Procedures for Electronic Filing of Documents

UPLOAD INSTRUCTIONS

Step 1) Enter your email address
Step 2) Enter the name of the claim for the subject.
Step 3) Add the name of the PDF document you are filing (Test Claim, IRC, etc) in the message, the name, phone number, and fax number of the person submitting the document, and the name of the agency.
Step 4) Click 'Browse...' and select file to upload.
            To upload additional files, Click 'Add another file'.
Step 5) Click 'Send It' to send file(s).

BACKGROUND

Effective January 1, 2011, the Commission's regulations have been amended to accept electronic filings (or E-filings) for all documents submitted to the Commission. The Commission encourages everyone to use the E-filing system. However, hard copies of documents may still be filed by first class mail, overnight delivery, personal service, or by fax. Submission in these formats requires the filer to serve all parties on the mailing list with hard copies of the documents. In contrast, electronic filings only require submission to the Commission's website, and service of hard copies to persons on the mailing list who have not provided an e-mail address. Commission staff will upload the document to the Commission's website and notify by e-mail all persons on the mailing list who provided an e-mail address that the document is available. Electronic filing will significantly reduce the use of paper and the cost of copying, paper, postage, and preparation. 

PROCEDURES

Submission of Documents

Use the following procedures to submit new matters, such as test claims, incorrect reduction claims, requests to amend parameters and guidelines, requests to revise claiming instructions, and submission of joint reasonable reimbursement methodologies and statewide estimate of costs, and documents on existing matters, such as proposed parameters and guidelines, comments and rebuttals on claims, comments on staff analyses, requests to consolidate or withdraw claims, and requests for extension or postponement.

Submit the original to Commission staff by saving the signed original in a PDF file and submitting it via the Commission’s e-filing system. Documents e-filed with the Commission must be in a legible and searchable format. The filer is responsible for maintaining the signed original for the duration of the process for the matter, including any period of appeal.

Go to the Commission's website at www.csm.ca.gov, click on the "Commission Dropbox" icon (on the right side of the Commission's home page) and follow the simple 5-step instructions.

Form of Documents

Submit the original to the Commission by saving the signed original in a PDF file and submitting it via the Commission’s e-filing system. (Cal. Code Regs., tit. 2 §1181.3 (a)(1))

 

Filing Date

"Filing date" means the date of delivery to the Commission's office during normal business hours. For purposes of meeting the filing deadlines required by statute, the filing is timely if it is submitted to the Commission's Dropbox on the website during normal business hours no later than the time for its filing has expired. Normal business hours are 8:00 a.m. to 5:00 p.m.

E-Filing Failure for All Documents

If you do not receive the automated message, or if you do not receive confirmation from Commission staff within two days, your document has not been received by the Commission. It is the responsibility of the person submitting the document to obtain confirmation that the Commission actually received it. In the event of failure of E-filing, once the party receives notice of failure of E-filing, the party must re-file the document by close of the next business day in order to preserve the original filing date. Section 1181.3 of the Commission's regulations (Cal. Code Regs., tit. 2) states that re-filing may be done by electronic filing, first class mail, overnight delivery, personal service, or by fax.

Service of Your Document

For all matters, Commission staff will prepare a mailing list that includes both mailing and e-mail addresses for all parties, interested parties, and interested persons. The mailing list will be uploaded to the Commission's website. The Commission's regulations specify that proof of service shall be included with any written material filed with the Commission (Cal. Code Regs., tit. 2 §1181.3(b)). As discussed below, the Commission will serve all E-filed documents on those persons on the mailing list who have provided an e-mail address. You are responsible for serving those persons on the mailing list who have not provided an e-mail address.

Service on persons who have provided an e-mail address

Pursuant to section 1181.3(a)(1)(D) "[d]ocuments e-filed with the Commission need not be otherwise served on persons that have provided an e-mail address for the mailing list." Commission staff will serve those persons via e-mail as follows:

  1. Within two business days of receipt of your document through electronic filing, Commission staff will notify you via e-mail message that the document has been received in a legible format.
  2. As soon as possible thereafter*, Commission staff will serve everyone on the mailing list by sending them an e-mail message identifying the location on the Commission website (URL) where your document will be posted that day.
  3. Commission staff will then upload your document along with a proof of service to the Commission's website. The Commission's proof of service will show that your document has been served by making it available on the Commission's website and providing notice of how to locate it to all parties, interested parties, and interested persons on the mailing list who have provided their e-mail addresses. This will satisfy the requirement that your document be served on all parties, interested parties, and interested persons on the mailing list who have provided their e-mail addresses.

*With many documents the Commission receives - such as comments and requests for extensions - Commission staff will effect service shortly after determining that the document is legible. With other documents - like initial test claims and incorrect reduction claims - Commission staff must perform a completeness review that can take up to 10 days. In these situations, Commission staff will effect service immediately after concluding its completeness review.

Service on persons who have not provided an e-mail address

If all persons on the mailing list have provided an e-mail address, you do not need to serve anyone on the list or provide the Commission with a proof of service. However, please note that participation in the Commission's e-filing process is voluntary. If there are parties, interested parties, or interested persons on the mailing list without e-mail addresses provided, you are required to serve a hard copy of your document on those parties, interested parties, and interested persons, and include a proof of service with your filing to the Commission identifying the persons served, the date of service, and the method of service. (Cal. Code Regs., tit. 2 §1181.3(a)(D))

Where to Find Documents on the Commission’s Website

Documents will be posted under "Pending Caseload" (on the right side of the home page). Pending claims will be listed alphabetically under type of claim (test claim, incorrect reduction claim, parameters and guidelines, etc.). Once you click on the name of the program, you will have access to all documents submitted on the claim by parties, and all documents on the claim issued by the Commission.

Documents pertaining to pending claims will remain on the Commission's website under "Pending Claims" until adoption of the final action for that claim. For example, incorrect reduction claims will remain under pending claims until adoption of the statement of decision or the withdrawal of the claim. Test claims will remain under Pending Claimsuntil the adoption of the statewide cost estimate or a test claim decision denying the claim. The adopted documents will be moved to another part of the website under "Commission Decisions."

For Public Comment

The Commission will continue to post documents that are issued for comment under "For Public Comment" on the left side of the Commission's home page.

Original Signature and Documents

Under this electronic filing system, the party submitting the documents is responsible for retaining the paper documents with original signatures for the duration of the test claim process, including any period of appeal.

REVIEW OF ELECTRONIC FILING PROCESS

If you have comments or suggestions on the system, please email us at csminfo@csm.ca.gov.

COMMISSION STAFF CONTACTS

Please contact us if any problems occur while electronic filing, or if you have questions:

Commission on State Mandates
916-323-3562