[Federal Register Volume 67, Number 217 (Friday, November 8, 2002)]
[Notices]
[Pages 68168-68176]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-28405]


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INTERNATIONAL TRADE COMMISSION


Handbook on Electronic Filing Procedures

AGENCY: International Trade Commission.

ACTION: Notice.

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SUMMARY: Consistent with the Government Paperwork Elimination Act, the 
United States International Trade Commission (Commission) has 
implemented procedures to permit persons to electronically file certain 
documents with the Commission. The Commission also is publishing a 
notice of final rulemaking to permit electronic filing. In conjunction 
with that notice, the Commission is issuing a final version of a 
Handbook on Electronic Filing Procedures that sets forth the 
requirements governing electronic filing of documents (Handbook). The 
Handbook was finalized after consideration of public comments to the 
initial draft of the Handbook on Electronic Filing Procedures (EFP), 
which was published in the Federal Register on April 26, 2002 (67 FR 
20822, April 26, 2002) (Draft Handbook).

DATES: The effective date of the Handbook as printed in this notice 
will be announced in a notice to be published in the Federal Register 
at a later date.

FOR FURTHER INFORMATION CONTACT: Irene H. Chen, Esq., Office of the

[[Page 68169]]

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 website 
(http://www.usitc.gov).

SUPPLEMENTARY INFORMATION:

Background

    On April 26, 2002, the Commission published a notice in the Federal 
Register to solicit public comments on the draft Handbook (April 2002 
Notice). 67 FR 20822, April 26, 2002. In its notice, the Commission 
proposed certain electronic filing procedures in the draft Handbook and 
requested public comment on those procedures.
    The Commission received a total of six sets of comments from the 
ITC Trial Lawyers Association (ITCTLA) and five law firms. The 
Commission carefully evaluated all comments received. The Commission's 
response to those comments is set forth below. The comments are 
organized by Handbook section. Please refer to the draft Handbook 
published in the April 2002 notice when reading the comments discussed 
below.
    The Commission considered those public comments in developing the 
Handbook, which will be maintained and distributed by the Secretary. 
The Handbook is being promulgated in conjunction with Sec.  201.8(f) of 
the Commission's rules of practice and procedure (rules), as amended. 
Section 201.8(f) allows persons the option of filing certain documents 
electronically without violating the relevant rules requiring paper 
filings at the Commission. Please review the entire Handbook before you 
begin electronic filing. The Handbook follows the analysis of public 
comments and the Commission's response thereto.

Analysis of Public Comments to Draft Handbook and Commission's Response

    1. Handbook, section II(A) ``Definitions and Instructions:'' The 
ITCTLA commented that the Commission should add a definition of ``cover 
sheet'' to the definitions and instructions section of the Handbook. 
The law firm of Adduci, Mastriani & Schaumberg L.L.P. commented that 
the Commission should add a definition for ``Notice of Electronic 
Filing'' to the definitions and instructions section of the Handbook. 
The Commission has added these two definitions to section II(A) of the 
Handbook.
    2. Handbook, section II(B) ``Registration as an EFP User and 
Assignment of Passwords'': The law firm of Miller & Chevalier commented 
that the Commission should consider three alternatives in issuing user 
IDs and passwords: (1) Whether to limit user IDs and passwords to only 
a few per law firm; (2) whether to issue user IDs and passwords to 
secretaries and legal assistants; and (3) whether to issue different 
user IDs and passwords for each new case to prevent disclosure of 
business proprietary information (BPI) or confidential business 
information (CBI). The Commission has determined to issue one user ID 
and password to each registered user for use in Commission proceedings 
instead of a different user ID and password in each new proceeding 
because party representatives are not permitted at this time to file 
documents containing BPI or CBI or to view such documents in the 
Commission's Electronic Document Information System (EDIS-II). If and 
when that policy changes, the Commission will revisit the issue of 
whether a user must register more than once. The Commission also has 
decided not to restrict the issuance of user IDs and passwords to a 
certain group of registered users in order to encourage persons to 
register for electronic filing.
    The ITCTLA and Adduci, Mastriani & Schaumberg L.L.P., suggested 
that the Commission clarify that an EFP user need only register once 
for electronic filing. The Commission has revised this section to state 
that electronic filers need to register only once for a user ID and 
password. Registered users of the electronic filing system need only 
submit a registration form to the Secretary once; however, registered 
users are responsible for notifying the Secretary in the event of any 
changes to their registration information.
    3. Handbook, section II(B)(5)(a): The ITCTLA commented that the 
Commission should incorporate instructions to nonparties in the 
Handbook instead of separately on the website. The Commission will post 
instructions for electronic filing to nonparties on the website because 
nonparties typically do not file the same type of documents as parties 
do. It will be easier for nonparties to access filing instructions 
directly on the website instead of having to review the Handbook for 
instructions.
    4. Handbook, section II(C) ``Types of Documents'': The ITCTLA 
commented that the Commission should permit electronic filing of 
documents listed in categories (2) through (7) of section II(C) of the 
Handbook, followed by paper filings of those documents the following 
day. Alternatively, the ITCTLA and the law firm of Stewart and Stewart 
commented that the Commission should not require the concurrent filing 
of paper copies of certain electronically filed documents as specified 
in the Handbook. The Commission has determined to adopt the ITCTLA's 
comment to permit electronic filing of documents listed in categories 
(2) through (7) of section II(C) of the Handbook, followed by a 
corresponding paper filing of the same document no later than one 
business day after the electronic filing.
    Adduci, Mastriani & Schaumberg commented that the Commission should 
first permit only public electronic filings under 5 megabytes, and then 
progress to public and confidential e-filings over 5 megabytes once 
system flaws have been discovered and fixed. The ITCTLA and Miller & 
Chevalier commented that the Commission should allow electronic filing 
of documents containing BPI or CBI. The Commission has determined not 
to permit the electronic filing of documents containing BPI or CBI at 
this time. Once EDIS-II has operated for a time, the Commission may 
reevaluate its prohibition on electronic filing of documents containing 
BPI or CBI. As for Adduci's comment regarding the size of electronic 
filings, the Commission has determined that any electronic filing may 
exceed five megabytes, so long as none of the attachments in the filing 
is over five megabytes.
    The ITCTLA commented that the Commission should consider granting 
counsel electronic access to BPI or CBI materials on EDIS-II in each 
investigation upon the filing of a notice of appearance and APO 
application. The ITCTLA proposed that, in the alternative, the 
Commission should phase-in access to confidential material in EDIS-II 
by permitting only parties' counsel (on the APO list) and ALJs in 
selected investigations to access BPI or CBI in the first phase; 
permitting a limited number of counsel (on the APO list) in any 
investigation to access BPI or CBI in the second phase; and all counsel 
(on the APO list) in any investigation to access BPI or CBI in the 
third phase. The Commission has determined not to provide counsel 
electronic access to BPI or CBI immediately because the agency wants to 
operate EDIS-II for a time before considering permitting such access.
    The ITCTLA proposed rewording of section II(C) of the draft 
Handbook to avoid possible confusion over which type of documents may 
be filed electronically. Stewart & Stewart commented that the 
Commission should

