3 AAC 48.095 - Electronic filing requirements

Current through April 6, 2022

(a) Unless otherwise specified by order or another applicable provision of this chapter, all filings submitted to the commission, with the exception of regulatory cost charge reports, may be filed electronically or on paper. Reports submitted in accordance with 3 AAC 47.050(b) or 3 AAC 47.060 shall be filed electronically, unless waived in accordance with (I) of this section or otherwise specified by order. Parties and their representatives participating in docket proceedings before the commission shall serve and accept service electronically in accordance with 3 AAC 48.090(b). An electronic filing with the commission must be made through the commission's electronic filing systems using the commission's website. Public comments may be filed either electronically, including by electronic mail, or on paper. Additional copies of an electronic filing, in any form, are not required, and may be deleted or destroyed by the commission. Electronic mail may be submitted to facilitate the commission staff's work, if requested by the staff or the commission.
(b) Upon request, the commission may issue a user name and password to a person that seeks to file and accept service electronically through the commission's electronic filing systems using the commission's website. Use of the commission's electronic filing systems is subject to the following:
(1) the filer's use of a commission-issued user name and password constitutes the filer's verification that the filer has the requisite authority to make the filing on the filer's own behalf or on behalf of the entity that the filer purports to represent;
(2) if a filer believes that the security of an existing user name or password has been compromised, the filer shall notify the commission and, if possible, change the password immediately;
(3) the commission may revoke a filer's participation in electronic filing and cancel the filer's user name and password if the commission determines that the filer or whoever is using the user name and password is abusing electronic filing privileges;
(4) for purposes of (3) of this subsection, abuse of electronic filing privileges includes knowingly permitting unauthorized use of a user name or password or knowingly engaging in actions that interfere, or attempt to interfere, with the security of the commission's electronic filing systems, including the introduction of a virus or destructive programming into the electronic filing systems;
(5) the commission may authorize additional users associated with a utility, electric reliability organization, pipeline carrier, or other entity.
(c) An electronic filing may be rejected if it is not in compliance with this chapter or for other good cause. The commission may combine or separate files within a filing, or documents within a file, if necessary for administrative efficiency or organizational clarity. Multi-topic electronic filings may be rejected. An electronic filing will be rejected by letter or electronically, if the filing
(1) contains an excessive number of files;
(2) is excessively large;
(3) does not have an appropriate extension indicating the file type;
(4) is corrupt or otherwise cannot be successfully read or processed by the commission; or
(5) contains, in violation of 3 AAC 48.045(a), confidential information.
(d) When submitting an electronic filing containing supporting documents, the filer shall make one submission containing an individual file for each document. Each individual file must be named consistent with (g) of this section.
(e) An electronic filing submitted to the commission must be filed in portable document format (pdf), and must be text-searchable. A filer shall provide an electronic filing in its native format, if requested to do so by the commission after filing. If possible, a filer shall convert a document from its native format into portable document format, rather than scan a paper copy. If a document is scanned into portable document format, the filer shall use the highest quality resolution available, and shall employ an optical character recognition (OCR) program so that copy and paste and keyword search functions may be used. A document may not be scanned in color, unless color is essential to understanding of the information, such as in certain kinds of graphs.
(f) An electronic filing may not be submitted with security settings that prevent printing, copying, and pasting of text from the files. The security settings on an electronic filing must allow the commission to apply its electronic date-received stamp to the files. A filing not meeting the requirements of this subsection will be rejected.
(g) An electronic file description and name must be as descriptive and concise as possible. The commission staff may change a file description or name if the change will assist staff processing of the file. The commission staff shall notify a filing entity, in writing, of any file description or file name changes.
(h) To verify an electronic filing by signature, a filer shall do the following:
(1) an electronic filing must include at least one signature block within the filing; the cover letter, application form, motion, or similar document within a filing must include, in substantially the following format, a signature block or letterhead that includes the typewritten name, mailing address, telephone number, and electronic mail address of the signatory authorized to sign under 3 AAC 48.100(g) and 3 AAC 48.270(a):

Contact Name

Mailing Address

City, State, Zip Code

Phone: (xxx) xxx-xxxx

Electronic Mail Address: xxx@xxx.xxx;

(2) if the electronic filing is not based on a signed, scanned paper document, the filer shall apply an electronic signature to the electronic filing; if a filer does not have the requisite software to apply an electronic signature, the filer shall sign the signature line in the following manner: "/s/ (contact name)"; upon filing through the commission's website in accordance with an approved user identification and password, the electronic or typed signature is presumptively valid;
(3) a scanned filing must contain an original signature in ink, not an electronic signature or "/s/ (contact name)."
(i) A joint filing submitted on behalf of more than one party will be accepted electronically if
(1) the filing clearly indicates the parties on behalf of whom the filing is made; and
(2) each indicated party has applied the party's electronic or original signature, the filing party represents in the filing that the filing party is authorized to sign on behalf of the parties not signing on their own behalf, or any party not signing separately files a certificate of concurrence in accordance with (j) of this section; if a single person is authorized to file on behalf of more than one party, as indicated in a properly filed entry of appearance, a certificate of concurrence is not required from the represented parties.
(j) If a joint filing under (i) of this section is not signed by or on behalf of a party, that party shall file a certificate of concurrence no later than three business days after the commission has assigned a tracking number to the filing. The certificate must be filed in accordance with 3 AAC 48.090(b) and contain the following elements:

[Docket caption and number]

Certificate of Concurrence

[Party name] concurs with the filing [tracking number] made [date received by the commission] entitled [filing title/description].

