Search Filters: Filing Types

In general, Halcyon works better when you narrow down to more relevant filings prior to submitting a query. To that end, we have grouped filing types into common categories across state utility commissions to allow users to search for similar filing types across jurisdictions. These Halcyon-generated filing types also enhance query response quality by filtering the search space to specific filing types.

For example, if you are setting up an alert to detect when parties file a settlement agreement, you can set a filter to “Stipulation” to narrow the universe of documents down to the relevant ones before setting up the alert query.

The filing types dropdown is in the Search pane.

Halcyon-generated filing type categories are identified by the Halcyon icon to the left of their name.

For example, if you select Decision, only filing types that fall under the definition of a Decision (definitions further below) will appear.

Filing types listed directly by commission websites do not have a Halcyon icon next to them.

There are some limitations to be aware of when selecting filing type categories:

There are 10 commissions, including the FERC, that do not have native filing type metadata.

Thus, our crawlers do not pull in any filing types. These commissions include:

These states will not return any documents if they are filtered to a filing type category.

For example, filtering to filing types for the Virginia State Corporation Commission returns 0 documents.

Halcyon currently does not infer filing type categories for specific documents. This reflects our intention to only represent what is available on the commission website. This means that certain state utility commissions with relatively few native filing types — like Alabama or Texas — do not have enough of a variety of filing types to categorize across our 19 categories. Thus, these states have many of their filings categorized under “Miscellaneous.”

Before setting an alert or querying with filing types filtered, check to verify that the category returns documents. For example, if we filter the Decision category for the Public Utility Commission of Texas (PUCT), no documents will appear.

The PUCT also has miscellaneous filing types. For example, if you filter to Draft Decisions and Recommendations for the PUCT, nothing appears because the commission has no filing types that perfectly correspond to this category. Instead, recommended decisions in the PUCT are found under the PUCT-native PLEADINGS filing type alongside many other filing types. See an example below.

However, the PUCT does have a filing type that perfectly corresponds to Halcyon’s Tariff filing type category, so documents appear when filtering to that category.

Overall, the best practice is to first filter to a Halcyon-generated filing type category prior to setting up an alert or query on a filing type to ensure that documents appear.

Halcyon does not yet have filing type categories for ISO/RTOs and air quality agencies.

The following filing type definitions are only for state utility commissions.

Correspondence and Letters: Letters and email correspondence from, to, and between Commission, Commission Staff, utilities, and other parties. 

Decision: Final Commission Orders, resolutions, interim orders, orders to establish rules, rulings, orders to close a docket, or errata/nunc pro tunc to rectify orders issued in the past. This also includes:

These also include official policy positions or statements of policy from Commissions or individual Commissioners. This does not include:

Draft Decisions and Recommendations: Recommended, Proposed, or Draft Orders and Decisions from Commission Staff or Administrative Law Judge.

This also includes Exceptions or Responses to Exceptions, which are opposing points of view submitted by Parties in response to recommended orders prior to final Orders, except if they are submitted in the form of a Brief (in which case categorized under Brief).

This category also includes consolidated fact sheets with summaries of different parties’ comments to inform stakeholders prior to a hearing or decision.

Errata: Miscellaneous errata to correct previously submitted filings. Errata associated with specific filing types are categorized under those filing types.

Miscellaneous: This category encompasses filing types which consistently include more than one different filing type category. No single filing type category makes up the majority of these filings.

Court Documents: Court orders, opinions, transmittal letters, and other documents from a court proceeding.

Applications and Petitions: Applications, petitions, application amendments, and initial filings submitted by parties for Commission approval. These include Applications for:

Petitions must be non-procedural (time extensions) and substantive such as petitions or motions for reconsideration, rehearing, or reopening. These do not include petitions to intervene, which are categorized under Intervention.

Testimony and Exhibits: Filings made to provide evidence to support an application or petition, and statements of position on an application or petition. These include:

Testimony can only be submitted by parties granted Intervenor status. Testimony can be cross-examined. These include rebuttals and surrebuttals.

Brief: Legal arguments made to support a position and open to cross-examination. Only utilities or parties granted full Intervenor status can file briefs.

Comment: These are comments or presentations submitted by the public, utilities, or organizations to weigh in on a particular rulemaking, proceeding, or investigation.

They are not official testimonies or exhibits submitted by expert witnesses or official intervenors to support an application or petition in a contested proceeding. Comments cannot be cross-examined.

Stipulation: Terms agreed upon between parties in a proceeding, either unanimously or non-unanimously. These are also called settlement agreements. This category does not include:

Procedural: Filings to indicate future full submission, procedural timelines, list of parties served notices or involved in a proceeding. This includes:

This category includes withdrawals if they are not specifically associated with another category.

For example, withdrawal of an application or project would be categorized under Applications and Petitions, but a simple withdrawal filing type would fall under Procedural. Only categorize a Motion as Procedural if it is standalone or not tied to another filing type category. For example, Motion to Intervene would be an Intervention filing type.

Compliance: Filings made to comply with a prior mandate or regulation. This includes contracts submitted to comply with certain laws or regulatory provisions referenced in a proceeding such as:

These include reports submitted on a regular cadence like:

It also includes filings disclosing compliance with specific rules such as:

This also includes affidavits or proofs certifying that a notice was provided or a publication was made in the local newspaper. These also include regular quarterly or annual reconciliations for riders, power, and fuel costs.

Request: Requests to obtain or discover information and data from parties in a proceeding. This includes:

Response: Responses to data and information requests. This category also includes supporting or supplementing documents that are submitted with responses.

This category does not include reply briefs, which are legal arguments that fall under the Brief category.

If reply, only categorize as response if the documents are responses to information requests, data requests, or some other type of request filing. Reply Comments are categorized under Comment.

Tariff: Filed rates and filings displaying rate schedules.

Intervention: Motions to Intervene, Petitions to Intervene, Interventions, joinders, or entries of appearance.

Complaint: Complaints filed against a utility. This may also include:

Complaints do not include official protests or appeals.

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