[Federal Register: November 8, 2002 (Volume 67, Number 217)]
[Rules and Regulations]
[Page 68036-68037]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr08no02-7]
=======================================================================
-----------------------------------------------------------------------
INTERNATIONAL TRADE COMMISSION
19 CFR Part 201
Rules of General Application
AGENCY: International Trade Commission.
ACTION: Notice of final rulemaking.
-----------------------------------------------------------------------
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