Article 2. Filing of Documents
2. (Rule 2) Form and Size of Tendered Documents
Documents tendered for filing must be typewritten, printed, or reproduced on paper 8 ½ inches wide and 11 inches long. Any larger attachments must be legibly reduced or folded to the same size. The type must be no smaller than 10 points. The impression must use 1 ½ -line or double spacing, except that footnotes and quotations in excess of a few lines may be single-spaced. Both sides of the paper may be used. A document of more than one page must be bound on the left side or upper left-hand corner. If a transmittal letter is submitted (see Rule 2.7(c)), it must not be bound to the tendered document. All copies must be clear and permanently legible.
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution.
2.1. (Rule 2.1) Caption, Title, and Docket Number; Separate
Documents for Separate Action
(a) All documents tendered for filing must have a blank space of at least 1 ½ inches tall by 2 ½ inches wide in the upper right-hand corner for a docket stamp and must show on the first page:
(1) at the top, the heading "BEFORE THE PUBLIC UTILITIES COMMISSION OF THE STATE OF CALIFORNIA";
(2) in the upper left below the heading, the caption for the proceeding;
(3) to the right of the caption, the docket number (if one has been assigned);
(4) below the caption and docket number, the title of the document and the name of or shortened designation for the party tendering the document.
The title page may extend to additional pages if these required items cannot be set forth on one page. The name, mailing address, telephone number, and, if available, facsimile transmission number of the person authorized to receive service and other communications on behalf of the party tendering the document must be set forth either on the title page of the document or following the signature at the end of the document (see Rule 2.2). Documents initiating new proceedings must leave a space to the right of the caption for the docket number. (See Rule 88.)
(b) Separate documents must be used to address unrelated subjects or to ask the Commission or the administrative law judge to take essentially different types of action (e.g., a document entitled "Complaint and Motion for Protective Order" would be improper; the filing must be split up into two separate documents). Motions to accept a late filing that have a pleading attached must indicate in the title that the pleading is attached to the motion (e.g., Motion to Accept Late Comments, Comments Attached).
(c) Persons and corporations regulated by the Commission must include their assigned Case Information System (CIS) Identification Number in the captions of documents initiating new proceedings and in the titles of other documents filed in existing cases (e.g., "Application of Pacific Bell (U 1001 C) for Rehearing of Decision 91-01-001").
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution. Reference: Section 701, Public Utilities Code.
(a) A document tendered for filing must have a signature at the end of the document and must state the date of signing, the signer's address, the signer's telephone number, and (if consenting to service by electronic mail) the signer's electronic mail address.
(b) A signature on a document tendered for filing certifies that the signer has read the document and knows its contents; that to the signer's best knowledge, information, and belief, formed after reasonable inquiry, the facts are true as stated; that any legal contentions are warranted by existing law or a good-faith argument for the extension, modification, or reversal of existing law; that the document is not tendered for any improper purpose; and that the signer has full power and authority to sign the document. (See Rule 1.)
(c) A document tendered for filing must be signed either by a party or by the attorney or representative of the party. If the document is signed by the party, it must be signed as follows:
(1) If the party is an individual or sole proprietorship, by the individual or proprietor.
(2) If the party is a corporation, trust, or association, by an officer.
(3) If the party is a partnership or limited partnership, by a partner or general partner, respectively.
(4) If the party is a governmental entity, by an officer, agent, or authorized employee.
(d) If a document is tendered for filing on behalf of more than one party, only one party (or one party's attorney or representative) need sign the document unless otherwise required by these rules. The title or first paragraph of the document must identify all parties on whose behalf the document is tendered and state their Case Information System Identification Numbers, if applicable (see Rule 2.1(c)). The signature of a party in these circumstances certifies that the signer has been fully authorized by the indicated parties to sign and tender the document and to make the representations stated in subsection (b) on their behalf.
(e) Except as otherwise required in these rules or applicable statute, either the original signature page or a copy of the original signature page is acceptable for tendering for filing. If a copy of the signature page is tendered, the signer must retain the original, and produce it at the administrative law judge's request, until the Commission's final decision in the proceeding is no longer subject to judicial review.
