Practice and Procedure: Rules of General Application, Safeguards, Antidumping and Countervailing Duty, and Adjudication and Enforcement, 61937-61946 [2011-25646]
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Federal Register / Vol. 76, No. 194 / Thursday, October 6, 2011 / Rules and Regulations
submit information on the regulatory
and informational impacts of this action
on small businesses.
A small business guide on complying
with fruit, vegetable, and specialty crop
marketing agreements and orders may
be viewed at: https://www.ams.usda.gov/
MarketingOrdersSmallBusinessGuide.
Any questions about the compliance
guide should be sent to Laurel May at
the previously mentioned address in the
FOR FURTHER INFORMATION CONTACT
section.
This rule invites comments on a
change to the salable quantity and
allotment percentage for both Scotch
and Native spearmint oil for the 2011–
2012 marketing year. Any comments
received will be considered prior to
finalization of this rule.
After consideration of all relevant
material presented, including the
Committee’s recommendation, and
other information, it is found that this
interim rule, as hereinafter set forth,
will tend to effectuate the declared
policy of the Act.
Pursuant to 5 U.S.C. 553, it is also
found and determined upon good cause
that it is impracticable, unnecessary,
and contrary to the public interest to
give preliminary notice prior to putting
this rule into effect and that good cause
exists for not postponing the effective
date of this rule until 30 days after
publication in the Federal Register
because: (1) This rule increases the
quantity of Scotch and Native spearmint
oil that may be marketed during the
marketing year, which ends on May 31,
2012; (2) the current quantity of Scotch
and Native spearmint oil may be
inadequate to meet demand for the
2011–2012 marketing year, thus making
the additional oil available as soon as is
practicable will be beneficial to both
handlers and producers; (3) the
Committee recommended these changes
at a public meeting and interested
parties had an opportunity to provide
input; and (4) this rule provides a
60-day comment period and any
comments received will be considered
prior to finalization of this rule.
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List of Subjects in 7 CFR Part 985
Marketing agreements, Oils and fats,
Reporting and recordkeeping
requirements, Spearmint oil.
For the reasons set forth in the
preamble, 7 CFR part 985 is amended as
follows:
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PART 985—MARKETING ORDER
REGULATING THE HANDLING OF
SPEARMINT OIL PRODUCED IN THE
FAR WEST
1. The authority citation for 7 CFR
part 985 continues to read as follows:
■
Authority: 7 U.S.C. 601–674.
2. In § 985.230, paragraphs (a) and (b)
are revised to read as follows:
■
Note: This section will not appear in the
annual Code of Federal Regulations.
§ 985.230 Salable quantities and allotment
percentages—2011–2012 marketing year.
*
*
*
*
*
(a) Class 1 (Scotch) oil—a salable
quantity of 733,913 pounds and an
allotment percentage of 36 percent.
(b) Class 3 (Native) oil—a salable
quantity of 1,266,161 pounds and an
allotment percentage of 55 percent.
Dated: September 30, 2011.
Ellen King,
Associate Administrator, Agricultural
Marketing Service.
[FR Doc. 2011–25812 Filed 10–5–11; 8:45 am]
BILLING CODE 3410–02–P
INTERNATIONAL TRADE
COMMISSION
19 CFR Parts 201, 206, 207, and 210
Practice and Procedure: Rules of
General Application, Safeguards,
Antidumping and Countervailing Duty,
and Adjudication and Enforcement
International Trade
Commission.
ACTION: Final rule.
AGENCY:
The United States
International Trade Commission
(‘‘Commission’’) is amending its rules of
practice and procedure concerning rules
of general application, safeguards,
antidumping and countervailing duty,
and adjudication and enforcement. The
amendments are necessary to
implement a new Commission
requirement for electronic filing of most
documents with the agency. The
intended effects of the amendments are
to increase efficiency in processing
documents filed with the Commission,
reduce Commission expenditures, and
conform agency processes to Federal
Government initiatives.
DATES: Effective November 7, 2011.
FOR FURTHER INFORMATION CONTACT:
James R. Holbein, Secretary, telephone
(202) 205–2000 or Gracemary RothRoffy, telephone (202) 205–3117, Office
of the General Counsel, United States
SUMMARY:
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61937
International Trade Commission.
Hearing-impaired individuals are
advised that information on this matter
can be obtained by contacting the
Commission’s TDD terminal at 202–
205–1810. General information
concerning the Commission may also be
obtained by accessing its Internet server
at https://www.usitc.gov.
SUPPLEMENTARY INFORMATION: On July 6,
2011, the Commission published a
notice of proposed rulemaking
concerning the filing of documents with
the agency. 76 FR 39750, July 6, 2011.
This notice of final rulemaking is based
on that notice. On the same day, the
Commission published a notice seeking
public comment on a draft Handbook on
Electronic Filing Procedures. 76 FR
39757, July 6, 2011. The preamble
below is designed to assist readers in
understanding these amendments to the
Commission’s Rules. This preamble
provides background information, a
regulatory analysis of the amendments,
a discussion of the comments received
from the public, and a section-bysection explanation of the amendments.
Background
Section 335 of the Tariff Act of 1930
(19 U.S.C. 1335) authorizes the
Commission to adopt such reasonable
procedures, rules, and regulations as it
deems necessary to carry out its
functions and duties. This rulemaking
seeks to improve provisions of the
Commission’s existing Rules of Practice
and Procedure. The Commission is
amending its rules covering proceedings
such as investigations and reviews
conducted under title VII and section
337 of the Tariff Act of 1930 (19 U.S.C.
1337, 1671 et seq.), sections 202, 406,
421, 422 of the Trade Act of 1974 (19
U.S.C. 2252, 2436, 2451, 2451a), and
sections 302 and 312 of the North
American Free Trade Agreement
Implementation Act (19 U.S.C. 3352,
3372).
Consistent with its ordinary practice,
the Commission is issuing these
amendments in accordance with
provisions of section 553 of the APA (5
U.S.C. 553), although not all provisions
apply to this rulemaking. The APA
procedure entails the following steps:
(1) Publication of a notice of proposed
rulemaking; (2) solicitation of public
comments on the proposed
amendments; (3) Commission review of
public comments on the proposed
amendments; and (4) publication of
final amendments at least thirty days
prior to their effective date.
The Commission will now require
that most filings with the agency be
made by electronic means. The
electronic version will constitute the
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official record document and any paper
form of the document must be a true
copy and identical to the electronic
version. The Commission’s Electronic
Document Information System (EDIS)
already accepts electronic filing of
certain documents, and will be the
mechanism by which participants in
Commission proceedings electronically
file their documents in the future.
Previously, submitters have been
permitted to file only public documents
into EDIS. The new rules provide for the
electronic filing of documents
containing confidential business
information and business proprietary
information into EDIS. A new Handbook
on Filing Procedures will supersede the
Commission’s current Handbook on
Electronic Filing Procedures, and will
provide more detailed information on
the filing process. The Commission has
sought public comment concerning the
new handbook in a separate notice.
Persons seeking to file documents will
be required to comply with the revised
rules and the Handbook on Filing
Procedures.
The Commission estimates that
electronic filing of most documents will
significantly reduce the cost to the
agency of processing documents. These
costs include labor costs for scanning
paper documents into EDIS, storage
costs for paper documents, and costs for
continuity of operations. Electronic
filing also is expected to improve the
efficiency and effectiveness of the filing
process because documents will be
entered into EDIS more rapidly.
Electronic filing also accords with
government-wide initiatives
encouraging agencies to do business
electronically.
Although the Commission intends to
require electronic filing of most
documents, documents generally will
also be submitted in paper form. The
agency will allow some documents to be
filed in paper form by noon on the next
business day. Moreover, witness
testimony and hearing materials in
import injury investigations and reviews
will be submitted only in paper form,
and public versions of testimony will be
accepted at the relevant conference or
hearing. The rules will provide the
Secretary to the Commission with the
authority to establish exceptions and
modifications to the requirement to
electronically file documents, as more
fully described in the Handbook on
Filing Procedures.
The changes to the filing process are
not intended to affect the current
practice with respect to the filing of
responses to Commission questionnaires
in import injury investigations and
reviews.
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Regulatory Analysis
The Commission has determined that
the final rules do not meet the criteria
described in section 3(f) of Executive
Order 12866 (58 FR 51735, Oct. 4, 1993)
and thus do not constitute a significant
regulatory action for purposes of the
Executive Order.
The Regulatory Flexibility Act (5
U.S.C. 601 et seq.) is inapplicable to this
rulemaking because it is not one for
which a notice of final rulemaking is
required under 5 U.S.C. 553(b) or any
other statute. Although the Commission
chose to publish a notice of proposed
rulemaking, these regulations are
‘‘agency rules of procedure and
practice,’’ and thus are exempt from the
notice requirement imposed by 5 U.S.C.
553(b).
These rules do not contain federalism
implications warranting the preparation
of a federalism summary impact
statement pursuant to Executive Order
13132 (64 FR 43255, Aug. 4, 1999).
No actions are necessary under the
Unfunded Mandates Reform Act of 1995
(2 U.S.C. 1501 et seq.) because the rules
will not result in the expenditure by
State, local, and tribal governments, in
the aggregate, or by the private sector, of
$100,000,000 or more in any one year,
and will not significantly or uniquely
affect small governments.
The rules are not major rules as
defined by section 804 of the Small
Business Regulatory Enforcement
Fairness Act of 1996 (5 U.S.C. 801 et
seq.). Moreover, they are exempt from
the reporting requirements of the
Contract With America Advancement
Act of 1996 (Pub. L. 104–121) because
they concern rules of agency
organization, procedure, or practice that
do not substantially affect the rights or
obligations of non-agency parties.
The amendments are not subject to
section 3504(h) of the Paperwork
Reduction Act (44 U.S.C. 3501 et seq.),
because the amendments would impose
no new collection of information under
the statute.
Comments
The Commission received 10 sets of
comments on the notice of proposed
rulemaking. Commenters generally
made comments both on that notice and
on the related notice concerning the
Handbook. Comments were received
from Adduci, Mastriani, & Schaumberg
LLP (AMS); the American Bar
Association Section of Intellectual
Property (ABA); the American
Intellectual Property Law Association
(AIPLA); the Customs and International
Trade Bar Association (CITBA); Hughes
Hubbard & Reed LLP (Hughes Hubbard);
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the ITC Trial Lawyers Association (ITC
TLA); Kelley Drye & Warren (Kelley
Drye); Stewart and Stewart; Wiley Rein
LLP, on behalf of Nucor Corporation
(Wiley Rein); and Williams Mullen.
Issues raised in the comments will be
addressed in this section. The section
first addresses comments made by two
or more commenters on the same issue,
then addresses unique comments made
by one commenter. The Commission
appreciates the comments received, and
the thoughtful and thorough analysis on
which they are based.
Comments on Paper Filing Requirement
AMS, the CITBA, Hughes Hubbard,
the ITC TLA, Kelley Drye, Wiley Rein,
and Williams Mullen oppose requiring
the submission of paper copies of
documents in addition to their
electronic filing. Several commenters
pointed to government-wide initiatives
that support moving to electronic filing.
CITBA contends that the Commission’s
new procedure will increase the burden
on submitters. CITBA, among others,
cites as examples that entries of
appearance and public versions of
confidential filings, that in the past
could have been filed electronically,
will now have to be filed both
electronically and in paper form.
Hughes Hubbard, Kelley Drye, and
Wiley Rein submit that the Commission
will incur storage costs for paper copies.
Hughes Hubbard suggests that, if the
paper filing requirement is retained, the
number of required copies should be
reduced from eight to four. AMS
suggests requiring one paper copy, and
setting an end date for the requirement.
AMS suggests that the new policy
may result in increased costs and
reduced efficiency for the Commission.
Kelley Drye and Wiley Rein warn that
the Commission will need to verify that
electronic and paper submissions are
correct, and deal with problems arising
from improper filings. Wiley Rein
expresses the concern that the
requirement to simultaneously file
electronically and submit paper copies
will lead to an increase in filing
problems such as administrative
protective order violations. Wiley Rein
expresses the concern that the proposed
rules and Handbook did not explain (1)
The status of a filing where the paper
version is timely received but not the
electronic version, or vice versa; (2) the
process to follow where there are
differences between the versions, and
(3) whether a special process will be
used if business proprietary information
is redacted in one version but not the
other. Wiley Rein notes that, although
electronic filing of business proprietary
data appears to be required, it is not
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explicitly stated, and the Commission
has not explained whether proprietary
data must be marked and controlled to
ensure against unauthorized access.
In developing its new filing policy,
the Commission seeks to meet its needs
for filings in particular formats without
unduly burdening submitters. As a
preliminary matter, the Commission
confirms that the electronic filing
requirement covers documents
containing business proprietary or
confidential business information. EDIS
currently provides for specifying
whether a document contains
confidential information, and blocks
access by members of the public to such
documents. Language is being added to
the Handbook to more fully address the
filing of confidential material.
The Commission recognizes the
arguments for moving fully to electronic
filing. However, after careful
consideration, the Commission has
decided that the paper copies it will
require are currently necessary for
carrying out the agency’s functions. At
the present time, eight paper copies—a
reduction from fourteen—are needed.
The copies are provided to each
Commissioner’s office as well as
relevant staff offices. Commission
proceedings operate under very short
deadlines and filings are voluminous.
Paper copies are needed to ensure that
staff and decision-makers can efficiently
and fully review and analyze
submissions in such short time periods.
It is not practicable for the agency to
print out paper copies of complicated
documents for Commissioners and staff
as rapidly as they are needed. Such
documents often include tabbed
sections, appendices, and color
graphics, and the parties are in a better
position to present the paper versions of
their filings in the manner they intend
them to be presented. Storage costs
should not be substantial, because the
Commission’s records disposition
schedule allows for prompt destruction
of paper copies after the proceeding is
completed. To the extent that the
requirement to simultaneously file
electronically and submit paper copies
poses a problem for submitters, the
Commission urges submitters to consult
with the Secretary to help ensure that
filings are accomplished correctly.
