Organization, Procedures and Rules of Practice; Nonadjudicative Procedures and Miscellaneous Rules

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BILLING CODE 4910-13-M FEDERAL TRADE COMMISSION 16 CFR Parts 2 and 4 Organization, Procedures and Rules of Practice; Nonadjudicative Procedures and Miscellaneous Rules a g e n c y : Federal Trade Commission. a c t io n : Final rules. s u m m a r y : Several of the Commission’s Rules of Practice are being amended to reflect afn internal reorganization in the Commission’s Bureau of Consumer Protection which has resulted in Associate Director positions being created. Assistant Directors of the Bureau of Consumer Protection now report to Associate Directors. The role of Assistant Directors of the Commission’s Bureaus of Competition and Economics is unchanged. Additionally, Rule § 2.41(b) is being amended to delete Regional Directors from the list of those persons empowered to approve or reject compliance reports and to close compliance investigations. These functions are now being handled by the Headquarters staff. Because of the expertise of this staff, and the resulting efficiency, consolidating compliance in Headquarters should produce the same output, using fewer resources. EFFECTIVE DATE: September 15,1983. FOR FURTHER INFORMATION CONTACT: Barry Rubin, Office of the General Counsel, Federal Trade Commission, Washington, D.C. 20580, (202) 523-3613 List of Subjects 16 CFR Part 2 Administrative practice and procedures, Investigations, Reporting requirements.

16 CFR Part 4 Administrative practice and procedures, Freedom of Information, Privacy, Sunshine Act.

PART 2—[AMENDED] Section 2.1 is revised to read as follows:

§ 2.1 How Initiated.

Commission investigations and inquiries may be originated upon the request of the President, Congress, governmental agencies, or the Attorney General; upon referrals by the courts; upon complaint by members of the public; or by the Commission upon its own initiative. The Commission has delegated to the Director, Deputy Directors, and Assistant Directors of the

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Federal Register / Vol. 48, No. 180 / Thursday, September 15, 1983 / Rules and Regulations 41375 Bureau of Competition, the Director, Deputy Directors, and Associate Directors of the Bureau of Consumer Protection, the Regional Directors and Assistant Regional Directors of the Commission’s regional offices, and the Director of Federal-State and Consumer Relations, without power of^ redelegation, limited authority to initiate investigations.

Section 2.7 is amended by revising paragraphs (c) and (d) to read as follows:

§2.7 Compulsory process in investigations.

(c) The Bureau Director, Deputy Directors and Assistant Directors of the Bureaus of Competition and Economics, the Director, Deputy Directors and Associate Directors of the Bureau of Consumer Protection, Regional Directors, and Assistant Regional Directors, are authorized to negotiate and approve the terms of satisfactory compliance with subpoenas and civil investigative demands and, for good cause shown, may extend the time prescribed for compliance. Specifically, the subpoena power conferred by Section 329 of the Energy Policy and Conservation Act (42 U.S.C. 6299) is included within this delegation. (d) Petitions to lim it or quash.—Any petition to limit or quash any investigational subpoena or civil investigative demand shall be filed with the Secretary of the Commission within twenty (20) days after service of the subpoena or civil investigative demand, or, if the return date is less than twenty (20) days after service, prior to the return date. Such petition shall set forth all assertions of privilege or other factual and legal objections to the Subpoena or civil investigative demand, including all appropriate arguments, affidavits and other supporting documentation. All petitions to limit or quash an investigational subpoena or civil investigative demand shall be ruled upon by the Commission itself, but Bureau Directors, Deputy Directors, and Assistant Directors in the Bureaus of Competition and Economics, the Bureau Director, Deputy Directors and Associate Directors in the Bureau of Consumer Protection, Regional Directors and Assistant Regional Directors are delegated, without power of redelegation, the authority to rule upon requests for extensions of time within which to file such petitions. Section 2.11 is amended by revising paragraphs (a) and (b) to read as follows:

§ 2.11 Orders requiring access. (a) In investigations other than those conducted under Section 20 of the Federal Trade Commission Act, the Commission may issue an order requiring any person, partnership or corporation being investigated to grant access to files for the purpose of examination and the right to copy any documentary evidence. The Directors, Deputy Directors and Assistant Directors of the Bureaus of Competition and Economics, the Director, Deputy Directors and Associate Directors of the Bureau of Consumer Protection, the Regional Directors, and Assistant Regional Directors of the Commission’s regional offices, pursuant to delegation of authority by the Commission, without power of redelegation, are authorized, for good cause shown, to extend the time prescribed for compliance with orders requiring access issued during the investigation of any matter. (b) Any petition to limit or quash an order requiring access shall be filed with the Secretary of the Commission within twenty (20) days after service of the order, or, if the date for compliance is less than twenty (20) days after service of the order, then before the return date. Such petition shall set forth all assertions of privilege or other factual and legal objections to the order requiring access, including all appropriate arguments, affidavits and other supporting documentation. All petitions to limit or quash orders requiring access shall be ruled upon by the Commission itself, but the abovedesignated Directors, Deputy Directors, Assistant Directors, Associate Directors, Regional Directors and Assistant Regional Directors are delegated, without power of redelegation, the authority to rule upon motions for extensions of time within which to file petitions to limit or quash orders requiring access.

Section 2.12 is amended by revising paragraphs (c) and (d) to read as follows:

§ 2.12 Reports.

* * * * .