[[Page 68170]]

provide an ``express instruction'' regarding the type of documents that 
may be filed electronically, as the Court of International Trade does 
in its electronic filing procedures (instead of listing several 
categories of documents that can be filed electronically). Wilmer, 
Cutler & Pickering commented that the Commission should not prohibit 
electronic filing of public versions of documents containing BPI or 
CBI. Although the Draft Handbook does permit the electronic filing of 
public versions of documents containing BPI or CBI, the Commission has 
determined to clarify the language of section II(C) in the Handbook by 
largely adopting the proposed language of the ITCTLA. The Commission 
considers that such language will provide sufficient instructions to 
filers.
    The ITCTLA commented that the Commission should explicitly address 
how the ``24 hour'' rule is to be applied in electronic filing of 
documents in title VII investigations. Currently, paper filers can 
choose to submit either the corrected confidential document in its 
entirety or the corrected portion of the confidential document under 
the ``one day'' rule. However, because inserting replacement pages into 
a PDF document would pose technical difficulties, the Commission has 
determined that, for electronic filings, the entire document containing 
``one day'' changes must be refiled electronically. The Commission has 
amended the language in the Handbook to incorporate the requirement 
that complete copies of documents with ``one day'' changes must be 
filed, instead of just pages containing ``one day'' changes, as is 
currently done with paper copies of documents.
    5. Handbook, section II(D) ``Where Documents Are To Be Filed 
Electronically'': The ITCTLA commented that the Commission should 
incorporate instructions for electronic filing and hardware/software 
requirements in the Handbook, instead of on the website. The Commission 
has determined to add a set of Adobe Acrobat standards, and 
instructions on attachment creation and redaction methodology to the 
Handbook, but sees no need to duplicate other instructions posted on 
the website.
    Stewart & Stewart commented that the Commission should provide a 
warning to electronic filers that text-based PDF files may permit 
others to retrieve ``masked'' confidential material. The Commission has 
added such a warning in the Handbook.
    6. Handbook, section II(E) ``Notice of Electronic Receipt'': 
Stewart & Stewart commented that the Commission should consider 
including the start time of the registered user's electronic 
transmission of the document on the notice of electronic receipt, in 
the event that the document is not received in its entirety by EDIS-II 
until after 5:15 p.m. The Commission has determined not to include the 
start time of the electronic transmission on the notice of electronic 
receipt due to technical limitations of EDIS-II.
    7. Handbook, section II(F): ``Deadline for Electronic Filing of 
Documents:'' The ITCTLA commented that the Commission should treat an 
electronic filing as timely if transmission of the electronic document 
to EDIS-II begins on or before 5:15 p.m. on the filing deadline date 
(not when the transmission to EDIS-II is completed). The ITCTLA also 
commented that the Commission should consider extending the electronic 
filing deadline beyond 5:15 p.m. to encourage filers to choose 
electronic filing over paper filing.
    The Commission intends to adhere to 5:15 p.m. as the deadline for 
receipt of electronic documents in its entirety by EDIS-II so that 
electronic filers do not have an undue advantage over paper filers. The 
Commission notes that, even though the 5:15 p.m. deadline is applicable 
to both electronic and paper filings, paper filers must still factor in 
time for printing, assembly and manual delivery of paper documents. 
Electronic documents not received in their entirety by 5:15 p.m. will 
be treated as filed on the next Commission business day.
    Adduci, Mastriani & Schaumberg commented that the Commission should 
amend section II(F) of the Handbook to state that filers should contact 
the Secretary's office in the event of a technical failure during an 
electronic filing transmission. The Secretary should assign an 
authorization number for the filer to include in a declaration filed 
with the original document the following business day. The Commission 
has decided not to adopt the comment of Adduci, Mastriani & Schaumberg 
that filers who experience a technical failure during actual electronic 
filing of a document may contact the Secretary for an authorization 
number to file a document the following business day. Authorization 
numbers will only be issued by the Secretary if the EDIS-II website 
experiences a technical failure for a period of time greater than 1 
hour after 12 p.m. on a Commission business day. In all other cases, 
filers may submit a request for late filing if they experience 
technical difficulties in electronic filing.
    8. Handbook, section II(G) ``Technical Failures'': Stewart & 
Stewart, Miller & Chevalier, and the ITCTLA commented that the 
Commission should correct the draft Handbook to state that the EDIS-II 
website will be deemed subject to a technical failure if the site is 
``unable to accept filings continuously or intermittently over the 
course of any period of time greater than one hour after 12 noon * * 
*'' or ``* * * any period of time after 12 noon * * *'' The Commission 
has corrected the Draft Handbook to state ``* * * any period of time 
greater than one hour after 12 noon * * *''
    9. Handbook, section II(H) ``Requests for Late Filing'': Adduci, 
Mastriani & Schaumberg commented that if a filer begins an electronic 
filing transmission prior to 5:15 p.m. but receives the notice of 
electronic filing after 5:15 p.m., a request for late filing should be 
granted by the Secretary. As previously noted above, the filing 
deadline for electronic documents is 5:15 p.m. If the electronic 
document is not received in its entirety by EDIS-II by no later than 
5:15 p.m., the filer may submit a request for late filing to the 
Secretary, requesting that the Commission accept the late filing. The 
Commission has determined that requests for late filing will be granted 
or denied based on the circumstances of each late filing.
    Miller & Chevalier commented that the Commission should specify the 
type of documentation that should be attached to a request for late 
filing to show that a document was electronically filed prior to 5:15 
p.m. The Commission has determined not to require that documentation be 
attached to a request for late filing. Instead, the registered user 
should include, in the request for late filing, an unsworn declaration 
attesting to the start time of the electronic transmission to EDIS-II.
    10. Handbook, section II(I): ``Format of Documents'': Stewart & 
Stewart commented that the Commission should consider requiring 
electronic filers to include specific information regarding security 
and permission settings in the document properties section of the PDF 
file being transmitted to the Commission to assist it in handling of 
the document. The Commission has included in the Handbook certain 
security and permission settings that all Registered Users must 
implement for their electronic filings.
    The ITCTLA commented that the Commission should post on the EDIS-II 
website a template that contains the standardized settings for Adobe 
Acrobat PDF documents that are electronically filed. The Commission has 
determined to list in the Handbook portable document format (.pdf) 
standards for electronically filed documents.

