For prohibited transaction 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 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 Pension and Welfare Benefits),
administrator, commissioner, appellate body, board, or other official;
(r) Solicitor means the Solicitor of Labor or his or her delegate.