(f) The Commission may summarily deny a party's request, strike the party's pleadings, or impose other appropriate sanctions for willful violation of subsections (b) or (d) of this rule. The Commission may seek appropriate disciplinary action against an attorney for a willful violation of subsections (b) or (d) of this rule.
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution. Reference: Sction 1701, Public Utilities Code.
(a) Except as otherwise provided in these rules or applicable statute, service of a document may be effected by delivering a copy of the document, mailing a copy of the document by first-class mail, or making service by electronic mail (e-mail) as provided in Rule 2.3.1 to each person whose name is on the official service list or applicable special service list, to the assigned administrative law judge, and to any other person required to be served by statute, by Commission rule or order, or by the administrative law judge. Delivery may be made by handing a copy of the document to the person or leaving it in a place where the person may reasonably be expected to obtain actual and timely receipt. Service by mail is complete when the document is deposited in the mail. Service by e-mail is complete when the e-mail message is transmitted, subject to Rule 2.3.1(e). The administrative law judge may require more expeditious service or a particular form of service in appropriate circumstances.
(b) In the event that service cannot be completed by any of the methods described in Rule 2.3(a), the administrative law judge may direct or any party may consent to service by other means not listed in Rule 2.3(a) (e.g., facsimile transmission).
(c) A party may serve a Notice of Availability in lieu of all or part of the document to be served. A copy of the complete document must, however, be served on any party who has previously informed the serving party of its desire to receive a complete copy. The original document and copies filed with the Commission must be complete (see Rule 2.5). A separate Notice must be provided for each document to be served, unless the assigned commissioner or administrative law judge authorizes a Notice to include reference to more than one document. The Notice must comply with Rule 2.1(a) and, if relevant, Rule 2.3.1 and must state the document's exact title and summarize its contents. The Notice must state that a copy of the document will be served at the request of the party receiving the notice, and must state the name, telephone number, e-mail address, if any, and facsimile transmission number, if any, of the person to whom such requests should be directed. The party sending the Notice must serve any party making such request within one business day after receipt of the request. If a Notice of Availability is served by e-mail in accordance with Rule 2.3.1, the e-mail message must contain in its subject line in the following order: the docket number of the proceeding and the words "notice of availability," followed by a brief name of the proceeding, and a brief identification of the document to be served, including the name of the serving party.
(d) A Notice of Availability may be served in any of the following circumstances:
(1) if the entire document, including attachments, exceeds 50 pages; or
(2) if a document served by sending an e-mail message with the document attached in accordance with Rule 2.3.1(b) has attachments that are not reproducible in electronic format, or would cause the entire e-mail message, including all attachments, to exceed 3.5 megabytes in size, or would be likely to cause e-mail service to fail for any other reason; or
(3) if the entire document is served by making it available at a particular Uniform Resource Locator (URL) on the World Wide Web (web); or
(4) with the prior permission of the assigned commissioner or administrative law judge.
(e) If the document is served by making it available at a particular URL, in addition to the requirements of subd.(c) and (d) of this Rule, the Notice of Availability must contain a complete and accurate transcription of the URL or a hyperlink to the URL at which the document to be served has been made available in a readable, downloadable, printable, and searchable format, unless use of such format is infeasible, and must state the date on which the document was made available at that URL. Such a Notice may contain information about how to access or download the document to be served, or any other information required or allowed by the assigned commissioner or administrative law judge; it may not contain any attachments.
(f) A document served by making it available at a particular URL must be maintained at that URL until the Commission's final decision in the proceeding in which the document was served is no longer subject to judicial review. If changes to the web site change the URL for the document, the serving party must serve and file a notice of the new URL.
(g) A copy of the certificate of service must be attached to each copy of the document (or Notice of Availability) served and to each copy filed with the Commission. If a Notice of Availability is served, a copy of the Notice must also be attached to each copy of the document filed with the Commission. The certificate of service must state: (1) the exact title of the document served, (2) the place, date, and manner of service, and (3) the name of the person making the service. The certificate filed with the original of the document must be signed by the person making the service (see Rule 2.2(e)). The certificate filed with the original of the document must also include a list of the names, addresses, and, where relevant, the e-mail addresses of the persons and entities served and must indicate whether they received the complete document or a Notice of Availability. (See Rule 88, Form No. 6.)
