For 502(c)(2) 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 ludge 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)(1) 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 penalty under ERISA
section 502(c)(2) 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-2(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)(2);
(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 a person or party,
for some affirmative action;
(m) Pleading means the notice as defined in Sec. 2560.502c-2(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)(2) civil penalty proceeding means an adjudicatory
proceeding relating to the assessment of a civil penalty provided for in
section 502(c)(2) of ERISA;
(o) Respondent means the party against whom the Department is
seeking to assess a civil sanction under ERISA section 502(c)(2);
(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;
and
(q) Solicitor means the Solicitor of Labor or his or her delegate.
