UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`Washington, D.C.
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`
`
`
`In the Matter of
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`CERTAIN ELECTRONIC DEVICES,
`INCLUDING SMARTPHONES,
`COMPUTERS, TABLET COMPUTERS,
`AND COMPONENTS THEREOF
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`
`
` Inv. No. 337-TA-1373
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`
`ORDER NO. 2:
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`
`
`NOTICE OF GROUND RULES
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`(October 6, 2023)
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`The conduct of this Investigation shall be governed by the Commission Rules and the
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`Ground Rules attached hereto as Attachment A.
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`SO ORDERED.
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`Page 1 of 1
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`ATTACHMENT A
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`
`ALJ MARYJOAN MCNAMARA’S GROUND RULES
`FOR THIS SECTION 337 INVESTIGATION 337-TA-1373 (10/06/2023)
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`
`
`These Ground Rules supplement the Commission’s Rules of Practice and Procedure, 19
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`C.F.R. Parts 201 and 210 (“Commission Rules”), in order to aid the Administrative Law Judge in
`the orderly conduct of this Section 337 Investigation.
`
`These Ground Rules govern a U.S. patent-based investigation. In the case of an
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`investigation based upon a registered copyright, registered trademark, or registered mask work,
`additional Ground Rules may also govern. In addition, in a case involving a motion for
`temporary relief, Ground Rules in addition to Ground Rule 1.8 may also govern.
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`Chambers no longer accepts paper copies of documents, flash drives or CD Roms unless
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`otherwise notified.
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`Courtesy copies of documents that are filed on EDIS should be submitted to Chambers
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`through McNamara337@usitc.gov.
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`Applications for subpoenas must be submitted in Microsoft Word to
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`McNamara337@usitc.gov. Subpoena applications submitted to McNamara337@usitc.gov must
`comply with the substantive requirements of Ground Rule 3.5.
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`Courtesy copies of Expert Reports and Expert Rebuttal Reports must be submitted to
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`McNamara337@usitc.gov. There has been a problem with the manner in which parties have
`failed to ensure that appropriate sections or paragraphs of expert reports are admitted into
`evidence post-hearing. The same is true of deposition transcript passages. This may be an issue
`for discussion during one of the Management Conferences, most likely the first scheduled
`Management Conference.
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`Webex is the secure video platform that the Commission uses. Management conferences
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`may be held by either Telephone Conference or by Webex. We anticipate that the evidentiary
`hearing (“Hearing”) will be in person in one of the ITC’s courtrooms. This will be discussed at a
`Management Conference.
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`Please note the Ground Rule with respect to the NEXT Advocates Program. We actively
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`encourage and incentivize the participation of less experienced attorneys in our proceedings.
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`TABLE OF CONTENTS
`
`1.
`General Procedures and Information. ............................................................................. 1
`Address of Administrative Law Judge. .......................................................................... 1
`1.1.
`Filing Requirement. ........................................................................................................ 1
`1.2.
`Service Copy Requirement. ............................................................................................ 1
`1.3.
`Paper Copies. .................................................................................................................. 1
`1.3.1.
`Electronic Copies. .......................................................................................................... 2
`1.3.2.
`Submission by Fax Disfavored. ...................................................................................... 2
`1.4.
`Concurrent Service. ........................................................................................................ 2
`1.5.
`Confidential Submissions. .............................................................................................. 2
`1.6.
`Unreported Court Decisions. .......................................................................................... 3
`1.7.
`Temporary Relief. .......................................................................................................... 3
`1.8.
`Deadlines and Extensions. .............................................................................................. 4
`1.9.
`Redaction Requirements for Public Versions of Orders and Teleconference
`1.10.
`Transcripts. ..................................................................................................................... 5
`
`Electronic Filing (EDIS). ............................................................................................... 5
`1.11.
`Computation of Time. .................................................................................................... 6
`1.12.
`Procedural Schedule. ...................................................................................................... 6
`1.13.
`Early Claim Construction ............................................................................................... 9
`1.14.
