For prohibited transaction 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 sanction 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 petititioners 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, 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.