(h) The Process Office shall maintain the official service list for each pending proceeding and post the service list on the Commission's web site. It is the responsibility of each person or entity on the service list to provide a current mailing address and, if relevant, current e-mail address, to the Process Office for the official service list. A party may change its mailing address or e-mail address for service or its designation of a person for service by sending a written notice to the Process Office and serving a copy of the notice on each person on the official service list.
(i) The administrative law judge may correct and make minor changes to the official service list and may revise the official service list to delete inactive parties. Before establishing a revised service list, the administrative law judge will give each person on the existing service list notice of the proposed revision and an opportunity to respond to the proposal.
(j) The administrative law judge may establish a special service list for documents related to a portion of a proceeding. A special service list allows service to be made on only a portion of the official service list. A special service list may be established, for example, for one phase of a multi-phase proceeding or for documents related to issues that are of interest only to certain parties. Before any special service list is established, the administrative law judge will give each person on the official service list notice of the proposal to establish a special service list and an opportunity to show why that person should be included on the special service list or why a special service list should not be established.
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution. Reference: Sections 311.5, 1704, Public Utilities Code.
2.3.1. (Rule 2.3.1) Service by Electronic Mail (E-Mail Service)
(a) E-mail service may be used in any proceeding which has been assigned a docket number.
(b) E-mail service may be made by sending the entire document to be served as an attachment to an e-mail message to the e-mail address of all persons shown on the official service list on the date of service; or by sending an e-mail with a Notice of Availability attached in accordance with Rule 2.3(c) and (d) to the e-mail address of all persons on the official service list on the date of service; or by any other method of e-mail service directed by the assigned commissioner or administrative law judge.
(c) When serving documents as attachments to an e-mail message, the serving party must include in the subject line of the message in the following order: the docket number of the proceeding, a brief name of the proceeding, and a brief identification of the document to be served, including the name of the serving party. The serving party must also include in the text of the message the electronic format of the document (e.g., PDF, Excel), whether the e-mail message is one of multiple e-mail messages transmitting the document or documents to be served, and the name, telephone number, e-mail address, and facsimile transmission number of the person to whom problems with receipt of the document to be served should be directed. Documents served as attachments to an e-mail message must be in readable, downloadable, printable, and searchable formats, unless use of such formats is infeasible. Where appropriate, the assigned ALJ may require particular formats to be used. The total size of the e-mail message and all attached documents to be served may not exceed 3.5 megabytes.
(d) By providing an e-mail address for the official service list in a proceeding, a person consents to e-mail service in any proceeding in which the person is on an official service list. A person who has previously provided an e-mail address may withdraw consent to e-mail service in a particular proceeding by serving and filing a notice withdrawing consent to e-mail service for that proceeding. A person who does not consent to receive e-mail service in a proceeding may not use e-mail to serve documents in that proceeding.
(e) By utilizing e-mail service, the serving party agrees, in the event of failure of e-mail service, to re-serve the document, no later than the business day after the business day on which notice of the failure of e-mail service is received by the serving party, by any means authorized by these rules, provided that e-mail service may be used for re-service only if (1) the receiving party consents to the use of e-mail service, or (2) the serving party determines that the cause of the failure of e-mail service has been rectified. "Failure of e-mail service" occurs when the serving party receives notification, in any manner, of non-receipt of an e-mail message, or of the receiving party's inability to open or download an attached document, or of any other inability of the receiving party to access the document to be served. The serving party and receiving party may agree to any form for re-service allowed by these rules. The serving party is not required to, but may agree to, re-serve any person listed in the Information Only section of the official service list after failure of e-mail service to such person.
(f) In addition to any other requirements of this rule, the serving party must provide a paper copy of all documents served by e-mail service to the assigned administrative law judge, unless the administrative law judge orders otherwise.
(g) The Commission may serve any document in a proceeding by e-mail service, and/or by making it available at a particular URL, unless doing so would be contrary to state or federal law.
(h) Nothing in this rule alters any of the rules governing filing of documents with the Commission.
(i) The assigned commissioner or administrative law judge may issue any order consistent with these rules to govern e-mail service in a particular proceeding.
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution. Reference: Section 311.5, Public Utilities Code; Section 11104.5, Government Code.
