Filing Documents with the Secretary

The Commission and the Siting Board both require filing of all documents before their respective bodies.

The Public Service Commission’s (PSC) regulations, 16 New York Codes, Rules and Regulations (NYCRR) §3.5, states that: all “documents” (pleadings, briefs, applications, petitions, complaints, and any others offered) are to be filed with the Secretary. This same requirement applies to filings to the NYS Board on Electric Generation Siting and the Environment (Siting Board). See 16 NYCRR § 1000.3. These regulations govern all filings before the Commission and the Board.

Filings must consist of:

1. A filing letter addressed to the Secretary and
2. The document(s) to be filed in the Department’s Document and Matter Management (DMM) System.

Additional requirements exist for filing confidential documents (see instructions for filing confidential documents). Electronic filing through DMM is the preferred method for submitting documents. The following links will guide you through the electronic filing process:

• Why Register with DMM?
• How to Register with DMM
• DMM E-filer Manual

If you do not choose to use electronic filing, both the filing letter and documents to be filed in DMM should be emailed or mailed directly to the Secretary at the addresses below. (See Contacting the Secretary).

Unless designated as confidential, all filings received by the Secretary will be deemed to be public and will be posted to the Department’s web site. See instructions for filing confidential documents.

1. Format
   • Documents must be formatted for an 8-1/2” by 11” page, with one inch margins on all four sides. Exhibits attached to paper filings must be folded to the same size.
   • Documents must have a font size no smaller than 11-point, with 1.5 line spacing. Footnotes and lengthy quotations may be single-spaced.
2. Requirements
   • The filing letter must include:
     • 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.
   • All submissions must be filed no later than 4:30 PM on the due date. Documents filed after 4:30 PM will be dated and processed on the next business day.
   • Official verified documents may be submitted electronically as long as a verification statement is provided with the filing.
   • Copyrighted material must be identified as such and will not be posted without the written consent of the Copyright owner.
3. Technical Requirements
   • Electronic submissions must be no larger than 25 MB. If the filing is larger, it must be submitted in separate documents no larger than 25 MB.
   • Electronic files must not be zipped or password protected.
   • Electronic documents must be in either a text-searchable pdf format or excel format, these are universally-recognized formats that enable documents to be opened and searched.
   • Electronic documents that contain hyperlinks must have the links disabled.
   • Graphics may be included in an electronic document; however, maps, diagrams, charts, schematics, and drawings may be submitted either as an electronic document or separately on a CD or DVD as a PDF document, or in hard copy.
   • Guidelines for submitting maps as PDFs:
     • Maximum document size is ANSI E (34 x 44);
     • Embed all fonts in the PDF document;
     • The original map document is intended to be printed on ANSI E sized paper; and
     • The digital map must be saved or exported to PDF.

When filing confidential documents with the Department’s Records Access Officer (RAO) via the preferred DMM E-filing system, each filing should include 4 documents:

1. A filing letter addressed to the Secretary
2. A redacted copy of the document
3. A filing letter addressed to the RAO, which sets forth the basis for the request for confidentiality, and
4. A copy of the confidential document

The first three documents will be filed publicly on the Department’s DMM System. The confidential document will be retained as confidential by the RAO in accordance with the Public Officers Law. For every confidential document submitted, a redacted copy must also be submitted.

Please be advised that blanket redacted documents (completely or substantially blacked-out documents) filed with the Secretary are not acceptable. Only those portions of the document for which confidentiality has been sought may be redacted.

When an Administrative Law Judge (ALJ) is presiding over a proceeding, confidential documents should be filed with the ALJ, not the RAO, in accordance with the procedures ALJ has established in the proceeding. If a Protective Order in a case has been issued, the Protective Order governs the treatment of confidential documents and such documents should only be sent in accordance with the provisions of that Protective Order.

• If you are a registered E-Filer: the four documents should be uploaded and submitted directly into DMM.
• If you are not a registered E-Filer:
  • A filing letter addressed to the Secretary and a redacted copy of the document should be sent to the Secretary (See “Contacting the Secretary” below).
  • A filing letter addressed to the RAO which sets forth the basis for the request for confidentiality, and a copy of the confidential document should be sent to the RAO (See “Contacting the RAO” below).
• Confidential documents should be filed with the RAO, and not sent to DPS staff or the Secretary’s Office. However, where an ALJ has been assigned to a case, confidential documents should be filed with the ALJ.
• Responses to discovery/interrogatory requests should only be filed with the RAO if confidentiality is sought and no ALJ has been assigned. The name of the DPS staff member who issued the request and the matter/case number should be included. Please contact the DPS staff requesting documents if the matter/case number is not known. Electronic Filing through DMM should NOT be used to file discovery responses.

Read the Confidential Document Submissions Guidelines.

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.
• A contract that applies to multiple utilities within a multi-utility holding company should identify each utility.
   

Requests
Any requests for exceptions from the rules or guidelines, or extensions of deadlines should be made to the Secretary in advance of the deadline.

Major Rate and Siting (Article VII - Transmission and Article 10 - Generation) Filings
For Initial Major Rate and Article VII filings and for Preliminary Scoping Statement and Application filings under Article 10, please contact the Office of the Secretary for further instructions.

Applicants in siting cases subject to an intervenor funding requirement must provide a check, made out to the NYS Department of Public Service, simultaneously with their filing. The check must be delivered to the Director of the DPS Office of Finance and Budget, under cover of a letter stating the amount of the check and identifying the case to which is relates.

• For Article 10 cases, the case number must be printed on the face of the check, and the cover letter to the Director of Finance and Budget must include the Article 10 case name and number. The letter must be copied to the Secretary of the Siting Board for filing in the Article 10 case.
• For Article VII cases, the case number will not be known when the applicant is filing its application. It may be possible to contact the Secretary’s office to learn the case number prior to submission of the check, in which case the process above regarding Article 10 filings should be followed. Article VII applicants must, at a minimum, identify the case by name on both the check and the cover letter to the Director of Finance and Budget. The letter must be coped to the Secretary of the Commission for filing in the Article VII case.

Contacting the Secretary
Hon. Michelle L. Phillips
Secretary to the Commission
New York State Public Service Commission
Agency Building 3
Albany, NY 12223-1350
Phone: 518-474-2500
Fax: 518-474-9842
E-mail: [email protected]

Contacting the RAO
Molly Magnis, Records Access Officer
New York State Department of Public Service
Agency Building 3
Albany, NY 12223-1350
Phone: 518-408-1736
E-mail: [email protected]

For Assistance with the DMM System
Phone: 518-474-3204
E-mail: [email protected]