[Code of Federal Regulations]
[Title 29, Volume 9]
[Revised as of July 1, 2005]
From the U.S. Government Printing Office via GPO Access
[CITE: 29CFR2570.2]

[Page 548-549]
 
                             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. 2570.2  Definitions.

    For prohibited transaction penalty proceedings, this section shall 
apply in lieu of the definitions in Sec. 18.2 of this title:

[[Page 549]]

    (a) Adjudicatory proceeding means a judicial-type proceeding leading 
to the formulation of a final order;
    (b) Administrative law judge 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)(2) 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 sanction under ERISA 
section 502(i) against a particular party. Such final order may result 
from a decision of an administrative law judge or the Secretary, or the 
failure of a party to invoke the procedures for hearings or appeals 
under this title. 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) Notice means any document, however designated, issued by the 
Department of Labor which initiates an adjudicatory proceeding under 
ERISA section 502(i);
    (j) Order means the whole or any part of a final procedural or 
substantive disposition of a matter under ERISA section 502(i);
    (k) Party includes a person or agency named or admitted as a party 
to a proceeding;
    (l) Person includes an individual, partnership, corporation, 
employee benefit plan, association, exchange or other entity or 
organization;
    (m) Petition means a written request, made by a person or party, for 
some affirmative action;
    (n) Pleading means the notice, the answer to the notice, any 
supplement or amendment thereto, and any reply that may be permitted to 
any answer, supplement or amendment;
    (o) Prohibited transaction penalty proceeding means a proceeding 
relating to the assessment of the civil penalty provided for in section 
502(i) of ERISA;
    (p) Respondent means the party against whom the Department is 
seeking to assess a civil sanction under ERISA section 502(i);
    (q) 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 Employee Benefits Security), 
administrator, commissioner, appellate body, board, or other official;
    (r) Solicitor means the Solicitor of Labor or his or her delegate.