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6. Filing and service of written material

All documents and other materials submitted become part of the record and subject to public disclosure. 

  1. Filing Electronically.   
    The CRD uses the DAB E-File for all of the cases that an ALJ may hear and decide.
    1. Electronic filing required
      All parties must use DAB E-File to file all of its submissions with CRD and the ALJ.
      1. Waiver
        To obtain a waiver from the requirement of using DAB E-File, a party must call or e-mail the CRD attorney assigned to case, whose name and contact information will be provided in the ALJ’s Acknowledgement and Prehearing Order or in an acknowledgment letter from CRD.  The CRD Director or her designee will confirm the waiver in writing.
      2. Voluminous submissions
        The DAB E-File can accommodate files up to 10 megabytes (MB).  If a party’s submission is larger than 10 MB, it must divide the submission into smaller files and upload each part separately, using a clear system of labeling (e.g., P. Ex. 1, Part 1; P. Ex. 1, Part 2).  An ALJ will not grant a waiver to the electronic filing requirement simply because a party expects to make voluminous submissions.
      3. Filing additional copies with CRD
        An ALJ may order that the parties file an additional paper copy of their submissions with CRD.  If required, parties should mail the paper copy to the address listed in paragraph (b) of this section.  The additional paper copy must be identical to the parties’ submission filed electronically on DAB E-File, or if a waiver is granted, the original paper submission.  Parties should refer to the ALJ’s Acknowledgment and Prehearing Order to determine whether this requirement applies to a particular case.
    2. DAB E-File site. 
      DAB E-File is accessible at https://dab.efile.hhs.gov/.   
    3. Registration. 
      A party or a party’s representative must become a registered user of DAB E-File.  If a party has more than one representative, each representative must register separately to use DAB E-File on the party’s behalf.  To register as a user of DAB E-File, go to https://dab.efile.hhs.gov/, click on “Register,” enter the required information on the Register New Account form, then click “Register Account” at the bottom of the form.  Parties are encouraged to use an e-mail account they frequently access when registering as all case notifications will be e-mailed to the parties.
    4. Electronic service of documents
      Parties using DAB E-File must accept electronic service of all case-related documents, including those from opposing parties as well as the ALJ.  DAB E-File will automatically e-mail the parties a notification when a document or group of documents has been uploaded in the case.  The notification will include a link to access the newly uploaded documents.  Parties are responsible for ensuring that automatic e-mail notices from DAB E-File are not blocked by spam or other filters.
    5. Ongoing duty to serve opposing party
      Use of DAB E-File does not relieve the filing party of its obligation to serve the electronically-filed document on other parties if the opposing party received a waiver from e-filing.  Paragraph 6.c of this section provides instructions for the proper service of documents. 
    6. Date of filing
      A document is considered filed on a given day if it is uploaded to DAB E-File at or prior to 11:59 p.m. Eastern Time of that day.
    7.  Filing a request for hearing
      To file a new request for hearing, the requesting party should logon to DAB E-File (after registering following the procedures in subparagraph (iii), above), click on “File New Appeal” and select “Civil Remedies Division” when prompted.  The requesting party must then complete the requested information and upload any required documents.  The requesting party should not submit exhibits or evidence with requests for hearing, except the notification of adverse action as specified in CRDP § 2.
    8.  Filing a brief, exhibits, response, or other documents
      When an ALJ directs a party to file a brief, exhibits, or other documents, the party or representative registered with DAB E-File should logon to DAB E-File and complete the following:
      1. Access the case
        Find the case information and document list by first clicking “Manage Existing Appeals” on the left side of the screen, then entering the docket number or non-federal party name where prompted and clicking “Search.”  If the correct case appears in the search result, click on the docket number to access the case information and document list.
      2. Request access to the case. 
        If your case does not appear in the search result under “Manage Existing Appeals,” you must request access to the case.  Access to cases on the DAB E-File system is limited to the parties and their authorized representatives.  If a party has more than one authorized representative, each representative must separately request access.  Click “Request Access to Case” on the left side of the screen, enter the docket number and check the box certifying that the requestor is a party or a party’s representative in the requested case.  If the party or party’s representative has not noticed its appearance in the case, it must also upload a notice of appearance.  To do so, click “Choose File,” then find and select the appropriate file to uploaded to DAB E-File.  Click “Continue,” then click on the document file name to preview the notice of appearance that will become part of the official record.  If the requestor needs to make changes, it may do so by clicking “Edit Request.”  Once satisfied, click “Submit Request.”  Requests for access will be granted or denied within two business days.  The division will contact you if it has any questions about the request.  The requestor will receive an e-mail notification when access is granted or denied. 
