Revisions to Rules of Practice, 25940-25943 [2015-10517]

Download as PDF 25940 Federal Register / Vol. 80, No. 87 / Wednesday, May 6, 2015 / Rules and Regulations FEDERAL TRADE COMMISSION 16 CFR Parts 3 and 4 Revisions to Rules of Practice Federal Trade Commission. Final rules. AGENCY: ACTION: The Commission is revising certain of its rules of practice to accommodate changes to the Commission’s electronic filing system, to eliminate outdated requirements, and to improve clarity. DATES: Effective date: These rule revisions are effective on May 12, 2015 and will govern all Commission adjudicatory proceedings that are commenced after that date. They will also govern all Commission adjudicatory proceedings that are pending on May 12, 2015, unless otherwise ordered by the Commission. FOR FURTHER INFORMATION CONTACT: Josephine Liu, Attorney, (202) 326– 2170, Office of the General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue NW., Washington, DC 20580. SUPPLEMENTARY INFORMATION: The Federal Trade Commission is revising certain rules in parts 3 and 4 of its rules of practice to reflect new features in the Commission’s electronic filing system, eliminate outdated requirements for the filing and service of documents, and clarify the applicability of the rules. Because these rule revisions relate solely to agency procedure and practice, publication for notice and comment is not required under the Administrative Procedure Act. 5 U.S.C. 553(b).1 These rule revisions are effective on May 12, 2015 and will govern all Commission adjudicatory proceedings that are commenced after that date. They will also govern all Commission adjudicatory proceedings that are pending on May 12, 2015, unless otherwise ordered by the Commission. SUMMARY: tkelley on DSK3SPTVN1PROD with RULES I. Revisions to Miscellaneous Rules (Part 4) Rule 4.2: Requirements as to Form, and Filing of Documents Other Than Correspondence The Commission is amending Rule 4.2(c) to specify that documents filed before the Commission or an Administrative Law Judge in an adjudicative proceeding under part 3 of the Commission’s rules may be filed in 1 For this reason, the requirements of the Regulatory Flexibility Act are also inapplicable. 5 U.S.C. 601(2), 604(a). Likewise, the amendments do not modify any FTC collections of information within the meaning of the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. VerDate Sep<11>2014 18:11 May 05, 2015 Jkt 235001 either of two ways: In hard copy, or through the Commission’s electronic filing system. Part 3 documents filed in hard copy must include a paper original, one paper copy, and one electronic copy in Adobe portable document format or other format specified by the Secretary. The Commission is eliminating the requirement to provide 12 paper copies for filings before the Commission. Part 3 documents filed through the electronic filing system must comply with the Secretary’s directions for using that system. Additional information about the electronic filing system is available at https://ftcefile.gov/ HomePage.aspx. Documents labeled ‘‘In Camera’’ or ‘‘Confidential’’ may be filed through the electronic filing system, although—as discussed further below— they may not be served through that system. Because the electronic filing system is now configured to accept ‘‘In Camera’’ or ‘‘Confidential’’ documents, the Commission is deleting the existing requirement that ‘‘In Camera’’ or ‘‘Confidential’’ documents be filed only in hard copy and be accompanied by an electronic copy on a CD or DVD. For other documents filed with the Commission that are governed by Rule 4.2(d)—including petitions to quash or limit compulsory process, reports of compliance, and requests to reopen— the Commission is eliminating the existing requirement to provide 12 paper copies and a CD or DVD containing an electronic copy of the document. Instead, such documents must include a paper original, one paper copy, and one electronic copy in Adobe portable document format, unless otherwise directed by the Secretary. In Rule 4.2(e), the Commission is deleting an outdated exception for briefs filed in support of appeals from initial decisions and an outdated crossreference to formatting requirements for such briefs under Rule 3.52(e). In Rule 4.2(f), the Commission is adding an explanation of the acceptable signature methods for documents that are filed electronically. The Commission is also making other edits throughout Rule 4.2 so that the Rule’s requirements are format-neutral. Rule 4.3: Time The Commission is amending Rule 4.3(c) so that, if a document is served electronically, there will be a 1-day extension for any parties required or permitted to respond within a prescribed period after service of the document. As discussed in more detail below, documents can now be filed through the electronically filing system until 11:59 p.m. For documents that are PO 00000 Frm 00044 Fmt 4700 Sfmt 4700 electronically filed and served late at night, it is unrealistic to expect opposing parties to read the service notification until the next morning. Rule 4.3(c) therefore provides a 1-day extension for responding to electronically served documents. Although the federal courts provide a 3day extension for responding to electronically served documents, see Fed. R. Civ. P. 6(d), the Commission has decided—due to the way that time is computed under the Commission’s rules—that a 1-day extension in Rule 4.3(c) would be more appropriate. The Commission is amending Rule 4.3(d)’s deadline for timely filing of documents. Although paper documents still must be received in the Office of the Secretary by 5:00 p.m. Eastern Time to be deemed filed that day, documents filed using the electronic filing system will be deemed timely filed as long as they are received by 11:59 p.m. Eastern Time. This change is consistent with Federal Rule of Civil Procedure 6(a)(4), which similarly provides a later deadline for electronic filing as compared to filing by other means. Rule 4.4: Service The Commission is amending Rule 4.4(a) to clarify which paragraphs govern which types of documents and to allow the Commission to use electronic delivery to serve certain types of documents in part 3 proceedings. The provision that permits service upon counsel to be deemed service upon the party represented by that counsel— former Rule 4.4(a)(4)—has been moved into a new paragraph so that it is applicable to all documents in Commission proceedings, not just documents served by the Commission. See new Rule 4.4(c). The Commission is amending Rule 4.4(b) to clarify that Rule 4.4(b) is the provision that governs service by complaint counsel, respondents, or third parties in adjudicative proceedings under part 3. The Commission is also clarifying, in new Rule 4.4(b)(1)(i), that service upon complaint counsel must be effected by serving lead complaint counsel; the Commission is eliminating the existing language that allowed service to be effected by instead serving the Assistant Director in the Bureau of Competition, the Associate Director in the Bureau of Consumer Protection, or