Source: https://regulations.vlex.com/vid/practice-procedure-electronic-filing-22698748
Timestamp: 2019-12-08 10:01:28
Document Index: 766291255

Matched Legal Cases: ['arts 1201', 'arts 1201', 'ART 1203', 'art 1203', 'ART 1208', 'art 1208', 'ART 1209', 'art 1209']

Practice and procedure: Electronic filing; implementation, - September 27, 2004 - Regulations - VLEX 22698748
[Page 57627-57632]
[DOCID:fr27se04-1]
5 CFR Parts 1201, 1203, 1208, and 1209
SUMMARY: The Merit Systems Protection Board (MSPB or the Board) is amending the rules of practice and procedure that govern how participants in Board proceedings file and receive documents in electronic form. This change reflects an upgrade to e-Appeal, the MSPB's Web-based application for electronic filing (e-filing). Previously, only new appeals could be filed via the Internet, with electronic filing thereafter restricted to using e-mail. E-filers can now use the e-Appeal site to file almost any type of pleading.
DATES: This rule is effective September 27, 2004. Written comments should be submitted on or before November 29, 2004.
ADDRESSES: Submit comments to the Office of the Clerk of the Board, Merit Systems Protection Board, 1615 M Street, NW., Washington, DC 20419. Comments may be submitted by regular mail to this address, by facsimile to (202) 653-7130, or by e-mail to mspb@mspb.gov.
FOR FURTHER INFORMATION CONTACT: Timothy Korb, Merit Systems Protection Board, 1615 M Street, NW., Washington, DC 20419; (202) 653-7200; fax: (202) 653-7130; or e-mail: mspb@mspb.gov.
SUPPLEMENTARY INFORMATION: When the MSPB instituted electronic filing on October 20, 2003 (68 FR 59859), its Web-based application was available only for the filing of new appeals. The only tool available to those who wanted to engage in e-filing thereafter was e-mail. E- Appeal (https://e-appeal.mspb.gov) has become quite popular over the
past year, and presently accounts for about 10% of new appeals filed. By contrast, few have elected to engage in e-filing via e-mail. The Board has now upgraded e-Appeal so that it can accommodate virtually any type of pleading. Filing pleadings via e-Appeal will have several advantages for e-filers compared to filing by e-mail: (1) They will have access to context-specific Help text and links; (2) should they choose to do so, e-filers will have the option of submitting pleadings and attachments in the form of declarations made under penalty of perjury; (3) they can choose between entering their pleadings online and uploading them as electronic files; and (4) they will not be required to disclose their e-mail addresses to anyone except the MSPB.
E-filers will be able to submit ``hybrid'' pleadings, in which part of a pleading is submitted in electronic form, and the rest is submitted in paper form. (1201.14(g))
Although numerous sections of the Board's regulations required minor revision in light of the upgrade to e-Appeal, the primary rules governing e-filing can be found in Sec. 1201.14 (formerly 1201.5).
Administrative practice and procedure, Government employees, Whistleblowing.
0 Accordingly, the Board amends 5 CFR parts 1201, 1203, 1208, and 1209 as follows:
0 2. Section 1201.4 is amended by deleting paragraph (o), and by revising paragraphs (i), and (k) through (n) as follows:
Sec. 1201.4 General definitions.
(i) Service. The process of furnishing a copy of any pleading to Board officials, other parties, or both, by mail, by facsimile, by commercial or personal delivery, or by electronic filing (e-filing) in accordance with Sec. 1201.14. * * * * *
(k) Certificate of service. A document certifying that a party has served copies of pleadings on the other parties or, in the case of paper documents associated with electronic filings under paragraph (g) of Sec. 1201.14, on the Board.
(m) Electronic filing (e-filing). Filing and receiving documents in electronic form in proceedings within the Board's appellate or original jurisdiction in accordance with Sec. 1201.14.
(n) E-filer. A party or representative who has registered to engage in e-filing under paragraph (e) of Sec. 1201.14.