However, in the interest of reducing
the burden on submitters, the
Commission will not require certain
documents, such as entries of
appearance, to be filed in paper form. In
addition, as the Commission
periodically reviews its regulations, it
may revisit the filing requirement after
it has had a chance to function for a
time, and may make further changes to
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the requirement as warranted by
experience. However, the Commission
cannot yet specify a schedule for this
review.
The Commission wishes to emphasize
that all of the requirements relating to
filing of documents will be enforced. In
particular, the failure to redact business
proprietary information from the
electronic version of a document may
constitute a breach of the administrative
protective order whether or not the
redaction was done properly in the
paper copies; the same would be true if
the problem appeared in the paper
copies.
Comments on the Filing of Petitions
Hughes Hubbard, Kelley Drye, and
Williams Mullen suggest that the
Commission require that petitions in
import injury proceedings be filed
electronically. Kelley Drye indicates
that the proposed rulemaking did not
make clear whether exhibits and
attachments would need to be in paper
form as well as on electronic media.
They also believe that it was not clear
whether eight paper copies of the
petition are required.
Because of the special handling that
petitions require, electronic filing of
such documents would not meet the
agency’s needs at this time. However,
with respect to exhibits, appendices,
and attachments to petitions, the
Commission requires these documents
to be filed only on electronic media and
not in paper form. The Commission
requires that the original plus eight
paper copies of the confidential version
of the petition and four paper copies of
the public version of the petition must
be filed.
Comments on the ‘‘One-Day Rule’’
AMS, the CITBA, Hughes Hubbard,
Kelley Drye, Wiley Rein, and Williams
Mullen urge the Commission to retain
the one-day rule on the filing of public
versions of confidential documents in
import injury proceedings. The
Commission did not intend to eliminate
this rule, which the agency agrees serves
a valuable function. The Commission is
clarifying in its Handbook that the oneday rule has been retained.
Comments on Filing Requirements in
Section 337 Proceedings
The AIPLA and the ABA suggest that
the Commission clarify the filing
requirements in section 337 proceedings
by setting out those requirements in
section 210.4(f), rather than employing
cross-references among several rules.
The final rules adopt the suggested
approach to address this concern.
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AMS, the AIPLA and the ABA express
the concern that the proposed rules
imply the creation of a same-day rule for
filing the public version of a
confidential submission. In a similar
vein, the ITC TLA urges the
Commission to not require the filing of
public versions of all confidential
documents. The Commission did not
intend to create such a general
requirement. However, the rules already
provide for the filing of public versions
of some confidential filings.
The AIPLA and the ABA suggest
replacing in section 210.4(f)
‘‘submissions pursuant to an order of
the presiding’’ ALJ with ‘‘submissions
filed with the Secretary pursuant to an
order of the presiding ALJ.’’ The ITC
TLA makes a similar comment. The
ABA suggests making a similar revision
to section II(C) of the Handbook. The
Commission has adopted this
suggestion.
The AIPLA, the ABA, and the ITC
TLA suggest clarifying whether the
Commission is removing the
requirement to submit copies of the
complaint for service on parties and
embassies. The Commission does not
intend to remove this requirement, and
is reflecting this clarification in its rules.
The AIPLA and the ABA suggest
deleting new section II(J)(3) of the
Handbook as unnecessarily onerous.
The ITC TLA suggests that the
requirement is particularly difficult for
counsel not resident in Washington, DC.
The Commission has modified that
section to simplify the procedure.
The ABA suggests clarifying in
section 210.8 whether the Commission
intends to remove procedures for the
separation of confidential and
nonconfidential versions of documents
such as complaints, and for submitting
multiple copies of exhibits, appendices,
and attachments. The ITC TLA similarly
indicates that the proposed rules appear
to eliminate the requirement to separate
the public and confidential versions of
the complaint. The Commission does
not intend to remove the requirement to
separate the public and confidential
versions of documents, and is clarifying
this point in its rules.
Comments Relating to Service
The AIPLA and the ABA suggest
removing the requirement in section
II(K) of the Handbook that parties obtain
approval of the presiding administrative
law judge in order to effect electronic
service. The AIPLA offers a proposed
amendment to section 201.16(f) to
streamline service. The ABA suggests
adding electronic service on lead
counsel as a default method of service.
Stewart and Stewart urges the
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Commission to consider allowing
parties to serve public documents
electronically if other parties consent to
such service, and requesting that parties
include in their entries of appearance a
statement on whether they consent. The
ITC TLA urges the Commission to
clarify the discussion of service in the
Handbook with respect to whether
permission is required for electronic
service during the Commission review
phase of a section 337 proceeding, and
whether such service requires the
consent of both the presiding
administrative law judge and the
relevant party.
The Commission has determined to
amend its rule on service to remove the
requirement for obtaining the consent of
the Secretary or the presiding
administrative law judge in order to
effect service electronically. A party will
be able to opt out of being served
electronically by notifying the Secretary
or the administrative law judge, and the
other parties to a proceeding.
Comment Relating to Agency Closure
The ABA suggests that section II(C)(4)
of the Handbook be revised to adopt a
default filing date of the next business
day in the event of a closure of the
Commission, regardless of whether the
electronic docketing system is
operational. The ITC TLA makes a
similar comment. The Commission has
adopted the suggestion.
Adduci, Mastriani, & Schaumberg LLP
AMS notes that the reproduction of
items on EDIS beyond fair use requires
the registered user’s permission.
Paragraph L of the Handbook addresses
copyright issues.
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The American Intellectual Property
Law Association
The AIPLA proposes to replace
‘‘copies’’ with ‘‘a copy’’ in section
201.16. The Commission has adopted
this suggestion.
The AIPLA suggests replacing the
term ‘‘true copies.’’ The Commission
believes that the term is clearer than the
proposed alternative, but has added
clarifying language to its rules.
The AIPLA suggests clarifying in
section II(c)(4) of the Handbook how a
submitter is to notify the Secretary of a
technical failure at a time when the
agency is closed but EDIS is operational.
The Commission believes that this
clarification is not needed in view of the
fact that the Commission will extend
electronic filing deadlines to the next
business day after the agency closure.
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The American Bar Association Section
of Intellectual Property
The ABA suggests adding a provision
to section II(C) of the Handbook stating
that, in case of a conflict between the
Handbook and the instructions issued
by the presiding administrative law
judge, the latter controls. The
Commission is including such a
provision in the Handbook, but notes
that if the conflict is between the
administrative law judge’s ground rules
and the Commission’s rules, the latter
control.
Hughes Hubbard & Reed LLP
Hughes Hubbard urges the
Commission to set the deadline for
electronic filing at midnight on the
relevant day, rather than at 5:15 p.m.
The Commission needs to retain the
existing deadline in order to ensure
proper receipt and tracking of electronic
filings.
Hughes Hubbard recommends that the
Commission extend the procedure for
reporting an EDIS failure to the
reporting of a technical failure in the
submitter’s system. The Commission is
not adopting this change, because of the
difficulty of determining whether a
submitter’s system has failed.
Hughes Hubbard suggests that the
Commission develop a standard e-filing
declaration concerning technical
failures. The Commission considers that
such a form may not be practical,
because of the variety of circumstances
that may arise.
Hughes Hubbard suggests that the
Commission add ‘‘(unless otherwise
authorized by the Commission)’’ to the
rule on posthearing briefs. The
Commission does not believe that this
addition is necessary, because the
Commission, pursuant to section 201.4,
has the authority to modify its page
limit requirements where a particular
instance so warrants.
The ITC Trial Lawyers Association
The ITC TLA urges the Commission to
make clear whether and how
confidential business information is to
be filed electronically. The Commission
confirms that the electronic filing
requirement covers documents
containing business proprietary or
confidential business information. EDIS
currently provides for specifying
whether a document contains
confidential information, and blocks
access by members of the public to such
documents. Language is being added to
the Handbook to more fully address the
filing of confidential material.
The ITC TLA requests clarification of
the relationship between copies
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provided for in sections 201.14 and
210.4 and copies required under the
ground rules of the presiding
administrative law judge. The copies
provided for in the Commission rules
are distinct and in addition to any
copies required in ground rules.
The ITC TLA suggests specifying how
many copies are required of the
exhibits, appendices, and attachments
to a complaint. The Commission will
only require a single copy of such
documents on CD–ROM or other
approved media. If the documents
contain confidential business
information, however, a public version
shall be filed on separate media.
The ITC TLA recommends that the
Handbook specify that the Commission
rules control in any conflict between the
Handbook and the rules. The Handbook
contains such a statement.
The ITC TLA suggests specifying in
section H(1) of the Handbook whether a
submitter is required to perform optical
character recognition prior to submitting
a document. The Commission does not
require submitters to perform such a
process.
The ITC TLA suggests clarifying the
term ‘‘attestation’’ as used in the
Handbook. To avoid confusion, the term
‘‘attest’’ is being replaced by ‘‘certify,’’
a term that is already used in the rules,
such as in 19 CFR 201.6.
The ITC TLA suggests clarifying the
Appendix to the Handbook by
specifying that certain categories do not
refer to section 337 documents. The
Appendix has been revised to clearly
distinguish between instructions for
filing section 337 documents and
instructions for other filings.
Wiley Rein LLP
Wiley Rein urges the Commission to
not adopt the proposed regulations and
Handbook in their present form. Instead,
Wiley Rein suggests that the
Commission (1) Undertake additional
review and then publish a new proposal
for public comment, (2) revise its rules
to permit electronic-only filing, or (3)
permit electronic filing one day after all
paper submissions. As discussed above,
the Commission has decided that it
must require electronic filing and the
submission of paper copies of certain
documents at this time. The
Commission considers that these
processes must be simultaneous in
import injury proceedings due to the
short timeframe and to facilitate review
by the Commissioners and staff in these
proceedings. The Commission is issuing
this notice of final rulemaking rather
than a new proposal for comment
because it wishes to implement its new
requirement as soon as possible, with
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the attendant benefits described in the
notice of proposed rulemaking.
Wiley Rein suggests that the
Commission provide more detail
concerning the filing of voluminous
documents, such as by emulating the
Commerce Department, which provides
for special handling of documents over
500 pages in length. The Commission
does not believe that further guidance is
necessary, because EDIS is capable of
handling voluminous documents such
as documents containing 500 pages.
List of Subjects in 19 CFR Parts 201,
206, 207, and 210
Administrative practice and
procedure, Business and industry,
Customs duties and inspection, Imports,
Investigations.
For the reasons stated in the
preamble, the United States
International Trade Commission
amends 19 CFR parts 201, 206, 207, and
210 as follows:
PART 201—RULES OF GENERAL
APPLICATION
1. The authority citation for part 201
continues to read as follows:
■
Authority: Sec. 335 of the Tariff Act of
1930 (19 U.S.C. 1335), and sec. 603 of the
Trade Act of 1974 (19 U.S.C. 2482), unless
otherwise noted.
Subpart B—Initiation and Conduct of
Investigations
2. Amend § 201.8 by revising
paragraphs (a), (c), (d), and (f) to read as
follows:
■
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§ 201.8
Filing of documents.
(a) Applicability; where to file; date of
filing. This section applies to all
Commission proceedings except,
notwithstanding any other section of
this chapter, those conducted under 19
U.S.C. 1337, which are covered by
requirements set out in part 210 of this
chapter. Documents shall be filed at the
office of the Secretary of the
Commission in Washington, DC. Such
documents, if properly filed within the
hours of operation specified in
§ 201.3(c), will be deemed to be filed on
the date on which they are actually
received in the Commission.
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(c) Specifications for documents. Each
document filed under this chapter shall
be signed, double-spaced, clear and
legible, except that a document of two
pages or less in length need not be
double-spaced. All submissions shall be
in letter-sized format (8.5 x 11 inches),
except copies of documents prepared for
another agency or a court (e.g. pleadings
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papers), and single sided. The name of
the person signing the original shall be
typewritten or otherwise reproduced on
each copy.
(d) Filing. (1) Except as provided in
paragraphs (d)(2) through (6) and (f) of
this section, all documents filed with
the Commission shall be filed
electronically. Completion of filing
requires the submission of paper copies
by 12 noon, eastern time, on the next
business day. A paper copy provided for
in this section must be a true copy of the
electronic version of the document, i.e.,
a copy that is identical in all possible
respects. All filings shall comply with
the procedures set forth in the
Commission’s Handbook on Filing
Procedures, which is available from the
Secretary and on the Commission’s
Electronic Document Information
System Web site at https://
edis.usitc.gov. Failure to comply with
the requirements of this chapter and the
Handbook on Filing Procedures that
apply to the filing of a document may
result in the rejection of the document
as improperly filed.
(2) Briefs, statements, responses,
comments, and requests filed pursuant
to § 201.12, § 201.14, § 206.8, § 207.15,
§ 207.23, § 207.25, § 207.28, § 207.30,
§ 207.61, § 207.62, § 207.65, § 207.67, or
§ 207.68 of this chapter shall be filed
electronically and the requisite number
of true paper copies of these documents
shall be submitted to the Commission in
accordance with the provisions of the
applicable section.
(3) Petitions and requests filed under
§ 206.2 or § 207.10 of this chapter shall
be filed in paper form and exhibits,
appendices, and attachments to the
documents shall be filed in electronic
form on CD–ROM, DVD or other
portable electronic media approved by
the Secretary in accordance with the
provisions of the applicable section.
Submitted media will be retained by the
Commission, except that media may be
returned to the submitter if a document
is not accepted for filing.
(4) Supplementary material and
witness testimony provided for under
§ 201.13, § 207.15, or § 207.24 of this
chapter shall be filed in paper form in
accordance with the provisions of the
applicable section.