      3. Upload a document
        Click “Upload New Document,” which appears directly below the case information and above the list of case documents.  Select the appropriate document type (brief, response, exhibit, etc.), provide a brief description or title of the specific document being uploaded (Petitioner’s Brief, Motion, P. Ex. 1, etc.), click on “Choose File,” then find and select the appropriate file to be uploaded to DAB E-File.  Once the file is selected, click “Continue,” then click on the document file name to preview the document that will become part of the official record.  Once satisfied, click “Upload.”  The document will then be filed and become part of the electronic record.
        • DAB E-File accepts standard document types, including, but not limited Adobe PDF, Microsoft Word, and JPEG image files.  CRD prefers searchable PDFs.  
      4. Uploading multiple documents
        To upload multiple documents, following the instructions in subparagraph (B), but do not select “Continue.”  Instead, select “Upload Additional Document,” which appears to the bottom left of the information fields.  Continue to use “Upload Additional Document” until all documents have been uploaded to DAB E-File, then click “Continue” to preview all of the documents.  Once satisfied that all documents have been selected, click “Upload,” and all of the documents will be filed at one time and become part of the electronic record.
      5. Clicking “Upload” is required
        All parties must click “Upload” in order to file a document.  Simply selecting the document from your computer and clicking “Continue” is not enough to file that document.  All parties, including the party filing a document, will receive an automatic e-mail notification once the document has been successfully filed.  Parties should verify that they have received that e-mail notification and review the contents of that e-mail to ensure they properly filed a document.
    9. Electronic Signatures
      Use of DAB E-File to file a document fulfills any signature requirement applicable to the party or representative who made the filing.  The electronic copy of a document authored by a person other than the party’s representative — for example, a witness affidavit or declaration — must be in an electronic format (e.g., PDF) that captures the actual physical signature.
    10. E-mailing documents is prohibited
      Filing documents by e-mail outside of DAB E-File is prohibited.  Sending a courtesy copy by e-mail to the assigned staff attorney is not required for any document filed through DAB E-File.
    11.  Troubleshooting
      If you experience technical problems when using   DAB E-File, please contact DAB E-File support personnel by phone at (202) 565-0146 or by e-mail at OSDABImmediateOffice@hhs.gov.  Requests for assistance made after 4:00 p.m. Eastern Time will not be addressed until the following business day.
    12.  Extensions of time for technical issues
      An ALJ will not automatically grant an extension of time to file a required submission if a party experiences problems while using DAB E-File.  Parties must demonstrate good cause for an extension of time due to such problems.  A party’s inability to navigate through the properly-functioning DAB E-File system or individual problems uploading documents will generally not be a sufficient showing of good cause to extend a filing deadline.  Parties must become familiar with DAB E-File well before their submissions are due.
  2. Filing by mail or private delivery service if granted a waiver. 
    Only upon receiving a written waiver from the electronic filing requirement may submissions be made by U.S. mail or an express delivery service. Courier or messenger deliveries will not be accepted.  Filing documents by facsimile is not acceptable unless authorized by the ALJ in advance.  Filing documents by e-mail outside of DAB E-File is prohibited. 

    The address for filing documents and any correspondence with CRD related to a case is:

    Departmental Appeals Board
    Civil Remedies Division, MS 6132
    330 Independence Avenue, SW
    Cohen Building, Room G-644
    Washington, D.C.  20201

    Written material is considered filed when placed in the U.S. mail or with an express delivery service, such as FedEx.

  3. Service of written material
    A party filing a document with CRD must, at the time of filing, serve a copy on all other parties to the case according to the following requirements:
    1. If all parties are using DAB E-File, service upon the other parties is effectuated by uploading the submission to DAB E-File.  Parties using DAB E-File consent to service through DAB E-File.  Each party will receive an automatic e-mail notification when a new submission has been uploaded in the case.
    2. If a party has received a waiver from using DAB E-File, then:
      1. an opposing party must mail the party exempt from electronic filing a copy of any submissions and include a certificate of service with its submissions; and
      2. when filing a submission, the party exempt from electronically filing must mail a written copy of its submission to CRD and the opposing party. 
Content created by Departmental Appeals Board (DAB)
Content last reviewed on December 16, 2014