Assistant Secretary | Deputy Assistant Secretary for Program Operations | Deputy Assistant Secretary for Policy | Office of Exemption Determinations | Office of Enforcement  Office of Policy and Research | Office of Health Plan Standards and Compliance Assistance | Office of Regulations and Interpretations | Office of the Chief Accountant | Office of Technology and Information Services | Office of Outreach, Education and Assistance | Office of Program Planning, Evaluation and Management | Regional Offices | District Offices | Mission Statement | Printer Friendly Version

Assistant Secretary

Deputy Assistant Secretary

Deputy Assistant Secretary for Program Operations

Timothy D. Hauser is the Deputy Assistant Secretary for Program Operations of the Employee Benefits Security Administration and as such is the chief operating officer of the Agency. His responsibilities include overseeing EBSA's regulatory, enforcement and reporting activities.

Mr. Hauser joined the Department of Labor in 1991 as a trial attorney for the Plan Benefits Security Division (PBSD), where he represented the Department in federal district court and appellate litigation. From November 2000 until November 2013, Mr. Hauser was the Associate Solicitor of the Division. As the head of PBSD, he was responsible for all of the Department's legal work under ERISA.

Before joining the Department of Labor, Mr. Hauser worked as a trial attorney for six years at Legal Aid of Western Missouri. As a Legal Aid attorney, he represented indigent clients in civil litigation in ten rural counties in Missouri.

Mr. Hauser graduated from Harvard Law School in 1985. He is also a graduate of the University of Illinois.

Office of Exemption Determinations

The Office of Exemption Determinations is responsible for processing requests for individual and class exemptions from ERISA's prohibited transaction provisions.

The Office of Exemption Determinations is comprised of two divisions, the Division of Individual Exemptions and the Division of Class Exemptions. The Division of Individual Exemptions is staffed by a division chief and three teams of analysts each of which is headed by a supervisor or team leader. The primary responsibilities of the Division of Individual Exemptions include analyzing individual exemption applications which involve a wide array of financial transactions, preparing interpretive letters and Federal Register notices, and reviewing petitions for good faith waivers of section 502(l) penalties.

The primary responsibilities of the Division of Class Exemptions include analyzing applications for class exemptions, and major individual exemptions related thereto, preparing Federal Register notices, reviewing petitions for good faith waivers of section 502(l) penalties, drafting advisory opinions and information letters regarding class exemptions, and handling special projects.

Office of Enforcement

The Office of Enforcement promotes the protection of pension and welfare benefits under ERISA by ensuring a strong and effective national and field office enforcement program through: (1) Policy formulation; (2) Project identification and program planning; (3) Guidance development and implementation; (4) Field liaison; (5) Field and project evaluation; (6) Investigations to detect and correct violations of Title I of ERISA and related criminal laws are conducted by the investigative staff in EBSA's field offices.

The Office of Enforcement is composed of the Division of Field Operations, which coordinates national civil enforcement policy with EBSA field offices and various governmental agencies; the Division of Enforcement Support, which oversees national targeting efforts and provides technical and administrative assistance to EBSA field offices; and the Deputy Director for Criminal Enforcement, who coordinates national criminal enforcement policy with EBSA field offices and with other governmental agencies such as the Department of Justice.

Office of Policy and Research

The Office of Policy and Research (OPR) carries out EBSA's policy responsibilities and activities on behalf of the Assistant Secretary and Deputy Assistant Secretary for Policy. OPR's products include policy analysis, economic research, and tracking of all benefits policy related developments and activities. OPR is headed by EBSA's Director of Policy and Research, who also serves as EBSA's Chief Economist. Its staff consists mainly of professional economists and attorneys, and includes EBSA's Chief Actuary.

OPR comprises three divisions. The Division of Legislative Policy Analysis develops and analyzes legislative policies on behalf of the Assistant Secretary and Deputy Assistant Secretary for Policy and supports of all of their related activities.  The Division of Regulatory Policy Analysis participates in the development and promulgation of all EBSA rules, assessing rules' economic impacts pursuant to applicable OMB and Congressional mandates. The Division of Research and Economic Analysis conducts and disseminates economic research calibrated to advance EBSA's mission and expand economic knowledge related to employee benefits.

