16 Tex. Admin. Code § 22.71 - Filing of Pleadings, Documents, and Other Materials
(a) Applicability. This section applies to
all pleadings as defined in §
22.2 of this title (relating to
Definitions) and the following documents:
(1)
All documents filed relating to a rulemaking proceeding.
(2) Applications.
(3) Letters or memoranda relating to any item
with a control number.
(4) Reports
required by PURA, commission rules or request of the commission.
(5) Discovery requests and
responses.
(b) File with
the commission filing clerk. Except as provided in §
22.72 of this title (relating to
Formal Requisites of Pleadings and Documents to be Filed with the Commission),
all pleadings and documents required to be filed with the commission shall be
filed with the commission filing clerk, and shall state the control number on
the heading, if known.
(c) Number
of items to be filed. Unless otherwise provided by this chapter or ordered by
the presiding officer, the number of copies to be filed, including the
original, are as follows:
(1) applications,
petitions, and complaints: ten copies;
(2) applications for expanded local calling:
seven copies;
(3) applications for
certificates of operating authority (COAs) or service provider certificates of
operating authority (SPCOA), amendments to COA or SPCOA applications, and all
pleadings or documents related to the applications for COAs or SPCOAs: seven
copies;
(4) applications for
certification of retail electric providers or for registration of power
generation companies, self-generators or aggregators: seven copies;
(5) tariffs:
(A) for review under §
22.33 of this title (relating to
Tariff Filings), including discovery responses for tariffs filed under §
22.33 of this title: six
copies;
(B) related to docketed
proceedings: ten copies;
(C)
related to discovery responses in docketed proceedings: four copies;
and
(D) filed by a water supply or
sewer service corporation under § 24.21 of this title (relating to Form
and Filing of Tariffs): two copies;
(6) exceptions, replies, interim appeals,
requests for oral argument, and other documents addressed to the commissioners:
19 copies;
(7) testimony and
briefs: 11 copies, except that in contested cases transferred to the State
Office of Administrative Hearings, parties must file 13 copies of testimony and
briefs;
(8) rate, fuel factor, and
fuel reconciliation filing packages: 11 copies;
(9) applications for certificates of
convenience and necessity, amendments to certificates of convenience and
necessity (including petitions for decertification), and service area
exceptions: seven copies;
(10)
discovery requests: five copies;
(11) discovery responses: four
copies;
(12) reports required by
PURA, the TWC, or the commission's Substantive Rules: four copies;
(13) comments to proposed rulemakings: 16
copies; and
(14) other pleadings
and documents: ten copies, except that in contested cases transferred to SOAH,
parties must file 12 copies of other pleadings and documents.
(d) Confidential material:
(1) A party providing materials designated as
confidential shall deliver them to Central Records in an enclosed, sealed and
labeled envelope (the confidential envelope). The confidential envelope shall
not include any non-confidential materials unless directly related to and
essential for clarity of the confidential material. Each copy of confidential
material shall be provided in a separate sealed and labeled envelope. Parties
shall notify the Central Records filing clerk at the time of submission of any
documents to be file-stamped whether the submission includes any confidential
material. If the confidential envelope does not meet the requirements of
subparagraph (A)(i)-(vii) of this paragraph, both the confidential envelope and
any document directly related to the confidential material will be immediately
returned to the submitting party without being filed-stamped. If the
confidential envelope meets the requirements of subparagraph (A)(i)-(vii) of
this paragraph, Central Records shall accept it. No submitting party shall
deliver any confidential materials directly to commission staff. Confidential
documents related to settlement negotiations shall be submitted in conformance
with paragraph (4) of this subsection. Confidential documents submitted for
in camera review shall be submitted in conformance with
paragraph (5) of this subsection.
(A) The
confidential envelope shall contain confidential material related only to a
single proceeding. All confidential material, including that submitted in
diskette or CD-ROM format, shall be provided in a 10 X 13 inch manila clasp
envelope. A larger envelope shall be permitted only when necessary as a result
of the document's size as detailed in §
22.72(b)(2) of
this title (relating to Formal Requisites of Pleadings and Documents to be
Filed with the Commission). All envelopes shall be identified with a label
containing the information required in clauses (i)-(viii) of this subparagraph:
(i) the word "CONFIDENTIAL" in bold print and
all capitals at least one-half inch in size;
(ii) the control number, if
available;
(iii) the style of the
proceeding;
(iv) the name of the
submitting party;
(v) Brief
description of contents, i.e., Response to (Name of RFI requestor)'s First RFI
No. 1-1;
(vi) Bate Stamped or
consecutive page number range of documents enclosed;
(vii) Number and quantity of envelopes: If
the confidential material fits into one envelope, each copy would be marked
one of one. If the confidential material requires two
envelopes, each copy would be marked one of two and
two of two; and
(viii) any other markings as required by the
individual protective orders in each proceeding.