the Director of the Regional Office of complaint counsel. In addition, Rule 4.4(b) is being revised to permit service by electronic delivery in accordance with new Rule 4.4(e). New Rule 4.4(e) governs service by electronic delivery in part 3 proceedings. Specifically, Rule 4.4(e)(1) E:\FR\FM\06MYR1.SGM 06MYR1 Federal Register / Vol. 80, No. 87 / Wednesday, May 6, 2015 / Rules and Regulations governs parties who have elected to be served via the Commission’s electronic filing system. For such parties, the electronic filing system may be used to serve them with documents labeled ‘‘Public,’’ and transmission of the notice of electronic filing provided by the electronic filing system will satisfy the service obligations of the serving party. A document will be deemed served on the date that the notice of electronic filing is transmitted, unless the serving party learns that the notice of electronic filing did not reach the person to be served. ‘‘In Camera’’ or ‘‘Confidential’’ documents may not be served through the electronic filing system. In addition, for confidentiality reasons, the electronic filing system cannot be used to serve third parties. Third parties can use the electronic filing system to file and serve documents, but third parties cannot be served through the system. Rule 4.4(e)(2) therefore authorizes the Administrative Law Judge and the Secretary to allow other methods of service by electronic delivery, including service by email, in the following circumstances: For service of ‘‘In Camera’’ or ‘‘Confidential’’ documents, if the party to be served has not opted into service via the Commission’s electronic filing system, if the document is to be served upon a third party, or if service through the electronic filing system is unavailable for technical reasons. If ‘‘In Camera’’ and ‘‘Confidential’’ documents are served by electronic delivery under Rule 4.4(e)(2), they must be encrypted prior to transit or transferred through a secure file transfer protocol. New Rule 4.4(f) contains language that was previously found in Rule 4.4(b) and that has been moved into a new paragraph for clarity. II. Revisions to Rules of Practice for Adjudicative Proceedings (Part 3) The Commission is amending Rule 3.14(a) to clarify that motions to intervene in Part 3 proceedings, as well as answers to such motions, must be served in accordance with Rule 4.4(b). tkelley on DSK3SPTVN1PROD with RULES Rule 3.83: Procedures for Considering Applicants The Commission is deleting Rule 3.83(a)’s discussion of the date of filing for an application for an award of fees and expenses under the Equal Access to Justice Act, because Rule 4.3(d) governs the date of filing for documents filed with the Commission. 18:11 May 05, 2015 Jkt 235001 5. Amend § 4.2 by revising paragraphs (c), (d), (e), and (f) to read as follows: ■ 16 CFR Part 3 § 4.2 Requirements as to form, and filing of documents other than correspondence. Administrative practice and procedure. * 16 CFR Part 4 Administrative practice and procedure, Freedom of information, Public record. For the reasons set forth in the preamble, the Federal Trade Commission amends title 16, chapter I, subchapter A of the Code of Federal Regulations as follows: PART 3—RULES OF PRACTICE FOR ADJUDICATIVE PROCEEDINGS 1. The authority citation for part 3 continues to read as follows: ■ Authority: 15 U.S.C. 46, unless otherwise noted. 2. Amend § 3.14 by revising paragraph (a) to read as follows: ■ § 3.14 Intervention. (a) Any individual, partnership, unincorporated association, or corporation desiring to intervene in an adjudicative proceeding shall make written application in the form of a motion setting forth the basis therefor. Such application shall be served upon each party to the proceeding in accordance with the provisions of § 4.4(b) of this chapter. The answer filed by any party shall be served upon the applicant in accordance with the provisions of § 4.4(b). The Administrative Law Judge or the Commission may by order permit the intervention to such extent and upon such terms as are provided by law or as otherwise may be deemed proper. * * * * * ■ 3. Amend § 3.83 by revising paragraph (a) to read as follows: § 3.83 Procedures for considering applicants. Rule 3.14: Intervention VerDate Sep<11>2014 List of Subjects (a) Filing and service of documents. Any application for an award or other pleading or document related to an application shall be filed and served on all parties as specified in §§ 4.2 and 4.4(b) of this chapter, except as provided in § 3.82(b)(2) for confidential financial information. * * * * * PART 4—MISCELLANEOUS RULES 4. The authority citation for part 4 continues to read as follows: ■ Authority: 15 U.S.C. 46, unless otherwise noted. PO 00000 Frm 00045 Fmt 4700 25941 Sfmt 4700 * * * * (c) Paper and electronic copies of filings before the Commission or an Administrative Law Judge in adjudicative proceedings under part 3 of this chapter. (1) Each document filed in an adjudicative proceeding under part 3, except documents covered by § 4.2(a)(1)(i), shall be filed with the Secretary of the Commission, shall be in 12-point font with 1-inch margins, and shall comply with the requirements of §§ 4.2(b) and (f) and 4.3(d). Documents may be filed with the Office of the Secretary either electronically or in hard copy. (i) Documents may be filed electronically by using the Office of the Secretary’s electronic filing system and complying with the Secretary’s directions for using that system. Documents filed electronically shall be in Adobe portable document format or such other format as the Secretary may direct. (ii) Documents filed in hard copy shall include a paper original, one paper copy, and an electronic copy in Adobe portable document format or such other format as the Secretary shall direct. (2) If the document is labeled ‘‘In Camera’’ or ‘‘Confidential’’, it must include as an attachment either a motion requesting in camera or other confidential treatment, in the form prescribed by § 3.45 of this chapter, or a copy of a Commission, Administrative Law Judge, or federal court order granting such treatment. The document must also include as a separate attachment a set of only those pages of the document on which the in camera or otherwise confidential material appears and comply with all other requirements of § 3.45 and any other applicable rules governing in camera treatment. A document labeled ‘‘In Camera’’ or ‘‘Confidential’’ may be filed electronically using the electronic filing system. (3) Sensitive personal information, as defined in § 3.45(b) of this chapter, shall not be included in, and must be redacted or omitted from, filings where the filing party determines that such information is not relevant or otherwise necessary for the conduct of the proceeding. (4) A copy of each document filed in accordance with this section in an adjudicative proceeding under part 3 of this chapter shall be served by the party filing the document or person acting for that party on all other parties pursuant E:\FR\FM\06MYR1.SGM 06MYR1 tkelley on DSK3SPTVN1PROD with RULES 