re fo

lder

of m

ater

ials

rela

ted

to p

assa

ge o

f HR

937

8, w

hich

del

ays P

BG

C

mat

ter 2

yea

rs (d

efer

ring

issu

e to

197

9); c

ompa

nion

bill

to H

AW

’s S

. 212

5. D

rafts

of S

.212

5 an

d re

late

d co

mm

ittee

Rep

ort w

ith o

rigin

al c

ouns

el a

nnot

atio

ns/e

dits

, ref

mat

eria

l, C

ongr

ess

Rec

ord,

orig

inal

cor

resp

onde

nce

from

PB

GC

to H

AW

.

Kep

t non

e

Page 28: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

28

Rep

ortin

g &

Dis

clos

ure

197

7 19

79

Orig

inal

cor

resp

onde

nce

to S

ache

r (or

Par

adis

e) o

f mat

eria

ls re

: ER

ISA

dis

clos

ure

requ

irem

ents

. Bul

k is

a p

hoto

copy

of a

DoL

hea

ring

on su

bjec

t and

FA

SB d

rafts

sent

to

Sach

er. O

ther

refe

renc

e m

ater

ial.

Ref

# 72

. Kep

t dup

licat

e co

py o

f FA

SB re

port.

Res

umes

19

77

1980

Sa

cher

fold

er. O

rigin

al a

nd c

opie

s of r

esum

es.

Kep

t non

e R

etire

es &

Col

lect

ive

Bar

gain

ing

1980

19

80

Clip

ping

K

ept n

one

Rev

enue

Act

of 1

978

1977

19

78

Sach

er fo

lder

. Pos

ition

stat

emen

ts re

: Tre

asur

y ta

x re

form

pro

posa

ls.

Kep

t non

e R

even

ue L

oss

ud

ud

Orig

inal

han

dwrit

ten

note

s, ap

pear

s to

be S

ache

r not

es o

f dis

cuss

ion

with

Tre

asur

y K

ept n

one

“Rev

olvi

ng D

oor”

Pr

iorit

ies

1977

19

77

Bill

prin

t of S

.555

(Pub

lic O

ffic

ials

Inte

grity

Act

) and

Rep

ort f

rom

Com

mitt

ee o

n G

over

nmen

t Aff

airs

(not

HA

W b

ill)

Kep

t non

e

[Prin

t] 19

79

1979

C

omm

ittee

prin

t of R

ules

of P

roce

dure

for H

AW

’s c

omm

ittee

, with

min

or a

nnot

atio

n (A

ugus

t 197

9)

Kep

t non

e

Jere

my

Rifk

in

1978

19

78

Phot

ocop

y of

arti

cle

by R

ifkin

K

ept n

one

Rob

ert M

oore

(How

ard

Jack

s) P

rom

otio

n A

ssoc

iate

s Pro

fit S

harin

g Pl

an

1979

19

79

Phot

ocop

y of

Jack

s’ c

orre

spon

denc

e w

ith S

ache

r re:

cou

rt ca

se.

Kep

t non

e

Abe

Ros

enth

al

ud

ud

Orig

inal

han

dwrit

ten

note

s with

refe

renc

e m

ater

ial

Kep

t non

e S.

4 19

73

1973

B

ill p

rints

of e

arly

ER

ISA

(int

rodu

ced

vers

ion

and

vers

ion

repo

rted

out o

f sub

com

mitt

ee to

fu

ll co

mm

ittee

) K

ept n

one

S.39

3 19

79

1979

B

ill p

rint (

not H

AW

) K

ept n

one

S.47

6 19

79

1979

B

ill p

rint (

not H

AW

) K

ept n

one

S. 4

97

1979

19

79

Bill

prin

t (H

AW

co-

spon

sor)

Em

erge

ncy

Med

ical

Ser

vice

s Sys

tem

Am

ends

K

ept n

one

S.53

2 19

79

1979

B

ill p

rint (

not H

AW

), co

ntin

ued

oper

atio

n of

Pre

side

ntia

l Com

mis

sion

on

Pens

ion

Polic

y.

Phot

ocop

y of

HA

W st

atem

ent f

or C

omm

ittee

on

Gov

ernm

ent A

ffai

rs h

earin

g.

Ref

# 66

. Mad

e co

py o

f H

AW

mat

eria

l. S.

