Guidelines for Filing Documents with the Secretary (Updated 9/11/2015)
Section 3.5 of the Commission’s Rules (Documents filed with the Secretary) requires all “documents” (pleadings, briefs, applications, petitions, complaints, and any others offered) to be filed with the Secretary. Section 1000.3 of the Rules of the New York State Board on Electric Generation Siting and the Environment (Siting Board) also states that filings to the Siting Board must be made in accord with the rules of the Public Service Commission. Thus, Section 3.5 and these Guidelines, should govern all filings before the PSC and the Siting Board.
Electronic filing through the Department’s Document and Matter Management (DMM) System is preferred. DMM enables the submission and issuance of electronic documents with and from the Commission.
Rather than attempting to capture ever-changing technologies within the Commission’s regulations (which would require committing to rewriting the regulations with every technological development), the following current and specific guidelines for submissions are offered below. The Commission's Regulations, contained in 16 NYCRR Parts 1-6, 8 and 17, have been updated, as of February 11, 2011. These guidelines supplement and clarify expectations for all parties filing with the Secretary. These particular guidelines are not intended to be permanent; as technological processes and capacities change, so too will the guidelines. The following links will guide you through the DMM filing process.
Why Register with DMM?
How to Register with DMM
PSC Guidelines for electronic filings:
· Documents must:
1. be formatted for a page size of 8-1/2” by 11”, with margins of no less than one inch on all four sides. (Exhibits attached to paper filings shall be folded to the same size);
2. be produced with a font size no smaller than 11-point or its equivalent, and be one and one half line spacing, except that footnotes and lengthy quotations may be single-spaced;
3. for paper documents, be printed on both sides of the page;
4. include, on the first or cover page, the caption for the proceeding and case number, if any; the title of the document; the name, address, e-mail address and telephone number of the party submitting it or the party’s representative; and, if requesting the initiation of a new proceeding, a space for the case number;
5. identify the other parties on which it was served; and
6. be signed by or on behalf of, the submitting party. Electronic documents shall have electronic signatures as directed by the Secretary. Paper documents shall have a handwritten or printed signature. If the signature is by a representative of the party, the representative’s title (if any) shall be provided.
7. not be zipped or password protected. ZIP and Password protected documents will be rejected as they are inconsistent with the Department’s DMM System.
· Graphics may be included in a document; however, maps, diagrams, charts, photos, schematics, and drawings must be submitted either electronically or separately on a CD or DVD as a PDF document.
- · Guidelines for submitting maps as PDF's:
· Maximum document size shall be ANSI E (34" x 44")
· Embed all fonts in the PDF document
· Be sure that the original or native paper size is defined in the PDF. In other words, if the original map document is intended to be printed on ANSI E sized paper, make sure that the digital map is saved or exported to PDF as such.
· Submitted documents must be in a format that can be read using software that is readily available and is in widespread use by government, business and individuals; and be electronically searchable unless the party providing the document certifies that it does not have the capability to produce a searchable file.
· Electronic submissions must be no larger than 25 MB, if the filing is larger, it should be submitted in sections no larger than 25 MB.
· At this time the preferred electronic document filing format is Adobe Acrobat/International Standards Organization (ISO) 32000-1 format file with ‘Image+Text’. This is a universally-recognized format. To the extent you cannot file in this format, contact the Office of the Secretary at (518) 474-2500.
- Number of copies to be filed:
· Pursuant to § 3.5(a)(1) of 16 NYCRR, unless otherwise requested by the Secretary, parties are now required to submit only one, electronic, version of a document.
- Documents containing confidential information:
· The DMM system will automatically preserve the confidentiality and direct the document to the appropriate staff within the Department. Participants in the e-filing program must follow the instructions for filing confidential documents. A motion for confidentiality must be in a separate file from the document alleged to contain the confidential information. The DMM system will prompt users to file the motion separately. The motion must explain why the alleged confidential information meets the qualifications (found in 16 NYCRR §6-1.3) for an exception from disclosure.
We encourage those who wish to file confidential documents to register as a filer in our Document and Matter Management System (DMM) and file them through that system. Parties that are unable to file electronically through the DMM system should follow these instructions for an alternative method of filing confidential documents.
· Unless the cover letter or e-mail clearly identifies that the attached document for filing contains confidential information, any filing received by the Secretary will be deemed to be public and will be posted to the Commission’s Web site.
· Redacted Documents
Entities filing documents in DMM are responsible for any and all documents submitted in redacted form. Please ensure that such documents are redacted in such a way that they cannot be un-redacted without notice to the submitter. Please refer to the following link for more information regarding proper redaction procedures. http://www.caed.uscourts.gov/caednew/index.cfm/cmecf-e-filing/redaction-requirements/how-to-redact/. Ensuring proper redaction is likely to require the purchase of a product that includes a specific redaction feature, like Adobe Pro. Other versions of Adobe do not include a redaction feature. DPS neither endorses nor promotes any particular software product – only to the extent that those on the market feature redaction capability as described above. To redact in Word or Excel please refer to the following link for a paid product that would act as a plugin to these two products. http://www.thepaynegroup.com/
· Procedures for implementing electronic signatures for persons filing documents with the Secretary are under development. These procedures, when finalized, will be posted with these guidelines.
- Verified Documents:
· Official verified documents may be submitted electronically as long as the verification statement below is provided with the filing.
- I, _______________________________________, do hereby
affirm that the contents of this document are true to the best
of my knowledge.
· Clarity in identifying specific utilities and the service to which contracts applies assists the Secretary in processing the filing, thus, for utility companies comprised of more than one regulated subsidiary or providing more than one type of utility service, please specify the utility and service for each contract filed.
- For example: A contract that is strictly for a combination utility’s gas business should be clearly labeled as such. A contract that is for a particular utility within a multi-utility holding company should also be identified as being just for that utility. Finally, a contract that applies to multiple utilities within a multi-utility holding company should identify each utility.
- Further requirements:
· All submissions must be received no later than 4:30 PM on the due date. This will permit the Office of the Secretary to process and enter the filed document into the DMM system for public access. Documents filed after 4:30 PM will be dated and processed on the next business day.
· Any material(s) protected by Copyright must be identified as such in the comment and will not be posted without the express written consent of the Copyright owner.
· When a party files only paper documents pursuant to subdivision (a)(1) of 16 NYCRR §3.5, the party must provide a clear and permanently legible original to the Secretary, unless otherwise directed by the Secretary. The paper document must be received on or before the due date for the filing.
· For Initial Major Rate and Article VII filings, please contact the Office of the Secretary at (518) 474-2500 for further instructions.
· Any requests for exceptions from the rules or guidelines, or extensions of deadlines in accord with PSL Section 3.3 should be made to the Secretary. Requests for extension should be made in advance of the deadline.
Hon. Kathleen H. Burgess
Secretary to the Commission
New York State Public Service Commission
Agency Building 3
Albany, NY 12223-1350
Phone: (518) 474-6530
Fax: (518) 474-9842
- The Department of Public Service has implemented a program for transmitting documents electronically to those consenting parties. Your participation will allow you to receive notification of issued documents in all cases in which you participate in real time and promote our stewardship of the environment. Please complete this form and file it through our Document Management System at http://www.dps.ny.gov/DMM_Registration.html or with the Secretary at firstname.lastname@example.org
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