25942 Federal Register / Vol. 80, No. 87 / Wednesday, May 6, 2015 / Rules and Regulations to § 4.4, at or before the time the original is filed. (d) Other documents filed with the Commission. (1) Each document filed with the Commission, and not covered by § 4.2(a)(1)(i) or (ii) or § 4.2(c), shall be filed with the Secretary of the Commission, and shall be clearly and accurately labeled as required by § 4.2(b). (2) Each such document shall be signed and shall comply with the requirements of § 4.2(f). Documents filed under this paragraph (d) shall include a paper original, one paper copy, and an electronic copy in Adobe portable document format, unless the Secretary shall otherwise direct. (3) Each such document labeled ‘‘Public’’ may be placed on the public record of the Commission at the time it is filed. (4) If such a document is labeled ‘‘Confidential’’, and it is filed pursuant to § 2.10(a), § 2.41(f), or § 2.51 of this chapter, it will be rejected for filing pursuant to § 4.2(g), and will not stay compliance with any applicable obligation imposed by the Commission or the Commission staff, unless the filer simultaneously files: (i) An explicit request for confidential treatment that includes the factual and legal basis for the request, identifies the specific portions of the document to be withheld from the public record, provides the name and address of the person(s) who should be notified in the event the Commission determines to disclose some or all of the material labeled ‘‘Confidential’’, and otherwise conforms to the requirements of § 4.9(c); and (ii) A redacted public version of the document that is clearly labeled ‘‘Public’’. (e) Form. Paper documents filed with the Secretary of the Commission shall be printed, typewritten, or otherwise processed in permanent form and on good unglazed paper. A motion or other document filed in an adjudicative proceeding under part 3 of this chapter shall contain a caption setting forth the title of the case, the docket number, and a brief descriptive title indicating the purpose of the document. (f) Signature. (1) The original of each document filed shall be signed by an attorney of record for the filing party, or in the case of parties not represented by counsel, by the party itself, or by a partner if a partnership, or by an officer of the party if it is a corporation or an unincorporated association. For documents filed electronically using the Office of the Secretary’s electronic filing system, documents must be signed using a scanned signature image, an VerDate Sep<11>2014 18:11 May 05, 2015 Jkt 235001 ‘‘s/’’ followed by the name of the filer using the electronic filing system, or another signature method as the Secretary may direct. (2) Signing a document constitutes a representation by the signer that he or she has read it; that to the best of his or her knowledge, information, and belief, the statements made in it are true; that it is not interposed for delay; and that to the best of his or her knowledge, information, and belief, it complies with the rules in this part. If a document is not signed or is signed with intent to defeat the purpose of this section, it may be stricken as sham and false and the proceeding may go forward as though the document had not been filed. * * * * * ■ 6. Amend § 4.3 by revising paragraphs (c) and (d) to read as follows: § 4.3 Time. * * * * * (c) Additional time after certain kinds of service. Whenever a party in an adjudicative proceeding under part 3 of this chapter is required or permitted to do an act within a prescribed period after service of a document upon it and the document is served by first-class mail pursuant to § 4.4(a)(2) or (b), 3 days shall be added to the prescribed period. Whenever a party in an adjudicative proceeding under part 3 is required or permitted to do an act within a prescribed period after service of a document upon it and the document is served by electronic delivery pursuant to § 4.4(e), 1 day shall be added to the prescribed period. (d) Date of filing. Documents permitted to be filed using the electronic filing system must be received by 11:59 p.m. Eastern Time to be deemed timely filed that day. All other documents must be received in the Office of the Secretary by 5:00 p.m. Eastern Time to be deemed filed that day, and any such document received after 5:00 p.m. Eastern Time will be deemed filed the following business day. ■ 7. Revise § 4.4 to read as follows: § 4.4 Service. (a) By the Commission. (1) Service of complaints, initial decisions, final orders and other processes of the Commission under 15 U.S.C. 45 may be effected as follows: (i) By registered or certified mail. A copy of the document shall be addressed to the person, partnership, corporation or unincorporated association to be served at his, her or its residence or principal office or place of PO 00000 Frm 00046 Fmt 4700 Sfmt 4700 business, registered or certified, and mailed; service under this provision is complete upon delivery of the document by the Post Office; or (ii) By delivery to an individual. A copy thereof may be delivered to the person to be served, or to a member of the partnership to be served, or to the president, secretary, or other executive officer or a director of the corporation or unincorporated association to be served; service under this provision is complete upon delivery as specified herein; or (iii) By delivery to an address. A copy thereof may be left at the principal office or place of business of the person, partnership, corporation, or unincorporated association, or it may be left at the residence of the person or of a member of the partnership or of an executive officer or director of the corporation, or unincorporated association to be served; service under this provision is complete upon delivery as specified herein. (2) All documents served by the Commission or Administrative Law Judge in adjudicative proceedings under part 3 of this chapter, other than documents governed by paragraph (a)(1) of this section, may be served by personal delivery (including delivery by courier), by electronic delivery in accordance with § 4.4(e), or by first-class mail. Unless otherwise specified in § 4.4(e), documents shall be deemed served on the day of personal or electronic delivery or the day of mailing. (3) All other orders and notices, including subpoenas, orders requiring access, orders to file annual and special reports, and notices of default, may be served by any method reasonably certain to inform the affected person, partnership, corporation or unincorporated association, including any method specified in paragraph (a)(1) of this section, except that civil investigative demands may only be served in the manner provided by section 20(c)(7) of the FTC Act (in the case of service on a partnership, corporation, association, or other legal entity) or section 20(c)(8) of the FTC Act (in the case of a natural person). Service under this provision is complete upon delivery by the Post Office or upon personal delivery (including delivery by courier). (b) By parties or third parties in