erisa oversight and amendments: reference notes

29
ERISA Oversight and Amendments: Reference Notes Appendix C-3 Version Date: January 2008 1 Original Annex Box # 81 Mostly includes folders of counsel Steve Sacher. 1978. Bills, draft bills, some correspondence, and reference material. Most files appear to concern the ERISA amendments but some other Labor topics as well. Also, some Pat Markey “Health” topic folders here also (see Health & Education/Development material). Ref# 10. Kept copies of material from various folders, including Dear Colleagues and briefing notes re: HAW introductory remarks on S.3017 (ERISA Improvements Act). Original Annex Box # 119 Most folders relate to ERISA amendments/issues, particularly Supreme Court’s Daniel decision; many of these folders link to counsel Steve Sacher. Other folders are on workers compensation matters and appear to be counsel Mike Goldberg’s. Fenwick Asbestos Bill 1977 1977 Mike Goldberg folder. Original handwritten notes from meeting; HR bills introduced by Fenwick; transmittal to Goldberg from Fenwick office; reference material. Kept none Workers Compensation Study Material 1978 1979 Appears to be Goldberg folder. Reference material on workers comp: paper on S.3060 (HAW bill) by a Dale Birdoff; United Steelworkers paper on subject; seminar paper by E. Lee Patton; and unattributed draft re: “program offsets.” Kept none [Label lost] 1977 1977 Goldberg folder. Material re: Daniel case. Original note from Sacher to Mike; original correspondence from law firm (representing ERIC) to Sacher at his request with analysis re: possibility of undoing decision via legislation; related reference material. Kept none S. 1865-Kennedy Compensation for victims of nuclear tests… 1979 1979 Appears to be Goldberg folder. Bill print of S.1865, drafts of bill, what appears to be an incomplete or draft briefing note from Goldberg to HAW on bill. Ref# 178. Kept duplicates of bill and briefing note [Loose] 1977 1977 Photocopy of manual: State Workers Compensation, Issues and Options in Developing Federal Standards (appears to be an internal discussion paper developed for Secretary of Labor) Kept none Virginia Law Review 1978 1978 Photocopy of article re: Daniel sent to Sacher by a Paul Mason Kept none [Label lost] 1977 1978 Appears to be Sacher file. Original notes from CRS to Sacher re: aspects of Daniel case, with copies of reference material. Kept none [Label lost] 1978 1978 Photocopy of HAW/Javits note to Attorney General Griffin Bell re: Daniel. Kept none [Label lost] 1977 1978 Sacher folder. Relates to exchanges between HAW/Javits and SEC on Daniel. Original responses from SEC, original notes from others senators and representatives to HAW re: Daniel. Original note from DoL to Sacher. Kept none Press Clippings 1977 1979 Sacher folder. Clippings and articles on Daniel case; draft HAW press release with original edits. Keep none [Label lost] 1978 1978 Sacher folder. Original transmittal from law firm to Sacher re: NY securities law application to pensions (Daniel connection). Kept none [Label lost] 1977 1977 Photocopy of note from HAW to SEC re: Shenker case, with related reference material Kept none [Label lost] ud ud Photocopy of a paper Impact of Fed Securities Law on Stock Compensation Programs Kept none Syllabus 1979 1979 Photocopy of printed syllabus of Daniel case Kept none

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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

.