N.M. Admin. Code § 1.2.2.10

Current through Register Vol. 35, No. 24, December 23, 2024

Section 1.2.2.10 - FILING AND SERVICE

A.Service and contact emails: all regulated entities shall at all times keep a current email on file with the commission's chief clerk or designee at which they can receive service of pleadings, process and other communication from the commission. All participants in open dockets shall provide a current email to the commission's chief clerk or designee at which they can receive service of pleadings, process and other communication from the commission, unless they do not have access to email.

B.Service generally:

(1) Except as otherwise provided by this rule or order of the commission or presiding officer, all pleadings, orders, notices, and documents filed in a proceeding shall be promptly served upon those persons described in Paragraph (4) of Subsection B of 1.2.2.10 NMAC by the person filing the orders, notices, pleadings, or documents. Service of electronic filings shall be made by electronic transmission. If a person does not have the ability to serve and be served electronically service on and by that person shall be made by depositing the pleading, order, notice, or document in the U.S. mail, postage prepaid, using first class or express mail, by delivering the pleading, order, notice, or document to a commercial courier service for delivery, by hand delivery. The date of service shall be the date of deposit in the mail, delivery to a commercial courier service, hand delivery, or electronic transmission.

(2) A certificate of service listing, by name, each person served and describing the manner and date of service shall be attached to the pleading, order, notice, or document being filed and all copies served or filed, unless otherwise directed by the commission or presiding officer.

(3) Service of pleadings, orders, notices, and documents on the staff's or a party's named attorney is valid service upon staff or the party for all purposes in the proceeding unless the commission or presiding officer directs otherwise.

(4) Service of pleadings, orders, notices, and documents shall be made upon all persons included on the official service list. The official service list is the most recent service list issued by the commission or presiding officer in the proceeding.

(a) A service list shall include parties and staff or their counsel of record and shall be issued by the commission or presiding officer in all proceedings after the deadline for intervention has passed in the proceeding, and may be revised from time to time.

(b) The commission or presiding officer shall serve all service lists upon staff and the parties to the proceeding promptly upon issuance of the list.

(c) Prior to the issuance of an official service list, all pleadings, orders, notices, and documents filed in a proceeding shall be served by the person filing the orders, notices, pleadings, or documents upon all other parties in the proceeding, persons who have pending motions to intervene, staff, and as otherwise required by commission rule or order.

(5) Orders or documents issued by the commission or presiding officer are effective on the date they are filed unless otherwise stated in the order or document;

(6) When serving documents electronically each document shall be identified in the following four segment format: case number-filing date-party name-pleading identifier. Each name segment shall be separated by a hyphen. Case number shall be in the form: xx-xxxxx-suffix (UT or TR). Filing date shall be in the form: four digit year-two digit month-two digit day of month. Party name shall utilize a single word or abbreviated form, e.g. party initials, acronym or other identifier. The pleading identifier shall identify the nature of the pleading by concise description, e.g. petition, application, complaint, answer, motion seeking xxxxxxx, brief, response, reply, etcetera.

C.Date stamps on filed documents and pleadings:

(1)Electronic filings:

(a) the filing transmittal email for each filing, as received by the records bureau, shall be converted to a PDF and appended to every filed document or pleading before uploading to e-docket;

(b) the date and time on the filing transmittal email shall serve as the date stamp for the filed document or pleading;

(c) if the date and time on the filing transmittal email from a party or other person reflects a date or time that is outside of regular business hours, the filed document or pleading will be deemed to be filed the following business hour;

(d) if the date and time on the filing transmittal email from the commission or a presiding officer reflects a date or time that is outside of regular business hours, the filed document or order will be deemed to be filed as of the date and time on the filing transmittal email;

(e) filing transmittal emails shall be substantially in the format of the sample transmittal email attached as exhibit one to this rule;

(f) the filing transmittal email should be addressed to the records bureau email address only and should be a separate email from any service email;

(2) For a filings by mail or in person, the records bureau shall date stamp the original document or pleading with the date it is deemed filed, in accordance with the definition of date and time of filing provided in Paragraph (1) of Subsection D of 1.2.2.7 NMAC, before scanning and uploading to e-docket. The filer may request and provide to the records bureau any number of conformed copies of the filed document or pleading for the records bureau to stamp and return to them. If the filing is made by mail, the filer must provide a self-addressed stamped envelope for the return of the conformed copies.