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    The ITCTLA commented that the Commission should implement word 
count limits for electronically filed documents to avoid inadvertent 
violations of page limits due to pagination problems with Adobe Acrobat 
PDF format. The Commission has decided to retain in the initial phase 
the same page limits requirements as are applicable to paper filings 
because of the system's technical limitations.
    Miller & Chevalier commented that the Commission should not 
discourage filing of image-based PDF files because they can also be 
made searchable via certain steps that the Commission could require 
filers to perform. At this time, the Commission will retain the 
language in the Draft Handbook regarding image-based PDF files due to 
the large size of such files and technical limitations of EDIS-II with 
respect to conversion of image-based PDF files.
    11. Handbook, section II(J): ``Size of Electronic Transmission'': 
Miller & Chevalier commented that the Commission should clarify whether 
each attachment of an electronic submission or the entire electronic 
submission is limited to no more than five (5) megabytes. Miller & 
Chevalier suggested the following revision: ``An electronic 
transmission as a whole can exceed 5 megabytes so long as no one 
attachment exceeds 5 megabytes.'' The Commission has determined to 
adopt Miller & Chevalier's proposed language regarding the size of 
attachments to an electronic transmission.
    Miller & Chevalier commented that the Commission should provide 
detailed instructions on how to label each separate attachment for an 
electronic filing. The Commission has incorporated in the Handbook 
detailed instructions on how to label each separate attachment for an 
electronic filing.
    12. Handbook, section II(K)(4)(c): ``Signatures'': The ITCTLA 
commented that, once electronic filing of documents containing 
confidential material is permitted, the Commission should note the 
potential conflict between section II(K)(4)(c) (requiring the retention 
of documents containing two or more original signatures for one year 
after the conclusion of an investigation and resulting appeals) and 
Commission rules that require the return or destruction of materials 
released under APO after completion of certain proceedings. The 
Commission has determined to amend the language in this section to 
state that electronic filers must retain documents containing two or 
more original signatures until the earlier of (i) Commission deadline 
for destruction of APO materials, if applicable; or (ii) one year after 
the conclusion of the investigation and resulting appeals.
    Adduci, Mastriani & Schaumberg commented that the Commission should 
require that a party who electronically files a document containing 
multiple signatures must maintain a hard copy of the document 
containing the facsimile signatures (instead of the original 
signatures) for one year after completion of the investigation. The 
Commission has determined to retain the requirement of maintaining a 
hard copy of a document containing multiple signatures for easier 
verification of signatures.
    13. Handbook, section II(L): ``Limitations on Service of Electronic 
Documents'': Miller & Chevalier and the ITCTLA commented that, in 
Commission proceedings, the Commission should not require the 
Secretary's or ALJ's prior approval for electronic service since 
parties already reach private agreements among themselves regarding 
service arrangements. Instead, the Commission could either permit the 
Secretary or ALJ to impose deadlines for electronic service or delete 
the prior consent requirement altogether. The Commission has determined 
to retain the requirement of prior consent to electronic service by the 
Secretary or ALJ so that a record of proceedings subject to electronic 
service may be maintained by the Secretary or ALJ.
    Miller & Chevalier and the ITCTLA commented that the Commission 
should serve its own documents such as orders and opinions on parties 
either via email or other electronic means. The Commission has 
determined not to serve electronically its own documents on parties in 
the initial phase because of technical and security concerns.
    Stewart & Stewart commented that the Commission should clarify in 
the Handbook how an electronic filer should effect service of paper 
versions of electronic text-based PDF documents containing hyperlinks 
to exhibits, decisions published by courts on official websites, 
decisions available in commercial legal databases, or other material 
available on the internet. Options for paper service of hyperlinked 
materials include submitting supporting materials on optical disks, 
revising page or file size limitations. Stewart & Stewart also raised 
the issue of whether service of paper copies that do not contain the 
enhancements of the electronic version is sufficient under the rules. 
The Commission has added a section in the Handbook to prohibit 
hyperlinks to other documents unless the actual hyperlinked material is 
included in its entirety in any corresponding paper copy to be filed 
with the Commission and served on other parties. In addition, the 
Commission has added a section in the Handbook that states that 
hyperlinked materials in electronic form will not be considered part of 
the official record of the Commission proceeding (See, e.g. 19 CFR 
207.50(b)).
    14. Handbook, section II(N) ``Official Administrative Record in 
Electronic Filings'': Stewart & Stewart commented that the Commission 
should specify in the Handbook how it intends to treat electronically 
filed documents for purposes of compiling the official record (See, 
e.g. 19 CFR 207.50(b)), given that documents filed electronically may 
differ from corresponding paper versions. The ITCTLA commented that the 
Commission should deem the first-filed copy as the governing or 
``official copy'' in the event of disputes over filing dates/times or 
discrepancies between electronically filed and paper copies, unless 
other arrangements are made by the filing party. The Commission has 
determined, for consistency, to designate the electronic version of a 
document as being the ``official copy'' for purposes of compiling the 
official administrative record and in the event of any dispute or 
discrepancy between electronic and paper versions of a document.
    15. Other electronic filing comments: The ITCTLA commented that the 
Commission should send an email notification to each counsel of record 
in an investigation concurrently with uploads to EDIS-II identifying 
all documents filed. The Commission has determined, in the initial 
pilot phase, not to send email notifications to each counsel of record 
in an investigation in order to allow counsel time to register as users 
of the electronic filing system. Moreover, the current form of EDIS-II 
does not include a function to send email notifications to each counsel 
of record. The Commission has included a feature on the EDIS-II home 
page that permits users to quickly identify all documents filed with 
the Commission on a daily basis.
    Miller & Chevalier commented that the Commission should post a 
frequently asked questions (FAQs) section on its website to address 
both general filing guidelines and technical questions. The Commission 
has determined to post a FAQs section on its website.
    The ITCTLA commented that the Commission should only maintain a 
single website for both electronic filing and EDIS-II access, instead 
of

