How to Make a Filing with the Board

 

The Records and Information Center houses all the filings of the Iowa Utilities Board (Board). Any interested person may examine all public records of the Board in person at the offices of the board during the regular business hours, Monday through Friday from 8 a.m. to 4:30 p.m., excluding official state holidays. Requests for available information may also be submitted in writing. Such a request must comply with requirements found in Iowa Administrative Code 199 Chapter 1.9(7)b. Unless otherwise provided by law, all public records, other than confidential records, maintained by the Board shall be made available for public inspection.

The Iowa Utilities Board is located at 1375 E. Court Avenue, Des Moines, Iowa. Visitor parking is available on the street or in the lots to the west and south of building. Public entrance to the building is on the west side.  The Records and Information Center is in the north wing.

Effective January 2, 2009, the Iowa Utilities Board implemented an Electronic Filing System (EFS) for filings and documents. Public documents filed in new dockets after January 2, 2009 will be available for viewing and downloading from the EFS.

With the implementation of the Board's Electronic Filing System (EFS), the standards for electronic information have been updated and are available for viewing or downloading in PDF format.

The Board's complete rules on electronic filing may be found at 199 IAC 14.

Filing Procedures

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

14.5(1) Persons who make infrequent filings with the board (i.e., no more than twice annually) may file as a guest user. Persons who make regular filings with the board shall register to obtain a user ID and password pursuant to registration procedures specified in 199-14.6(17A,476). The board may require an infrequent filer to become a registered user.

14.5(2) Electronic filings shall be made by uploading a document or collection of documents into the electronic filing system. E-mailing a document to the board does not constitute filing the document.

14.5(3) A filer must provide all required information when electronically filing a document.

14.5(4) Electronically filed documents shall be named in a way that accurately describes the contents of each document.

14.5(5) All documents shall be formatted in accordance with applicable rules governing formatting of paper documents.

14.5(6) All documents shall be formatted in accordance with the board's standards for electronic information, which are available on the board's Web site or from the board's records and information center.

14.5(7) Any text-based document which has been scanned for electronic filing must be full-text searchable to the extent that is reasonably possible.

14.5(8) Spreadsheets, workbooks, and databases included in filings shall include all cell formulae and cell references. Where a filer requests confidential treatment of cell formulae and cell references or any other information included in a spreadsheet, workbook, or database, the filer shall 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.

14.5(9) Hyperlinks and other navigational aids may be included in an electronically filed document. Each hyperlink must 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 material itself is filed. Hyperlinks to cited authority may not replace standard citation format for constitutional citations, statutes, cases, rules, or other similarly cited materials.

14.5(10) The electronic filing system will display an "Upload Complete" notice when the upload of the filing is completed. If the "Upload Complete" notice does not appear, it is the filer's responsibility to contact the board's records and information center during regular business hours to determine the status of the filing.

14.5(11) After reviewing the filing, the board's records and information center will either accept or reject the filing. If the filing is accepted, the document (if not confidential) will be published on the board's Web site, 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 a list of published documents included in the filing will be sent by E-mail to the filer and to all parties identified on the service list as able to receive electronic service. From the list, the recipient of the notice can link to each published document included in the filing. Where a document is accompanied by a request for confidential treatment, the list will include a link to the public version of the document, in which information identified as confidential has been redacted (see 199-14.12(17A,476)). Where a filing consists only of a confidential document, such as a response to a board survey or other inquiry, which the board has deemed confidential pursuant to an order requiring the response, the document will not be published on the board's Web site. Acceptance of a document for filing is not a final determination that the document complies with all board 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 E-mail to the filer, or the filer will be contacted by other appropriate means.

14.5(12) Errors. If a filer discovers an error in the electronic filing or publishing of a document, the filer shall contact the board's records and information center as soon as possible. The records and information center will review the situation and advise the filing party how the error will be addressed by the records and information center and what further action by the filer, if any, is required. Ordinarily, any modifications to a published document will require a revised filing with the board. If errors in the filing or publishing of a document are discovered by the board's records and information center, board staff will ordinarily notify the filer of the error and advise the filer of what further action, if any, is required to address the error. If the error is a minor one, the records and information center may either correct or disregard the error.

14.5(13) Electronic documents and the hearing process. If any prefiled testimony or exhibit that is electronically filed before the hearing is altered or corrected at the hearing in any way and admitted into evidence, the sponsoring party must electronically file the altered document at the earliest opportunity, but no later than three business days after the conclusion of the hearing. If any paper documents which have not been electronically filed before the hearing are admitted into evidence as exhibits at the hearing, the sponsoring party must electronically file the exhibits at the earliest opportunity, but no later than three business days after the material is admitted into evidence.

