N.Y. Comp. Codes R. & Regs. tit. 16 § 3.5

Current through Register Vol. 46, No. 45, November 2, 2024

Section 3.5 - Documents filed with the secretary

(a) Unless modified pursuant to section 3.3(a)(1) of this Part, the following requirements apply to all documents filed with the secretary:

(1) Documents shall be filed electronically unless the filing party certifies that it is unable to do so, in which case a paper document may be filed, together with the required certification signed by the filing party or the party's representative.

(2) Any paper versions requested by the secretary must be hand-delivered no later than the day after the electronic filing or, if sent by overnight delivery service or ordinary mail, must be processed by the delivery or postal service by midnight of the same day as the filing.

(3) When a party files only paper documents pursuant to paragraph (1) of this subdivision, 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.

(b) A document presented for filing shall:

(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 double-spaced, 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.

(c) Additional requirements for electronically filed documents.

(1) Documents presented for filing electronically shall be:

(i) in a format that can be read using software that is readily available and is in widespread use by government, business and individuals; and

(ii) be electronically searchable unless the party providing the document certifies that it does not have the capability to produce a searchable file.

(2) Formats acceptable for the filing of documents will be identified from time to time by the secretary.

(3) Additional guidance on electronically filed documents will be provided from time to time by the secretary.

(d) A document presented for filing electronically will be deemed filed at the time it is received by the secretary. A document presented for filing in paper form only will be deemed filed at the time it is received at the commission's Albany office. The secretary, for the purpose of promoting the fair, orderly, and efficient conduct of the case, may authorize other arrangements.

(e) Service of documents.

(1) A party who presents a document for filing in a proceeding in which there are other parties shall at the same time serve the document on each such party. A document requesting the institution of a new proceeding shall be served on any affected utility and on such other person or entities as the secretary may direct.

(2) When a document is served by a party on another party, service shall be by electronic means unless the serving and receiving parties agree otherwise, or the secretary or presiding officer, upon a showing of good cause, authorized the use of a different means of service.

(3) Electronic service is deemed complete upon sending. If service by other means is agreed upon or authorized pursuant to paragraph (2) of this subdivision, it will be deemed complete when delivered in-hand to the addressee or when sent by United States mail or overnight delivery service.

(f) When a reply must be submitted or other action taken within a specified number of days from the service of a document, that time shall be extended by five days if service was by mail and by one day if service was made electronically or by overnight delivery.

(g) Documents filed may be amended on notice to all parties on whom the original document was served. The secretary or presiding officer may reject any amendment upon finding that its acceptance would be unfair to other parties.

(h) The requirements of this section may not be avoided by a party's use of a "letter in lieu of a brief" or similarly styled document; but this provision shall not preclude acceptance of letters and informal documents from the general public.

(i) A document requesting the commission to adopt a rule pursuant to the State Administrative Procedure Act shall include a draft of the required notice of proposed rulemaking in the form required by that statute and specified by the Department of State. If the filing party is requesting the commission to take any action on an emergency basis pursuant to section 202(6) of the State Administrative Procedure Act, the document requesting such action shall include a proposed statement, in sufficient detail to satisfy the statute, of why emergency action is needed.

(j) All documents addressed to or submitted to a presiding officer which are required to be served on all parties to a proceeding, with the exception of discovery requests and responses, must also be filed with the secretary.

N.Y. Comp. Codes R. & Regs. Tit. 16 § 3.5