[Federal Register Volume 66, Number 239 (Wednesday, December 12, 2001)]
[Rules and Regulations]
[Pages 64142-64144]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-30441]


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FEDERAL TRADE COMMISSION

16 CFR Parts 3 and 4


Rules of Practice

AGENCY: Federal Trade Commission (FTC).

ACTION: Final rules.

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SUMMARY: The Commission is updating and making other technical 
corrections and changes to Parts 3 and 4 of its regulations on 
Organization, Procedures and Rules of Practice.

EFFECTIVE DATE: These rule amendments will be effective on December 12, 
2001.

FOR FURTHER INFORMATION CONTACT: Marianne Watts, Office of General 
Counsel, FTC, 600 Pennsylvania

[[Page 64143]]

Avenue, NW., Washington, DC 20580, (202) 326-3074, [email protected].

SUPPLEMENTARY INFORMATION: The Commission is amending Parts 3 and 4 of 
its Rules, 16 CFR Parts 3 and 4, to update and make other technical 
clarifications, corrections, and changes to the Rules, as follows.

Consent Agreement Settlements

    Matters in administrative litigation may be withdrawn from 
adjudication pursuant to a motion to consider a proposed consent 
agreement. If the proposed consent agreement is executed by complaint 
counsel, the Bureau Director responsible for supervising complaint 
counsel typically reviews and approves the terms of the proposed 
consent agreement. The Bureau Director then indicates his or her 
approval on an approval line. Rule 3.25(c) is being amended to 
eliminate the suggestion that the Bureau Director is one of complaint 
``counsel.''
    Orders Requiring Witnesses to Testify or Provide Other Information 
and Granting Immunity
    Rule 3.39 (a) is being amended to clarify the actual roles of 
Directors and Assistant Directors of the Bureaus and Regional Directors 
and Assistant Regional Directors for the Commission's Regional Offices 
with respect to the issuance of orders requiring a witness to testify 
or provide information and granting immunity under Title 18, section 
6002 of the United States Code. As currently written, Rule 3.39 (a) may 
suggest that such Directors and Assistant Directors themselves 
typically present evidence in support of an administrative complaint. 
To remove the potentially erroneous suggestion, Rule 3.39(a) is being 
revised to state that such Directors and Assistant Directors have 
supervisory authority over complaint counsel, who, as attorneys, are 
typically responsible for performing this function.

Appearances

    Rule 4.1 (a)(2)(ii) is being amended to correct certain 
typographical errors. As originally promulgated in 1983, Rule 4.1 
(a)(2)(ii) read as follows: ``At the request of counsel representing 
any party in an adjudicative proceeding, the Administrative Law Judge 
may permit an expert in the same discipline as an expert witness to 
conduct all or a portion of the cross-examination of a witness.'' 48 FR 
44,765 (1983). During subsequent rule changes, certain language was 
inadvertently deleted; those deletions are hereby restored.
    Costs for Obtaining Commission Records, The Public Record, 
Disclosure Requests, and Privacy Act Rules
    Pertinent subsections of Rules 4.8, 4.9, 4.11, and 4.13 are being 
amended to change the title of the official designated by the General 
Counsel to receive and process initial Freedom of Information Act 
(FOIA) and Privacy Act requests. Currently, these rules contain 
numerous references to the title ``the Assistant General Counsel for 
Legal Counsel (Management & Access).'' This title no longer exists. 
Therefore, the references to this title in Rules 4.8, 4.9, 4.11, and 
4.13 are being removed and replaced in most instances by the 
descriptive phrase: ``the deciding official (as designated by the 
General Counsel).'' This formulation is being adopted because titles 
within the Office of the General Counsel may change, and this amendment 
will reduce the need for future rule changes.
    The Administrative Procedure Act does not require prior public 
notice and comment on these amendments because they relate solely to 
rules of agency organization, procedure or practice. 5 U.S.C. 
553(b)(A). For this reason, the Regulatory Flexibility Act also does 
not require an initial or final regulatory flexibility analysis. See 5 
U.S.C. 603, 604. To the extent these amendments may relate to agency 
information collection activities, they are exempt from review under 
the Paperwork Reduction Act. See 44 U.S.C. 3518(c); 5 CFR 1320.4 
(collections during the conduct of civil or administrative proceedings 
or investigations).

