1. (a) Purpose. This section establishes requirements for the submission of items to the commission and for use of such items as the agency's copy of record.

2. (b) Methods of filing. The method of filing an item is dependent on the nature of the item.

   1. (1) Interchange. The following items must be filed for posting to the commission's Interchange, which can be accessed on the commission's website, unless otherwise ordered by the commission or requested by the presiding officer or an employee of the commission:

      1. (A) Pleadings;
      2. (B) All documents relating to a rulemaking;
      3. (C) Registrations, certifications, or reports required by statute or rule to be filed with the commission;
      4. (D) Letters, memoranda, or other documents relating to any commission proceeding;
      5. (E) Maps, geographic information system (GIS) data, or other visual information such as charts, photographs, or illustrations relating to any commission proceeding;
      6. (F) Any document included as part of the record in all matters or commission proceedings, including protective orders and protective order certifications;
      7. (G) Any document presented to the commission during an open meeting if that document is not already included as part of the record in a contested case proceeding; and
      8. (H) Any other item required to be filed by statute, commission rule, or commission order for which an alternative method of submission is not specified.

   2. (2) Internet applications and portals. The commission may establish an alternative method, such as an internet application or portal, for electronic filing of specific types of content, such as routine reporting requirements. For each alternative method of filing, commission staff must propose filing instructions for the commission's consideration that address:

      1. (A) the items to which the alternative method applies;
      2. (B) the process for accessing the alternative method, such as establishing an account and password, and entering required information;
      3. (C) which data formats are acceptable or required by the method;
      4. (D) the process, if any, for designating data elements as confidential, which must recognize the public's right to transparent and accessible information;
      5. (E) the process to view data submitted using the alternative method;
      6. (F) whether and how a confirmation of data entry will be provided;
      7. (G) the process to void or remove a filing;
      8. (H) the process by which commission staff will maintain the instructions;
      9. (I) contact information to receive technical assistance with a filing; and
      10. (J) any other information necessary to successfully use the alternative method.

3. (c) Interchange filing methods and procedures.

   1. (1) Unless otherwise required by commission rule, statute, or ordered by the presiding officer, any item required to be filed with the commission, including confidential filings, may be filed electronically. An item listed in (b)(1) of this section may be filed electronically using the Interchange Filer or filed physically for posting on the Interchange by delivering the item to Central Records unless the commission requires the item to be filed using an alternative method described in (b)(2) of this section.
   2. (2) Unless otherwise required by commission rule, statute, or ordered by the presiding officer, each item filed with the commission using the Interchange Filer, including confidential filings, will be posted on the Interchange.
   3. (3) Each item submitted in accordance with this section will serve as the agency's official copy of record, including electronic copies of physical filings posted on the Interchange by Central Records.

4. (d) Special filing requirements.

   1. (1) Notwithstanding any other provision of this title, the following types of items must be filed in the manner specified below:

      1. (A) Retail electric provider letters of credit. An irrevocable stand-by letter of credit provided in accordance with §25.107 (relating to Certification and Obligations of Retail Electric Providers (REPs)) of this title must be an original letter of credit and must be filed electronically using the Interchange Filer. The original letter of credit must contain a verifiable electronic signature or other means of authentication acceptable to the commission. A retail electric provider with a physical letter of credit on file with the commission on the effective date of this section must file an original letter of credit electronically on or before March 5, 2027.
      2. (B) Texas energy fund letters of credit. A letter of credit required by §25.510 of this title, (relating to Texas Energy Fund In-ERCOT Generation Loan Program) is not required to be filed using the Interchange Filer and must be filed in a form and manner specified by the executive director or his or her designee.

      3. (C) Maps. A map must be filed in its original scale (i.e., an original document that has not been scanned, reduced, or enlarged).