`1.14.1. Markman Briefing. ....................................................................................................... 11
`1.14.2. Markman Pre-Hearing Statement. ................................................................................ 12
`1.14.3. Markman Hearing Evidence. ........................................................................................ 12
`1.14.3.1. Exchange of Proposed Exhibits. ................................................................................... 12
`1.14.3.2. Service of Proposed Exhibits upon Administrative Law Judge. .................................. 13
`1.14.3.3. Format and Submission of Admitted Exhibits. ............................................................ 13
`1.14.4. Markman Hearing. ........................................................................................................ 14
`1.14.4.1. Opening Statement and Closing Argument. ................................................................. 14
`1.14.4.2. Markman Hearing Hours. ............................................................................................. 14
`1.14.4.3. Admission of Exhibits. ................................................................................................. 14
`1.14.4.4. Transcript. ..................................................................................................................... 14
`1.15.
`Stipulations. .................................................................................................................. 14
`1.16.
`Protective Orders and Patent Prosecution Bars. ........................................................... 15
`2.
`Motions. ........................................................................................................................ 16
`2.1.
`Contents. ....................................................................................................................... 16
`2.2.
`Certification. ................................................................................................................. 17
`2.3.
`High Priority Objections, Motions in Limine and Motions to Strike. .......................... 17
`2.4.
`Summary Determination Motions. ............................................................................... 18
`2.5.
`Discovery and Discovery-Related Motions. ................................................................ 19
`2.5.1.
`Contents ........................................................................................................................ 20
`2.6.
`Request for Shortened Time to Respond to Motion. .................................................... 20
`2.7.
`No Motion Stops Discovery Except Motion to Quash Subpoena. ............................... 20
`2.8.
`Motion Deadlines in the Procedural Schedule. ............................................................ 20
`2.9.
`Mootness. ..................................................................................................................... 20
`3.
`Discovery. ..................................................................................................................... 21
`
`i
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`Resolution of Disputes; Coordinated Discovery. ......................................................... 21
`3.1.
`Discovery Committee. .................................................................................................. 21
`3.1.1.
`Stipulations Regarding Discovery Procedure. .............................................................. 22
`3.2.
`Service of Discovery Requests and Responses. ........................................................... 22
`3.3.
`Timing of Discovery Requests, Responses and Objections. ........................................ 22
`3.4.
`Depositions. .................................................................................................................. 22
`3.4.1.
`3.4.1.1. Depositions in Japan. .................................................................................................... 23
`3.4.2.
`Interrogatories. ............................................................................................................. 23
`3.4.3.
`Requests for Production of Documents or Things or for Entry upon Land. ................ 23
`3.4.4.
`Request for Admission. ................................................................................................ 23
`3.4.5.
`Discovery Cutoff and Completion. .............................................................................. 23
`3.5.
`Subpoenas. .................................................................................................................... 23
`3.5.1.
`Issuance and Service. ................................................................................................... 24
`3.5.2.
`Extensions and Enforcement. ....................................................................................... 24
`3.6.
`Bates Numbering. ......................................................................................................... 25
`3.7.
`Translations. ................................................................................................................. 25
`3.8.
`Privileged Matter. ......................................................................................................... 25
`4.
`Notice of Patent Priority Dates and Notice of Prior Art. .............................................. 26
`5.
`Expert Witnesses and Reports. ..................................................................................... 26
`6.
`Settlement; Settlement Reports. ................................................................................... 27
`7.
`Pre-Hearing Submissions. ............................................................................................ 27
`7.1.
`Pre-Hearing Statement. ................................................................................................ 28
`7.2.
`Pre-Hearing Brief. ........................................................................................................ 29
`7.2.1.
`Content of Pre-Hearing Brief ....................................................................................... 30
`7.3.
`Joint Outline of Issues in Chart Form. ......................................................................... 31
`8.
`Hearing Exhibits. .......................................................................................................... 31
`8.1.
`Material to Be Received Into Evidence. ....................................................................... 31
`8.2.
`Legal Experts. ............................................................................................................... 31
`8.3.
`Witness Sequestration. ................................................................................................. 31
`8.4.