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establishing another website (http://edis.usitc.gov) for electronic 
filing. The Commission has determined to retain the second website 
(http://edis.usitc.gov) for electronic filing in order to maintain the 
security of EDIS-II. A link to the EDIS-II website will be posted on 
the Commission's Web site at http://www.usitc.gov.
    The ITCTLA commented that the Commission should develop and post on 
the EDIS-II website tools for redaction of BPI or CBI from filed 
documents so that counsel do not inadvertently breach APO obligations. 
The Commission has determined not to develop nor post on its website 
standard tools for redaction of BPI or CBI, given the variety of 
differing software/hardware systems used by parties, counsel, and other 
persons appearing before the Commission.
    Miller & Chevalier commented that the Commission should implement a 
trial period whereby law firms can perform test filings to determine 
whether there are any technical problems with either the ITC system or 
with the law firms' own computer systems. The Commission is considering 
whether to conduct a trial period.

Handbook on Electronic Filing Procedures

    The Handbook is printed in its entirety below. The Commission 
anticipates that EDIS-II will be operational and available for public 
use in December 2002. However, before persons will be permitted to 
register for electronic filing and to submit filings electronically to 
EDIS-II, the Commission will publish a notice in the Federal Register 
advising the public of the date that electronic filing will begin.
    In issuing this Handbook, the Commission does not intend to 
maintain all of the procedures set forth in the Handbook indefinitely. 
Rather, the Commission anticipates that, as persons register for and 
utilize the electronic filing system, Handbook procedures may need to 
be amended. In particular, the Commission may consider expanding the 
list of documents that can be filed electronically.

International Trade Commission

Commission Handbook on Electronic Filing Procedures

I. Introduction

    A. This Handbook provides instructions for persons who wish to file 
documents electronically with the United States International Trade 
Commission (Commission) pursuant to Sec.  201.8(f) of the Commission's 
rules of practice and procedure (19 CFR 201.8(f)).
    B. In any conflict between the Commission's rules of practice and 
procedure (rules) and this Handbook, the rules shall govern. This 
Handbook is designed to be read in conjunction with the rules. This 
Handbook does not alter or waive any provisions in the rules governing 
the filing of documents with entities and/or persons other than the 
Commission, including but not limited to the United States Secretary, 
NAFTA Secretariat.
    C. If you choose to file in paper form, you must comply with the 
relevant provisions of the rules governing such filing. The Commission 
does not permit filing by means other than paper filing in accordance 
with the relevant rules or electronic filing in accordance with Sec.  
201.8(f) and this Handbook. Thus, for example, filing by facsimile and 
by electronic mail (i.e., sending a document to a Commission electronic 
mail address) are not permitted.

