[Code of Federal Regulations]
[Title 29, Volume 9]
[Revised as of July 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 29CFR2570.3]

[Page 525-526]
 
                             TITLE 29--LABOR
 
CHAPTER XXV--PENSION AND WELFARE BENEFITS ADMINISTRATION, DEPARTMENT OF 
                                  LABOR
 
PART 2570--PROCEDURAL REGULATIONS UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT--Table of Contents
 
Subpart A--Procedures for the Assessment of Civil Sanctions Under ERISA 
                             Section 502(i)
 
Sec. 2570.3  Service: Copies of documents and pleadings.

    For prohibited transaction penalty proceedings, this section shall 
apply in lieu of Sec. 18.3 of this title.
    (a) General. Copies of all documents shall be served on all parties 
of record. All documents should clearly designate the docket number, if 
any, and short title of all matters. All documents shall be delivered or 
mailed to the Chief Docket Clerk, Office of Administrative Law Judges, 
800 K Street, NW., Suite 400, Washington, DC 20001-8002, or to the OALJ 
regional Office to which the proceedings may have been transferred for 
hearing. Each document filed shall be clear and legible.
    (b) By parties. All motions, petitions, pleadings, briefs or other 
documents shall be filed with the Office of Administrative Law Judges 
with a copy including any attachments to all other parties of record. 
When a party is represented by an attorney, service shall be made upon 
the attorney. Service of any document upon any party may be made by 
personal delivery or by mailing a copy to the last known address. The 
Department shall be served by delivery to the Associate Solicitor, Plan 
Benefits Security Division, ERISA Section 502(i) Proceeding, P.O. Box 
1914, Washington, DC 20013. The person serving the document shall 
certify to the manner and date of service.
    (c) By the Office of Administrative Law Judges. Service of orders, 
decisions and all other documents, except notices, shall be made by 
regular mail to the last known address.
    (d) Service of notices. (1) Service of notices shall be made either:
    (i) By delivering a copy to the individual, any partner, any officer 
of a corporation, or any attorney of record;
    (ii) By leaving a copy at the principal office, place of business, 
or residence of such individual, partner, officer or attorney; or
    (iii) By mailing a copy to the last known address of such 
individual, partner, officer or attorney.
    (2) If service is accomplished by certified mail, service is 
complete upon mailing. If done by regular mail, service is complete upon 
receipt by the addressee.

[[Page 526]]

    (e) Form of pleadings. (1) Every pleading shall contain information 
indicating the name of the Pension and Welfare Benefits Administration 
(PWBA) as the agency under which the proceeding is instituted, the title 
of the proceeding, the docket number (if any) assigned by the Office of 
Administrative Law Judges and a designation of the type of pleading or 
paper (e.g., notice, motion to dismiss, etc.). The pleading or paper 
shall be signed and shall contain the address and telephone number of 
the party or person representing the party. Although there are no formal 
specifications for documents, they should be typewritten when possible 
on standard size 8\1/2\  x  11 inch paper.
    (2) Illegible documents, whether handwritten, typewritten, 
photocopied, or otherwise, will not be accepted. Papers may be 
reproduced by any duplicating process provided all copies are clear and 
legible.

[53 FR 37476, Sept. 26, 1988, as amended at 65 FR 7191, Feb. 11, 2000]