* (c) The Directors, Deputy Directors and Assistant Directors of the Bureaus of Competition and Economics, the Director, Deputy Directors and Associate Directors of the Bureau of Consumer Protection, and the Regional Directors and Assistant Regional Directors of the Commission’s regional offices, pursuant to delegation of authority by the Commission, without power of redelegation, are authorized, for good cause shown, to extend the time prescribed for compliance with orders requiring reports or answers to questions issued during the investigation, study or survey of any matter or in connection with any of the Commission’s reporting programs. (d) Any petition to limit or quash an order requiring a report or answer to specific questions shall be filed with the Secretary of the Commission within twenty (20) days after service of the order, or, if the date for compliance is less than twenty (20) days after service of the order, then before the return date. Such petition shall set forth all assertions of privilege or other factual and legal objections to the order requiring a report or answer to specific questions, including all appropriate arguments, affidavits and other supporting documentation. All petitions to limit or quash orders requiring reports or answers to questions shall be ruled upon by the Commission itself, but the above-designated Directors, Deputy Directors, Assistant Directors, Associate Directors, Regional Directors and Assistant Regional Directors are delegated, without power of redelegation, the authority to rule upon motions for extensions of time within which to file petitions to limit or quash orders requiring reports or answers to questions.

Section 2.14 is amended by revising paragraph (c) to read as follows: § 2.14 Disposition.

h k k k * . • (c) The Commission has delegated to the Director, Deputy Directors, and Assistant Directors of the Bureau of Competition, the Director, Deputy Directors and Associate Directors of the Bureau of Consumer Protection, Regional Directors, and the Director of Federal-State Consumer Relations, without power of redelegation, limited authority to close investigations. Section 2.15 is amended by revising paragraph (a) to read as follows: § 2.15 Orders requiring witnesses to testify or provide other information and granting immunity.

(a) The Bureau Director, Deputy Directors, and Assistant Directors in the Bureaus of Competition and Economics, the Bureau Director, Deputy Directors and Associate Directors of the Bureau of Consumer Protection, Regional Directors and Assistant Regional Directors are hereby authorized to request, through the Commission’s liaison officer, approval from the Attorney General for the issuance of an order requiring a witness to testify or provide other information granting immunity under

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41376 Federal Register / Vol. 48, No. 180 / Thursday, September 15, 1983 / Rules and Regulations Title 18, section 6002, of the United States Code.

* * * * * Section 2.16 is amended by revising paragraph (a) to read as follows: § 2.16 Custodians.

(a) Designation.—The Commission shall designate a custodian and one or more deputy custodians for material to be delivered pursuant to compulsory process in a investigation, a purpose of which is to determine whether any person may have violated any provision of the laws administered by the Commission. The custodian shall have the powers and duties prescribed by Section 21 of the FTC Act. Deputy custodians may perform all of the duties assigned to custodians. The appropriate Bureau Directors, Deputy Directors, \ Associate Directors in the Bureau of Consumer Protection, Assistant Directors in the Bureau of Competition, Regional Directors or Assistant Regional Directors shall take the action required by Section 21(b)(7) of the FTC Act if it is necessary to replace a custodian or deputy custodian.

Section 2.41 is amended by revising the first sentence of paragraphs (b) and (c) and by adding a sentence to the end of paragraph (c) to read as follows: § 2.41 Reports of compliance.

* * * * * (b) The Commission has delegated to the Director and Deputy Directors of the Bureaus of Competition and Consumer Protection, without power of redelegation, the authority to approve compliance reports, reject compliance reports, and to close compliance investigations. * * * (c) The Commission has delegated to the Director, Deputy Directors, and Assistant Directors of the Bureau of Competition and to the Director, Deputy Directors, and Associate Directors of the Bureau of Consumer Protection, and to the Regional Directors, the authority, for good cause shown, to extend the time within which reports of compliance with orders to cease anthdesist may be filed. * * * The authority under this subsection may not be redelegated, except that the Associate Director for Enforcement in the Bureau of Consumer Protection and the Assistant Director for Compliance in the Bureau of Competition may each name a designee under this subsection.

PART 4—[AMENDED] Section 4.2 is amended by revising paragraph (a)(1) to read as follows: § 4.2 Requirements as to form, and filing of documents other than correspondence. (a) Filing.—(1) Except as otherwise provided, all documents submitted to the Commission, including those addressed to the Administrative Law Judge, shall be filed with the Secretary of the Commission: provided, however, that in any instance informal applications or requests may be submitted directly to the official in charge of any office of the Commission or to the appropriate Director, Deputy Director, Associate Director in the Bureau of Consumer Protection, or. Assistant Director in the Bureau of Competition or to the Administrative Law Judge. Copies of all documents filed with the Secretary of the Commission by parties in adjudicative proceedings shall, at or before the time' of filing, be served by the party filing the documents or person acting for that party on all other parties pursuant to § 4.4. Section 4.4 is amended by revising the third sentence following the introductory sentence to read as follows. The introductory sentence is shown for reader convenience. § 4.4 Service.

* * * * * (b) By other parties.—Service of documents by parties other than the Commission shall be by delivering copies thereof as follows: * * * Where service of a document imposes time limitations upon Commission counsel for response, the time for such response shall not start running until the document is delivered to the Assistant Bureau Director in the Bureau of Competition, the Associate Bureau Director in the Bureau of Consumer Protection, or Regional Office of Complaint Counsel by the Office of the Secretary. * * * (15 U.S.C. 46(f)) By direction of the Commission, dated June 17,1983.

Emily H. Rock, Secretary.

[FR Doc. 83-25251 Filed 9-14-83; 8:45 « « I BILLING CODE 6750-01-M SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 240 and 249 [Release No. 34-20155; File No. S7-941]