Sec. 1201.5 [Redesignated and revised]
0 3. Section 1201.5 is redesignated as Sec. 1201.14, and revised to read as follows:
(1) File any pleading, including a new appeal, in any matter within the Board's appellate jurisdiction (Sec. 1201.3);
(2) File any pleading, other than the original complaint or request, in any matter within the Board's original jurisdiction (Sec. 1201.2);
(3) File a petition for enforcement of a final Board decision (Sec. 1201.182);
(4) File a motion for attorney fees as a prevailing party (Sec. 1201.203);
(5) File a motion for compensatory or consequential damages (Sec. 1201.204);
(6) Designate a representative, revoke such a designation, or change such a designation (Sec. 1201.31); or
(1) File the original complaint or request in a matter within the Board's original jurisdiction, which includes: a complaint filed by the Special Counsel seeking corrective or disciplinary action (Sec. Sec. 1201.122, 1201.128); a request by the Special Counsel for the stay of certain personnel actions (Sec. 1201.134); a proposal to take action against an administrative law judge under 5 U.S.C. 7521 (Sec. 1201.137); or a request for a hearing on a proposed removal of a career appointee from the Senior Executive Service for performance reasons (Sec. 1201.143);
(2) File a request to hear a case as a class appeal or any opposition thereto (Sec. 1201.27);
(3) Serve a subpoena (Sec. 1201.83); or
(4) File a pleading with the Special Panel (Sec. 1201.137).
(d) Internet is sole venue for electronic filing. Following the instructions at the Board's e-Appeal site (https://e-appeal.mspb.gov)
is the only method allowed for filing electronic pleadings with the Board. The Board will not accept pleadings filed by electronic mail.
(e) Registration as an e-filer. (1) Except when filing a new appeal within the Board's appellate jurisdiction (Sec. 1201.3), no party or representative may file an electronic pleading with the Board unless he or she has registered with the Board as an e-filer. Registration as an e-filer constitutes consent to accept electronic service of pleadings filed by other registered e-filers and documents issued by the Board.
(f) Form of electronic pleadings--(1) Options for e-filing. An appellant or representative using e-Appeal to file a new appeal within the Board's appellate jurisdiction (Sec. 1201.3) must complete the structured interview at the Board's e-Appeal site (https://e-appeal.mspb.gov ). For all other pleadings, the e-filer has the option
of uploading an electronic file or entering
the text of the pleading online. Regardless of the means of filing a particular pleading, the e-filer will be allowed to submit supporting documentation as attachments, in both electronic and paper form, as described in paragraphs (f)(2) and (f)(3) of this section.
(2) Electronic formats allowed. The Board will accept numerous electronic formats, including word-processing and spreadsheet formats, Portable Document Format (PDF), and image files (files created by scanning). A list of formats allowed can be found at the Board's e- Appeal site. All electronic documents must be formatted so that they will print on standard 8\1/2\ inch by 11 inch paper.
(j) Affidavits and Declarations made under penalty of perjury. Registered e-filers may submit electronic pleadings in the form of declarations made under penalty of perjury under 28 U.S.C. 1746, as described in Appendix IV of this part. If the declarant is someone other than the e-filer, a physically signed affidavit or declaration should be uploaded as an image file, or submitted separately as a non- electronic document under paragraph (g) of this section.
(m) Authority of a judge or the Clerk to regulate e-filing--(1) In the event that the Board or any party encounters repeated or unexplained difficulties filing, serving, or receiving electronic documents, the judge or the Clerk of the Board may order one or more parties to cease filing pleadings by e-filing, cease serving documents in electronic form, or take both these actions. In such instances, filing and service shall be undertaken in accordance with Sec. 1201.26. The authority to order the cessation of the use of electronic filing may be for a particular submission, for a particular time frame, or for the duration of the pendency of a case.
0 4. Section 1201.22 is amended by revising paragraphs (d) and (e), and by deleting paragraph (f) to read as follows:
(d) Method of filing an appeal. Filing of an appeal must be made with the appropriate Board office by commercial or personal delivery, by facsimile, by mail, or by electronic filing under Sec. 1201.14.