(5) Certain documents filed under
§ 201.4 of this chapter and applications
for administrative protective orders filed
under §§ 206.17 and 207.7 of this
chapter shall only be filed
electronically; no paper copies will be
required.
(6) The Secretary may provide for
exceptions and modifications to the
filing requirements set out in this
chapter. A person seeking an exception
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61941
should consult the Handbook on Filing
Procedures.
(7) During any period in which the
Commission is closed, deadlines for
filing documents electronically and by
other means are extended so that
documents are due on the first business
day after the end of the closure.
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(f) Nonconfidential copies. In the
event that confidential treatment of a
document is requested under § 201.6(b),
a nonconfidential version of the
document shall be filed, in which the
confidential business information shall
have been deleted and which shall have
been conspicuously marked
‘‘nonconfidential’’ or ‘‘public
inspection.’’ The nonconfidential
version shall be filed electronically, and
four (4) true paper copies shall be
submitted on the same business day as
this electronic filing, except as provided
in § 206.8 or § 207.3 of this chapter. In
the event that confidential treatment is
not requested for a document under
§ 201.6(b), the document shall be
conspicuously marked ‘‘No confidential
version filed,’’ and the document shall
be filed in accordance with paragraph
(d) of this section. The name of the
person signing the original shall be
typewritten or otherwise reproduced on
each copy.
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■ 3. Revise § 201.12 to read as follows:
§ 201.12
Requests.
Any party to a nonadjudicative
investigation may request the
Commission to take particular action
with respect to that investigation. Such
requests shall be made by letter
addressed to the Secretary, shall be
placed by him in the record, and shall
be served on all other parties. Such
request shall be filed electronically and
two (2) true paper copies shall be
submitted on the same business day.
The Commission shall take such action
or make such response as it deems
appropriate.
■ 4. Amend § 201.14 by revising
paragraph (b)(3) to read as follows:
§ 201.14 Computation of time, additional
hearings, postponements, continuances,
and extensions of time.
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(b) * * *
(3) A request that the Commission
take any of the actions described in this
section shall be filed with the Secretary
and served on all parties to the
investigation. Such request shall be filed
electronically and two (2) true paper
copies shall be submitted on the same
business day.
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5. Amend § 201.16 by revising
paragraphs (b) and (f) to read as follows:
■
§ 201.16 Service of process and other
documents.
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(b) By a party other than the
Commission. Except when service by
another method shall be specifically
ordered by the Commission, the service
of a document of a party shall be
effected:
(1) By mailing or delivering a copy of
a nonconfidential version of the
document to each party, or, if the party
is represented by an attorney before the
Commission, by mailing or delivering a
nonconfidential version thereof to such
attorney; or
(2) By leaving a copy thereof at the
principal office of each other party, or,
if a party is represented by an attorney
before the Commission, by leaving a
copy at the office of such attorney.
(3) When service is by mail, it is
complete upon mailing of the
document.
(4) When service is by mail, it shall
be by first class mail, postage prepaid.
In the event the addressee is outside the
United States, service shall be by first
class airmail, postage prepaid.
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(f) Electronic service. Parties may
serve documents by electronic means in
all matters before the Commission.
Parties may effect such service on any
party, unless that party has, upon notice
to the Secretary and to all parties, stated
that it does not consent to electronic
service. If electronic service is used,
paragraphs (b), (d), and (e) of this
section shall not apply. However, any
dispute that arises among parties
regarding electronic service must be
resolved by the parties themselves,
without the Commission’s involvement.
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PART 206—INVESTIGATIONS
RELATING TO GLOBAL AND
BILATERAL SAFEGUARD ACTIONS,
MARKET DISRUPTION, TRADE
DIVERSION, AND REVIEW OF RELIEF
ACTIONS
6. The authority citation for part 206
continues to read as follows:
■
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Authority: 19 U.S.C. 1335, 2251–2254,
2451–2451a, 3351–3382; secs. 103, 301–302,
Pub. L. 103–465, 108 Stat. 4809.
■
7. Revise § 206.2 to read as follows:
§ 206.2 Identification of type of petition or
request and petition filing procedures.
An investigation under this part 206
may be commenced on the basis of a
petition, request, resolution, or motion
as provided in section 202(a)(1),
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204(c)(1), 406(a)(1), 421(b) or (o), or
422(b) of the Trade Act of 1974 or
section 302(a)(1) or 312(c)(1) of the
North American Free Trade Agreement
Implementation Act. Each petition or
request, as the case may be, filed by an
entity representative of a domestic
industry under this part 206 shall state
clearly on the first page thereof ‘‘This is
a [petition or request] under section
[202, 204(c), 406, 421(b) or (o), or 422(b)
of the Trade Act of 1974, or section 302
or 312(c) of the North American Free
Trade Agreement Implementation Act]
and Subpart [B, C, D, E, F, or G] of part
206 of the rules of practice and
procedure of the United States
International Trade Commission.’’ A
paper original and eight (8) true paper
copies of a petition, request, resolution,
or motion shall be filed. One copy of
any exhibits, appendices, and
attachments to the document shall be
filed in electronic form on CD–ROM,
DVD, or other portable electronic format
approved by the Secretary.
■ 8. Amend § 206.8 by adding paragraph
(d) to read as follows:
§ 206.8 Service, filing, and certification of
documents.
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(d) Briefs. All briefs filed in
proceedings subject to this part shall be
filed electronically, and eight (8) true
paper copies shall be filed on the same
business day.
■ 9. Amend § 206.17 by revising
paragraph (a)(2) to read as follows:
§ 206.17 Limited disclosure of certain
confidential business information under
administrative protective order.
(a) * * *
(2) Application. An application under
paragraph (a)(1) of this section must be
made by an authorized applicant on a
form adopted by the Secretary or a
photocopy thereof. A signed application
shall be filed electronically. An
application on behalf of an authorized
applicant must be made no later than
the time that entries of appearance are
due pursuant to § 201.11 of this chapter.
In the event that two or more authorized
applicants represent one interested
party who is a party to the investigation,
the authorized applicants must select
one of their number to be lead
authorized applicant. The lead
authorized applicant’s application must
be filed no later than the time that
entries of appearance are due. Provided
that the application is accepted, the lead
authorized applicant shall be served
with confidential business information
pursuant to paragraph (f) of this section.
The other authorized applicants
representing the same party may file
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their applications after the deadline for
entries of appearance but at least five
days before the deadline for filing
posthearing briefs in the investigation,
and shall not be served with
confidential business information.
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PART 207—INVESTIGATIONS OF
WHETHER INJURY TO DOMESTIC
INDUSTRIES RESULTS FROM
IMPORTS SOLD AT LESS THAN FAIR
VALUE OR FROM SUBSIDIZED
EXPORTS TO THE UNITED STATES
10. The authority citation for part 207
continues to read as follows:
■
Authority: 19 U.S.C. 1336, 1671–1677n,
2482, 3513.
11. Amend § 207.7 by revising
paragraph (a)(2) to read as follows:
■
§ 207.7 Limited disclosure of certain
business proprietary information under
administrative protective order.
(a) * * *
(2) Application. An application under
paragraph (a)(1) of this section must be
made by an authorized applicant on a
form adopted by the Secretary or a
photocopy thereof. A signed application
shall be filed electronically. An
application on behalf of a petitioner, a
respondent, or another party must be
made no later than the time that entries
of appearance are due pursuant to
§ 201.11 of this chapter. In the event
that two or more authorized applicants
represent one interested party who is a
party to the investigation, the
authorized applicants must select one of
their number to be lead authorized
applicant. The lead authorized
applicant’s application must be filed no
later than the time that entries of
appearance are due. Provided that the
application is accepted, the lead
authorized applicant shall be served
with business proprietary information
pursuant to paragraph (f) of this section.
The other authorized applicants
representing the same party may file
their applications after the deadline for
entries of appearance but at least five
days before the deadline for filing
posthearing briefs in the investigation,
or the deadline for filing briefs in the
preliminary phase of an investigation, or
the deadline for filing submissions in a
remanded investigation, and shall not
be served with business proprietary
information.
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■ 12. Amend § 207.10 by revising
paragraph (a) to read as follows:
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§ 207.10 Filing of petition with the
Commission.
(a) Filing of the petition. Any
interested party who files a petition
with the administering authority
pursuant to section 702(b) or section
732(b) of the Act in a case in which a
Commission determination under title
VII of the Act is required, shall file
copies of the petition and all exhibits,
appendices, and attachments thereto,
pursuant to 201.8 of this chapter, with
the Secretary on the same day the
petition is filed with the administering
authority. A paper original and eight (8)
true paper copies of a petition shall be
filed. One copy of all exhibits,
appendices, and attachments to the
petition shall be filed in electronic form
on CD–ROM, DVD, or other portable
electronic format approved by the
Secretary. If the petition complies with
the provisions of § 207.11, it shall be
deemed to be properly filed on the date
on which the requisite number of copies
of the petition is received by the
Secretary, provided that, if the petition
is filed with the Secretary after 12:00
noon, eastern time, the petition shall be
deemed filed on the next business day.
The Secretary shall notify the
administering authority of that date.
Notwithstanding § 201.11 of this
chapter, a petitioner need not file an
entry of appearance in the investigation
instituted upon the filing of its petition,
which shall be deemed an entry of
appearance.
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■ 13. Revise § 207.15 to read as follows:
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§ 207.15
Written briefs and conference.
Each party may submit to the
Commission on or before a date
specified in the notice of investigation
issued pursuant to 207.12 a written brief
containing information and arguments
pertinent to the subject matter of the
investigation. Briefs shall be signed,
shall include a table of contents, and
shall contain no more than fifty (50)
double-spaced and single-sided pages of
textual material, and shall be filed
electronically, and eight (8) true paper
copies shall be submitted on the same
business day (on paper measuring 8.5 x
11 inches, double-spaced and singlesided). Any person not a party may
submit a brief written statement of
information pertinent to the
investigation within the time specified
and the same manner specified for the
filing of briefs. In addition, the
presiding official may permit persons to
file within a specified time answers to
questions or requests made by the
Commission’s staff. If he deems it
appropriate, the Director shall hold a
conference. The conference, if any, shall
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be held in accordance with the
procedures in § 201.13 of this chapter,
except that in connection with its
presentation a party may provide
written witness testimony at the
conference; if written testimony is
provided, eight (8) true paper copies
shall be submitted. The Director may
request the appearance of witnesses,
take testimony, and administer oaths.
■ 14. Revise § 207.23 to read as follows:
§ 207.23
Prehearing brief.
Each party who is an interested party
shall submit to the Commission, no later
than five (5) business days prior to the
date of the hearing specified in the
notice of scheduling, a prehearing brief.
Prehearing briefs shall be signed and
shall include a table of contents and
shall be filed electronically, and eight
(8) true paper copies shall be submitted
on the same business day. The
prehearing brief should present a party’s
case concisely and shall, to the extent
possible, refer to the record and include
information and arguments which the
party believes relevant to the subject
matter of the Commission’s
determination under section 705(b) or
section 735(b) of the Act. Any person
not an interested party may submit a
brief written statement of information
pertinent to the investigation within the
time specified and the same manner
specified for filing of prehearing briefs.
■ 15. Amend § 207.24 by revising
paragraph (b) to read as follows:
§ 207.24
Hearing.
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(b) Procedures. Any hearing shall be
conducted after notice published in the
Federal Register. The hearing shall not
be subject to the provisions of 5 U.S.C.
subchapter II, chapter 5, or to 5 U.S.C.
702. Each party shall limit its
presentation at the hearing to a
summary of the information and
arguments contained in its prehearing
brief, an analysis of the information and
arguments contained in the prehearing
briefs described in § 207.23, and
information not available at the time its
prehearing brief was filed. Unless a
portion of the hearing is closed,
presentations at the hearing shall not
include business proprietary
information. Notwithstanding
§ 201.13(f) of this chapter, in connection
with its presentation, a party may
provide written witness testimony at the
hearing; if written testimony is
provided, eight (8) true paper copies
shall be submitted. In the case of
testimony to be presented at a closed
session held in response to a request
under § 207.24(d), confidential and nonconfidential versions shall be filed in
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accordance with § 207.3. Any person
not a party may make a brief oral
statement of information pertinent to
the investigation.
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■ 16. Revise § 207.25 to read as follows:
§ 207.25
Posthearing briefs.
Any party may file a posthearing brief
concerning the information adduced at
or after the hearing with the Secretary
within a time specified in the notice of
scheduling or by the presiding official at
the hearing. A posthearing brief shall be
filed electronically, and eight (8) true
paper copies shall be submitted on the
same business day. No such posthearing
brief shall exceed fifteen (15) pages of
textual material, double-spaced and
single-sided, when printed out on paper
measuring 8.5 x 11 inches. In addition,
the presiding official may permit
persons to file answers to questions or
requests made by the Commission at the
hearing within a specified time. The
Secretary shall not accept for filing
posthearing briefs or answers which do
not comply with this section.
■ 17. Revise § 207.28 to read as follows:
§ 207.28
Anticircumvention.
Prior to providing advice to the
administering authority pursuant to
section 781(e)(3) of the Act, the
Commission shall publish in the
Federal Register a notice that such
advice is contemplated. Any person
may file one written submission
concerning the matter described in the
notice no later than fourteen (14) days
after publication of the notice. Such a
statement shall be filed electronically,
and eight (8) true paper copies shall be
submitted on the same business day.
The statement shall contain no more
than fifty (50) double-spaced and singlesided pages of textual material, when
printed out on paper measuring 8.5 x 11
inches. The Commission shall by notice
provide for additional statements as it
deems necessary.
■ 18. Amend § 207.30 by revising
paragraph (b) to read as follows:
§ 207.30
Comment on information.