`Witness Testimony. ...................................................................................................... 32
`8.4.1. Witness Statements in Lieu of Direct Testimony (RARE). ......................................... 32
`8.4.2.
`Format of Witness Statements (RARE). ...................................................................... 32
`8.5.
`Expert Reports. ............................................................................................................. 33
`8.6.
`Foreign Language Exhibits. ......................................................................................... 34
`8.7.
`Exhibits. ........................................................................................................................ 34
`8.7.1.
`Exchange of Proposed Exhibits. ................................................................................... 34
`8.7.2.
`Service of Proposed Exhibits upon Administrative Law Judge. .................................. 34
`8.7.3. Maintenance and Filing of Final Exhibits and Final Exhibit List. ............................... 34
`8.7.4.
`Numbering and Labeling of Exhibits; Confidential Exhibits. ...................................... 36
`8.7.4.1. Documentary Exhibits. ................................................................................................. 37
`8.7.4.2. Physical Exhibits. ......................................................................................................... 37
`8.7.4.3. Demonstrative Exhibits. ............................................................................................... 37
`8.7.4.4.
`Joint Exhibits. ............................................................................................................... 37
`8.7.5.
`Exhibit Lists. ................................................................................................................ 38
`8.7.6. Witness Exhibits. .......................................................................................................... 38
`
`ii
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`Authenticity. ................................................................................................................. 39
`8.7.7.
`Sponsoring Witness. ..................................................................................................... 39
`8.7.8.
`Filing of Exhibits. ......................................................................................................... 39
`8.8.
`Hearing Procedure. ....................................................................................................... 40
`9.
`Order of Examination. .................................................................................................. 40
`9.1.
`Opening Statement and Closing Argument. ................................................................. 40
`9.2.
`Hearing Hours. ............................................................................................................. 40
`9.3.
`Hearing Decorum. ........................................................................................................ 40
`9.4.
`Conversations at Hearing. ............................................................................................ 40
`9.4.1.
`Cell Phones and Beepers; Food and Beverages. .......................................................... 40
`9.4.2.
`Swearing of Witnesses. ................................................................................................ 41
`9.4.3.
`Arguments on Objection. ............................................................................................. 41
`9.4.4.
`Examination of Witnesses. ........................................................................................... 41
`9.5.
`Scope of Examination. ................................................................................................. 41
`9.5.1.
`Scope of Cross-Examination. ....................................................................................... 41
`9.5.2.
`Scope of Redirect and Re-Cross Examination. ............................................................ 41
`9.5.3.
`Coordination of Witnesses. .......................................................................................... 41
`9.5.4.
`Documents Presented to Witnesses. ............................................................................. 41
`9.5.5.
`Scope of Expert Witness Testimony. ........................................................................... 42
`9.5.6.
`Coordination of Respondents’ Cross-Examination. ..................................................... 42
`9.5.7.
`Requests for Clarification of a Question. ..................................................................... 42
`9.5.8.
`Use of Translators. ....................................................................................................... 42
`9.5.9.
`9.5.10. Conferring with a Witness during a Break in Testimony. ............................................ 42
`9.6.
`Transcript. ..................................................................................................................... 42
`9.7.
`Bench Briefs. ................................................................................................................ 43
`9.8.
`Objections to Evidence/Testimony and Motions to Strike. .......................................... 43
`10.
`Post-Hearing Submissions. ........................................................................................... 43
`10.1.
`Initial Post-Hearing Briefs. ........................................................................................... 43
`10.2.
`Post-Hearing Reply Briefs. ........................................................................................... 45
`10.3.
`Proposed Findings of Fact ............................................................................................ 45
`11.
`NEXT Advocates Program ........................................................................................... 46
`12.
`Citations. ....................................................................................................................... 46
`12.1.
`Citations Generally. ...................................................................................................... 46
`12.2.
`Citation to Cases. .......................................................................................................... 46
`13.
`Cooperation among Parties. ......................................................................................... 47
`14.
`Ex Parte Contacts. ........................................................................................................ 47
`15.
`Mediation. ..................................................................................................................... 47
`Appendix A.
`Appendix B.