OPR also supports the Secretary and the Assistant Secretary in connection with the Secretary's duties as Chairman of the Board of the Pension Benefit Guaranty Corporation and Trustee for the Social Security and Medicare Trust Funds, provides quantitative analytic support to EBSA's enforcement and other programs, and serves as EBSA's ears and voice in relevant international forums.

Office of Health Plan Standards and Compliance Assistance

The Office of Health Plan Standards and Compliance Assistance (OHPSCA) is the primary source of regulations and interpretive guidance related to group health plans under ERISA and provides education, compliance assistance, and other technical support to group health plans, their service providers, participants and beneficiaries, other EBSA offices, and other government agencies on health coverage-related matters.

OHPSCA is responsible for implementing various provisions of law affecting group health plans, including the Affordable Care Act market reforms, the HIPAA portability and nondiscrimination provisions, the mental health parity provisions, the group health plan provisions of the Genetic Information Nondiscrimination Act (GINA), the Newborns' and Mothers' Health Protection Act, Women's Health and Cancer Rights Act, and the COBRA continuation health coverage provisions included in ERISA, among other laws.

Section 104 of HIPAA requires the Secretaries of Labor, the Treasury, and Health and Human Services (HHS) to ensure that shared health coverage provisions be administered so as to have the same effect at all times. As a result of this shared jurisdiction, OHPSCA works closely with the Departments of the Treasury and HHS to promulgate joint regulations and other subregulatory interpretive guidance, such as frequently asked questions and technical releases.

Through these efforts, OHPSCA works to ensure that the group health plan requirements of ERISA and other related laws are implemented so that ERISA plan participants and beneficiaries receive the benefits to which they are entitled.

Office of Regulations and Interpretations

The Office of Regulations and Interpretations is primarily responsible for carrying out the Agency's regulatory agenda and interpretive activities. The Office also plays a major role in the development, analysis and implementation of pension and health care policy issues by providing technical assistance and support to the Assistant Secretary, external groups and other offices within EBSA. In addition, the Office coordinates regulatory and interpretive activities with other Federal agencies such as the Department of Treasury, the Internal Revenue Service and the Pension Benefit Guaranty Corporation.

The Office is comprised of three divisions, the Division of Regulations, the Division of Fiduciary Interpretations and the Division of Coverage, Reporting and Disclosure. The Division of Regulations is responsible for managing and implementing the Agency's regulatory priorities under Title I of ERISA and coordinating regulatory activities with other Federal agencies. The general interpretive responsibilities of the Office are allocated on a subject matter basis between the Division of Fiduciary Interpretations and the Division of Coverage, Reporting and Disclosure. The Division of Fiduciary Interpretations is responsible for interpretive matters including the fiduciary responsibility, prohibited transaction, qualified domestic relations order and qualified medical child support order provisions of Parts 2, 4, and 6 of Title I of ERISA, as well as related provisions of the Internal Revenue Code and FERSA. The Division of Coverage, Reporting and Disclosure is generally responsible for interpretive matters relating to the coverage, reporting, disclosure, suspension of benefits, preemption, claims procedure, multiple employer welfare arrangements (MEWA), COBRA and other provisions of Parts 1, 2, 5 and 6 of Title I of ERISA.

Office of the Chief Accountant

The Office of the Chief Accountant is concerned with annual reporting and audit requirements by employee benefit plans, and enforcement of those provisions through the imposition of civil penalties against a plan administrator whose annual report is rejected, as provided in Part 1, Sections 103 and 104, and Part 5, Section 502, of Title I of ERISA. The Office of the Chief Accountant also operates under the broad authority to conduct investigations and to inspect records, under Part 5, Section 504 of Title I of ERISA.  The Office of the Chief Accountant is comprised of three  divisions: the Division of Accounting Services, the Division of Reporting and Compliance and the Division of Federal Employees' Retirement Income Security Act of 1986 Compliance.

