Section 1181.3 - Certification, Formatting, Filing, and Service of Written Materials and New Filings(a) Certification. All new filings and written materials filed with the Commission shall be signed at the end of the document, under penalty of perjury, with the declaration that the filing is true and correct to the best of the declarant's personal knowledge, information, or belief. The date of signing, the declarant's title, address, telephone number, and email address, if applicable, shall be included.(b) Documents filed with the Commission shall not contain personal identifying information that violates state or federal privacy laws, including, but not limited to California Civil Code section 1798 et seq.(c) Formatting, Filing, and Service. New filings and written materials shall be filed as described in this subdivision. (1) Formatting. All new filings and written materials, except for supporting documents that were either not created by the party or were originally created by the party for a purpose other than providing evidence to the Commission, shall conform to all of the following document formatting requirements. (A) All text shall be written in Arial font, minimum 12-point font size.(B) Color is strongly discouraged, and shall not be used as the sole means to emphasize or convey information. If color is used to emphasize or convey information, there shall be additional distinguishing marks, such as underlining or asterisks, to differentiate areas where color is used.(C) Lists shall use a formatting style such as bullet points, numbering, or an ordered list.(D) Headings shall use heading styles to identify the headings' correct order of diminishing hierarchy.(E) Hard returns shall not be used to break up lines of text. Instead, space between lines of text shall be made using paragraph spacing or the space after paragraph function.(F) If columns are used, the columns shall be formatted using the word processing software's columns function.(G) Tables shall use a simple table structure without split or merged cells, nested tables, or blank columns or rows. Rows shall not be broken across multiple pages. One table header row is allowed per table, which shall be repeated at the top of each page if the table spans multiple pages.(H) Hyperlinks shall be named in a manner that is clear, concise and meaningful out of context. Bare URLs are not allowed, except as part of a formal citation to a web-based source.(I) Images shall include alternative text that describes the image, unless the image has no informational value because it is purely decorative or the information it provides is redundant to the main body of text.(2) E-Filing. Except as provided in subdivision (c)(3) of this section, all new filings and written materials shall be electronically filed (or e-filed) with the Commission via the Commission's e-filing system, available on the Commission's website. Supporting documents that were not created by the party or were created for a different purpose shall still be required to follow the formatting requirements found in subdivisions (c)(2)(B)(i)-(iii) of this section. (A) Any new filing required to be filed on a form prescribed by the Commission shall be digitally signed, using the digital signature technology and authentication process contained within the Commission forms. The completed digital form shall not be converted to PDF and shall be e-filed separately from any accompanying documents. Accompanying documents shall be e-filed together in accordance with the requirements of subdivisions (c)(2)(B) and (C) of this section.(B) Documents e-filed with the Commission. All e-filed documents, other than forms prescribed by the Commission, shall: (i) be in unlocked PDF file format, to allow Commission staff to electronically date stamp the document and append additional pages for posting on the Commission's website with a proof of service for e-service by the Commission, in lieu of the filer serving the document to the entire mailing list for the matter; and(ii) include a scanned copy of the signed signature page, rather than a digitally signed document. The scanned copy shall be in black and white (not gray scale or color).(iii) be in a legible and searchable format using a "true PDF" (i.e., documents digitally created in PDF, converted to PDF or printed to PDF) or optical character recognition (OCR) function, as necessary.(C) E-filed documents larger than 500 megabytes shall be e-filed in multiple volumes and labeled as such (i.e., "Volume I, Volume II" etc.) and shall, in that case, include a table of contents with electronic bookmarks which at minimum link to each document within the exhibits, and for documents created for the purpose of filing with the Commission also link to each heading, subheading, and component (including but not limited to the table of contents, declarations, exhibits, proof of service) of the document. Filing of color documents is strongly discouraged. However, if a color image(s) is necessary for readability or comprehension, the color image(s) shall be e-filed in a separate and final volume of exhibits. Documents not available or obtainable in electronic form may be scanned and OCRed and e-filed in a separate volume, however it is prohibited to e-file scanned documents that are available or obtainable electronically. E-filed documents that must be scanned, shall be scanned in black and white (not gray scale or color).(D) The filer is responsible for maintaining the signed original new filing or written material for the duration of the process for the matter, including any period of appeal (this may be an electronic document, depending on how the filer creates and maintains its records).(E) An automated notice that the document was successfully sent is immediately available to the filer using the Commission's e-filing system and should be saved or printed for the filer's records. Commission staff shall also reply by e-mail confirming actual receipt of the legible, searchable document by the Commission within two business days of receipt. In the absence of a confirmation e-mail from Commission staff, it is the responsibility of the filer to obtain confirmation that the Commission actually received the filing.