(e) Filing a response. Filing of a response must be made with the appropriate Board office by commercial or personal delivery, by facsimile, by mail, or by electronic filing under Sec. 1201.14.
0 5. Section 1201.24 is amended by revising paragraphs (a) introductory text, (a)(9), and (c) to read as follows:
Sec. 1201.24 Content of an appeal; right to hearing.
(a) Content. Only an appellant, his or her designated representative, or a party properly substituted under Sec. 1201.35 may file an appeal. Appeals may be in any format, including letter form. An appeal may be filed in electronic form provided that the requirements of Sec. 1201.14 have been satisfied. All appeals must contain the following: * * * * *
(9) The signature of the appellant or, if the appellant has a representative, of the representative. If the appeal is electronically filed, compliance with Sec. 1201.14 and the directions at the Board's e-Appeal site (https://e-appeal.mspb.gov) satisfy the signature
requirement. * * * * *
(c) Use of Board form or electronic filing. An appellant may comply with paragraph (a) of this section, and with Sec. 1201.31, by completing MSPB Form 185, or by completing all requests for information marked as required at the e-Appeal site (https://e-appeal.mspb.gov).
MSPB Form 185 can be accessed at the Board's Web site (http://www.mspb.gov ).
0 6. Section 1201.26 is amended by revising paragraphs (a), (b)(2), and (c) to read as follows:
Sec. 1201.26 Number of pleadings, service, and response.
(a) Number. The appellant must file two copies of both the appeal and all attachments with the appropriate Board office, unless the appellant files an appeal in electronic form under Sec. 1201.14. * * * * *
(b)(2) Service by the parties. The parties must serve on each other one copy of each pleading, as defined by Sec. 1201.4(b), and all documents submitted with it, except for the appeal. They may do so by mail, by facsimile, by commercial or personal delivery, or by electronic filing in accordance with Sec. 1201.14. Documents and pleadings must be served upon each party and each representative. A certificate of service stating how and when service was made must accompany each pleading. The parties must notify the appropriate Board office and one another, in writing, of any changes in the names, or addresses on the service list.
(c) Paper size. Pleadings and attachments must be filed on 8\1/2\ by 11-inch paper, except for good cause shown. This requirement enables the Board to comply with standards established for U.S. courts. All
electronic documents must be formatted so that they will print on 8\1/ 2\ by 11-inch paper.
0 7. Section 1201.27 is amended by revising paragraph (d) to read as follows:
Sec. 1201.27 Class appeals.
(d) Electronic filing. A request to hear a case as a class appeal and any opposition thereto may not be filed in electronic form. Subsequent pleadings may be filed and served in electronic form, provided that the requirements of Sec. 1201.14 are satisfied.
0 8. Section 1201.31 is amended by revising paragraph (a) to read as follows:
Sec. 1201.31 Representatives.
(a) Procedure. A party to an appeal may be represented in any matter related to the appeal. Parties may designate a representative, revoke such a designation, and change such a designation in a signed submission, submitted as a pleading. * * * * *
0 9. Section 1201.114 is amended by revising paragraphs (c) and (h) to read as follows:
(c) Place for filing. A petition for review, cross petition for review, responses to those petitions, and all motions and pleadings associated with them must be filed with the Clerk of the Merit Systems Protection Board, Washington, DC 20419, by commercial or personal delivery, by facsimile, by mail, or by electronic filing in accordance with Sec. 1201.14. * * * * *
(h) Service. A party submitting a pleading must serve a copy of it on each party and on each representative, as required by paragraph (b)(2) of Sec. 1201.26.
0 10. Section 1201.122 is amended by revising paragraphs (b) and (e) to read as follows:
Sec. 1201.122 Filing complaint; serving documents on parties.