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(b) The parties shall have an
opportunity to file comments on any
information disclosed to them after they
have filed their posthearing brief
pursuant to § 207.25. A comment shall
be filed electronically, and eight (8) true
paper copies shall be submitted on the
same business day. Comments shall
only concern such information, and
shall not exceed 15 pages of textual
material, double-spaced and singlesided, when printed out on paper
measuring 8.5 x 11 inches. A comment
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may address the accuracy, reliability, or
probative value of such information by
reference to information elsewhere in
the record, in which case the comment
shall identify where in the record such
information is found. Comments
containing new factual information
shall be disregarded. The date on which
such comments must be filed will be
specified by the Commission when it
specifies the time that information will
be disclosed pursuant to paragraph (a)
of this section. The record shall close on
the date such comments are due, except
with respect to investigations subject to
the provisions of section 771(7)(G)(iii) of
the Act, and with respect to changes in
bracketing of business proprietary
information in the comments permitted
by § 207.3(c).
■ 19. Amend § 207.61 by adding
paragraph (e) to read as follows:
which the party believes relevant to the
subject matter of the Commission’s
determination.
■ 22. Amend § 207.67 by revising
paragraph (a) to read as follows:
§ 207.67 Posthearing briefs and
statements.
§ 207.62 Rulings on adequacy and nature
of Commission review.
(a) Briefs from parties. Any party to a
five-year review may file with the
Secretary a posthearing brief concerning
the information adduced at or after the
hearing within a time specified in the
scheduling notice or by the presiding
official at the hearing. A posthearing
brief shall be filed electronically, and
eight (8) true paper copies shall be
submitted on the same business day. No
such posthearing brief shall exceed
fifteen (15) pages of textual material,
double spaced and single sided, when
printed out on paper measuring 8.5 x 11
inches and single-sided. In addition, the
presiding official may permit persons to
file answers to questions or requests
made by the Commission at the hearing
within a specified time. The Secretary
shall not accept for filing posthearing
briefs or answers which do not comply
with this section.
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■ 23. Amend § 207.68 by revising
paragraph (b) to read as follows:
*
§ 207.68
§ 207.61 Responses to notice of
institution.
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(e) A document filed under this
section shall be filed electronically, and
eight (8) true paper copies shall be
submitted on the same business day.
■ 20. Amend § 207.62 by revising
paragraph (b)(2) to read as follows:
*
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*
(b) * * *
(2) Comments shall be submitted
within the time specified in the notice
of institution. In a grouped review, only
one set of comments shall be filed per
party. Comments shall be filed
electronically, and eight (8) true paper
copies shall be submitted on the same
business day. Comments shall not
exceed fifteen (15) pages of textual
material, double spaced and single
sided, when printed out on paper
measuring 8.5 x 11 inches. Comments
containing new factual information
shall be disregarded.
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*
■ 21. Revise § 207.65 to read as follows:
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§ 207.65
Prehearing briefs.
Each party to a five-year review may
submit a prehearing brief to the
Commission on the date specified in the
scheduling notice. A prehearing brief
shall be signed and shall include a table
of contents. A prehearing brief shall be
filed electronically, and eight (8) true
paper copies shall be submitted (on
paper measuring 8.5 x 11 inches and
single-sided) on the same business day.
The prehearing brief should present a
party’s case concisely and shall, to the
extent possible, refer to the record and
include information and arguments
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Final comments on information.
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(b) The parties shall have an
opportunity to file comments on any
information disclosed to them after they
have filed their posthearing brief
pursuant to § 207.67. Comments shall be
filed electronically, and eight (8) true
paper copies shall be submitted on the
same business day. Comments shall
only concern such information, and
shall not exceed 15 pages of textual
material, double spaced and singlesided, when printed out on paper
measuring 8.5 x 11 inches and singlesided. A comment may address the
accuracy, reliability, or probative value
of such information by reference to
information elsewhere in the record, in
which case the comment shall identify
where in the record such information is
found. Comments containing new
factual information shall be disregarded.
The date on which such comments must
be filed will be specified by the
Commission when it specifies the time
that information will be disclosed
pursuant to paragraph (a) of this section.
The record shall close on the date such
comments are due, except with respect
to changes in bracketing of business
proprietary information in the
comments permitted by § 207.3(c).
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PART 210—ADJUDICATION AND
ENFORCEMENT
24. The authority citation for part 210
continues to read as follows:
■
Authority: 19 U.S.C. 1333, 1335, and 1337.
25. Amend § 210.4 by revising
paragraphs (f)–(g) and adding
paragraphs (h)–(i) to read as follows:
■
§ 210.4 Written submissions;
representations; sanctions.
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*
(f) Filing of documents. (1) Written
submissions that are addressed to the
Commission during an investigation or
a related proceeding shall comply with
the Commission’s Handbook on Filing
Procedures, which is issued by and
available from the Secretary and posted
on the Commission’s Electronic
Document Information System Web site
at https://edis.usitc.gov. Failure to
comply with the requirements of this
chapter and the Handbook on Filing
Procedures in the filing of a document
may result in the rejection of the
document as improperly filed.
(2) A complaint, petition, or request,
and supplements and amendments
thereto, filed under §§ 210.8, 210.75,
210.76, or 210.79 shall be filed in paper
form. An original and eight (8) true
paper copies shall filed. All exhibits,
appendices, and attachments to the
document shall be filed in electronic
form on one CD–ROM, DVD, or other
portable electronic media approved by
the Secretary. Sections 210.8 and 210.12
set out additional requirements for a
complaint filed under section 210.8.
Additional requirements for a petition
or request filed under §§ 210.75, 210.76,
or 210.79 are set forth in those sections.
Submitted media will be retained by the
Commission, except that media may be
returned to the submitter if a document
is not accepted for filing.
(3) Responses to a complaint, briefs,
comments and responses thereto,
compliance reports, motions and
responses or replies thereto, petitions
and replies thereto, prehearing
statements, and proposed findings of
fact and conclusions of law and
responses thereto provided for under
§§ 210.4(d), 210.13, 210.8, 210.14,
210.15, 210.16, 210.17, 210.18, 210.19,
210.20, 210.21, 210.23, 210.24, 210.25,
210.26, 210.33, 210.34, 210.35, 210.36,
210.40, 210.43, 210.45, 210.46, 210.47,
210.50, 210.52, 210.53, 210.57, 210.59,
or 210.71; and submissions filed with
the Secretary pursuant to an order of the
presiding administrative law judge shall
be filed electronically, and true paper
copies of such submissions shall be
filed by 12 noon, eastern time, on the
next business day.
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(4) Except for the documents listed in
paragraphs (f)(2) and (f)(3) of this
section, all other documents shall be
filed electronically, and no paper copies
will be required.
(5) If paper copies are required under
this section, the required number of
paper copies shall be governed by
paragraph (f)(6) of this section. A paper
copy provided for in this section must
be a true copy of the electronic version
of the document, i.e., a copy that is
identical in all possible respects.
(6) Unless the Commission or this part
specifically states otherwise:
(i) Two (2) true paper copies of each
submission shall be filed if the
investigation or related proceeding is
before an administrative law judge; and
(ii) Eight (8) true paper copies of each
submission shall be filed if the
investigation or related proceeding is
before the Commission.
(7)(i) If a complaint, a supplement or
amendment to a complaint, a motion for
temporary relief, or the documentation
supporting a motion for temporary relief
contains confidential business
information as defined in § 201.6(a) of
this chapter, the complainant shall file
nonconfidential copies of the complaint,
the supplement or amendment to the
complaint, the motion for temporary
relief, or the documentation supporting
the motion for temporary relief
concurrently with the requisite
confidential copies, as provided in
§ 210.8(a). A nonconfidential copy of all
exhibits, appendices, and attachments
to the document shall be filed in
electronic form on one CD–ROM, DVD,
or other portable electronic media
approved by the Secretary, separate
from the media used for the confidential
version.
(ii)(A) Persons who file the following
submissions that contain confidential
business information covered by an
administrative protective order, or that
are the subject of a request for
confidential treatment, must file
nonconfidential copies and serve them
on the other parties to the investigation
or related proceeding within 10
calendar days after filing the
confidential version with the
Commission:
(1) A response to a complaint and all
supplements and exhibits thereto;
(2) All submissions relating to a
motion to amend the complaint or
notice of investigation; and
(3) All submissions addressed to the
Commission.
(B) Other sections of this part may
require, or the Commission or the
administrative law judge may order, the
filing and service of nonconfidential
copies of other kinds of confidential
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15:01 Oct 05, 2011
Jkt 226001
submissions. If the submitter’s ability to
prepare a nonconfidential copy is
dependent upon receipt of the
nonconfidential version of an initial
determination, or a Commission order
or opinion, or a ruling by the
administrative law judge or the
Commission as to whether some or all
of the information at issue is entitled to
confidential treatment, the
nonconfidential copies of the
submission must be filed within 10
calendar days after service of the
Commission or administrative law judge
document in question. The time periods
for filing specified in this paragraph
apply unless the Commission, the
administrative law judge, or another
section of this part specifically provides
otherwise.
(8) The Secretary may provide for
exceptions and modifications to the
filing requirements set out in this
chapter. A person seeking an exception
should consult the Handbook on Filing
Procedures.
(9) Where to file; date of filing.
Documents shall be filed at the Office of
the Secretary of the Commission in
Washington, DC. Such documents, if
properly filed within the hours of
operation specified in § 201.3(c), will be
deemed to be filed on the date on which
they are actually received in the
Commission.
(10) Conformity with rules. Each
document filed with the Commission for
the purpose of initiating any
investigation shall be considered
properly filed if it conforms with the
pertinent rules prescribed in this
chapter. Substantial compliance with
the pertinent rules may be accepted by
the Commission provided good and
sufficient reason is stated in the
document for inability to comply fully
with the pertinent rules.
(11) During any period in which the
Commission is closed, deadlines for
filing documents electronically and by
other means are extended so that
documents are due on the first business
day after the end of the closure.
(g) Cover Sheet. When making a paper
filing, parties must complete the cover
sheet online at https://edis.usitc.gov and
print out the cover sheet for submission
to the Office of the Secretary with the
paper filing. The party submitting the
cover sheet is responsible for the
accuracy of all information contained in
the cover sheet, including, but not
limited to, the security status and the
investigation number, and must comply
with applicable limitations on
disclosure of confidential information
under § 210.5.
(h) Specifications. (1) Each document
filed under this chapter shall be double-
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61945
spaced, clear and legible, except that a
document of two pages or less in length
need not be double-spaced. All
submissions shall be in letter-sized
format (8.5 x 11 inches), except copies
of documents prepared for another
agency or a court (e.g. patent file
wrappers or pleadings papers), and
single sided. Typed matter shall not
exceed 6.5 x 9.5 inches using 11-point
or larger type and shall be doublespaced between each line of text using
the standard of 6 lines of type per inch.
Text and footnotes shall be in the same
size type. Quotations more than two
lines long in the text or footnotes may
be indented and single-spaced.
Headings and footnotes may be singlespaced.
(2) The administrative law judge may
impose any specifications he deems
appropriate for submissions that are
addressed to the administrative law
judge.
(i) Service. Unless the Commission,
the administrative law judge, or another
section of this part specifically provides
otherwise, every written submission
filed by a party or proposed party shall
be served on all other parties in the
manner specified in § 201.16(b) of this
chapter.
■ 26. Amend § 210.8 by revising
paragraphs (a)(1) and (a)(2) to read as
follows:
§ 210.8 Commencement of preinstitution
proceedings.
*
*
*
*
*
(a)(1) A complaint filed under this
section shall be filed in paper form with
the Secretary as follows.
(i) An original and eight (8) true paper
copies of the nonconfidential version of
the complaint shall be filed. All
exhibits, appendices, and attachments
to this version of the complaint shall be
filed in electronic form on CD–ROM,
DVD, or other portable electronic media
approved by the Secretary.
(ii) An original and eight (8) true
paper copies of the confidential version
of the complaint shall be filed. All
exhibits, appendices, and attachments
to this version of the complaint shall be
filed in electronic form on CD–ROM,
DVD, or other portable electronic media
approved by the Secretary.
(iii) For each proposed respondent,
one true copy of the nonconfidential
version of the complaint and one true
copy of the confidential version of the
complaint, if any, along with one true
copy of the nonconfidential exhibits and
one true copy of the confidential
exhibits shall be filed, and
(iv) For the government of the foreign
country in which each proposed
respondent is located as indicated in the
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complaint, one true copy of the
nonconfidential version of the
complaint shall be filed.
Note to paragraph (a)(1): The same
requirements apply for the filing of a
supplement or amendment to the complaint.
(2) If the complainant is seeking
temporary relief, the complainant must
also file:
(i) An original and eight (8) true paper
copies of the nonconfidential version of
the motion for temporary relief. All
exhibits, appendices, and attachments
to this version of the motion shall be
filed in electronic form on CD–ROM,
DVD, or other portable electronic media
approved by the Secretary.
(ii) An original and eight (8) true
paper copies of the confidential version
of the motion for temporary relief. All
exhibits, appendices, and attachments
to this version of the motion shall be
filed in electronic form on CD–ROM,
DVD, or other portable electronic media
approved by the Secretary; and
(iii) For each proposed respondent,
one true copy of the nonconfidential
version of the motion and one true copy
of the confidential version of the motion
along with one true copy of the
nonconfidential exhibits and one true
copy of the confidential exhibits filed
with the motion.
Note to paragraph (a)(2): The same
requirements apply for the filing of a
supplement or amendment to the complaint
or a supplement to the motion for temporary
relief.
*
*
*
*
Organization Exempt From Income
Tax’’. These regulations were published
in the Federal Register on Thursday,
September 8, 2011 (76 FR 55746).
This correction is effective on
October 6, 2011, and is applicable on
September 8, 2011.