(a) Whenever a document is required to be verified by these rules, statute, order, or ruling, the verification must be made either by affidavit sworn or affirmed before a notary public or by declaration under penalty of perjury. When the verification is made by the person who signs the document, the verification must be separately stated and signed.
(b) The verification must be signed (see Rule 2.2(e)) and state that the contents of the document are true of the verifying person's own knowledge, except as to matters that are stated on information or belief, and as to those matters that he or she believes them to be true. (See Rule 88.)
(c) At least one applicant must verify applications (except applications for rehearing) and amendments thereto. Applications under Article 9 must be signed and verified by all applicants. At least one complainant must verify complaints and amendments thereto. At least one of the defendants filing an answer must verify it, but if more than one answer is filed in response to a complaint against multiple defendants, each answer must be separately verified.
(d) If these rules require a party to verify a document, it must be verified as follows (except as provided in subsection (e)):
(1) If the party is an individual or sole proprietorship, by the individual or sole proprietor.
(2) If the party is a corporation, trust, or association, by an officer.
(3) If a party is a partnership or limited partnership, by a partner or general partner, respectively.
(4) If the party is a governmental entity, by an officer, agent, or authorized employee.
(e) A party's attorney or representative may verify a document on behalf of a party if the party is absent from the county where the attorney's or representative's office is located, or if the party for some other reason is unable to verify the document. When a document is verified by the attorney or representative, he or she must set forth in the affidavit or declaration why the verification is not made by the party and must state that he or she has read the document and that he or she is informed and believes, and on that ground alleges, that the matters stated in it are true.
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution. Reference: Section 446, Code of Civil Procedure.
(a) Unless otherwise required by these rules, and except for complaints (see Article 3), any person tendering a document for filing must submit an original and seven exact copies of the document (including any attachments but not including the transmittal letter, if any (see Rules 2.7(c), 3.1)). After an official service list is established in a proceeding (see Rule 2.3(e), (f), (g)), any person tendering a document for filing in that proceeding must submit an original and four copies of the document.
(b) In lieu of the original, one additional copy of the document may be tendered. If a copy is tendered instead of the original, the party tendering the document must retain the original, and produce it at the administrative law judge's request, until the Commission's final decision in the proceeding is no longer subject to judicial review.
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution.
2.6. (Rule 2.6) Amendments and Errata
(a) An amendment is a document that replaces and supersedes a previously filed document or adds new material to an existing document.
(1) An amendment to a previously filed application, protest, complaint, or answer must be filed and served at least five days before the scheduled date of hearing. Thereafter, amendments to these documents may be filed and served as permitted or directed by the administrative law judge. Amendments to other documents may be filed and served at any time, with the permission of the administrative law judge.
(2) If replies, responses, protests, or answers to a document are required or permitted, the time for filing a reply, response, protest, or answer to an amended document is calculated from the date the amendment is served. If a party has responded to, replied to, protested, or answered the document as previously filed, no additional response, reply, protest, or answer to new information or material presented by an amendment is necessary. If the changes presented in the amendment are minor and the parties have already had an opportunity to respond to, reply to, protest, or answer the original document, the administrative law judge may limit or prohibit any further replies, responses, protests, or answers.
(b) Minor typographical corrections or wording changes that do not alter the substance or tenor of a document or the relief requested therein need not be made. However, errata listing such corrections to a previously filed document may be made at any time, provided the correcting document is served on all parties. The service of such errata will not be noted in the Daily Calendar.
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution.
2.7. (Rule 2.7.) Other Requirements
(a) Specific types of documents may be subject to additional requirements stated in other articles of these rules. Additional or different requirements for certain types of filings are stated in the Public Utilities Code or in the Commission's decisions, General Orders, or resolutions.
(b) Except as otherwise required or permitted by these Rules or the Commission's decisions, General Orders, or resolutions, testimony and exhibits shall not be filed with the Docket Office (see Article 17).
(c) A letter transmitting documents to the Docket Office for filing is not required unless acknowledgment of the filing (Rule 3.1) is requested.
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution.
3. (Rule 3) Time, Place, and Review of Filing; Docket
(a) Unless otherwise directed, all documents must be tendered for filing at the Commission's Docket Office at the State Building, 505 Van Ness Avenue, San Francisco, California 94102, at the Commission's Offices in the State Building, 320 West 4th Street, Suite 500, Los Angeles, or at the Commission's Offices in the State Building, 1350 Front Street, San Diego.
