Procedures for Electronic Filing of Documents
DROPBOX INSTRUCTIONS1) Enter your name
2) Enter your email address
3) Click the "Remember Me" checkbox if you'd like your name and email to be auto-populated each time you upload documents
4) Enter your phone number
5) Enter name of the agency of the person submitting the document
6) Enter the name(s) of the PDF document(s) you are filing (Test Claim, Incorrect Reduction Claim, etc.) in the "Comments" box
7) Click the "I'm not a robot" checkbox
8) Click "Next"
9) You can upload files by clicking the "Choose Files" button OR by dropping files into the "Drop Files Here" box. The progress bar will turn from yellow to green for each file that is uploaded. Click "Done" to submit files.
10) You will see a confirmation page confirming file delivery. You can upload more files or continue browsing.
BACKGROUNDThe Commission on State Mandates' (Commission's) regulations require all documents filed with the Commission to be electronically filed (e-filed) in an unlocked legible and searchable PDF file, using the Commission’s Dropbox. (Cal. Code Regs., tit. 2, § 1181.3(c)(1).) If e-filing would cause the filer undue hardship or significant prejudice, filing may occur by first class mail, overnight delivery or personal service only upon approval of a written request to the executive director. (Cal. Code Regs., tit. 2, § 1181.3(c)(2).) E-filing significantly reduces the use of paper and the cost of copying, paper, postage, preparation, and service.
Filing of Documents
Use the following procedures to file new matters, such as test claims, incorrect reduction claims, requests to amend parameters and guidelines, requests to revise claiming instructions, joint reasonable reimbursement methodologies and statewide estimates of costs, and documents on existing matters, such as proposed parameters and guidelines, comments and rebuttals on claims, comments on draft proposed decisions, requests to consolidate or withdraw claims, and requests for extension or postponement.
File the original to Commission staff by saving the signed original in a PDF file and filing it via the Commission's e-filing system. It is recommended that the signature page be signed and scanned and then assembled with the searchable electronic PDF document to reduce the risk of errors in the OCR process that can result in scanned documents. See generally, the DCA Guide to Electronic Document for step-by-step instructions on how to assemble and make your documents searchable: http://www.courts.ca.gov/documents/DCA-Guide-To-Electronic-Appellate-Documents.pdf. 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.
Form of Documents
File the original to the Commission by saving the signed original in a PDF file (sign and scan the signature page and assemble with the electronic PDF document) and filing it via the Commission’s e-filing system. (Cal. Code Regs., tit. 2 §1181.3(a)(1).)
"Filing date" means the date received by 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 received by the Commission's Dropbox on the website during normal business hours no later than the due date. Normal business hours are 8:00 a.m. to 5:00 p.m., not including weekends or state holidays. Filings received outside of business hours will be stamped received on the next business day.
E-Filing Failure for All DocumentsIf you do not receive the automated message, or if you do not receive confirmation from Commission staff within two business 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(a)(1)(C) of the Commission's regulations (Cal. Code Regs., tit. 2) states that re-filing may be done by agreement of the filer and Commission staff in any form for re-filing allowed by Commission regulations.
Service of Your Document
For all matters, Commission staff will prepare a mailing list that includes both mailing and email 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 email address. You are responsible for serving those persons on the mailing list who have not provided an email 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 email as follows:
- Within two business days of receipt of your document through e-filing, Commission staff will notify you via email that the document has been received and is in a legible format.
- Commission staff will then upload your document along with a proof of service and a copy of the mailing list to the Commission's website.
- As soon as possible thereafter*, Commission staff will serve everyone on the mailing list by sending an email message identifying the location on the Commission's website (URL) where your document has been posted. 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 email 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 email 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 email address, you do not need to serve anyone on the list or provide the Commission with a proof of service. However, if there are parties, interested parties, or interested persons on the mailing list without email addresses provided due to an undue hardship, 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(c) and 1181.4(a).)
Where to Find Documents on the Commission's WebsiteDocuments will be posted under "Pending Caseload" on the top ribbon of the Commission's website. Pending claims are sorted by type of claim (test claim, incorrect reduction claim, parameters and guidelines, etc.) and are listed alphabetically. 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 Caseload" until adoption of the final action for that claim. For example, incorrect reduction claims will remain under Pending Caseload until adoption of the decision or the withdrawal of the claim. Test claims will remain under Pending Caseload until 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 "Decisions" on the top ribbon of the Commission's website.
For Public CommentThe Commission will continue to post documents that are issued for comment under "For Comment" on the top ribbon of the Commission's website.
Original Signature and DocumentsUnder this e-filing system, the party submitting the documents is responsible for retaining the paper documents with original signatures for the duration of the process, including any period of appeal.
REVIEW OF ELECTRONIC FILING PROCESSIf you have comments or suggestions on the system, please email us at: email@example.com.
COMMISSION STAFF CONTACTSPlease contact us if any problems occur while e-filing, or if you have questions:
Commission on State Mandates