DATES:
FOR FURTHER INFORMATION CONTACT:
SUPPLEMENTARY INFORMATION:
DEPARTMENT OF THE TREASURY
Background
Internal Revenue Service
The final regulations that are the
subject of this correction are under
sections 170A, 507, 509, 6033 and 6043
of the Internal Revenue Code.
26 CFR Parts 1 and 602
Need for Correction
RIN 1545–BH28
As published, final regulations (TD
9549) contain an error that may prove to
be misleading and is in need of
clarification.
Implementation of Form 990;
Correction
List of Subjects in 26 CFR Part 1
Income taxes, Reporting and
recordkeeping requirements.
Correction of Publication
Accordingly, 26 CFR part 1 is
corrected by making the following
correcting amendment:
PART 1—INCOME TAXES
Authority: 26 U.S.C. 7805. * * *
Par. 2. Section 1.509(a)–3 is amended
by revising paragraph (n)(3) to read as
follows:
■
[FR Doc. 2011–25646 Filed 10–5–11; 8:45 am]
BILLING CODE 7020–02–P
§ 1.509(a)–3 Broadly, publicly supported
organizations.
DEPARTMENT OF THE TREASURY
*
Internal Revenue Service
26 CFR Part 1
[TD 9549]
RIN 1545–BH28
wreier-aviles on DSK7SPTVN1PROD with RULES
Implementation of Form 990;
Correction
Internal Revenue Service (IRS),
Treasury.
ACTION: Correcting amendment.
AGENCY:
This document describes a
correcting amendment to final
regulations (TD 9549) that implement
the redesigned Form 990, ‘‘Return of
SUMMARY:
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15:01 Oct 05, 2011
Jkt 226001
[FR Doc. 2011–25773 Filed 10–5–11; 8:45 am]
BILLING CODE 4830–01–P
Paragraph 1. The authority citation
for part 1 continues to read in part as
follows:
Issued: September 29, 2011.
By order of the Commission.
James R. Holbein,
Secretary to the Commission.
LaNita Van Dyke,
Chief, Publications and Regulations Branch,
Legal Processing Division, Associate Chief
Counsel (Procedure and Administration).
Terri Harris, (202) 622–6070 (not a tollfree number).
■
*
computed over the period 2003 through
2006.
*
*
*
*
*
*
*
*
*
(n) * * *
(3) An organization that fails to meet
a public support test for its first taxable
year beginning on or after January 1,
2008, under the regulations in this
section may use the prior test set forth
in §§ 1.509(a)–3(a)(2) and 1.509(a)–
3(a)(3) or § 1.170A–9(e)(2) or § 1.170A–
9(e)(3) as in effect before September 9,
2008, (as contained in 26 CFR part 1
revised April 1, 2008) to determine
whether the organization may be
publicly supported for its 2008 taxable
year based on its satisfaction of a public
support test for taxable year 2007,
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[TD 9549]
Internal Revenue Service (IRS),
Treasury.
ACTION: Correction to final regulations.
AGENCY:
This document describes a
correction to final regulations (TD 9549)
that implement the redesigned Form
990, ‘‘Return of Organization Exempt
From Income Tax’’. These regulations
were published in the Federal Register
on Thursday, September 8, 2011 (76 FR
55746).
DATES: This correction is effective on
October 6, 2011, and is applicable on
September 8, 2011.
FOR FURTHER INFORMATION CONTACT:
Terri Harris, (202) 622–6070 (not a tollfree number).
SUPPLEMENTARY INFORMATION:
SUMMARY:
Background
The final regulations that are the
subject of this correction are under
sections 170A, 507, 509, 6033 and 6043
of the Internal Revenue Code.
Need for Correction
As published, final regulations (TD
9549) contain an error that may prove to
be misleading and is in need of
clarification.
Correction of Publication
Accordingly, the publication of the
final regulations (TD 9549) which were
the subject of FR Doc. 2011–22614 is
corrected as follows:
On page 55747, column 2, in the
preamble, under the paragraph heading
‘‘Computation Period for Public
Support’’, third paragraph of the
column, line 13, the language
‘‘§ 1.170A–9(f)(9). The final regulations’’
E:\FR\FM\06OCR1.SGM
06OCR1
Agencies
[Federal Register Volume 76, Number 194 (Thursday, October 6, 2011)]
[Rules and Regulations]
[Pages 61937-61946]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-25646]
=======================================================================
-----------------------------------------------------------------------
INTERNATIONAL TRADE COMMISSION
19 CFR Parts 201, 206, 207, and 210
Practice and Procedure: Rules of General Application, Safeguards,
Antidumping and Countervailing Duty, and Adjudication and Enforcement
AGENCY: International Trade Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The United States International Trade Commission
(``Commission'') is amending its rules of practice and procedure
concerning rules of general application, safeguards, antidumping and
countervailing duty, and adjudication and enforcement. The amendments
are necessary to implement a new Commission requirement for electronic
filing of most documents with the agency. The intended effects of the
amendments are to increase efficiency in processing documents filed
with the Commission, reduce Commission expenditures, and conform agency
processes to Federal Government initiatives.
DATES: Effective November 7, 2011.
FOR FURTHER INFORMATION CONTACT: James R. Holbein, Secretary, telephone
(202) 205-2000 or Gracemary Roth-Roffy, telephone (202) 205-3117,
Office of the General Counsel, United States International Trade
Commission. Hearing-impaired individuals are advised that information
on this matter can be obtained by contacting the Commission's TDD
terminal at 202-205-1810. General information concerning the Commission
may also be obtained by accessing its Internet server at https://www.usitc.gov.
SUPPLEMENTARY INFORMATION: On July 6, 2011, the Commission published a
notice of proposed rulemaking concerning the filing of documents with
the agency. 76 FR 39750, July 6, 2011. This notice of final rulemaking
is based on that notice. On the same day, the Commission published a
notice seeking public comment on a draft Handbook on Electronic Filing
Procedures. 76 FR 39757, July 6, 2011. The preamble below is designed
to assist readers in understanding these amendments to the Commission's
Rules. This preamble provides background information, a regulatory
analysis of the amendments, a discussion of the comments received from
the public, and a section-by-section explanation of the amendments.
Background
Section 335 of the Tariff Act of 1930 (19 U.S.C. 1335) authorizes
the Commission to adopt such reasonable procedures, rules, and
regulations as it deems necessary to carry out its functions and
duties. This rulemaking seeks to improve provisions of the Commission's
existing Rules of Practice and Procedure. The Commission is amending
its rules covering proceedings such as investigations and reviews
conducted under title VII and section 337 of the Tariff Act of 1930 (19
U.S.C. 1337, 1671 et seq.), sections 202, 406, 421, 422 of the Trade
Act of 1974 (19 U.S.C. 2252, 2436, 2451, 2451a), and sections 302 and
312 of the North American Free Trade Agreement Implementation Act (19
U.S.C. 3352, 3372).
Consistent with its ordinary practice, the Commission is issuing
these amendments in accordance with provisions of section 553 of the
APA (5 U.S.C. 553), although not all provisions apply to this
rulemaking. The APA procedure entails the following steps: (1)
Publication of a notice of proposed rulemaking; (2) solicitation of
public comments on the proposed amendments; (3) Commission review of
public comments on the proposed amendments; and (4) publication of
final amendments at least thirty days prior to their effective date.
The Commission will now require that most filings with the agency
be made by electronic means. The electronic version will constitute the
[[Page 61938]]
official record document and any paper form of the document must be a
true copy and identical to the electronic version. The Commission's
Electronic Document Information System (EDIS) already accepts
electronic filing of certain documents, and will be the mechanism by
which participants in Commission proceedings electronically file their
documents in the future. Previously, submitters have been permitted to
file only public documents into EDIS. The new rules provide for the
electronic filing of documents containing confidential business
information and business proprietary information into EDIS. A new
Handbook on Filing Procedures will supersede the Commission's current
Handbook on Electronic Filing Procedures, and will provide more
detailed information on the filing process. The Commission has sought
public comment concerning the new handbook in a separate notice.
Persons seeking to file documents will be required to comply with the
revised rules and the Handbook on Filing Procedures.
The Commission estimates that electronic filing of most documents
will significantly reduce the cost to the agency of processing
documents. These costs include labor costs for scanning paper documents
into EDIS, storage costs for paper documents, and costs for continuity
of operations. Electronic filing also is expected to improve the
efficiency and effectiveness of the filing process because documents
will be entered into EDIS more rapidly. Electronic filing also accords
with government-wide initiatives encouraging agencies to do business
electronically.
Although the Commission intends to require electronic filing of
most documents, documents generally will also be submitted in paper
form. The agency will allow some documents to be filed in paper form by
noon on the next business day. Moreover, witness testimony and hearing
materials in import injury investigations and reviews will be submitted
only in paper form, and public versions of testimony will be accepted
at the relevant conference or hearing. The rules will provide the
Secretary to the Commission with the authority to establish exceptions
and modifications to the requirement to electronically file documents,
as more fully described in the Handbook on Filing Procedures.
The changes to the filing process are not intended to affect the
current practice with respect to the filing of responses to Commission
questionnaires in import injury investigations and reviews.
Regulatory Analysis
The Commission has determined that the final rules do not meet the
criteria described in section 3(f) of Executive Order 12866 (58 FR
51735, Oct. 4, 1993) and thus do not constitute a significant
regulatory action for purposes of the Executive Order.
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) is
inapplicable to this rulemaking because it is not one for which a
notice of final rulemaking is required under 5 U.S.C. 553(b) or any
other statute. Although the Commission chose to publish a notice of
proposed rulemaking, these regulations are ``agency rules of procedure
and practice,'' and thus are exempt from the notice requirement imposed
by 5 U.S.C. 553(b).
These rules do not contain federalism implications warranting the
preparation of a federalism summary impact statement pursuant to
Executive Order 13132 (64 FR 43255, Aug. 4, 1999).
No actions are necessary under the Unfunded Mandates Reform Act of
1995 (2 U.S.C. 1501 et seq.) because the rules will not result in the
expenditure by State, local, and tribal governments, in the aggregate,
or by the private sector, of $100,000,000 or more in any one year, and
will not significantly or uniquely affect small governments.
The rules are not major rules as defined by section 804 of the
Small Business Regulatory Enforcement Fairness Act of 1996 (5 U.S.C.
801 et seq.). Moreover, they are exempt from the reporting requirements
of the Contract With America Advancement Act of 1996 (Pub. L. 104-121)
because they concern rules of agency organization, procedure, or
practice that do not substantially affect the rights or obligations of
non-agency parties.
The amendments are not subject to section 3504(h) of the Paperwork
Reduction Act (44 U.S.C. 3501 et seq.), because the amendments would
impose no new collection of information under the statute.
Comments
The Commission received 10 sets of comments on the notice of
proposed rulemaking. Commenters generally made comments both on that
notice and on the related notice concerning the Handbook. Comments were
received from Adduci, Mastriani, & Schaumberg LLP (AMS); the American
Bar Association Section of Intellectual Property (ABA); the American
Intellectual Property Law Association (AIPLA); the Customs and
International Trade Bar Association (CITBA); Hughes Hubbard & Reed LLP
(Hughes Hubbard); the ITC Trial Lawyers Association (ITC TLA); Kelley
Drye & Warren (Kelley Drye); Stewart and Stewart; Wiley Rein LLP, on
behalf of Nucor Corporation (Wiley Rein); and Williams Mullen. Issues
raised in the comments will be addressed in this section. The section
first addresses comments made by two or more commenters on the same
issue, then addresses unique comments made by one commenter. The
Commission appreciates the comments received, and the thoughtful and
thorough analysis on which they are based.
Comments on Paper Filing Requirement
AMS, the CITBA, Hughes Hubbard, the ITC TLA, Kelley Drye, Wiley
Rein, and Williams Mullen oppose requiring the submission of paper
copies of documents in addition to their electronic filing. Several
commenters pointed to government-wide initiatives that support moving
to electronic filing. CITBA contends that the Commission's new
procedure will increase the burden on submitters. CITBA, among others,
cites as examples that entries of appearance and public versions of
confidential filings, that in the past could have been filed
electronically, will now have to be filed both electronically and in
paper form. Hughes Hubbard, Kelley Drye, and Wiley Rein submit that the
Commission will incur storage costs for paper copies. Hughes Hubbard
suggests that, if the paper filing requirement is retained, the number
of required copies should be reduced from eight to four. AMS suggests
requiring one paper copy, and setting an end date for the requirement.
AMS suggests that the new policy may result in increased costs and
reduced efficiency for the Commission. Kelley Drye and Wiley Rein warn
that the Commission will need to verify that electronic and paper
submissions are correct, and deal with problems arising from improper
filings. Wiley Rein expresses the concern that the requirement to
simultaneously file electronically and submit paper copies will lead to
an increase in filing problems such as administrative protective order
violations. Wiley Rein expresses the concern that the proposed rules
and Handbook did not explain (1) The status of a filing where the paper
version is timely received but not the electronic version, or vice
versa; (2) the process to follow where there are differences between
the versions, and (3) whether a special process will be used if
business proprietary information is redacted in one version but not the
other. Wiley Rein notes that, although electronic filing of business
proprietary data appears to be required, it is not
[[Page 61939]]
explicitly stated, and the Commission has not explained whether
proprietary data must be marked and controlled to ensure against
unauthorized access.
In developing its new filing policy, the Commission seeks to meet
its needs for filings in particular formats without unduly burdening
submitters. As a preliminary matter, the Commission confirms that the
electronic filing requirement covers documents containing business
proprietary or confidential business information. EDIS currently
provides for specifying whether a document contains confidential
information, and blocks access by members of the public to such
documents. Language is being added to the Handbook to more fully
address the filing of confidential material.