adjudicative proceedings under part 3 of this chapter. (1) Service of documents by complaint counsel, respondents, or third parties in adjudicative proceedings under part 3 shall be by delivering copies using the following methods. (i) Upon complaint counsel. A copy may be served by personal delivery E:\FR\FM\06MYR1.SGM 06MYR1 tkelley on DSK3SPTVN1PROD with RULES Federal Register / Vol. 80, No. 87 / Wednesday, May 6, 2015 / Rules and Regulations (including delivery by courier), by electronic delivery in accordance with § 4.4(e), or by first-class mail to the lead complaint counsel, with a copy to the Administrative Law Judge. (ii) Upon a party other than complaint counsel or upon a third party. A copy may be served by personal delivery (including delivery by courier), by electronic delivery in accordance with § 4.4(e), or by first-class mail, with a copy to the Administrative Law Judge. If the party is an individual or partnership, delivery shall be to such individual or a member of the partnership; if a corporation or unincorporated association, to an officer or agent authorized to accept service of process therefor. Personal delivery includes handing the document to be served to the individual, partner, officer, or agent; leaving it at his or her office with a person in charge thereof; or, if there is no one in charge or if the office is closed or if the party has no office, leaving it at his or her dwelling house or usual place of abode with some person of suitable age and discretion then residing therein. (2) Unless otherwise specified in § 4.4(e), documents served in adjudicative proceedings under part 3 shall be deemed served on the day of personal delivery (including delivery by courier), the day of electronic delivery, or the day of mailing. (c) Service upon counsel. When counsel has appeared in a proceeding on behalf of a party, service upon such counsel of any document, other than a complaint, shall be deemed service upon the party. However, service of those documents specified in paragraph (a)(1) of this section shall be in accordance with paragraphs (a)(1)(i), (ii), and (iii) of this section. (d) Proof of service. In an adjudicative proceeding under part 3, documents presented for filing shall contain proof of service in the form of a statement of the date and manner of service and of the names of the persons served, certified by the person who made service. Proof of service must appear on or be affixed to the documents filed. (e) Service by electronic delivery in an adjudicative proceeding under part 3 of this chapter—(1) Service through the electronic filing system. A party may elect, for documents labeled ‘‘Public’’ pursuant to § 4.2(b), to be served via the electronic filing system provided by the Office of the Secretary. The electronic filing system cannot be used to serve third parties. For parties that have elected to be served via the electronic filing system: (i) Service of documents labeled ‘‘Public’’ pursuant to § 4.2(b) may be VerDate Sep<11>2014 18:11 May 05, 2015 Jkt 235001 effected through the electronic filing system; (ii) Each such party thereby agrees that, for any document served through the electronic filing system, transmission of the notice of electronic filing provided by the electronic filing system shall satisfy the service obligations of the serving party; and (iii) A document served via the electronic filing system shall be deemed served on the date the notice of electronic filing is transmitted, unless the serving party learns that the notice of electronic filing did not reach the person to be served. (2) Service by other methods of electronic delivery. (i) In the following circumstances, service by other methods of electronic delivery (including service by email) may be effected as the Administrative Law Judge and the Secretary may direct: (A) The document to be served is labeled ‘‘In Camera’’ or ‘‘Confidential’’ pursuant to § 4.2(b); (B) The party to be served has not elected to be served via the electronic filing system; (C) The document is to be served upon a third party; or (D) Service under paragraph (e)(1) of this section is unavailable for technical reasons. (ii) If documents labeled ‘‘In Camera’’ or ‘‘Confidential’’ are being served under this paragraph (e)(2), the documents must be encrypted prior to transit or must be transferred through a secure file transfer protocol. Service of a document under this paragraph (e)(2) shall be complete upon transmission by the serving party, unless the serving party learns that the document did not reach the person to be served. (f) Service of process upon the Commission. Documents served upon the Commission may be served by personal delivery (including delivery by courier) or by first-class mail to the Office of the Secretary of the Commission. By direction of the Commission. Donald S. Clark, Secretary. [FR Doc. 2015–10517 Filed 5–5–15; 8:45 am] BILLING CODE 6750–01–P PO 00000 Frm 00047 Fmt 4700 Sfmt 4700 25943 ENVIRONMENTAL PROTECTION AGENCY 40 CFR Part 174 [EPA–HQ–OPP–2014–0834; FRL–9926–99] Defensin Proteins (SoD2 and SoD7) Derived From Spinach (Spinacia oleracea L.) in Citrus Plants; Temporary Exemption From the Requirement of a Tolerance Environmental Protection Agency (EPA). ACTION: Final rule. AGENCY: This regulation establishes a temporary exemption from the requirement of a tolerance for residues of SoD2 and SoD7, two defensin proteins derived from spinach (Spinacia oleracea L.), in or on citrus when used as plant-incorporated protectants (PIPs) in accordance with the terms of Experimental Use Permit (EUP) No. 88232–EUP–1. Southern Gardens Citrus submitted a petition to EPA under the Federal Food, Drug, and Cosmetic Act (FFDCA), requesting the temporary tolerance exemption. This regulation eliminates the need to establish a maximum permissible level for residues of SoD2 and SoD7 in or on citrus. The temporary tolerance exemption expires on April 18, 2018. DATES: This regulation is effective May 6, 2015. Objections and requests for hearings must be received on or before July 6, 2015, and must be filed in accordance with the instructions provided in 40 CFR part 178 (see also Unit I.C. of the SUPPLEMENTARY INFORMATION). SUMMARY: The docket for this action, identified by docket identification (ID) number EPA–HQ–OPP–2014–0834, is available at http://www.regulations.gov or at the Office of Pesticide Programs Regulatory Public Docket (OPP Docket) in the Environmental Protection Agency Docket Center (EPA/DC), West William Jefferson Clinton Bldg., Rm. 3334, 1301 Constitution Ave. NW., Washington, DC 20460–0001. The Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the Public Reading Room is (202) 566–1744, and the telephone number for the OPP Docket is (703) 305–5805. Please review the visitor instructions and additional information about the docket available at http://www.epa.gov/dockets. FOR FURTHER INFORMATION CONTACT: Robert McNally, Biopesticides and Pollution Prevention Division (7511P), Office of Pesticide Programs, Environmental Protection Agency, 1200 ADDRESSES: E:\FR\FM\06MYR1.SGM 06MYR1

