[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: 29CFR2570.63]

[Page 566-567]
 
                             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 C_Procedures for the Assessment of Civil Penalties Under ERISA 
                            Section 502(c)(2)
 
Sec. 2570.63  Parties, how designated.

    For 502(c)(2) civil penalty proceedings, this section shall apply in 
lieu of Sec. 18.10 of this title.
    (a) The term ``party'' wherever used in these rules shall include 
any natural person, corporation, employee benefit plan, association, 
firm, partnership, trustee, receiver, agency, public or private 
organization, or government agency. A party against whom a civil penalty 
is sought shall be designated as ``respondent.'' The Department shall be 
designated as the ``complainant.''
    (b) Other persons or organizations shall be permitted to participate 
as parties only if the administrative law judge finds that the final 
decision could directly and adversely affect them or the class they 
represent, that they may contribute materially to the disposition of the 
proceedings and their interest is not adequately represented by existing 
parties, and that in the discretion of the administrative law judge the 
participation of such persons or organizations would be appropriate.
    (c) A person or organization not named as a respondent wishing to 
participate as a party under this section shall submit a petition to the 
administrative law judge within fifteen (15) days after the person or 
organization has knowledge of or should have known about the proceeding. 
The petition shall be filed with the administrative law judge and served 
on each person or organization who has been made a party at the time of 
filing. Such petition shall concisely state:
    (1) Petitioner's interest in the proceeding;
    (2) How his or her participation as a party will contribute 
materially to the disposition of the proceeding;
    (3) Who will appear for petitioner;
    (4) The issues on which petitioner wishes to participate; and
    (5) Whether petitioner intends to present witnesses.
    (d) Objections to the petition may be filed by a party within 
fifteen (15) days of the filing of the petition. If objections to the 
petition are filed, the administrative law judge shall then determine 
whether petitioners have the requisite interest to be a party in the 
proceedings, as defined in paragraph (b) of this section, and shall 
permit or deny participation accordingly. Where petitions to participate 
as parties are made by individuals or groups with common interests, the 
administrative law judge may request all such petitioners to designate a 
single representative, or he or she may recognize one or more of such 
petitioners. The administrative law judge shall give each such 
petitioner as well as the parties, written notice of the decision on his 
or her petition. For each petition granted,

[[Page 567]]

the administrative law judge shall provide a brief statement of the 
basis of the decision. If the petition is denied, he or she shall 
briefly state the grounds for denial and shall then treat the petition 
as a request for participation as amicus curiae.