Explanatory
Notes
|
Sec.
351.303 - Filing, format, translation, service, and
certification of documents.
|
Documents
that deviate, in any way, from the procedures and format set forth
in the following, without explicit prior approval, will be
rejected by the Department.
The
Department amended the regulations to require electronic
filing. All documents
filed in all cases must be filed electronically beginning on August
5, 2011, unless Sec. 351.303(b)(2)(ii) is
applicable.
A
document exceeding 500 pages in length qualifies as a bulky
document. If a business
proprietary document is more than 500 pages in length, do not assume
that the public or business proprietary/APO version of a business
proprietary document qualifies as a bulky document. If the public or business
proprietary/APO version is less than 500 pages in length, it must be
filed electronically.
A
manual filing in accordance with Sec. 351.303(b)(2)(ii)(C) must be accompanied by a waiver
letter from the Department. |
(a)
Introduction.
This section contains the procedural rules regarding filing,
document identification, format, service, translation, and
certification of documents and applies to all persons submitting
documents to the Department for consideration in an antidumping or
countervailing duty proceeding.
(b)
Filing--(1) In general.
Persons must address
all documents to the Secretary of Commerce, Attention: Import
Administration, APO/Dockets Unit, Room 1870, U.S. Department of
Commerce, 14th Street and Constitution Avenue, NW., Washington, DC 20230. An electronically
filed document must be received successfully in its entirety by the
Department's electronic records system, IA ACCESS, by 5 p.m. Eastern
Time on the due date. Where applicable, a submitter must manually
file a document between the hours of 8:30 a.m. and 5 p.m. Eastern
Time on business days (see Sec. 351.103(b)). For both
electronically filed and manually filed documents, if the applicable
due date falls on a non-business day, the Secretary will accept
documents that are filed on the next business day. A manually filed
document must be accompanied by a cover sheet generated in IA
ACCESS, in accordance with Sec. 351.303(b)(3).
(2)
Filing of documents and databases--(i) Electronic
filing.
A person must file all
documents and databases electronically using IA ACCESS at
http://iaaccess.trade.gov. A person making a filing must comply with
the procedures set forth in the IA ACCESS Handbook on Electronic
Filing Procedures, which is available on the Department's Web site
at http://www.trade.gov/ia.
(ii)
Manual filing.
(A) Notwithstanding Sec. 351.303(b)(2)(i), a
person must manually file a data file that exceeds the file size
limit specified in the IA ACCESS Handbook on Electronic Filing
Procedures and as referenced in Sec. 351.303(c)(3), and the data file must be accompanied by a
cover sheet described in Sec.
351.303(b)(3). A person may manually
file a bulky document. If a person elects to manually file a bulky
document, it must be accompanied by a cover sheet described in
Sec. 351.303(b)(3). The Department both provides specifications for large data files and
defines bulky document standards in the IA ACCESS Handbook on
Electronic Filing Procedures, which is available on the Department's
Web site at http://www.trade.gov/ia.
(B)
If the IA ACCESS system is unable to accept filings
continuously or intermittently over the course of any period of time
greater than one hour between 12 noon and 4:30 p.m. Eastern Time or
for any duration of time between 4:31 p.m. and 5 p.m. Eastern Time,
then a person may manually file the document in the APO/Dockets
Unit. The Department will provide notice of such technical failures
on its Help Desk line. Procedures for manual filing in this
situation are provided in the IA ACCESS Handbook on Electronic
Filing Procedures.
(C)
Apart from the documents and database files described in Sec. 351.303(b)(2)(ii)(A),
if a submitter is unable to comply with the electronic filing
requirement, as provided in Sec. 351.103(c), and in
accordance with section 782(c) of the Act, the submitter must notify
the Department promptly of the reasons the submitter is unable to
file the document electronically, provide a full explanation, and
suggest alternative forms in which to submit the information. The Department will consider
the ability of the submitter and may modify the electronic filing
requirement on a case-by-case basis.