Agencies

[Federal Register Volume 80, Number 87 (Wednesday, May 6, 2015)]
[Rules and Regulations]
[Pages 25940-25943]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-10517]



[[Page 25940]]

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FEDERAL TRADE COMMISSION

16 CFR Parts 3 and 4


Revisions to Rules of Practice

AGENCY: Federal Trade Commission.

ACTION: Final rules.

-----------------------------------------------------------------------

SUMMARY: The Commission is revising certain of its rules of practice to 
accommodate changes to the Commission's electronic filing system, to 
eliminate outdated requirements, and to improve clarity.

DATES: Effective date: These rule revisions are effective on May 12, 
2015 and will govern all Commission adjudicatory proceedings that are 
commenced after that date. They will also govern all Commission 
adjudicatory proceedings that are pending on May 12, 2015, unless 
otherwise ordered by the Commission.

FOR FURTHER INFORMATION CONTACT: Josephine Liu, Attorney, (202) 326-
2170, Office of the General Counsel, Federal Trade Commission, 600 
Pennsylvania Avenue NW., Washington, DC 20580.

SUPPLEMENTARY INFORMATION: The Federal Trade Commission is revising 
certain rules in parts 3 and 4 of its rules of practice to reflect new 
features in the Commission's electronic filing system, eliminate 
outdated requirements for the filing and service of documents, and 
clarify the applicability of the rules.
    Because these rule revisions relate solely to agency procedure and 
practice, publication for notice and comment is not required under the 
Administrative Procedure Act. 5 U.S.C. 553(b).\1\ These rule revisions 
are effective on May 12, 2015 and will govern all Commission 
adjudicatory proceedings that are commenced after that date. They will 
also govern all Commission adjudicatory proceedings that are pending on 
May 12, 2015, unless otherwise ordered by the Commission.
---------------------------------------------------------------------------

    \1\ For this reason, the requirements of the Regulatory 
Flexibility Act are also inapplicable. 5 U.S.C. 601(2), 604(a). 
Likewise, the amendments do not modify any FTC collections of 
information within the meaning of the Paperwork Reduction Act, 44 
U.S.C. 3501 et seq.
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I. Revisions to Miscellaneous Rules (Part 4)

Rule 4.2: Requirements as to Form, and Filing of Documents Other Than 
Correspondence

    The Commission is amending Rule 4.2(c) to specify that documents 
filed before the Commission or an Administrative Law Judge in an 
adjudicative proceeding under part 3 of the Commission's rules may be 
filed in either of two ways: In hard copy, or through the Commission's 
electronic filing system.
    Part 3 documents filed in hard copy must include a paper original, 
one paper copy, and one electronic copy in Adobe portable document 
format or other format specified by the Secretary. The Commission is 
eliminating the requirement to provide 12 paper copies for filings 
before the Commission.
    Part 3 documents filed through the electronic filing system must 
comply with the Secretary's directions for using that system. 
Additional information about the electronic filing system is available 
at https://ftcefile.gov/HomePage.aspx. Documents labeled ``In Camera'' 
or ``Confidential'' may be filed through the electronic filing system, 
although--as discussed further below--they may not be served through 
that system. Because the electronic filing system is now configured to 
accept ``In Camera'' or ``Confidential'' documents, the Commission is 
deleting the existing requirement that ``In Camera'' or 
``Confidential'' documents be filed only in hard copy and be 
accompanied by an electronic copy on a CD or DVD.
    For other documents filed with the Commission that are governed by 
Rule 4.2(d)--including petitions to quash or limit compulsory process, 
reports of compliance, and requests to reopen--the Commission is 
eliminating the existing requirement to provide 12 paper copies and a 
CD or DVD containing an electronic copy of the document. Instead, such 
documents must include a paper original, one paper copy, and one 
electronic copy in Adobe portable document format, unless otherwise 
directed by the Secretary.
    In Rule 4.2(e), the Commission is deleting an outdated exception 
for briefs filed in support of appeals from initial decisions and an 
outdated cross-reference to formatting requirements for such briefs 
under Rule 3.52(e).
    In Rule 4.2(f), the Commission is adding an explanation of the 
acceptable signature methods for documents that are filed 
electronically.
    The Commission is also making other edits throughout Rule 4.2 so 
that the Rule's requirements are format-neutral.

Rule 4.3: Time

    The Commission is amending Rule 4.3(c) so that, if a document is 
served electronically, there will be a 1-day extension for any parties 
required or permitted to respond within a prescribed period after 
service of the document. As discussed in more detail below, documents 
can now be filed through the electronically filing system until 11:59 
p.m. For documents that are electronically filed and served late at 
night, it is unrealistic to expect opposing parties to read the service 
notification until the next morning. Rule 4.3(c) therefore provides a 
1-day extension for responding to electronically served documents. 
Although the federal courts provide a 3-day extension for responding to 
electronically served documents, see Fed. R. Civ. P. 6(d), the 
Commission has decided--due to the way that time is computed under the 
Commission's rules--that a 1-day extension in Rule 4.3(c) would be more 
appropriate.
    The Commission is amending Rule 4.3(d)'s deadline for timely filing 
of documents. Although paper documents still must be received in the 
Office of the Secretary by 5:00 p.m. Eastern Time to be deemed filed 
that day, documents filed using the electronic filing system will be 
deemed timely filed as long as they are received by 11:59 p.m. Eastern 
Time. This change is consistent with Federal Rule of Civil Procedure 
6(a)(4), which similarly provides a later deadline for electronic 
filing as compared to filing by other means.

