UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`Washington, D.C.
`
`
`INV. NO. 337-TA-1381
`
`
`
`In the Matter of
`
`CERTAIN DISPOSABLE VAPORIZER
`DEVICES AND COMPONENTS AND
`PACKAGING THEREOF
`
`
`ORDER NO. 2:
`
`
`NOTICE OF GROUND RULES
`
`(December 20, 2023)
`
`The conduct of this investigation shall be governed by the Commission Rules and the
`
`Ground Rules attached hereto.
`
`SO ORDERED.
`
`
`
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`

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`GROUND RULES FOR SECTION 337 INVESTIGATIONS
`
`
`These Ground Rules supplement the Commission’s Rules of Practice and Procedure,
`19 C.F.R. Parts 201 and 210 (“Commission Rules”), in order to aid Chief Administrative Law
`Judge Clark S. Cheney (he/him) in the orderly conduct of the section 337 investigation pursuant
`to the Administrative Procedure Act, 5 U.S.C. § 556(c).
`
`These Ground Rules govern a U.S. patent-based investigation pursuant to 19 U.S.C.
`§ 1337(a)(1)(B). The Chief Administrative Law Judge may promulgate other rules for
`investigations involving other matters.
`
`
`In case of any conflict between these Ground Rules and any subsequent order issued by
`the Chief Administrative Law Judge or the Commission in this investigation, the subsequent
`order shall control.
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`
`

