[Code of Federal Regulations]
[Title 29, Volume 9]
[Revised as of July 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 29CFR2570.7]

[Page 528]
 
                             TITLE 29--LABOR
 
CHAPTER XXV--PENSION AND WELFARE BENEFITS ADMINISTRATION, DEPARTMENT OF 
                                  LABOR
 
PART 2570--PROCEDURAL REGULATIONS UNDER THE EMPLOYEE RETIREMENT INCOME SECURITY ACT--Table of Contents
 
Subpart A--Procedures for the Assessment of Civil Sanctions Under ERISA 
                             Section 502(i)
 
Sec. 2570.7  Scope of discovery.

    For prohibited transaction penalty proceedings, this section shall 
apply in lieu of Sec. 18.14 of this title.
    (a) A party may file a motion to conduct discovery with the 
administrative law judge. The motion for discovery shall be granted by 
the administrative law judge only upon a showing of good cause. In order 
to establish ``good cause'' for the purposes of this section, a party 
must show that the discovery requested relates to a genuine issue as to 
a material fact that is relevant to the proceeding. The order of the 
administrative law judge shall expressly limit the scope and terms of 
discovery to that for which ``good cause'' has been shown, as provided 
in this paragraph.
    (b) A party may obtain discovery of documents and tangible things 
otherwise discoverable under paragraph (a) of this section and prepared 
in anticipation of or for the hearing by or for another party's 
representative (including his or her attorney, consultant, surety, 
indemnitor, insurer, or agent) only upon a showing that the party 
seeking discovery has substantial need of the materials or information 
in the preparation of his or her case and that he or she is unable 
without undue hardship to obtain the substantial equivalent of the 
materials or information by other means. In ordering discovery of such 
materials when the required showing has been made, the administrative 
law judge shall protect against disclosure of the mental impressions, 
conclusions, opinions, or legal theories of an attorney or other 
representative of a party concerning the proceeding.