Docket Designations

Each public utility subject to Iowa Code chapter 476 must file, on or before April 1 of each year, an annual report as described in 199 IAC 23.1(2) and covering operations during the immediately preceding calendar year. Beginning March 2017, a company’s annual report is no longer filed in the A docket but can be found in its individual M docket (see M docket below for further information).

Docket structure: A-YYYY-CoNo

YYYY = four-digit year
CoNo = company number

Iowa Code § 476.41 encourages the development of alternate energy production facilities and small hydro facilities through the required purchase of available AEP energy by rate-regulated electric utilities. A complaint that a utility has failed to comply with the standards set in the law and Board rules is identified as an AEP proceeding.

Docket structure: AEP-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence
 

Alternative pricing proposal (APP) dockets are initiated when a utility files a proposal to set rates that are not based on traditional rate-regulation factors.

Docket structure: APP-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Iowa Code § 476.6(16) directs the Utilities Board to conduct a periodic proceeding to evaluate the reasonableness and prudence of each rate-regulated public utility’s procurement and contracting practices relating to the acquisition of fuel for use in generating electricity.

Docket structure: ARC-YYYY-CoNo

YYYY = four-digit year
CoNo = company number

Iowa Code § 476.6(15) requires a periodic evaluation of the reasonableness and prudence of public utilities’ natural gas procurement and contracting practices. When the IUB initiates an evaluation, the utility must file a detailed 12-month plan and a three-year natural gas procurement plan. These contested case proceedings are called ARGs.

Docket structure: ARG-YYYY-CoNo

YYYY = four-digit year
CoNo = company number

Accounting rulings evaluate the proper method of accounting for certain expenses, investments, or revenues. An ARU does not affect a utility's rates until review in a rate case.

Docket structure: ARU-YYYY-CoNo

YYYY = four-digit year
CoNo = company number

199 IAC § 6 states that the Iowa state law requires the complaints be made in writing. Complaints filed between two or more entities concerning a utility matter. In general, one or more of the entities will be a utility company. Complaints may concern such things as rates, billing, service, rights to service, and etc.

Docket structure: C-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence
 

IAC 199-19.15(476) This rule applies to each gas public utility and IAC 199-20.15(476) applies to each electric public utility. Each gas and electric public utility in Iowa, shall maintain a program plan to assist the utility’s low-income customers with weatherization and to supplement assistance received under the federal low-income home energy assistance program for the payment of winter heating bills. Each year a company’s customer contribution fund report may be filed in docket CCF-YYYY-0001.

Docket structure: CCF-YYYY-0001

YYYY = four-digit year
 

Iowa Code § 476.87 Certification of competitive natural gas providers: The IUB shall certify all competitive natural gas providers and aggregators providing natural gas services in this state. In an application for certification, a competitive natural gas provider or aggregator must reasonably demonstrate managerial, technical, and financial capability sufficient to obtain and deliver the services such provider or aggregator proposes to offer. 199 IAC 19.14.

Docket structure: CGP-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Declaratory ruling proceedings may be initiated either upon request or by the IUB itself. DRUs offer the IUB’s interpretation of the rules in their application to a particular hypothetical circumstance. DRU dockets contain the IUB's declaratory order proceedings. Generally, a utility requests a declaratory ruling to clarify the applicability of the law to a specific set of facts. These have a crucial deadline of 30 days to take action on the petition and must issue a decision within 30 days. Iowa Code § 17A.9 requires administrative agencies to have a declaratory ruling process, which the IUB established in 199 IAC 4.

Docket structure: DRU-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

A franchise is the authorization by the IUB for the construction, erection, maintenance, and operation of an electric transmission line under Iowa Code chapter 478. The granting of a franchise requires a finding by the IUB that the project is necessary to serve a public use, represents a reasonable relationship to an overall plan of transmitting electricity in the public interest, and follows an acceptable route.