(b) Initial filing and service. The Special Counsel must file two copies of the complaint, together with numbered and tabbed exhibits or attachments, if any, and a certificate of service listing each party or the party's representative. The certificate of service must show the last known address, telephone number, and facsimile number of each party or representative. The Special Counsel must serve a copy of the complaint on each party or the party's representative, as shown on the certificate of service. The initial filing in a complaint may not be submitted in electronic form. * * * * *
(e) Electronic filing. All pleadings, other than the complaint, may be filed and served in electronic form at the Board's e-Appeal site (https://e-appeal.mspb.gov), provided the requirements of Sec. 1201.14
0 11. Section 1201.128 is amended by revising paragraphs (b) and (e) to read as follows:
(b) Initial filing and service. The Special Counsel must file two copies of the complaint, together with numbered and tabbed exhibits or attachments, if any, and a certificate of service listing the respondent agency or the agency's representative, and each person on whose behalf the corrective action is brought. The certificate of service must show the last known address, telephone number, and facsimile number of the agency or its representative, and each person on whose behalf the corrective action is brought. The Special Counsel must serve a copy of the complaint on the agency or its representative, and each person on whose behalf the corrective action is brought, as shown on the certificate of service. The initial filing in a complaint may not be submitted in electronic form. * * * * *
0 12. Section 1201.134 is amended by revising paragraphs (d) and (g) to read as follows:
(d) Initial filing and service. The Special Counsel must file two copies of the request, together with numbered and tabbed exhibits or attachments, if any, and a certificate of service listing the respondent agency or the agency's representative. The certificate of service must show the last known address, telephone number, and facsimile number of the agency or its representative. The Special Counsel must serve a copy of the request on the agency or its representative, as shown on the certificate of service. The initial filing in a request for a stay may not be submitted in electronic form. * * * * *
(g) Electronic filing. All pleadings, other than the complaint, may be filed and served in electronic form at the Board's e-Appeal site (https://e-appeal.mspb.gov), provided the requirements of Sec. 1201.14
0 13. Section 1201.137 is amended by revising paragraphs (c) and (f) to read as follows:
Sec. 1201.137 Covered actions; filing complaint; serving documents on parties.
(c) Initial filing and service. The agency must file two copies of the complaint, together with numbered and tabbed exhibits or attachments, if any, and a certificate of service listing each party or the party's representative. The certificate of service must show the last known address, telephone number, and facsimile number of each party or representative. The agency must serve a copy of the complaint on each party or the party's representative, as shown on the certificate of service. The initial filing in a complaint may not be submitted in electronic form. * * * * *
(f) Electronic filing. All pleadings, other than the complaint, may be filed and served in electronic form at the Board's e-Appeal site (https://e-appeal.mspb.gov), provided the requirements of Sec. 1201.14
0 14. Section 1201.143 is amended by revising paragraphs (c) and (f) to read as follows:
(c) Initial filing and service. The appointee must file two copies of the request, together with numbered and tabbed exhibits or attachments, if any, and a certificate of service listing the agency proposing the appointee's removal or the agency's representative. The certificate of service must show the last known address, telephone number, and facsimile number of the agency or its representative. The appointee must serve a copy of the request on the agency or its representative, as shown on the certificate of service. The initial filing may not be submitted in electronic form. * * * * *
0 15. Section 1201.153 is amended by revising paragraph (b) to read as follows:
(b) Use of Board form or Internet filing option. An appellant may comply with paragraph (a) of this section by completing MSPB Form 185, or by completing all requests for information marked as required at the e-Appeal site (https://e-appeal.mspb.gov). MSPB Form 185 can be
accessed at the Board's Web site (http://www.mspb.gov).
0 16. Section 1201.173 is amended by revising paragraph (k) to read as follows:
PART 1203--[AMENDED]
0 17. The authority citation for part 1203 continues to read as follows:
0 18. Section 1203.13 is amended by revising paragraph (d) to read as follows:
Sec. 1203.13 Filing pleadings.