`

`1
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`2
`3
`4
`5
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`6
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`TABLE OF CONTENTS
`
`Filings and Submissions. ....................................................................................................1
`1.1
`Definitions............................................................................................................... 1
`1.2
`Format of Filings and Submissions......................................................................... 1
`1.3
`Filing Requirement. ................................................................................................ 1
`1.3.1 Public Version Required. .............................................................................1
`Service..................................................................................................................... 1
`1.4
`Confidentiality. ....................................................................................................... 1
`1.5
`1.6 Word Limits. ........................................................................................................... 2
`1.7
`Citation of Cases. .................................................................................................... 3
`1.8
`Coordination of Briefs Among Interested Parties. .................................................. 3
`1.9
`Courtesy Copies. ..................................................................................................... 3
`1.9.1 Documents Requiring a Courtesy Copy. .....................................................3
`1.9.2 Procedure. ....................................................................................................3
`Time. .....................................................................................................................................4
`Preliminary Conference. ....................................................................................................4
`Procedural Schedule. ..........................................................................................................5
`Motions.................................................................................................................................7
`5.1
`Obligation to Confer. .............................................................................................. 7
`5.2
`Numbering Responses to Motions. ......................................................................... 7
`5.3
`Deadline for Filing Response to Motion. ................................................................ 7
`5.4
`Rules for Certain Motions. ...................................................................................... 8
`5.4.1 Discovery-Related Motions. ........................................................................8
`5.4.1.1 Videoconference Requirement. ....................................................................8
`5.4.1.2 Contents of Discovery-Related Motions. .....................................................8
`5.4.2 Motions for Summary Determination and Responses
`Thereto. ........................................................................................................8
`5.4.2.1 Motion. .........................................................................................................8
`5.4.2.2 Response. .....................................................................................................9
`5.4.2.3 Courtesy Copies. ..........................................................................................9
`5.4.2.4 Oral Argument. ............................................................................................9
`Effect of Filing Unopposed Motions to Terminate. .............................................. 10
`5.5
`Discovery. ...........................................................................................................................10
`6.1
`Resolution of Disputes; Coordinated Discovery................................................... 10
`6.2
`Discovery Committee. .......................................................................................... 10
`6.3
`Service of Discovery Requests and Responses. .................................................... 10
`6.4
`Timing of Discovery Requests, Responses and Objections.................................. 10
`6.4.1 Depositions; Notice. ...................................................................................10
`6.4.2
`Interrogatories; Deadline for Responses and Objections. ..........................10
`6.4.3 Requests for Production of Documents or Things or for
`Entry Upon Land; Deadline for Responses and Objections. .....................11
`6.4.4 Request for Admission; Period for Service; Deadline for
`
`i
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`7
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`8
`9
`10
`11
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`12
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`6.5
`6.6
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`6.7
`6.8
`6.9
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`Responses and Objections; Time for Requests and
`Responses and Objections..........................................................................11
`6.4.5 Discovery Cutoff and Completion. ............................................................11
`Interrogatory Limitation........................................................................................ 11
`Subpoenas. ............................................................................................................ 11
`6.6.1
`Issuance and Service. .................................................................................11
`6.6.2 Motion to Quash Subpoena; Deadline. ......................................................12
`6.6.3 Withdrawing Subpoena. .............................................................................12
`Bates Numbering. ................................................................................................. 12
`Translations. .......................................................................................................... 12
`Privileged Matter. ................................................................................................. 12
`6.9.1 Privileged Document List. .........................................................................13
`6.9.2 Motion to Compel Production of Privileged Matter. .................................13
`Claim Construction. ..........................................................................................................13
`7.1
`Terms Requiring Construction. ............................................................................. 13
`7.2
`Claim Construction Briefing. ................................................................................ 13
`7.3
`Claim Construction Hearing Exhibits. .................................................................. 14
`Notice of Prior Art. ...........................................................................................................14
`Expert Witnesses and Reports. ........................................................................................14
`Narrowing Issues, Mediation, Settlement. ......................................................................15
`Pre-hearing Submissions. .................................................................................................15
`11.1 Pre-hearing Statement. .......................................................................................... 15
`11.2 Pre-hearing Brief. .................................................................................................. 16
`11.3 Motions in Limine. ................................................................................................ 16
`11.3.1 Requirement to Include Evidence in Question. .........................................16
`11.3.2 Motion for Confidential Treatment at the Hearing. ...................................16
`Exhibits. .............................................................................................................................17
`12.1 Form and Marking. ............................................................................................... 17
`12.1.1 One Document Per Exhibit. .......................................................................17
`12.1.2 Labeling Exhibits. ......................................................................................17
`12.1.3 Physical Exhibits. .......................................................................................18
`12.1.4 Demonstrative Exhibits. .............................................................................18
`12.1.5 Confidential Exhibits. ................................................................................18
`12.1.6 Foreign Language Exhibits. .......................................................................18
`12.2 Pre-Hearing Disclosure. ........................................................................................ 18
`12.2.1 Content of Exhibit Lists. ............................................................................18
`12.2.2 Exchange of Proposed Exhibit Lists. .........................................................19
`12.2.3 Exchange of Proposed Exhibits. ................................................................19
`12.3 Use in Hearing. ..................................................................................................... 19
`12.3.1 Authenticity................................................................................................19
`12.3.2 Exhibits Not in Dispute. .............................................................................19
`12.3.3 Witness Exhibits. .......................................................................................20
`12.4 Final Exhibit List and Final Exhibits. ................................................................... 20
`12.4.1 Final Exhibit List. ......................................................................................20
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`ii
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`12.4.2 Final Exhibits Must Be Submitted to the Chief
`Administrative Law Judge. ........................................................................20
`12.4.3 Format for Submitting Final Exhibits. .......................................................21
`13 Hearing Procedure. ...........................................................................................................22
`13.1 Final Pre-hearing Conference. .............................................................................. 22
`13.2 Hearing Hours. ...................................................................................................... 22
`13.3 Hearing Decorum. ................................................................................................. 23
`13.3.1 Conversations During the Hearing. ............................................................23
`13.3.2 Audible Devices; Food and Beverages. .....................................................23
`13.3.3 Photos or Video Recording. .......................................................................23
`13.4 Opening Statements. ............................................................................................. 23
`13.5 Material to Be Received into Evidence. ............................................................... 23
`13.6 Examination of Witnesses..................................................................................... 23
`13.6.1 Live Direct Testimony. ..............................................................................23
`13.6.2 Scope of Cross-examination. .....................................................................23
`13.6.3 Scope of Redirect and Re-cross Examination. ...........................................23
`13.6.4 Order of Witnesses. ....................................................................................24
`13.6.5 Documents Presented to Witnesses. ..........................................................24
`13.6.6 Scope of Expert Witness Testimony. .........................................................24
`13.6.7 Use of Interpreters......................................................................................24
`13.6.8 Conferring with Witness during a Break in Testimony. ............................24
`13.7 Corrections to Transcripts. .................................................................................... 24
`Post-Hearing Briefs. ..........................................................................................................24
`14.1 Post-hearing Initial Briefs. .................................................................................... 24
`14.2 Post-hearing Responsive Briefs. ........................................................................... 25
`14.3 Courtesy Copies of Post-hearing Briefs. ............................................................... 25
`Ex Parte Contacts. .............................................................................................................25
`Suspension, Waiver, and Modification of Ground Rules. .............................................26
`
`14
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`15
`16
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`iii
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`

