AUC Electronic Filing Services

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1 AUC Electronic Filing Services All applications filed with the Alberta Utilities Commission (AUC or Commission) are filed, managed and accessible through our electronic filing services, an electronic system available on our website labelled E-Filing Services & Regulatory Document Search. This brochure outlines how members of the public can register to be a participant and how to access documents and information on AUC proceedings through E-filing Services & Regulatory Document Search. Detailed instructions for the use of the AUC s e-filing services are in the AUC s E-Filing User Guide which can be found on our website, at

2 Registering as a participant in an AUC proceeding: If you decide that you would like to register to participate as an intervener in an AUC proceeding, you must submit a statement of intent to participate (SIP) to the Commission. Once the AUC receives an application for a project and considers the application complete, it issues a notice of application that outlines the requirements and deadline for the SIP. In special circumstances, interested parties may have an opportunity to file a SIP prior to an application being filed with the AUC. Individuals wanting to register as an intervener in a proceeding can send SIPs to the AUC through mail, , fax or directly through our electronic filing service (see the back cover of this brochure for contact information). It is the AUC s preference that you file your submission using our e-filing service, which requires a digital data submission (DDS) user ID. Information on setting up a DDS user ID can be found on the next page of this brochure. In addition to individuals, organizations or groups can also file SIPs to represent a group of people that share similar interests. The AUC encourages those parties that are satisfied with the representation of the organization or group not to file their own individual submission to reduce duplication of information and arguments. Privacy: Please be aware that any information and materials you provide as part of an AUC proceeding, except information granted confidentiality, will become part of the public record and will be posted to the AUC s electronic filing system. This includes personal information, such as your name, address and any other personal information you provide. Note: There is no online access to submissions once the proceeding is completed (120 days after the last application on the proceeding has been disposed). 2

3 Setting up a DDS user ID: A business associate identifier (BA ID), available from the Petroleum Registry of Alberta, is a prerequisite to obtaining a DDS user ID for utility companies, municipalities, law firms, consulting organizations and intervener associations. However, in an effort to make it easier for individuals that want to participate in an AUC proceeding the AUC has enabled individual participants to obtain a DDS user ID without obtaining a BA ID. The following instructions are for those interested parties, without a BA ID that want to set up a DDS user ID. Access DDS from the AUC s home page (www.auc.ab.ca). On the home page, click E-Filing Services & Regulatory Document Search located in the right navigation column shown below. 3

4 Click Digital Data Submissions on the following screen to open the main DDS login page. On the following screen click New Account Setup below the login boxes to open a page on the right that describes the requirements for DDS account setup. Then click New Account Setup under section 2.0 Non-Business Associate Users on the right side of the page. 4

5 On the next screen enter the required information; your name, phone number, valid address and an optional fax number. The phone numbers must be entered in the following format: (403) Click Save. If all of the information entered is valid you will receive the following message: Your user profile was saved successfully. Your user ID and Password will be ed to your address. You will receive an that includes a link to DDS that you must use to log in and validate your account the first time you sign in. Additionally, a case-sensitive temporary password will be provided to be used the first time you log in to DDS. You will have seven days to activate your account. The link in the opens the screen shown below. Be prepared with a secret question and answer, which can be used in the future for a forgotten password or to reactivate your account. Guidelines for creating secure passwords and secret questions can be found using the links shown below. Requirements and more detailed instructions for setting up a DDS user ID are outlined in the DDS User Guide, found on the AUC website. A message will then appear to confirm your secret question and answer, and password. Click Continue. 5

6 Accessing the Proceeding Submission Service: Applications are first submitted to the AUC using DDS. Once the Commission determines that the application is complete, it establishes the application as a proceeding. From this point on, all intervener submissions and further submissions by the applicant are in the AUC Proceeding Submission Service. The Proceeding Submission Service is accessible on the AUC s website (www.auc.ab.ca). Click E-Filing Services & Regulatory Document Search on the right navigation column. Click Digital Data Submission, which will take you directly to DDS. When in DDS you can log in by entering your user ID and password. 6

7 Participating in a proceeding: To view all documents related to a proceeding you must become a registered participant in that particular proceeding. Once logged in to DDS, expand the Proceedings section on the left side of the page by clicking the + symbol next to it. View Proceeding only gives access to public documents. Participate in a Proceeding allows you to register in a proceeding and have full access to all documents related to that particular proceeding. Please read the privacy disclaimer and if you agree with the disclaimer, click I agree. The following window will then display a list of all proceedings that you are already registered for and allows you to search or register for other proceedings. To register for a proceeding so that you are able to have full access to documents, click Register for Proceedings. To view a proceeding you are already registered in, click the hyperlinked (blue and underlined) description of the proceeding. To register in proceeding To view proceeding already registered in Please see the E-Filing User Guide on the AUC website (www.auc.ab.ca) for more detailed information on the registration process. 7

