[Federal Register Volume 67, Number 217 (Friday, November 8, 2002)]
[Rules and Regulations]
[Pages 68036-68037]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-28404]


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INTERNATIONAL TRADE COMMISSION

19 CFR Part 201


Rules of General Application

AGENCY: International Trade Commission.

ACTION: Notice of final rulemaking.

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SUMMARY: The United States International Trade Commission (Commission) 
hereby amends its rules of practice and procedure (rules) to permit 
persons the option of filing certain documents with the Commission in 
electronic form instead of in paper form only. The Commission also 
amends its rules of practice and procedure to allow electronic service 
of documents in limited circumstances and to require persons to 
complete and submit a standard cover sheet when filing documents, 
either in paper form or in electronic form, with the Commission.

DATES: The effective date of these amendments is December 9, 2002.

FOR FURTHER INFORMATION CONTACT: Irene H. Chen, Esq., Office of the 
General Counsel, United States International Trade Commission, 
telephone 202-205-3112. 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 (http://www.usitc.gov).

SUPPLEMENTARY INFORMATION:

Background

    On April 26, 2002, the Commission published a notice of proposed 
rulemaking (NOPR) in the Federal Register. 67 FR 20709, April 26, 2002. 
In the NOPR, the Commission proposed amending its rules of practice and 
procedure to (a) permit persons the option of filing certain documents 
electronically instead of just in paper form; (b) allow electronic 
service of documents in limited circumstances; and (c) require persons 
to complete and submit a standard cover sheet, whether filing 
electronically or in paper form. In its NOPR, the Commission invited 
public comment on its proposed rule amendments and the EDIS-II cover 
sheet (cover sheet) for use in filing documents in the Commission's 
Electronic Document Information System (EDIS-II). The Commission 
received a total of three sets of comments from the ITC Trial Lawyers 
Association (ITCTLA) and two law firms. The Commission carefully 
considered all comments that it received. The Commission's response to 
those comments that relate to the rule amendments is provided below in 
a section-by-section analysis. Since the NOPR was published, the Office 
of Management and Budget (OMB) has determined that the cover sheet does 
not require OMB approval because of the minimal paperwork burden on the 
public; nevertheless, the Commission has summarized below comments to 
the cover sheet and its response thereto. The Commission appreciates 
the time and effort the commenters took to present their views, and 
believes that the comments have improved the amendments and the cover 
sheet. The Commission is also publishing a notice containing the 
Handbook on Electronic Filing Procedures (Handbook) referenced in 
amended Sec.  201.8 of the rules, which includes information regarding 
registration for electronic filing and the list of documents that may 
be filed electronically. Please review the Handbook in its entirety 
prior to registering for electronic filing.

Regulatory Analysis

    The Commission has determined that these amended 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.) and Executive Order 13272 (67 FR 
53461, Aug. 13, 2002) are inapplicable to this rulemaking because it is 
not one for which a NOPR is required under 5 U.S.C. 553(b) of the APA 
or any other statute. Although the Commission published a NOPR, these 
proposed 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 amended 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 amended 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 
amended 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.

Section-by-Section Analysis of the Regulations

Section 201.8

    The Commission has amended Sec.  201.8 by adding paragraphs 
201.8(f) and (g). Section 201.8(f) provides that persons may file 
certain documents electronically at the Commission's Internet website 
without violating the relevant provisions of the rules that govern 
paper filing of documents. The Commission did not receive any specific 
comments with respect to Sec.  201.8(f). Section 201.8(g) requires that 
persons filing documents either in paper form or electronically must 
complete a cover sheet to be submitted to the Commission along with 
their filings. The law firm of Adduci, Mastriani & Schaumberg, L.L.P. 
proposed amending Sec.  201.8 to state that filings without a cover 
sheet will be accepted, and that cover sheets may be submitted the 
following business day. The Commission has determined to retain the 
requirement that filers must complete and submit a cover sheet with 
their filings, whether the filings are in electronic or paper form, 
because the information in the cover sheet is required for EDIS-II to 
docket filings. The Commission has revised Sec.  201.8(g) to require 
parties submitting paper filings to fill-out the cover sheet on-line 
and print it out for submission to the Office of the Secretary with the 
paper filing. Persons filing documents electronically are required to 
complete and submit the cover sheet on-line with the electronic filing. 
This cover sheet requirement is to ensure accurate processing of 
filings.