`GROUND RULES
`
`Filings and Submissions.
`
` 1
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`
`
`1.1
`
`Format of Filings and Submissions.
`
`All motions, briefs, notices, and reports filed or submitted to the Chief Administrative Law
`Judge shall be on 8.5” x 11” pages, at least 12-point font, double spaced, with 1-inch margins.
`Footnotes shall be at least 12-point font, single spaced.
`
`1.2
`
`Filing Requirement.
`
`
`
`
`
`All pleadings, motions, briefs, notices, and other documents directed to the Chief
`Administrative Law Judge shall be filed with the Office of the Secretary of the Commission in
`accordance with Commission Rule 210.4(f) unless otherwise specifically provided for in these
`Ground Rules or by order of the Chief Administrative Law Judge.
`
`All PDF-format filings must be PDF version 1.5 or higher.
`
`
`1.2.1 Public Version Required.
`
`
`
`
`
`
`
`If a document is filed that contains confidential business information as defined in
`Commission Rule 201.6(a), the private parties must file a public version of the document within
`five business days from the date of filing. For those investigations where a Commission
`investigative attorney is a party, the Commission investigative attorney shall have ten business
`days to submit a public version of the document. When redacting confidential business
`information, a high level of care shall be exercised to ensure that information that does not meet
`the Commission’s definition of confidential business information is not redacted.
`
`
`For motions and related documents, the public version of the motion or related document
`shall also include the Motion Docket Number assigned to the original motion by the
`Commission’s Office of the Secretary in either the title or the first paragraph of the public
`version. Motion Docket Numbers may be obtained online through EDIS.
`
`
`1.3
`
`Service.
`
`Whenever practicable, service of all documents filed with the Secretary or submitted to the
`Chief Administrative Law Judge shall be by email addressed to all parties, including the
`Commission investigative attorney. Otherwise, service shall be as specified in Commission Rules
`210.4(i), 210.7, 201.16, or as agreed by the parties.
`
`1.4
`
`Definitions.
`
`As used in these Ground Rules, “file” refers to filing with the Office of the Secretary of the
`Commission using the Commission’s Electronic Document Information System (EDIS), in
`accordance with Commission Rule 210.4(f).
`
`

