1. (a) Electronic Case Information System.

   1. (1) Except as otherwise provided in this section, documents relating to cases filed at SOAH and governed by this chapter shall be maintained in SOAH's electronic Case Information System (CIS). Subject to the exceptions in this chapter, CIS may be accessed through SOAH's internet home page.
   2. (2) The electronic version of a document maintained in CIS shall be given the same legal status as the originally filed document, without regard to the original means of filing.
   3. (3) Some documents will not be maintained in CIS. These include confidential material filed pursuant to subsection (c)(1) of this section and testimony and exhibits, whether offered at a hearing or filed in advance. Unless otherwise ordered by the judge, paper copies of testimony and exhibits must be filed by mail or hand delivery. The judge may alter the application of this subsection with respect to particular documents or classes of documents as the judge deems appropriate. The judge may order the method by which documents may be filed at SOAH so they will not be included in CIS.
   4. (4) If technical problems prevent the use of CIS, the chief judge, his or her designee, or the judge in a particular case may establish alternative means of filing or maintaining documents, including the filing and maintenance of the official file in a paper format.

2. (b) Place for filing original materials.

   1. (1) Contested cases generally.

      1. (A) The original of all pleadings and other documents, except contested cases referred to SOAH by the PUC and the TCEQ, shall be filed with SOAH when it acquires jurisdiction.
      2. (B) Non-confidential pleadings and other public documents that do not contain personal identifiers as described in subsection (d) of this section shall be filed with SOAH by mail addressed to P.O. Box 13025, Austin, Texas 78711-3025; hand delivery to 300 West 15th Street, Room 504; fax to (512) 322-2061; or electronic upload via SOAH's public website. If the parties are notified that the case has been assigned to a judge in a field office outside Austin, pleadings and other documents shall be filed with the judge at the appropriate field office address. Confidential documents and documents containing personal identifiers must be filed in accordance with subsections (c) and (d) of this section.
      3. (C) With respect to documents filed by mail or hand delivery, the time and date of filing shall be determined by the file stamp affixed by SOAH. The time and date of documents filed electronically shall be determined by the time and date of receipt recorded by CIS. Documents received when SOAH is closed shall be deemed filed the next business day. Unless otherwise ordered by the judge, only one copy of any pleading or document shall be filed.

   2. (2) Cases referred by the PUC.

      1. (A) Except for exhibits offered at a prehearing conference or hearing, the original of all documents shall be filed at the PUC in accordance with the PUC rules.
      2. (B) The party filing a document with the PUC (except documents provided in the discovery process that are not the subject of motions filed in a discovery dispute) shall serve the judge with a copy of the document by delivery to SOAH on the same day as the filing.
      3. (C) The court reporter shall provide the transcript and exhibits to the judge at the same time the transcript is provided to the requesting party. SOAH shall maintain the transcript and exhibits until they are released to the PUC by the judge. If no court reporter was requested by a party, SOAH shall maintain the recording of the hearing and the exhibits until they are released to the PUC by the judge.

   3. (3) Cases referred by the TCEQ.

      1. (A) Except for exhibits offered at a prehearing conference or hearing, the original of all documents shall be filed with the TCEQ's chief clerk in accordance with the TCEQ rules.
      2. (B) The time and date of filing these materials shall be determined by the file stamp affixed by the chief clerk, or as evidenced by the file stamp affixed to the document or envelope by the TCEQ mail room, whichever is earlier.
      3. (C) The party filing a document with the TCEQ (except documents provided in the discovery process that are not the subject of motions filed in a discovery dispute) shall serve the judge with a copy of the document by delivery to SOAH on the same day as the filing.
      4. (D) The court reporter shall provide the transcript and exhibits to the judge at the time the transcript is provided to the requesting party. SOAH shall maintain the transcript and exhibits until they are released to the TCEQ by the judge. If no court reporter was requested by a party, SOAH shall maintain the recording of the hearing and the exhibits until they are released to the TCEQ by the judge.

3. (c) Confidential materials.

