§ 1.72. Content and review of formal case files.
(a) Format. Format for filing records in formal cases will conform with the following:
(1) The files for formal cases initiated prior to May 15, 1977, will contain a records, correspondence and testimony folder.
(2) The files for formal cases initiated on or after May 15, 1977, will contain a document, report and testimony folder.
(b) Contents. Contents of folders in formal cases will conform with the following:
(1) Formal cases initiated prior to May 15, 1977, will conform with the following:
(i) Testimony folder. This folder will contain hearing transcripts and exhibits.
(ii) Record folder. This folder will contain formal filings in a case, including but not limited to, complaints, petitions, answers, replies, motions, briefs and requests for procedural or interim orders and opinions.
(iii) Correspondence folder. This folder will contain staff reports, acknowledgments, proofs of service and other documents not covered by subparagraphs (i) and (ii).
(2) Formal cases initiated on or after May 15, 1977, will conform with the following:
(i) Testimony folder. This folder will contain the same material as described in subparagraph (i).
(ii) Document folder. This folder will contain formal filings in a case, including but not limited to, complaints, petitions, answers, replies, motions, briefs and requests for procedural or interim orders and opinions. In addition, it will contain correspondence from or to the Commission except for staff reports, investigative materials and other material not subject to the disclosure requirements of the Commission.
(iii) Report folder. This folder will contain staff reports, investigative materials and other material not subject to the disclosure requirements of the Commission.
(c) Access. Access to files in formal cases will conform with the following:
(1) The record and testimony folders for cases initiated prior to May 15, 1977, will be available for inspection upon request made to file room personnel during normal Commission business hours.
(2) The document and testimony folders for cases initiated on or after May 15, 1977, will be available for inspection upon request made to file room personnel during normal Commission business hours.
(3) Material contained in the correspondence folders of formal cases initiated prior to May 15, 1977, will be available for inspection if the material would otherwise have qualified for placement in the document folder, as described in subsection (b)(2)(ii) of cases initiated on or after May 15, 1977. The inspection will be subject to the procedures outlined in subsection (d).
(4) The material contained in the report folder of cases initiated on or after May 15, 1977, will not be available for public inspection except as described in § 1.74 (relating to disclosure of other documents).
(d) Procedures. Procedures for review of correspondence and report folders will conform with the following:
(1) Correspondence folders. Review procedures for correspondence folders will be as follows:
(i) A person desiring access to a correspondence folder of a formal case may request file room personnel for a review of the file to determine which material contained therein may be released for inspection.
(ii) The review will be made and the requestor notified within 30 days.
(iii) If dissatisfied with the results of the first review, the requestor may ask that the documents removed from the correspondence folder before it was given to him be reviewed again.
(iv) A 30-day period applies to the second request for review.
(2) Report folders. Review procedures for report folders will be as follows:
(i) A person may request file room personnel for a review of particular documents or for a specifically defined portion of the report folder to determine which, if any, material contained in the folder may be released for inspection.
(ii) The review, except for good cause, will be made and the requestor notified within 30 days.
Authority The provisions of this § 1.72 amended under the Public Utility Code, 66 Pa.C.S. § § 501, 504—506, 1301 and 1501.
Source The provisions of this § 1.72 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819; amended January 24, 1997, effective January 25, 1997, 27 Pa.B. 414; amneded April 28, 2006, effective April 29, 2006, 36 Pa.B. 2097. Immediately preceding text appears at serial pages (225578) to (225580).
Cross References This section cited in 52 Pa. Code § 1.74 (relating to disclosure of other documents); 52 Pa. Code § 1.77 (relating to extensions of time to review folders); and 52 Pa. Code § 5.349 (relating to requests for documents, entry for inspection and other purposes).
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