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.
AO/ Date/ Reference | Recipient | Description of Request |
---|---|---|
02/28/2000
3(33) |
Mr. Robert A. Johnson |
Whether certain employee benefit arrangements of the College are "church plans" within the meaning of § 3(33) of ERISA. If the Plans are not "church plans," they would be employee benefit plans within the meaning of the Act. |
02/18/2000
3(32) |
Mary L. Stoll, Esq. |
Whether the status of the Trust Fund as a "governmental plan" under section 3(32) of ERISA would be adversely affected if the Trust Fund were extended to cover employees of Local 71 (Union), all of whom are non-governmental employees. |
AO/ Date/ Reference | Recipient | Description of Request |
---|---|---|
12/28/1999
404(a)(1)(D) |
Thomas J. Lilly |
Regarding the fiduciary responsibility provisions of ERISA. Specifically, whether an assertion made by Fund trustees that they may only be removed (other than by death or resignation) "for cause" would establish lifetime terms of appointment inconsistent with the fiduciary responsibility requirements of ERISA and Advisory Opinion 85-41A. |
12/09/1999
406(b)(1) |
Lennine Occhino |
Whether the payment of certain performance-based compensation to Mount Lucas Management Corporation by employee benefit plan clients would violate section 406(b) of ERISA or section 4975 of the Internal Revenue Code of 1986. |
11/19/1999
3(32) |
Melvin H. Pizer, Esq. |
Whether the East Islip Teachers' Association, Local 2618, AFT Welfare Trust Fund is a "governmental plan," as defined in ERISA section 3(32) and, thus, that it is excluded from ERISA Title I coverage by section 4(b)(1). |
11/10/1999
606 |
Mr. Pieter J. Doerr |
Regarding the continuation coverage provisions applicable to group health plans under Part 6 of Title I of ERISA. |
09/29/1999
206(d)(3) |
Brian G. Belisle |
Regarding how a plan administrator should treat domestic relations orders the plan administrator has reason to believe are "sham" or "questionable" in nature. |
09/22/1999
404(a) |
Theodore M. Lieverman, Esq. |
Whether the Sheet Metal Workers International Association National Pension Fund may honor a side bar agreement with the Welfare Funds to pay the Welfare Funds certain monies received in settlement of litigation, with respect to which the Welfare Funds and the National Pension Fund were co-plaintiffs, without contravening Title I of ERISA. |
08/20/1999
PTE 84-14 |
Michael A. Lawson, Esq. |
Whether LaSalle Advisors Limited Partnership, which previously satisfied the financial requirements of a "qualified professional asset manager" as set forth in section V(a)(4) of PTE 84-14, continues to satisfy those requirements after merging with and into a newly formed corporation. |
07/26/1999
3(32) |
Susanne K. Reed, Esq. |
Whether participation by twenty-eight employees of the Western Association of Schools and Colleges in the California Public Employees' Retirement System would adversely affect the status of CalPERS as a "governmental plan" within the meaning of section 3(32) of ERISA. |