Advisory Opinions

Requests for interpretations and other rulings under Title 1 of ERISA are handled by the Office of Regulations and Interpretations under the provisions established by ERISA Procedure 76-1. The office answers inquiries from individuals and organizations in the form of advisory opinions, which apply the law to a specific set of facts, or information letters, which merely call attention to well established principles or interpretations.

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**1984**
AO/ Date/ Reference	Recipient	Description of Request
1984-42A 11/01/1984 3(1)	Mr. Thomas F. Phalen, Jr. Kircher and Phalen Suite 2312 Kroger Building Cincinnati, Ohio 45202-1159	Whether the Continuing Unemployment Proficiency and Training Fund to be added to the IBEW Local No. 212 (the Union) Supplemental Unemployment Benefit Trust Fund may provide benefits included in the definition of an employee welfare benefit plan in section 3(1) of the Employee Retirement Income Security Act of 1974.
1984-41A 10/26/1984 3(1) 3(4) 3(40) 3(5) 514(b)(6)	Mr. Craig A. Smith Hershner, Hunter, Miller, Moulton & Andrews P.O. Box 763 Springfield, Oregon 97477	Whether an insurance program offered by the California Autobody Association (CAA) for the benefit of its members' qualified employees is an employee welfare benefit plan within the meaning of section 3(1) of title I of the Employee Retirement Income Security Act of 1974.
1984-40A 10/26/1984 3(1)	Mr. Stuart H. Young, Jr. Hill, Farrer & Burrill Thirty-Fourth Floor Union Bank Square 445 South Figueroa Street Los Angeles, California 90071	Whether the Southern California IBEW-NECA Labor-Management Cooperation Committee (SCLMCC) is an employee welfare benefit plan within the meaning of section 3(1) of title I of the Employee Retirement Income Security Act of 1974.
1984-39A 10/25/1984 514	Tony Sholar, Director Business-Government Relations Kentucky Chamber of Commerce P.O. Box 817 Frankfort, Kentucky 40602	Whether Kentucky General Assembly's enactment of House Bill 670, which included provisions affecting pension plans governed by the Employee Retirement Income Security Act of 1974 (ERISA), is preempted by ERISA section 514.
1984-38A 10/25/1984	Mr. Richard Y. Stevens Assistant County Manager County of Wake P.O. Box 550 Raleigh, North Carolina 27602	Whether the County of Wake, North Carolina Medical Benefits Trust (the Trust) is a governmental plan within the meaning of section 3(32) of title I of the Employee Retirement Income Security Act of 1974 (ERISA) and therefore is excluded from coverage under that title by section 4(b)(1) of ERISA.
1984-37A 10/17/1984	Mr. Eric R. Jankel Executive Director The Narragansett Bay Commission 57 Eddy Street Providence, Rhode Island 02903	Whether the Bay Commission’s employee benefit arrangement for its employees who do not participate in Rhode Island’s retirement system constitutes a governmental plan excluded from title I of the Employee Retirement Income Security Act of 1974.
1984-36A 09/27/1984 407	Mr. Richard A. Watts Price Waterhouse 1801 K Street, N.W. Washington, D.C. 20006	Whether Santa Fe Southern Pacific Corporation (SFSP) received by the Southern Pacific Company Stock Purchase and Savings Plan (the Plan). in exchange for stock in the Southern Pacific Company and Santa Fe Industries, Inc, constitutes "qualifying employer securities" within the meaning of section 407(d)(5) of the Employee Retirement Income Security Act of 1974.
1984-35A 09/14/1984 3(2)	Mr. Lewis A. Siegel Laiken, Siegel & Co. 71 Union Avenue Rutherford, New Jersey 07070	Whether the Pension Fund of Local One, Amalgamated Lithographers of America (the Local One Plan) and the ALA-Lithographic Industry Pension Plan (the ALA Plan) constitute a single employee benefit plan for the purposes of title I of the Employee Retirement Income Security Act).
1984-34A 08/22/1984 3(2) 406 407	Mr. Thomas H. Rogers, III Troutman, Sanders, Lockerman, & Ashmore Candler Building, Suite 1400 127 Peachtree Street, N.E. Atlanta, Georgia 30043	Whether the Department of Labor will deem The Southern Company (Southern) to have established an employee pension benefit plan within the meaning of section 3(2) of title I of the Employee Retirement Income Security Act of 1974 by partnering with The First National Bank of Atlanta to offer Individual Retirement Accounts that invest in Sothern’s Common Stock.
1984-33A 07/16/1984 408(b)(4)	Richard A. Gilbert Orrick, Herrington & Sutcliffe 600 Montgomery Street San Francisco, California 94111	Whether the relief from prohibited transactions provided by the Department of Labor’s Prohibited Transaction Exemption 83-1 will be available for certain transactions involving mortgage pools which consist of the Bank of America National Trust and Savings Association (the Bank) new form of Short-Term Mortgage Loan, and whether the placement of principal prepayment amounts in Bank deposit accounts will be exempt from the prohibited transaction provisions of section 406 of the Employee Retirement Income Security Act of 1974 (ERISA) by virtue of section 408(b)(4) of ERISA.