8 Registering in a proceeding: If you click Register for Proceedings, on the screen on the previous page a new window will open. Select the proceeding you are interested in from the drop-down list of active proceedings. The Proceeding Information window opens. Click Next. The Choose Registration Type page then opens. Select the form of registration that applies to you and click Next. See the AUC s E-Filing User Guide on the AUC website (www.auc.ab.ca) for more information on types of registration. 8

9 Enter an abbreviation (i.e. JSmith). Select Intervener from the Role pull-down menu. Enter your name and contact information and check off the Primary Contact box. Click Register to register as a participant. You will then be able to view the proceeding details. You are now registered and your name will appear in the list of registered parties for the proceeding. 9

10 Creating a proceeding submission: Once you are registered to participate in a proceeding, you can add submissions, such as a SIP, and upload any related attachments. Click on the hyperlinked description of the proceeding that you want to add a submission for. Select the Proceedings Submissions tab. In the next window, click Create Submission. 10

11 Turn off your pop-up blocker if you cannot see the following window. From the drop-down lists, select the party that you are preparing the submission for and the type of submission. Click OK. From the drop-down lists, select the proceeding schedule (if applicable), the recipient and the related application number. You must enter a description for the submission. Click Save. You can then add an attachment to the submission by clicking the Attachments button and browsing for your desired document(s). Ensure you click the Register button after uploading your attachment(s) to complete the upload process. 11

12 Viewing proceeding submissions: When viewing a proceeding you are registered in, the following window displays general information about the proceeding, such as the status, the applicants and the AUC staff assigned to the proceeding. There are three other tabs at the top of the window that will provide more details on the proceeding: Registered Parties: Lists all of the participants in the proceeding with their contact information; Proceeding Schedule: Outlines specific dates and deadlines important for the proceeding; and Proceeding Submissions: Allows you to search documents that have been filed in the proceeding. If you are a registered participant in a proceeding, click on the Proceeding Submissions tab to view all documents that have been filed for that particular proceeding and a list of other registered participants. Click link to view all initial application documents from the applicant. The Proceeding Submissions window allows you to filter your search for documents related to a proceeding. To view all of the documents for a proceeding clear all search fields and click Search. A list of all of the exhibits submitted to the AUC for that proceeding will then appear. To view an exhibit, click the Open button to the left. 12

13 A new window then opens that contains a summary of the exhibit. To view the individual files for the exhibit, click Attachments. A window that displays the exhibit attachments opens. Click on the document name to view. 13

14 How to download documents: If you are a registered participant and would like to access or download documents filed in a proceeding you must log in to the DDS system and select Participate in a Proceeding (see page 7). Click on a document name to open a document and save it. If you want to save all or most of the documents related to a proceeding, you can create a Submission Index. In the Proceeding Submissions tab, check off the proceeding submissions that you want to download files for, and click Create Submissions Index on the top right. In the Select Index Fields window, use the left and right arrows to select the fields you want included or excluded from your index. The fields that are under Available will not be downloaded and those under Selected will be downloaded. When all of the fields that you want are listed under Selected, click Next. 14

15 The Select Applications window opens, where you can select the application(s) to include in the download. Click Next. The Submissions Index opens in the window, where you can check off all of the files that you want to download, and once all of the files are selected, click Start Download. A pop-up window then asks if you want to continue the file transfer. Click Yes. The Browse for Folder window opens that allows you to navigate to the folder on your computer where you want to save the files. Double click on the index file to utilize a spreadsheet with hyperlinks to the documents. Detailed instructions for the use of the AUC s e-filing services are in the AUC s E-Filing User Guide which can be found on our website, at 15

16 Contact information: For assistance with using the AUC s e-filing services please contact: Electronic Filing (E-Filing) Services Phone: , or To request documents in a proceeding that you are not registered for, contact: Information Services Phone: , or Calgary Office: Fifth Avenue Place East Fourth Floor, 425 First St. S.W. Calgary, Alberta T2P 3L * *Dial prior to the 10-digit numbers for toll-free access anywhere in Alberta. Issued January 2013 Edmonton Office: HSBC Building 10th Floor, Street Edmonton, Alberta T5J 2Y *

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