II. Electronic Filing Procedures (EFP)

    A. Definitions and Instructions:
    (1) ``EFP'' means the Commission's Electronic Filing Procedures.
    (2) ``Secretary'' means the Secretary to the Commission (500 E 
Street, SW., Room 112, Washington, DC 20436, telephone 202-205-2000). 
The EFP is administered by the Secretary and any questions about EFP 
should be directed to the Secretary.
    (3) ``Business hours'' or ``Business days'' refers to the hours and 
days that the Commission is open (i.e., from 8:45 a.m. to 5:15 p.m., 
Washington, DC local time, from Monday through Friday, excepting 
Saturdays, Sundays and Federal legal holidays).
    (4) The ``Web site'' refers to the Commission's world wide Web site 
at http://edis.usitc.gov.
    (5) ``EDIS-II'' refers to the Commission's Electronic Document 
Information System, which will receive electronic transmission of 
documents through the Commission's Web site.
    (6) ``Cover sheet'' refers to the EDIS-II cover sheet that all 
filers must complete pursuant to Sec.  201.8(g) of the Commission's 
rules and regulations.
    The cover sheet may be completed either on-line at the Web site for 
electronic filings or in paper form for paper filings.
    (7) ``Document'' refers to the cover sheet and attachments that 
comprise an electronic filing with the Commission.
    (8) ``Electronic receipt'' means that an electronic transmission of 
a document to EDIS-II via the Commission's Web site has been 
successfully completed in its entirety.
    (9) ``Electronic filing'' means the electronic transmission of a 
document and the Secretary's acceptance of the document for filing. As 
discussed below, the electronic transmission and receipt of a document 
does not necessarily mean that the document has been filed.
    (10) ``Registered user'' means a person that registers to file 
documents electronically with the Commission.
    (11) ``E-mail address of record'' means the electronic mail address 
of a registered user which he or she has provided to the Secretary.
    (12) ``Notice of electronic receipt'' will be provided in two 
forms: (a) An on-screen notice of receipt once the electronic 
transmission of the document is complete; and (b) an e-mail sent to the 
registered user's e-mail address of record. The notice of electronic 
receipt only conveys that the document is physically present at the 
Commission and does not mean that the document has been accepted by the 
Secretary for filing in EDIS-II.
    (13) ``Notice of electronic filing'' will be e-mailed to the 
registered user's e-mail address of record upon acceptance of the 
electronic document for filing in EDIS-II by the Secretary.
    B. Registration as an EFP user and assignment of passwords:
    (1) Except as provided in paragraph B(5) below, to file 
electronically, you must first register to become a ``registered user'' 
of the Web site. To register, you should fill-out the ``EFP user 
registration form'' (hereinafter called ``registration form'') both on-
line at the Web site and in paper form by printing-out a paper copy 
directly from the Web site. You should mail or deliver the completed 
and signed paper copy of the registration form to the Secretary. The 
registration form will require identification of your name, firm 
affiliation (if any), address, telephone number and e-mail address of 
record, and your original signature (on the paper copy). You must have 
and maintain a working e-mail address to be a registered user. you 
should also designate a user ID and password on the on-line version of 
the registration form; however, you may not use your user ID and 
password for electronic filing until the Secretary has reviewed the 
paper copy of your registration form and has sent you a notice of 
activation of user ID and password by mail. Electronic filers need only 
submit the registration form to the Secretary once to become a 
registered user of the Web site. Once the Secretary has sent the 
registered user a notice of activation of user ID and password, the 
registered user will be permitted to file certain documents

[[Page 68173]]

electronically in Commission proceedings in which he or she has filed 
an entry of appearance or otherwise represents a party.
    (2) A registered user may authorize another person to file a 
document with the Commission using the user ID and password of the 
registered user; however, the registered user assumes responsibility 
for any authorized use of his or her user ID and password. The 
registered user and all persons who participate in the preparation of 
or are signatories to a document shall retain responsibility with 
respect to any duties and obligations pertaining to the document under 
the rules. A registered user must comply with applicable limitations on 
disclosure of BPI and CBI when providing his or her user ID and 
password to another person. As provided in paragraph II(K)(2), a 
document filed using a registered user's user ID and password will be 
deemed signed by that registered user.
    (3) Upon learning of the potential compromise of the 
confidentiality of his/her password, the registered user shall 
immediately change the password. The registered user must also notify 
the Secretary of the perceived breach and the period of compromise. If 
the registered user has provided his/her password to an employee of the 
registered user's firm, such as a paralegal, legal assistant, or 
secretary who subsequently leaves the firm, the registered user must 
change the password when that employee's access should be terminated. 
Unless there is a perceived breach of confidentiality, in such 
instances, no notification of the Secretary is needed.
    (4) Every registered user shall be responsible for keeping his or 
her registration information current.
    (5) You may not electronically file documents with the Commission 