`
`iii
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`

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`JUDGE MCNAMARA’S GROUND RULES (05/17/2023)
`
`General Procedures and Information.
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`The Administrative Law Judge’s address is as follows:
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`
`
`The Honorable MaryJoan McNamara
`U.S. International Trade Commission
`500 E Street, S.W., Room 317
`Washington, D.C. 20436
`
`
`1.
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`1.1. Address of Administrative Law Judge.
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`1.2.
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`All submissions shall be filed with the Office of the Secretary of the Commission in
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`accordance with Commission Rule 210.4(f) unless otherwise specifically provided for in these
`Ground Rules or by order of the Administrative Law Judge. See the United States International
`Trade Commission Handbook on Filing Procedures
`www.usitc.gov/secretary/documents/handbook_on_filing_procedures.pdf1 for further details.
`The parties should be aware that the close of business for the agency is 5:15 pm. See
`Commission Rule 201.3(c).
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`All documents filed on EDIS must contain in the footer of each page the name of the
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`party that filed the document along with the title of the document.
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`1.3. Service Copy Requirement.
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`1.3.1. Paper Copies.
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`Copies of the papers filed with the Secretary shall be served concurrently on all other
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`parties, including the Commission Investigative Staff (if named as a party). Also, two (2)
`double-sided courtesy paper copies shall be served on the Administrative Law Judge (“ALJ”),
`addressed to her, at her office the next business day2 after the papers are electronically filed with
`the Secretary. See Ground Rule 7 regarding courtesy copies of pre-hearing statements, pre- and
`post-hearing briefs, and motions in limine.
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`1.3.1.1. Copies To ALJ.
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`Filing Requirement.
`
` A
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` courtesy copy of each filing, excluding exhibits, should be sent to
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`
`
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`1 See also https://www.usitc.gov/secretary/documents/handbook_on_filing_procedures.pdf
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` 2
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` Parties need not serve courtesy paper copes of subscriptions to the protective order that have been filed
`on EDIS, although electronic courtesy copies are still required.
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`-1-
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`

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`McNamara337@usitc.gov. See G.R. 1.3.2 below.
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`1.3.2. Electronic Copies.
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`In addition to that which is required in Ground Rule 1.3.1, while the Investigation is
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`pending before the Administrative Law Judge, any party submitting a motion or any response to
`a motion, as well as any other paper submitted in this Investigation, shall on the same business
`day as the electronic filing, send one: (1) courtesy electronic copy of said document in Microsoft
`Word or PDF format (preferred), to McNamara337@usitc.gov. In particular, submissions in
`chart form, such as the Joint Claim Construction and Proposed Procedural Schedule, must be
`provided in Microsoft Word.
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`Copies sent via e-mail should include the number of this Investigation as the first item in
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`the subject line and must be followed by a very brief summary of the contents. For example, the
`subject line may3 read: “Inv. No. 337-TA-####, Motion for Summary Determination.”
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`1.4. Submission by Fax Disfavored.
`
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`Submissions to the Administrative Law Judge by fax are not to be made without her prior
`approval. They cannot be made at all during the Pandemic.
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`1.5. Concurrent Service.
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`The parties are encouraged to confer and stipulate in writing to acceptable forms and
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`terms of service. Service on opposing counsel may be made by hand, facsimile, e-mail, or
`overnight courier. Any foreign respondent who is not represented by counsel may be served by
`first class mail. A motion served by overnight courier must be received by the other parties no
`later than the close of business on the day after the day it was filed.
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`1.6. Confidential Submissions.
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`Any document containing confidential business information shall be prominently marked
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`on at least its first page with the legend “confidential business information,” or equivalent
`wording.4 Documents filed with confidential attachments shall similarly contain a prominent
`marking on at least the first page of the document indicating that there are confidential
`attachments and at least the first page of each of the confidential attachments shall be marked
`pursuant to Commission Rules. A party who mistakenly files a document without a confidential
`designation thereon shall immediately contact the Office of the Secretary and the Administrative
`Law Judge’s Attorney Advisor.
