United States International Trade Commission

1 United States International Trade Commission handbook on Filing Procedures Effective August 8, 2014 Table of Contents I. INTRODUCTION .. 3 II. FILING PROCEDURES .. 3 A. Definitions and Instructions .. 3 B. Registration as an EFP User and Assignment of Passwords .. 4 C. Filing 6 D. Where Documents Are to Be Filed Electronically .. 10 E. Notice of Electronic Receipt .. 10 F. Deadline for Electronic Filing of Documents .. 10 G. Size of Electronic Transmission .. 11 H. Format of Documents .. 11 I. Use of Electronic Media .. 13 J. Signatures .. 13 K. Limitation on Service of Electronic Documents Between the Parties .. 14 L. Copyright and Other Proprietary Rights .. 14 M. Official Record of Commission Proceedings .. 14 III. DURATION .. 15 APPENDIX 1 TO handbook ON FILING PROCEDURES: MATRIX OF INSTRUCTIONS 2 I.

2 Introduction A. This handbook provides instructions for persons filing documents with the United States International Trade Commission ( Commission ). B. In any conflict between the Commission 's Rules of Practice and Procedure (rules) and this handbook , the rules shall govern. Similarly, in any conflict between this handbook and instructions issued by an Administrative Law Judge, the instructions of the ALJ 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 plan to file a document with the Commission , you must comply with the relevant provisions of the rules governing such filing.

3 The Commission generally provides for two types of filing, electronic filing and filing in paper form. The general rule set out in and of the rules requires electronic filing, but special requirements apply to certain types of documents, and the Secretary is authorized to make exceptions and modifications to the general rule. Certain exceptions and modifications are set out below. The Commission generally does not permit filing by means other than paper filing or electronic filing. Thus, for example, unless provided for by the rules, filing by facsimile and by electronic mail ( , sending a document to a Commission electronic mail address) is not permitted. II. Filing Procedures A. Definitions and Instructions (1) EFP means the Commission 's Electronic Filing Procedures.

4 (2) Secretary means the Secretary to the Commission (500 E Street, SW., Room 112A, Washington, DC 20436, telephone 202-205-2000). The EFP are administered by the Secretary and any questions about EFP should be directed to the Secretary. (3) Business days refers to the days that the Commission is open. Business hours refers to the hours that the Commission is open on a given business day ( , from 8:45 to 5:15 , Washington, DC local time, Monday through Friday, excepting Saturdays, Sundays, Federal legal holidays and other days and times when the Commission is closed for other reasons). (4) EDIS refers to the Commission 's Electronic Document Information System, a web- based software system which will receive and store electronic transmissions of filing information and filed documents.

5 (5) The EDIS Web site refers to the Commission 's Web site which provides access to EDIS via the World Wide Web at 3 (6) Document refers to the filing information and associated files that all filers must provide pursuant to or of the rules. (7) Cover sheet refers to the EDIS cover sheet that all filers must complete when making a paper filing pursuant to (g) or (g) of the rules. EDIS cover sheets are generated online at the EDIS Web site and must contain all necessary metadata about a filing. (8) Electronic receipt means that an electronic transmission of a document to EDIS via the EDIS Web site has been successfully completed in its entirety. As discussed below, the electronic transmission and receipt of a document does not mean that the document has been accepted for filing.

6 (9) Electronic filing means the electronic transmission of a document and the Secretary's acceptance of the document for filing. (10) Registered user means a person that registers for an account within EDIS via the EDIS Web site, enabling their ability to file documents 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 has been received electronically by the Commission and does not mean that the document has been accepted by the Secretary for filing in EDIS.

7 (13) PDF means portable document format. B. Registration as an EFP User and Assignment of Passwords (1) To file electronically, you must first become a registered user of EDIS. To register, a user must fill out the EDIS user registration form online at the EDIS Web site. Anonymous user access is not supported by EDIS to either file or search for a document. The online registration process will require identification of the user's name, firm affiliation, address, telephone number and e-mail address of record. Users must have and maintain a working e-mail address to be a registered user. (a) Users must select their applicable firm in the Firm/Organization drop-down field. If a user's affiliation in the Firm/Organization field is not listed, select Not Listed if you intend to file a document.

8 You will be presented with an electronic pop-up form to provide the relevant information to have your firm included in the list. The new firm will be added by USITC staff after your registration has been submitted and your account will be updated to reflect your association to the new firm. 4 (b) All users must designate a user ID and password, and select and answer two unique security questions on the registration form as forms of authentication for accessing EDIS. Registered users may access EDIS for electronic filing without any additional approval from the Secretary. (c) The user's registration information is used when filing a document to populate the document submission fields of `Filed By' and `Firm/Organization.' (2) Every registered user shall be responsible for keeping his/her registration information current.

9 (a) Users who leave their registered firm or organization must re -register with a new user ID and password to file documents so that an accurate filing history can be maintained. (b) Changes to user information other than the Firm/Organization should be requested by contacting the Commission 's EDIS Helpdesk at 202-205-2000 or via e-mail at (c) Password and security questions can only be changed or re-set by the registered user when logged in to EDIS. (3) 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/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.

10 A registered user must comply with applicable limitations on disclosure of confidential business information ( CBI ) and business proprietary information ( BPI ) pursuant to 19 CFR , , , and As provided in paragraph II(J)(2), a document filed using a registered user's user ID and password will be deemed signed by that registered user. (4) Upon learning of the potential compromise of the confidentiality of his/her password, a registered user shall immediately change the password via the EDIS Web site. No later than the next business day, the registered user must also notify the Secretary of the perceived compromise and the period of compromise. (5) A registered user who has provided his/her password to an employee of the registered user's firm, such as a paralegal, legal assistant, or secretary, must change the password upon the employee's departure from the firm.