All documents sent through the mail must be addressed to the Commission's Docket Office in San Francisco. Only hand-delivered documents will be accepted by the Los Angeles or San Diego office. First-class postage charges to San Francisco must be paid at the time documents are tendered to the Los Angeles or San Diego office. Payment of postage charges may be made by check or money order.
(b) Tendered documents are not considered filed until they have been reviewed and accepted for filing by the Docket Office in San Francisco.
(c) If a document complies with these rules and is accepted for filing by the Docket Office in San Francisco, the filing will be recorded as of the date it was first tendered for filing at the Commission's San Francisco, Los Angeles, or San Diego office.
(d) Any tendered document that does not comply with applicable rules, Commission orders, or statutes may be rejected. Rejected documents will be returned with a statement of the reasons for the rejection. Documents submitted in response to a rejected document will not be filed.
(e) If a tendered document does not comply with applicable requirements, the Docket Office, with the consent of the party tendering the document, may retitle the document or strike part of the document, and the document as modified may be accepted for filing. The party tendering the document must notify all parties served with the document of the modification or striking.
(f) If a tendered document does not comply with applicable requirements, the party tendering the document may, in the body of the document, request waiver of the requirements to which the document does not conform. The request must state the reasons justifying the waiver. The assigned administrative law judge will decide whether or not to waive the requirements as requested. If the waiver is granted, the document will be filed as of the date it was tendered for filing.
(g) If a tendered document is in substantial, but not complete, compliance with Rules 2 through 2.6, the Docket Office may notify the party tendering the document of the defect. If the defect is cured within seven days of the date of this notification, the document will be filed as of the date it was tendered for filing, provided that the document was properly served as required by these Rules on or before the date the document was tendered for filing.
(h) Acceptance of a document for filing is not a final determination that the document complies with all requirements of the Commission and is not a waiver of such requirements. The Commission, the Executive Director, or the administrative law judge may require amendments to a document, and the Commission or the administrative law judge may entertain appropriate motions concerning the document's deficiencies.
(i) If a document initiates a new proceeding, the proceeding will be assigned a docket number when the document is accepted for filing. The Chief Administrative Law Judge shall maintain a docket of all proceedings.
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution.
3.1. (Rule 3.1) Acknowledgments
The Docket Office will provide an acknowledgment of the filing of any document on request, provided the filing party furnishes, at the time the document is tendered, an extra copy of a letter of transmittal or of the document and a self-addressed envelope with postage fully prepaid. The extra copy of the letter of transmittal or of the document will be stamped with the filing stamp and docket number and returned by mail.
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution.
3.2. (Rule 3.2) Computation of Time
When a statute or Commission decision, rule, order, or ruling sets a time limit for performance of an act, the time is computed by excluding the first day (i.e., the day of the act or event from which the designated time begins to run) and including the last day. If the last day falls on a Saturday, Sunday, or holiday when the Commission offices are closed, the time limit is extended to include the first day thereafter.
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution. Reference: Section 12, Code of Civil Procedure.
Filing fees required by the Public Utilities Code are set forth in the following table. If the fee in the table conflicts with the fee stated in the appropriate statute, the statute prevails. Filings marked with an asterisk should be submitted to the Tariff and License Branch of the Rail Safety and Carriers Division.
(See Table of Filing Fees at end of Rules)
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution. References: Section 1001, 1007, 1008, 1036, 1904, 2754, 2756, 3902, 4006, 5136, 5371.1, 5373.1 and 5377.1, Public Utilities Code.
3.4. (Rule 3.4) Daily Calendar
A Daily Calendar of newly filed proceedings and proceedings set for hearings shall be available for public inspection at the Commission's San Francisco and Los Angeles offices. The Daily Calendar shall indicate the time and place of the next three regularly scheduled Commission meetings. Printed copies of the Daily Calendar may be obtained by subscription at such price as may be established by the Commission. Electronic access to the Daily Calendar is available at the Commission's website ( www.cpuc.ca.gov).
Note: Authority cited: Section 1701, Public Utilities Code; and Section 2, Article XII, California Constitution.
