[Code of Federal Regulations] [Title 29, Volume 9] [Revised as of July 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 29CFR2570.1] [Page 538-539] TITLE 29--LABOR CHAPTER XXV--EMPLOYEE BENEFITS SECURITY 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. 2570.1 Scope of rules. Subpart A_Procedures for the Assessment of Civil Sanctions Under ERISA Section 502(i) Sec. 2570.1 Scope of rules. 2570.2 Definitions. 2570.3 Service: Copies of documents and pleadings. 2570.4 Parties. 2570.5 Consequences of default. 2570.6 Consent order or settlement. 2570.7 Scope of discovery. 2570.8 Summary decision. 2570.9 Decision of the administrative law judge. 2570.10 Review by the Secretary. 2570.11 Scope of review. 2570.12 Procedures for review by the Secretary. Subpart B_Procedures for Filing and Processing Prohibited Transaction Exemption Applications 2570.30 Scope of rules. 2570.31 Definitions. 2570.32 Persons who may apply for exemptions. 2570.33 Applications the Department will not ordinarily consider. 2570.34 Information to be included in every exemption application. 2570.35 Information to be included in applications for individual exemptions only. 2570.36 Where to file an application. 2570.37 Duty to amend and supplement exemption applications. 2570.38 Tentative denial letters. 2570.39 Opportunities to submit additional information. 2570.40 Conferences. 2570.41 Final denial letters. 2570.42 Notice of proposed exemption. 2570.43 Notification of interested persons by applicant. 2570.44 Withdrawal of exemption applications. 2570.45 Requests for reconsideration. 2570.46 Hearings in opposition to exemptions from restrictions on fiduciary self-dealing. 2570.47 Other hearings. 2570.48 Decision to grant exemptions. 2570.49 Limits on the effect of exemptions. 2570.50 Revocation or modification of exemptions. 2570.51 Public inspection and copies. 2570.52 Effective date. Subpart C_Procedures for the Assessment of Civil Penalties Under ERISA Section 502(c)(2) 2570.60 Scope of rules. 2570.61 Definitions. 2570.62 Service: Copies of documents and pleadings. 2570.63 Parties, how designated. 2570.64 Consequences of default. 2570.65 Consent order or settlement. 2570.66 Scope of discovery. 2570.67 Summary decision. 2570.68 Decision of the administrative law judge. 2570.69 Review by the Secretary. 2570.70 Scope of review. [[Page 539]] 2570.71 Procedures for review by the Secretary. Subpart D_Procedure for the Assessment of Civil Penalties Under ERISA Section 502(l) 2570.80 Scope of rules. 2570.81 In general. 2570.82 Definitions. 2570.83 Assessment of civil penalty. 2570.84 Payment of civil penalty. 2570.85 Waiver or reduction of civil penalty. 2570.86 Reduction of penalty by other penalty assessments. 2570.87 Revision of assessment. 2570.88 Effective date. Subpart E_Procedures for the Assessment of Civil Penalties Under ERISA Section 502(c)(5) 2570.90 Scope of Rules. 2570.91 Definitions. 2570.92 Service: Copies of documents and pleadings. 2570.93 Parties, how designated. 2570.94 Consequnces of default. 2570.95 Consent order or settlement. 2570.96 Scope of discovery. 2570.97 Summary decision. 2570.98 Decision of the administrative law judge. 2570.99 Review by the Secretary. 2570.100 Scope of review. 2570.101 Procedures for review by the Secretary. Subpart F_Procedures for the Assessment of Civil Penalties Under ERISA Section 502(c)(6) 2570.110 Scope of rules. 2570.111 Definitions. 2570.112 Service: Copies of documents and pleadings. 2570.113 Parties, how designated. 2570.114 Consequences of default. 2570.115 Consent order or settlement. 2570.116 Scope of discovery. 2570.117 Summary decision. 2570.118 Decision of the administrative law judge. 2570.119 Review by the Secretary. 2570.120 Scope of review. 2570.121 Procedures for review by the Secretary. Subpart G_Procedures for the Assessment of Civil Penalties under ERISA Section 502(c)(7) 2570.130 Scope of rules. 2570.131 Definitions. 2570.132 Service: Copies of documents and pleadings. 2570.133 Parties, how designated. 2570.134 Consequences of default. 2570.135 Consent order or settlement. 2570.136 Scope of discovery. 2570.137 Summary decision. 2570.138 Decision of the administrative law judge. 2570.139 Review by the Secretary. 2570.140 Scope of review. 2570.141 Procedures for review by the Secretary. Subpart H_Procedures for Issuance of Findings Under ERISA Sec. 3(40) 2570.150 Scope of rules. 2570.151 In general. 2570.152 Definitions. 2570.153 Parties. 2570.154 Filing and contents of petition. 2570.155 Service. 2570.156 Expedited proceedings. 2570.157 Allocation of burden of proof. 2570.158 Decision of the Administrative Law Judge. 2570.159 Review by the Secretary. Authority: 5 U.S.C. 8477, 29 U.S.C. 1002(40), 1021, 1108, 1132, 1135; sec. 102, Reorganization Plan No. 4 of 1978, 43 FR 47713, 3 CFR, 1978 Comp. p. 332, and E.O. 12108, 44 FR 1065, 3 CFR, 1978 Comp., p. 275; Secretary of Labor's Order 1-2003, 68 FR 5374 (Feb. 3, 2003). Source: 53 FR 37476, Sept. 26, 1988, unless otherwise noted. The rules of practice set forth in this part are applicable to ``prohibited transaction penalty proceedings'' (as defined in Sec. 2570.2(o) of this part) under section 502(i) of the Employee Retirement Income Security Act of 1974. The rules of procedure for administrative hearings published by the Department's Office of Administrative Law Judges at part 18 of this title will apply to matters arising under ERISA section 502(i) except as modified by this section. These proceedings shall be conducted as expeditiously as possible, and the parties shall make every effort to avoid delay at each stage of the proceedings.