For prohibited transaction penalty proceedings, this section shall
apply in lieu of Sec. 18.3 of this title.
(a) General. Copies of all documents shall be served on all parties
of record. All documents should clearly designate the docket number, if
any, and short title of all matters. All documents shall be delivered
or mailed to the Chief Docket Clerk, Office of Administrative Law
Judges, 800 K Street, NW., Suite 400, Washington, DC 20001-8002, or to
the OALJ regional Office to which the proceedings may have been
transferred for hearing. Each document filed shall be clear and
legible.
(b) By parties. All motions, petitions, pleadings, briefs or other
documents shall be filed with the Office of Administrative Law Judges
with a copy including any attachments to all other parties of record.
When a party is represented by an attorney, service shall be made upon
the attorney. Service of any document upon any party may be made by
personal delivery or by mailing a copy to the last known address. The
Department shall be served by delivery to the Associate Solicitor, Plan
Benefits Security Division, ERISA Section 502(i) Proceeding, P.O. Box
1914, Washington, DC 20013. The person serving the document shall
certify to the manner and date of service.
(c) By the Office of Administrative Law Judges. Service of orders,
decisions and all other documents, except notices, shall be made by
regular mail to the last known address.
(d) Service of notices. (1) Service of notices shall be made either:
(i) By delivering a copy to the individual, any partner, any officer
of a corporation, or any attorney of record;
(ii) By leaving a copy at the principal office, place of business,
or residence of such individual, partner, officer or attorney; or
(iii) By mailing a copy to the last known address of such
individual, partner, officer or attorney.
(2) If service is accomplished by certified mail, service is
complete upon mailing. If done by regular mail, service is complete upon
receipt by the addressee.
(e) Form of pleadings. (1) Every pleading shall contain information
indicating the name of the Pension and Welfare Benefits Administration
(PWBA) as the agency under which the proceeding is instituted, the title
of the proceeding, the docket number (if any) assigned by the Office of
Administrative Law Judges and a designation of the type of pleading or
paper (e.g., notice, motion to dismiss, etc.). The pleading or paper
shall be signed and shall contain the address and telephone number of
the party or person representing the party. Although there are no formal
specifications for documents, they should be typewritten when possible
on standard size 8\1/2\ x 11 inch paper.
(2) Illegible documents, whether handwritten, typewritten,
photocopied, or otherwise, will not be accepted. Papers may be
reproduced by any duplicating process provided all copies are clear and
legible.
[53 FR 37476, Sept. 26, 1988 as amended at 65 FR 7185, Feb. 11, 2000]
