CHAPTER 16
ELECTRONIC DOCUMENT MANAGEMENT SYSTEM
621—16.1(20) Effective date and scope. This chapter governs the filing of all documents in adjudicatory proceedings before the agency that are filed on or after September 24, 2014. This chapter also governs the filing of all documents in adjudicatory proceedings converted to electronic proceedings upon the board’s order. To the extent the rules in this chapter are inconsistent with any other administrative rule of the board, the rules in this chapter shall govern.
[ARC 1583C, IAB 8/20/14, effective 9/24/14]
621—16.2(20) Definitions.
“Electronic filing” means the electronic transmission of a document to the electronic document management system together with the production and transmission of a notice of electronic filing.
“Electronic record” means a record, file, or document created, generated, sent, communicated, received, or stored by electronic means.
“Electronic service” means the electronic transmission of a link where the registered users who are entitled to receive notice of the filing may view and download filed documents.
“Nonelectronic filing” means a process by which a paper document or other nonelectronic item is filed with the agency.
“Notice of electronic filing” means a document generated by the electronic document management system when a document is electronically filed.
“PDF” means an electronic document filed in a portable document format which is readable by the free Adobe® Acrobat® Reader.
“Public access terminal” means a computer located at the agency’s office where the public may view, print, and electronically file documents.
“Registered user” means an individual who can electronically file documents and electronically view and download files through the use of a username and password.
“Remote access” means a registered user’s ability to electronically search, view, copy, or download electronic documents in an electronic record without the need to physically visit the agency’s office.
“Signature” means a registered user’s username and password accompanied by one of the following:
	1.	“Digitized signature” means an embeddable image of a person’s handwritten signature;
	2.	“Electronic signature” means an electronic symbol (“/s/” or “/registered user’s name/”) executed or adopted by a person with the intent to sign; or
	3.	“Nonelectronic signature” means a handwritten signature applied to an original document that is then scanned and electronically filed.
[ARC 1583C, IAB 8/20/14, effective 9/24/14]
621—16.3(20) Registration, username, and passwords.
	16.3(1) Registration.
	a. 	Registration required. Every individual filing documents or viewing or downloading documents filed in an adjudicatory proceeding must register as a registered user of the electronic document management system.
	b. 	How to register. To register, the individual must complete the registration process located at https://perb.iowa.gov/efiling and obtain a username and password for the electronic document management system.
	c. 	Registration complete. When the registration process is completed, the registered user will be assigned a username and password and the registered user may utilize the electronic document management system.
	d. 	Changing passwords. Once registered, the user may change the user’s password. If the registered user believes the security of an existing password has been compromised, the registered user must change the password immediately. The agency may require password changes periodically.
	e. 	Changes in registered user’s contact information. If a registered user’s e-mail address, mailing address, or telephone number changes, the user must promptly make the necessary changes to the registered user’s information contained in the electronic document management system. The registered user shall promptly give notice of changes in contact information to any nonregistered party in every active proceeding in which the registered user is a party.
	f. 	Duties of registered user. Each registered user shall ensure that the user’s e-mail account information is current, that the account is monitored regularly, and that e-mail notices sent to the account are timely opened.
	g. 	Canceling registration. Withdrawal from participation in the electronic document management system cancels the registered user’s profile but does not authorize nonelectronic filing of documents and is not a withdrawal from a proceeding.
	16.3(2) Use of username and password. A registered user is responsible for all documents filed with the user’s username and password unless proven by clear and convincing evidence that the registered user did not make or authorize the filing.
	16.3(3) Username and password security. If a username or password is lost, misappropriated, misused, or compromised, the registered user of that username/password shall notify the agency promptly.
	16.3(4) Denial of access. The agency may refuse to allow an individual to electronically file or download information in the electronic document management system due to misuse, fraud or other good cause.
[ARC 1583C, IAB 8/20/14, effective 9/24/14]
621—16.4(20) Mandatory electronic filing and exceptions.
	16.4(1) Electronic filing mandatory. Unless otherwise required or authorized by these rules, all documents in adjudicatory proceedings commenced on or after January 1, 2015, must be filed using the agency’s electronic document management system.
	16.4(2) Exceptions.
	a. 	A show of interest submitted in a representative certification, combined bargaining unit determination or reconsideration/representative certification, or decertification proceeding shall not be filed electronically.
	b. 	Any item that is not capable of being filed in an electronic format shall be filed in a nonelectronic format.
	c. 	Upon a showing of exceptional circumstances that it is not feasible for an individual to file documents by electronic means, the board may excuse the individual from electronic filing in a particular proceeding.
	d. 	A voter eligibility list submitted by an employer shall be e-mailed to the agency as provided in 621—subrule 5.2(2).
	e. 	All filings in proceedings initially filed prior to January 1, 2015, unless converted to an electronic proceeding by board order, shall not be filed electronically.
	16.4(3) What constitutes filing. The electronic transmission of a document to the electronic document management system consistent with the procedures specified in these rules, together with the production and transmission of a notice of electronic filing, constitutes filing of the document.
	16.4(4) Electronic file stamp. Electronic documents are officially filed when affixed with an electronic file stamp. Filings so endorsed shall have the same force and effect as documents time-stamped in a nonelectronic manner.
	16.4(5) E-mail or fax. E-mailing or faxing a document to the agency will not generate a notice of electronic filing and does not constitute electronic filing of the document unless otherwise ordered by the agency.
	16.4(6) Public access terminal. At least one public access terminal shall be maintained at the agency’s office.
[ARC 1583C, IAB 8/20/14, effective 9/24/14; ARC 3278C, IAB 8/30/17, effective 8/10/17]
621—16.5(20) Filing of paper documents.