901

1977

19

77

Phot

ocop

ies o

f mat

eria

ls o

n S.

901

and

S.28

5 (B

ents

en p

ropo

sals

for F

inan

ce).

Kep

t non

e S.

1076

19

80

1980

Fo

rd fo

lder

. Han

dful

of o

rigin

al c

orre

spon

denc

e to

For

d fr

om la

w fi

rms,

brie

fing

mot

e to

H

AW

from

For

d re

: Ing

erso

ll-R

and,

edi

ted

draf

t of H

AW

/Jav

its re

mar

ks to

Sen

ate

Ref

# 35

. Mad

e co

py o

f Fo

rd/H

AW

not

e S.

91

1979

19

79

Bill

prin

t (no

t HA

W)

Kep

t non

e O

rigi

nal A

nnex

Box

# 2

16

Com

mitt

ee c

ouns

el fo

lder

s, m

ostly

Sac

her.

Jo

int B

oard

for t

he

Enro

llmen

t of A

ctua

ries

1975

19

79

Cop

ies o

f Boa

rd p

ress

rele

ases

(par

t of T

reas

ury)

, Fed

Reg

iste

r reg

ulat

ions

K

ept n

one

Join

t & S

urvi

vor

Ann

uitie

s 19

78

1978

O

rigin

al c

orre

spon

denc

e fo

rwar

ded

from

Sen

. Bur

dick

to H

AW

to S

ache

r; re

fere

nce

mat

eria

l on

subj

ect

Kep

t non

e

Eam

on K

elly

19

78

1978

R

esum

e. D

raft

note

from

HA

W to

Pre

s. C

arte

r rec

omm

endi

ng F

eder

for C

omm

issi

on o

n Pe

nsio

ns

Kep

t non

e

Page 29: ERISA Oversight and Amendments: Reference Notes

ER

ISA

Ove

rsig

ht a

nd A

men

dmen

ts: R

efer

ence

Not

es

App

endi

x C

-3

Vers

ion

Dat

e: J

anua

ry 2

008

29

[Lab

el lo

st]

1971

19

78

Car

bon

of S

ache

r not

e to

Con

n G

ener

al In

sura

nce

Co

re: V

olvo

pen

sion

pla

n, w

ith c

opie

s of

rela

ted

corr

espo

nden

ce a

nd 1

971-

74 u

nion

agr

eem

ent.

Kep

t non

e

Har

ry L

amon

19

79

1979

O

rigin

al c

orre

spon

denc

e to

Sac

her.

Kep

t non

e G

ary

Law

son

ud

ud

Han

dwrit

ten

note

s re:

app

oint

men

t K

ept n

one

Ian

Lano

ff

1978

19

78

Phot

ocop

ies o

f Lan

off s

peec

hes

Kep

t non

e In

vest

men

ts in

Opt

ions

19

80

1980

R

efer

ence

mat

eria

l on

subj

ect;

Sach

er n

otat

ion

to F

ord/

Turz

a K

ept n

one

Cha

rles J

acks

on, P

res,

Avc

o C

orp

1978

19

78

Orig

inal

cor

resp

onde

nce

to S

ache

r K

ept n

one

Rob

ert J

affe

19

78

1978

O

rigin

al c

orre

spon

denc

e an

d tra

nsm

ittal

s of C

onn

Gen

eral

cou

rt ca

se m

ater

ials

to S

ache

r. K

ept n

one

Way

ne Je

tt 19

77

1977

O

rigin

al c

orre

spon

denc

e fr

om a

ttorn

ey Je

tt to

Sac

her a

nd F

orsc

ey re

: asp

ects

of E

RIS

A, w

ith

vario

us re

f mat

eria

ls a

ssoc

iate

d w

ith Je

tt (a

rticl

es, p

ositi

ons s

tate

men

t, co

urt f

iling

) K

ept n

one

Fidu

ciar

y Li

abili

ty

Insu

ranc

e 19

78

1980

O

rigin

al c

opy

to S

ache

r of c

orre

spon

denc

e fr

om T

eam

ster

s cou

nsel

to D

oL re

: sub

ject

. O

rigin

al re

spon

se a

nd re

port

from

DoL

to H

AW

re: f

iduc

iary

insu

ranc

e, d

one

at

HA

W/c

omm

ittee

requ

est.