         1. (i) A map that is filed electronically must be filed in PDF format.
         2. (ii) A filer must provide one or more additional copies of a filed map to Central Records at the request of an employee of the commission or a presiding officer and notify Central Records of the name of the requesting employee or presiding officer.
      4. (D) GIS data. GIS data used to create maps under subparagraph (C) of this paragraph must be electronically filed in its native format and be capable of being used and analyzed by commission staff. GIS data includes any additional information, materials, or documents required for accurate interpretation of a map.

   2. (2) Physical copies required. The following types of items must be electronically filed, and the filer must also provide a number of physical copies to Central Records as prescribed below as soon as reasonably practicable following the electronic filing, along with a cover letter identifying the control number assigned to the commission proceeding:

      1. (A) Two physical copies of applications and notices of intent in electric base rate proceedings;
      2. (B) Two physical copies of applications, which include any required maps, for new or amended electric, water, or sewer certificates of convenience and necessity; and
      3. (C) Six additional physical copies of any maps contained in applications for new or amended electric, water, or sewer certificates of convenience and necessity.
   3. (3) An employee of the commission or a presiding officer may require a filer to provide physical copies of a filing.

5. (e) Receipt by the commission and filing deadline. Items filed either electronically or physically with the commission for posting on the Interchange will be processed in accordance with this subsection.

   1. (1) Central Records may reject a filing if the filing:

      1. (A) is blank, illegible, or missing pages in whole or in part;
      2. (B) does not contain minimally necessary identifying information such as the control number or the filer's complete contact information;
      3. (C) is designated as confidential but does not include the documents described in subsection (j)(1)(A) or (j)(1)(F) of this section;
      4. (D) may pose a risk to the commission, its employees, or the commission's electronic systems (e.g. suspicious packages, spam, suspected viruses or malware); or
      5. (E) is submitted as an external hard drive or other external storage device for digital media that is not approved by Central Records under §22.72(b)(2) of this title.
   2. (2) Upon receipt of an item by physical filing, Central Records will date stamp the item, post the item on the Interchange in the control number specified by the filer, and assign the item an item number in accordance with the order the filing was received.
   3. (3) Upon receipt of an item by electronic filing, the Interchange Filer will process and date stamp the item, post the item in the control number specified by the filer, and assign the item an item number in accordance with the order the filing was received.
   4. (4) An item date-stamped before or at 5:00:00 p.m. Central Prevailing Time on a working day will be deemed filed on that day. An item date-stamped after 5:00:00 p.m. Central Prevailing Time on a working day will be deemed filed on the next working day. An item date-stamped at any time on a day that is not a working day will be deemed filed on the next working day. This paragraph does not preclude a presiding officer or, if a project, commission staff, from setting a specific filing deadline or determining an item filed by that deadline is timely filed.
   5. (5) The filer is responsible for any delay, disruption, or interruption of mail, courier service, Internet, or electronic signals.
6. (f) No filing fee. No filing fee is required to file an item with the commission.

7. (g) Availability of filing methods.

   1. (1) Physical filings. An item may be physically filed only during hours when Central Records is open.

      1. (A) Regular business hours. Central Records is open from 9:00 a.m. to 12:00 p.m. and 1:00 p.m. to 5:00 p.m., Monday through Friday, on working days, except in the case of an emergency or inclement weather.
      2. (B) Supplemental business hours for commission employees. On open meeting days and the working day immediately preceding an open meeting day, Central Records will be open to commission employees from 8:00 a.m. to 9:00 a.m. and 12 p.m. to 1:00 p.m. Commission staff acting as a party in a commission proceeding with a tariff or docket control number may not make a physical filing in that proceeding during these supplemental hours.
   2. (2) Electronic filing. Electronic filing, including use of the Interchange Filer, is available 24 hours a day, seven days a week, unless taken down for maintenance, emergency, loss of connectivity, or as otherwise determined to be necessary by Central Records.

8. (h) Availability of items filed with the commission for posting on the Interchange.