`

`
`As used in these Ground Rules, “submit” refers to providing an item to the Chief
`Administrative Law Judge without using EDIS.
`
`1.5
`
`Confidentiality.
`
`A protective order shall be entered in each investigation. Parties shall mark filings and
`submissions as required by the protective order. No cover letter or other document shall be stapled
`or otherwise attached to a filing or other submission so as to obscure the confidential marking on
`the top page.
`
`When making claims of confidentiality, parties are expected to follow the definition of
`confidential business information found in Commission Rule 201.6(a).
`
`When a document is filed confidentially, a public version of the document must be filed
`within the timelines specified in Ground Rule 1.3.1.
`
`Procedures for seeking protection of confidential information at the hearing are found in
`Ground Rule 11.2 and Ground Rule 11.3. Determinations concerning evidence that will be treated
`as confidential during the evidentiary hearing will be made at the final pre-hearing conference
`specified in the procedural schedule or at another practicable time determined by the Chief
`Administrative Law Judge.
`
`If the Chief Administrative Law Judge issues a confidential order or initial determination,
`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
`Commission Rule 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. The proposed redactions should be submitted as “marked” but not
`yet “applied.” The proposed redactions or statement of no redactions should be submitted via
`email to Cheney1381@usitc.gov and not filed on EDIS.
`
`1.6 Word Limits.
`
`Certain Ground Rules provide word limits for certain briefs. See, e.g., Ground Rules 5.4.2,
`7.2, and 14. Any brief that is word-count limited by a Ground Rule must include a certificate by
`the attorney, or by an unrepresented party, that the brief complies with the word limitation. The
`person preparing the certificate may rely on the word count of the word-processing system used to
`prepare the brief. The certificate must state the number of words in the brief and must appear
`immediately before the signature block. The word count must include footnotes. However, the
`word count need not include the following: captions, any tables of contents or authorities, words
`in figures, the word count certificate, the signature block, and the certificate of service.
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`2
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`1.7
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`Citation of Cases.
`
`The official case reporter citation must be included for any published decision or order that
`is cited in a party’s briefs or pleadings. Additionally, the docket number and the full date of the
`disposition must be included in the citation of any unreported decision or order that is referenced
`by the parties. Further, every party must cite to the specific page(s) of the cited decision or order
`that includes the holding for which the authority is cited.
`
`1.8
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`Coordination of Briefs Among Interested Parties.
`
`When there is more than one complainant and/or respondent in an investigation,
`complainants and/or respondents shall respectively coordinate their efforts and submit a single
`brief.
`
`
`1.9
`
`Courtesy Copies.
`
`1.9.1 Documents Requiring a Courtesy Copy.
`
`Courtesy copies are required for all documents filed on EDIS except protective order
`undertakings.
`
`
`1.9.2 Procedure.
`
`On the same day that any document is filed, the filer shall submit a courtesy electronic
`copy of the filing in Microsoft Word format whenever possible, and otherwise in PDF format via
`Box, a cloud-based content management platform. When all related documents have been
`submitted, the filer should email Cheney1381@usitc.gov with notice that the upload is complete.
`Documents submitted according to this procedure should not be compressed or password
`protected.
`
`Certain filings require additional hyperlinked courtesy copies submitted on Box as
`indicated in the Ground Rules listed below:
`
`
`• Summary Determination Motions and Responses – see Ground Rules 5.4.2
`
`• Claim Construction Briefing – see Ground Rule 7.2
`
`• Post-Hearing Briefing – see Ground Rule 14
`
`
`Access to Box will be provided upon request to Cheney1381@usitc.gov.
`
`The Commission Investigative Staff is not required to submit hyperlinked courtesy copies of any
`filing.
`
`
`
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`3
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`1.9.3 Courtesy Copy of Pre-Institution Filings.
`
`Notwithstanding Rule 1.10.2, all parties named in the Notice of Investigation shall upload
`to Box a courtesy copy of all pre-institution filings by that party, such as the complaint and its
`supporting documents, requests for entry into the 100-day program, public interest statements, etc.,
`within seven days after issuance of these Ground Rules.
`
` 2
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`
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`Time.
`
`Time shall be computed as stated in Commission Rules 201.14, 201.16(d), and 210.6.
`
`As set forth in Ground Rule 5.6, when computing the due date for a response to a motion
`under Commission Rule 210.15(c), the first day shall be the first business day following the date
`that the motion was filed with the Secretary, no matter the method of service of the motion. If the
`last day for making a submission falls on a day on which weather or other conditions have made
`the Office of the Secretary inaccessible, the period shall run until the end of the next business day
`on which the Office of the Secretary is accessible.
`
`As used in these rules, “business day” shall mean a day that is not a Saturday, Sunday, or
`Federal legal holiday. “Federal legal holiday” refers to any full calendar day designated as a legal
`holiday by the President or the Congress of the United States.
`
` 3
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`
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`Preliminary Conference.
`
`By separate order, the Chief Administrative Law Judge will instruct the parties to appear
`at a preliminary conference, in person or via videoconference. If by videoconference, connection
`information will be provided to the parties in a separate communication. The Commission will
`provide a court reporter who will transcribe this conference and the transcript will be made
`available on EDIS.
`
`By noon on the last business day prior to the preliminary conference, the parties shall
`jointly submit proposed dates for the procedural schedule below. At the conference the parties
`should be prepared to discuss the following:
`
`
`A. formulating and simplifying the issues, and eliminating frivolous claims or
`defenses;
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`
`
`
`
`
`
`
`
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`B. amending the pleadings if necessary or desirable;
`
`C. obtaining admissions and stipulations about facts and documents to avoid
`unnecessary proof, and ruling in advance on the admissibility of evidence;
`
`D. avoiding unnecessary proof and cumulative evidence;
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`E. controlling and scheduling discovery, including discovery involving non-parties;
`
`F. identifying witnesses and documents, and setting dates for further conferences if
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`4
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`necessary;
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`G. settlement and mediation;
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`H. disposing of pending motions;
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`I. adopting special procedures for managing potentially difficult or protracted actions
`that may involve complex issues, multiple parties, difficult legal questions, or
`unusual proof problems, including the possible consolidation or severance of
`proceedings;
`
`J. opportunities for less-experienced attorneys to participate in substantive oral
`arguments in this investigation or to examine witnesses at the evidentiary hearing
`in accordance with the NEXT Advocates program;1 and
`
`K. facilitating in other ways the just, speedy, and inexpensive disposition of the action.
`
`Procedural Schedule.
`
` 4
`
`
`
`The Chief Administrative Law Judge will promulgate a procedural schedule for the
`investigation after inviting input from the parties by separate order. Parties are encouraged to
`reach consensus on any procedural schedule proposals. Once ordered, modifications of the
`procedural schedule by any party shall be made by written motion showing good cause. The
`event and deadline dates in the procedural schedule will generally adhere to the following
`chronological order, although parties may suggest other procedures as they deem necessary for
`the efficient and orderly disposition of the investigation:
`
`
`Preliminary conference
`
`Exchange list of claim terms to be construed
`
`Exchange proposed constructions for all terms on all lists
`
`File chart of agreed and disputed constructions
`
`File identification of expert witnesses, including their expertise and curriculum vitae
`
`File opening claim construction briefs
`
`File responsive claim construction briefs
`
`Markman claim construction hearing
`
`
`1
`is available at
`the Commission’s NEXT Advocates program
`Information about
`https://usitc.gov/next_advocates_nurturing_excellence_in_trial_advocates.htm.
`
`5
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`

