Section 1. In General. - When the Commission issues an order that authorizes or requires a party to make a filing to implement specific terms of the order or to comply with conditions for the issuance thereof with respect to the issues resolved in the proceeding, the filing is deemed a “compliance filing”. A compliance filing is made under the docket number of the order to which it relates.

If the Commission in its order directs a party to initiate an entirely new proceeding, such filing made in compliance with said directive will be assigned a new docket number, treated as a separate application or petition, and covered by the same rules applicable to all other applications or petitions.

Section 2. Reporting Requirement. - The Commission may, in its order, require a party to report periodically to the Commission with respect to a subject matter stated therein. The reports must be filed under the docket number of the proceeding in which the order is entered, unless otherwise specified in the order establishing the requirement or directed by the Commission.

Section 3. Compliance filing pursuant to certain Rules or Guidelines adopted by the Commission. - When the Commission adopts certain rules authorizing or requiring a party to make a filing in accordance therewith, the filing is likewise deemed a “compliance filing”. This compliance filing is filed with the Commission’s Docket Section, which will assign it a separate number, and must include the following:

(a) A verified cover letter that identifies the specific rules to which the filing relates, the period covered, if applicable, and the name, address and contact number of the person making the filing, and summary of the compliance; and
(b) All the pertinent or required documents to be submitted in support of the
compliance filing as provided in the applicable rules or as may be required by the Commission.

Section 4. Commission Action on Compliance Filings under Section 3. - Within fifteen (15) days from the filing, the Commission shall make a determination of the completeness of the submission. If it finds that there are still documents and other data that must be submitted, it shall issue an order directing the submission of such other documents and data. In such case, the filing shall be deemed to have been made only upon the receipt by the Commission of such additional documents and data.

After consideration of all the documents submitted in support of the compliance filing, the Commission may enter an order approving the compliance filing or rejecting the same or any portion of the filing that fails to comply. However, if the rules to which the compliance filing relates provide for the automatic approval thereof upon the lapse of a specified period stated therein if no decision is reached thereon by the Commission, then the filing shall be deemed approved upon the lapse of the period or any extension thereto made by the Commission, as may be the case.