Electronic document management system, amend chs 1 to 3, 6, 7, 9 to 11; adopt ch 16
ARC 1507C
PUBLIC EMPLOYMENT RELATIONS BOARD[621]
Notice of Intended Action
Twenty-five interested persons, a governmental subdivision, an agency or association of 25 or more persons may demand an oral presentation hereon as provided in Iowa Code section 17A.4(1)"b."
Notice is also given to the public that the Administrative Rules Review Committee may, on its own motion or on written request by any individual or group, review this proposed action under section 17A.8(6) at a regular or special meeting where the public or interested persons may be heard.
Pursuant to the authority of Iowa Code section 20.6(5) and section 20.24 as amended by 2014 Iowa Acts, House File 2172 (effective July 1, 2014), the Public Employment Relations Board hereby gives Notice of Intended Action to amend Chapter 1, "General Provisions," Chapter 2, "General Practice and Hearing Procedures," Chapter 3, "Prohibited Practice Complaints," Chapter 6, "Negotiations and Negotiability Disputes," Chapter 7, "Impasse Procedures," Chapter 9, "Administrative Remedies," Chapter 10, "Declaratory Orders," and Chapter 11, "State Employee Appeals of Grievance Decisions and Disciplinary Actions," and to adopt new Chapter 16, "Electronic Document Management System," Iowa Administrative Code.
In 2014, the General Assembly passed and the Governor signed 2014 Iowa Acts, House File 2172, a bill for an Act providing for the use of an electronic filing and notice system by the Public Employment Relations Board, to become effective July 1, 2014. The Act directs that the Board, by rule, establish an electronic filing system for the filing or service of any notice or other document required or permitted to be filed with or served on or by the Board and specifically authorizes the Board to require the filing or service of documents through the system. Accordingly, the Board has drafted and proposes in Item 13 the adoption of new Chapter 16, which contains rules that govern the use of the new system and are modeled in substantial part on the Iowa Court Rules pertaining to the use of the judicial branch electronic document management system. Items 1 through 12 consist of conforming, clarifying and related amendments to existing rules where references to the electronic filing system, the provisions of new Chapter 16 or related supplemental or clarifying provisions are necessary or appropriate.
Neither new Chapter 16 nor the amendments to existing rules provide for a waiver of their terms, but are instead subject to the Board's general waiver provisions found at rule 621—1.9(17A,20).
Any interested person may make written suggestions or comments on this proposed rule making on or before July 15, 2014. Written suggestions or comments should be directed to Michael G. Cormack, Chairperson, Public Employment Relations Board, 510 E. 12th Street, Des Moines, Iowa 50319; or Mike.Cormack@iowa.gov.
Persons who wish to convey their views orally should contact the office of the Public Employment Relations Board by telephone at (515)281-4414 or in person at the Board's office at the address noted above. Requests for a public hearing must be received by July 15, 2014.
After analysis and review of this proposed rule making, no adverse impact on jobs has been found.
These amendments are intended to implement Iowa Code section 20.24 as amended by 2014 Iowa Acts, House File 2172.
The following amendments are proposed.
Item 1. Adopt the following new subrules 1.6(8) to 1.6(11):
1.6(8) "Adjudicatory proceeding" means a contested case, a proceeding that may culminate in a contested case, a petition for declaratory order, a petition for expedited resolution of a negotiability dispute, or any other proceeding which may require the board or its designee to issue a decision, order, or ruling.
1.6(9) "Confidential information" means information excluded from public access by federal or state law or administrative rule, court rule, court or administrative order, or case law.
1.6(10) "Jurisdictional deadline" means a deadline set by rule or statute that the board may not extend or change.
1.6(11) "Protected information" means personal information, the nature of which warrants protection from unlimited public access, including:
a. Social security numbers.
b. Financial account numbers.
c. Dates of birth.
d. Names of minor children.
e. Individual taxpayer identification numbers.
f. Personal identification numbers.
g. Other unique identifying numbers.
Item 2. Adopt the following new rule 621—1.10(20):
621—1.10(20) Agency record and files.
1.10(1) Agency record. The official agency record for all adjudicatory proceedings includes the following:
a. Electronic files maintained in the agency's electronic document management system;
b. Paper documents maintained by the agency in paper form when permitted by the board's order; and
c. Exhibits and other materials filed with or delivered to and maintained by the agency as part of the case file.
1.10(2) Paper case files. Except as otherwise provided in the agency's rules or directed by the board, the agency will not maintain paper case files in adjudicatory proceedings filed on or after January 1, 2015.