`File notice of prior art
`
`Exchange initial expert reports (identify tests/surveys/data)
`
`File tentative list of witnesses a party will call to testify at the hearing, with an identification of
`each witness’ relationship to the party
`
`Exchange rebuttal expert reports
`
`Fact discovery cutoff and completion
`
`Deadline for motions to compel discovery
`
`Expert discovery cutoff and completion
`
`One-day mediation session2
`
`Submit joint report on mediation
`
`Deadline for filing summary determination motions
`
`Exchange of exhibit lists among the parties
`
`Complainant and respondent serve proposed direct exhibits, including prepared demonstrative
`exhibits,3 and identify physical exhibits.
`
`Commission investigative attorney serves proposed direct exhibits, including prepared
`demonstrative exhibits, and identifies physical exhibits.
`
`Complainant and respondent file pre-trial statements and briefs
`
`Serve proposed rebuttal exhibits, including rebuttal demonstrative exhibits, and identify rebuttal
`physical exhibits
`
`File joint list of unopposed exhibits
`
`Deadline for motions in limine
`
`Commission investigative attorney files pre-trial statement and brief
`
`
`2 For any questions regarding the mediation program, the parties should refer to the revised User
`Manual for the Commission’s mediation program, available at http://www.usitc.gov.
`
`3 The parties may agree on a separate time to exchange prepared demonstrative exhibits, and such
`exchange need not be concurrent with the exchange of documentary exhibits.
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`6
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`

