Section DWD 140.09 - Access to hearing files; limited discovery; inspection of records(1) PRE-HEARING STAGE.(a) The hearing office shall compile a hearing file for every case in which a request for hearing has been received which shall contain the papers, documents and departmental records relating to the issue of the hearing. Before the scheduled date of the hearing, a party to a hearing may inspect the hearing file and procure copies of file contents during regular hearing office hours at the hearing office or other convenient location approved by the hearing office. If requested, the hearing office may electronically deliver or mail copies of file contents to a party. The department may allow such inspection or release of file contents to a party's representative, union agent or legislator, as prescribed under s. DWD 149.03(2).(b) Unless the appeal tribunal orders otherwise, the sole means of discovery available to a party or party's representative before a hearing is inspection of the hearing file and procurement of copies of file contents. The appeal tribunal may also order a prehearing conference under s. DWD 140.07. The provisions of ch. 804, Stats., do not apply to hearings under ss. 108.09, 108.095 and 108.10, Stats.(c) The appeal tribunal may deny a request to inspect the hearing file or procure copies of file contents on the day of the hearing if the inspection or procurement would delay or interfere with the hearing.(2) HEARING STAGE. At the hearing, evidence and exhibits are open to inspection by any party or party's representative except that the appeal tribunal may conduct a closed inspection of evidence and exhibits if the interests of justice so require. The appeal tribunal may sequester from the hearing any person, party or representative as part of the closed inspection. The appeal tribunal may also issue a protective order to prohibit the parties or the parties' representatives from disclosing any evidence and exhibits listed as confidential in the protective order if the interests of justice so require.(3) POST HEARING STAGE. After the hearing is concluded, a party or a party's representative may inspect any hearing file contents that the party or party's representative may inspect under subs. (1) and (2), and also the hearing recording, written synopsis of testimony, and any transcript that is prepared at the department's direction. Any person who is not a party or party's representative at the hearing may inspect only the following and only if personally identifiable information, as defined in s. 19.62(5), Stats., has been redacted from the documents: (a) The initial determination.(b) The exhibits submitted and marked as exhibits at the hearing, whether or not received by the appeal tribunal.(c) The appeal tribunal decision issued for the hearing.(d) The hearing recording.(e) The written synopsis of testimony.(f) The transcript of the testimony, if one is prepared at the department's direction. Note: Under s. 19.62(5), Stats., "Personally identifiable information" means information that can be associated with a particular individual through one or more identifiers or other information or circumstances.
(4) CONFIDENTIALITY OF CERTAIN RECORDS AT ALL STAGES OF HEARING. (a) Notwithstanding subs. (1) to (3), neither an employing unit which is a party to a hearing nor its representative may inspect: 1. The individual's unemployment insurance record as that record relates to work for another employing unit unless the appeal tribunal approves a request.2. Department memoranda concerning unemployment tax litigation strategy.3. The investigation reports of department auditors concerning the status and liability of employing units under ch. 108, Stats.(b) Notwithstanding subs. (1) to (3), the appeal tribunal may declare all or parts of documents or other material that contains records or preserves information that the appeal tribunal examined in a closed inspection under sub. (2) to be, in whole or in part, confidential and closed to inspection by one or more parties, representatives or other persons.(c) Notwithstanding subs. (1) to (3), evidence and exhibits declared to be confidential under a protective order issued by the appeal tribunal under sub. (2) are closed to inspection as stated in the order.(d) Notwithstanding subs. (1) to (3), no party, party's representative or other person, except a statutory reviewing body, as specified under ss. 108.09, 108.095 and 108.10, Stats., may inspect the notes made by the appeal tribunal at the hearing. Wis. Admin. Code Department of Workforce Development DWD 140.09
Cr. Register, November, 1985, No. 359, eff. 12-1-85; r. and recr. Register, May, 1993, No. 449, eff. 6-1-93; renum. from ILHR 140.08 and am., Register, June, 1997, No. 498, eff. 7-1-97; CR 08-019: am. (3) (intro.) and (d) Register July 2008 No. 631, eff. 8-1-08.Amended by, CR 18-033: am. (1) (a) to (c), (2), (3) (intro.), (b), (4) (a) 1., (b) to (d) Register May 2019 No. 761, eff. 6/1/2019