§ 2.302 Filing of documents.
(a) Documents filed in Commission
adjudicatory proceedings subject to this
part shall be electronically transmitted
through the E-Filing system, unless the Commission or presiding officer grants an exemption permitting an alternative
filing method or unless the filing falls within the scope of paragraph (g)(1) of this section.
(b) Upon an order from the Commission or presiding officer permitting alternative filing methods, or as otherwise set forth in Guidance for Electronic Submissions to the NRC, documents may be filed by:
(1) First-class mail: Office of the Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555–0001, Attention: Rulemakings and Adjudications Staff; or
(2) Courier, express mail, and expedited delivery services: Office of the Secretary, Sixteenth Floor, One White Flint North, 11555 Rockville Pike, Rockville, MD 20852, Attention: Rulemakings and Adjudications Staff.
(c) All documents offered for filing must be accompanied by a certificate of service stating the names and addresses of the persons served as well as the manner and date of service.
(d) Filing is considered complete:
(1) By electronic transmission when the filer performs the last act that it must perform to transmit a document, in its entirety, electronically;
(2) By first-class mail as of the time of deposit in the mail;
(3) By courier, express mail, or expedited delivery service upon depositing the document with the provider of the service; or
(4) If a filing must be submitted by two or more methods, such as a filing that the Guidance for Electronic Submission to the NRC indicates should be transmitted electronically as well as physically delivered or mailed on optical storage media, the filing is complete when all methods of filing have been completed.
(e) For filings by electronic transmission, the filer must make a good faith effort to successfully transmit the entire filing. Notwithstanding paragraph (d) of this section, a filing will not be considered complete if the filer knows or has reason to know that the entire filing has not been successfully transmitted.
(f) Digital ID Certificates.
(1) Through digital ID certificates, the NRC permits participants in the proceeding to access the E-Filing system to file documents, serve other participants, and retrieve documents in the proceeding.
(2) Any participant or participant
representative that does not have a
digital ID certificate shall request one
from the NRC before that participant or
representative intends to make its first
electronic filing to the E-Filing system.
A participant or representative may
apply for a digital ID certificate on the
NRC Web site at
(3) Group ID Certificate. A participant
wishing to obtain a digital ID certificate
valid for several persons may obtain a
group digital ID certificate. A Group ID cannot be used to file documents. The Group ID provides access to the E-Filing
system for the individuals specifically identified in the group’s application to retrieve documents recently received by
the system. The Group ID also enables a group of people, all of whom may not have individual digital ID certificates, to
be notified when a filing has been made in a particular proceeding.
(g) Filing Method Requirements.
(1) Electronic filing. Unless otherwise
provided by order, all filings must be
made as electronic submissions in a
manner that enables the NRC to receive,
read, authenticate, distribute, and
archive the submission, and process and
retrieve it a single page at a time. Detailed guidance on making electronic submissions may be found in the Guidance for Electronic Submissions to the NRC and on the NRC Web site at http://www.nrc.gov/site-help/e-submittals.html. If a filing contains sections of information or electronic formats that may not be transmitted electronically for security or other reasons, the portions not containing those sections will be transmitted electronically to the E-Filing system. In
addition, optical storage media (OSM) containing the entire filing must be physically delivered or mailed. In such cases, the submitter does not need to apply to the Commission or presiding officer for an exemption to deviate from the requirements in paragraph (g)(1) of this section.
(2) Electronic transmission
exemption. Upon a finding of good
cause, the Commission or presiding
officer can grant an exemption from
electronic transmission requirements
found in paragraph (g)(1) of this section
to a participant who is filing electronic
documents. The exempt participant is
permitted to file electronic documents
by physically delivering or mailing an
OSM containing the documents. A
participant granted this exemption
would still be required to meet the
electronic formatting requirement in paragraph (g)(1) of this section.
(3) Electronic document exemption. Upon a finding of good cause, the Commission or presiding officer can exempt a participant from both the electronic (computer file) formatting and electronic transmission requirements in paragraph (g)(1) of this section. A participant granted such an exemption can file paper documents either in person or by courier, express mail, some other expedited delivery service, or first-class mail, as ordered by the Commission or presiding officer.
(4) Requesting an exemption. A filer
seeking an exemption under paragraphs
(g)(2) or (g)(3) of this section must
submit the exemption request with its first filing in the proceeding. In the request, a filer must show good cause as
to why it cannot file electronically. The filer may not change its formats or delivery methods for filing until a ruling on the exemption request is issued. Exemption requests under paragraphs (g)(2) or (g)(3) of this section sought after
the first filing in the proceeding will be granted only if the requestor shows that the interests of fairness so require.
[72 FR 49149, Aug. 28, 2007]