DMM Help : Guide to Classification of Documents


 

CLASSIFICATION

DESCRIPTION and/or EXAMPLES

(Note that examples do not represent an exhaustive list but merely are listed as useful guidance.)

Active Party Lists

Listing of Active Parties on a case

Affidavits of Service

A notarized document that certifies service of Commission and Department issued documents. Typically signed by the Secretary, the document includes the document type, date of issuance and parties served.

Attachments

Due to the file size of certain documents, it is necessary to break them into manageable pieces for posting to the website.  Going forward the category "Attachment" will no longer be used.  A petition will remain intact.  All pieces of a petition will be categorized as "Petition" and described accordingly, such as Attachment 1 to petition, Attachment 2 to petition, etc.

Briefs

Brief on exception
Initial brief
Reply brief
Reply brief on exceptions
Post-hearing brief (& reply)
Letter in lieu of brief
Memorandum of law
(Cover letter included with filed document)

Comments

Comments & Reply comments from active parties
Comments on Staff White Paper
(Cover letter included with filed document)

NOTE:  Comments from the general public, including letters and e-mails, whether or not specifically solicited through a formal notice, are filed under the “Public Comments” tab on DMM.  The “comments” referred to here are typically longer, formal documents filed by parties under a “notice and comment” process that may be used instead of or in addition to evidentiary hearings.

Complaints

Customer appeal documents
Appeal of shared meter decision
Appeal of informal hearing decision
ALSO:
Complaints by a telecom carrier against another telecom carrier
Complaints against a utility by a competitor

See NOTE under “Petition” about classification of initial documents in a formal case

Consumer Complaint Determination

The Commission’s determination on a consumer complaint.

Correspondence

General correspondence to or from Secretary or ALJ regarding procedural matters
Correspondence between Secretary or an ALJ, on the one hand, and active parties, on the other hand, regarding procedural or substantive matters, that do not fit into other categories such as “motion” or “ruling,” e.g., questions sent to parties regarding a filing or to be answered at an upcoming hearing. See NOTE 3 below.
Requests for party status
Notice of newspaper publication

NOTE 1:  Comments from the general public, including letters and e-mails, whether or not specifically solicited through a formal notice, are filed under the “Public Comments” tab on DMM and not as “correspondence” under the “Filed Documents” tab.
NOTE 2:  Cover letters accompanying filed documents are filed with the accompanying document and not as correspondence.  One exception to the general rule of filing cover letters with their accompanying document is that, in the case of a new filing that serves to begin a formal case, the initial document, generally a cover letter, is classified as a “petition” for the purpose of generating a case number.  See NOTE under “petition.”
NOTE 3:  Communications from an ALJ or the Secretary that establish procedural requirements such as scheduling milestones or documents to be filed are “Rulings” and filed as such, even if they take the form of informal correspondence.  ALJs and the Secretary will endeavor to identify such documents as rulings.
NOTE 4:  Motions or briefs or responses or replies to same submitted by active parties in the form of letters are classified as motions or briefs; authors of such letters should clearly identify their character in the subject line or first sentence of the letter.

Declaratory Ruling

Formal Document Issued by Commission pursuant to Part 8 of Commission’s Rules, 16 NYCRR 8

Drafts

 

Guidance Documents/
Policy Statements

Formal Document Issued by Commission

Exhibits

Prefiled Exhibits
Hearing Exhibits (marked and/or moved into evidence at hearing)

Joint Proposals and Stipulations

Joint Proposal
Settlement agreement
Summary of Joint Proposal or Settlement Agreement
Statement in Support of Settlement Agreement or Joint Proposal
Statement in Opposition to Settlement Agreement or Joint Proposal
Further Responses/Replies to Statements in Support of or Opposition to Settlement Agreements or Joint Proposals
(Cover letter included with filed document)

Letter

Letter from the Secretary that has legal significance, e.g.,
Letter from the Secretary in an Article VII case that an application is or is not deemed complete and filed
Letter from Secretary denying petition for rehearing as failing to meet the standard for rehearing in rules
Letter from Secretary dismissing an interlocutory appeal as failing to establish extraordinary circumstances
Letter from Office Director under delegated authority, e.g., granting CPCNs, tariff approvals, or cable temporary operating authority
Letter from Office Director establishing requirements or calling for filings
Letter from Office Director notifying applicant of approval by operation of law

NOTE 1:  This category is reserved for outgoing letters issuing from the Commission or the Department of Public Service and is not used for incoming correspondence.
NOTE 2:  This category does not include general public correspondence from the Secretary in response to a letter sent to the Commission, where no further action is expected of the recipient.  See “Correspondence” category, above.