The Commission recognizes the arguments for moving fully to
electronic filing. However, after careful consideration, the Commission
has decided that the paper copies it will require are currently
necessary for carrying out the agency's functions. At the present time,
eight paper copies--a reduction from fourteen--are needed. The copies
are provided to each Commissioner's office as well as relevant staff
offices. Commission proceedings operate under very short deadlines and
filings are voluminous. Paper copies are needed to ensure that staff
and decision-makers can efficiently and fully review and analyze
submissions in such short time periods. It is not practicable for the
agency to print out paper copies of complicated documents for
Commissioners and staff as rapidly as they are needed. Such documents
often include tabbed sections, appendices, and color graphics, and the
parties are in a better position to present the paper versions of their
filings in the manner they intend them to be presented. Storage costs
should not be substantial, because the Commission's records disposition
schedule allows for prompt destruction of paper copies after the
proceeding is completed. To the extent that the requirement to
simultaneously file electronically and submit paper copies poses a
problem for submitters, the Commission urges submitters to consult with
the Secretary to help ensure that filings are accomplished correctly.
However, in the interest of reducing the burden on submitters, the
Commission will not require certain documents, such as entries of
appearance, to be filed in paper form. In addition, as the Commission
periodically reviews its regulations, it may revisit the filing
requirement after it has had a chance to function for a time, and may
make further changes to the requirement as warranted by experience.
However, the Commission cannot yet specify a schedule for this review.
The Commission wishes to emphasize that all of the requirements
relating to filing of documents will be enforced. In particular, the
failure to redact business proprietary information from the electronic
version of a document may constitute a breach of the administrative
protective order whether or not the redaction was done properly in the
paper copies; the same would be true if the problem appeared in the
paper copies.
Comments on the Filing of Petitions
Hughes Hubbard, Kelley Drye, and Williams Mullen suggest that the
Commission require that petitions in import injury proceedings be filed
electronically. Kelley Drye indicates that the proposed rulemaking did
not make clear whether exhibits and attachments would need to be in
paper form as well as on electronic media. They also believe that it
was not clear whether eight paper copies of the petition are required.
Because of the special handling that petitions require, electronic
filing of such documents would not meet the agency's needs at this
time. However, with respect to exhibits, appendices, and attachments to
petitions, the Commission requires these documents to be filed only on
electronic media and not in paper form. The Commission requires that
the original plus eight paper copies of the confidential version of the
petition and four paper copies of the public version of the petition
must be filed.
Comments on the ``One-Day Rule''
AMS, the CITBA, Hughes Hubbard, Kelley Drye, Wiley Rein, and
Williams Mullen urge the Commission to retain the one-day rule on the
filing of public versions of confidential documents in import injury
proceedings. The Commission did not intend to eliminate this rule,
which the agency agrees serves a valuable function. The Commission is
clarifying in its Handbook that the one-day rule has been retained.
Comments on Filing Requirements in Section 337 Proceedings
The AIPLA and the ABA suggest that the Commission clarify the
filing requirements in section 337 proceedings by setting out those
requirements in section 210.4(f), rather than employing cross-
references among several rules. The final rules adopt the suggested
approach to address this concern.
AMS, the AIPLA and the ABA express the concern that the proposed
rules imply the creation of a same-day rule for filing the public
version of a confidential submission. In a similar vein, the ITC TLA
urges the Commission to not require the filing of public versions of
all confidential documents. The Commission did not intend to create
such a general requirement. However, the rules already provide for the
filing of public versions of some confidential filings.
The AIPLA and the ABA suggest replacing in section 210.4(f)
``submissions pursuant to an order of the presiding'' ALJ with
``submissions filed with the Secretary pursuant to an order of the
presiding ALJ.'' The ITC TLA makes a similar comment. The ABA suggests
making a similar revision to section II(C) of the Handbook. The
Commission has adopted this suggestion.
The AIPLA, the ABA, and the ITC TLA suggest clarifying whether the
Commission is removing the requirement to submit copies of the
complaint for service on parties and embassies. The Commission does not
intend to remove this requirement, and is reflecting this clarification
in its rules.
The AIPLA and the ABA suggest deleting new section II(J)(3) of the
Handbook as unnecessarily onerous. The ITC TLA suggests that the
requirement is particularly difficult for counsel not resident in
Washington, DC. The Commission has modified that section to simplify
the procedure.
The ABA suggests clarifying in section 210.8 whether the Commission
intends to remove procedures for the separation of confidential and
nonconfidential versions of documents such as complaints, and for
submitting multiple copies of exhibits, appendices, and attachments.
The ITC TLA similarly indicates that the proposed rules appear to
eliminate the requirement to separate the public and confidential
versions of the complaint. The Commission does not intend to remove the
requirement to separate the public and confidential versions of
documents, and is clarifying this point in its rules.
Comments Relating to Service
The AIPLA and the ABA suggest removing the requirement in section
II(K) of the Handbook that parties obtain approval of the presiding
administrative law judge in order to effect electronic service. The
AIPLA offers a proposed amendment to section 201.16(f) to streamline
service. The ABA suggests adding electronic service on lead counsel as
a default method of service. Stewart and Stewart urges the
[[Page 61940]]
Commission to consider allowing parties to serve public documents
electronically if other parties consent to such service, and requesting
that parties include in their entries of appearance a statement on
whether they consent. The ITC TLA urges the Commission to clarify the
discussion of service in the Handbook with respect to whether
permission is required for electronic service during the Commission
review phase of a section 337 proceeding, and whether such service
requires the consent of both the presiding administrative law judge and
the relevant party.
The Commission has determined to amend its rule on service to
remove the requirement for obtaining the consent of the Secretary or
the presiding administrative law judge in order to effect service
electronically. A party will be able to opt out of being served
electronically by notifying the Secretary or the administrative law
judge, and the other parties to a proceeding.
Comment Relating to Agency Closure
The ABA suggests that section II(C)(4) of the Handbook be revised
to adopt a default filing date of the next business day in the event of
a closure of the Commission, regardless of whether the electronic
docketing system is operational. The ITC TLA makes a similar comment.
The Commission has adopted the suggestion.
Adduci, Mastriani, & Schaumberg LLP
AMS notes that the reproduction of items on EDIS beyond fair use
requires the registered user's permission. Paragraph L of the Handbook
addresses copyright issues.
The American Intellectual Property Law Association
The AIPLA proposes to replace ``copies'' with ``a copy'' in section
201.16. The Commission has adopted this suggestion.
The AIPLA suggests replacing the term ``true copies.'' The
Commission believes that the term is clearer than the proposed
alternative, but has added clarifying language to its rules.
The AIPLA suggests clarifying in section II(c)(4) of the Handbook
how a submitter is to notify the Secretary of a technical failure at a
time when the agency is closed but EDIS is operational. The Commission
believes that this clarification is not needed in view of the fact that
the Commission will extend electronic filing deadlines to the next
business day after the agency closure.
The American Bar Association Section of Intellectual Property
The ABA suggests adding a provision to section II(C) of the
Handbook stating that, in case of a conflict between the Handbook and
the instructions issued by the presiding administrative law judge, the
latter controls. The Commission is including such a provision in the
Handbook, but notes that if the conflict is between the administrative
law judge's ground rules and the Commission's rules, the latter
control.
Hughes Hubbard & Reed LLP
Hughes Hubbard urges the Commission to set the deadline for
electronic filing at midnight on the relevant day, rather than at 5:15
p.m. The Commission needs to retain the existing deadline in order to
ensure proper receipt and tracking of electronic filings.
Hughes Hubbard recommends that the Commission extend the procedure
for reporting an EDIS failure to the reporting of a technical failure
in the submitter's system. The Commission is not adopting this change,
because of the difficulty of determining whether a submitter's system
has failed.
Hughes Hubbard suggests that the Commission develop a standard e-
filing declaration concerning technical failures. The Commission
considers that such a form may not be practical, because of the variety
of circumstances that may arise.
Hughes Hubbard suggests that the Commission add ``(unless otherwise
authorized by the Commission)'' to the rule on posthearing briefs. The
Commission does not believe that this addition is necessary, because
the Commission, pursuant to section 201.4, has the authority to modify
its page limit requirements where a particular instance so warrants.
The ITC Trial Lawyers Association
The ITC TLA urges the Commission to make clear whether and how
confidential business information is to be filed electronically. The
Commission confirms that the electronic filing requirement covers
documents containing business proprietary or confidential business
information. EDIS currently provides for specifying whether a document
contains confidential information, and blocks access by members of the
public to such documents. Language is being added to the Handbook to
more fully address the filing of confidential material.
The ITC TLA requests clarification of the relationship between
copies provided for in sections 201.14 and 210.4 and copies required
under the ground rules of the presiding administrative law judge. The
copies provided for in the Commission rules are distinct and in
addition to any copies required in ground rules.
The ITC TLA suggests specifying how many copies are required of the
exhibits, appendices, and attachments to a complaint. The Commission
will only require a single copy of such documents on CD-ROM or other
approved media. If the documents contain confidential business
information, however, a public version shall be filed on separate
media.
The ITC TLA recommends that the Handbook specify that the
Commission rules control in any conflict between the Handbook and the
rules. The Handbook contains such a statement.
The ITC TLA suggests specifying in section H(1) of the Handbook
whether a submitter is required to perform optical character
recognition prior to submitting a document. The Commission does not
require submitters to perform such a process.
The ITC TLA suggests clarifying the term ``attestation'' as used in
the Handbook. To avoid confusion, the term ``attest'' is being replaced
by ``certify,'' a term that is already used in the rules, such as in 19
CFR 201.6.
The ITC TLA suggests clarifying the Appendix to the Handbook by
specifying that certain categories do not refer to section 337
documents. The Appendix has been revised to clearly distinguish between
instructions for filing section 337 documents and instructions for
other filings.
Wiley Rein LLP
Wiley Rein urges the Commission to not adopt the proposed
regulations and Handbook in their present form. Instead, Wiley Rein
suggests that the Commission (1) Undertake additional review and then
publish a new proposal for public comment, (2) revise its rules to
permit electronic-only filing, or (3) permit electronic filing one day
after all paper submissions. As discussed above, the Commission has
decided that it must require electronic filing and the submission of
paper copies of certain documents at this time. The Commission
considers that these processes must be simultaneous in import injury
proceedings due to the short timeframe and to facilitate review by the
Commissioners and staff in these proceedings. The Commission is issuing
this notice of final rulemaking rather than a new proposal for comment
because it wishes to implement its new requirement as soon as possible,
with
[[Page 61941]]
the attendant benefits described in the notice of proposed rulemaking.
Wiley Rein suggests that the Commission provide more detail
concerning the filing of voluminous documents, such as by emulating the
Commerce Department, which provides for special handling of documents
over 500 pages in length. The Commission does not believe that further
guidance is necessary, because EDIS is capable of handling voluminous
documents such as documents containing 500 pages.
List of Subjects in 19 CFR Parts 201, 206, 207, and 210
Administrative practice and procedure, Business and industry,
Customs duties and inspection, Imports, Investigations.
For the reasons stated in the preamble, the United States
International Trade Commission amends 19 CFR parts 201, 206, 207, and
210 as follows:
PART 201--RULES OF GENERAL APPLICATION
0
1. The authority citation for part 201 continues to read as follows:
Authority: Sec. 335 of the Tariff Act of 1930 (19 U.S.C. 1335),
and sec. 603 of the Trade Act of 1974 (19 U.S.C. 2482), unless
otherwise noted.
Subpart B--Initiation and Conduct of Investigations
0
2. Amend Sec. 201.8 by revising paragraphs (a), (c), (d), and (f) to
read as follows:
Sec. 201.8 Filing of documents.
(a) Applicability; where to file; date of filing. This section
applies to all Commission proceedings except, notwithstanding any other
section of this chapter, those conducted under 19 U.S.C. 1337, which
are covered by requirements set out in part 210 of this chapter.
Documents shall be filed at the office of the Secretary of the
Commission in Washington, DC. Such documents, if properly filed within
the hours of operation specified in Sec. 201.3(c), will be deemed to
be filed on the date on which they are actually received in the
Commission.
* * * * *
(c) Specifications for documents. Each document filed under this
chapter shall be signed, double-spaced, clear and legible, except that
a document of two pages or less in length need not be double-spaced.
All submissions shall be in letter-sized format (8.5 x 11 inches),
except copies of documents prepared for another agency or a court (e.g.
pleadings papers), and single sided. The name of the person signing the
original shall be typewritten or otherwise reproduced on each copy.
(d) Filing. (1) Except as provided in paragraphs (d)(2) through (6)
and (f) of this section, all documents filed with the Commission shall
be filed electronically. Completion of filing requires the submission
of paper copies by 12 noon, eastern time, on the next business day. A
paper copy provided for in this section must be a true copy of the
electronic version of the document, i.e., a copy that is identical in
all possible respects. All filings shall comply with the procedures set
forth in the Commission's Handbook on Filing Procedures, which is
available from the Secretary and on the Commission's Electronic
Document Information System Web site at https://edis.usitc.gov. Failure
to comply with the requirements of this chapter and the Handbook on
Filing Procedures that apply to the filing of a document may result in
the rejection of the document as improperly filed.
(2) Briefs, statements, responses, comments, and requests filed
pursuant to Sec. 201.12, Sec. 201.14, Sec. 206.8, Sec. 207.15,
Sec. 207.23, Sec. 207.25, Sec. 207.28, Sec. 207.30, Sec. 207.61,
Sec. 207.62, Sec. 207.65, Sec. 207.67, or Sec. 207.68 of this
chapter shall be filed electronically and the requisite number of true
paper copies of these documents shall be submitted to the Commission in
accordance with the provisions of the applicable section.
(3) Petitions and requests filed under Sec. 206.2 or Sec. 207.10
of this chapter shall be filed in paper form and exhibits, appendices,
and attachments to the documents shall be filed in electronic form on
CD-ROM, DVD or other portable electronic media approved by the
Secretary in accordance with the provisions of the applicable section.