D.Filings:

(1) Any complete, correctly filed document, order, notice or pleading will be accepted by the chief clerk or designee and will be uploaded in the .pdf format submitted in the appropriate identified case numbers locations in e-docket on a regular basis for the purpose of inspection of records.

(2) All filed documents shall be made available, upon reasonable demand, for inspection by the chief clerk or designee public, other parties or the commission.

(3) The filing party has the responsibility to make sure that the filed document or pleading is complete and accurate.

(4) The filing party shall ensure that all filed documents and pleadings do not contain or have properly redacted any confidential information or "protected personal identifier information" as defined by 1-079 NMRA and Section 14-2-6 NMSA 1978.

(5) The filing party shall ensure that all filed documents and pleadings do not contain or have properly redacted any protected information that is prohibited from disclosure by any state or federal law or regulation.

(6) When a party files a document that contains redacted confidential information or personal protective identifier information they shall deliver a non-redacted version to the records bureau in accordance with Paragraph (12) of Subsection E of 1.2.2.10 NMAC.

(7) A filing party who files any documents or pleadings that contain protected personal identifier information or information prohibited from disclosure by state or federal law or regulation shall be solely liable for any damages that result from filing such information with the commission.

(8) Except as provided in Paragraph (2) of Subsection C of 1.2.2.10 NMAC, persons exempted from the electronic filing requirement may physically file documents or pleadings by:

(a) sending one original of the document or pleading to be filed via regular postal mail to: NMPRC Records Bureau, PO Box 1269, Santa Fe, NM 87504; or

(b) if the records bureau has a physical location that is open to the public, by delivery of one original of the document or pleading to the commission's chief clerk or designee during posted office hours.

E.Electronic filing:

(1)Electronic filing required:

(a) all regulated entities are required to make electronic filings;

(b) all persons should make electronic filings if they have the ability to do so;

(c) only persons who lack the ability to make electronic filings are permitted to make physical filings;

(2) electronically filed documents shall be emailed to the records bureau email address as .pdf documents;

(3) electronically filed documents shall be scanned with a regular signature or be electronically signed;

(4) electronically filed documents shall include the email address of the person signing the document in the signature block, and if filing on behalf of a regulated entity, the email address of the regulated entity;

(5) electronically filed documents shall be combined into one complete document, shall include accompanying consecutively numbered attachments, if any, except in cases where the.pdf exceeds size limit restrictions, and if so the document shall comply with Paragraph (8) of Subsection E of 1.2.2.10 NMAC herein;

(6) electronically filed documents shall include a certificate of service evidencing service upon which individuals or entities were served and by what manner of service;

(7)Confidentiality agreements and non-disclosure agreements: when filing nondisclosure agreements or confidentially agreements, each confidentiality agreement or non-disclosure agreement shall be filed as a separate document;

(8) when emailingelectronically filed documents to the records bureau email address there are size limit restrictions to the .pdf attachments of approx. 20MB but this may change as the commission's servers change. If a filer receives an "undeliverable" email due to attachment size limits, the filer shall re-send the .pdf as a single document using a download link that allows for it to be downloaded from a cloud service such as Dropbox, One Drive, etcetera. If it is impossible to re-send an oversized .pdf via a download link it is permissible to split the .pdf into multiple smaller sized files and email in batches with identifying numbers showing how the document should be combined (i.e. batch one of three, batch two of three, etcetera) so that the records chief clerk or designee may properly assemble for filing in e-docket;

(9) the filing date for an electronically filed document shall be the date the filing email is sent if emailed during regular business hours for the commission; if emailed outside of regular business hours the document will be considered received and filed on the next regular business day;

(10) no physical hard copies of electronically filed documents or multiple copies of physically filed documents are required to be submitted unless the commission or presiding officer directs the filer to do so. At the direction of the commission or presiding officer a designated number of copies of any filed document shall be mailed, by regular postal service mail, to the commission at any number of designated addresses.