List of Subjects

16 CFR Part 3

    Administrative practice and procedure, Claims, Equal Access to 
Justice, Lawyers.

16 CFR Part 4

    Administrative practice and procedure, Freedom of Information Act, 
Privacy Act, Sunshine Act.


    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. Revise Sec. 3.25(c)to read as follows:


Sec. 3.25  Consent agreement settlements.

* * * * *
    (c) If the proposed consent agreement accompanying the motion has 
also been executed by complaint counsel and approved by the appropriate 
Bureau Director, the Secretary shall issue an order withdrawing from 
adjudication those portions of the matter that the proposal would 
resolve and all proceedings before the Administrative Law Judge shall 
be stayed with respect to such portions, pending a determination by the 
Commission pursuant to paragraph (f) of this section.
* * * * *

    3. In Sec. 3.39, paragraphs (a) introductory text, (a)(1) and the 
first sentence of paragraph (a)(2) are revised to read as follows:


Sec. 3.39  Orders requiring witnesses to testify or provide other 
information and granting immunity.

    (a) Where Commission complaint counsel desire the issuance of an 
order requiring a witness or deponent to testify or provide other 
information and granting immunity under title 18, section 6002, United 
States Code, Directors and Assistant Directors of Bureaus and Regional 
Directors and Assistant Regional Directors of Commission Regional 
Offices who supervise complaint counsel responsible for presenting 
evidence in support of the complaint are authorized to determine:
    (1) That the testimony or other information sought from a witness 
or deponent, or prospective witness or deponent, may be necessary to 
the public interest, and
    (2) That such individual has refused or is likely to refuse to 
testify or provide such information on the basis of his privilege 
against self-incrimination; and to request, through the Commission's 
liaison officer, approval by the Attorney General for the issuance of 
such order. * * *
* * * * *

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.


    5. Revise Sec. 4.1 (a)(2)(ii) to read as follows:


Sec. 4.1  Appearances.

    (a)* * *
    (2)* * *
    (ii) At the request of counsel representing any party in an 
adjudicative proceeding, the Administrative Law Judge may permit an 
expert in the same discipline as an expert witness to conduct all or a

[[Page 64144]]

portion of the cross-examination of such witness.
* * * * *


Secs. 4.8, 4.11, 4.13  [Amended]

    6. Section 4.11(a)(2) is corrected as follows:

    A. By correctly designating paragraphs (a)(2)(i)(A)(1) through (3) 
as paragraphs (a)(2)(i)(A)(1) through (3);
    B. By correctly designating paragraphs (a)(2)(ii)(A)(1) and (2) as 
paragraphs (a)(2)(ii)(A)(1 and (2);
    C. By correcting the reference in redesignated paragraph 
(a)(2)(i)(A)(1) that currently reads ``(a)(2)(i)(A)(2)'' to read 
``(a)(2)(i)(A)(2)'.

    7. Secs. 4.8, 4.11, and 4.13 are amended by removing the words 
``Assistant General Counsel for Legal Counsel (Management & Access) or 
his or her designee'' and adding, in their place, the words ``deciding 
official (as designated by the General Counsel)'' in the following 
places:
    a. Section 4.8 (c), (e), (g), and (h);
    b. Section 4.11(a) (1) (i) (E); 4.11 (a) (1) (iii) (A)-(D); 4.11(a) 
(1) (iv) (A)-(C); 4.11 (a) (2) (i) (A) (1); and


Secs. 4.9 and 4.13  [Amended]

    8. Secs. 4.9 and 4.13 are amended by removing the words ``Assistant 
General Counsel for Legal Counsel (Management & Access)'' and adding, 
in their place, the words ``the deciding official (as designated by the 
General Counsel)'' in the following places:
    a. Section 4.9 (a) (4) (i); and
    b. Section 4.13 (i) (2) (i).


Secs. 4.11 and 4.13  [Amended]

    9. Secs. 4.11 and 4.13 are amended by removing the words 
``Assistant General Counsel for Legal Counsel (Management & Access)'' 
in the following places:
    a. Section 4.11(a) (1) (i) (A); and
    d. Section 4.13 (c).

    By direction of the Commission.
Donald S. Clark,
 Secretary.
[FR Doc. 01-30441 Filed 12-11-01; 8:45 am]
BILLING CODE 6750-01-P