Maps and Figures

Maps
Diagrams
Photos

Memorandum

Filed memorandum that has been considered by Commission at a formal session

Memorandum and Resolution

Relates exclusively to hard rulemaking procedures

Motions

Formal requests for a ruling or order
Motions addressed to ALJ or to Secretary
Responses or replies related to Motions
Letter motions
Motion or Request for trade secret protection or confidential treatment
Motion or Request for protective order
Request or motion for extension of time
Motion for Interlocutory Review/ Interlocutory Appeal
Response to interlocutory appeal
Motion or Request for oral arguments
Motion to dismiss
Motion to strike
Motion to compel discovery
Motion or request for hearing
Motion to recuse
(Cover letter included with filed document)

Notices

Notice of hearing, public statement hearing, or procedural conference
Notice Soliciting Comments
Notice of Suspension or Postponement of Tariff

Orders

Order
Approved as Recommended and So Ordered memorandum
Special Permission Order
Commission Memorandum, Order
and Resolution
Amending Order
Confirming Order
Postponement Order
Single Commissioner Order
Suspension Order
Further Suspension Order
Show Cause Order

Petitions

Petition
Response to petition
Initial Filings in any formal case (See NOTE below)
Petition for approval or arbitration of an interconnection agreement
Petition under Article VII to construct transmission facilities
Petition for franchise under PSL 68
Petition for a certificate of public convenience and necessity
Amendments to petitions, including those under Articles VII, VIII and IX, CPCNs, etc.
Petition for approval for transfers of assets, merger, corporate reorganization
Petition for approval of financing, stock issuance
Petition for approval or renewal of cable franchise
Request for temporary operating authority (cable)
Petition for authority to use deferral accounting
Petition regarding distribution of refund under PSL 113(2)
Petition for declaratory ruling
Petition for reconsideration
Petition for rehearing
Petition to amend order
Petition for clarification
(Cover letter generally included with filed document – but see NOTE below)

NOTE:  For purposes of generating a new case number, the initial document of a new matter is classified as a “petition,” regardless of how that document would otherwise be classified.  Often a cover letter serves this purpose.   E.g., the cover letter that accompanies tariff amendments and testimony in a rate case is classified as a “petition” to trigger the assignment of a case number.

Plans and Proposals

Generally filed in compliance with specific order, ruling or regulation
(Cover letter included with filed document)

Press Release

Commission News published and provided by the Department’s Public Affairs Office.

Public comments

Correspondence, letters, e-mails, form letters, post-cards, etc. from general public, including ratepayers or any other entity not an active party in a case, commenting on a particular case or matter.
“Petition” type documents consisting of a statement of position followed by multiple signatures, where signatories are not parties to case
Formal resolutions from local governmental entities, organizations, unions, associations, etc., who are not parties to a case, stating one or more positions or comments about a pending matter.

See NOTES under “correspondence” category

Recommended Decisions

 

Reports

Staff White Paper
Annual Report
Report submitted in compliance with a specific order
Report required to be filed by regulation
(Cover letter included with filed document)

Rulings

Ruling on procedure or schedule
Ruling on motion, granting motion, denying motion
Ruling adopting a protective order
Trade secret determinations by Records Access Officer or ALJ
Secretary’s decision on appeal of trade secret ruling
Letter from the Secretary giving one or more parties more time to file comments or briefs or modifying page limits.

NOTE:  Most rulings will be by ALJ, or, where matter is not pending before an ALJ, by Secretary or Records Access Officer

Tariffs

Cover letter (but see NOTE under “Petition”)
Compliance tariff
Initial tariff filing (but see NOTE under “Petition”)
Original tariff
Revised tariff filing
Supplement - Adoption
Supplement - Cancellation
Supplement - Postponement
Supplement - Suspension
Supplement - Terminate Suspension
Supplement - Vacate Suspension
Statement
Addenda

Testimony

(All testimony in this category is prefiled testimony.  Once it is entered onto the record at a hearing, it is reflected instead in the “transcript” document.)
Direct Testimony
Rebuttal testimony
Responsive testimony
Surrebuttal testimony
(Includes Confidential testimony)
(Cover letter generally included with filed document, but see NOTE under “Petition”)

Transcripts

Stenographer’s record of Commission sessions, evidentiary hearings; procedural conferences, public statement hearings, technical conferences, prehearing conferences, (including confidential information, usually segregated in a separate document)

Workpapers