Organization Chart

Description: Employee Benefits Security Administration Clickable Organization ChartAssistant SecretaryDeputy Assistant Secretary for Program OperationsDeputy Assistant Secretary for PolicyOffice of Exemption DeterminationsOffice of EnforcementOffice of Policy and ResearchOffice of Health Plan Standards and Compliance AssistanceOffice of Regulations and InterpretationsOffice of the Chief AccountantOffice of Technology and Information ServicesOffice of Outreach, Education and AssistanceOffice of Program Planning Evaluation and ManagementRegional Offices

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 Phyllis C. Borzi

Assistant Secretary

Phyllis C. Borzi was confirmed on July 10, 2009 as Assistant Secretary of Labor of the Employee Benefits Security Administration (EBSA). EBSA oversees approximately 681,000 private-sector retirement plans, approximately 2.3 million health plans, and a similar number of other welfare benefit plans that provide benefits to approximately 143 million Americans. As agency head, she oversees the administration, regulation and enforcement of Title I of the Employee Retirement Income Security Act of 1974 (ERISA).

Previously, Ms. Borzi was a research professor in the Department of Health Policy at George Washington University Medical Center's School of Public Health and Health Services. In that position, she was involved in research and policy analysis involving employee benefit plans, the uninsured, managed care, and legal barriers to the development of health information technology. In addition, she was of counsel with the Washington, D.C. law firm of O'Donoghue & O'Donoghue LLP, specializing in ERISA and other legal issues affecting employee benefit plans, including pensions and retirement savings, health plans, and discrimination based on age or disability.

From 1979 to 1995, Borzi served as pension and employee benefit counsel for the U.S. House of Representatives, Subcommittee on Labor-Management Relations of the Committee on Education and Labor. In 1993, she served on working groups dealing with insurance reform, workers' compensation and employer coverage in connection with the Clinton Task Force on Health Care Reform.

Borzi is a charter member and former President of the American College of Employee Benefit Counsel and served on its Board of Governors from 2000-2008; former member and former co-chair of the Advisory Board of the BNA Pension & Benefits Reporter; former member of the Advisory Committee of the Pension Benefit Guaranty Corporation; and former member of the Advisory Board of the Pension Research Council, The Wharton School, The University of Pennsylvania; and former member of the Board of the Women's Institute for a Secure Retirement (WISER). In 2008, she was appointed by the U.S. District Court for the Northern District of Ohio and served as a public member of the Administrative Committee for the Goodyear retiree health trust.

Borzi has published numerous articles on ERISA, health care law and policy and retirement security issues and has been a frequent speaker to legal, professional, business, consumer and state and local governmental organizations. An active member of the American Bar Association, Borzi is the former chair of the ABA's Joint Committee on Employee Benefits. She holds a Master of Arts degree in English from Syracuse University and a J.D. from Catholic University Law School, where she was editor-in-chief of the law review. She is a member of the District of Columbia Bar and is admitted to practice before the U.S. Court of Appeals for the District of Columbia Circuit and the U.S. Supreme Court.

Assistant Secretary
Phyllis C. Borzi
200 Constitution Ave, NW, Ste S-2524
Washington, DC 20210
Tel (202) 693-8300
Fax (202) 219-5526


Deputy Assistant Secretary Judy Mares

Deputy Assistant Secretary

Judy Mares became EBSA's Deputy Assistant Secretary in October 2013. She joined EBSA after retiring from an extensive corporate career. Most recently, she was the Chief Investment Officer of Alliant Techsystems, Inc., where she managed the investments of the pension, savings, and VEBA plans (a total of $4.2 billion in assets) for seven years. She also served as the CIO of Ameritech Corporation for five years, and the Director of Benefit Finance at General Mills for twelve years. In addition, Mares was the President of Mares Financial Consulting for 13 years.

Prior to joining EBSA, Mares was the Defined Contribution Committee Chair of the Committee on the Investment of Employee Benefit Assets (CIEBA), and a member of the Plan Sponsor Advisory Committee of the Defined Contribution Institutional Investment Association (DCIIA). Mares was previously the Chair of the ERISA Advisory Council and a loaned executive to President Carter's Commission on Pension Policy. She earned a Bachelors Degree in Mathematics from Purdue University and an MBA from the University of Illinois.

Deputy Assistant Secretary
Judy Mares
200 Constitution Ave, NW, Ste S-2524
Washington, DC 20210
Tel (202) 693-8300
Fax (202) 219-5526


Timothy D. Hauser

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.

Deputy Assistant Secretary
Timothy D. Hauser
200 Constitution Ave, NW, Ste N-5677
Washington DC 20210
Tel (202) 693-8315
Fax (202) 219-6531

Executive Assistant
Becki Marchand
Tel (202) 693-8321


Lyssa Hall

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 Director
Lyssa Hall
200 Constitution Ave, NW, Ste N-5700
Washington, DC 20210
Tel (202) 693-8540
Fax (202) 219-0204
Division of Class Exemptions
Karen Lloyd
Tel (202) 693-8554

Division of Individual Exemptions
Christopher Motta
Tel (202) 693-8544
Assistant Chief
Jan Broady
Tel (202) 693-8556


Mabel Capolongo

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 Director
Mabel Capolongo
200 Constitution Ave, NW, Ste 600
Washington, DC 20210
Tel (202) 693-8443
Fax (202) 693-8477
Division of Field Operations
Suzanne Bach – Acting
(202) 693-8341