Section 201.16

    The Commission has amended Sec.  201.16 by adding paragraph (e) to 
permit persons the option of serving documents on other parties 
electronically, if the Secretary consents to such electronic service. 
However, electronic service is not permitted in

[[Page 68037]]

proceedings under section 337 of the Tariff Act of 1930 unless parties 
obtain the prior permission of the presiding administrative law judge. 
The ITCTLA proposed amending the final sentence of the proposed Rule to 
require a party who participates in electronic service to notify all 
parties if it withdraws its consent to electronic service. The 
Commission has incorporated the comment of the ITCTLA into Sec.  
201.16(e). The law firm of Collier Shannon Scott, PLLC, commented that 
the Commission should not leave all disputes regarding electronic 
service of documents to be resolved among the parties themselves; 
rather, the Commission should establish procedures and remedies to 
address electronic service failures. Because electronic service is on a 
voluntary basis, the Commission has determined, in the initial phase of 
electronic filing, to retain the requirement that electronic service 
disputes should be resolved by the parties themselves, without the 
Commission's involvement. Collier Shannon Scott, PLLC, commented that 
Sec.  201.16(e) should be amended to state that, even if a dispute 
regarding electronic service of a document arises among parties in a 
Commission proceeding, such a dispute will not affect the Commission's 
acceptance of the document for filing. Because Sec.  201.16(e) already 
provides that electronic service disputes must be resolved by the 
parties themselves, without the Commission's involvement, any such 
disputes will not affect the Commission's acceptance or rejection of a 
document for filing. Therefore, the Commission finds that it is not 
necessary to make any further amendments to Sec.  201.16(e).

EDIS-II Cover Sheet

    The ITCTLA suggested three changes to the cover sheet that appeared 
in the NOPR. First, the ITCTLA commented that the name of the 
``Security'' field on the cover sheet should be changed to 
``Confidential or Public.'' Second, the ITCTLA commented that the name 
of the ``Document Type'' field on the cover sheet should be changed to 
include a list of document types typically received by the Commission. 
Third, the ITCTLA recommended that the ``Add Attachments'' field on the 
cover sheet should include a citation to the ``Document'' definition in 
section II(A) of the Handbook to clarify that this field only applies 
to electronic filings. As to the first comment, the Commission has 
determined not to make the proposed change because the ``drop-down'' 
list next to the ``Security'' field also contains a reference to 
``privileged documents for internal use.'' As to the second comment, 
the Commission has adopted the ITCTLA's recommendation by including a 
list of document types normally filed with the Commission in the 
``Document Type'' field of the cover sheet. The public is advised, 
however, that the ``drop-down'' menu of document types may be altered 
as experience dictates. The Commission also has adopted the ITCTLA's 
third comment to the cover sheet by adding a reference to the EFP 
Handbook's ``document'' definition in the ``Add Attachments'' field.

List of Subjects in 19 CFR Part 201

    Administrative practice and procedure, Reporting and recordkeeping 
requirements.

    For the reasons discussed in the preamble, the Commission amends 19 
CFR part 201 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.

    2. Amend Sec.  201.8 to add paragraphs (f) and (g) to read as 
follows:


Sec.  201.8  Filing of documents.

* * * * *
    (f) Electronic filing. Notwithstanding the relevant provisions of 
Sec. Sec.  201.8, 201.12, 201.13, 201.16, 206.8, 207.3, 207.10, 207.15, 
207.25, 207.30, 207.62, 207.67, 207.68, 207.93, 210.4, and 210.8 of the 
Commission's rules of practice and procedure (19 CFR 201.8, 201.12, 
201.13, 201.16, 206.8, 207.25, 207.3, 207.10, 207.15, 207.30, 207.62, 
207.67, 207.68, 207.93, 210.4, and 210.8) governing the filing of 
documents in paper form with the Commission, a person may instead or in 
addition choose to file electronically certain documents at http://edis.usitc.gov. A person so choosing shall comply with the procedures 
set forth in the Commission's Handbook on Electronic Filing Procedures, 
which is available at the Office of the Secretary and at http://edis.usitc.gov. The Commission's Handbook on Electronic Filing 
Procedures will include a description of documents that are permitted 
to be filed with the Commission in electronic form.
    (g) Cover Sheet. When making a paper filing, parties must complete 
the cover sheet on-line at http://edis.usitc.gov and print out the 
cover sheet for submission to the Office of the Secretary with the 
paper filing. For documents that are filed electronically, parties must 
complete the cover sheet for such filing on-line at http://edis.usitc.gov at the time of the electronic 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 business proprietary 
information or confidential information under Sec.  201.6 and 
Sec. Sec.  206.8, 206.17, 207.3, and 207.7 of this chapter.

    3. Amend Sec.  201.16 to add paragraph (e) to read as follows:


Sec.  201.16  Service of process and other documents.

* * * * *
    (e) Electronic Service. With the prior consent of the Secretary, 
parties may serve documents by electronic means in all matters before 
the Commission, except for proceedings conducted under section 337 of 
the Tariff Act of 1930 that are before an administrative law judge. In 
the case of proceedings under section 337 of the Tariff Act of 1930, 
parties may serve documents by electronic means with the prior consent 
of the presiding administrative law judge while the proceeding is 
before an administrative law judge. Parties may only effect electronic 
service on recipients who have provided written consent thereto to the 
Secretary or the presiding administrative law judge. If electronic 
service is permitted, paragraphs (a), (b) and (d) 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.
    A party may, upon notice to all parties, withdraw its consent to 
electronic service and require service under paragraphs (a) and (b) of 
this section.

    By Order of the Commission.

    Issued: November 4, 2002.
Marilyn R. Abbott,
Secretary to the Commission.
[FR Doc. 02-28404 Filed 11-7-02; 8:45 am]
BILLING CODE 7020-02-P