   1. (1) Filing of confidential materials in otherwise public dockets. A party filing materials made confidential by law shall file them by delivery of the physical materials in a sealed and labeled container, accompanied by an explanatory cover letter. The cover letter shall identify the docket number and style of the case and shall explain the nature of the sealed materials. The outside of the container shall identify the docket number, style of the case, and name of the submitting party, and be marked "CONFIDENTIAL AND UNDER SEAL" in bold print at least one inch in size. Each page of the confidential material shall be marked "confidential." Confidential materials shall not be filed by fax or electronic upload except as provided in paragraph (2) of this subsection.
   2. (2) Filing of materials in cases referred by the Office of the Attorney General and the Comptroller of Public Accounts. Many filings pertaining to cases referred under the Office of the Attorney General's Title IV-D child support program contain information that is confidential pursuant to Texas Family Code, §231.108 (relating to Confidentiality of Records and Privileged Communications). This includes information concerning a custodial parent, noncustodial parent, child, and an alleged or presumed father. Hearings referred by the Comptroller of Public Accounts are confidential pursuant to Texas Government Code, §2003.104 (relating to Confidentiality of Tax Division Information). Filings in these cases may be made pursuant to subsection (b)(1)(B) of this section, including fax or upload via SOAH's public website. The documents will not be included in CIS and so will not be accessible from SOAH's internet home page.
   3. (3) Materials submitted for in camera review. A party submitting materials for in camera review by the judge shall supply them to the judge in a sealed and labeled container, accompanied by an explanatory cover letter copied to all parties. The cover letter, addressed to the judge, shall identify the docket number, style of the case, explain the nature of the sealed materials, and specify the relief sought. The outside of the container, addressed to the judge, shall identify the docket number, style of the case, and name of the submitting party, and shall be marked "IN CAMERA REVIEW" in bold print at least one inch in size. Each page for which a privilege is asserted shall be marked "privileged." The judge will determine whether the materials will be received for filing by SOAH. Unless otherwise ordered by the judge, materials reviewed in camera will be returned to the party that submitted them.

4. (d) Redaction of personal identifiers.

   1. (1) Except for cases governed by subsection (c)(2) of this section, a person who files documents at SOAH, including exhibits offered at hearing, shall redact from the documents all personal identifiers that are:

      1. (A) protected by law from disclosure; or
      2. (B) unnecessary for resolution of the case. At the time of filing, SOAH personnel will not be responsible for screening documents for compliance with this rule.
   2. (2) Personal identifiers. "Personal identifiers" are data elements and information that identify a unique individual and include: Social Security numbers, taxpayer identification numbers, driver's license numbers, passport numbers, other similar government-issued personal identification numbers, bank account numbers, credit card numbers or other financial account numbers, dates of birth, full names of minors, full names of persons who are patients or clients in a health care setting, full names of persons who are victims of crimes, addresses and telephone numbers of commissioned peace officers, expunged criminal records, or records subject to a non-disclosure order issued by a court of this state unless allowed by law.
   3. (3) Protective measures. If the filer determines that the personal identifiers are necessary for the resolution of the case, the document shall be filed in the same manner as a confidential document in accordance with subsection (c) of this section. If the judge determines that personal identifiers are necessary to the resolution of the case, the judge may admit the information into the record under seal or employ appropriate protective measures.
   4. (4) Return to party for redaction. If the judge determines that the personal identifiers are not necessary to the resolution of the case, the judge may order the documents redacted prior to their admission into the record.
5. (e) Parties' responsibilities regarding confidential materials and personal identifiers. The filing parties bear the responsibility to ensure that documents containing confidential information or personal identifiers are not filed by fax or electronic upload in public cases. Documents filed by fax or electronic upload in public cases will be posted on SOAH's public website and accessible to the public.

6. (f) Discovery materials.

   1. (1) Discovery requests and documents produced in discovery shall not be filed with SOAH, except as provided in paragraph (3) of this subsection.
   2. (2) Documents produced in discovery shall be served upon the requesting parties and notice of service shall be given to all parties. The party responsible for service of the discovery materials shall retain an exact duplicate of the original documents.
   3. (3) Motions and responses in a discovery dispute shall include only the relevant portions of the discovery materials.

Source Note:The provisions of this §155.101 adopted to be effective September 22, 2011, 36 TexReg 6255.