§ 1201.14 - Electronic filing procedures.

§ 1201.14 Electronic filing procedures.

Cross Reference

Link to an amendment published at 88 FR 67056, Sept. 29, 2023.

(a) General. This section prescribes the rules and procedures by which parties and representatives to proceedings within the MSPB's appellate and original jurisdiction may file and receive documents in electronic formelectronically.

(b) System for electronic filing.

(1) The MSPB's e-Appeal system is the exclusive system for electronic filing (e-filing) with the MSPB. Except as specifically provided, the MSPB will not accept pleadings filed by email. The link to e-Appeal is available at the MSPB's website (https://www.mspb.gov).

(2) e-Appeal is a closed system that collects and maintains records as part of an MSPB system of records and is subject to the provisions of the Privacy Act of 1974. Access to cases in e-Appeal is limited to the parties participating in a Board proceeding who have registered as e-filers with the MSPB, and authorized individuals providing legal support to designated representatives.

(c) Matters subject to electronic filing. Subject to the registration requirement of paragraph (e) of this section, parties and representatives may use

electronic filing (

e-filing

)

to do any of the following:

(1) File any pleading, including a new appeal, in any matter within the MSPB's appellate jurisdiction (§ 1201.3);

(2) File any pleading, including a new complaint, in any matter within the MSPB's original jurisdiction (§ 1201.2);

(3) File a petition for enforcement of a final MSPB decision (§ 1201.182);

(4) File a

motion

request for

an attorney fee award as a prevailing party

attorney fees (§ 1201.203);

(5) File a

motion

request for compensatory, consequential, or

consequential

liquidated damages (§ 1201.204);

(6) Designate a representative, revoke such a designation, or change such a designation (§ 1201.31);

or

(7) Notify the MSPB of a change in contact information such as address (geographic or

electronic mail

email) or telephone number; or

(8) Receive a requested subpoena from the Board for issuance to a witness (§ 1201.83).

(

c

d)Matters excluded from

electronic

e-filing.

Electronic

E-filing may not be used to:

(1) File a request to hear a case as a class appeal or any opposition thereto (§ 1201.27);

(2) Serve a subpoena on a witness (§ 1201.83);

(3) File a pleading with the Special Panel (§ 1201.137);

(4) File a pleading that contains Sensitive Security Information (SSI) (49 CFR parts 15 and 1520);

(5) File a pleading that contains classified information (32 CFR part 2001); or

(6) File a request to intervene or participate as an amicus curiae or file a brief as amicus curiae pursuant to § 1201.34

of this part

.

(

d) Internet is sole venue for electronic filing. Following the instructions at

(e) Registration e

-Appeal Online, the MSPB's e-Appeal site (https://e-appeal.mspb.gov), is the only method allowed for filing electronic pleadings with the MSPB. The MSPB will not accept pleadings filed by electronic mail (e-mail).

) Registration as an e-filer.

(1) The exclusive means to register as an e-filer is to follow the instructions at e-Appeal using a unique email address.

(

1

2) Registration as an e-filer constitutes consent to accept electronic service of pleadings filed by other

registered

e-filers and documents issued by the MSPB.

Except when filing

No one may electronically file a new appeal

within

or a pleading with the MSPB

's appellate jurisdiction (§ 1201.3)

,

no party or representative may file an electronic pleading with the MSPB unless he or she has registered with the MSPB

or view the case record in an assigned appeal, unless registered as an e-filer.

(

2) With the exception of a designation of a representative by a party who is an individual, the exclusive means for a party or representative to register

3) Registration as an e-filer

during an MSPB proceeding is to follow the instructions at e-Appeal Online (https://e-appeal.mspb.gov).

(3) When a party who is an individual is represented, the party and the representative can make separate determinations whether to register as an e-filer. For example, an appellant may file and receive pleadings and MSPB documents by non-electronic means, even though his or her representative has registered as an e-filer. When a party has more than one representative, however, all representatives must choose the same method of service.

(4) A party or representative may withdraw his or her registration as an e-filer

applies to all MSPB proceedings with which the e-filer is associated in their e-Appeal role (appellant, appellant representative, or agency representative). If an individual requires more than one e-Appeal role (e.g., appellant and appellant representative), they must register for each role separately using a different email address.

(4) All notices, orders, decisions, and other documents issued by the MSPB, as well as all pleadings filed by parties, will be made available for viewing and downloading at e-Appeal. Access to documents at e-Appeal is limited to the parties and representatives who are registered e-filers in the appeals in which they were filed.

(5) Agency representatives and appellant attorney representatives must register as e-filers.

(6) Each e-filer must promptly update their e-Appeal profile and notify the MSPB and other participants of any change in their address, telephone number, or email address by filing a pleading in each pending proceeding with which they are associated.

