[Federal Register: November 8, 2002 (Volume 67, Number 217)]
[Notices]
[Page 68168-68176]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr08no02-130]
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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.
[[Page 68171]]
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
[[Page 68172]]
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
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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