Item 3. Amend subrule 2.12(1) as follows:
2.12(1) Attendance of witnesses. The board, an administrative law judge, or an arbitrator selected pursuant to Iowa Code section 20.22 shall issue subpoenas to compel the attendance of witnesses and the production of relevant records upon written application of any party filed with the presiding officer agency prior to the hearing or oral motion at the hearing. The party requesting subpoenas shall serve the subpoenas and notify the presiding officer in writing prior to hearing, or orally at the time of hearing, of application shall specify the names and addresses of the witnesses or the person or party having possession of the requested documents and shall list with specificity the records or other items sought. The requested subpoenas may be provided electronically to a registered user of the electronic document management system. Where a A motion to quash a subpoena may be filed, and when the subpoena has been served more than seven days prior to the hearing, a party may move to quash the subpoena the motion shall be filed not less than three days prior to the hearing. Subpoenas for production of records shall list with specificity the items sought for production and the name and address of the person or party having possession or control thereof. A written motion to quash subpoenas may be filed with the presiding officer issuing the subpoenas, and the moving party shall serve copies upon all parties of record.
Item 4. Amend rule 621—2.13(20) as follows:
621—2.13(20) Form and redaction of documents. All documents, other than forms provided by the board, which relate to any proceeding before the board agency should be typewritten and bear the docket number of the proceeding to which it relates. Such documents may be single- or double-spaced at the option of the submitting party. It is the responsibility of the filer to ensure that confidential or protected information is omitted or redacted from documents before the documents are filed, unless the confidential or protected information is required by statute or rule to be included or is material to the proceeding. The agency will not review filings to determine whether appropriate omissions or redactions have been made.
Item 5. Amend rule 621—2.15(20) as follows:
621—2.15(20) Service of pleadings and other papers.
2.15(1) Service—upon whom made. Whenever under these rules nonelectronic service is required or permitted to be made upon a person or party, such service shall be as follows:
a. Upon any city, or board, commission, council or agency thereof, by serving the mayor or city clerk.
b. Upon any county, or office, board, commission or agency thereof, by serving the county auditor or the chairperson of the county board of supervisors.
c. Upon any school district, school township, or school corporation by serving the presiding officer or secretary of its governing body.
d. Upon the state of Iowa, or board, commission, council, office or agency thereof, by serving the governor or the director of personnel the department of administrative services.
e. Upon the state judicial department by serving the state court administrator.
f. Upon any other governing body by serving its presiding officer, clerk or secretary.
g. Upon an employee organization by serving the person designated by the employee organization to receive service pursuant to 621—subrule 8.2(2), or, by service upon the president or secretary of the employee organization.
h. Upon any other person by serving that person or that person's attorney of record.
2.15(2) Service—how made. Except as provided in rules 621—3.4(20) and 621—5.7(20) and subrule 2.12(3) and 621—subrule 4.2(2), whenever nonelectronic service of any document is permitted or required by these rules, require service upon any person or party the service shall be sufficient if made by ordinary mail. If the document served is an initial filing in a proceeding, the serving party shall also serve with the document an agency-approved information sheet regarding mandatory electronic filing.
2.15(3) Proof of service. Where personal service or service is by restricted certified or ordinary mail or personal service is permitted or required by these rules, the serving party shall forward file the return receipt or return of personal service to or certified mail return receipt with the board for filing agency. Where service by ordinary mail is permitted under these rules, the serving party shall include the following or a substantially similar certificate on the original document filed with the board:
"I hereby certify that on I sent a copy of the foregoing matter to
(date)
the following parties of record or their representatives at the addresses indicated, by depositing same in a United States mail receptacle with sufficient postage affixed.
(Signed) "
(party or representative)
Unless excepted by 621—subrule 16.4(2), proof of service shall be filed electronically in accordance with 621—Chapter 16.
Item 6. Amend rule 621—2.18(20) as follows:
621—2.18(20) Delivery of decisions and orders. Decisions and orders of the board or administrative law judge shall be delivered to the parties by ordinary mail filed and served in accordance with 621—Chapter 16.
Item 7. Amend rule 621—3.4(20) as follows:
621—3.4(20) Service of complaint. The complainant shall, within a reasonable time following the filing of a complaint, serve the respondent(s) with a copy of the complaint in the manner of an original notice or by restricted certified mail, return receipt requested. Such service shall be upon the person designated for service by 621—subrule 2.15(1), and the complainant shall file proof thereof with the board agency in accordance with 621—subrules 2.15(3) and 16.10(1).
Item 8. Amend subrule 6.3(2) as follows:
6.3(2) Expedited resolution. In the event that a negotiability dispute arises between the employer and the certified employee organization, either party may petition the board agency for expedited resolution of the dispute. The petition shall set forth the material facts of the dispute, and the precise question of negotiability submitted for resolution, and certificate of service upon the other party. The petitioner shall promptly serve the other party with a copy of the petition and file proof thereof with the agency in accordance with 621—subrules 2.15(3) and 16.10(1). Unless the dispute is resolved by the board prior to the arbitration hearing, the parties shall present evidence on all items to the arbitrator, including the item which is the subject of the negotiability dispute. A negotiability dispute raised at the arbitration hearing shall be upon written objection to the submission of the proposal to the arbitrator. The objection shall request the arbitrator to seek a negotiability ruling from the board agency regarding the proposal or state that the objecting party will file a petition for resolution of the dispute with the board, which petition shall be filed within five days of the making of the objection. Arbitrators shall rule on all items submitted to them including the item which is the subject of the negotiability dispute, unless explicitly stayed by the board. Arbitration awards issued prior to the final determination of the negotiability dispute will be contingent upon that determination.
