• What are the standards referred to in the Electronic Filing Rules § 22.71 and § 22.72?
• How do I get help?
• What is a Control Number?
• Who is the Filing Party?
• What should the Table of Contents look like?
• What file types can I submit (accepted formats)?
• What about material that is not in electronic form?
• Do I need to compress large files?
• Does the electronic copy have to be filed before the paper copy?
• What is the Tracking Sheet?
• What happens if I want to change something after sending the electronic filing?
• Why is one copy required to be filed with no staples or permanent binding?
• Will the number of required paper copies be reduced?
• How can the pages of voluminous or complex filings be consecutively numbered?

What are the standards referred to in the Electronic Filing Rules § 22.71 and § 22.72

The standards governing both hardcopy and electronic submissions are detailed in PUC Procedural Rules § 22.71 and § 22.72.

These standards are necessary for two reasons. The first is to ensure that one copy of the paper document can be readily processed through the high-speed scanner. Reducing the time required for document preparation will speed the capture process, making the documents available sooner. The second is to ensure substantial consistency between the paper documents, scanned image files, and the corresponding electronic documents in native file format.

Briefly the hard copy standards are:
Pages should be 8.5" X 11"
One copy filed with no permanent binding, staples, tabs, or separators
If a document has five or more headings and/or subheadings, it shall have a table of contents that lists the major sections of the document.
Documents must have consecutively numbered pages.
Oversized documents are filed as referenced attachments.
Other documents that cannot be filed in electronic format are filed as referenced addenda.

The first two requirements are necessary to speed the scanning process.
The next two are necessary to permit on-line navigation of the document images.
Oversized documents cannot be scanned or viewed cost effectively, they will be retained in hardcopy
The last requirement is necessary to enable the system to accommodate third-party paper documents that cannot be integrated into the electronic filing.

How do I get help?

Instructions for the PUC filer can be found HERE.
For help with filing procedures or content, please contact centralrecords@puc.texas.gov.
For technical support, please contact helpdesk@puc.texas.gov.

What is a Control Number?

The Control Number is a sequential number given to every case against which filings are made at the PUC. Often referred to as "docket" numbers, they are used to reference not only dockets, but tariffs, and projects as well. Control Number is the generic reference to the sequential number assigned to each case filed at the PUC.

Who is the Filing Party?

The Filing Party indicated in Filer should be the party on behalf of whom a filing is made, not necessarily the individual or firm submitting the filing. Typically it will be a regulated entity, party to a case, or other interested party.

What should the Table of Contents look like?

The Table of Contents should appear as close to the beginning of a filing as possible and should contain the information necessary for a reader to find information contained in the pages of the filing. It should also reference the names of the electronic files containing the information associated with the referenced pages. The form for a table of contents is not prescribed, however listed below is an example of a useful format a table of contents:

DOCKET NO. 12345

Proposed Order

__________________________________________________

Table of Contents

Each transmission should contain only the files and information for a single filing. This may include as many electronic files as necessary. If your filing exceeds 255 individual files or 200 MB in total, please contact Central Records at (512) 936-7180.

What file types can I submit (accepted formats)?

The PUC Interchange supports most common file types for word processors, spreadsheets, graphics, GIS, and other programs.

Preferred File Formats:
Microsoft Office Applications (Word, Powerpoint, Excel, etc.)
ArcGIS Shapefiles
Adobe PDF Files (PDF files are supported by the Interchange filer. However, PDF files may not be deemed compliant during a proceeding. Please see 16 TAC § 22.72(i) for more information.)
Image Files (JPG, GIF, TIFF, PNG)

What about material that is not in electronic form?

Materials that cannot be submitted electronically, but which makes up part of the paper filing should be reference in the electronic document. The PUC will process all the pages of the paper filing through a high-speed scanner and make the images available in Text Searchable PDF format. All these materials, called "non-native attachments" in the electronic filing rule should appear at the end of the paper filing if possible with the start page indicated in the SPECIFY ADDENDUM screen of filer.

Do I need to compress large files?

No, all the documents you submit will be compressed into a single file in a proprietary format, so prior compression is unnecessary. Do not compress files that you intend to submit electronically.

Does the electronic copy have to be filed before the paper copy?

The electronic filing must precede the paper copy so that it can be retrieved for processing by the Filing Clerk when the paper copy is file-stamped. Media containing electronic documents should be filed at the same time as the paper copies.

What is the Tracking Sheet?

You will need to print the Tracking Sheet from either the confirmation email or the Filer web page. It contains the basic filing information you entered in the Filer - including the Tracking Number. This number is essential for the Filing Clerk to retrieve the files sent over the Internet. It is also useful as a reference if you label media with this number, should they ever become separated from the paper copy at filing. Tracking Sheets are not retained after the filing is completed.

What happens if I want to change something after sending the electronic filing?

Until the Tracking Sheet arrives, electronic filings are not processed, so you may resend as many times as necessary until you submit the Tracking Sheet with the paper copy and the Filing Clerk runs the PUC Check-in program to process the filing. If you need to make a change after your files have been processed, please notify Central Records or 512-936-7180.

Why is one copy required to be filed with no staples or permanent binding?

This is necessary to maintain the optimum processing rate for the PUC scanning operations to deliver document images as quickly as possible to the Interchange.

Will the number of required paper copies be reduced?

Yes, the copies required for internal distribution will eventually be reduced as internal processes begin to revolve around the electronic documents at the agency. Our objective is to reduce the requirements as much and as soon as possible. Because no standard is yet approved to support digital signatures, and because the court system still requires appeal copies on paper, there are a minimum number of paper copies that will be required for the foreseeable future.

How can the pages of voluminous or complex filings be consecutively numbered?

Consecutive page numbering is necessary to assure scanning accuracy and a great assistance in using the document images on-line. However, for very large filings, often assembled at different times or locations, this requirement is impractical. In adopting the electronic filing rule, the Commission indicated in its preamble that these types of filings may best be numbered within the logical sequence of volumes or sections that make up the filing and need not be renumbered to maintain the same page numbering sequence throughout the entire filing.