The Administrative Judge of the 6th Judicial District, the Surrogate of Broome County, and the Chief Clerk of the Broome County Surrogate Court hereby promulgate local user protocols to assist users in practice of the New York State Courts E-Filing System (hereinafter referred to as NYSCEF) implemented in the Broome County Surrogate Court in accordance with the program established by the Chief Administrator of the Courts pursuant to Uniform Rules 207.4a and 207.4aa, and provide guidance with respect to local practice and procedures used to process filings, fees and court calendaring. Users should also review the NYSCEF website (www.nycourts.gov/efile). These Protocols do not supersede any statutory or regulatory provisions regarding electronic filing as those are controlling and take precedence.
- Cases Types Eligible for E-Filing:
- Mandatory E-Filing: E-filing is mandatory in Administration, Probate, Voluntary Administration, Guardianship, and other miscellaneous proceedings that are commenced in this court on or after October 21, 2020. Except in limited circumstances, all such proceedings must be commenced by filing with the Court electronically through NYSCEF and all subsequent documents in such proceedings must be e-filed.
- Hybrid Proceedings: The Court will accept proceedings/documents in previously paper filed estates on the understanding that the Court Clerk may need time to "upload" the file. Therefore, previously filed documents may not be immediately available in NYSCEF.
- Documents Must Be E-Filed: Unless otherwise provided in the e-filing rules, this protocol, or where a special exemption is granted (e.g., Oversized Exhibits in Section 3, below) all documents to be filed with the court in a NYSCEF case must be e-filed with the NYSCEF system.
- Non-Participation in E-Filing:
- Exemptions from Mandatory E-Filing: An attorney who certifies in good faith that he or she lacks the equipment or
knowledge needed to e-file and has no staff member or employee under his or her direction who has such knowledge and equipment may opt out
of e-filing in each mandatory proceeding by filing an opt out form¹ with the Clerk. Attorneys also may be exempted by the court for good
cause shown. Proposed intervenors (non-attorneys) and unrepresented non-parties are exempt from e-filing. (Uniform Rule §207.4-aa(e)(1)).
Unrepresented litigants are exempt from e-filing, but may choose to participate. (CPLR §2111).
Unrepresented litigants in a mandatory proceeding are not required to decline consent or to attach the Notice of Hard Copy Submission - E-Filed Proceeding to any of their hard copy filings.
- Exemptions from Mandatory E-Filing: An attorney who certifies in good faith that he or she lacks the equipment or
knowledge needed to e-file and has no staff member or employee under his or her direction who has such knowledge and equipment may opt out
of e-filing in each mandatory proceeding by filing an opt out form¹ with the Clerk. Attorneys also may be exempted by the court for good
cause shown. Proposed intervenors (non-attorneys) and unrepresented non-parties are exempt from e-filing. (Uniform Rule §207.4-aa(e)(1)).
Unrepresented litigants are exempt from e-filing, but may choose to participate. (CPLR §2111).
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E-Filing Documents in Surrogate's Court:
- Essential Step Prior to E-Filing: Prior to entering any information into an initial filing, you should run an inquiry on the decedent's last name, using the first initial, to determine if a file is already open. Due to the numbering system in Surrogate's Court, an inquiry based on the file number alone may not produce accurate results. In addition, you must contact the court to ascertain whether there may be another will for the decedent on file with the court (e.g., filed for safekeeping).
- Initial Entering of Case Information: Any error in the initial entry of case information can significantly delay
the proceeding. Please double check to be sure to select the same county as is shown on your papers.
The case name must be entered as follows:- Initial entry must be identical to the signature on the will
- If the name on the will does not match the signature, that becomes an "AKA"
- If the name on the death certificate is different, that becomes an "AKA"
- If the name on the petition is different, that becomes an "AKA"
- No punctuation or spaces should be used when entering the name
- Notice of Hard-Copy Submission: Where, within the e-filing rules, an attorney or an unrepresented litigant who is participating in e-filing submits a document in hard copy, the document must bear a Notice of Hard Copy Submission – E-Filed Proceeding (see NYSCEF Forms page). Attorneys who are exempt from e-filing are required to attach this form to all hard copy filings, while unrepresented litigants who are not participating in e-filing are not so required.
- Request for Surrogate's Court Action: This Court does not require the Request For Surrogate's Couft Action form to be filed
- Death Certificates: The Court does not require the original death certificate. E-filing the original is sufficient.
- Wills: The Will is required to be scanned by the filer: filer may unstaple the will. File the original paper document must be filed with the Court within 2 business days fiom e-filing.
- Citations: Submit a proposed citation electronically through NYSCEF only. The Court will complete the citation and upload the completed version to NYSCEF as quickly as possible. After receipt ofthe email notification of the completed version being uploaded, print the citation and serve it, in accordance with the SCPA.
- Decrees and Orders: E-file proposed decrees and orders through NYSCEF only. Once the decree or order is signed, the court will upload the signed version to NYSCEF thereby notifying all consenting parties that the decree or order has been signed and posted.
- Oversized Exhibits: If an exhibit or attachment is unsuited for electronic filing (E.g., a large map or a videotape), it shall be submitted to the court and served on the other parties in hard copy.
- Payment: This court accepts payment of fees required by the SCPA by credit card payments made via NYSCEF or by payments
made at the court. Fees are calculated in accordance with SCPA 2402 based on the documents filed with NYSCEF and the representation of the
filing user regarding the size of the estate. Review by the court may result in modication of the fees initially anticipated or charged in
connection with this transaction.
If choosing to pay by credit card at the time of filing on the NYSCEF website, enter credit card information directly on website. You must inset the credit card information with each filing; this information is not retained. Your credit card will be charged at the time of filing.
If choosing to pay at the court, be aware that documents are not "filed" until payment is received. - Certificates and Letters: Upon request made via NYSCEF, the court will mail out certificates and letters. Users must request and pay for certificates in advance in any efiled proceeding.
- Decrees, Orders, and Judgments: Decrees, orders, and judgments will be signed in hard copy by the Surrogate and forwarded to the Clerk for filing and scanning into the NYSCEF system, which will then transmit notification to all consented parties. Court issued Letters and Certificates of Appointment will be provided in hard copy to the filer via the usual means, usually USPS mailing.
¹ All forms referred to in the Protocol are available on the NYSCEF Forms page.
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