(B) The submitting party's label shall
substantially conform to the following form, with changes as necessary to
comply with any individual protective order applicable to the proceeding, and
shall be securely taped or adhered only to the front of the confidential
envelope:
(C) The
confidential materials shall:
(i) have each
page of the confidential material marked confidential or as
required by the individual protective orders in each proceeding;
(ii) meet the requirements of §
22.72(g) of this
title;
(iii) have each page,
including any cover letters or divider pages, sequentially numbered and the
sequential numbers shall be easily distinguishable from any other numbering the
submitting party uses for internal purposes;
(iv) be stapled or secured in a pressboard
letter folder or binder, and not loose, rubber banded, paper clipped or in a
three-ring binder.
(D)
Unless otherwise provided by this chapter or the presiding officer,
confidential material submitted as evidence at hearings shall follow the
procedures set forth in this paragraph.
(2) Unless otherwise provided by this chapter
or order of the presiding officer the number of copies of confidential material
delivered to the commission shall be as follows:
(A) related to arbitrations: two
copies;
(B) related to discovery:
two copies;
(C) related to
contested cases transferred to the SOAH: two copies to Central Records and one
copy delivered directly to SOAH;
(D) related to any other proceeding: two
copies; and
(E) related to request
for proposal for goods and/or services: one copy
(3) Unless otherwise provided by this chapter
or order of the presiding officer, all confidential material shall be delivered
to Central Records. All commission employees receiving confidential materials
through Central Records, or otherwise handling or routing confidential
materials for any purpose, shall sign an agreement not to open any sealed
containers marked as confidential under paragraph (1) of this subsection.
Confidential materials shall not be filed with the commission electronically
unless specific arrangements are made and agreed to by the parties involved on
a case-by-case basis.
(A) Materials related
to arbitrations. Central Records will maintain one file copy that is not
accessible to the public or commission staff and one copy that may be viewed by
parties who have signed an agreement to abide by the protective order in the
proceeding. The party who provides the confidential material must deliver one
copy of confidential materials not related to discovery to the commission's
arbitrators assigned to the matter.
(B) Material related to contested cases
transferred to SOAH and other docketed proceedings. Central Records will
maintain one file copy that is not accessible to the public or commission staff
and one copy that may be viewed by parties who have signed an agreement to
abide by the protective order in the proceeding. Parties who have signed an
agreement to abide by the protective order in the proceeding may view the copy
of the confidential material maintained by Central Records. The party who
provides the confidential material will be responsible for delivering one copy
of confidential materials not related to discovery to SOAH.
(C) Request for proposal for goods and/or
services. Confidential material related to a request for proposal for goods
and/or services will be delivered to the commission's Agency Counsel or the
Agency Counsel's authorized representative.
(D) Notwithstanding subparagraphs (A)-(C) of
this paragraph, commission employees in the Commission Advising and Docket
Management Division and in the commissioners' offices shall sign one
confidentiality and non-disclosure agreement applicable to all proceedings.
Employees in the Commission Advising and Docket Management Division that are
assigned to a matter and employees in the commissioners' offices may view and
check out confidential material for that matter maintained by Central Records
and may disclose such information to other employees in the Commission Advising
and Docket Management Division that are assigned to the matter and to employees
in the commissioners' offices.
(4) Settlement negotiations. Confidential
materials related to settlement negotiations shall be delivered to Central
Records. Confidential materials related to settlement negotiations shall not be
considered part of the official record and shall not be logged into the
commission's agency information system (AIS). The party submitting confidential
materials for settlement negotiations is responsible for ensuring that the
materials are properly labeled as required by subparagraphs (A) and (B) of this
paragraph. Confidential materials that are not properly labeled will not be
accepted by Central Records. Central Records will ensure that the materials are
delivered to the staff person identified on the label.
