Dutchess County Surrogate's Court E-Filing Protocol

The Administrative Judge of the Ninth Judicial District, the Surrogate of Dutchess County, and the Chief Clerk of the Dutchess 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 Dutchess 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.

1. Cases Types Eligible for E-Filing:
   • Mandatory E-filing: Dutchess County Surrogate's Court is in a mandatory E-filing program. E-filing is mandatory for all Administrations, Probates and related matters there to, including Small Estate Proceedings. Except in limited circumstances, all such proceedings must be commenced by filing with the court electronically through the NYSCEF system.
     
     Proceedings involving Lifetime Trusts, Guardianships and Adoptions are currently consensual E-filing.
   • Hybrid Proceedings: E-filing is mandatory in proceedings that were previously commenced in paper. Previously hard-copy filed estate records will not be uploaded to the NYSCEF system, unless determined necessary.
     
     All subsequent documents in e-filed proceedings must also be e-filed, unless an exemption is granted (i.e. hard-copy submission accompanied by a Hard-Copy Submission form - NYSCEF Form SC-11)
     
     In the event of a hard-copy filing to an e-filed case (i.e. verified claim, GAL report, etc), the Court staff will scan and upload the hard-copy filing document(s) to the NYSCEF record, and all consented filers in the case will receive notification of the uploaded document(s).
     
     Adoptions proceedings are not currently handled by Dutchess County Surrogate's Court unless prior permission from the Surrogate. These proceedings are exempt from E-filing.
   • 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 or hard copy submission accompanied by a Hard-Copy Submission form - NYSCEF Form SC-11) all documents to be filed with the court in a NYSCEF case must be filed with the NYSCEF system.
2. 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)
   • Declination of Consent (Consensual Cases): Attorneys who do not consent to e-filing in a consensual proceeding should file a declination of consent with the court and serve the declination on all parties. Non-participating attorneys in a consensual proceeding must attach a Notice of Hard-Copy Submission - E-Filed Proceeding (view NYSCEF Forms) to all hard-copy filings.
     
     Unrepresented litigants in a consensual 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.
3. 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, including initial of the first name, 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 search WebSurrogate [websurrogates.nycourts.gov] to ascertain if an Estate or Will is on file with the Court.
   • 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 death certificate is different, that becomes an "AKA"
     • If the name on the will does not match the signature, that becomes an "AKA"
     • No punctuation or spaces should be used when entering the name or "AKA"
   • 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 (view NYSCEF Forms). 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 efiling are not so required.
   • Request for Surrogate's Court Action: No longer required.
   • Death Certificates: The certified copy of the original death certificate should be e-filed (both sides). Original certified copy of the death certificate must be submitted directly to the Surrogate's Court within 2 business days of e-filing.
   • Wills: The ORIGINAL WILLS/CODICILS are required to be scanned. Once the original Will/Codicil is scanned (DO NOT UNSTAPLE) and e-filed, submit the original paper Will/Codicil within 2 business days of 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. If your proposed citation requires amendment, you will be notified. Otherwise, an e-mail notification will be sent when the completed citation is posted to NYSCEF. After receipt of the notification, print the citation and serve it, in accordance with the SCPA. Service of the Citation should be accompanied by a Notice of Commencement of Proceeding Subject to Mandatory Electronic Filing or a Notice Regarding Availability of Electronic Filing, as the case may be. (See Forms page on NYSCEF site.)
   • Decrees and Orders: 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 parties. However, the notification does not constitute service of notice of filing upon any party (see Uniform Rule Section 207.4- a[h]).
     
     NOTE: All Court documents requiring a court seal, including Letters, Certificates of Appointment, and exemplified or certified copies will be sent out in hard copy (with appropriate payment and a self-addressed stamped envelope, with adequate postage, for the return).
     
     Users who have requested a certified copy of the decree or order and have paid the appropriate fee via NYSCEF will receive the certified copy by regular mail.
     