Rule 4.4: Service

    The Commission is amending Rule 4.4(a) to clarify which paragraphs 
govern which types of documents and to allow the Commission to use 
electronic delivery to serve certain types of documents in part 3 
proceedings. The provision that permits service upon counsel to be 
deemed service upon the party represented by that counsel--former Rule 
4.4(a)(4)--has been moved into a new paragraph so that it is applicable 
to all documents in Commission proceedings, not just documents served 
by the Commission. See new Rule 4.4(c).
    The Commission is amending Rule 4.4(b) to clarify that Rule 4.4(b) 
is the provision that governs service by complaint counsel, 
respondents, or third parties in adjudicative proceedings under part 3. 
The Commission is also clarifying, in new Rule 4.4(b)(1)(i), that 
service upon complaint counsel must be effected by serving lead 
complaint counsel; the Commission is eliminating the existing language 
that allowed service to be effected by instead serving the Assistant 
Director in the Bureau of Competition, the Associate Director in the 
Bureau of Consumer Protection, or the Director of the Regional Office 
of complaint counsel. In addition, Rule 4.4(b) is being revised to 
permit service by electronic delivery in accordance with new Rule 
4.4(e).
    New Rule 4.4(e) governs service by electronic delivery in part 3 
proceedings. Specifically, Rule 4.4(e)(1)

[[Page 25941]]

governs parties who have elected to be served via the Commission's 
electronic filing system. For such parties, the electronic filing 
system may be used to serve them with documents labeled ``Public,'' and 
transmission of the notice of electronic filing provided by the 
electronic filing system will satisfy the service obligations of the 
serving party. A document will be deemed served on the date that the 
notice of electronic filing is transmitted, unless the serving party 
learns that the notice of electronic filing did not reach the person to 
be served.
    ``In Camera'' or ``Confidential'' documents may not be served 
through the electronic filing system. In addition, for confidentiality 
reasons, the electronic filing system cannot be used to serve third 
parties. Third parties can use the electronic filing system to file and 
serve documents, but third parties cannot be served through the system.
    Rule 4.4(e)(2) therefore authorizes the Administrative Law Judge 
and the Secretary to allow other methods of service by electronic 
delivery, including service by email, in the following circumstances: 
For service of ``In Camera'' or ``Confidential'' documents, if the 
party to be served has not opted into service via the Commission's 
electronic filing system, if the document is to be served upon a third 
party, or if service through the electronic filing system is 
unavailable for technical reasons. If ``In Camera'' and 
``Confidential'' documents are served by electronic delivery under Rule 
4.4(e)(2), they must be encrypted prior to transit or transferred 
through a secure file transfer protocol.
    New Rule 4.4(f) contains language that was previously found in Rule 
4.4(b) and that has been moved into a new paragraph for clarity.

II. Revisions to Rules of Practice for Adjudicative Proceedings (Part 
3)

Rule 3.14: Intervention

    The Commission is amending Rule 3.14(a) to clarify that motions to 
intervene in Part 3 proceedings, as well as answers to such motions, 
must be served in accordance with Rule 4.4(b).

Rule 3.83: Procedures for Considering Applicants

    The Commission is deleting Rule 3.83(a)'s discussion of the date of 
filing for an application for an award of fees and expenses under the 
Equal Access to Justice Act, because Rule 4.3(d) governs the date of 
filing for documents filed with the Commission.

List of Subjects

16 CFR Part 3

    Administrative practice and procedure.

16 CFR Part 4

    Administrative practice and procedure, Freedom of information, 
Public record.

    For the reasons set forth in the preamble, the Federal Trade 
Commission amends title 16, chapter I, subchapter A of the Code of 
Federal Regulations as follows:

PART 3--RULES OF PRACTICE FOR ADJUDICATIVE PROCEEDINGS

0
1. The authority citation for part 3 continues to read as follows:

    Authority: 15 U.S.C. 46, unless otherwise noted.


0
2. Amend Sec.  3.14 by revising paragraph (a) to read as follows:


Sec.  3.14  Intervention.

    (a) Any individual, partnership, unincorporated association, or 
corporation desiring to intervene in an adjudicative proceeding shall 
make written application in the form of a motion setting forth the 
basis therefor. Such application shall be served upon each party to the 
proceeding in accordance with the provisions of Sec.  4.4(b) of this 
chapter. The answer filed by any party shall be served upon the 
applicant in accordance with the provisions of Sec.  4.4(b). The 
Administrative Law Judge or the Commission may by order permit the 
intervention to such extent and upon such terms as are provided by law 
or as otherwise may be deemed proper.
* * * * *

0
3. Amend Sec.  3.83 by revising paragraph (a) to read as follows:


Sec.  3.83  Procedures for considering applicants.

    (a) Filing and service of documents. Any application for an award 
or other pleading or document related to an application shall be filed 
and served on all parties as specified in Sec. Sec.  4.2 and 4.4(b) of 
this chapter, except as provided in Sec.  3.82(b)(2) for confidential 
financial information.
* * * * *

PART 4--MISCELLANEOUS RULES

0
4. The authority citation for part 4 continues to read as follows:

    Authority: 15 U.S.C. 46, unless otherwise noted.


0
5. Amend Sec.  4.2 by revising paragraphs (c), (d), (e), and (f) to 
read as follows:


Sec.  4.2  Requirements as to form, and filing of documents other than 
correspondence.