(7) An appellant or an appellant non-attorney representative may withdraw their registration as an e-filer pursuant to requirements set forth in e-Appeal policies posted to the MSPB's website. Such withdrawal means that, effective upon the MSPB's

receipt

processing of

this

a proper withdrawal, pleadings and MSPB documents will no longer be served on that person

in electronic form

electronically and that person will no longer have electronic access to their case records through e-Appeal. A withdrawal of registration as an e-filer may

be filed at e-Appeal Online, in which case service is governed by paragraph (j) of this section, or by non-electronic means, in which case service is governed by § 1201.26(b). (5) Registration

preclude future re-registering as an e-filer

applies only to a single MSPB appeal or proceeding. If an appeal is dismissed without prejudice, however, and is later refiled, an election of e-filing status will remain in effect. An election of e-filing status will also remain in effect for purposes of filing a petition for enforcement under Subpart F of this part, or filing a motion for an attorney fee award or compensatory or consequential damages under Subpart H of this Part.

(6) Each e-filer must notify the MSPB and other participants of any change in his or her e-mail address. When done via e-Appeal Online, such notification is done by selecting the “Pleading” option.

(f) e-Filing not mandatory for e-filers. A party or representative who has registered as an e-filer may file any pleading

.

(f) Pleadings by e-filers. Agency representatives and appellant attorney representatives must file all pleadings using e-Appeal, except those pleadings excluded from e-filing by paragraph (d) of this section. A pleading, or any part thereof, filed by non-electronic means, i.e., via postal mail, faxfacsimile, or personal or commercial delivery, may be rejected.

(2) Electronic formats allowed. The MSPB will accept

(g) Form of electronic pleadings —

(1) Options for e-filing. An appellant or representative using e-Appeal Online to file a new appeal within the MSPB's appellate jurisdiction (§ 1201.3) must complete the structured interview at that 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 such as attachments, in either electronic or paper form, as described in paragraphs (g)(2), (g)(3), and (h) of this section.

Agency Initial Contacts.

(1) Agencies are required to designate a specific individual as an initial agency representative to whom the Board will serve a copy of an appeal when it is docketed. Agency initial contacts are responsible for monitoring case activity regularly at e-Appeal.

(2) Agency initial contacts must be designated pursuant to requirements set forth in e-Appeal policies posted to the MSPB's website.

(h) Form of electronic pleadings —

(1) Electronic formats allowed. E-Appeal accepts 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

is set forth in e-Appeal

Online. All electronic documents

policies posted to the MSPB's website. Pleadings filed via e-Appeal must be formatted so that they will print on

standard

81⁄2-inch by 11-inch paper in portrait orientation.

(3

Parties are responsible for reviewing all pleadings to confirm legibility and to minimize the inclusion of nonrelevant personally identifiable information.

(2) Requirements for pleadings with

3 or more

electronic attachments. An e-filer who uploads

3 or more

supporting documents, in addition to the document that constitutes the primary pleading, must identify each attachment, either by

filling out the table for such attachments at

bookmarking the document using e-Appeal

Online

, or by uploading the supporting documents in the form of one or more PDF files in which each attachment is bookmarked.

Each attachment must be designated with

Bookmark names must comply with requirements set forth in e-Appeal policies posted to the MSPB's website and include information such as a brief descriptive label

, which will include exhibit numbers or letters where appropriate or required,

with dates (e.g.,

“Exh

“Oct.

4b, Decision Notice.”

(h) Hybrid pleadings that include both electronic and paper documents. An e-filer may file a hybrid pleading in which part of the pleading is submitted electronically, and part of the pleading consists of one or more paper documents filed by non-electronic means. All components of a hybrid pleading are subject to applicable time limits. If one or more parts of a hybrid pleading are untimely filed, the judge or the Clerk may reject the untimely part or parts while accepting timely filed parts of the same pleading.

(i) Repository at e-Appeal Online. All notices, orders, decisions, and other documents issued by the MSPB, as well as all pleadings filed via e-Appeal Online, will be made available to parties and their representatives for viewing and downloading at the Repository at e-Appeal Online. In addition, most pleadings filed at the petition for review stage of adjudication, and some pleadings filed at the regional office level, will be available at the Repository. Also available at the Repository will be an electronic “docket sheet” listing all documents issued by the MSPB to the parties, as well as all pleadings filed by the parties, including those pleadings that are not available for viewing and downloading in electronic form. Access to appeal documents at the Repository will be limited to the parties and representatives of the appeals in which they were filed.

(j

1, 2021—Decision Notice”).

(3) Submission of audio and video evidence. Audio and video evidence must be submitted according to the formatting and submission requirements set forth in e-Appeal policies posted to the MSPB's website.

(i) Service of electronic pleadings and MSPB documents.