(d) Method and date of filing. An initial filing in a request for review of a regulation may be filed with the Office of the Clerk by mail, by commercial or personal delivery, or by facsimile. Pleadings, other than an initial request for a regulation review under this part, may be filed with the Office of the Clerk by mail, by commercial or personal delivery, by facsimile, or by e-filing in accordance with Sec. 1201.14 of this chapter. If the document was submitted by certified mail, it is considered to have been filed on the mailing date. If it was submitted by regular mail, it is presumed to have been filed five days before the Office of the Clerk receives it, in the absence of evidence contradicting that presumption. If it was delivered personally, it is considered to have been filed on the date the Office of the Clerk receives it. If it was submitted by facsimile, the date of the facsimile is considered to be the filing date. If it was submitted by commercial delivery, the date of filing is the date it was delivered to the commercial delivery service. If it was submitted by e-filing, it is considered to have been filed on the date of electronic submission. * * * * *
0 19. Section 1203.14 is amended by revising paragraph (c) to read as follows:
Sec. 1203.14 Serving documents.
(c) Electronic filing. Other than the initial request for a regulation review, pleadings in a regulation review proceeding may be filed with the Board and served upon other parties by electronic filing, provided the requirements of Sec. 1201.14 of this chapter are satisfied.
0 20. Section 1203.22 is amended by revising paragraph (a) to read as follows:
Sec. 1203.22 Enforcement of order.
(a) Any party may ask the Board to enforce a final order it has issued under this part. The request may be made by filing a petition for enforcement with the Office of the Clerk of the Board and by serving a copy of the petition on each party to the regulation review. The request may be filed in electronic form, provided the requirements of Sec. 1201.14 are satisfied. The petition must include specific reasons why the petitioning party believes that there has been a failure to comply with the Board's order. * * * * *
PART 1208--[AMENDED]
0 21. The authority citation for part 1208 continues to read as follows:
0 22. Section 1208.13 is amended by revising paragraph (c) to read as follows:
Sec. 1208.13 Content of appeal; request for hearing.
(c) Electronic filing. An appeal may be filed electronically by using the Board's e-Appeal site (https://e-appeal.mspb.gov) in
accordance with Sec. 1201.14 of this chapter.
0 23. Section 1208.14 is revised to read as follows:
Sec. 1208.14 Representation by Special Counsel.
The Special Counsel may represent an appellant in a USERRA appeal before the Board. A written statement (in any format) that the appellant submitted a written request to the Secretary of Labor that the appellant's complaint under 38 U.S.C. 4322(a) be referred to the Special Counsel for litigation before the Board, and that the Special Counsel has agreed to represent the appellant, will be accepted as the written designation of representative required by 5 CFR 1201.31(a). The designation of representative may be filed by electronic filing, provided the requirements of Sec. 1201.14 of this chapter are satisfied.
0 24. Section 1208.23 is amended by revising paragraph (c) to read as follows:
Sec. 1208.23 Content of appeal; request for hearing.
0 25. Section 1208.24 is amended by revising paragraph (a) to read as follows:
Sec. 1208.24 Election to terminate MSPB proceeding.
(a) Election to terminate. At any time beginning on the 121st day after an appellant files a VEOA appeal with the Board, if a judicially reviewable Board decision on the appeal has not been issued, the appellant may elect to terminate the Board proceeding as provided under 5 U.S.C. 3330b and file a civil action with an appropriate United States district court. Such election must be in writing, signed, filed with the Board office where the appeal is being processed, and served on the parties. The election is effective immediately on the date of receipt by the Board office where the appeal is being processed. The election may be filed by electronic filing, provided the requirements of Sec. 1201.14 of this chapter are satisfied. * * * * *
PART 1209--[AMENDED]
0 26. The authority citation for part 1209 continues to read as follows:
0 27. Section 1209.6 is amended by revising paragraph (d) to read as follows:
Sec. 1209.6 Content of appeal; right to hearing.
(d) Electronic filing. An appeal may be filed electronically by using the Board's e-Appeal site (https://e-appeal.mspb.gov) in
0 28. Section 1209.8 is amended by deleting paragraphs (e) and (f), and by revising paragraph (d) to read as follows:
Sec. 1209.8 Filing a request for a stay.
(d) Method of filing. A stay request must be filed with the appropriate Board regional or field office by mail, by facsimile, by commercial or personal delivery, or by electronic filing in accordance with Sec. 1201.14 of this chapter. * * * * *
Dated: September 22, 2004. Bentley M. Roberts, Jr., Clerk of the Board.