Pennsylvania Code & Bulletin
COMMONWEALTH OF PENNSYLVANIA

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The Pennsylvania Code website reflects the Pennsylvania Code changes effective through 51 Pa.B. 6892 (October 30, 2021).

52 Pa. Code § 102.3. Filing procedures.

§ 102.3. Filing procedures.

 (a)  Maintenance of records onsite. Unless required by order or other directive from the Commission or its staff that records containing confidential security information shall be filed with the Commission, public utilities shall do the following:

   (1)  Maintain any record containing confidential security information onsite.

   (2)  Certify that the record is present and up-to-date consistent with Chapter 101 (relating to public utility preparedness through self certification).

   (3)  Make the record containing confidential security information available for review upon request by authorized Commission employees.

 (b)  Filing requirements. When a public utility is required to submit a record that contains confidential security information to the Commission, the public utility shall do the following:

   (1)  Clearly state in its transmittal letter to the Commission that the record contains confidential security information and explain why the information should be treated as confidential. The transmittal letter will be treated as a public record and may not contain any confidential security information.

   (2)  Separate the information being filed into at least two categories:

     (i)   Records that are public in nature and subject to the Right-to-Know Law.

     (ii)   Records that are to be treated as containing confidential security information and not subject to the Right-to-Know Law.

   (3)  Stamp or label each page of the record containing confidential security information with the words ‘‘Confidential Security Information’’ and place all pages labeled as containing confidential security information in a separate envelope marked ‘‘Confidential Security Information.’’

   (4)  Redact the portion of the record that contains confidential security information for purposes of including the redacted version of the record in the public file.

 (c)  Public utility’s responsibility. The public utility has the responsibility to identify records as containing confidential security information. When the public utility fails to designate a record as containing confidential security information, it does not obtain the protections offered in this chapter and in Act 156. Any record that is not identified, stamped and separated as set forth in subsection (b), may be made available to the public under the Right-to-Know Law.

 (d)  Commission’s responsibility with marked records. When a public utility files a record containing confidential security information, the unopened envelope will be given to the Commission employee authorized to review the filing. The authorized person will make a preliminary determination whether the information has been properly designated in accordance with the definition of confidential security information under Act 156. If the marked information is deemed to have been improperly designated, the authorized person will give the submitter an opportunity to resubmit the record without the improper designation. If the submitter disagrees with this preliminary determination and advises the authorized person, the authorized person may submit the dispute to the Law Bureau for determination as a challenge in accordance with §  102.4 (relating to challenge procedures to confidentiality designation).

 (e)  Status of previously-filed unmarked records. Records containing what would otherwise be deemed confidential security information already on file at the Commission prior to May 29, 2007, the effective date of Act 156, are not covered by the protections offered in this chapter and in Act 156. To obtain the protections, the public utility shall resubmit and replace the existing records by following the filing procedures provided for in this section. When a public utility’s filing is intended to replace pre-Act 156 filed records, the Commission will waive any otherwise applicable filing fee. Within 30 days of refiling the records containing confidential security information, the Commission will destroy the original pre-act 156 filed records, with a certification of destruction provided to the public utility, or will return the records to the public utility by a secure method.

 (f)  Commission’s responsibility with unmarked records. When a request is made by a member of the public for an existing record that is not marked ‘‘Confidential Security Information’’ and Commission staff has reason to believe that it contains confidential security information, staff will refer the requested record to the Law Bureau for review. If the Law Bureau determines the record may contain confidential security information, the Law Bureau will provide the affected public utility with written notice of its determination and give it an opportunity to resubmit and replace the record with a copy that is marked ‘‘Confidential Security Information’’ pursuant to subsection (e). Failure by the public utility to respond to the written notice within 15 days from the date of the notice shall be deemed a negative response as to whether the record contains confidential security information.

 (g)  Electronic submissions. The Commission does not authorize the use of e-mail or any other electronic mail system to transmit records containing confidential security information.

Cross References

   This section cited in 52 Pa. Code §  121.4 (relating to filing and Commission review procedures).



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