[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: 29CFR2570.61]

[Page 541]
 
                             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 C--Procedures for the Assessment of Civil Penalties Under ERISA 
                            Section 502(c)(2)
 
Sec. 2570.61  Definitions.

    For 502(c)(2) civil penalty proceedings, this section shall apply in 
lieu of the definitions in Sec. 18.2 of this title:
    (a) Adjudicatory proceeding means a judicial-type proceeding before 
an administrative law judge leading to the formulation of a final order;
    (b) Administrative law ludge means an administrative law judge 
appointed pursuant to the provisions of 5 U.S.C. 3105;
    (c) Answer is defined for these proceedings as set forth in 
Sec. 18.5(d)(1) of this title;
    (d) Commencement of proceeding is the filing of an answer by the 
respondent;
    (e) Consent agreement means any written document containing a 
specified proposed remedy or other relief acceptable to the Department 
and consenting parties;
    (f) ERISA means the Employee Retirement Income Security Act of 1974, 
as amended;
    (g) Final Order means the final decision or action of the Department 
of Labor concerning the assessment of a civil penalty under ERISA 
section 502(c)(2) against a particular party. Such final order may 
result from a decision of an administrative law judge or the Secretary, 
the failure of a party to file a statement of reasonable cause described 
in Sec. 2560.502c-2(e) within the prescribed time limits, or the failure 
of a party to invoke the procedures for hearings or appeals under this 
title within the prescribed time limits. Such a final order shall 
constitute final agency action within the meaning of 5 U.S.C. 704;
    (h) Hearing means that part of a proceeding which involves the 
submission of evidence, either by oral presentation or written 
submission, to the administrative law judge;
    (i) Order means the whole or any part of a final procedural or 
substantive disposition of a matter under ERISA section 502(c)(2);
    (j) Party includes a person or agency named or admitted as a party 
to a proceeding;
    (k) Person includes an individual, partnership, corporation, 
employee benefit plan, association, exchange or other entity or 
organization;
    (l) Petition means a written request, made by a a person or party, 
for some affirmative action;
    (m) Pleading means the notice as defined in Sec. 2560.502c-2(g), the 
answer to the notice, any supplement or amendment thereto, and any reply 
that may be permitted to any answer, supplement or amendment;
    (n) 502(c)(2) civil penalty proceeding means an adjudicatory 
proceeding relating to the assessment of a civil penalty provided for in 
section 502(c)(2) of ERISA;
    (o) Respondent means the party against whom the Department is 
seeking to assess a civil sanction under ERISA section 502(c)(2);
    (p) Secretary means the Secretary of Labor and includes, pursuant to 
any delegation of authority by the Secretary, any assistant secretary 
(including the Assistant Secretary for Pension and Welfare Benefits), 
administrator, commissioner, appellate body, board, or other official; 
and
    (q) Solicitor means the Solicitor of Labor or his or her delegate.