I

106TH CONGRESS

2D SESSION H. R. 4820

To create an independent office in the Department of Labor to advocate

on behalf of pension participants, and for other purposes.

IN THE HOUSE OF REPRESENTATIVES

JULY 11, 2000

Mr. ANDREWS (for himself, Mr. CLAY, Mr. ROMERO-BARCELO ́

, and Mrs.

MCCARTHY of New York) introduced the following bill; which was referred to the Committee on Education and the Workforce

A BILL

To create an independent office in the Department of Labor

to advocate on behalf of pension participants, and for

other purposes.

1 Be it enacted by the Senate and House of Representa2 tives of the United States of America in Congress assembled,

3 SECTION 1. OFFICE OF PENSION PARTICIPANT ADVOCACY.

4 (a) IN GENERAL.—Title III of the Employee Retire5 ment Income Security Act of 1974 (29 U.S.C. 3001 et

6 seq.) is amended by adding at the end the following:
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1 ‘‘Subtitle D—Office of Pension

2 Participant Advocacy

3 ‘‘SEC. 3051. OFFICE OF PENSION PARTICIPANT ADVOCACY.

4 ‘‘(a) ESTABLISHMENT.—

5 ‘‘(1) IN GENERAL.—There is established in the

6 Department of Labor an office to be known as the

7 ‘Office of Pension Participant Advocacy’.

8 ‘‘(2) PENSION PARTICIPANT ADVOCATE.—The

9 Office of Pension Participant Advocacy shall be

10 under the supervision and direction of an official to

11 be known as the ‘Pension Participant Advocate’ who

12 shall—

13 ‘‘(A) have demonstrated experience in the

14 area of pension participant assistance, and

15 ‘‘(B) be selected by the Secretary after

16 consultation with pension participant advocacy

17 organizations.

18 The Pension Participant Advocate shall report di19 rectly to the Secretary and shall be entitled to com20 pensation at the same rate as the highest rate of

21 basic pay established for the Senior Executive Serv22 ice under section 5382 of title 5, United States

23 Code.

24 ‘‘(b) FUNCTIONS OF OFFICE.—It shall be the func25 tion of the Office of Pension Participant Advocacy to—
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1 ‘‘(1) evaluate the efforts of the Federal Govern2 ment, business, and financial, professional, retiree,

3 labor, women’s, and other appropriate organizations

4 in assisting and protecting pension plan participants,

5 including—

6 ‘‘(A) serving as a focal point for, and ac7 tively seeking out, the receipt of information

8 with respect to the policies and activities of the

9 Federal Government, business, and such organi10 zations which affect such participants,

11 ‘‘(B) identifying significant problems for

12 pension plan participants and the capabilities of

13 the Federal Government, business, and such or14 ganizations to address such problems, and

15 ‘‘(C) developing proposals for changes in

16 such policies and activities to correct such prob17 lems, and communicating such changes to the

18 appropriate officials,

19 ‘‘(2) promote the expansion of pension plan cov20 erage and the receipt of promised benefits by in21 creasing the awareness of the general public of the

22 value of pension plans and by protecting the rights

23 of pension plan participants, including—
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1 ‘‘(A) enlisting the cooperation of the public

2 and private sectors in disseminating informa3 tion, and

4 ‘‘(B) forming private-public partnerships

5 and other efforts to assist pension plan partici6 pants in receiving their benefits,

7 ‘‘(3) advocate for the full attainment of the

8 rights of pension plan participants, including by

9 making pension plan sponsors and fiduciaries aware

10 of their responsibilities,

11 ‘‘(4) give priority to the special needs of low

12 and moderate income participants, and

13 ‘‘(5) develop needed information with respect to

14 pension plans, including information on the types of

15 existing pension plans, levels of employer and em16 ployee contributions, vesting status, accumulated

17 benefits, benefits received, and forms of benefits.

18 ‘‘(c) REPORTS.—

19 ‘‘(1) ANNUAL REPORT.—Not later than Decem20 ber 31 of each calendar year, the Pension Partici21 pant Advocate shall report to the Committees on

22 Education and the Workforce and Ways and Means

23 of the House of Representatives and the Committees

24 on Health, Education, Labor, and Pensions and Fi25 nance of the Senate on its activities during the fiscal
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1 year ending in the calendar year. Such report

2 shall—

3 ‘‘(A) identify significant problems the Ad4 vocate has identified,

5 ‘‘(B) include specific legislative and regu6 latory changes to address the problems, and

7 ‘‘(C) identify any actions taken to correct

8 problems identified in any previous report.

9 The Advocate shall submit a copy of such report to

10 the Secretary and any other appropriate official at

11 the same time it is submitted to the committees of

12 Congress.

13 ‘‘(2) SPECIFIC REPORTS.—The Pension Partici14 pant Advocate shall report to the Secretary or any

15 other appropriate official any time the Advocate

16 identifies a problem which may be corrected by the

17 Secretary or such official.

18 ‘‘(3) REPORTS TO BE SUBMITTED DIRECTLY.—

19 The report required under paragraph (1) shall be

20 provided directly to the committees of Congress

21 without any prior review or comment than the Sec22 retary or any other Federal officer or employee.

23 ‘‘(d) SPECIFIC POWERS.—

24 ‘‘(1) RECEIPT OF INFORMATION.—Subject to

25 such confidentiality requirements as may be appro-
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1 priate, the Secretary and other Federal officials

2 shall, upon request, provide such information (in3 cluding plan documents) as may be necessary to en4 able the Pension Participant Advocate to carry out

5 the Advocate’s responsibilities under this section.

6 ‘‘(2) APPEARANCES.—The Pension Participant

7 Advocate may represent the views and interests of

8 pension plan participants before any Federal agency,

9 including, upon request of a participant, in any pro10 ceeding involving the participant.

11 ‘‘(3) CONTRACTING AUTHORITY.—In carrying

12 out responsibilities under subsection (b)(5), the Pen13 sion Participant Advocate may, in addition to any

14 other authority provided by law—

15 ‘‘(A) contract with any person to acquire

16 statistical information with respect to pension

17 plan participants, and

18 ‘‘(B) conduct direct surveys of pension

19 plan participants.’’

20 (b) CONFORMING AMENDMENT.—The table of con21 tents for title III of such Act is amended by adding at

22 the end the following:

‘‘Subtitle C—Office of Pension Participant Advocacy

‘‘3051. Office of Pension Participant Advocacy.’’.
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1 (c) EFFECTIVE DATE.—The amendment made by

2 this section shall take effect on January 1, 2001.

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