Iowa Admin. Code r. 199-14.5

Current through Register Vol. 47, No. 11, December 11, 2024

Rule 199-14.5 - Electronic filing procedures and formats

Electronic documents shall be filed in accordance with the following procedures and formats:

(1) Persons who make infrequent filings with the commission may file as a guest user. Persons who make regular filings with the commission may register to obtain a user ID and password pursuant to registration procedures specified in rule 199-14.6 (17A,476). The commission may direct an infrequent filer to become a registered user.

(2) Electronic filings are made by uploading a document or collection of documents into EFS. Emailing a document to the commission does not constitute filing the document.

(3) A filer should provide all necessary information when electronically filing a document.

(4) Electronically filed documents are to be named in a way that accurately describes the contents of each document.

(5) All documents are to be formatted in accordance with the commission's standards for electronic information, which are available on the commission's website or from the commission's customer service bureau.

(6) Any text-based document that has been scanned for electronic filing should be full-text searchable to the extent that is reasonably possible.

(7) Spreadsheets and databases included in filings shall include all cell formulae and cell references. Spreadsheets with macros will not be accepted. Where a filer requests confidential treatment of cell formulae and cell references or any other information included in a spreadsheet or database, the filer may file a request for confidential treatment and two versions of the document: a public version of the document with the cell formulae deactivated and other confidential information redacted and a version not for publication containing live formulae and the information for which confidential treatment is requested.

(8) Hyperlinks and other navigational aids may be included in an electronically filed document. Each hyperlink should contain a text reference to the target of the link. Although hyperlinks may be included in a document as an aid to the reader, the material referred to by the hyperlinks is not considered part of the official record or filing unless the referenced material itself is filed (e.g., hyperlinking a document previously filed in EFS). Hyperlinks to cited authority do not replace standard citation format for constitutional citations, statutes, cases, rules, or other similarly cited materials.

(9) EFS will display an "Upload Complete" notice when the upload of the filing is completed. If the "Upload Complete-Filing Submitted" notice does not appear, the filer may contact the commission's customer service bureau during regular business hours to determine the status of the filing.

(10) After reviewing the filing, the commission's customer service bureau will either accept or reject the filing. If the filing is accepted, the document (if not confidential) will be published in EFS, and an electronic file stamp indicating the docket number(s) and date of filing will be added to the published document. A Notice of Electronic Filing containing a link to the filing will be sent by email to the filer and to all parties identified on the service list as able to receive electronic service. From the link, the recipient of the notice can view the filing. Where a document is accompanied by a request for confidential treatment, the filing will include the public version of the document, in which information identified as confidential has been redacted. Where a filing consists only of a confidential document, such as a response to a commission survey or other inquiry, that the commission has deemed confidential pursuant to an order requiring the response, the document will not be published. Acceptance of a document for filing is not a final determination that the document complies with all commission requirements and is not a waiver of such requirements. If a filing is rejected, a Notice of Rejection explaining why the filing has been rejected will be sent by email to the filer, or the filer will be contacted by other appropriate means.

(11) Errors. If a filer discovers an error in the electronic filing or publishing of a document, the filer should contact the commission's customer service bureau as soon as possible. The customer service bureau will review the situation and advise the filing party how the error will be addressed by the customer service bureau and what further action by the filer may be necessary, including a revised filing with the commission. Ordinarily, any modification to an EFS filing will require a revised filing in EFS. If errors in the filing or publishing of a document are discovered by the commission's customer service bureau, commission staff will ordinarily notify the filer of the error and advise the filer of what further action, if any, is necessary to address the error.

(12) Electronic documents and the hearing process. Any prefiled testimony or exhibit that is altered or corrected at the hearing in any way and admitted into evidence, and any paper documents that are newly admitted into evidence as exhibits at the hearing, must be electronically filed at the earliest opportunity but no later than three business days after the material is admitted into evidence.

Iowa Admin. Code r. 199-14.5

Adopted by IAB October 16, 2024/Volume XLVII, Number 7, effective 11/20/2024