(F) By using e-filing, the filer agrees, in the event of failure of e-filing, to re-file the document no later than the business day after the business day on which notice of the failure of e-filing is received by the filer. The filer may re-file by any means authorized by these rules, in order to maintain the original filing date. "Failure of e-filing" occurs when the filer receives notification, in any manner, of non-receipt of an e-filed document or of any other inability of Commission staff to access the document, including the failure to meet the requirements of subdivisions (c)(2)(B)(i)-(iii) of this section.(G) Documents e-filed with the Commission are served by Commission staff to persons who have provided an e-mail address for the mailing list for the matter in accordance with section 1181.4 of these regulations. E-filed documents do not need to be served by the filer and proof of service does not need to be provided by the filer for persons who have provided an e-mail address for the mailing list in accordance with section 1181.4. Nothing in this regulation excuses a filer from serving hard copies of written material on persons who appear on the mailing list and have not provided an e-mail address for the mailing list, or from providing a proof of service with the e-filing to the Commission for the service of the document on those persons.(H) Upon confirmation of actual receipt of the e-filed document, Commission staff shall notify all persons on the mailing list for the matter that written material may be viewed on the Commission's website. For "new filings" as defined by section 1181.2(k) of these regulations, Commission staff shall notify all persons on the mailing list prepared pursuant to section 1181.4 of these regulations, of the availability of those filings on the Commission's website when Commission staff issues its notice of complete filing to the filer.(I) The Commission may serve any document by e-mail service, or by making it available at a particular URL, unless doing so would be contrary to state or federal law.(J) The executive director may issue any order consistent with these rules to govern e-mail service for a particular matter.(3) Hard Copy Filing and Service in Cases of Undue Hardship or Significant Prejudice. If e-filing legible and searchable PDF documents, as described in subdivision (c)(2) of this section, would cause the filer undue hardship or significant prejudice, filing may occur by first class mail, overnight delivery or personal service only upon approval of a written request to the executive director. (A) Filing. If the executive director authorizes filing by first class mail, overnight delivery, or personal service, the filer shall file the unbound original document with the Commission.(B) Service. If written materials are filed in hard copy, the filing shall simultaneously be served on everyone on the mailing list using the same method used for the filing. Unless otherwise provided in this section, a proof of service shall be included with any written material filed with the Commission. Proof of personal service requires a declaration of the messenger of the time and place that the written material was served. Service is not required for new filings because mailing lists for matters are only prepared, pursuant to section 1181.4 of these regulations, after a new filing is deemed complete. Completed new filings will be served on the mailing list by Commission staff with the Notice of Complete Filing.(4) Time of Filing. New filings or written materials filed with the Commission no later than 5 p.m. on a business day (i.e., Monday through Friday, except state holidays) are deemed filed on that business day. New filings or written materials filed with the Commission after 5 p.m. on a business day, or on a Saturday, Sunday, or state holiday, are deemed filed on the following business day.Cal. Code Regs. Tit. 2, § 1181.3
Note: Authority cited: Sections 16.5, 17527(g), 17553(a), 17570(d) and 11104.5, Government Code. Reference: Sections 1633.1 et seq. and 1798 et seq., Civil Code; and Sections 7405, 11020(a), 17530, 17551, 17557(d), 17558.7, 17570, 17573(b), 17574(c) and 17573(g), Government Code.
Note: Authority cited: Sections 16.5, 17527(g), 17553(a), 17570(d) and 11104.5, Government Code. Reference: Sections 1633.1 et seq., 1798 et seq., Civil Code; and Sections 11020(a), 17530, 17551, 17557(d), 17558.7, 17570, 17573(b), 17574(c) and 17573(g), Government Code.
1. New section filed 5-19-2014; operative 7/1/2014 pursuant to Government Code section 11343.4(a)(3). Exempt from OAL review and submitted to OAL for printing only pursuant to Government Code section 17527 (Register 2014, No. 21).
2. Amendment of subsection (a) and Note filed 9-24-2015; operative 10/1/2015 pursuant to Government Code section 11343.4(b)(3). Exempt from OAL review and submitted to OAL for filing and printing only pursuant to Government Code section 17527(g) (Register 2015, No. 39).
3. Amendment of section heading, new subsection (a), subsection relettering and amendment of newly designated subsection (b)(1) filed 2-27-2018; operative 4/1/2018 pursuant to Government Code section 11343.4(a). Exempt from OAL review and submitted to OAL for for filing and printing only pursuant to Government Code section 17527(g) (Register 2018, No. 9).
4. Editorial correction of History 3 (Register 2018, No. 18).
5. Amendment of section heading and section filed 1-23-2020; operative 4/1/2020 (Register 2020, No. 4).
6. New subsection (c)(3) and amendment of Note filed 8-16-2021; operative 10/1/2021 pursuant to Government Code section 11343.4(a). Exempt from OAL review and submitted to OAL for filing and printing only pursuant to Government Code section 17527 (Register 2021, No. 34).
7. Amendment of subsection (c)(1), new subsections (c)(1)(A)-(c)(1)(C)(ii), subsection relettering, amendment of newly designated subsections (c)(1)(D)-(E) and amendment of Note filed 4-18-2022 as an emergency; operative 4/18/2022 pursuant to Government Code section 11346.1(d). Submitted to OAL for filing and printing only pursuant to Government Code section 17527 (Register 2022, No. 16). A Certificate of Compliance must be transmitted to OAL by 10-17-2022 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-18-2022 order transmitted to OAL 5-27-2022 and filed 7-11-2022; operative 10/1/2022 pursuant to Government Code section 11343.4(a)(4). Submitted to OAL for filing and printing only pursuant to Government Code section 17527 (Register 2022, No. 28).
9. Amendment of section heading, section and NOTE filed 5-9-2024; operative 7/1/2024 (Register 2024, No. 19).