Docket structure: E-NNNNN

NNNNN= five-digit sequence
 

An energy adjustment clause file is concerned with the increased or decreased cost of gas purchased by a utility to be used as fuel to produce electrical energy for resale to its customers. These provisions are allowed under Iowa Code § 476.6(8) and 199 IAC 20.9.

Docket structure: EAC-YYYY-CoNo

YYYY = four-digit year
CoNo = company number

Iowa Code § 476.6(16)”g” Rate-regulated utilities recover their energy efficiency expenditures through an automatic adjustment clause.

Docket structure: ECR-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Investor-owned electric utilities and electric cooperatives must maintain records regarding electric service reliability and outages, as required by 199 IAC 20.18. Further, electric utilities serving more than 50,000 Iowa customers must file an annual report describing the number of outages, an evaluation of current system reliability, and plans for service quality improvements. Prior to 2019 reliability plans were filed under the docket designation EDR-XXXX (company number) and reliability reports were filed in EDR-YYYY-XXXX (company number). Beginning in 2019 the IUB allowed companies to combine the reliability plans with their inspection and maintenance plans and file both items in a company's RE-XXXX (company number) docket. 

Docket structure: EDR-YYYY-CoNo

YYYY = four-digit year
CoNo = company number

Energy efficiency plans must be prepared and filed with the IUB by investor-owned utilities in Iowa. Plans for investor-owned utilities must address all customer classes, including programs for low-income customers, and the plans must be cost-effective. Plans for investor-owned utilities are reviewed in contested case proceedings and the IUB has authority to approve, reject or modify a plan. Utilities recover the costs of energy efficiency implementation through an Energy Efficiency Cost Recovery charge, which is reviewed and adjusted annually. The IUB also conducts prudence reviews, for investor-owned utilities, to review the performance of a utility in implementing its energy efficiency plan.

Docket structure: EEP-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Iowa Code § 476.6(20) requires rate-regulated utilities to file plans every two years addressing the actions the utility intends to take and the proposed budget for addressing emissions requirements for coal-fired generating plants. The IUB is specifically directed to review and approve the emissions plans and budgets.

Docket structure: EPB-YYYY-CoNo

YYYY = four-digit year
CoNo = company number

ES dockets contain applications from telecommunications companies to expand geographic service areas in which they can offer service, including at the time of sale or transfer.

Docket structure: ES-CoNo

CoNo = company number

Pursuant to Iowa Code chapters 476 and 478, the IUB has the authority to supervise all lines for the transmission, sale and distribution of electric current to protect the safety and welfare of the public. Pursuant to Iowa Code § 478.19, the IUB has the authority to make and enforce rules relating to the location, construction, operation, and maintenance of all transmission lines, wires, or cables. Any person who violates an electric safety rule adopted by the IUB may be subject to a civil penalty pursuant to Iowa Code § 476.51 and § 478.29.

Docket structure: ESA-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Rule 47 U.S.C. 214(e)(2) grants the IUB authority to designate Iowa carriers as eligible telecommunications carriers (ETC). ETC designation means that a carrier is allowed to receive money from the federal universal service fund (USF). IUB administrative rules under 199 IAC 39.2 contain the IUB’s requirements for ETC designation. When a carrier proposes to be designated as an ETC, it must file an application with the IUB. Such applications are received in an ETA docket. If the IUB grants ETC designation, it is granted by order in the ETA docket, which also provides notice to the Federal Communications Commission (FCC) of the ETC designation.

Docket structure: ETA-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

199 Iowa Administrative Code 39.5 and 39.6 require eligible telecommunications carriers (ETC) to file annual reports with the IUB regarding the use of high-cost federal universal service funds received pursuant to 47 U.S.C. § 254. After review of the annual reports filed by ETCs, the IUB must certify to the Federal Communications Commission (under 47 CFR 54.314) whether the funds were used “only for the provision, maintenance, and upgrading of facilities and services for which the support is intended.” Eligible Telecommunications Carriers Report Dockets are used by the IUB to receive the annual reports filed by ETCs that specifically comply with state rules.