* * * * *
    (c) Paper and electronic copies of filings before the Commission or 
an Administrative Law Judge in adjudicative proceedings under part 3 of 
this chapter. (1) Each document filed in an adjudicative proceeding 
under part 3, except documents covered by Sec.  4.2(a)(1)(i), shall be 
filed with the Secretary of the Commission, shall be in 12-point font 
with 1-inch margins, and shall comply with the requirements of 
Sec. Sec.  4.2(b) and (f) and 4.3(d). Documents may be filed with the 
Office of the Secretary either electronically or in hard copy.
    (i) Documents may be filed electronically by using the Office of 
the Secretary's electronic filing system and complying with the 
Secretary's directions for using that system. Documents filed 
electronically shall be in Adobe portable document format or such other 
format as the Secretary may direct.
    (ii) Documents filed in hard copy shall include a paper original, 
one paper copy, and an electronic copy in Adobe portable document 
format or such other format as the Secretary shall direct.
    (2) If the document is labeled ``In Camera'' or ``Confidential'', 
it must include as an attachment either a motion requesting in camera 
or other confidential treatment, in the form prescribed by Sec.  3.45 
of this chapter, or a copy of a Commission, Administrative Law Judge, 
or federal court order granting such treatment. The document must also 
include as a separate attachment a set of only those pages of the 
document on which the in camera or otherwise confidential material 
appears and comply with all other requirements of Sec.  3.45 and any 
other applicable rules governing in camera treatment. A document 
labeled ``In Camera'' or ``Confidential'' may be filed electronically 
using the electronic filing system.
    (3) Sensitive personal information, as defined in Sec.  3.45(b) of 
this chapter, shall not be included in, and must be redacted or omitted 
from, filings where the filing party determines that such information 
is not relevant or otherwise necessary for the conduct of the 
proceeding.
    (4) A copy of each document filed in accordance with this section 
in an adjudicative proceeding under part 3 of this chapter shall be 
served by the party filing the document or person acting for that party 
on all other parties pursuant

[[Page 25942]]

to Sec.  4.4, at or before the time the original is filed.
    (d) Other documents filed with the Commission. (1) Each document 
filed with the Commission, and not covered by Sec.  4.2(a)(1)(i) or 
(ii) or Sec.  4.2(c), shall be filed with the Secretary of the 
Commission, and shall be clearly and accurately labeled as required by 
Sec.  4.2(b).
    (2) Each such document shall be signed and shall comply with the 
requirements of Sec.  4.2(f). Documents filed under this paragraph (d) 
shall include a paper original, one paper copy, and an electronic copy 
in Adobe portable document format, unless the Secretary shall otherwise 
direct.
    (3) Each such document labeled ``Public'' may be placed on the 
public record of the Commission at the time it is filed.
    (4) If such a document is labeled ``Confidential'', and it is filed 
pursuant to Sec.  2.10(a), Sec.  2.41(f), or Sec.  2.51 of this 
chapter, it will be rejected for filing pursuant to Sec.  4.2(g), and 
will not stay compliance with any applicable obligation imposed by the 
Commission or the Commission staff, unless the filer simultaneously 
files:
    (i) An explicit request for confidential treatment that includes 
the factual and legal basis for the request, identifies the specific 
portions of the document to be withheld from the public record, 
provides the name and address of the person(s) who should be notified 
in the event the Commission determines to disclose some or all of the 
material labeled ``Confidential'', and otherwise conforms to the 
requirements of Sec.  4.9(c); and
    (ii) A redacted public version of the document that is clearly 
labeled ``Public''.
    (e) Form. Paper documents filed with the Secretary of the 
Commission shall be printed, typewritten, or otherwise processed in 
permanent form and on good unglazed paper. A motion or other document 
filed in an adjudicative proceeding under part 3 of this chapter shall 
contain a caption setting forth the title of the case, the docket 
number, and a brief descriptive title indicating the purpose of the 
document.
    (f) Signature. (1) The original of each document filed shall be 
signed by an attorney of record for the filing party, or in the case of 
parties not represented by counsel, by the party itself, or by a 
partner if a partnership, or by an officer of the party if it is a 
corporation or an unincorporated association. For documents filed 
electronically using the Office of the Secretary's electronic filing 
system, documents must be signed using a scanned signature image, an 
``s/'' followed by the name of the filer using the electronic filing 
system, or another signature method as the Secretary may direct.
    (2) Signing a document constitutes a representation by the signer 
that he or she has read it; that to the best of his or her knowledge, 
information, and belief, the statements made in it are true; that it is 
not interposed for delay; and that to the best of his or her knowledge, 
information, and belief, it complies with the rules in this part. If a 
document is not signed or is signed with intent to defeat the purpose 
of this section, it may be stricken as sham and false and the 
proceeding may go forward as though the document had not been filed.
* * * * *

0
6. Amend Sec.  4.3 by revising paragraphs (c) and (d) to read as 
follows:


Sec.  4.3  Time.

* * * * *
    (c) Additional time after certain kinds of service. Whenever a 
party in an adjudicative proceeding under part 3 of this chapter is 
required or permitted to do an act within a prescribed period after 
service of a document upon it and the document is served by first-class 
mail pursuant to Sec.  4.4(a)(2) or (b), 3 days shall be added to the 
prescribed period. Whenever a party in an adjudicative proceeding under 
part 3 is required or permitted to do an act within a prescribed period 
after service of a document upon it and the document is served by 
electronic delivery pursuant to Sec.  4.4(e), 1 day shall be added to 
the prescribed period.
    (d) Date of filing. Documents permitted to be filed using the 
electronic filing system must be received by 11:59 p.m. Eastern Time to 
be deemed timely filed that day. All other documents must be received 
in the Office of the Secretary by 5:00 p.m. Eastern Time to be deemed 
filed that day, and any such document received after 5:00 p.m. Eastern 
Time will be deemed filed the following business day.

0
7. Revise Sec.  4.4 to read as follows:


Sec.  4.4  Service.