unless you have registered with the Commission pursuant to the 
procedures set forth in subparagraph (1) above, with the following 
exception:
    (a) If you do not represent a party to an investigation pending 
before the Commission (i.e., you are not an attorney, consultant, 
officer, owner, shareholder, employee, agent, director, or other 
representative of a party to an investigation), and you would like to 
submit a document to the Commission regarding the pending 
investigation, please follow the relevant instructions on the Web site 
for non-registered users.
    C. Types of documents:
    (1) The following documents cannot be filed electronically and must 
be filed in paper form in accordance with the rules: A document (i) 
that contains confidential business information (``CBI'') or business 
proprietary information (``BPI'') as defined in 19 CFR 201.6, (ii) that 
exceeds the size limit set forth in paragraph II(I) of this Handbook, 
or (iii) that contains exhibits of original documents, such as 
certified copies.
    (2) All other documents may be filed electronically. However, for 
the following six categories of documents, you must also file the 
document in paper form pursuant to the rules no later than one business 
day after the electronic filing.
    (a) Briefs for which no BPI or CBI version is filed, including 
those subject to 19 CFR 201.13, 207.15, 207.23, 207.25, 207.65, 207.67, 
and 210.40, except that briefs filed in proceedings subject to section 
332 of the Tariff Act of 1930 for which no CBI version is filed may be 
filed electronically without corresponding paper copies;
    (b) Comments on questionnaires for which no BPI or CBI version is 
filed, subject to 19 CFR 207.20 and 207.63;
    (c) Final comments for which no BPI version is filed, subject to 19 
CFR 207.68 and 207.30;
    (d) Petitions for review for which no CBI version is filed subject 
to 19 CFR 210.43 and 210.46;
    (e) Petitions, including those subject to 19 CFR 202.2, 206.2, 
206.14, 206.33, 206.43, 206.54, 207.10, 210.47; and
    (f) Complaints, including those subject to 19 CFR 210.12.
    For these six categories of documents, you must include a printout 
of a copy of the cover sheet that accompanied the electronic filing and 
submit it with the paper version.
    If a standard form has been prescribed to be used when filing any 
document, you must use that standard form when filing such document 
electronically. You must complete the electronic cover sheet on EDIS-II 
at the time that you make your electronic filing. EDIS-II will consider 
the cover sheet and one or more attachments to be the complete filing. 
For example, a cover letter addressed to the Secretary is one 
attachment. Multiple attachments may be filed as part of the same 
electronic transmission as long as each attachment does not exceed the 
size limitation set forth in paragraph II(I) of this Handbook. You may 
submit any number of attachments per document. However, each individual 
pleading or submission must be accompanied by a unique cover sheet. For 
example, each motion filed in connection with an investigation 
conducted pursuant to section 337 must have a unique cover sheet even 
if several motions are filed sequentially. In addition, a motion and a 
memorandum in support thereof must be filed separately (i.e., the 
memorandum cannot be attached to the motion). Likewise, a notice of 
appearance and APO application for access to BPI or CBI each must have 
a separate cover sheet even if filed jointly.
    If you are electronically filing 24-hour changes to a document 
pursuant to Sec. Sec.  206.8 or 207.3 of the Commission's rules of 
practice and procedure (19 CFR 206.8 and 207.3), you must file the 
entire corrected document again, not just portions of the document 
containing the 24-hour changes. If you are filing both an electronic 
version and a paper version of a document, you must state in your cover 
letter to the Secretary that you are making filings of the same 
document in both electronic and paper form. The cover letter to the 
Secretary must be included in both the electronic version and the paper 
version of the document.
    Any hyperlinked materials contained in an electronic filing must be 
reproduced in their entirety as an attachment to the document. Please 
note that any hyperlinked material contained in the electronic version 
of a document must be printed in its entirety in the corresponding 
paper copy, in conformance with all applicable page limits under the 
Rules.
    D. Where documents are to be filed electronically:
    If you want to file a document electronically, you should visit the 
Web site and follow the instructions for submitting a document 
electronically to EDIS-II, including completion of the cover sheet for 
each filing. The instructions will include the applicable hardware and 
software requirements for electronic filing.
    E. Notice of electronic receipt:
    Upon completion of the electronic transmission of your document and 
upload at the Commission, EDIS-II will provide you with an on-screen 
notice of electronic receipt. In addition, EDIS-II will generate and 
send an e-mail notice of electronic receipt to the official e-mail 
address associated with the user ID. Receipt of a notice of electronic 
receipt does not constitute acknowledgment by the Commission that the 
document has been properly filed pursuant to the rules or this 
Handbook. Moreover, such notification does not constitute service of 
the document on the parties to an investigation.
    If you do not receive a notice of electronic receipt following 
transmission of a document for filing or get an error message, the 
document will not be deemed transmitted to EDIS-II and consequently, 
will not be received by the Secretary for filing. You must

