E-Filing for Rule Making Notices
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Overview

  • When E-filing a Notice of Proposed Rule Making - hard copy is not required.
  • When E-filing a Notice of Adoption (including emergencies) - Before E-filing the Adoption form, attach* a scanned copy of your signed certification prepared on agency letterhead in pdf format plus the full text of the rule (with bracketing and underlining if needed) in Word format. Hard copy original certification with full text of rule attached can be submitted in lieu of the electronic submission (original and two copies).
     

    * Instructions for attaching certification and text:
    Click on the paper clip in the lower left-hand corner of the form. This will indicate the documents already attached to the rule making form. Click on add to attach additional documents. Choose the additional documents (scanned certification and text) to be included with the pdf form.

REGISTER SUBMISSION DEADLINE:

  • NON-E-filed rule makings (hard copy submissions) 5:00 p.m. every Tuesday

  •  E-filed rule makings 11:59 p.m. every Tuesday

How to Complete, Validate and Save a Form

State Agencies will continue to access the PDF forms from the Division of Administrative Rules’ webpage on the Department of State’s website.  However, users now will be able to save a completed, a partially completed or a blank form to their desktop or local area network.  At any time during the form filling process, users will be able to save, reopen and continue working on the form.

In addition to the new Save feature, the forms contain drop down menus and built-in logic which will require the user to validate each form to ensure that all required fields and/or checkboxes have been populated.

Note: When filing any Adoption (including Emergencies), attach a scanned copy of your signed certification prepared on agency letterhead in pdf format plus the full text of the rule (with bracketing and underlining if needed) in Word format. Hard copy original certification with full text of rule attached can be submitted in lieu of the electronic submission (original and two copies) on the same day as e-filed.

Note: Incorporation by reference materials still need to be submitted in hard copy.

 

Software Requirements:

Adobe Acrobat Reader Version 8 is required.  This is a free download from the Adobe Acrobat website (http://www.adobe.com)

 

Complete, Validate and Save a Form:

To complete, validate and save a form, users will perform the following steps.  At any point during the form filling process, users may attach required file(s) to the form.  See "Attach a File to the Form" below.

  1. Using the tab key or mouse pointer, the user will navigate to the various form fields, drop down menus and/or checkboxes and populate them accordingly.
  2. At any point during the form filling process, the user may select the File > Save or File > Save As from the menu option of the Adobe Acrobat Reader.  The user should name the file (form) as the 3-letter agency code followed by a point then the type of notice (prop, adopt, emerg, ep, etc.) followed by a point then the Part number being amended. If there is more than one Part use the first one. For example, DOS.emerg.1103.  The user can also exit the Adobe Acrobat Reader application at any time.
    The user can complete the form at a future time by opening the form and continue populating the fields and checkboxes.
  3. At any point during the form filling process, the user can click on the Validate button at the top of each page of the form to assess the completeness of the required fields.


If all required fields and/or attachments have been completed, when the user clicks on the Validate button, the form validation process will change the status of UNVERIFIED to VERIFIED.

If one or more of the required fields and/or attachments have not been completed, when the user clicks on the Validate button, the validation process will display a Validation Errors dialog box which lists the section(s) of the form that require population.      

The required sections that have not been properly populated will display with red highlighting.  The user will need to click on the OK button in the dialog box in order to populate the form. The user needs to populate the highlighted fields and checkboxes and revalidate the form until the UNVERIFIED status is changed to VERIFIED. 
 

  1. At any point during the form filling process, the user can select the Reset Form button found on the last page of the form.  The Reset Form button clears all populated fields and checkboxes and deletes any attachments.

When the user clicks on the Reset Form button, a warning dialog box will appear.  Clicking on the OK button clears the form of the populated data and attachments; clicking on the Cancel button cancels the “reset” functionality and retains all the populated data and attachment(s).

 

Attaching a File to the Form
  1. If a field or checkbox that requires an attachment is populated, a yellow paper clip symbol will automatically appear in the left margin of the form.
  2. Click on the yellow paper clip symbol. The Select a data file to import dialog box displays.  Navigate to the area on your desktop or local server on which the appropriate attachment for submission is stored. PLEASE NOTE: When attaching files, be sure that the file extension is not capitalized. All extensions (example, .doc, .wpd) need to be lower case.
  3. Select the appropriate file and click on the Open button in the dialog box.
    Note:  This is Adobe Acrobat Reader functionality.  Clicking on the Open button will not open your file; rather it will attach the file to the form and close the dialog box.
  4. The user can view and add attachments to the form at anytime during the form filling process by clicking on the paper clip symbol that appears in the gray area in the left margin of the screen.

 

Submitting a Completed PDF Form to the Data Capture System

When the E-file process was made available in December 2007, a letter was distributed to each rule making agency general counsel containing a username and password for that agency. Contact your general counsel’s office for user name and password.