Item 9. Amend subrule 7.6(1) as follows:
7.6(1) Objections. Any objection by a party to mediation or the conduct of arbitration proceedings which will not be completed by the applicable deadline for completion of impasse procedures shall be filed with the board and served upon the other party agency in accordance with rule 621—16.4(20). Such filing and service shall take place The objecting party shall promptly serve the other party with a copy of the objection and file proof thereof with the agency in accordance with 621—subrules 2.15(3) and 16.10(1). The objection shall be filed and served no later than 10 days after the filing with the board agency of the request for mediation or arbitration to which the objection refers. For purposes of this rule, a single-party request for mediation which is filed more than 120 days prior to the applicable deadline for completion of impasse procedures or a request for arbitration which is filed prior to the filing period specified in subrule 7.5(1) shall be deemed filed on the first day of that filing period. Failure to file an objection in a timely manner may constitute waiver of such objection, in which case the applicable deadline for completion of impasse procedures shall not apply.
Item 10. Amend subrule 9.2(1) as follows:
9.2(1) Notice of appeal. An appeal to the board from a proposed decision of an administrative law judge in a contested case proceeding shall be commenced within 20 days of the filing of the proposed decision by filing a written notice of appeal with the board agency in accordance with rule 621—16.4(20). The appealing party shall serve a copy of the notice upon all opposing parties as provided in rule 621—2.15(20), or by ordinary mail upon the parties' attorneys of record promptly serve all other parties with a copy of the notice and file proof thereof with the agency in accordance with rule 621—16.10(20).
Item 11. Amend subrule 10.2(9) as follows:
10.2(9) A certificate of service of the petition upon any persons or entities required to be served with a copy by rule 621—10.7(17A,20). Service of the petition and proof thereof shall be in accordance with 621—subrules 2.15(3) and 16.10(1).
Item 12. Rescind subrule 11.4(3).
Item 13. Adopt the following new 621—Chapter 16:
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 [effective date of this chapter]. 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.
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 offices 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 offices.
"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.
621—16.3(20) Registration, username, and passwords.
16.3(1) Registration.
a. Registration required. All individuals 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, individuals 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 designated 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.
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. 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.
621—16.5(20) Filing of paper documents.
16.5(1) Conversion of paper documents filed. If the agency 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.
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.
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 all such persons consent to having their signatures appear on the document.
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 confidential and protected information is redacted in accordance with rule 621—2.13(20).
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.
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.
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.
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.
These rules are intended to implement Iowa Code section 20.24 as amended by 2014 Iowa Acts, House File 2172.
This notice is now closed for comments. Collection of comments closed on 7/15/2014.
The official published PDF of this document is available from the Iowa General Assembly’s Administrative Rules page.
View the Iowa Administrative Bulletin for 6/25/2014.
The following administrative rule references were added to this document. You may click a reference to view related notices.
Rule 621-1.10 Rule 621-1.6(11) Rule 621-1.6(8) Rule 621-10.2(9) Rule 621-10.7 Rule 621-11.4(3) Rule 621-16.1 Rule 621-16.10 Rule 621-16.11 Rule 621-16.12 Rule 621-16.2 Rule 621-16.3 Rule 621-16.4 Rule 621-16.5 Rule 621-16.6 Rule 621-16.7 Rule 621-16.8 Rule 621-16.9 Rule 621-2.12(1) Rule 621-2.12(3) Rule 621-2.13 Rule 621-2.15 Rule 621-2.15(1) Rule 621-2.18 Rule 621-3.4 Rule 621-5.7 Rule 621-6.3(2) Rule 621-7.5(1) Rule 621-7.6(1) Rule 621-8.2(2) Rule 621-9.2(1)The following Iowa code references were added to this document. You may click a reference to view related notices.
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Agency record Agency record and files Agency-generated documents Attendance of witnesses Briefs Canceling registration Changes in registered user’s contact information Changing passwords Conversion of paper documents filed Date and time of filing Date of filing Definitions Delivery of decisions and orders Denial of access Discovery Documents requiring oaths, affirmations or verifications Duties of registered user Effective date and scope Electronic file stamp Electronic filing and service Electronic filing mandatory Electronic service and distribution of electronic filings E-mail or fax Exceptions Exhibits Exhibits and other attachments Expedited resolution Filing of paper documents Form and redaction of documents Form of documents Form of paper documents Format Format and redaction of electronic documents How to register Initial filing Mandatory electronic filing and exceptions Multiple signatures Notice of appeal Objections Paper case files Paper copies Proof of service Proof of service of nonelectronic filings Public access terminal Registered user Registration Registration complete Registration required Registration, username, and passwords Return of copies by mail Service Service of complaint Service of pleadings and other papers Service—how made Service—upon whom made Signatures Subsequent filings Time of filing Transcripts Transcripts, briefs and exhibits Use of username and password Username and password security What constitutes filing© 2024; State of Iowa | Privacy Policy