[[Page 68174]]

attempt to (i) re-transmit the document electronically until such a 
notice is received, (ii) file in paper form, or (iii) contact the 
Secretary in accordance with the provisions of paragraph II(G) 
permitting delayed filings.
    If the document is electronically received by EDIS-II on a 
Saturday, Sunday, or Federal legal holiday, or after business hours on 
a business day, the effective filing date and time of the document will 
be the next business day, assuming the document is accepted. If the 
document is electronically received by EDIS-II during business hours, 
then the effective filing date and time of the document is the date and 
time that the document has been electronically received by EDIS-II.
    Subsequent to the notice of electronic receipt, the Secretary will 
send you a second notice (notice of electronic filing) notifying you 
that the document has been accepted by the Secretary for filing in 
EDIS-II.
    F. Deadline for electronic filing of documents:
    When the Commission has imposed a deadline on the filing of a 
document, the Secretary will consider the document timely filed 
electronically only if it is received successfully in its entirety by 
EDIS-II by 5:15 p.m., Washington, DC local time, on the day that the 
document is due to be filed. However, prior to that time, you may 
electronically transmit a document to EDIS-II at any time of the day 
(i.e., twenty-four hours/day) and on any day of the week (including 
weekends and holidays). You should preserve the notice of electronic 
receipt, which states the time and date that EDIS-II received the 
document, for your records. From time to time, EDIS-II may be 
unavailable for electronic filing due to periodic maintenance. The 
Commission will try to schedule EDIS-II maintenance to those times when 
EDIS-II is least likely to be used. Scheduled downtime of EDIS-II will 
be posted on the Web site.
    G. Technical failures:
    (1) The Secretary shall deem the website to be subject to a 
technical failure on a given day if the website is unable to accept 
electronic filings continuously or intermittently over the course of 
any period of time greater than one hour after 12 noon, Washington, DC 
local time, on that day. If you are unable to file a document 
electronically by the deadline imposed by the Commission because the 
website is experiencing a technical failure, you should contact the 
Office of the Secretary immediately to report the technical failure of 
the website and to seek authorization from the Secretary to file your 
document after the Commission's deadline governing the filing of your 
document. If the Secretary grants you such an authorization, the 
Secretary shall give you an authorization number that you should 
include on the cover sheet and/or cover letter accompanying your 
document when you do file your document. When you do file your document 
subject to the authorization, you should also file an unsworn 
declaration as described in paragraph II(K)(4)(d) stating (i) the fact 
that the website's technical failure prevented your making a timely 
filing, (ii) the dates and times of the attempted filing, (iii) your 
contacts with the Office of the Secretary to report the website's 
technical failure, (iv) the Secretary's granting of authorization to 
file after deadline to you, and (v) the authorization number.
    If you are making a late filing for reasons unrelated to the 
operating status of the website, you should follow the normal 
procedures in the rules for late filings.
    (2) If you discover that the version of the document available for 
viewing on EDIS-II does not conform to the document that you 
transmitted, you should send or transmit to the Commission a 
replacement document with an explanatory cover letter. After receipt, 
the Secretary will review the documents and provide you with 
notification of acceptance or rejection.
    H. Requests for late filing:
    If you electronically transmit your document prior to 5:15 p.m., 
but the document is not received in its entirety by EDIS-II by 5:15 
p.m., you may file a ``Request for Late Filing'' with the Secretary 
requesting that the your late filing be accepted because you began 
electronically transmitting the document to EDIS-II prior to 5:15 p.m. 
In the request for late filing, you should include an unsworn 
declaration as described in paragraph II(K)(4)(d) by the registered 
user attesting to the start time of the electronic transmission.
    Please be aware that many filers wait until near the end of the 
business day to file documents. Please be mindful of the heavy volume 
of filings at the end of the day and try to transmit your document as 
early in the day as possible.
    I. Size of electronic transmission:
    An electronic transmission as a whole can exceed 5 megabytes so 
long as no one attachment exceeds 5 megabytes. A filing with an 
attachment that exceeds the foregoing size limitation may only be filed 
in paper form pursuant to the rules. All page limits set forth in the 
rules shall remain in effect for purposes of this Handbook.
    J. Format of documents:
    (1) Documents filed electronically pursuant to this Handbook must 
be submitted in Adobe Acrobat portable document format (PDF). Please be 
aware that some special characters used in certain word-processing 
applications may not convert easily to PDF. The conversion process to 
PDF may affect pagination as well as the conversion of special 
characters. Filers are responsible for the accuracy of the documents 
submitted.
    The Commission encourages the submission, when practicable, of 
documents converted to PDF from word-processed text over that of 
documents converted to PDF from images because the former normally are 
significantly smaller in terms of megabytes than the latter, and 
because the former are more easily searchable within EDIS-II. EDIS-II 
will create a searchable text version of an image-based document 
through an optical character recognition process, but that text version 
is likely to contain some conversion errors.
    The Commission will post on the website information that will 
assist users with document conversion to PDF.
    (2) Each page of an electronically filed document must be in 
letter-sized format (i.e., 8 \1/2\ inches by 11 inches when printed by 
the Secretary).
    (3) Documents filed electronically cannot exceed the smaller of the 
page limits set forth in the rules or the size limit set forth herein.
    (4) Text-based PDF files may permit others to retrieve ``masked'' 
or ``whited-out'' BPI or CBI. Please remove all ``masked'' or ``whited-
out'' BPI or CBI before filing any electronic document with the 
Commission.
    (5) PDF submission requirements: When preparing PDF documents for 
filing, you must comply with the following requirements. PDF documents 
that do not comply with these requirements will be rejected by EDIS-II. 
(Note: When installing Adobe Acrobat 5.0, the default setting must meet 
all requirements.)
    (a) PDF version must be Version 1.3 or greater. (Note: Use of 
Acrobat is not required, but if it is used, it must be Acrobat 4 or 
greater. This is because only Acrobat 4 or later produces PDF version 
1.3.)
    (b) Documents must not have Type 3 fonts. Use of Type 1 fonts is 
recommended.
    (c) Only Roman and Cyrillic alphabet may be used in PDF format. 
Other foreign language documents must be scanned. Special characters 
should be checked on conversion to ensure that

[[Page 68175]]