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`If a motion or related document (e.g., response, reply, stipulation or exhibit) is filed as
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`confidential because it purportedly contains confidential business information (“CBI”) as defined
`in 19 C.F.R. § 201.6(a), the private parties must file a non-confidential, public version of the
`motion and related document within five (5) business days from the date of the purportedly
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`3 The investigation number followed by the word “service” is not adequate.
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` See Commission Rules 210.6 and 210.34. It is recommended that every confidential page be so marked.
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` 4
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`-2-
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`confidential filing. Each filed version of the motion or related document must be labeled
`appropriately as either public or confidential (with the latter labeled as containing CBI consistent
`with past practices).
`
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`When redacting CBI, a high level of care must be exercised in order to ensure that non-
`confidential business information is not redacted or indicated. The document labeled
`confidential should contain brackets and highlighting, in accordance with Ground Rule 1.10, of
`only that material/information that complies with 19 C.F.R. § 201.6(a). Other than in extremely
`rare circumstances, block-redaction and block-bracketing are prohibited. In most cases,
`redaction or bracketing of only discrete CBI words and phrases will be permitted. Titles of
`documents shall not contain CBI.
`
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`All confidential motions and confidential responses to motions must be accompanied by
`declarations, grounded in facts, explaining how each proposed redaction is CBI.
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`Exhibits attached to the confidential motions and confidential responses to motions
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`generally need not be bracketed, although CBI contained in an exhibit must be bracketed when
`quoted in a motion or response thereto. If an exhibit is a brief for which the moving party seeks
`leave to file, e.g., a reply brief attached as an exhibit to a motion for leave to reply, then that
`exhibit shall be bracketed. If the main text of a confidential motion or response contains no
`redaction, the declaration shall explain why the filing is designated confidential (e.g., the motion
`contains no confidential text but has a confidential attachment).
`
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`The same day public version of confidential documents should have redacted the
`identical material/information bracketed and highlighted in the confidential version.
`
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`For those cases where the Office of Unfair Import Investigations (“OUII”) is a party,
`OUII shall have ten (10) business days to submit a non-confidential version of the motion and/or
`related document.
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`1.7. Unreported Court Decisions.
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`Any submission that refers to an unreported court decision shall include as an exhibit the
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`text of the decision.
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`1.8. Temporary Relief.
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`In any aspect of an Investigation which involves a pending motion for temporary relief, a
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`party serving any paper, including any motion or discovery requests, must notify counsel for the
`other parties, including the Commission Investigative Staff Attorney (“Staff”) if Staff is a party,
`by telephone on the day the paper is served about the substance of the paper, and must arrange
`for the other parties to receive the paper the next business day.
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`-3-
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`1.9. Deadlines and Extensions.
`
`
`All due dates for any paper necessitate that the paper be received by the intended
`recipient no later than the close of business on the due date. For this reason, electronic service
`on the other parties is encouraged. See Commission Rule 201.16(f).
`1.9.1. Extension of Time
`
`
`To extend a deadline, the parties must file a motion seeking an extension of time and
`must set forth good cause for such an extension. Such motions must be filed on EDIS no later
`than two (2) days before the due date. The parties shall not file any joint stipulations extending
`a filing (unless an emergency), discovery or hearing deadline. Leave should be requested by
`motions practice.
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`1.9.2. Expedited Treatment
`
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`Urgent matters should be brought to the attention of the Administrative Law Judge as
`follows. First, motions, responses, or other filings that are urgent or that should receive
`expedited treatment should be clearly noted in the document’s caption. Second, on the date of
`said filing, the Administrative Law Judge’s Attorney Advisor must be notified by e-mail, with a
`copy to all parties that the matter is of pressing importance or urgency. The parties should note,
`however, that the Administrative Law Judge has many ongoing investigations. All pending
`matters will be addressed with as much dispatch as time and circumstances allow. See also
`Ground Rule 2.6.
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`1.9.3. Untimely Filings
`
`It is the responsibility of the other parties to promptly notify the Administrative Law
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`Judge in writing if a party has filed or served a document after the deadline set in the procedural
`schedule or Commission Rules.