   1. (1) An electronic filing will be available for access on the Interchange once accepted and posted by the Interchange Filer. Once a filing is posted and accessible on the Interchange, a written receipt will be automatically generated and electronically sent to the filer identifying the date and time the filing was accepted for posting.
   2. (2) A physical filing will be available for access on the Interchange once processed by Central Records.
   3. (3) A physical filing, request for a new control number, or an item designated as confidential may be processed the next working day after the filing is received by Central Records.
   4. (4) If the item does not appear on the Interchange, the filer is responsible for notifying Central Records.
   5. (5) If a filing is rejected in accordance with subsection (e) of this section, Central Records will make reasonable efforts to notify the filer of the rejection.

   6. (6) Voiding a filing. A filer may request that a filing posted on the Interchange, including a confidential filing under subsection (j) of this section, be voided. Central Records will remove the voided item from the Interchange only if the conditions in paragraphs (A) through (C) are met. The filer may re-file the item in accordance with this section.

      1. (A) Unless otherwise instructed by a presiding officer or an employee of the commission, a filer seeking to void a filing must:

         1. (i) file the request in the Interchange in the relevant control number and identifying the relevant item number, as applicable; and
         2. (ii) Notify Central Records in writing, via email if possible, that such a request has been filed.
      2. (B) The request and notice to Central Records must identify the filing with enough precision for Central Records to identify the correct filing.
      3. (C) An item must only be voided by the filer that originally filed that item or by that filer's authorized representative.

9. (i) Filing deadlines for open meeting documents addressed to the commissioners.

   1. (1) Except as provided in paragraph (2) of this subsection, all documents addressed to the commissioners and concerning an item that has been placed on an agenda for an open meeting must be filed no later than seven days prior to the open meeting at which the matter will be considered. Documents that are not timely filed will be considered untimely. The commissioners may review untimely filed documents at their discretion.

   2. (2) The deadline established in paragraph (1) of this subsection does not apply if:

      1. (A) The documents have been specifically requested by one or more of the commissioners or the executive director or his or her designee at a time that makes it impossible for the filer to meet the deadlines under paragraph (1) of this subsection; or
      2. (B) The parties are negotiating and such negotiation requires the late filing of materials reporting on the negotiation.

10. (j) Confidential material filed with the commission for posting on the Interchange. An item filed either electronically or physically for posting on the Interchange is public and available for viewing by the public unless the item is designated as confidential in accordance with this subsection. To designate an item as confidential, a filer must comply with the requirements of this subsection, unless otherwise ordered by the presiding officer.

    1. (1) Confidential-filing requirements.

       1. (A) To designate an item as confidential, a filer must file the following documents as two separate filings, and, if applicable, comply with any individual protective order governing the access and handling of confidential materials that is applicable to the proceeding:

          1. (i) a fully completed confidential-filing memorandum as specified in subparagraphs (D) and (E) of this paragraph, accompanied by a redacted copy of the original item, filed non-confidentially; and
          2. (ii) an unredacted copy of the original item, filed confidentially.
       2. (B) Central Records may reject a confidential filing that does not include the documents described under subparagraph (A) of this paragraph. Central Records will notify the filer of the rejection through electronic mail if reasonably practicable. It is the filer's responsibility to check the Interchange to verify that a confidential filing was accepted.

       3. (C) A redacted copy of a confidential filing. A redacted copy of a confidential filing must not redact more content than is required to prevent confidential information from being publicly posted. The following exceptions apply:

          1. (i) A cover letter that describes the content of the filing may be filed in lieu of a redacted copy if the confidential filing is a letter of credit.

          2. (ii) If the formatting, size, or content of a confidential filing in Microsoft Excel format (i.e. .xls/.xlsx) makes the filing of a redacted copy of the item in native format impracticable, the filer may:

             1. (I) file a redacted copy of the item in a non-native format accompanied by a cover letter that describes any nonconfidential information that is rendered unavailable to the public due to the non-native format; or
             2. (II) if the non-native format copy of the item exceeds 50 pages, file a cover letter that describes the content of the filing in lieu of filing a redacted copy.