they were not changed during the distilling process.
    (d) Do not attach any embedded files to your PDF document for 
electronic filing. This includes all comments (note tool, pencil tool, 
highlights tool, digital signature tool, embedded files, embedded 
sounds or other multimedia); forms actions; JavaScript actions; 
external cross references, and image alternates.
    (e) Document security setting must have a PDF file security setting 
of ``none.''
    (6) PDF submission recommendations: When preparing PDF documents 
for submission, the following are recommendations that will enhance the 
usability of the document.
    (a) PDF creation should be via distiller.
    (b) Font embedding should be default distiller setting.
    (c) Resolution standard for scanning to PDF should be at least 200 
dpi and not more than 300 dpi and NMT 300. 300 dpi is recommended. This 
will allow readable images without causing undue size.
    (d) Linearization: You should select optimize for web view as 
distiller setting.
    (e) Scanning vs. conversion from native format: Whenever possible, 
you should create PDF from native format.
    (f) Selecting printer/distiller: You should select distiller as 
printer before creating document.
    (g) Document properties/associated index: You should not use this 
field in your PDF document for electronic filing.
    (h) Recommended template for PDF files: A sample 
``usitc.joboptions'' file is located on the website as a template for 
your PDF documents. Persons interested in using this template should go 
directly to the website.
    (7) Document attachment requirements:
    (a) You must not include attachments or embedded objects within the 
PDF file. Examples of embedded objects include all comments (note tool, 
pencil tool, highlights tool, digital signature tool, embedded files, 
embedded sounds or other multimedia); forms actions; JavaScript 
actions; external cross references, web links, and image alternates.
    (8) Document attachment guide lines:
    (a) Attachments should be created in the proper sequence; if both 
electronic and paper versions of a document are filed, the two versions 
should be in the same sequence.
    (b) Attachments should conform with the following naming 
convention:
    (i) All attachments relating to a single filing must have the same 
root name, which would be the ``document name'' given by the filer;
    (ii) Each attachment should be called a segment and must be 
numbered sequentially in the order that they appear within the 
document, followed by the total number of segments (e.g., ``Posthearing 
Brief Segment 1 of 13'').
    (c) Use logical break points in creating attachments. Avoid 
breaking attachments in the middle of a section (e.g., main textual 
document, exhibit, appendix) of the filing. An entire section should be 
contained in a single attachment, if possible.
    (d) A single document of less than 5 megabytes should not be broken 
into multiple attachments.
    (e) The main textual document (e.g., brief, petition, motion) 
should be contained in a separate attachment from material appended to 
the filing (e.g., exhibits), unless the entire document is less than 5 
megabytes. Cover letters need not be filed separately from the main 
textual document.
    (f) Material appended to the main textual document (e.g., exhibits, 
appendices) may be combined into a single attachment, as long as the 
entire attachment does not exceed 5 megabytes in size.
    (9) When redacting BPI or CBI from a document, you should use 
redaction methodology that does not change the pagination of the public 
version, when compared with the BPI or CBI version.
    K. Signatures:
    (1) A document filed with the Commission electronically shall be 
deemed to be signed by a person (the ``signatory'') when the document 
identifies the person as a signatory and the filing complies with 
subparagraph (2), (3) or (4). When the document is filed with the 
Commission in accordance with any of these methods, the filing shall 
bind the signatory as if the document were physically signed and filed, 
and shall function as the signatory's signature, whether for the 
purpose of complying with the Commission's rules, to attest to the 
truthfulness of an affidavit or declaration, or for any other purpose.
    (2) In the case of a signatory who is a registered user as 
described in paragraph II (B)(1), such document shall be deemed signed, 
regardless of the existence of a physical signature on the document, 
provided that such document is filed using the user ID and password of 
the signatory. The page on which the physical signature would appear if 
filed in non-electronic form must be filed electronically, but need not 
be filed in an optically scanned format displaying the signature of the 
signatory. In such cases, the electronically filed document shall 
indicate a typed ``electronic signature'', e.g., ``s/ Jane Doe''.
    (3) In the case of a signatory who is not a registered user, or who 
is a registered user but whose user ID and password will not be 
utilized in the electronic filing of the document, such document shall 
be deemed signed and filed when the document is physically signed by 
the signatory, the document is filed electronically, and the signature 
page is filed in optically scanned form pursuant to and consistent with 
the EFP.
    (4) In the case of a document to be signed by two or more persons, 
the following procedure shall be used:
    (a) The filing person shall initially confirm that the content of 
the document is acceptable to all persons required to sign the 
document. The filing person then shall attest that original signatures 
have been obtained from each of the other signatories on a paper copy 
of the document. If the filing person complies with the foregoing 
requirements, the Commission shall presume that the filing person has 
the authority to file the document on behalf of all other persons 
required to sign such document.
    (b) The filing person shall then file the document electronically, 
indicating the original signatures that have been obtained, e.g., ``s/ 
Jane Doe,'' ``s/John Doe,'' etc.
    (c) The filing person must retain the hard copy of the document 
containing the original signatures until the earlier of: (i) The 
Commission deadline for destruction of APO materials, if applicable; or 
(ii) one year after the conclusion of the investigation and resulting 
appeals.
    (d) For a document that requires a signature in the presence of a 
notary public (e.g., affidavits), the document instead should contain 
an unsworn declaration clause to be signed by the signatory under 
penalty of perjury. The language for unsworn declarations under penalty 
of perjury is provided in 28 U.S.C. 1746.
    L. Limitation on Service of Electronic Documents:
    Documents filed electronically in all pending matters before the 
Commission, except for proceedings under section 337 of the Tariff Act 
of 1930, are not to be served electronically on other parties without 
the prior agreement of the Secretary. In the case of proceedings before 
an administrative law judge under section 337 of the Tariff Act of 
1930, the presiding administrative law judge shall determine whether 
electronic service of documents by parties will be permitted in that

[[Page 68176]]

proceeding. Parties may only effect electronic service on recipients 
who have provided written consent thereto to the Secretary or the 
presiding administrative law judge. Persons who have filed documents 
electronically with the Commission must comply with the rules in 
effecting service of the electronically filed document on parties in 
accordance with 19 CFR 201.16. All electronically filed documents must 
be accompanied by a certificate of service.
    M. Copyright and Other Proprietary Rights:
    (1) The website shall bear a prominent notice as follows: ``The 
contents of each filing in EDIS-II may be subject to copyright and 
other proprietary rights (with the exception of the notices, orders, 
and opinions of the ITC). It is the user's obligation to determine and 
satisfy copyright or other use restrictions when publishing or 
otherwise distributing material found in EDIS-II. Transmission or 
reproduction of protected items beyond that allowed by fair use 
requires the written permission of the copyright owners. Users must 
make their own assessments of rights in light of their intended use.''
    (2) By filing any material with the Commission electronically, a 
person shall be deemed to consent to all uses of such materials by all 
parties to the action solely in connection with and for the purposes of 
the action, including the electronic filing in the action (by a party 
who did not originally file or produce such materials) of portions, 
excerpts, quotations, or selected exhibits from such filed materials as 
part of motion papers, pleadings or other filings with the Commission.
    (3) Any dispute that arises among persons regarding the use of 
materials subject to copyright and other proprietary rights must be 
resolved among the persons themselves, without the Commission's 
involvement.
    N. Official record of commission proceedings:
    The electronic version of any document filed by a party in a 
Commission proceeding will be considered the ``official version'' for 
purposes of compiling the record in a Commission proceeding. Materials 
referenced by hyperlink in an electronic document will not be 
considered part of the document or of the record in a Commission 
proceeding unless they are reproduced in their entirety in an 
attachment to the document. The filer, however, must take into 
consideration paragraph II(M) when reproducing such materials.

III. Duration

    A. This Handbook is effective as of the date specified in a notice 
published in the Federal Register. These electronic filing procedures 
shall remain in effect until superceded or rescinded.
    B. The Secretary shall, from time to time, amend this Handbook as 
necessary.

(Authority: 19 CFR 201.8(f))

    By Order of the Commission.

    Issued: November 4, 2002.
Marilyn R. Abbott,
Secretary to the Commission.
[FR Doc. 02-28405 Filed 11-7-02; 8:45 am]
BILLING CODE 7020-02-P