(A) Confidential material related to
settlement negotiations shall be delivered in a sealed envelope identified with
a label containing the information in clauses (i) - (v) of this subparagraph:
(i) the words SETTLEMENT NEGOTIATIONS and
CONFIDENTIAL in bold print and all capitals at least one-half inch in
size;
(ii) the control
number;
(iii) the style of the
proceeding;
(iv) name of submitting
party; and
(v) name of the staff
person assigned to the proceeding who is to receive the confidential
material.
(B) The
submitting party's label shall substantially conform to the following form and
shall be securely taped or adhered only to the front of the confidential
envelope:
(5)
In camera review. One
copy of confidential materials related to in camera review
shall be delivered to Central Records. Confidential materials related to
in camera review shall not be considered part of the official
record and shall not be logged into the commission's agency information system
(AIS). The party submitting confidential materials for in
camera review is responsible for ensuring that the materials are
properly labeled as required by subparagraphs (A) and (B) of this paragraph.
Confidential materials that are not properly labeled will not be accepted by
Central Records. Central Records will ensure that the materials are delivered
to the administrative law judge or arbitrator assigned to the proceeding.
(A) Confidential material related to
in camera review shall be delivered in a sealed envelope
identified with a label containing the information in clauses (i)-(v) of this
subparagraph:
(i) the words IN CAMERA REVIEW
and CONFIDENTIAL in bold print and all capitals at least one-half inch in
size;
(ii) the control
number;
(iii) the style of the
proceeding;
(iv) name of submitting
party; and
(v) name of the
administrative law judge or arbitrator assigned to the proceeding.
(B) The submitting party's label
shall substantially conform to the following form and shall be securely taped
or adhered only to the front of the confidential envelope:
(6) Working copies of confidential material
shall be maintained, destroyed, or returned to the providing party in
conformance with the individual protective orders in each proceeding. Record
copies of confidential material shall be maintained or destroyed as required by
the commission's Records Retention Schedule as approved by the Texas State
Library and Archives Commission.
(e) Receipt by the commission. Pleadings and
any other documents shall be deemed filed when the required number of copies
and the electronic copy, if required, in conformance with §
22.72 of this title are presented
to the commission filing clerk for filing. Reports that are exempt from being
filed with the commission filing clerk under §
22.72 of this title shall be
deemed received when a record containing the data from the report is created in
the system used by the commission to store the report. The commission filing
clerk shall accept pleadings and documents if the person seeking to make the
filing is in line by the time the pleading or document is required to be
filed.
(f) No filing fee. No filing
fee is required to file any pleading or document with the commission.
(g) Office hours of Central Records and the
commission filing clerk. The office hours of Central Records are from 9:00 a.m.
to 5:00 p.m., Monday through Friday, on working days, except on Fridays and
open meeting days. On Fridays, Central Records will close for all purposes from
noon to 1:00 p.m. On open meeting days, Central Records will open at 8:00 a.m.,
and the commissioners and the Commission Advising and Docket Management
Division may file items related to the open meeting on behalf of the
commissioners between the hours of 8:00 a.m. and 9:00 a.m. No other filings
will be accepted between the hours of 8:00 a.m. and 9:00 a.m. The commissioners
and the Commission Advising and Docket Management Division shall provide the
filing clerk with an extra copy of all documents filed under this subsection
for public access.
(h) Filing
deadline. All documents shall be filed by 3:00 p.m. on the date due, unless
otherwise ordered by the presiding officer.
(i) Filing deadlines for documents addressed
to the commissioners.
(1) Except as provided
in paragraph (2) of this subsection, all documents from parties addressed to
the commissioners relating to any proceeding that has been placed on the agenda
of an open meeting shall be filed with the commission filing clerk no later
than seven days prior to the open meeting at which the proceeding will be
considered provided that no party is prejudiced by the timing of the filing of
the documents. Documents that are not filed before the deadline and do not meet
one of the exceptions in paragraph (2) of this subsection, will be considered
untimely filed, and may not be reviewed by the commissioners in their open
meeting preparations.
(2) The
deadline established in paragraph (1) of this subsection does not apply if:
(A) The documents have been specifically
requested by one of the commissioners;
(B) The parties are negotiating and such
negotiation requires the late filing of documents; or
(C) Good cause for the late filing exists.
Good cause must clearly appear from specific facts shown by written pleading
that compliance with the deadline was not reasonably possible and that failure
to meet the deadline was not the result of the negligence of the party. The
finding of good cause lies within the discretion of the commission.
(3) Documents filed under
paragraph (2) of this subsection shall be served on all parties by hand
delivery, facsimile transmission, or by overnight courier delivery.
Notes
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