    (a) By the Commission. (1) Service of complaints, initial 
decisions, final orders and other processes of the Commission under 15 
U.S.C. 45 may be effected as follows:
    (i) By registered or certified mail. A copy of the document shall 
be addressed to the person, partnership, corporation or unincorporated 
association to be served at his, her or its residence or principal 
office or place of business, registered or certified, and mailed; 
service under this provision is complete upon delivery of the document 
by the Post Office; or
    (ii) By delivery to an individual. A copy thereof may be delivered 
to the person to be served, or to a member of the partnership to be 
served, or to the president, secretary, or other executive officer or a 
director of the corporation or unincorporated association to be served; 
service under this provision is complete upon delivery as specified 
herein; or
    (iii) By delivery to an address. A copy thereof may be left at the 
principal office or place of business of the person, partnership, 
corporation, or unincorporated association, or it may be left at the 
residence of the person or of a member of the partnership or of an 
executive officer or director of the corporation, or unincorporated 
association to be served; service under this provision is complete upon 
delivery as specified herein.
    (2) All documents served by the Commission or Administrative Law 
Judge in adjudicative proceedings under part 3 of this chapter, other 
than documents governed by paragraph (a)(1) of this section, may be 
served by personal delivery (including delivery by courier), by 
electronic delivery in accordance with Sec.  4.4(e), or by first-class 
mail. Unless otherwise specified in Sec.  4.4(e), documents shall be 
deemed served on the day of personal or electronic delivery or the day 
of mailing.
    (3) All other orders and notices, including subpoenas, orders 
requiring access, orders to file annual and special reports, and 
notices of default, may be served by any method reasonably certain to 
inform the affected person, partnership, corporation or unincorporated 
association, including any method specified in paragraph (a)(1) of this 
section, except that civil investigative demands may only be served in 
the manner provided by section 20(c)(7) of the FTC Act (in the case of 
service on a partnership, corporation, association, or other legal 
entity) or section 20(c)(8) of the FTC Act (in the case of a natural 
person). Service under this provision is complete upon delivery by the 
Post Office or upon personal delivery (including delivery by courier).
    (b) By parties or third parties in adjudicative proceedings under 
part 3 of this chapter. (1) Service of documents by complaint counsel, 
respondents, or third parties in adjudicative proceedings under part 3 
shall be by delivering copies using the following methods.
    (i) Upon complaint counsel. A copy may be served by personal 
delivery

[[Page 25943]]

(including delivery by courier), by electronic delivery in accordance 
with Sec.  4.4(e), or by first-class mail to the lead complaint 
counsel, with a copy to the Administrative Law Judge.
    (ii) Upon a party other than complaint counsel or upon a third 
party. A copy may be served by personal delivery (including delivery by 
courier), by electronic delivery in accordance with Sec.  4.4(e), or by 
first-class mail, with a copy to the Administrative Law Judge. If the 
party is an individual or partnership, delivery shall be to such 
individual or a member of the partnership; if a corporation or 
unincorporated association, to an officer or agent authorized to accept 
service of process therefor. Personal delivery includes handing the 
document to be served to the individual, partner, officer, or agent; 
leaving it at his or her office with a person in charge thereof; or, if 
there is no one in charge or if the office is closed or if the party 
has no office, leaving it at his or her dwelling house or usual place 
of abode with some person of suitable age and discretion then residing 
therein.
    (2) Unless otherwise specified in Sec.  4.4(e), documents served in 
adjudicative proceedings under part 3 shall be deemed served on the day 
of personal delivery (including delivery by courier), the day of 
electronic delivery, or the day of mailing.
    (c) Service upon counsel. When counsel has appeared in a proceeding 
on behalf of a party, service upon such counsel of any document, other 
than a complaint, shall be deemed service upon the party. However, 
service of those documents specified in paragraph (a)(1) of this 
section shall be in accordance with paragraphs (a)(1)(i), (ii), and 
(iii) of this section.
    (d) Proof of service. In an adjudicative proceeding under part 3, 
documents presented for filing shall contain proof of service in the 
form of a statement of the date and manner of service and of the names 
of the persons served, certified by the person who made service. Proof 
of service must appear on or be affixed to the documents filed.
    (e) Service by electronic delivery in an adjudicative proceeding 
under part 3 of this chapter--(1) Service through the electronic filing 
system. A party may elect, for documents labeled ``Public'' pursuant to 
Sec.  4.2(b), to be served via the electronic filing system provided by 
the Office of the Secretary. The electronic filing system cannot be 
used to serve third parties. For parties that have elected to be served 
via the electronic filing system:
    (i) Service of documents labeled ``Public'' pursuant to Sec.  
4.2(b) may be effected through the electronic filing system;
    (ii) Each such party thereby agrees that, for any document served 
through the electronic filing system, transmission of the notice of 
electronic filing provided by the electronic filing system shall 
satisfy the service obligations of the serving party; and
    (iii) A document served via the electronic filing system shall be 
deemed served on the date the notice of electronic filing is 
transmitted, unless the serving party learns that the notice of 
electronic filing did not reach the person to be served.
    (2) Service by other methods of electronic delivery. (i) In the 
following circumstances, service by other methods of electronic 
delivery (including service by email) may be effected as the 
Administrative Law Judge and the Secretary may direct:
    (A) The document to be served is labeled ``In Camera'' or 
``Confidential'' pursuant to Sec.  4.2(b);
    (B) The party to be served has not elected to be served via the 
electronic filing system;
    (C) The document is to be served upon a third party; or
    (D) Service under paragraph (e)(1) of this section is unavailable 
for technical reasons.
    (ii) If documents labeled ``In Camera'' or ``Confidential'' are 
being served under this paragraph (e)(2), the documents must be 
encrypted prior to transit or must be transferred through a secure file 
transfer protocol. Service of a document under this paragraph (e)(2) 
shall be complete upon transmission by the serving party, unless the 
serving party learns that the document did not reach the person to be 
served.
    (f) Service of process upon the Commission. Documents served upon 
the Commission may be served by personal delivery (including delivery 
by courier) or by first-class mail to the Office of the Secretary of 
the Commission.

    By direction of the Commission.
Donald S. Clark,
Secretary.
[FR Doc. 2015-10517 Filed 5-5-15; 8:45 am]
 BILLING CODE 6750-01-P