	16.5(1) Conversion of paper documents filed. If the board allows a party to file paper documents in accordance with paragraph 16.4(2)“c,” the agency will convert the filed documents to an electronic format viewable to registered users of the electronic document management system.
	16.5(2) Form of paper documents. Each document must be printed on only one side and be delivered to the agency with no tabs, staples, or permanent clips, but may be organized with paperclips, clamps, or some other type of temporary fastener or may be delivered to the agency in an appropriate file folder.
	16.5(3) Return of copies by mail. If a party wants a document filed in paper form to be returned by mail, the party must deliver to the agency a self-addressed envelope, with proper postage, large enough to accommodate the returned document.
[ARC 1583C, IAB 8/20/14, effective 9/24/14]
621—16.6(20) Date and time of filing.
	16.6(1) Date of filing. An electronic filing may be made any day of the week, including holidays and weekends, and any time of the day the electronic document management system is available.
	16.6(2) Time of filing. A document is timely filed if it is filed before midnight on the date the filing is due.
[ARC 1583C, IAB 8/20/14, effective 9/24/14]
621—16.7(20) Signatures.
	16.7(1) Registered user. A username and password accompanied by a digitized, electronic, or nonelectronic signature serve as the registered user’s signature on all electronically filed documents.
	16.7(2) Documents requiring oaths, affirmations or verifications. Any document filed requiring a signature under oath or affirmation or with verification may be signed electronically or nonelectronically but shall be filed electronically.
	16.7(3) Format. Any filing requiring a signature must be signed, with either a nonelectronic signature (actual signature scanned), an electronic signature (the symbol “/s/” or “/registered user’s name/”), or a digitized signature (an inserted image of a handwritten signature). The following information about the person shall be included under the person’s signature:
	a. 	Name;
	b. 	Name of firm, certified employee organization, or governmental agency;
	c. 	Mailing address;
	d. 	Telephone number; and
	e. 	E-mail address.
	16.7(4) Multiple signatures. By filing a document containing multiple signatures, the registered user confirms that the content of the document is acceptable to all persons signing the document and that all such persons consent to having their signatures appear on the document.
[ARC 1583C, IAB 8/20/14, effective 9/24/14]
621—16.8(20) Format and redaction of electronic documents. All documents must be converted to a PDF format before they are filed in the electronic document management system. Prior to filing any document, the registered user shall ensure that the document is certified as confidential or the confidential information is omitted or redacted in accordance with 621—subrule 2.13(2), and that protected information is omitted or redacted in accordance with 621—subrule 2.13(3).
[ARC 1583C, IAB 8/20/14, effective 9/24/14]
621—16.9(20) Exhibits and other attachments. Any attachments to a filing, such as an exhibit, shall be uploaded and electronically attached to the filing.
[ARC 1583C, IAB 8/20/14, effective 9/24/14]
621—16.10(20) Service.
	16.10(1) Initial filing. An initial filing in a proceeding shall be served upon other parties nonelectronically in the manner specified in rule 621—2.15(20). The document being served must be accompanied by an agency-approved information sheet regarding mandatory electronic filing. Unless exempted by subrule 16.4(2), proof of service of the initial filing shall be electronically filed.
	16.10(2) Subsequent filings. All subsequent filings shall be electronically served via the electronic document management system, unless a party to the proceeding is exempted from electronically filing documents by subrule 16.4(2). If a party is so exempted, all documents filed by all parties to the proceeding shall be served in accordance with rule 621—2.15(20).
	16.10(3) Proof of service of nonelectronic filings.
	a. 	Parties filing pursuant to paragraph 16.4(2)“b” shall file a proof of service electronically.
	b. 	Parties filing pursuant to the exceptional circumstances provision in paragraph 16.4(2)“c” must attach a nonelectronic proof of service to the filing.
	c. 	Parties to a proceeding initially filed prior to January 1, 2015, must attach a nonelectronic proof of service to their nonelectronic filings.
	16.10(4) Electronic service and distribution of electronic filings.
	a. 	When a document is electronically filed, it will be served through the electronic document management system to all parties to the adjudicatory proceeding who are registered users. No other service is required unless ordered by the agency.
	b. 	Notices of electronic filing will continue to be sent to registered users appearing or intervening in a proceeding until they have filed a withdrawal of appearance.
	16.10(5) Agency-generated documents.
	a. 	Electronic filing and service. All agency-generated documents issued in adjudicatory proceedings governed by this chapter shall be electronically filed and served.
	b. 	Paper copies. The agency shall not mail paper copies of any documents absent approval by the board.
[ARC 1583C, IAB 8/20/14, effective 9/24/14]
621—16.11(20) Discovery. Parties shall file a notice with the agency when a notice of deposition or a discovery request or response is served on another party. The notice filed with the agency shall include the date, manner of service, and the names and addresses of the persons served. Other discovery materials shall not be filed unless ordered by the presiding officer.
[ARC 1583C, IAB 8/20/14, effective 9/24/14]
621—16.12(20) Transcripts, briefs and exhibits.
	16.12(1) Transcripts. If a hearing or oral argument is transcribed, the transcript shall be made available to registered users electronically after final agency action.
	16.12(2) Briefs. Briefs and memoranda shall be electronically filed.
	16.12(3) Exhibits. A party’s exhibits admitted into evidence at a hearing shall be electronically filed by the party not later than the date ordered by the presiding officer or board.
[ARC 1583C, IAB 8/20/14, effective 9/24/14]
These rules are intended to implement Iowa Code section 20.24 as amended by 2014 Iowa Acts, House File 2172.
[Filed ARC 1583C (Notice ARC 1507C, IAB 6/25/14), IAB 8/20/14, effective 9/24/14]
[Filed Emergency ARC 3278C, IAB 8/30/17, effective 8/10/17]