`
`
`A party may correct an untimely filing or submission by promptly moving to have the
`document accepted out of time by the Administrative Law Judge and explaining the good cause
`for late consideration. See Commission Rule 201.3(c). The two-day meet and confer
`requirement is waived for such motions, although movants should attempt to determine the other
`parties’ position with respect to the motion. If no prompt5 motion is brought, the Administrative
`Law Judge may in her discretion order that an untimely filed or served6 document be
`disregarded.
`
`
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`5 The Administrative Law Judge suggests, but does not require, that this occur within two (2) business
`days of the late filing.
`
` The procedural schedule provides for certain documents to be submitted or served rather than filed on
`EDIS. This rule shall apply equally to all due dates set forth in the procedural schedule, regardless of
`whether service or filing is required.
`
`
` 6
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`-4-
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`

`

`1.10. Redaction Requirements for Public Versions of Orders and Teleconference
` Transcripts.
`
`Orders issued by the Administrative Law Judge may contain the confidential business
`information of the parties (or in some cases nonparties), in which case the orders will be
`designated confidential. The Administrative Law Judge has the discretion, pursuant to
`Commission Rule 210.5(e), to determine whether the information designated confidential by the
`supplier is entitled to confidential treatment in orders issued by the Administrative Law Judge.7
`
`If the Administrative Law Judge issues a confidential order, the parties must jointly submit
`within seven (7) days of the order a single proposed public version of that order with any proposed
`redactions indicated in red. If the parties submit excessive redactions, they may be required to
`provide declarations from individuals with personal knowledge, justifying each proposed redaction
`and specifically explaining why the information sought to be redacted meets the definition for
`confidential business information set forth in 19 C.F.R. § 201.6(a).
`
`To the extent possible, the proposed redactions should be made electronically, in a single pdf
`file of the issued order or initial determination, using the “Redact Tool” within Adobe Acrobat,
`wherein the proposed redactions are submitted as “marked” but not yet “applied.” The proposed
`redactions should be visible, i.e., no fill color. The Administrative Law Judge will issue the final
`public version of the order once all appropriate redactions are made.
`
`The proposed redactions or statement of no redactions should be submitted via email to
`McNamara337@usitc.gov and not filed on EDIS. If no proposed redactions or statement of no
`redactions is not received within seven (7) days of the order, the totality of the order shall be
`made public.
`
`The parties should note that it is the Administrative Law Judge’s firm policy that the
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`public has a right to know the substantive outcome of the Investigation. Therefore, for any order
`resolving a matter of substance (such as a Markman order, grant of summary determination, or
`final initial determination), the parties must pay particular attention to their proposed redactions.
`Only CBI should be redacted, even if this means redacting only a portion of a sentence.
`
`
`1.11. Electronic Filing (EDIS).
`
`Commission Rule 210.4(f) governs the electronic filing of certain documents in Section
`
`337 Investigations with the Office of the Secretary via the Commission’s Electronic Document
`Information System (EDIS). Filing through EDIS, however, does not remove the requirement
`that parties also submit an electronic copy of such filing with the office of the Administrative
`Law Judges to McNamara337@usitc.gov.
`
`
`
`For additional information regarding EDIS, the parties may contact the EDIS Helpdesk at
`
`
`7 This rule applies to any confidential filing, including initial determinations, issued by the Administrative
`Law Judge.
`
`
`
`-5-
`
`

`

`(202) 205-3347, review the Docket Services webpage,8 or access the EDIS 3 User Guide
`currently found at the following Internet address:
`
`
`www.usitc.gov/sites/default/files/documents/edis3_10userguide-
`external_final_optimized.pdf
`
`Electronic filing on EDIS is governed by the U.S.I.T.C. Handbook on Filing Procedures.
`
`One of the instructions concerns current size limits of files. The current size limit for
`each file submitted on EDIS is 25 MB, defined as follows:
`
`
`The size of an electronic document as a whole is not limited by the capability of EDIS,
`but no single file attached to a document submission may exceed 25 megabytes in size.
`Documents which exceed the 25-megabyte size limit must be broken d