(11) The commission or presiding officer may direct any filer to submit documents or pleadings to them in a native document format in addition to the PDF version filed with the records bureau if a native format exists;

(12) If for any reason physical electronic storage media must be presented to the commission, unless otherwise directed by the commission or presiding officer, the electronic storage media shall be a USB flash drive. All electronic storage media submitted pursuant to this rule shall be compatible with the commission's current computer capabilities. All physical electronic storage media filed shall have affixed thereto a label containing the appropriate case number, the title of the pleading or document, the name of the party or staff making the filing;

(13)Confidential materialsare an exception to the electronic filing requirement and shall be filed as follows:

(a) subject to the terms of any applicable protective order, confidential materials shall be filed by mailing hard copies to the NMPRC Records Bureau, PO Box 1269, Santa Fe, NM 87504 or by in-person delivery of hard copies to the commission's chief clerk or designee;

(b) when filing confidential materials they shall submitted to the records bureau in a sealed envelope that is separate from any mailing envelope;

(c) the sealed envelope containing confidential materials shall list the case number, case caption, document name, name of filer and other non-confidential identifying information on the outside of the envelope;

(14) Parties are responsible for the timely filing of electronic documents to the same extent as with the filing of non-electronic documents, with the same consequences for missed deadlines;

F.Rejection:

(1) Pleadings and documents which are not in substantial compliance with these or other commission rules, orders of the commission or presiding officer, or applicable statutes may be rejected within thirty (30) days after filing.

(2) If rejected, such papers will be returned with an indication of the deficiencies therein. However, a copy of the rejected papers shall be retained by the chief clerk or designee as a public record. Acceptance of a pleading or document for filing is not a determination that the pleading or document complies with all requirements of the commission or presiding officer and is not a waiver of such requirements.

(3) The chief of staff of the commission is authorized to reject pleadings and documents under this rule and to sub-delegate such authority.

(4) Pleadings or documents that have been rejected shall not become part of the record proper used as a basis for the commission's decision.

G.Amendments and withdrawal of pleadings and supporting documents:

(1) Except in the case of formal complaints, pleadings may be amended or withdrawn only with leave of the commission or presiding officer and upon such conditions as the commission or presiding officer may deem appropriate.

(2) Formal complaints may be amended without leave at any time prior to the issuance of the probable cause determination required by this rule.

(3) Amendments to any pleading shall not broaden the scope of the issues originally filed unless the commission or presiding officer exercises the discretion to allow such an amendment.

(4) Upon any amendment or withdrawal of a pleading allowed, the commission or presiding officer may require a supplementary public notice.

(5) Direct testimony and exhibits filed may be amended or withdrawn only with leave of the commission or presiding officer, who may take into consideration, among other things, any delay or prejudice to the commission, its staff, or the parties which would result from the granting of the motion. The commission or presiding officer may grant or deny the motion or grant the motion only upon such conditions as are deemed appropriate. Upon any amendment or withdrawal allowed, the commission or presiding officer may require a supplementary public notice.

(6) A copy of any withdrawn filing shall be retained by the chief clerk or designee as a public record.

N.M. Admin. Code § 1.2.2.10

1.2.2.10 NMAC - Rp, 17 NMAC 1.2.28, 9-1-08, Amended by New Mexico Register, Volume XXXII, Issue 07, April 6, 2021, eff. 4/6/2021