For 502(c)(5) 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 judge means an administrative law judge
appointed pursuant to the provisions of 5 U.S.C. 3105;
(c) Answer means a written statement that is supported by reference
to specific circumstances or facts surrounding the notice of
determination issued pursuant to Sec. 2560.502c-5(g);
(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)(5) 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-5(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)(5);
(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 person or party,
for some affirmative action;
(m) Pleading means the notice as defined in Sec. 2560.502c-5(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)(5) civil penalty proceeding means an adjudicatory
proceeding relating to the assessment of a civil penalty provided for
in section 502(c)(5) of ERISA;
(o) Respondent means the party against whom the Department is
seeking to assess a civil sanction under ERISA section 502(c)(5);
(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 of the Department of Labor; and
(q) Solicitor means the Solicitor of Labor or his or her delegate.