     Hard copies of Decrees/Decisions/Orders will only be sent upon written request and a self-addressed stamped envelope, with adequate postage, for the return.
   • Correspondence: All general correspondence, adjournments requests and conference requests must be electronically filed, with a working copy either delivered to the Clerk's Office, faxed (845-476-3659) or submitted at the Court's Email: virtualdutchesssurrogatescourt@nycourts.gov
   • Stipulations: Stipulations submitted for purposes of being "so ordered" by the Court shall be e-filed through NYSCEF.
   • Oversized Exhibits: If an exhibit or attachment is unsuitable 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. Attach a Notice of Hard Copy Submission - E-Filed Proceeding. In addition, a Notice of Hard Copy Exhibit must be completed and electronically filed. (See Forms page on the NYSCEF site.)
   • Working Copies: Working copies must be exact hard copy duplicates of the e-filed documents. They do not become a part of the official record and will be destroyed by Chambers at the disposition of the case. The following working copies are required:
     1. Miscellaneous Proceedings (except Petitions to Open a Safe Deposit Box);
     2. Orders to Show Cause/Motions (and all response papers filed thereafter);
     3. Any contested matters (ex: objections and related proceedings/filings); and
     4. Accounting Proceedings.
     The filer must attach proof that the document has been e-filed (e.g., the thank you page or the e-mail notification) to the back of all working copies submitted to the court.
4. 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. There are no fees to use the NYSCEF System. Fees are calculated in accordance with SCPA §2402 based on the documents filed with NYSCEF and the representation of the filing user regarding the value of the estate.
   
   NOTE: Review by the Court may result in a modification of the fees initially anticipated or charged in connection with this transaction. In the event of any such modification, the Court will contact the filing user by e-mail with the proper amount and request an additional fee, if applicable.
   
   If choosing to pay by credit card at time of filing on NYSCEF website, enter credit card information directly on website. You must insert the credit card information with each filing; your credit card will be charged at the time of filing. Make sure credit limit is large enough to cover anticipated filings. There is a credit card surcharge that is imposed for any credit card payments.
   
   If choosing to pay at the court, be aware that documents are not "filed" until payment is received. The court cannot process the filing until payment is received in full and will delete the filing if payment is not made within 5 business days after e-filing.
5. Notifications: Notification of defective filings will be sent out by e-mail or by telephone, depending on the circumstances. Clerks/staff are available for consultation during regular business hours. The Court may be reached at 845-431-1770.
   • Return of Requested Documents: To ensure rapid return of documents you have requested from Surrogate's Court, the court will keep your pre-paid self-addressed envelopes on file. If self-addressed stamped envelopes are not provided, the court will place the documents into the attorney pick-up bin drawer located in our office.
   • 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 e-filed proceeding.
   • General Correspondence: All general correspondence, adjournment requests and conference requests shall be electronically filed, with a working copy delivered to the Chief Clerk's Office.
6. Signatures: Documents requiring signatures shall be considered to be signed under the circumstances outlined in Uniform Rule §207.4-a(f). When e-filing a document bearing an actual signature, the e-filer is responsible for maintaining the original, executed document pursuant to Uniform Rule 207.4-a(f)(2).
7. Sealed Documents, Sealed Cases; Documents Presented for In Camera Review:
   • Applying for a Sealing Order: A party who wishes to file a document under seal must file a hard copy of the document, along with the "Notice of Hard Copy Submission" with the Surrogate's Court. Unless the document is being filed ex parte, the filing party shall serve all parties with hard copies of the document, along with the "Notice of Hard Copy Submission" form, in the traditional manner. (See Forms page on the NYSCEF site.)
     
     If the Court grants the sealing request, the Surrogate Clerk will then file the documents in the appropriate manner, as directed. If the application is denied, an order will be issued that directs the party to file the document electronically.
   • In Camera Documents: Documents submitted to the Court for in camera review should be delivered to the Court in a sealed envelope conspicuously marked "FOR IN CAMERA REVIEW BY THE COURT" with a Notice of Hard Copy Submission form attached. (See Forms page on the NYSCEF website.)

PROBLEM FILINGS AND NOTIFICATIONS:
Filers are welcome to call the Court directly for any needed assistance. If the filer is having issuing filing documents, they must contact the E-filing Resource Center at 646-386-3033 or nyscef@nycourts.gov

¹All forms referred to in the Protocol are available on the Forms page of the NYSCEF website.

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