/s/ [Contact Name]

Mailing Address

City, State, Zip Code

Phone: (xxx) xxx-xxxx

Fax: (xxx) xxx-xxxx

Electronic Mail Address: xxx@xxx.xxx;

(k) Service of filings in formal proceedings, as described in 3 AAC 48.070, must comply with 3 AAC 48.090(b).
(l) The following procedures and requirements apply to a waiver from the electronic filing requirements of this section:
(1) a person requesting a waiver from the requirements of this section must file an original and two copies of a pleading entitled "Request for Waiver of Electronic Filing Requirements"; the provisions of 3 AAC 48.091 do not apply to a request for waiver submitted under this section; the administrative law judge assigned to a docket or commission staff member assigned to review a report filed under 3 AAC 47.050(b) or 3 AAC 47.060 may reject a paper filing made without a pending waiver request, or proof of an existing waiver, if the filing was required to be submitted electronically;
(2) a request for a waiver of the electronic filing requirements for the duration of a docket or for a report filed under 3 AAC 47.050(b) or 3 AAC 47.060 may be granted if the requesting person
(A) does not own or have reasonable access to the electronic equipment and software necessary to make the electronic filing;
(B) does not have a broadband Internet access connection to make the electronic filing;
(C) would incur interexchange per-minute charges to make the electronic filing;
(D) lacks a scanner, and the scanner is necessary for the person to make the electronic filing; or
(E) provides an affidavit setting out the factual basis for why compliance is not reasonably possible or would lead to undue hardship;
(3) the requesting person must file with the commission and serve on all other parties the request for a waiver concurrently with the person's first filing in the docket proceeding; while the request for a waiver is pending, all other parties to the proceeding shall complete service in person upon the requesting person, or by United States mail or a similar delivery service;
(4) a party may not file an opposition to a request for a waiver;
(5) the commission or an administrative law judge may deny a request for a waiver for good cause; if no action is taken on a request for a waiver five business days or earlier after filing, the request for a waiver is granted;
(6) if, after receiving a waiver under this subsection, a person becomes able to send and receive electronic filings, the person shall notify the commission immediately; the waiver of the electronic filing requirements automatically terminates upon receipt by the commission of that notice;
(7) a waiver of electronic filing requirements applies to a party's participation in a specific docket proceeding or a specific report filed under 3 AAC 47.050(b) or 3 AAC 47.060 and continues for the duration of that docket or the specific report unless terminated under (6) of this subsection, or otherwise stated in a commission order.
(m) A certificate of service may not be filed as a separate filing, but may be either a separate file within the filing or contained within and at the end of the primary file. A certificate of service that includes service on a party by electronic means must be worded substantially as follows:

I hereby certify that on [date], a copy of [name of document] was served electronically on [names of parties served electronically, including electronic mail address used] by electronic means authorized by the commission, and on [name(s) and address(es) of parties served a paper version] by [method]. /s/ [person responsible for service].

(n) Material that is not available in electronic format and that cannot be converted to an electronic format acceptable to the commission must be filed on paper under 3 AAC 48.090(b). If material is filed on paper, the filer shall include a placeholder page at the appropriate place sequentially in the electronically filed document to which the material applies, with a conspicuous notation in the middle of the page in at least 14 point font: "(insert brief description) filed on paper only." An electronic filing with a placeholder page is not complete until the paper version of the omitted material is officially received under 3 AAC 48.090(a) by the commission.
(o) If a failure of the commission's electronic filing systems prevents a timely electronic filing, the filing shall be submitted by electronic mail to the commission's records and filings department, or submitted on paper. If a filer cannot timely file due to a failure of the commission's electronic filing systems, the commission will accept the filing as timely filed, without the need for the filer to submit a motion to accept late filing. If a filer's system failure causes a late electronic filing, the filer shall include with that filing a motion to accept late filing. That motion may not exceed three pages.
(p) If a filer does not receive an electronic mail acknowledgement that the commission has received an electronic filing, the filer shall contact the commission to verify that the electronic filing has been received.
(q) Notwithstanding (c)(1) and (2) of this section, a filing made in compliance with 3 AAC 46.220 and 3 AAC 46.230 that is too large to be filed online through the commission's electronic filing systems portal may be provided on a portable digital storage device with broad operating system compatibility. If the entity making the filing wishes to obtain a date-stamped receipt indicating that the commission has received the filing, the entity must provide a physical cover letter with the portable digital storage device. The commission will treat a filing made under this subsection as if it had been electronically filed under this section.

Notes

3 AAC 48.095
Eff. 2/16/2012, Register 201; am 11/6/2016, Register 220, January 2017; am 3/11/2022, Register 241, April 2022

Authority:AS 42.05.141

AS 42.05.151

AS 42.05.770

AS 42.06.140

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