Docket structure: ETR-YYYY-CoNo

YYYY = four-digit year
CoNo = Company number

Formal complaint investigations are brought against a utility by another utility, a customer, or by the Utilities Board. FCU dockets are intended to determine if, in a specific instance, a utility violated Iowa law, rules, or the utility’s own tariff.

Docket structure: FCU-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Federal Communications Commission (FCC) rules under 47 C.F.R. § 54.313 require all eligible telecommunications carriers to file annual reports with the IUB regarding the use of high-cost federal universal service funds received pursuant to 47 U.S.C. § 254. After review of the annual reports filed by ETCs, the IUB must certify to the FCC (under 47 CFR 54.314) whether the funds were used “only for the provision, maintenance, and upgrading of facilities and services for which the support is intended.” FER Dockets are used by the IUB to receive the annual reports filed by ETCs that specifically comply with the federal rules.

Docket structure: FER-YYYY-CoNo

YYYY = four-digit year
CoNo = company number

Federal Communications Commission (FCC) rules under 47 CFR 54.416 require eligible telecommunications carriers (ETC) to file FCC Form 555 reports with the state commission each January. The FCC Form 555 is a certification on the ETC’s compliance with the federal Lifeline rules. The Lifeline rules govern the federal subsidies provided to ETCs participating in low income telephone program. FLR Dockets are used by the IUB to receive and review the FCC Form 555 filings.

Docket structure: FLR-YYYY-CoNo

YYYY = four-digit year
CoNo = company number

Iowa Code chapter 476A requires that an entity planning to construct a generating facility in excess of 25 megawatts (MW) must receive a certificate of public convenience, use, and necessity to begin construction.

Docket structure: GCU-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Accident investigation reports and related documents filed by utilities and staff.

Docket structure: H-CoNo

CoNo = company number

Iowa Code chapter 479B, which was enacted by the 1995 legislature, grants the IUB authority over hazardous liquid pipelines and storage facilities in the state. A hazardous liquid is defined as crude oil, refined petroleum products, liquefied petroleum gases, anhydrous ammonia, liquid fertilizers, liquefied carbon dioxide, alcohols, and coal slurries.

Docket structure: HLP-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

IAC dockets contain filings and reports required by various sections of the IUB's rules in the Iowa Administrative Code. This includes rules relating to 199 IAC chapters 15, 19, 20, 22, 31, 35 and 45.

Docket structure: IAC-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Utility investigations are general proceedings to explore issues that may affect a number of utilities. Similar to the NOI docket, INU dockets are used by the IUB to gather information that may not be specifically tied to any particular company. Positive feedback on the flexibility of the INU docket to include information regarding more than one utility is an important consideration because most dockets are tied to one individual company.

Docket structure: INU-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

A Miscellaneous correspondence file contains all items of general communication for a specific utility. Primarily, the M docket is used by companies to update their contact information and can include everything from address changes to company reorganizations. These dockets also contain a number of old telecom documents, reports, hedging documents and other filings.

Docket structure: M-CoNo

CoNo = company number

Section 252(b) of the Telecommunications Act of 1996 gives the IUB the authority to approve the rates, terms, and conditions of negotiated interconnection agreements between competitors and incumbent local exchange providers. The agreement is docketed and written comments from interested parties must be filed within 30 days. The statutory standard to be applied in IUB review is: (1) whether the agreement discriminates against a telecommunications carrier not a party to the agreement or (2) whether the implementation of the agreement or a portion is not consistent with the public interest, convenience, or necessity.