Once an agency has completed and validated a form, the form is ready for uploading to Thomson West’s Data Capture System. Each agency has been assigned its own unique username and password to access the Data Capture System. These usernames and passwords have been sent to your agency's General Counsel and will not change unless there is a specific request to do so.

Note: Requests to change passwords must be submitted in writing from your general counsel to our general counsel.

Each agency will be able to submit up to 10 forms per upload.  Agencies will also be able to submit up to 10 zipped files per upload. 

The uploaded files (forms) will be transmitted to the Division of Administrative Rules (DAR) where the staff will process the form(s) as they do today for publishing in the weekly Register.  The transmission workflow will check to make sure that each uploaded form has been validated.  E-mail notifications will be sent to the submitting agency and the DAR.

 

Accessing Thomson West’s Data Capture System

From your desktop, open Internet Explorer and insert the following url: http://westdcs.west.thomson.com/.

Note: For those agencies that do a lot of rule making, add the url to your "favorites" list.

The Data Capture Log In screen is displayed.

Accessing Thomson West’s Data Capture System
  1. In the Login Name: and Password: fields, enter your agency’s assigned login name (username) and password.   Both the Login Name and Password are case sensitive.
  2. Click Log In
  3. The West Data Capture File Upload dialog box displays.
     
Accessing Thomson West’s Data Capture System 2
Populating the file field(s)
  1. Navigate to the File #1 (Required) field
  2. Click on the Browse button. Navigate to the location in which the completed and validated forms are stored on your desktop or local network.  Select the desired file and click on the Open button in the Choose file dialog box.
Populating the file field

 

Notes: Clicking on the Open button will not open the selected file; rather it will insert the path name and file into the File field in the Data Capture System.

Any attachments added to the forms are embedded in the form and do not need to be added separately to the Data Capture System.
 

  1. To add another file, navigate to the File #2 (Optional) field and select the next file to be uploaded. 
     
  2. When all the desired files have been added, click the Upload All option. 


Note: It is important that only verified forms are submitted to the Data Capture System. When multiple filings or zipped files are submitted to the Data Capture system, if one filing fails the submission, all the filings in that submission will fail even if they were verified.

West Data Capture File Upload: Upload Succeeded
  1. Upon a successful data capture upload, the Data Capture user interface provides a West Data Capture File Upload: Upload Succeeded message along with a Receipt Number: nyregtest-090507-104964 which represents the LoginAccountName-MMDDYY-HHMMSS.

Note: This receipt number is needed only for tracking purposes should the Data Capture File Upload fail.

Note: The rule making is not filed with DAR until a successful submission e-mail is received in the submitting agency's shared mailbox.

 

E-mail notifications

When the Data Capture Upload is successful, two e-mail notifications will be generated: One to the submitting agency and one to DAR.

  1. The Data Capture system will generate a confirmation e-mail that is sent to the submitting agency’s shared mailbox.
  2. The subject line of the e-mail will contain the date of the upload, a Receipt number, the name of the submitting agency and a Submission  status.  Any communication with the Division of Administrative Rules staff regarding a particular form submission should reference the Receipt number.
    From: West Group Data Capture System [mailto:[email protected]]
     
    Subject: [2007/10/17, Receipt #25032303, Submitting Agency : APA] : Submission successful
  3. The body of the e-mail will contain information about the submitted form or forms:

Your submitted files were: DOS.emerg.1103.pdf

- Verified

1) Notice-of-Emergency-Adoption-and-Revised-Rule-Making.pdf (size=1054882 bytes, Format = Adobe PDF, Product = NY Reg Test)
2) Notice-of-Proposed-Rule-Making-(rate-making).pdf (size=792392 bytes, Format = Adobe PDF, Product = NY Reg Test)
3) Notice-of-Withdrawal.pdf (size=822997 bytes, Format = Adobe PDF, Product = NY Reg Test)

   ** Total byte count for 4 File(s): 5340542

If the submission is successful, an e-mail notification will be sent to the submitter and to the Division of Administrative Rules.  The subject line of the e-mail will contain the following information:

  • Submitting agency abbreviation
  • Submission status of “success”
  • Date of the submission
  • A unique submission identification number

The body of the e-mail will contain a list of the names of the submitted files.  If a zip file was submitted, the e-mail will list the names of the files contained within the zip file.

If the submission failed, an e-mail notification will be sent only to the submitter.  The subject line of the e-mail will contain the following information:

  • Submitting agency abbreviation
  • Submission status of “failed”
  • Date of the submission
  • A unique submission identification number

The body of the e-mail will contain the names of the submitted files, the name of any zip file, the names of the files contained within the zip file and the name(s) of the failed file(s).  The notification will also identify the reason for the failed submission.

Note:  If multiple files are submitted in a single upload and only one file fails, the entire submission will fail and all the files contained in that submission will need to be resubmitted.

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