       4. (D) To be deemed fully completed, a confidential-filing memorandum under subparagraph (E) of this paragraph must:

          1. (i) Plainly state the reasons for the confidential designation;
          2. (ii) Plainly state the legal support for the confidential designation, if applicable;
          3. (iii) Identify the specific pages or portions of pages of the filing that are confidential and have been redacted;
          4. (iv) Provide any identifying information required by the confidential-filing memorandum in subparagraph (E) of this paragraph regarding the filer, the proceeding (such as the control number), or confidential filing.
          5. (v) Provide any additional information required by a protective order in effect in the applicable proceeding or that may otherwise be required by the presiding officer via written order; and
          6. (vi) Include an acknowledgement that the confidential status of the filing is subject to revocation.
       5. (E) Confidential-filing memorandum.
          Attached Graphic
          

       6. (F) Physical filing. In addition to the requirements of subparagraphs (A) through (E) of this paragraph, a filer must also comply with the requirements of this subparagraph to designate a physically filed item filed as confidential. The filer must deliver the confidential item to Central Records in a sealed and labeled envelope (the confidential envelope). The confidential envelope must not include non-confidential documents unless directly related to and essential for clarity of the confidential document.

          1. (i) All physically filed confidential material must be provided in a 10 x 13-inch manila clasp envelope. Larger envelopes or multiple envelopes are permitted only when necessary due to the material's size or volume. If multiple envelopes are necessary, each envelope must be sequentially numbered and indicate the total number of envelopes for the filing (e.g., 1 of 3).
          2. (ii) The completed confidential-filing memorandum required under subparagraph (E) of this paragraph must be securely taped or adhered to the front of the confidential envelope.
          3. (iii) In addition to paragraph (2)(A) of this subsection, if the item is not submitted in a confidential envelope in accordance with this subparagraph, Central Records will reject the item. The item may be re-filed in accordance with this section.
          4. (iv) A physical filing designated as confidential that has been rejected by Central Records will be securely destroyed after rejection.
       7. (G) Electronic filing. In addition to the requirements of subparagraphs (A) through (E) of this paragraph, a filer must designate an item filed electronically using the Interchange Filer as confidential by indicating that the item is to be filed confidentially (e.g., selecting a checkbox provided on the Interchange Filer).

    2. (2) Challenge of confidentiality designation in a proceeding with a tariff or docket control number. The confidential designation of any filing made in a proceeding with an assigned tariff or docket control number may be challenged by any party via motion or by the presiding officer via order. A challenge to a confidential designation must specifically indicate the basis of the challenge and the portions of the filing that should not be confidential.

       1. (A) If a confidential designation is challenged, the filing party has the burden of showing that the item should remain confidential. The filing party must respond to a motion challenging the confidentiality of a filing within five working days of the motion, or within the time period specified by the presiding officer.
       2. (B) If the presiding officer determines that a confidential designation under this section is appropriate, the presiding officer will issue an order and allow the filing to remain confidential on the Interchange.
       3. (C) The presiding officer will issue an order if the presiding officer determines that a confidential designation under this section is not appropriate. After such an order is issued, the filing party must void the filing in accordance with the requirements of this section. The filing party may re-file the item in accordance with this section and the order of the presiding officer.

    3. (3) Challenge of confidentiality designation in projects and certain other commission proceedings. This paragraph applies only to filings designated as confidential in a proceeding without a tariff or docket control number, such as a project.