Docket structure:  NIA-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Notices of inquiry are informal proceedings to educate the participants on a particular issue or set of issues. The IUB commences an inquiry and develops a set of issues or questions for consideration. The issues outlined in the notice are not intended to be exclusive but form the framework for the inquiry. The inquiry is not directed at an individual utility or group of utilities but at any group, business, industry, or person who may be interested in the issue. The process is not intended to produce any specific kind of action, but may result in a subsequent formal proceeding such as a rule making or contested case. No record is made and no testimony is compelled.

Docket structure: NOI-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

When nuclear decommissioning trust funds were established, the IUB reserved the right to approve any changes to the trust funds. Whenever there is a change to the trust fund, the utility has to file for approval.

Docket structure: NPD-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

A pipeline permit is the authorization granted by the Utilities Board for the construction, maintenance, and operation of an intrastate pipeline under Iowa Code chapter 479. The granting of a permit requires a finding by the Board that the project will promote the public convenience and necessity and follows an acceptable route.

Docket structure: P-NNNN

NNNN = four-digit sequence

PGA dockets address the cost of gas charged to a specific utility’s customers due to the variation in the price of natural gas purchased by the utility. These provisions, allowed by Iowa Code § 476.6(8) and 199 IAC 19.10, are approved as part of the company’s filed tariff with the IUB. Companies file monthly and annual cost reports, as well as any requests to change the rates charged to customers.

Docket structure: PGA-YYYY-CoNo

YYYY = four-digit year
CoNo = company number

The IUB has the authority to supervise the transportation or transmission of natural gas by pipeline to protect the safety and welfare of the public pursuant to the Iowa Code § 479. Consistent with the authority, the IUB has rules, embodied in 199 IAC § 19, which establish pipeline safety standards for public utilities subject to the IUB's jurisdiction. The IUB also acts as an interstate agent for the federal Department of Transportation in pipeline safety matters pursuant to Iowa Code § 479.33. Any person who violates a pipeline safety rule adopted by the IUB may be subject to a civil penalty pursuant to Iowa Code § 476.51 and § 479.31.

Docket structure: PSA-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Report dockets were used historically to file safety and service inspection reports, related documents and correspondence. Reports made by utilities, concerning operations as required by Board rule or order. R dockets were no longer used as of February 2011.

Docket structure: R-CoNo

CoNo = company number

Staff safety and service electric inspection reports, related documents and correspondence. Reports made by an electric utilities concerning operations as required by the IUB rule or order.

Docket structure: RE-CoNo

CoNo = company number

REG dockets contain registration information for telecommunications companies within the state. Although limited they include only a check-box of the service(s) provided by the company as well as contact information for the company. Staff notes that this information is used to contact companies for things like customers complaints, although some information is outdated, updated information is filed in M or A dockets, although some companies file revised RG dockets when their information changes.

Docket structure: REG-CoNo

CoNo = company number

Staff safety and service gas inspection reports, related documents and correspondence. Reports made by gas utilities concerning operations as required by Board rule or order.

Docket structure: RG-CoNo

CoNo = company number

The Iowa Utilities Board publishes administrative rules that specify the rules under which utilities must operate and the procedures by which citizens and utilities may amend those rules. To change the rules, certain procedures for public notice and comment are specified by law. These proposed changes are called rule makings.

Docket structure: RMU-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

A rate notification file concerns a given utility’s procedure of notifying its customers of a specific proposed alteration of existing rate schedules. Included will be a copy of the letter(s) to the affected customers. As of January 2017 the rate notification application is now contained inside the appropriate RPU docket; no RN is needed to initiate the proceeding.

Docket structure: RN-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Rate setting is a key function of the IUB. By law, the IUB must assure that customers receive adequate service at a reasonable price. The IUB must also allow sufficient income for the utilities to maintain reliable service and assure sufficient earnings for its stockholders. The jurisdiction of rate setting extends only to certain larger utilities within Iowa. Municipal utilities and rural electric cooperatives (except those which choose rate regulation) are subject to IUB review of their service only. Rate proceedings are designed to uphold the previously mentioned obligations when the IUB investigates a company’s rate increase proposal. Such proceedings usually last about ten months. During this time, local consumer comment hearings permit customer feedback. Technical hearings, similar to courtroom hearings, also take place. Testimony is presented and expert witnesses are cross-examined by the company, Consumer Advocate, and intervenors. At the conclusion, the IUB may approve the company’s request in full, approve some of it, or disallow any increase at all.