 

 

Service of Documents

14.16(1) Service on parties able to receive electronic service. Unless otherwise provided by board rule or order, whenever a document is filed electronically, a "Notice of Electronic Filing" will be generated and sent to the filer and to representatives of the other parties who are able to receive electronic service and who are on the service list. This notice will constitute valid service of electronically filed documents and board orders on parties accepting electronic service. The notice will include a service list providing names, addresses, and E-mail addresses of the persons who were sent the notice. No additional proof or certificate of service is required in matters in which all parties are able to receive electronic service. It is the responsibility of the filer to review the notice to ensure that all parties have been provided notice. All parties are responsible for ensuring that their E-mail accounts are monitored regularly and that E-mail notices sent to the account are opened in a timely manner.

14.16(2) Service on parties for whom electronic service is not available. The service list in each proceeding will be available on the board's Web site. The list will identify the representatives for each party and will also indicate the parties for whom electronic service is not available. Filers must serve a paper copy of any electronically filed document on all persons entitled to service for whom electronic service is not available, unless the parties agree to other arrangements. The date of service shall be the day when the document served is deposited in the United States mail or overnight delivery, is delivered in person, or otherwise as the parties may agree. A party serving a paper copy of any electronically filed document on a person for whom electronic service is not available shall file a certificate of service stating the manner in which service on such person was accomplished in a form consistent with the requirements of 199-subrule 2.2(16).

14.16(3) Service of board-generated documents. Orders issued by the board will be electronically filed. The electronic filing system will electronically transmit notice of posting of orders to all parties on the service list that are able to receive electronic service. This notice will constitute valid service of the order. The board's records and information center will mail paper copies of orders to parties who are not able to receive electronic service and to others as ordered. The records and information center will include a copy of the notice with the paper copy of the document.

14.16(4) Exceptions. Electronic service through the board's electronic filing system to parties other than the consumer advocate division of the department of justice shall not be used to serve a document which (1) the filer asserts contains confidential material or (2) initiates a proceeding, such as a complaint or application, except for orders opening inquiries, investigations, or rule-making proceedings, or other similar proceedings where the board has an electronic service list on file.

14.16(5) Changes to service list. Filers wishing to change information on the service list shall file a notice of change of contact information. Other changes to the service list, such as a withdrawal of appearance or substitution of counsel, must be requested by means of an appropriate filing.

 

Confidential Materials

Confidential documents will not be published on the board's Electronic Filing System (EFS). When filing a document containing confidential information, a person shall file one public version of the document with the confidential information redacted according to the board's standards for electronic information and one version of the document containing the confidential information. The two versions of the document shall be named according to the following convention: "Document Title - Public" and "Document Title - Confidential."

Important: It is the responsibility of the person submitting a public version of the electronic document to take appropriate measures to ensure that any embedded information for which confidential treatment is sought is nonviewable, nonsearchable, and nonreversible. Each page of the confidential version of the document shall be marked in a way that identifies it as belonging to the confidential version of the document. The confidential material itself shall be highlighted or otherwise distinguished on the page to identify what specific information is confidential.

A filing including a document the filer asserts contains confidential information shall also include a separate document containing the request for confidential treatment pursuant to 199 IAC 1.9(6). Documents which the filer asserts contain confidential information will not be electronically served by the board's EFS, as provided in 199 IAC 14.16(4).

 

Copy Requests

Copies of records may be made at the Records and Information Center in person or with staff assistance. Copies may also be ordered by calling 515.725.7337 or by completing a copy request form and mailing to the address listed on the form.  The completed copy request form may also be faxed to 515.725.7399. In all cases there will be a $2.00 charge for the first five pages and $0.25 per page thereafter ($2.00 minimum charge).

Search Fees

An hourly fee will be charged for searching for requested records. The fee will be based upon the pay scale of the employee who makes the search. No search fee will be charged if the records are not located, the records are not made available for inspection, or the search does not exceed one-quarter hour in duration.

Utility Maps

The Iowa Utilities Board has several paper maps detailing utility service areas as well as pipeline and electric transmission line locations. Please visit the on-line map order form for descriptions and prices of maps.

An online statewide map of Iowa electric service territories is also available from the Iowa Department of Transportation web site. Users can review electric service boundaries and information locally or across the state, by using links to county or local area maps, and connect directly to utility web sites. These electronic maps are provided in PDF format and may also be printed for non-commercial use.

Contact Information

Records Center / EFS Help Desk
515.725.7337

Executive Secretary
515.725.7334

E-Mail
recordscenter@iub.iowa.gov

Electronic Filing System (EFS)
efs.iowa.gov