Submitted media will be retained by the Commission, except that media
may be returned to the submitter if a document is not accepted for
filing.
(4) Supplementary material and witness testimony provided for under
Sec. 201.13, Sec. 207.15, or Sec. 207.24 of this chapter shall be
filed in paper form in accordance with the provisions of the applicable
section.
(5) Certain documents filed under Sec. 201.4 of this chapter and
applications for administrative protective orders filed under
Sec. Sec. 206.17 and 207.7 of this chapter shall only be filed
electronically; no paper copies will be required.
(6) The Secretary may provide for exceptions and modifications to
the filing requirements set out in this chapter. A person seeking an
exception should consult the Handbook on Filing Procedures.
(7) During any period in which the Commission is closed, deadlines
for filing documents electronically and by other means are extended so
that documents are due on the first business day after the end of the
closure.
* * * * *
(f) Nonconfidential copies. In the event that confidential
treatment of a document is requested under Sec. 201.6(b), a
nonconfidential version of the document shall be filed, in which the
confidential business information shall have been deleted and which
shall have been conspicuously marked ``nonconfidential'' or ``public
inspection.'' The nonconfidential version shall be filed
electronically, and four (4) true paper copies shall be submitted on
the same business day as this electronic filing, except as provided in
Sec. 206.8 or Sec. 207.3 of this chapter. In the event that
confidential treatment is not requested for a document under Sec.
201.6(b), the document shall be conspicuously marked ``No confidential
version filed,'' and the document shall be filed in accordance with
paragraph (d) of this section. The name of the person signing the
original shall be typewritten or otherwise reproduced on each copy.
* * * * *
0
3. Revise Sec. 201.12 to read as follows:
Sec. 201.12 Requests.
Any party to a nonadjudicative investigation may request the
Commission to take particular action with respect to that
investigation. Such requests shall be made by letter addressed to the
Secretary, shall be placed by him in the record, and shall be served on
all other parties. Such request shall be filed electronically and two
(2) true paper copies shall be submitted on the same business day. The
Commission shall take such action or make such response as it deems
appropriate.
0
4. Amend Sec. 201.14 by revising paragraph (b)(3) to read as follows:
Sec. 201.14 Computation of time, additional hearings, postponements,
continuances, and extensions of time.
* * * * *
(b) * * *
(3) A request that the Commission take any of the actions described
in this section shall be filed with the Secretary and served on all
parties to the investigation. Such request shall be filed
electronically and two (2) true paper copies shall be submitted on the
same business day.
[[Page 61942]]
0
5. Amend Sec. 201.16 by revising paragraphs (b) and (f) to read as
follows:
Sec. 201.16 Service of process and other documents.
* * * * *
(b) By a party other than the Commission. Except when service by
another method shall be specifically ordered by the Commission, the
service of a document of a party shall be effected:
(1) By mailing or delivering a copy of a nonconfidential version of
the document to each party, or, if the party is represented by an
attorney before the Commission, by mailing or delivering a
nonconfidential version thereof to such attorney; or
(2) By leaving a copy thereof at the principal office of each other
party, or, if a party is represented by an attorney before the
Commission, by leaving a copy at the office of such attorney.
(3) When service is by mail, it is complete upon mailing of the
document.
(4) When service is by mail, it shall be by first class mail,
postage prepaid. In the event the addressee is outside the United
States, service shall be by first class airmail, postage prepaid.
* * * * *
(f) Electronic service. Parties may serve documents by electronic
means in all matters before the Commission. Parties may effect such
service on any party, unless that party has, upon notice to the
Secretary and to all parties, stated that it does not consent to
electronic service. If electronic service is used, paragraphs (b), (d),
and (e) of this section shall not apply. However, any dispute that
arises among parties regarding electronic service must be resolved by
the parties themselves, without the Commission's involvement.
* * * * *
PART 206--INVESTIGATIONS RELATING TO GLOBAL AND BILATERAL SAFEGUARD
ACTIONS, MARKET DISRUPTION, TRADE DIVERSION, AND REVIEW OF RELIEF
ACTIONS
0
6. The authority citation for part 206 continues to read as follows:
Authority: 19 U.S.C. 1335, 2251-2254, 2451-2451a, 3351-3382;
secs. 103, 301-302, Pub. L. 103-465, 108 Stat. 4809.
0
7. Revise Sec. 206.2 to read as follows:
Sec. 206.2 Identification of type of petition or request and petition
filing procedures.
An investigation under this part 206 may be commenced on the basis
of a petition, request, resolution, or motion as provided in section
202(a)(1), 204(c)(1), 406(a)(1), 421(b) or (o), or 422(b) of the Trade
Act of 1974 or section 302(a)(1) or 312(c)(1) of the North American
Free Trade Agreement Implementation Act. Each petition or request, as
the case may be, filed by an entity representative of a domestic
industry under this part 206 shall state clearly on the first page
thereof ``This is a [petition or request] under section [202, 204(c),
406, 421(b) or (o), or 422(b) of the Trade Act of 1974, or section 302
or 312(c) of the North American Free Trade Agreement Implementation
Act] and Subpart [B, C, D, E, F, or G] of part 206 of the rules of
practice and procedure of the United States International Trade
Commission.'' A paper original and eight (8) true paper copies of a
petition, request, resolution, or motion shall be filed. One copy of
any exhibits, appendices, and attachments to the document shall be
filed in electronic form on CD-ROM, DVD, or other portable electronic
format approved by the Secretary.
0
8. Amend Sec. 206.8 by adding paragraph (d) to read as follows:
Sec. 206.8 Service, filing, and certification of documents.
* * * * *
(d) Briefs. All briefs filed in proceedings subject to this part
shall be filed electronically, and eight (8) true paper copies shall be
filed on the same business day.
0
9. Amend Sec. 206.17 by revising paragraph (a)(2) to read as follows:
Sec. 206.17 Limited disclosure of certain confidential business
information under administrative protective order.
(a) * * *
(2) Application. An application under paragraph (a)(1) of this
section must be made by an authorized applicant on a form adopted by
the Secretary or a photocopy thereof. A signed application shall be
filed electronically. An application on behalf of an authorized
applicant must be made no later than the time that entries of
appearance are due pursuant to Sec. 201.11 of this chapter. In the
event that two or more authorized applicants represent one interested
party who is a party to the investigation, the authorized applicants
must select one of their number to be lead authorized applicant. The
lead authorized applicant's application must be filed no later than the
time that entries of appearance are due. Provided that the application
is accepted, the lead authorized applicant shall be served with
confidential business information pursuant to paragraph (f) of this
section. The other authorized applicants representing the same party
may file their applications after the deadline for entries of
appearance but at least five days before the deadline for filing
posthearing briefs in the investigation, and shall not be served with
confidential business information.
* * * * *
PART 207--INVESTIGATIONS OF WHETHER INJURY TO DOMESTIC INDUSTRIES
RESULTS FROM IMPORTS SOLD AT LESS THAN FAIR VALUE OR FROM
SUBSIDIZED EXPORTS TO THE UNITED STATES
0
10. The authority citation for part 207 continues to read as follows:
Authority: 19 U.S.C. 1336, 1671-1677n, 2482, 3513.
0
11. Amend Sec. 207.7 by revising paragraph (a)(2) to read as follows:
Sec. 207.7 Limited disclosure of certain business proprietary
information under administrative protective order.
(a) * * *
(2) Application. An application under paragraph (a)(1) of this
section must be made by an authorized applicant on a form adopted by
the Secretary or a photocopy thereof. A signed application shall be
filed electronically. An application on behalf of a petitioner, a
respondent, or another party must be made no later than the time that
entries of appearance are due pursuant to Sec. 201.11 of this chapter.
In the event that two or more authorized applicants represent one
interested party who is a party to the investigation, the authorized
applicants must select one of their number to be lead authorized
applicant. The lead authorized applicant's application must be filed no
later than the time that entries of appearance are due. Provided that
the application is accepted, the lead authorized applicant shall be
served with business proprietary information pursuant to paragraph (f)
of this section. The other authorized applicants representing the same
party may file their applications after the deadline for entries of
appearance but at least five days before the deadline for filing
posthearing briefs in the investigation, or the deadline for filing
briefs in the preliminary phase of an investigation, or the deadline
for filing submissions in a remanded investigation, and shall not be
served with business proprietary information.
* * * * *
0
12. Amend Sec. 207.10 by revising paragraph (a) to read as follows:
[[Page 61943]]
Sec. 207.10 Filing of petition with the Commission.
(a) Filing of the petition. Any interested party who files a
petition with the administering authority pursuant to section 702(b) or
section 732(b) of the Act in a case in which a Commission determination
under title VII of the Act is required, shall file copies of the
petition and all exhibits, appendices, and attachments thereto,
pursuant to 201.8 of this chapter, with the Secretary on the same day
the petition is filed with the administering authority. A paper
original and eight (8) true paper copies of a petition shall be filed.
One copy of all exhibits, appendices, and attachments to the petition
shall be filed in electronic form on CD-ROM, DVD, or other portable
electronic format approved by the Secretary. If the petition complies
with the provisions of Sec. 207.11, it shall be deemed to be properly
filed on the date on which the requisite number of copies of the
petition is received by the Secretary, provided that, if the petition
is filed with the Secretary after 12:00 noon, eastern time, the
petition shall be deemed filed on the next business day. The Secretary
shall notify the administering authority of that date. Notwithstanding
Sec. 201.11 of this chapter, a petitioner need not file an entry of
appearance in the investigation instituted upon the filing of its
petition, which shall be deemed an entry of appearance.
* * * * *
0
13. Revise Sec. 207.15 to read as follows:
Sec. 207.15 Written briefs and conference.
Each party may submit to the Commission on or before a date
specified in the notice of investigation issued pursuant to 207.12 a
written brief containing information and arguments pertinent to the
subject matter of the investigation. Briefs shall be signed, shall
include a table of contents, and shall contain no more than fifty (50)
double-spaced and single-sided pages of textual material, and shall be
filed electronically, and eight (8) true paper copies shall be
submitted on the same business day (on paper measuring 8.5 x 11 inches,
double-spaced and single-sided). Any person not a party may submit a
brief written statement of information pertinent to the investigation
within the time specified and the same manner specified for the filing
of briefs. In addition, the presiding official may permit persons to
file within a specified time answers to questions or requests made by
the Commission's staff. If he deems it appropriate, the Director shall
hold a conference. The conference, if any, shall be held in accordance
with the procedures in Sec. 201.13 of this chapter, except that in
connection with its presentation a party may provide written witness
testimony at the conference; if written testimony is provided, eight
(8) true paper copies shall be submitted. The Director may request the
appearance of witnesses, take testimony, and administer oaths.
0
14. Revise Sec. 207.23 to read as follows:
Sec. 207.23 Prehearing brief.
Each party who is an interested party shall submit to the
Commission, no later than five (5) business days prior to the date of
the hearing specified in the notice of scheduling, a prehearing brief.
Prehearing briefs shall be signed and shall include a table of contents
and shall be filed electronically, and eight (8) true paper copies
shall be submitted on the same business day. The prehearing brief
should present a party's case concisely and shall, to the extent
possible, refer to the record and include information and arguments
which the party believes relevant to the subject matter of the
Commission's determination under section 705(b) or section 735(b) of
the Act. Any person not an interested party may submit a brief written
statement of information pertinent to the investigation within the time
specified and the same manner specified for filing of prehearing
briefs.
0
15. Amend Sec. 207.24 by revising paragraph (b) to read as follows:
Sec. 207.24 Hearing.
* * * * *
(b) Procedures. Any hearing shall be conducted after notice
published in the Federal Register. The hearing shall not be subject to
the provisions of 5 U.S.C. subchapter II, chapter 5, or to 5 U.S.C.
702. Each party shall limit its presentation at the hearing to a
summary of the information and arguments contained in its prehearing
brief, an analysis of the information and arguments contained in the
prehearing briefs described in Sec. 207.23, and information not
available at the time its prehearing brief was filed. Unless a portion
of the hearing is closed, presentations at the hearing shall not
include business proprietary information. Notwithstanding Sec.
201.13(f) of this chapter, in connection with its presentation, a party
may provide written witness testimony at the hearing; if written
testimony is provided, eight (8) true paper copies shall be submitted.
In the case of testimony to be presented at a closed session held in
response to a request under Sec. 207.24(d), confidential and non-
confidential versions shall be filed in accordance with Sec. 207.3.
Any person not a party may make a brief oral statement of information
pertinent to the investigation.
* * * * *
0
16. Revise Sec. 207.25 to read as follows:
Sec. 207.25 Posthearing briefs.
Any party may file a posthearing brief concerning the information
adduced at or after the hearing with the Secretary within a time
specified in the notice of scheduling or by the presiding official at
the hearing. A posthearing brief shall be filed electronically, and
eight (8) true paper copies shall be submitted on the same business
day. No such posthearing brief shall exceed fifteen (15) pages of
textual material, double-spaced and single-sided, when printed out on
paper measuring 8.5 x 11 inches. In addition, the presiding official
may permit persons to file answers to questions or requests made by the
Commission at the hearing within a specified time. The Secretary shall
not accept for filing posthearing briefs or answers which do not comply
with this section.
0
17. Revise Sec. 207.28 to read as follows:
Sec. 207.28 Anticircumvention.
Prior to providing advice to the administering authority pursuant
to section 781(e)(3) of the Act, the Commission shall publish in the
Federal Register a notice that such advice is contemplated. Any person
may file one written submission concerning the matter described in the
notice no later than fourteen (14) days after publication of the
notice. Such a statement shall be filed electronically, and eight (8)
true paper copies shall be submitted on the same business day. The
statement shall contain no more than fifty (50) double-spaced and
single-sided pages of textual material, when printed out on paper
measuring 8.5 x 11 inches. The Commission shall by notice provide for
additional statements as it deems necessary.