The Division of Accounting Services actively performs numerous liaison and outreach activities with professional groups that service employee benefit plans and ensures that plan audits are done in accordance with industry standards.

The Division of Reporting and Compliance ensures that the ERISA data base contains timely, complete and accurate information about the regulated plan community. This division is also responsible for the administration of the Delinquent Filer Voluntary Compliance Program.

The Division of Federal Employees' Retirement Income Security Act of 1986 (FERSA) Compliance conducts fiduciary compliance audits of the Thrift Savings Plan.

Office of Technology and Information Services

The Office of Technology and Information Services provides computer office automation, information processing, and local wide area, and Internet connectivity for EBSA staff nationwide. The Office provides leadership and direction in the use of information technology to support EBSA's management and operations, including the enforcement and public disclosure requirements of the Employee Retirement Income Security Act of 1974 (ERISA).

The Office is also responsible for: (1) Providing direction for EBSA in the area of IT policy, planning, budget, and acquisition of EBSA information resources related to all developmental projects or upgrades to hardware, software, telecommunications systems, and systems security; (2) Overseeing the review, analysis, evaluation, and documentation of IT systems in accordance with Clinger Cohen legislation and DOL guidance; (3) Providing leadership for the development of greatly enhanced EBSA IT security, and IT operational standards; (4) Providing direction for the development and management of the new office automation software and electronic mail, to conform to DOL department -wide architecture standards; and (5) Overseeing the development, maintenance, and enhancement of application systems and programs for all computer services, local areas networks, and data communications to facilitate access for DOL agencies and outside agencies to ERISA data.

Office of Outreach, Education, and Assistance

The Office of Outreach, Education, and Assistance (OEA) administers EBSA's Participant and Compliance Outreach, Education and Assistance Program. This program provides participant and compliance assistance directly to the public through a staff of Benefits Advisors, located in EBSA's field offices, who answer inquiries and complaints received by phone, mail, electronically or in person. OEA coordinates the development of the Agency's Strategic Plan for Outreach, Education and Assistance, establishes policies and operating procedures for the program, provides oversight and support to the Regional Offices in carrying out these activities, and oversees quality reviews and customer satisfaction surveys related to the program.

EBSA's Benefits Advisors responded to over 201,000 telephone, written and electronic inquiries and complaints from plan participants, employers and plan sponsors in Fiscal Year 2015, assisting them in understanding their rights and obligations under the law and in obtaining benefits that may have been denied. The Benefits Advisors obtained over $402 million on behalf of participants and beneficiaries through informal dispute resolution. The Office leads the development and publication of a variety of educational materials for consumers and plan officials and is responsible for policy and content development for the Agency's Website. The Office is also responsible for the operation of the nationwide toll free hotline for technical assistance and free publications. OEA coordinates three major education campaigns - the Retirement Savings Education Campaign, the Fiduciary Education Campaign and the Health Benefits Education Campaign. OEA staff provides logistical, clerical and technical support throughout the year to the ERISA Advisory Council and is responsible for the operation of the Agency's Public Disclosure Room and handling Freedom of Information Act requests.

Office of Program Planning, Evaluation and Management

The Office of Program Planning, Evaluation and Management provides advice and leadership in the development and implementation of Agency policy, strategic planning and evaluation, financial management, budgeting, human resources and administrative programs designed to assure effective management of Agency operations and resources.  The Office provides guidance and support to Agency managers in accomplishment of these responsibilities.

Regional Office Directors

Los Angeles Regional Office
Crisanta Johnson
1055 East Colorado Blvd, Ste 200
Pasadena, CA 91106-2357
Tel (626) 229-1000
Fax (626) 229-1098

New York Regional Office
Jonathan Kay
33 Whitehall St, Ste 1200
New York, NY 10004
Tel (212) 607-8600
Fax (212) 607-8681

Philadelphia Regional Office
Michael Schloss
170 S Independence Mall West
Ste 870 West
Philadelphia, PA 19106-3317
Tel (202) 693-8747
Fax (215) 861-5347