[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: 29CFR2570.68]

[Page 568-569]
 
                             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. 2570.68  Decision of the administrative law judge.

    For 502(c)(2) civil penalty proceedings, this section shall apply in 
lieu of Sec. 18.57 of this title.
    (a) Proposed findings of fact, conclusions, and order. Within twenty 
(20) days of the filing of the transcript of the testimony of such 
additional time as the administrative law judge may allow, each party 
may file with the administrative law judge, subject to the judge's 
discretion, proposed findings of

[[Page 569]]

fact, conclusions of law, and order together with a supporting brief 
expressing the reasons for such proposals. Such proposals and briefs 
shall be served on all parties, and shall refer to all portions of the 
record and to all authorities relied upon in support of each proposal.
    (b) Decision of the administative law judge. Within a reasonable 
time after the time allowed for the filing of the proposed findings of 
fact, conclusions of law, and order, or within thirty (30) days after 
receipt of an agreement containing consent findings and order disposing 
of the disputed matter in whole, the administrative law judge shall make 
his or her decision. The decision of the administrative law judge shall 
include findings of fact and conclusions of law with reasons therefor 
upon each material issue of fact or law presented on the record. The 
decision of the administrative law judge shall be based upon the whole 
record. In a contested case in which the Department and the Respondent 
have presented their positions to the administrative law judge pursuant 
to the procedures for 502(c)(2) civil penalty proceedings as set forth 
in this subpart, the penalty (if any) which may be included in the 
decision of the administrative law judge shall be limited to the penalty 
expressly provided for in section 502(c)(2) of ERISA. It shall be 
supported by reliable and probative evidence. The decision of the 
administrative law judge shall become final agency action within the 
meaning of 5 U.S.C. 704 unless an appeal is made pursuant to the 
procedures set forth in Sec. Sec. 2570.69 through 2570.71.