0
18. Amend Sec. 207.30 by revising paragraph (b) to read as follows:
Sec. 207.30 Comment on information.
* * * * *
(b) The parties shall have an opportunity to file comments on any
information disclosed to them after they have filed their posthearing
brief pursuant to Sec. 207.25. A comment shall be filed
electronically, and eight (8) true paper copies shall be submitted on
the same business day. Comments shall only concern such information,
and shall not exceed 15 pages of textual material, double-spaced and
single-sided, when printed out on paper measuring 8.5 x 11 inches. A
comment
[[Page 61944]]
may address the accuracy, reliability, or probative value of such
information by reference to information elsewhere in the record, in
which case the comment shall identify where in the record such
information is found. Comments containing new factual information shall
be disregarded. The date on which such comments must be filed will be
specified by the Commission when it specifies the time that information
will be disclosed pursuant to paragraph (a) of this section. The record
shall close on the date such comments are due, except with respect to
investigations subject to the provisions of section 771(7)(G)(iii) of
the Act, and with respect to changes in bracketing of business
proprietary information in the comments permitted by Sec. 207.3(c).
0
19. Amend Sec. 207.61 by adding paragraph (e) to read as follows:
Sec. 207.61 Responses to notice of institution.
* * * * *
(e) A document filed under this section shall be filed
electronically, and eight (8) true paper copies shall be submitted on
the same business day.
0
20. Amend Sec. 207.62 by revising paragraph (b)(2) to read as follows:
Sec. 207.62 Rulings on adequacy and nature of Commission review.
* * * * *
(b) * * *
(2) Comments shall be submitted within the time specified in the
notice of institution. In a grouped review, only one set of comments
shall be filed per party. Comments shall be filed electronically, and
eight (8) true paper copies shall be submitted on the same business
day. Comments shall not exceed fifteen (15) pages of textual material,
double spaced and single sided, when printed out on paper measuring 8.5
x 11 inches. Comments containing new factual information shall be
disregarded.
* * * * *
0
21. Revise Sec. 207.65 to read as follows:
Sec. 207.65 Prehearing briefs.
Each party to a five-year review may submit a prehearing brief to
the Commission on the date specified in the scheduling notice. A
prehearing brief shall be signed and shall include a table of contents.
A prehearing brief shall be filed electronically, and eight (8) true
paper copies shall be submitted (on paper measuring 8.5 x 11 inches and
single-sided) on the same business day. The prehearing brief should
present a party's case concisely and shall, to the extent possible,
refer to the record and include information and arguments which the
party believes relevant to the subject matter of the Commission's
determination.
0
22. Amend Sec. 207.67 by revising paragraph (a) to read as follows:
Sec. 207.67 Posthearing briefs and statements.
(a) Briefs from parties. Any party to a five-year review may file
with the Secretary a posthearing brief concerning the information
adduced at or after the hearing within a time specified in the
scheduling notice or by the presiding official at the hearing. A
posthearing brief shall be filed electronically, and eight (8) true
paper copies shall be submitted on the same business day. No such
posthearing brief shall exceed fifteen (15) pages of textual material,
double spaced and single sided, when printed out on paper measuring 8.5
x 11 inches and single-sided. In addition, the presiding official may
permit persons to file answers to questions or requests made by the
Commission at the hearing within a specified time. The Secretary shall
not accept for filing posthearing briefs or answers which do not comply
with this section.
* * * * *
0
23. Amend Sec. 207.68 by revising paragraph (b) to read as follows:
Sec. 207.68 Final comments on information.
* * * * *
(b) The parties shall have an opportunity to file comments on any
information disclosed to them after they have filed their posthearing
brief pursuant to Sec. 207.67. Comments shall be filed electronically,
and eight (8) true paper copies shall be submitted on the same business
day. Comments shall only concern such information, and shall not exceed
15 pages of textual material, double spaced and single-sided, when
printed out on paper measuring 8.5 x 11 inches and single-sided. A
comment may address the accuracy, reliability, or probative value of
such information by reference to information elsewhere in the record,
in which case the comment shall identify where in the record such
information is found. Comments containing new factual information shall
be disregarded. The date on which such comments must be filed will be
specified by the Commission when it specifies the time that information
will be disclosed pursuant to paragraph (a) of this section. The record
shall close on the date such comments are due, except with respect to
changes in bracketing of business proprietary information in the
comments permitted by Sec. 207.3(c).
PART 210--ADJUDICATION AND ENFORCEMENT
0
24. The authority citation for part 210 continues to read as follows:
Authority: 19 U.S.C. 1333, 1335, and 1337.
0
25. Amend Sec. 210.4 by revising paragraphs (f)-(g) and adding
paragraphs (h)-(i) to read as follows:
Sec. 210.4 Written submissions; representations; sanctions.
* * * * *
(f) Filing of documents. (1) Written submissions that are addressed
to the Commission during an investigation or a related proceeding shall
comply with the Commission's Handbook on Filing Procedures, which is
issued by and available from the Secretary and posted on the
Commission's Electronic Document Information System Web site at https://edis.usitc.gov. Failure to comply with the requirements of this
chapter and the Handbook on Filing Procedures in the filing of a
document may result in the rejection of the document as improperly
filed.
(2) A complaint, petition, or request, and supplements and
amendments thereto, filed under Sec. Sec. 210.8, 210.75, 210.76, or
210.79 shall be filed in paper form. An original and eight (8) true
paper copies shall filed. All exhibits, appendices, and attachments to
the document shall be filed in electronic form on one CD-ROM, DVD, or
other portable electronic media approved by the Secretary. Sections
210.8 and 210.12 set out additional requirements for a complaint filed
under section 210.8. Additional requirements for a petition or request
filed under Sec. Sec. 210.75, 210.76, or 210.79 are set forth in those
sections. Submitted media will be retained by the Commission, except
that media may be returned to the submitter if a document is not
accepted for filing.
(3) Responses to a complaint, briefs, comments and responses
thereto, compliance reports, motions and responses or replies thereto,
petitions and replies thereto, prehearing statements, and proposed
findings of fact and conclusions of law and responses thereto provided
for under Sec. Sec. 210.4(d), 210.13, 210.8, 210.14, 210.15, 210.16,
210.17, 210.18, 210.19, 210.20, 210.21, 210.23, 210.24, 210.25, 210.26,
210.33, 210.34, 210.35, 210.36, 210.40, 210.43, 210.45, 210.46, 210.47,
210.50, 210.52, 210.53, 210.57, 210.59, or 210.71; and submissions
filed with the Secretary pursuant to an order of the presiding
administrative law judge shall be filed electronically, and true paper
copies of such submissions shall be filed by 12 noon, eastern time, on
the next business day.
[[Page 61945]]
(4) Except for the documents listed in paragraphs (f)(2) and (f)(3)
of this section, all other documents shall be filed electronically, and
no paper copies will be required.
(5) If paper copies are required under this section, the required
number of paper copies shall be governed by paragraph (f)(6) of this
section. A paper copy provided for in this section must be a true copy
of the electronic version of the document, i.e., a copy that is
identical in all possible respects.
(6) Unless the Commission or this part specifically states
otherwise:
(i) Two (2) true paper copies of each submission shall be filed if
the investigation or related proceeding is before an administrative law
judge; and
(ii) Eight (8) true paper copies of each submission shall be filed
if the investigation or related proceeding is before the Commission.
(7)(i) If a complaint, a supplement or amendment to a complaint, a
motion for temporary relief, or the documentation supporting a motion
for temporary relief contains confidential business information as
defined in Sec. 201.6(a) of this chapter, the complainant shall file
nonconfidential copies of the complaint, the supplement or amendment to
the complaint, the motion for temporary relief, or the documentation
supporting the motion for temporary relief concurrently with the
requisite confidential copies, as provided in Sec. 210.8(a). A
nonconfidential copy of all exhibits, appendices, and attachments to
the document shall be filed in electronic form on one CD-ROM, DVD, or
other portable electronic media approved by the Secretary, separate
from the media used for the confidential version.
(ii)(A) Persons who file the following submissions that contain
confidential business information covered by an administrative
protective order, or that are the subject of a request for confidential
treatment, must file nonconfidential copies and serve them on the other
parties to the investigation or related proceeding within 10 calendar
days after filing the confidential version with the Commission:
(1) A response to a complaint and all supplements and exhibits
thereto;
(2) All submissions relating to a motion to amend the complaint or
notice of investigation; and
(3) All submissions addressed to the Commission.
(B) Other sections of this part may require, or the Commission or
the administrative law judge may order, the filing and service of
nonconfidential copies of other kinds of confidential submissions. If
the submitter's ability to prepare a nonconfidential copy is dependent
upon receipt of the nonconfidential version of an initial
determination, or a Commission order or opinion, or a ruling by the
administrative law judge or the Commission as to whether some or all of
the information at issue is entitled to confidential treatment, the
nonconfidential copies of the submission must be filed within 10
calendar days after service of the Commission or administrative law
judge document in question. The time periods for filing specified in
this paragraph apply unless the Commission, the administrative law
judge, or another section of this part specifically provides otherwise.
(8) The Secretary may provide for exceptions and modifications to
the filing requirements set out in this chapter. A person seeking an
exception should consult the Handbook on Filing Procedures.
(9) Where to file; date of filing. Documents shall be filed at the
Office of the Secretary of the Commission in Washington, DC. Such
documents, if properly filed within the hours of operation specified in
Sec. 201.3(c), will be deemed to be filed on the date on which they
are actually received in the Commission.
(10) Conformity with rules. Each document filed with the Commission
for the purpose of initiating any investigation shall be considered
properly filed if it conforms with the pertinent rules prescribed in
this chapter. Substantial compliance with the pertinent rules may be
accepted by the Commission provided good and sufficient reason is
stated in the document for inability to comply fully with the pertinent
rules.
(11) During any period in which the Commission is closed, deadlines
for filing documents electronically and by other means are extended so
that documents are due on the first business day after the end of the
closure.
(g) Cover Sheet. When making a paper filing, parties must complete
the cover sheet online at https://edis.usitc.gov and print out the cover
sheet for submission to the Office of the Secretary with the paper
filing. The party submitting the cover sheet is responsible for the
accuracy of all information contained in the cover sheet, including,
but not limited to, the security status and the investigation number,
and must comply with applicable limitations on disclosure of
confidential information under Sec. 210.5.
(h) Specifications. (1) Each document filed under this chapter
shall be double-spaced, clear and legible, except that a document of
two pages or less in length need not be double-spaced. All submissions
shall be in letter-sized format (8.5 x 11 inches), except copies of
documents prepared for another agency or a court (e.g. patent file
wrappers or pleadings papers), and single sided. Typed matter shall not
exceed 6.5 x 9.5 inches using 11-point or larger type and shall be
double-spaced between each line of text using the standard of 6 lines
of type per inch. Text and footnotes shall be in the same size type.
Quotations more than two lines long in the text or footnotes may be
indented and single-spaced. Headings and footnotes may be single-
spaced.
(2) The administrative law judge may impose any specifications he
deems appropriate for submissions that are addressed to the
administrative law judge.
(i) Service. Unless the Commission, the administrative law judge,
or another section of this part specifically provides otherwise, every
written submission filed by a party or proposed party shall be served
on all other parties in the manner specified in Sec. 201.16(b) of this
chapter.
0
26. Amend Sec. 210.8 by revising paragraphs (a)(1) and (a)(2) to read
as follows:
Sec. 210.8 Commencement of preinstitution proceedings.
* * * * *
(a)(1) A complaint filed under this section shall be filed in paper
form with the Secretary as follows.
(i) An original and eight (8) true paper copies of the
nonconfidential version of the complaint shall be filed. All exhibits,
appendices, and attachments to this version of the complaint shall be
filed in electronic form on CD-ROM, DVD, or other portable electronic
media approved by the Secretary.
(ii) An original and eight (8) true paper copies of the
confidential version of the complaint shall be filed. All exhibits,
appendices, and attachments to this version of the complaint shall be
filed in electronic form on CD-ROM, DVD, or other portable electronic
media approved by the Secretary.
(iii) For each proposed respondent, one true copy of the
nonconfidential version of the complaint and one true copy of the
confidential version of the complaint, if any, along with one true copy
of the nonconfidential exhibits and one true copy of the confidential
exhibits shall be filed, and
(iv) For the government of the foreign country in which each
proposed respondent is located as indicated in the
[[Page 61946]]
complaint, one true copy of the nonconfidential version of the
complaint shall be filed.
Note to paragraph (a)(1): The same requirements apply for the
filing of a supplement or amendment to the complaint.
(2) If the complainant is seeking temporary relief, the complainant
must also file:
(i) An original and eight (8) true paper copies of the
nonconfidential version of the motion for temporary relief. All
exhibits, appendices, and attachments to this version of the motion
shall be filed in electronic form on CD-ROM, DVD, or other portable
electronic media approved by the Secretary.
(ii) An original and eight (8) true paper copies of the
confidential version of the motion for temporary relief. All exhibits,
appendices, and attachments to this version of the motion shall be
filed in electronic form on CD-ROM, DVD, or other portable electronic
media approved by the Secretary; and
(iii) For each proposed respondent, one true copy of the
nonconfidential version of the motion and one true copy of the
confidential version of the motion along with one true copy of the
nonconfidential exhibits and one true copy of the confidential exhibits
filed with the motion.
Note to paragraph (a)(2): The same requirements apply for the
filing of a supplement or amendment to the complaint or a supplement
to the motion for temporary relief.
* * * * *
Issued: September 29, 2011.
By order of the Commission.
James R. Holbein,
Secretary to the Commission.
[FR Doc. 2011-25646 Filed 10-5-11; 8:45 am]
BILLING CODE 7020-02-P