Docket structure: RPU-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

A study area under FCC rules is defined as the geographic area served by an incumbent local exchange carrier (ILEC) within a state (which would consist of one or more exchanges). Study area boundaries are part of the formula for an ILEC’s receipt of federal universal service funds (USF). If an ILEC wishes to amend its study area boundaries as it applies to its formula for federal USF, it must request a study area waiver from the IUB. SAS Dockets are used by the IUB to receive and review study area waiver requests.

Docket structure: SAS-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

A change to the boundaries established for electric utilities is completed through a service proceeding, as are other matters of utility service that require Board approval.

Docket structure: SPU-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

The tariff file concerns a given utility’s operating procedures including, but not limited to, rates and charges for services and the rules and regulations governing conditions precedent to furnishing these services. Rates shall refer to recurring costs such as periodic billing. Changes will concern the “once only” or specific cost such as installation fees.

Docket structure: T-CoNo

CoNo = company number

Iowa Code § 476.29 gives the IUB the authority to establish non-exclusive service territories for telephone utilities and grant certificates of public convenience and necessity. A TCU is established to enable the IUB to evaluate requests to initiate or modify authority to provide local exchange telephone service. The IUB examines each application to see if the company possesses the technical, financial, and managerial ability to provide the service it proposes to render and that the service is consistent with public interest. If this finding is made, the IUB approves the application pending the filing and approval of maps and tariffs. A certificate of public convenience and necessity is then issued after the maps and tariffs are approved.

Docket structure: TCU-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

This is the working or approval file of the T (tariff) file mentioned above. Each new, or modification to an existing tariff submitted by a given utility, is set up in a working file, processed to the Iowa Utilities Board for action, then closed out to the specific utility’s “T” file.

Docket structure: TF-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Federal Communications Commission (FCC) rules under 47 CFR 54.313 require eligible telecommunications carriers (ETC) to file annual reports with the IUB regarding the use of high-cost federal universal service funds received pursuant to 47 U.S.C. § 254. After review of the annual reports filed by ETCs, the IUB must certify to the FCC (under 47 CFR 54.314) whether the funds were used “only for the provision, maintenance, and upgrading of facilities and services for which the support is intended.” USP Dockets were an early filing system (ending in 2001) used by the IUB to receive these annual reports filed by ETCs. These annual reports are now received in ETR and FER dockets.

Docket structure: USP-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

Rules at 199 Iowa Administrative Code (IAC) 44.1 are intended to implement Iowa Code § 477A, relating to certificates of franchise authority issued by the IUB for the provision of cable service or video service. The purpose of these rules is to establish procedures for initial applications for and subsequent modifications, transfers, terminations, or updates of certificates of franchise authority issued by the IUB. Rules at 199 IAC 44 shall not provide cable service or video service in Iowa without a franchise. The franchise may be issued by either the IUB pursuant to this chapter or by a municipality pursuant to Iowa Code § 364.2.

Docket structure: VCA-YYYY-NNNN

YYYY = four-digit year
NNNN = four-digit sequence

A utility or interested person may petition the IUB to temporarily lift a requirement to comply with a certain rule or rules if circumstances make compliance impractical or inappropriate. The IUB decision for a rule waiver considers the interests of both the utility and its customers. Effective December 2017, waivers within a docket are filed in that individual docket. Waivers of the entire rule receive a WRU number.

Docket structure: WRU-YYYY-NNNN-CoNo

YYYY = Four-digit year
NNNN = Four-digit sequence
CoNo = company number