(D)
Number of hardcopies for manual filing. If
a document is filed manually, the submitter must file one hardcopy
of the document in the APO/Dockets Unit, along with a cover sheet
generated in IA ACCESS. If the document contains business
proprietary information, the submitter must file one hardcopy of the
business proprietary document and one hardcopy of the public
version, along with the requisite IA ACCESS-generated cover sheets.
If applicable, the submitter must also file one hardcopy of the
business proprietary/APO version, along with the requisite IA
ACCESS-generated cover sheet. For a bulky document, in addition to
the foregoing, the submitter must also provide one additional
hardcopy of the business proprietary document or public document, as
applicable.
(3)
Cover sheet.
When manually filing a
document, parties must complete the cover sheet (as described in the
IA ACCESS Handbook on Electronic Filing Procedures) online at
http://iaaccess.trade.gov and print the cover sheet for submission
to the APO/Dockets Unit.
|
These
five document classifications correspond with those in IA
ACCESS. Selection of
the incorrect document classification may result in the disclosure
of business proprietary information and/or an APO
violation. |
(4)
Document identification.
Each document must be clearly identified as one of the following
five document classifications and must conform with the requirements
under paragraph (d)(2) of this section.
Business proprietary document or business proprietary/APO version,
as applicable, means a document or a version of a document
containing information for which a person claims business
proprietary treatment under Sec.
351.304.
(i)
Business Proprietary Document--May Be Released Under
APO. This business proprietary
document contains single-bracketed business proprietary information
that the submitter agrees to release under APO. It must contain the
statement ``May Be Released Under APO'' in accordance with the
requirements under paragraph (d)(2)(v) of
this section.
(ii)
Business Proprietary Document--May Not Be Released Under
APO.
This business proprietary document contains double-bracketed
business proprietary information that the submitter does not agree
to release under APO.
This document must contain the statement ``May Not Be
Released Under APO'' in accordance with the requirements under
paragraph (d)(2)(v) of this section. This
type of document may contain single-bracketed business proprietary
information in addition to double-bracketed business proprietary
information.
(iii)
Business Proprietary/APO Version--May Be Released Under
APO. In the event that a business
proprietary document contains both single- and double-bracketed
business proprietary information, the submitting person must submit
a version of the document with the double-bracketed business
proprietary information omitted. This version must contain the
single-bracketed business proprietary information that the submitter
agrees to release under APO. This version must be identified as
``Business Proprietary/APO Version'' and must contain the statement
``May Be Released Under APO'' in accordance with the requirements
under paragraph (d)(2)(v) of this
section.
(iv)
Public Version. The
public version excludes all business proprietary information,
whether single- or double-bracketed. Specific filing requirements
for public version submissions are discussed in Sec.
351.304(c).
(v)
Public Document. The
public document contains only public information. There is no
corresponding business proprietary document for a public
document. |
The
one-day lag rule may not be invoked for the filing of a
petition,
an amendment to a petition, and any other submission filed prior to
the initiation of an investigation.
If
there are bracketing corrections to a document, the submitter must
serve the interested parties with the complete final business
proprietary document.
The Department will no longer allow service of only those
pages containing bracketing corrections.
The
submitter must serve the complete final business
proprietary document on the parties on the relevant service
lists. Parties may no
longer serve only those pages containing bracketing corrections on
the other parties.
The
submitter must file with the Department the complete business
proprietary/APO version.
The Department will no longer accept only those pages in
which information in double brackets has been
excluded.
Business
proprietary data files/databases must be releasable under APO. Public version data
files/databases must be publicly summarized and indexed/ranged. Public version data
files/databases must be submitted in a pdf
format. |
(c)
Filing of business proprietary documents and public versions under
the one-day lag rule; information in double
brackets.
(1)
In general.
If a submission contains information for which the submitter claims
business proprietary treatment, the submitter may elect to file the
submission under the one-day lag rule described in paragraph (c)(2)
of this section. A petition, an amendment to a petition, and any
other submission filed prior to the initiation of an investigation
shall not be filed under the one-day lag rule. The business
proprietary document and public version of such pre-initiation
submissions must be filed simultaneously on the same
day.
(2)
Application of the one-day lag rule--(i)
Filing the business proprietary document.