Kep

t non

e

Fidu

ciar

y R

espo

nsib

ility

19

79

1980

R

efer

ence

mat

eria

l to

Sach

er o

n su

bjec

t K

ept n

one

Fidu

ciar

y—V

entu

re

Cap

ital i

nves

tmen

ts

1977

19

77

Phot

ocop

ies o

f doc

umen

ts re

flect

ing

conc

ern

of G

aylo

rd N

elso

n ab

out s

mal

l bus

ines

s/ve

ntur

e in

vest

men

ts; o

rigin

al h

andw

ritte

n no

tes f

rom

ven

ture

cap

ital m

eetin

g (a

ppea

rs to

be

Sach

er’s

ha

nd)

Kep

t non

e

[Lab

el lo

st b

ut li

kely

“F

ASB

Sta

ndar

ds”]

19

80

1980

C

lippi

ng, c

arbo

n to

For

d of

not

e to

Sac

her f

rom

out

side

par

ty.

Kep

t non

e

[Lab

el lo

st b

ut li

kely

“F

inan

cial

Inst

itutio

ns”]

19

77

1977

O

rigin

al tr

ansm

ittal

to S

ache

r fro

m N

YU

pro

fess

or o

f dra

ft bo

ok c

hapt

er fo

r com

men

t K

ept n

one

FY 1

979

Bud

get

1979

19

79

Phot

ocop

y of

intra

-sta

ff n

ote

re: b

udge

t sta

tus

Kep

t non

e FY

198

0 B

udge

t 19

79

1979

Ph

otoc

opie

s of L

etiti

a C

ham

bers

upd

ates

to st

aff o

f bud

get s

tatu

s in

App

ropr

iatio

ns

Com

mitt

ee a

nd o

f HA

W n

otes

to C

hair

Mag

nuss

on re

: spe

ndin

g re

cs.

Kep

t non

e

ESO

Ps

1978

19

80

Orig

inal

Dea

r Col

leag

ue fr

om R

usse

ll Lo

ng to

HA

W fo

r sup

port

of S

. 298

2 re

: ESO

Ps;

carb

on to

Par

adis

e of

mat

eria

l fro

m C

onra

il re

: ESO

P; c

opie

s of o

ther

Sen

. Lon

g co

rr o

n ES

OPs

; clip

ping

s and

oth

er re

fere

nce

mat

eria

l

Kep

t non

e

Ethi

cs

1980

19

80

Phot

ocop

y of

arti

cle

Kep

t non

e G

erry

Fed

er

1978

19

78

Orig

inal

mat

eria

l fro

m F

eder

(out

side

atto

rney

) to

Para

dise

seek

ing

help

in P

BG

C is

sue;

or

igin

al h

andw

ritte

n no

tes o

f mee

ting

with

Fed

er a

nd P

BG

C; c

opie

s of o

ther

Fed

er n

otes

. K

ept n

one

ERIS

A Im

prov

emen

ts

Act

of 1

979

[S.3

017]

19

79

1979

Sa

cher

fold

er. O

rigin

al c

orre

spon

denc

e fr

om la

w fi

rms,

etc.

mos

tly to

Sac

her (

som

e to

HA

W)

re: a

spec

ts o

f ER

ISA

. Pos

ition

stat

emen

ts, r

efer

ence

mat

eria

l, or

igin

al h

andw

ritte

n no

tes f

rom

m

eetin

gs. B

riefin

g no

tes f

rom

Sac

her t

o H

AW

.

Ref

# 21

. Mad

e co

py o

f br

iefin

g no

tes.

ERIS

A O

vers

ight

H

earin

gs-1

0/11

-18/

77,

Mis

cella

neou

s Inf

or.

1977

19

78

Mat

eria

l rel

ated

to h

earin

gs

Ref

# 54

. Mad

e co

py o

f br

iefin

g no

tes

[Unl

abel

ed]

1978

19

78

Not

es o

n te

ntat

ive

field

hea

rings

re: p

ensi

on p

lans

R

ef#

55. M

ade

copy

of t

enta

tive

field

he

arin

g sc

hedu

le

EIA

Am

endm

ents

19

77

1978

St

aff n

otes

, etc

. R

ef#

12. M

ade

copi

es o

f sta

ff m

emos

.


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