`

`Final pre-hearing conference
`
`Hearing
`
`File final exhibit list
`
`Complainant and respondent file post-hearing initial briefs with the Secretary and submit final
`exhibits with the Chief Administrative Law Judge
`
`Staff files post-hearing initial brief
`
`Complainant and respondent file post-hearing responsive briefs
`
`Staff files post-hearing responsive brief
`
`Initial determination due
`
`Target date for completion of investigation
`
`
`Motions.
`
`5
`
`5.1 Obligation to Confer.
`
`All motions shall include a certification that the moving party has made reasonable, good-
`faith efforts to resolve the matter with the other parties prior to filing the motion and shall state, if
`known, the position of the other parties on such motion. The certification shall be placed at the
`beginning of the motion.
`
`5.2
`
`Numbering Responses to Motions.
`
`All responses to motions shall include the Motion Docket Number assigned to the motion
`by the Commission’s Office of the Secretary in either the title or the first paragraph of any such
`response. Motion Docket Numbers may be obtained online through the Commission’s Electronic
`Document Information System (EDIS).
`
`5.3
`
`Deadline for Filing Response to Motion.
`
`When computing the due date for a response to a motion under Commission Rule
`210.15(c), the first day shall be the first business day following the date that the motion was filed
`with the Secretary, no matter the method of service of the motion. If the last day for making a
`submission falls on a day on which weather or other conditions have made the Office of the
`Secretary inaccessible, the period shall run until the end of the next business day on which the
`Office of the Secretary is accessible.
`
`
`7
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`

`5.4
`
`Rules for Certain Motions.
`
`5.4.1 Discovery-Related Motions.
`
`5.4.1.1 Videoconference Requirement.
`
`
`
`The Chief Administrative Law Judge will schedule monthly videoconferences with the
`parties until the evidentiary hearing in this investigation. Dates for these videoconferences will be
`included in the procedural schedule governing this investigation. Connection information will be
`provided to the parties in a separate communication. The Commission will provide a court reporter
`who will transcribe these conferences and the transcript for all conferences will be made available
`on EDIS.
`
`Prior to filing any motion related to a discovery dispute, the party that seeks to file such a
`motion must discharge its obligation to meet and confer under Ground Rule 5.1. If, after
`discharging its obligation under that rule, any discovery disputes persist, that party shall submit a
`letter explaining all ripe discovery disputes. The letter shall be submitted by e-mail to
`Cheney1381@usitc.gov no later than three business days before a scheduled videoconference and
`shall be no more than two pages. Any party submitting a responsive letter must do so no later than
`one business day following submission of the initial letter by the intended movant. Any responsive
`letter should be submitted by e-mail to the address above and shall address all issues in no more
`than two pages.
`
`On the last business day before each scheduled videoconference, the parties shall jointly
`submit to Cheney1381@usitc.gov a proposed agenda for the videoconference, which shall include
`only disputes raised according to the procedure above. If no disputes are pending, the parties shall
`notify the Chief Administrative Law Judge by e-mail to Cheney1381@usitc.gov that the
`videoconference may be cancelled. Leave to file a discovery-related motion will be granted, if at
`all, only after the intended movant has complied with the procedure provided herein.
`
`
`
`5.4.1.2 Contents of Discovery-Related Motions.
`
`Any discovery-related motion must have appended to it the pertinent parts of the discovery
`request and all objections and answers thereto. If a party serves supplemental responses
`subsequent to the filing of a motion to compel, that party must provide a detailed accounting of
`what supplemental responses were provided. No motion stops discovery, except a timely motion
`to quash a subpoena suspends any obligation to comply with the subpoena until the motion has
`been decided.
`
`
`5.4.2 Motions for Summary Determination and Responses Thereto.
`
`5.4.2.1 Motion.
`
`
`No more than one motion for summary determination may be filed by a party without leave
`from the Chief Administrative Law Judge. A motion for summary determination is limited to
`10,000 words as counted in Ground Rule 1.6.
`
`
`8
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`

`

`Motions for summary determination shall be accompanied by a separate chart of the
`material facts as to which the moving party contends there is no genuine issue and which entitle
`the moving party to a summary determination as a matter of law. The chart shall consist of short,
`factual statements with specific references to supporting declarations, affidavits or other materials.
`Whenever possible, the factual statement should be a direct quote from record evidence, using
`quotation marks. The format of the chart should be substantially as follows:
`
`
`Factual Statement
`
`Citation Disputed? Factual Rebuttal
`
`Citation
`
`Item
`#
`
`
`The moving party shall fill out the first three columns of the chart (item number, factual
`statement, and citation),