A person must file a business proprietary document with the
Department within the applicable time limit.
(ii)
Filing of final business proprietary document; bracketing
corrections.
By
the close of business one business day after the date the business
proprietary document is filed under paragraph (c)(2)(i) of this section, a person must file the
complete final business proprietary document with the Department.
The final business proprietary document must be identical in all
respects to the business proprietary document filed on the previous
day except for any bracketing corrections and the omission of the
warning ``Bracketing of Business Proprietary Information Is Not
Final for One Business Day After Date of Filing'' in accordance with
paragraph (d)(2)(v) of this section. A person must serve other
persons with the complete final business proprietary document if
there are bracketing corrections. If there are no bracketing
corrections, a person need not serve a copy of the final business
proprietary document.
(iii)
Filing the public version. Simultaneously with the
filing of the final business proprietary document under paragraph
(c)(2)(ii) of this section, a person also
must file the public version of such document (see Sec. 351.304(c)) with the
Department.
(iv)
Information in double brackets. If
a person serves authorized applicants with a business
proprietary/APO version of a document that excludes information in
double brackets pursuant to Sec. 351.303(b)(4)(iii) and
351.304(b)(2), the person simultaneously must file with the
Department the complete business proprietary/APO version of the
document from which information in double brackets has been
excluded.
(3)
Sales files, cost of production files and
other electronic databases. When a submission includes
sales files, cost of production files or other electronic databases,
such electronic databases must be filed electronically in accordance
with paragraph (b)(2) of this section. If a
submitter must file the database manually pursuant to Sec. 351.303(b)(2)(ii)(A), the submitter must file such
information on the computer medium specified by the Department's
request for such information. The submitter need not accompany the
computer medium with a paper printout. All electronic database
information must be releasable under APO (see Sec. 351.305). A submitter need
not include brackets in an electronic database containing business
proprietary information. The submitter's selection of the security
classification ``Business Proprietary Document--May Be Released
Under APO'' at the time of filing indicates the submitter's request
for business proprietary treatment of the information contained in
the database. Where
possible, the submitter must insert headers or footers requesting
business proprietary treatment of the information on the databases
for printing purposes. A submitter must submit a public version of a
database in pdf format. The public version of the database must be
publicly summarized and ranged in accordance with Sec.
351.304(c). |
This
"cluster" of information must be visible on the top or cover page of
the document, and the information given must refer to the content of
the entire document. See attached
Sample
Cluster
as used on a letter. |
(d)
Format of submissions--(1) In general. Unless the Secretary alters
the requirements of this section, a document filed with the
Department must conform to the specification and marking
requirements under paragraph (d)(2) of this
section or the Secretary may reject such document in accordance with
Sec.
351.104(a).
(2)
Specifications and markings. If
a document is filed manually, it must be on letter-size (8½ x
11 inch) paper, single-sided and double-spaced, bound with a paper
clip, butterfly/binder clip, or rubber band. The filing of stapled,
spiral, velo, or other type of solid binding is not permitted. In
accordance with paragraph (b)(3) of this
section, a cover sheet must be placed before the first page of the
document. Electronically filed documents must be formatted to print
on letter-size (8½ x 11 inch) paper and
double-spaced. Spreadsheets, unusually sized exhibits, and databases
are best utilized in their original printing format and should not
be reformatted for submission.