Division of Enforcement Support
John Gondek
Tel (202) 693-8460
Deputy Director for Criminal Enforcement
Jeffrey Hinman
Tel (202) 693-8468


Joseph Piacentini

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 Director & Chief Economist
Joseph Piacentini
200 Constitution Ave, NW, Ste N-5718
Washington, DC 20210
Tel (202) 693-8410
Deputy Director
Anja Decressin
Tel (202) 693-8417

Division of Legislative Policy Analysis
Hilary Duke
Tel (202) 693-8439
Division of Regulatory Policy Analysis
G. Christopher Cosby
Tel (202) 693-8425

Division of Research & Economic Analysis
Elaine Zimmerman
Tel (202) 693-8420
Chief Actuary
Chet Andrzejewski
Tel (202) 693-8502


Amy Turner

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 Director
Amy Turner
200 Constitution Ave, NW, Ste N-5653
Washington, DC 20210
Tel (202) 693-8335
Fax (202) 219-1942

Division of Regulations and Standards
Elizabeth Schumacher – Acting
Tel (202) 693-8335

Division of Compliance Assistance and Guidance
Amber Rivers – Acting
Tel (202) 693-8335

Senior Advisor
Vacant


Joe Canary

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 Director
Joe Canary
200 Constitution Ave, NW, Ste N-5655
Washington, DC 20210
Tel (202) 693-8500
Fax (202) 219-7291
Deputy Director
Jeffrey Turner
Tel (202) 693-8526

Senior Advisor
Janet Walters
Tel (202) 693-8515
Division of Regulations
Vacant

Division of Fiduciary Interpretations
Lou Campagna
Tel (202) 693-8510
Division of Coverage, Reporting & Disclosure
Susan Elizabeth Rees
Tel (202) 693-8523


Ian Dingwall

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.

Chief Accountant
Ian Dingwall
200 Constitution Ave, NW, Ste 400
Washington, DC 20210
Tel (202) 693-8360
Fax (202) 693-8697
Division of Accounting Services
Michael Auerbach
Tel (202) 693-8363

Division of Reporting And Compliance
Scott Albert
Tel (202) 693-8364
Division of FERSA Compliance
William Bailey
Tel (202) 693-8372


Diane Schweizer

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 Director
Diane Schweizer
200 Constitution Ave, NW, Ste N-5510
Washington, DC 20210
Tel (202) 693-8595
Fax (202) 219-4672

Division of Resources Management
Nate Verwys
Tel (202) 693-8497
Division of Network Architecture & COTS
Leyla Mansur – Acting
Tel (202) 693-8518

Division of IT Operations Support
Leyla Mansur – Acting
Tel (202) 693-8618
Division of Data Administration & Database Applications
EFAST Project
Marianne Gibbs
Tel (202) 693-8589


Mark Connor

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 Director
Mark Connor
200 Constitution Ave, NW, Ste N-5623
Washington, DC 20210
Tel (202) 693-8337
Fax (202) 219-8141
Division of Field Operations and Technical Assistance
William Barron
Tel (202) 693-8680
Public Disclosure Room
Ste N-1515
Tel (202) 693-8673

Division of Consumer and Compliance Outreach and Education
Debra Golding
Tel (202) 693-8665
ERISA Advisory Council Executive Secretary
Larry Good
Tel (202) 693-8668
Website Manager
Allison Padams-Lavigne
Tel (202) 693-8564
Website Coordinator
Tamara Mulhall
Tel (202) 693-8635


Joel Lovelace

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.

 

Office Director
Joel Lovelace
200 Constitution Ave, NW, Ste N-5668
Washington DC 20210
Tel (202) 693-8480
Fax (202) 501-6942
Division of Strategic Planning
Robert McCarthy
Tel (202) 693-8484

Division of Financial Management
Mai Loi
Tel (202) 693-8543
Division of Human Capital Management
Kenneth Barron
Tel (202) 693-8487


Regional Office Directors

Isabel Colon

Atlanta Regional Office
Isabel Colon
61 Forsyth St, SW, Ste 7B54
Atlanta, GA 30303
Tel (404) 302-3900
Fax (404) 302-3975

Susan Hensley

Boston Regional Office
Susan Hensley
JFK Federal Bldg
15 New Sudbury St, Ste 575
Boston, MA 02203
Tel (617) 565-9600
Fax (617) 565-9666

Jeffrey Monhart

Chicago Regional Office
Jeffrey Monhart
John C. Kluczynski Federal Bldg
230 S. Dearborn Street, Ste 2160
Chicago, IL 60604
Tel (312) 353-0900
Fax (312) 353-1023

Joe Rivers

Cincinnati Regional Office
Joe Rivers
1885 Dixie Hwy, Ste 210
Ft. Wright, KY 41011-2664
Tel (859) 578-4680
Fax (859) 578-4688

Deborah Perry

Dallas Regional Office
Deborah Perry
525 South Griffin St, Ste 900
Dallas, TX 75202-5025
Tel (972) 850-4500
Fax (214) 767-1055

James Purcell

Kansas City Regional Office
James Purcell
2300 Main St, Ste 1100
Kansas City, MO 64108
Tel (816) 285-1800
Fax (816) 285-1888

Crisanta Johnson

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

Jonathan Kay

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

Michael Schloss

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

 

Jean Ackerman

San Francisco Regional Office
Jean Ackerman
90 7th St, Ste 11-300
San Francisco, CA 94103
Tel (415) 625-2481
Fax (415) 625-2450