       1. (A) The executive director or his or her designee may request, in writing, that a filer void a filing and non-confidentially re-file all or part of an item designated as confidential, including the basis for the request and a response deadline.
       2. (B) If the filer does not agree to void the filing and re-file as requested, the filer must provide the executive director or his or her designee with a written response by the response deadline. The filer has the burden of showing the item should remain confidential.
       3. (C) After considering the response, the executive director or his or her designee will notify the filer whether the filing may remain confidentially filed, stating the basis for the decision. If the executive director or his or her designee determines that a confidential designation under this section is not appropriate, the filer must void the filing consistent with the requirements of this section. The filer may re-file the item in accordance with this section and the executive director or his or her designee's determination.

    4. (4) Posting of confidential information on the Interchange.

       1. (A) The completed confidential-filing memorandum required under paragraphs (1)(D) and (E) of this subsection and the redacted version of the confidential filing will be posted non-confidentially on the Interchange as a single filing.
       2. (B) The unredacted version of the item will be posted confidentially on the Interchange and will only be accessible by the persons listed under paragraph (6) of this subsection.
    5. (5) Confidential re-filing of voided items. The filer may re-file an item confidentially in accordance with this subsection after submitting a request to void a filing under subsection (h)(6) of this section.

    6. (6) Access to confidential information. Access to confidential filings is limited to persons that meet the criteria of this paragraph, as applicable. Disclosure of confidential information is subject to the ex parte requirements of this subtitle:

       1. (A) A commissioner, commission employee in OPDM, or an employee in a commissioner's office may access confidential filings in any proceeding if the commissioner or employee completes, signs, and submits to Central Records an Employee Statement Regarding Non-Disclosure of Confidential Information (the confidential access form). Once the commissioner or employee has done so, he or she may access confidential filings in any proceeding before the commission in person or electronically. A commissioner, a commission employee in OPDM, or an employee in a commissioner's office may only disclose confidential information contained in such filings to a commissioner or other employee in OPDM or a commissioner's office who has also completed, signed, and submitted to Central Records the confidential access form and only if the disclosure does not violate Texas Government Code Chapter 551 (the Texas Open Meetings Act).
       2. (B) A commission employee in Central Records or Information Technology or the supervisor of such an employee may access all confidential filings in person or electronically for clerical and administrative tasks necessary to ensure the proper maintenance and functioning of the commission's electronic systems, including the correction or removal of filings, the posting of physical filings electronically to the Interchange Filer, or actions otherwise directed by a presiding officer in a specific proceeding.
       3. (C) To access confidential filings filed with the commission in a specific proceeding with an assigned tariff or docket control number, a party to the proceeding must complete, sign, and file in the proceeding a protective order certification. The certification must comply with the protective order entered by the presiding officer in that proceeding. The protective order certification is no longer valid after the commission's plenary jurisdiction over the proceeding has expired. A commission employee that requires access to confidential material in the performance of his or her duties must complete, sign, and file in the proceeding a protective order certification to access confidential filings in person or electronically.
       4. (D) To access confidential filings filed with the commission in a proceeding without a tariff or docket control number, such as a project, a commission employee that requires access to confidential material in the performance of his or her duties must request permission from the executive director or his or her designee.
    7. (7) Public information. Designation of a document as confidential in a commission proceeding under this subsection is not determinative of whether that document would be subject to disclosure under the Texas Public Information Act, the Texas Open Meetings Act, or other applicable law.
    8. (8) Records retention. A document in the possession of Central Records, including documents filed confidentially, will be maintained and disposed of as required by the commission's Records Retention Schedule as approved by the Texas State Library and Archives Commission. A confidential document in the possession of parties to a proceeding must be maintained, destroyed, or returned to the providing party in the manner prescribed by any protective order adopted in that proceeding.
    9. (9) In camera inspection. A document presented for in camera inspection solely for the purpose of obtaining a ruling on its discoverability or admissibility must not be filed as a confidential document under this paragraph but must be submitted in the manner specified under §22.144 (relating to Requests for Information and Requests for Admission of Facts).

Source Note:The provisions of this §22.71 adopted to be effective December 10, 2025, 50 TexReg 7889.