A submitter must mark the first page of each document in the
upper right-hand corner with the following information in the
following format:
(i)
On the first line,
except for a petition, indicate the Department case
number;
(ii)
On the second line,
indicate the total number of pages in the document including cover
pages, appendices, and any unnumbered pages;
(iii)
On the third line,
indicate the specific segment of the proceeding, (e.g.,
investigation, administrative review, scope inquiry, suspension
agreement, etc.) and, if applicable, indicate the complete period of
review (MM/DD/YY-MM/DD/YY);
(iv)
On the fourth line,
except for a petition, indicate the Department office conducting the
proceeding;
(v)
On the fifth and subsequent lines,
indicate whether any portion of the document contains business
proprietary information and, if so, list the applicable page numbers
and state either: ``Business Proprietary Document--May Be Released
Under APO,'' ``Business Proprietary Document--May Not Be Released
Under APO,'' or ``Business Proprietary/APO Version--May Be Released
Under APO,'' as applicable, and consistent with Sec. 351.303(b)(4). Indicate ``Business Proprietary Treatment
Requested'' on the top of each page containing business proprietary
information. In addition, include the warning ``Bracketing of
Business Proprietary Information Is Not Final for One Business Day
After Date of Filing'' on the top of each page containing business
proprietary information in the business proprietary document filed
under paragraph (c)(2)(i) of this section
(one-day lag rule). Do not include this warning in the final
business proprietary document filed on the next business day under
paragraph (c)(2)(ii) of this section (see
Sec. 351.303(c)(2) and Sec. 351.304(c));
and
(vi)
For the public version of a business proprietary
document
required under Sec.
351.304(c), complete the marking as required in paragraphs
(d)(2)(i)-(v) of this section for the
business proprietary document, but conspicuously mark the first page
``Public Version.''
(vii)
For a public document,
complete the marking as required in paragraphs (d)(2)(i)-(v) of this section for the business
proprietary document or version, as applicable, but conspicuously
mark the first page ``Public Document.'' |
|
|
|
(e)
Translation to English.
A document submitted in
a foreign language must be accompanied by an English translation of
the entire document or of only pertinent portions, where
appropriate, unless the Secretary waives this requirement for an
individual document. A party must obtain the Department's approval
for submission of an English translation of only portions of a
document prior to submission to the
Department. |
|
(f)
Service of copies on other persons.
(1)(i)
In general. Except
as provided in Sec.
351.202(c) (filing of petition), Sec. 351.208(f)(1) (submission of
proposed suspension agreement), and paragraph (f)(3) of this
section, a person filing a document with the Department
simultaneously must serve a copy of the document on all other
persons on the service list by personal service or first class
mail.
(ii)
Service of public versions, public documents, or a party's own
business proprietary information. Notwithstanding
paragraphs (f)(1)(i) and (f)(3) of this
section, service of a business proprietary document containing only
the server's own business proprietary information, on persons on the
APO service list, or the public version of such a document, or a
public document on persons on the public service list, may be made
by facsimile transmission or other electronic transmission process,
with the consent of the person to be served.
(2)
Certificate of service.
Each document
filed with the Department must include a certificate of service
listing each person served (including agents), the type of document
served, and the date and method of service on each person. The
Secretary may refuse to accept any document that is not accompanied
by a certificate of service.
(3)
Service requirements for certain documents.
(i) Briefs. In addition to the
certificate of service requirements contained in paragraph (f)(2) of this section, a person filing a case or
rebuttal brief with the Department simultaneously must serve a copy
of that brief on all persons on the service list and on any U.S.
Government agency that has submitted a case or rebuttal brief in the
segment of the proceeding. If, under Sec. 351.103(c), a person has
designated an agent to receive service that is located in the United
States, service on that person must be either by personal service on
the same day the brief is filed or by overnight mail or courier on
the next day. If the person has designated an agent to receive
service that is located outside the United States, service on that
person must be by first class airmail.
(ii)
Request for review.
In addition to the
certificate of service requirements under paragraph (f)(2) of this
section, an interested party that files with the Department a
request for an expedited antidumping review, an administrative
review, a new shipper review, or a changed circumstances review must
serve a copy of the request by personal service or first class mail
on each exporter or producer specified in the request and on the
petitioner by the end of the anniversary month or within ten days of
filing the request for review, whichever is later. If the interested
party that files the request is unable to locate a particular
exporter or producer, or the petitioner, the Secretary may accept
the request for review if the Secretary is satisfied that the party
made a reasonable attempt to serve a copy of the request on such
person.
(g) Certifications. A person must file with each
submission containing factual information the certification in
paragraph (g)(1) of this section and, in addition, if the person has
legal counsel or another representative, the certification in
paragraph (g)(2) of this section.