(1) When MSPB documents are issued

,

or when parties e-

mail messages will be sent to e-filers that notify them of the issuance and that contain links to the Repository where the documents can be viewed and downloaded. Paper copies of these documents will not ordinarily be served on e-filers. Pleadings submitted via e-Appeal Online will be available to parties and representatives at the e-Appeal Online Repository, and the MSPB will send e-mail messages to other e-filers notifying them of each pleading, with a link to the Repository

file any pleadings, e-Appeal will send an email notification to other parties who are e-filers. When using e-Appeal

Online

to file a pleading, e-filers will be notified of all documents that must be served by non-electronic means, and they must certify that they will serve all such documents no later than the first business day after the electronic submission.

(2) Delivery of

e-mail

email can encounter

a number of

failure points.

If the MSPB is advised of non-delivery, it will attempt to redeliver and, if that is unsuccessful, will deliver by postal mail or other means.

E-filers are responsible for ensuring that

e-mail

email from

@mspb

mspb.gov is not blocked by filters.

(3) E-filers are responsible for monitoring case activity regularly at

the Repository at

e-Appeal

Online

to ensure that they have received all case-related documents.

(

k

j) Documents requiring a signature. Electronic documents filed by

a party who has registered as

an e-filer pursuant to this section shall be deemed to be signed by the e-filer for purposes of any regulation in part 1201, 1203, 1208, or 1209 of this chapter that requires a signature.

(

l

k)Affidavits and declarations made under penalty of perjury.

Registered e

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

appendix IV to 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 (h) of this section. (m

or with an acceptable digital signature that complies with requirements set forth in e-Appeal policies posted to the MSPB's website.

(l) Date electronic documents are filed and served.

(1) As provided in § 1201.4(l) of this part, the date of filing for pleadings filed via e-Appeal

Online

is the date of electronic submission. All pleadings filed via e-Appeal

Online

are time stamped with Eastern Time, but the timeliness of a pleading will be determined based on the time zone from which the pleading was submitted. For example, a pleading filed at 11 p.m. Pacific Time on August 20 will be stamped by e-Appeal

Online

as being filed at 2 a.m. Eastern Time on August 21. However, if the pleading was required to be filed with the Washington Regional Office (in the Eastern Time Zone) on August 20, it would be considered timely, as it was submitted prior to midnight Pacific Time on August 20.

(2) MSPB documents served electronically on

registered

e-filers are deemed received on the date of electronic

submission

transmission.

(

n

m)Authority of

a judge or the Clerk

MSPB to regulate e-filing.

(1)

In the event that the MSPB or any party encounters difficulties filing, serving, or receiving electronic documents, the

A 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 § 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(o

issue orders regulating the method of submissions for a particular period or particular submissions.

(2) A judge or the Clerk of the Board may require that any document filed electronically be submitted in non-electronic form and bear the written signature of the submitter.

A party receiving such an order from a judge or the Clerk of the Board shall, within 5 calendar days, serve on the judge or Clerk of the Board by postal mail, by fax, or by commercial or personal delivery a signed, non-electronic copy of the document.

(3) The MSPB may order any party or authorized individual to cease participation as an e-filer or access to e-Appeal in circumstances that constitute a misuse of the system or a failure to comply with law, rule, regulation, or policy governing use of a U.S. government information system.

(4) MSPB reserves the right to revert to traditional methods of service. The MSPB may serve documents via traditional means—postal mail,

fax

facsimile, commercial or personal

or commercial

delivery—at its discretion. Parties and their representatives are responsible for ensuring that the MSPB always has their current postal mailing addresses, even when they

have registered as

are e-filers.

(p)

(1) Except as provided in paragraphs (p)(2) and (3) of this section, all pleadings (including the initial appeal) except those containing classified information or Sensitive Security Information filed with the Washington Regional Office (WRO) and the Denver Field Office (DEFO) by agencies or attorneys must be e-filed. Agencies and attorneys in proceedings in the WRO and the DEFO must register as e-filers pursuant to paragraph (e) of this section.

(2) Agencies or attorneys who believe that e-filing would create an undue burden on their operations may request an exemption from the administrative judge for a specific appeal and/or pleading. Such a request shall include a specific and detailed explanation why e-filing would create an undue burden.

(3) Except in unusual circumstances, exemptions granted under this section shall apply only to pleadings that include scanned material. All other pleadings except those containing classified information or Sensitive Security Information must be e-filed. The administrative judge may periodically revisit the need for an exemption granted under this subsection, and revoke the exemption as appropriate.

[73 FR 10129, Feb. 26, 2008, as amended at 76 FR 63538, Oct. 13, 2011; 77 FR 62364, Oct. 12, 2012[88 FR 67056, Sept. 29, 2023]