(1)
For the person(s)
\*\
officially responsible for presentation of the factual
information:
(i)
COMPANY CERTIFICATION*
I,
(PRINTED NAME AND
TITLE) , currently employed by
(COMPANY NAME), certify that I prepared or otherwise
supervised the preparation of the attached submission of (IDENTIFY THE SPECIFIC
SUBMISSION BY TITLE AND DATE)
pursuant to the (INSERT ONE OF THE FOLLOWING: THE (ANTIDUMPING OR
COUNTERVAILING DUTY ) INVESTIGATION OF (PRODUCT) FROM (COUNTRY)
(CASE NUMBER) or THE
(DATES OF POR) (ADMINISTRATIVE OR NEW SHIPPER) REVIEW UNDER THE
(ANTIDUMPING OR COUNTERVAILING) DUTY ORDER ON (PRODUCT) FROM
(COUNTRY) ) (CASE NUMBER) or THE SUNSET
REVIEW OR CHANGED CIRCUMSTANCE REVIEW OR SCOPE RULING OR
CIRCUMVENTION INQUIRY OF AD/CVD ORDER ON (PRODUCT) FROM (COUNTRY)
(CASE NUMBER). I
certify that the information contained in this submission is
accurate and complete to the best of my knowledge. I am aware that the
information contained in this submission may be subject to
verification or corroboration (as appropriate) by the U.S.
Department of Commerce.
I am also aware that U.S. law (including, but not limited to,
18 U.S.C. 1001) imposes criminal sanctions on individuals who
knowingly and willfully make material false statements to the U.S.
Government. In
addition, I am aware that, even if this submission may be withdrawn
from the record of the AD/CVD proceeding, the Department may
preserve this submission, including a business proprietary
submission, for purposes of determining the accuracy of this
certification. I
certify that I am filing a copy of this signed certification with
this submission to the U.S. Department of Commerce and that I will
retain the original for a five-year period commencing with the
filing of this document.
The original will be available for inspection by U.S.
Department of Commerce officials.
Signature:
________________________________________________________
Date:
________________________________________________________
\*\
For multiple person certifications, all persons should be listed in
the first sentence of the certification and all persons should sign
and date the certification.
In addition, singular pronouns and possessive adjectives
should be changed accordingly, e.g., “I” should be changed to “we”
and “my knowledge” should be changed to “our knowledge.”
(ii)
GOVERNMENT CERTIFICATION\**\
I, (PRINTED NAME AND TITLE),
currently employed by
(GOVERNMENT), certify that I prepared or otherwise supervised
the preparation of the attached submission of (IDENTIFY THE SPECIFIC
SUBMISSION BY TITLE AND DATE)
pursuant to the (INSERT ONE OF THE FOLLOWING: THE (ANTIDUMPING OR
COUNTERVAILING DUTY ) INVESTIGATION OF (PRODUCT) FROM (COUNTRY)
(CASE NUMBER) or THE (DATES OF POR) (ADMINISTRATIVE OR NEW SHIPPER) REVIEW UNDER THE
(ANTIDUMPING OR COUNTERVAILING) DUTY ORDER ON (PRODUCT) FROM
(COUNTRY) ) (CASE NUMBER) or THE SUNSET REVIEW OR CHANGED
CIRCUMSTANCE REVIEW OR SCOPE RULING OR CIRCUMVENTION INQUIRY OF
AD/CVD ORDER ON (PRODUCT) FROM (COUNTRY) (CASE NUMBER). I certify that the
information contained in this submission is accurate and complete to
the best of my knowledge.
I am aware that the information contained in this submission
may be subject to verification or corroboration (as appropriate) by
the U.S. Department of Commerce. I am also aware that U.S.
law (including, but not limited to, 18 U.S.C. 1001) imposes criminal
sanctions on individuals who knowingly and willfully make material
false statements to the U.S. Government. In addition, I am aware
that, even if this submission may be withdrawn from the record of
the AD/CVD proceeding, the Department may preserve this submission,
including a business proprietary submission, for purposes of
determining the accuracy of this certification. I certify that I am filing a
copy of this signed certification with this submission to the U.S.
Department of Commerce and that I will retain the original for a
five-year period commencing with the filing of this document. The original will be
available for inspection by U.S. Department of Commerce
officials.
Signature:
________________________________________________________
Date:
________________________________________________________
\**\
For multiple person certifications, all persons should be listed in
the first sentence of the certification and all persons should sign
and date the certification.
In addition, singular pronouns and possessive adjectives
should be changed accordingly, e.g., “I” should be changed to “we”
and “my knowledge” should be changed to “our knowledge.”
OR
I,
(name and title), currently employed by (person), certify that (1)
I have read the
attached submission, and (2) the information contained in this
submission is, to the best of my knowledge, complete and
accurate.
(2)
For the legal counsel or other representative:
REPRESENTATIVE
CERTIFICATION\***
\
I,
(PRINTED NAME) , with (LAW
FIRM or OTHER FIRM) , counsel or representative to
(COMPANY OR GOVERNMENT OR PARTY), certify that I have read the
attached submission of
(IDENTIFY THE SPECIFIC SUBMISSION BY TITLE AND DATE) pursuant to the (INSERT ONE
OF THE FOLLOWING: THE
(ANTIDUMPING OR COUNTERVAILING DUTY) INVESTIGATION OF (PRODUCT) FROM
(COUNTRY) (CASE NUMBER) or THE (DATES OF POR) (ADMINISTRATIVE
OR NEW SHIPPER) REVIEW UNDER THE
(ANTIDUMPING OR COUNTERVAILING) DUTY ORDER ON (PRODUCT) FROM
(COUNTRY) (CASE NUMBER) or THE SUNSET REVIEW OR CHANGED CIRCUMSTANCE
REVIEW OR SCOPE RULING OR CIRCUMVENTION INQUIRY OF AD/CVD ORDER ON
(PRODUCT) FROM (COUNTRY) (CASE NUMBER). In my capacity as an
adviser, counsel, preparer or reviewer of this submission, I certify
that the information contained in this submission is accurate and
complete to the best of my knowledge. I am aware that U.S. law
(including, but not limited to, 18 U.S.C. 1001) imposes criminal
sanctions on individuals who knowingly and willfully make material
false statements to the U.S. Government. In addition, I am aware
that, even if this submission may be withdrawn from the record of
the AD/CVD proceeding, the Department may preserve this submission,
including a business proprietary submission, for purposes of
determining the accuracy of this certification. I certify that I am filing a
copy of this signed certification with this submission to the U.S.
Department of Commerce and that I will retain the original for a
five-year period commencing with the filing of this document. The original will be
available for inspection by U.S. Department of Commerce
officials.
Signature:
_________________________________________________________
Date:
_________________________________________________________
\***\ For
multiple representative certifications, all representatives and
their firms should be listed in the first sentence of the
certification and all representatives should sign and date the
certification. In
addition, singular pronouns and possessive adjectives should be
changed accordingly, e.g., “I” should be changed to “we” and “my
knowledge” should be changed to “our knowledge.”
|
|
Sec.
351.305(b)(2) - Access to
business proprietary information.
|
APO
applications must be served on other parties at the same time it is
filed with the Department, using the most expeditious manner
possible. |
A
representative of a party to the proceeding may apply for access to
business proprietary information under the administrative protective
order by submitting Form ITA–367 to the Secretary. Form ITA–367 must identify
the applicant and the segment of the proceeding involved, state the
basis for eligibility of the applicant for access to business
proprietary information, and state the agreement of the applicant to
be bound by the administrative protective order. Form ITA–367 may be prepared
on the applicant’s own wordprocessing system, and must be
accompanied by a certification that the application is consistent
with Form ITA–367 and an acknowledgment that any discrepancies will
be interpreted in a manner consistent with Form ITA–367. An applicant must apply to
receive all business proprietary information on the record of the
segment of a proceeding in question, but may waive service of
business proprietary information it does not wish to receive from
other parties to the proceeding. An applicant must serve an
APO application on the other parties by the most expeditious manner
possible at the same time that it files the application with the
Department. | |